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CONSTITUTIONAL AND STATUTORY PROVISIONS and CONSTITUTIONAL ETHICS RULES governing the ETHICAL CONDUCT of STATE OFFICERS AND EMPLOYEES and CAMPAIGNS for STATE OFFICE OR STATE ISSUES ***** EFFECTIVE JULY 1, 2011 2300 North Lincoln Boulevard, Room B5 ! Oklahoma City, Oklahoma 73105-4812 (405) 521-3451 ! FAX (405) 521-4905 ! WEBSITE www.ethics.ok.gov PREAMBLE This document contains the following: ! Article XXIX of the Oklahoma Constitution titled Ethics Commission; ! Canon 5 of Chapter 1, Appendix 4 of Title 5 of the Oklahoma Statutes [Code of Judicial Conduct] ! Section 48 of Title 17 of the Oklahoma Statutes; ! Sections 187, 187.1 and 187.2 of Title 21 of the Oklahoma Statutes; ! Sections 334, 360 and 463 of Title 21 of the Oklahoma Statutes; ! Section 2358.3 of Title 68 of the Oklahoma Statutes; ! Chapter 62–Ethics Commission Act [Sections 4200 through 4248.1 of Title 74 of the Oklahoma Statutes [repealed]; ! Chapter 62–statutes governing lobbying registration and activities, revolving fund and local candidates filing electronic reports [Sections 4249 through 4260 of the Oklahoma Statutes]; and ! Chapter 62–Appendix: Title 257. Ethics Commission [Sections 257:1-1-1 et seq. of the Rules of the Ethics Commission, 74 O.S. 2011, Ch. 62, App.] [the “Rules”]. Amendments adding or deleting language to the Rules and a synopsis of the amendments, which take effect July 1, 2011, are available on the agency’s website as “2011 Promulgated Rule Amendments" and “Synopsis of 2011 Promulgated Rule Amendments” at: WWW.ETHICS.OK.GOV Please note that the Ethics Commission has jurisdiction over the Political Subdivisions Ethics Act [for county campaigns and officeholders] and the Rules of the Ethics Commission only. The Commission has no jurisdiction to enforce other statutes, whether they carry civil or criminal penalties. Related statutes to the ethics of state officers or employees or state campaigns are included in this compilation for the convenience of the user. 1 CONSTITUTION OF OKLAHOMA Art. 29 § 3 O.S. 2001 ARTICLE XXIX. ETHICS COMMISSION 1. Ethics Commission–Appointments– Qualifications–Terms–Vacancies–Quorum 2. Appropriation–Compensation–Staff 3. Ethics Rules 4. Investigation–Decision–Subpoena Power 5. Ethics Interpretations 6. Criminal Penalties 7. Removal § 1. E th ic s Commis s io n –Ap p o in tmen ts – Qualifications–Terms–Vacancies–Quorum Ethics Commission–Appointments– Qualifications–Terms–Vacancies–Quorum A. There is hereby created the Ethics Commission which shall consist of five members. The Governor, Attorney General, President Pro Tempore of the Senate, Speaker of the House of Representatives, and Chief Justice of the Supreme Court shall each appoint a person who is a registered voter of this State to the Commission. The initial terms of the Governor's and Attorney General's appointees shall be one year; the initial terms of the President Pro Tempore's and Speaker's appointees shall be three years, and the initial term of the Chief Justice's appointee shall be five years. B. No congressional district shall be represented by more than one Commissioner, and no more than three persons of the same political registration shall serve on the Ethics Commission at the same time. C. After the initial terms, members of the Ethics Commission shall serve terms of five years. No person shall be appointed to the Commission more than two times in succession, except the initial members who serve less than five-year terms may be appointed three times in succession. A vacancy on the Commission shall be filled for the remainder of the unexpired term by the appointing authority. D. The members of the Commission shall choose a chair from among themselves. E. The term of office for a Commissioner shall commence at noon on the second Monday in July. F. No member of the Ethics Commission shall be eligible for elected office for two years after completing his or her term. G. A majority of the members serving shall constitute a quorum. § 2. Appropriation–Compensation–Staff Appropriation–Compensation–Staff A. The Ethics Commission shall receive an annual appropriation by the Legislature sufficient to enable it to perform its duties as set forth in this Constitutional Amendment. Any funds appropriated to the Ethics Commission, which remain unspent at the end of the fiscal year shall be returned to the general revenue fund. The Commission shall present its proposed budget to the Governor and the Legislature on the second day of each legislature session. B. The Commissioners shall receive reimbursement for travel, lodging, and meals while on official business as provided for other officers of the State, but they shall not be otherwise compensated. C. The Commission may employ an executive director and other staff, including attorneys, necessary to fulfill its duties. § 3. Ethics Rules Ethics Rules A. After public hearing, the Ethics Commission shall promulgate rules of ethical conduct for campaigns for elective state office and for campaigns for initiatives and referenda, including civil penalties for violation of these rules. B. After public hearing, the Ethics Commission shall promulgate rules of ethical conduct for state officers and employees, including civil penalties for violation of these rules. C. Newly promulgated rules shall be presented to each House of the Legislature and to the Governor on the second day of each session of the Legislature. If these rules are not disapproved by joint resolution, subject to veto by the Governor, during the same legislative session, they shall be effective. In the event the Governor vetoes a joint resolution disapproving any Ethics Commission's rules, the procedure shall be the same as for the veto of any other bill or joint resolution. Effective Ethics Commission rules shall be published in the official statutes of the State. D. Effective Ethics Commission rules may be repealed or modified by the Commission, and the repeal or modification shall be submitted to the Legislature and the Governor in the same manner as newly promulgated rules. Effective Ethics Commission rules may also be repealed or modified by law passed by a majority vote of each House of the Legislature. If the Governor vetoes such a law, the procedure shall Art. 29 § 3 CONSTITUTION OF OKLAHOMA 2 O.S. 2001 be the same as for the veto of any other bill or joint resolution. § 4. Investigation–Decision–Subpoena Power Investigation–Decision–Subpoena Power A. The Ethics Commission shall investigate and, when it deems appropriate, prosecute in the District Court of the County where the violation occurred violations of its rules governing ethical conduct of campaigns, state officers, and state employees. Where uncertainty exists as to the County in which the violation occurred, the Commission may prosecute in any County in which the evidence indicates the violation might have been committed. The Court may assess penalties for violation of ethical standards established by the Commission as provided in the Commission's rules. The Commission may settle investigations and accept payment of fines without Court order. Fines paid shall be deposited in the general revenue fund of the State. B. The Commission shall also enforce other ethics laws as prescribed by law. C. For purposes of its investigations, the Ethics Commission shall have subpoena power. § 5. Ethics Interpretations Ethics Interpretations. The Ethics Commission may respond, pursuant to its rules, to questions of specific individuals seeking an interpretation of the Commission's rules governing ethical conduct for campaigns, state officers, or state employees. Any such official interpretation of ethics rules shall be binding on the Commission. § 6. Criminal Penalties Criminal Penalties. This Article shall not prevent enactment of laws prohibiting certain conduct by political candidates, government officers, government employees, or other persons and providing criminal penalties for such conduct. It also shall not prevent enactment of laws governing ethical conduct of local political subdivision officers and employees, nor shall it prevent enactment of law governing conditions of state government employment. § 7. Removal Removal. A Commissioner shall only be removed from office pursuant to the provisions of Article VIII of this Constitution. Title 17 Oklahoma Statutes 1996, § 48 § 48. Transportation, presents, or gratuities to Corporation Commissioners or employees prohibited–Exceptions A. No person who is subject to the regulations of the Corporation Commission, or has interests in any firm, corporation or business which is subject to regulation by the Corporation Commission shall furnish transportation, presents, or gratuities other than as provided by the Rules of the Ethics Commission to any member of the Corporation Commission or any employee thereof; provided, however, during a period beginning one hundred twenty (120) days prior to a primary election, through one hundred twenty (120) days following the general election, any person may make contributions not otherwise prohibited by the Rules of the Ethics Commission to the cost of any current candidate's political campaign. It shall be unlawful for any such member or employee to knowingly accept any such transportation, presents or gratuities from any such person, firm or association. B. A violation of the provisions of this section shall, upon conviction, be punishable as a misdemeanor. Title 5, Attorneys and State Bar Code of Judicial Conduct Canon 5. A judge or judicial candidate should refrain from inappropriate political activity 1. A. All Judges 1 and Candidates. (1) Except as authorized herein a judge or a candidate for election or appointment to judicial office should not: (a) act as a leader of or hold an office in political organization; (b) publicly endorse or publicly oppose another candidate for public office; (c) make speeches on behalf of a political organization or candidate or publicly endorse a candidate for public office; or (d) solicit funds for, or pay an assessment to or make a contribution to a political organization or candidate, or purchase tickets for political party dinners or other functions. (2) A judge should resign from judicial office upon becoming a candidate for a non-judicial office either in a primary or in a general election, except that the judge may continue to hold judicial office while being a candidate for election to or serving as a delegate in a 3 ATTORNEYS AND STATE BAR 5, Ch. 1, App. 4 O.S. 2011 Code of Judicial Conduct Canon 5 state constitutional convention if the judge is otherwise permitted by law to do so. (3) A candidate for judicial office: (a) should maintain the dignity appropriate to judicial office and act in a manner consistent with the integrity and independence of the judiciary, and should encourage members of the candidate’s family to adhere to the same standards of political conduct in support of the candidate as apply to the candidate; (b) should prohibit employees and officials who serve at the pleasure of the candidate, and should discourage other employees and officials subject to the candidate’s direction and control from doing on the candidate’s behalf what the candidate is prohibited from doing under the Sections of this Canon; (c) except to the extent permitted by Section 5C(2), should not authorize or knowingly permit any other person to do for the candidate what the candidate is prohibited from doing under the Sections of this Canon; (d) should not: (i) with respect to cases, controversies, or issues that are likely to come before the court, make pledges, promises or commitments that are inconsistent with impartial performance of the adjudicative duties of the office, or (ii) knowingly misrepresent the identity, qualifications, present position or other fact concerning the candidate or opponent; (e) may respond to personal attacks or attacks on the candidate’s record as long as the response does not violate Section 5A(3)(d); B. Candidates Seeking Appointment to Judicial or Other Governmental Office. (1) A candidate for appointment to judicial office or a judge seeking other governmental office should not solicit or accept funds, personally or through a committee or otherwise, to support his or her candidacy. (2) A candidate for appointment to judicial office or a judge seeking other governmental office should not engage in any political activity to secure the appointment except that: (a)2 such persons may: (i) communicate with the appointing authority, including any selection or nominating commission designated to screen candidates, or members thereof; (ii) seek support or endorsement for the appointment from organizations that regularly make recommendations for reappointment or appointment to the office, and from individuals to the extent requested or required by those specified in Section 5B(2)(a); and (iii) provide to those specified in Sections 5B(2)(a)(i) and 5B(2)(a)(ii) information as to his or her qualifications for the office. C. Judges and Candidates Subject to Public Election. (1) A judge or candidate subject to public election may, except as prohibited by law: (a) speak to gatherings on his or her own behalf; (b) appear in newspaper, television and other media advertisements supporting his or her candidacy; (c) distribute pamphlets and other promotional campaign literature supporting his or her candidacy; and (d) publicly endorse or publicly oppose other candidates for the same judicial office in a public election in which the judge or judicial candidate is running. (2) A candidate should not personally solicit campaign contributions or personally solicit publicly stated support. A candidate may, however, establish committees of responsible persons to conduct campaigns for the candidate through media advertisements, brochures, mailings, candidate forums and other means not prohibited by law. Such committees may solicit and accept reasonable campaign contributions, manage the expenditure of funds for the candidate’s campaign and obtain public statements of support for his or her candidacy. Such committees are not prohibited from soliciting and accepting reasonable campaign contributions and public support from lawyers. A candidate’s committees may solicit and/or accept contributions and public support for the candidate’s campaign no earlier than 90 days before an election filing period and no later than 30 days after the last election in which the candidate participates during the election year. A candidate should not use or permit the use of campaign contributions for the private benefit of the candidate or others. 5, Ch. 1, App. 4 ATTORNEYS AND STATE BAR 4 Canon 5 Code of Judicial Conduct O.S. 2011 D. Incumbent Judges on Retention Ballot. An incumbent judge or justice who is a candidate for retention in or re-election to office without a competing candidate, and whose candidacy has drawn active opposition, may campaign in response thereto and may obtain publicly stated support and campaign funds in the manner provided herein. E. Applicability. Canon 5 generally applies to all incumbent judges and judicial candidates. A successful candidate, whether or not an incumbent, is subject to judicial discipline for his or her campaign conduct; an unsuccessful candidate who is a lawyer is subject to lawyer discipline for his or her campaign conduct. F. On October 5, 1998, and in all judicial elections thereafter, within ten (10) days after formally announcing and/or qualifying for election or re-election to any judicial office in this state (whichever is earlier), all candidates, including incumbent judges, shall forward written notice of such candidacy, together with an appropriate mailing address, to the Administrative Director of the Courts. Upon receipt of such notice, the Administrative Director shall cause to be distributed to all such candidates by Registered Mail, Return Receipt Requested, copies of the following: Canon 5 of the Code of Judicial Conduct; summaries of all previous Formal Advisory Opinions, if any, issued by the Judicial Ethics Panel which relate in any way to campaign conduct and practices; and a form acknowledgment which each candidate shall promptly return to the Administrative Director of the Courts and therein certify that he/she has read and understands the material forwarded and agrees to be bound by such standards during the course of the campaign. A FAILURE TO COMPLY W ITH THIS SECT ION SHAL L CONSTITUTE A PER SE VIOLATION OF CANON 5. Upon request, the documents executed by a candidate for judicial election in accordance with this rule shall be made available to General Counsel of the Oklahoma Bar Association, the Panel on Judicial Elections, the Council on Judicial Complaints, and the Oklahoma Supreme Court. Effective November 1, 1997. Amended by orders of Oct. 5, 1998; Jan. 17, 2006, eff. March 6, 2006. 1. So in original. 2. So in original; there is no subparagraph (b). Title 21 Oklahoma Statutes 2001 187. Definitions 187.1 Limitations on campaign contributions 187.2 Prohibition on corporate contributions to candidate campaigns–Penalties 334. Contingent fees–Influencing legislation or official action 360. Coercing political participation of state employees 463. Offering forged or false instruments for record § 187. Definitions As used in Sections 1 through 3*of this act: 1. "Accept", with reference to a contribution, means failure by a candidate, treasurer, deputy treasurer or agent of a committee to expressly and unconditionally reject and return a tendered contribution to the contributor within six (6) business days from receipt of the tender; 2. "Ballot measure" means an initiative, referendum, legislative referendum, legislative initiative, state question, or any proposition or measure submitted to voters for their approval or rejection at a statewide election; 3. "Campaign" means and includes all activities for or against the election of a candidate to a specific state office or local office for a specific term or the passage or defeat of a ballot measure from the date of acceptance of the first contribution, the making of the first expenditure, or the filing of a declaration of candidacy, whichever is first, until a final campaign contributions and expenditures report is filed; 4. "Candidate" means a person who seeks nomination or election to state or local office. An individual is a candidate when the individual: a. has filed a declaration of candidacy for any state office with the Secretary of the State Election Board; b. has filed a declaration of candidacy for any local office with the secretary of any county election board, c. has filed a declaration of candidacy with the Secretary of State and has drawn active opposition, d. is nominated as a "substitute candidate" pursuant to Section 1-105 of Title 26 of the Oklahoma Statutes; or e. solicits or accepts contributions, makes expenditures or gives consent to an individual, organization, party committee, or other committee to solicit or accept contributions or make expenditures to secure election to any state office at any time, whether or not the office for which the individual will seek nomination or election is known when the: (1) solicitation is made, (2) contribution is accepted, or 5 CRIMES AND PUNISHMENTS 21 § 187 O.S. 2011 (3) expenditure is made. The term "candidate" shall include a person whose candidacy is unopposed; 5. "Candidate committee" means the committee, consisting of one or more persons who may be the candidate only, designated by a candidate to promote the candidate's candidacy and serve as the recipient of all contributions and the disburser of all expenditures for the candidate. 6. "Committee" means a candidate committee, political action committee, or party committee; 7. a. "Contribution" means and includes: (1) a gift, subscription, loan, guarantee or forgiveness of a loan, conveyance, advance, payment, distribution, or deposit of money or anything of value made to and with the knowledge and for the benefit of a committee for use in a campaign, or for reducing the debt of a committee, (2) an expenditure made by a person or committee, other than a candidate committee, with the cooperation of, or in consultation with, a committee, a candidate, candidate committee, or candidate's agent or that is made in concert with, or at the request or suggestion of, a candidate, candidate committee, or candidate's agent, (3) the difference between the payment to a person, other than a candidate or committee, of compensation for personal services or products to the candidate or committee, and the reasonable and customary rate charged by the person for like services or products in like quantities when the candidate or committee has knowledge of the discounted services or products, (4) anything of value received by a committee that is transferred from another committee or other source, (5) sums paid for tickets for a political event such as a reception, rally, or a similar fundraising event; however, the amount of any such contribution may be reduced for the purpose of complying with the reporting and contribution limitations requirements of Section 2 of this act, * by the actual cost of consumables furnished by the committee in connection with the purchase of the tickets, and only the excess over the actual cost of the consumables shall be deemed a contribution, (6) the candidate's own money used on behalf of that candidate's candidacy; and (7) the difference between the open market value and a discount or rebate: (a) not extended to the public generally, or (b) by a television or radio station not extended equally to all candidates for the same office. b. The term "contribution" shall not include: (1) the value of services provided without compensation by any individual who volunteers on behalf of a candidate or committee, (2) for purposes of the contribution limits set forth in Section 2* of this act, the transfer of any funds by a political action committee to another political action committee, provided the committees have been established as provided by law and the transferring committee and the receiving committee have been established, directly or indirectly, and are administered or financially supported, directly or indirectly, by a common entity, (3) any payment or obligation incurred by a corporation, labor organization, membership organization, cooperative or corporation without capital stock for the establishment, administration, and solicitation of contributions to a separate segregated fund or political action committee to be utilized for political purposes, (4) a nonreimbursed payment made by an individual for the individual's own travel expenses on behalf of a committee, (5) a payment made by an occupant of a residence or office for costs related to a meeting or fundraising event held in the occupant's residence or office if the costs for the meeting or fundraising event do not exceed Five Hundred Dollars ($500.00). However, if the occupant hosts more than one event in an election cycle for the same beneficiary, all subsequent payments that exceed Five Hundred Dollars 21 § 187 CRIMES AND PUNISHMENTS 6 O.S. 2011 ($500.00) in the aggregate are contributions, (6) a loan of money made in the ordinary course of business by a financial institution authorized to transact business in this state at terms and interest rates generally available to a member of the public without regard to that person's status as a state or local officer or state or local employee or a candidate for state or local office by the institution, (7) a communication by a corporation, labor organization, or association aimed at its members, owners, stockholders, directors, executive administrative personnel, or their families, or (8) a tender of a contribution if the tender is not accepted, including use as collateral, or is transferred to the state as provided in Rule 10-1-2 of the Rules of the Ethics Commission, 74 O.S. Supp. 1994, Chapter 62, App.; 8. "Expenditure" means a purchase, payment, dis tribution, loan, advance, compensation, reimbursement, fee deposit, transfer of funds between committees, or a gift made by a committee. An expenditure does not include the following: a. a loan of money, made in the ordinary course of business, by a financial institution authorized to transact business in this state, b. a communication by a corporation, labor organization, or association aimed at its members, owners, stockholders, executive administrative personnel, or their families, except a communication by the corporation's political action committee promoting or opposing a candidate or candidates, c. uncompensated services provided by an individual volunteering the individual's time, or d. a transfer of funds to another committee if such transfer is not accepted; 9. "Family" means an individual, his or her spouse, if any, and all children under the age of eighteen (18) years residing in the same household; 10. "Local office" means all elective offices for which a declaration of candidacy is filed with the secretary of any county election board; 11. "Party committee" means a political party or any affiliated or connected entity; 12. "Person" means an individual, corporation, association, proprietorship, firm, partnership, limited partnership, joint venture, joint stock company, syndicate, business trust, estate, trust, company, organization, committee, or club, or a group of persons who are voluntarily acting in concert; 13. "Political action committee": a. means a combination of at least two individuals, or a person other than an individual: (1) with the primary purpose of: (a) supporting or opposing a candidate or candidates, or a party committee, except those required to file with the Federal Election Commission, or (b) supporting or opposing a ballot measure, and (2) which accepts or gives contributions or makes expenditures from a joint account aggregating at least Five Hundred Dollars ($500) during a calendar year, and b. does not include: (1) a party committee or a candidate committee, (2) a person other than an individual, when that person makes an expenditure or expenditures from an account to which contributions have not been solicited or accepted from any other persons or individuals; and the expenditure or expenditures are required by law or by Chapter 10 of the Rules of the Ethics Commission to be reported by the recipient committee or committees as a contribution or contributions, and (3) a combination of individuals, or a person other than an individual, if the combination of individuals, or a person other than an individual, solicits contributions on behalf of a committee, and any contributions received as a result of the solicitation are forwarded to the committee without being deposited in any account; and, the contributions are required by law or by Chapter 10 of the Rules of the Ethics Commission to be reported by the committee that receives the contributions; 14. "Political party" means any political party so recognized for the purpose of having candidates appear on the ballot; and 7 CRIMES AND PUNISHMENTS 21 § 187.2 O.S. 2001 15. "State office" means all elective offices for which declarations of candidacy are filed with the Secretary of the State Election Board. *Section 187, 187.1 and 187.2 of Title 21 of the Oklahoma Statutes. § 187.1. L i m i t a t i o n s o n c a m p a i g n contributions A. No person or family may contribute more than: 1. Five Thousand Dollars ($5,000.00) in any calendar year to a committee other than a candidate committee; 2. Five Thousand Dollars ($5,000.00) to a candidate for state office, to a candidate for municipal office in a municipality with a population of over two hundred fifty thousand (250,000) persons, according to the most recent Federal Decennial Census, to a candidate for county office in a county with a population of over two hundred fifty thousand (250,000) persons, according to the most recent Federal Decennial Census, or to a candidate committee authorized by such a candidate to receive contributions or make expenditures on his or her behalf, for any campaign; or 3. One Thousand Dollars ($1,000.00) to a candidate for other local office, or to a candidate committee authorized by such a candidate to receive contributions or make expenditures on his or her behalf, for any campaign. B. No candidate, candidate committee, or other committee shall knowingly accept contributions in excess of the amounts provided herein. C. These restrictions shall not apply to a committee supporting or opposing a ballot measure or local question or to a candidate making a contribution of his or her own funds to his or her own campaign. D. It shall be prohibited for a campaign contribution to be made to a particular candidate or committee through an intermediary or conduit for the purpose of: 1. Evading requirements of effective Rules of the Ethics Commission promulgated pursuant to Article XXIX of the Oklahoma Constitution or laws relating to the reporting of contributions and expenditures; or 2. Exceeding the contribution limitations imposed by subsection A of this section. Any person making a contribution in violation of this subsection or serving as an intermediary or conduit for such a contribution, upon conviction, shall be subject to the penalties prescribed in subsections E and F of this section. E. Any person who knowingly and willfully violates any provision of this section where the aggregate amount contributed exceeds the contribution limitation specified in subsection A of this section by Five Thousand Dollars ($5,000.00) or more, upon conviction, shall be guilty of a felony punishable by a fine of up to four times the amount exceeding the contribution limitation or by imprisonment in the State Penitentiary for up to one (1) year, or by both such fine and imprisonment. F. Any person who knowingly and willfully violates any provision of this section where the aggregate amount contributed is less than Five Thousand Dollars ($5,000.00) in excess of the contribution limitation specified in subsection A of this section, upon conviction, shall be guilty of a misdemeanor punishable by a fine of not more than three times the amount exceeding the contribution limitation or One Thousand Dollars ($1,000.00), whichever is greater, or by imprisonment in the county jail for up to one (1) year, or by both such fine and imprisonment. G. No lobbyist or lobbyist principal as defined in Section 4249 of Title 74 of the Oklahoma Statutes shall make or promise to make a contribution to, or solicit or promise to solicit a contribution for a member of the Oklahoma Legislature or a candidate for a state legislative office during any regular legislative session, beginning the first Monday in February, through its adjournment, and for five (5) calendar days following sine die adjournment. A member of the Oklahoma Legislature or a candidate for a state legislative office shall not intentionally solicit or accept a contribution from a lobbyist or lobbyist principal as defined in Section 4249 of Title 74 of the Oklahoma Statutes during any regular legislative session and for five (5) calendar days after sine die adjournment. For the purposes of this subsection, a candidate shall mean any person who has filed a statement of organization for a state legislative office pursuant to Oklahoma Statutes, Title 74, Chapter 62 Appendix, Rule 257:10- 1-8. H. Any person who knowingly and willfully violates any provision of subsection G of this section, upon conviction, shall be guilty of a misdemeanor punishable by a fine of not more than One Thousand Dollars ($1,000.00), or by imprisonment in the county jail for up to one (1) year, or by both such fine and imprisonment. Amended Laws 2008 [Subsections G and H effective November 1, 2008]. § 187.2. P r o h i b i t i o n o n c o r p o r a t e contributions to candidate campaigns–Penalties A. No corporation shall contribute to any campaign fund of any party committee of this state or to any other person for the benefit of such party committee or its candidates, nor shall it, through any agent, officer, representative, employee, attorney, or any other person or persons, so contribute. Nor shall any such corporation, directly or through such other person, 21 § 187.2 CRIMES AND PUNISHMENTS 8 O.S. 2001 make any loan of money or anything of value, or give or furnish any privilege, favor or other thing of value to any party committee, or to any representative of a party committee, or to any other person for it, or to any candidate upon the ticket of any political party. B. A corporation shall not make a contribution or expenditure to, or for the benefit of, a candidate or committee in connection with an election, except that this provision shall not apply to: (1) A campaign or committee solely for or against a ballot measure or local question; or (2) The establishment, administration, and solicitation of contributions to a political action committee to be utilized for political purposes by a corporation. C. No candidate, candidate committee, or other committee shall knowingly accept contributions given in violation of the provisions of subsection A or B of this section. D. The provisions of this section shall not apply to a bank, savings and loan association or credit union loaning money to a candidate in connection with his or her own campaign which is to be repaid with interest at a rate comparable to that of loans for equivalent amounts for other purposes. E. Any person who knowingly and willfully violates any provision of this section where the aggregate amount contributed exceeds Five Thousand Dollars ($5,000.00), upon conviction, shall be guilty of a felony punishable by a fine of up to four times the amount of the prohibited contribution or by imprisonment in the State Penitentiary for up to one (1) year, or by both such fine and imprisonment. F. Any person who knowingly and willfully violates any provision of this section where the aggregate amount contributed is Five Thousand Dollars ($5,000.00) or less, upon conviction, shall be guilty of a misdemeanor punishable by a fine of not more than three times the amount of the prohibited contribution or One Thousand Dollars ($1,000.00), whichever is greater, or by imprisonment in the county jail for up to one (1) year, or by both such fine and imprisonment. § 334. Contingent fees–Influencing legislation or official action No person may retain or employ a lobbyist, as defined in Section 6* of this act, for compensation contingent in whole or in part on the passage or defeat of any official action or the approval or veto of any legislation, issuance of an executive order or approval or denial of a pardon or parole by the Governor. No lobbyist may accept any employment or render any service for compensation contingent on the passage or defeat of any legislation or the approval or veto of any legislation by the Governor. Any person convicted of violating the provisions of this section shall be guilty of a felony punishable by a fine of not more than One Thousand Dollars ($1,000.00) or by imprisonment in the state penitentiary not exceeding two (2) years or by both such fine and imprisonment. *Section 4249 of Title 74 of the Oklahoma Statutes. § 360. Coercing political participation of state employees No public employee or public officer, as defined in Section 304 of Title 51 of the Oklahoma Statutes, shall directly or indirectly coerce, attempt to coerce, command, advise or direct any state employee to pay, lend or contribute any part of his or her salary or compensation, time, effort or anything else of value to any party, committee, organization, agency or person for political purposes. No public employee or official shall retaliate against any employee for exercising his or her rights or for not participating in permitted political activities as provided in Ethics Commission Rule 10-1- 4. Any person convicted of willfully 1 violating the provisions of this section shall be guilty of a felony and shall be punished by the imposition of a fine of not more than Ten Thousand Dollars ($10,000.00) or by imprisonment for not longer than two (2) years, or by both said fine and imprisonment. 1Title 74, Ch. 62, App. 1, 257:10-1-4. § 463. Offering forged or false instruments for record Any person who knowingly procures or offers any false or forged instrument to be filed, registered, or recorded in any public office within this state, which instrument, if genuine, might be filed or registered or recorded under any law of this state or of the United States, shall be guilty of a felony. Title 68 Oklahoma Statutes 2001, § 2358.3 § 2358.3. Income tax deduction for contribu-tions A person who contributes money to a political party or to a candidate or candidate committee shall be entitled to deduct the amount contributed, not to exceed One Hundred Dollars ($100.00) in any one tax year, from the person's adjusted gross income in the computation of Oklahoma income tax. CHAPTER 62. – ETHICS COMMISSION ACT Sections 4200 through 4219 and 4221 through 4248.1 have been repealed. Section 4220 has been recodified at Section 1840 of Title 21 of the Oklahoma Statutes. 9 STATE GOVERNMENT 74 § 4249 O.S. 2001 The following provisions became law per House Bill 1608, emergency effective July 1, 1995 4249. Definitions 4250. Lobbyists registrations–Termination 4251. Influencing legislation or official action– Fraud 4252. Appearance on floor of Legislature 4253. Use of registration forms and activities reports 4254. State officers or state employees– Additional Compensation for lobbying 4255. Violations–Penalties–Third and subse-quent violations 4256. Late fee assessments 4257. Employment of former members of board or commission–Violations– Penalties 4258. Revolving fund 4259. Committee registration 4260. Local candidates–Electronic reports § 4249. Definitions As used in Sections 6 through 12* of this act: 1. "Lobbying", or any derivative of the word, means any oral or written communication with a member of the Legislature, with the Governor, with a member of the Corporation Commission, with a member of the judiciary or with an employee of the Legislature, the Governor, the Corporation Commission or the judiciary on behalf of a lobbyist principal with regard to the passage, defeat, formulation, modification, interpretation, amendment, adoption, approval or veto of any legislation, rule, regulation, executive order or any other program, policy or position of the state government; provided, however, it shall not mean testimony given before, or submitted in writing to, a committee or subcommittee of the Legislature, nor a speech, article, publication or other material that is widely distributed, published in newspapers, magazines or similar publications or broadcast on radio or television; provided further, it shall not mean representation of himself or herself or a client by an attorney acting in a professional capacity as an attorney who has entered an appearance in a court proceeding or quasi-judicial proceeding or a legislative or quasi-judicial proceeding before the Corporation Commission; 2. "Lobbyist" means any individual who is employed or retained by another for financial or other compensation to perform services that include lobbying, other than an individual whose lobbying activities are only incidental to, and are not a significant part of, the services provided by such individual to the client, except the following individuals shall not be considered lobbyists: a. an individual appearing before a meeting of a legislative body or executive agency who receives no compensation for his or her appearance other than reimbursement from the state for expenses and who engages in no further or other lobbying, b. a public or federal official acting in his or her official capacity, c. a public employee acting on behalf of the governmental entity by which he or she is employed, and d. any person exercising his or her constitutional right to petition the government who is not specifically required by the provisions of Sections 6 through 11* of this act to register as a lobbyist and who receives no compensation or anything of value for lobbying; 3. "Lobbyist principal" means any person who employs or retains another person for financial or other compensation to conduct lobbying activities on behalf of the lobbyist principal; provided, however, it shall not mean any individual members, partners, officers or shareholders of a corporation, association, firm, joint venture, joint stock company, syndicate, business trust, estate, trust, company, partnership, limited partnership, organization, committee, or club, or a group of persons who are voluntarily acting in concert; 4. "Public member" means a member appointed to a compensated or uncompensated part-time position on a board, commission, council, authority, bureau, committee, state beneficial public trust, or other establishment of the executive, legislative or judicial branch of the State of Oklahoma. A public member shall not lose his status by receiving reimbursement of expenses or a per diem payment for services. A public member shall not include: a. members of advisory bodies to the legislative, executive, or judicial branch of state government, b. Postadjudication Review Board members appointed pursuant to Section 1116.2 of Title 10 of the Oklahoma Statutes, c. board members of guaranty associations created pursuant to state statute, and d. precinct inspectors, judges, clerks and counters; 5. "State employee" means: a. an elective or appointed officer or an employee of any state governmental entity, except members of the House of Representatives or State Senate; and 74 § 4249 STATE GOVERNMENT 10 O.S. 2001 & O.S. 2011 b. an employee, other than an adjunct professor, in the service of an institution of higher education comprising The Oklahoma State System of Higher Education. The term "state employee" shall not include a public member; and 6. "State officer" means an elective, appointed or employed officer, including a public member, in the executive, judicial or legislative branch of the State of Oklahoma. *Sections 4249 through 4255 of Title 74 of the Oklahoma Statutes. **Sections 4249 through 4254 of Title 74 of the Oklahoma Statutes. § 4250. Lobbyist registration–Termination A. Every lobbyist shall be required to register with the Ethics Commission no later than December 31 of each year or within five (5) days after engaging in lobbying on behalf of one or more lobbyist principals, and pay a registration fee of One Hundred Dollars ($100.00). All monies collected from this registration fee shall be deposited with the State Treasurer to the credit of the Ethics Commission Fund. B. Information contained on the lobbyist registration form shall be limited to the following: 1. The lobbyist's name and business address and telephone number; 2. The name and address of each lobbyist principal by whom the lobbyist is employed or retained; and 3. The date of the registration. All registrations filed under this section shall be certified. C. The registration of each lobbyist shall expire on December 31 of each year unless the annual registration fee as set forth in subsection A of this section is paid. The registration fee shall be payable from December 1 through 31 of each year. A lobbyist expenditure report shall be due at this time if such report was not filed for the previous reporting period. If the lobbyist was previously unregistered, then the fee is due within five (5) days after engaging in lobbying. The provisions of this section must be complied with before the Ethics Commission can renew a lobbying registration. D. Every lobbyist shall file a supplemental registration indicating any change in the information contained in the registration within twenty (20) days after the date of the change. A person who ceases to engage in lobbying shall file a written, verified statement with the Ethics Commission acknowledging the termination of activities. The notice shall be effective immediately upon filing. E. All registrations filed under this section shall be public records and shall be made available for public inspection pursuant to the Open Records Act. F. The Ethics Commission shall maintain registrations in a separate, alphabetical file and make such registrations available to the public for inspection. G. A person who files a notice of termination pursuant to the provisions of subsection D of this section shall file the reports required pursuant to the Rules of the Ethics Commission for any reporting period during which the person was registered at the time the notice of termination is effective. Amended Laws 2004 [Effective November 1, 2004]. § 4251. Influencing legislation or official action– Fraud No person required to be registered under Section 6* of this act may: 1. Knowingly or willfully make any false statement or representation of the facts to a member of the legislative branch, judicial branch or executive branch; or 2. Knowing a document to contain a false statement, cause a copy of the document to be received by a member of the legislative branch, judicial branch or executive branch without notifying such member in writing of the truth. *Section 4249 of Title 74 of the Oklahoma Statutes. § 4252. Appearance on floor of Legislature No lobbyist may go on the floor of either house of the Legislature while that house is in session, except on invitation of that house. § 4253. Use of registration forms and activities reports No information copied from registration forms required by Section 7* of this act or from lists compiled from such forms and reports shall be sold or utilized by any person for the purpose of soliciting campaign contributions or selling tickets to a testimonial or similar fund-raising affair or for any commercial purpose. *Section 4250 of Title 74 of the Oklahoma Statutes. § 4254. State officers or state employees– Additional compensation for lobbying No state officer or state employee shall receive any additional compensation or reimbursement from any person for personally engaging in lobbying, other than compensation or reimbursements provided by law for that member's job position. 11 STATE GOVERNMENT 74 § 4257 O.S. 2001 & O.S. 2011 § 4255. Violations–Penalties–Third and subse-quent violations A. Any person who knowingly and willfully violates any provision of Sections 5 through 11* of this act or Chapter 23 of the Rules of the Ethics Commission commits a misdemeanor. Nothing in Sections 5 through 11** of this act relieves a person of criminal responsibility under the laws of this state relating to perjury. B. Any person who knowingly and willfully violates any provision of Sections 5 through 11*** of this act or any provision of Chapter 23 of the Rules of the Ethics Commission a third and subsequent time, in addition to any other penalties provided herein, shall be prohibited from further lobbying as defined herein for a period of five (5) years. If any person having been so prohibited, lobbies while prohibited, such person shall be permanently prohibited from lobbying and shall be guilty of a felony. *Section 360 of Title 21 and Sections 4249 through 4254 of Title 74 of the Oklahoma Statutes. **Section 360 of Title 21 and Sections 4249 through 4254 of Title 74 of the Oklahoma Statutes. ***Section 360 of Title 21 and Sections 4249 through 4254 of Title 74 of the Oklahoma Statutes. § 4256. Late fee assessments A. Every candidate or candidate committee for state or county office and every other committee failing to file registrations and reports of contributions and expenditures or statements of inactivity on or before the days specified in Chapter 10 of the Rules of the Ethics Commission shall be assessed by the Ethics Commission a late filing fee of up to One Hundred Dollars ($100.00) for each day after a report of contributions and expenditures is due that said report remains unfiled; provided, the total amount of such fees assessed per report shall not exceed One Thousand Dollars ($1,000.00). B. Committees campaigning for or against an initiative or referendum petition, legislative referendum, or a state question who fail to file reports of contributions and expenditures on or before the days specified in Chapter 10 of the Rules of the Ethics Commission shall be assessed by the Ethics Commission a late filing fee of up to One Thousand Dollars ($1,000.00) for each day after a report of contributions and expenditures is due that said report remains unfiled; provided, the total amount of such fee assessed per report filing shall not exceed Ten Thousand Dollars ($10,000.00). C. Every person failing to file a statement of financial interests or financial disclosure statement on or before the days specified in Chapter 15 of the Rules of the Ethics Commission shall be assessed by the Ethics Commission a late filing fee of up to One Hundred Dollars ($100.00) for each day the statement remains unfiled; provided, the total amount of such fees assessed per statement shall not exceed One Thousand Dollars ($1,000.00). D. The treasurer, except for treasurers for candidates or candidate committees, may be liable for the late fee. Failure to file a registration, report or statement shall be deemed to be a separate offense for each day that the registration, report or statement remains unfiled after it becomes due. The first Twenty-five Thousand Dollars ($25,000.00) per calendar year derived from fees collected pursuant to the provisions of this section shall be deposited with the State Treasurer to the credit of the Ethics Commission Fund and any amount in excess of Twenty-five Thousand Dollars ($25,000.00) per calendar year shall be deposited in the General Revenue Fund. Candidates or candidate committees shall not pay such fees from campaign funds. Amended Laws 2004 [Effective November 1, 2004]. Amended Laws 2010, House Bill 2408, § 2, emerg. eff. July 1, 2010. § 4257. Employment of former members of board or commission–Violations–Penalties A. Except as otherwise provided for by this section, no state board or commission shall employ any former member of the board or commission. B. A state board or commission may employ a former member of the board or commission if at least one (1) year has passed since the term of office of the former member has expired or since the date the former member resigned from the board or commission. C. Notwithstanding subsection B of this section, a state board or commission may employ: 1. A state employee who is an ex officio member of that board or commission and who is required by law to be a member of that board or commission; or 2. A former statewide elected official who was an ex officio member of that board or commission if the former statewide elected official completed the term in office. This subsection shall not apply to a statewide elected official who is an ex officio member of a board or commission. D. Any person who willfully violates any provision of this section shall be guilty of a misdemeanor and upon conviction thereof shall be punished by a fine of not less than Fifty Dollars ($50.00) nor more than One Thousand Dollars ($1,000.00), or by imprisonment for not longer than six (6) months or by both such fine and imprisonment, and upon conviction shall be ineligible for appointment to or employment in a position in state service and, if at the time of conviction is an employee of the state, the employee shall forfeit the position. 74 § 4258 STATE GOVERNMENT 12 O.S. 2011 Amended Laws 2004 [Effective June 8, 2004]. § 4258. Revolving fund There is hereby created in the State Treasury a revolving fund for the Ethics Commission to be designated the "Ethics Commission Fund". The fund shall be a continuing fund, not subject to fiscal year limitations and shall consist of all copying fees, lobbyist registration fees, and committee registration fees received by the Commission. All monies accruing to the credit of the fund are hereby appropriated and may be budgeted and expended by the Commission for any expenses incurred in the implementation of this act.1 Expenditures from the fund shall be made upon warrants issued by the State Treasurer against claims filed as prescribed by law with the Director of State Finance for approval and payment. Amended Laws 2004 [Effective June 8, 2004]. § 4259. Committee registration A. As used in this section, “committee” means a political action committee or a party committee as defined in the rules of the Ethics Commission. Committee shall not include a candidate committee as defined in the rules of the Ethics Commission. B. Any committee which accepts contributions or makes expenditures in excess of Five Hundred Dollars ($500.00) in the aggregate in this state in a calendar year shall file a statement of organization with the Ethics Commission no later than five (5) days after accepting such contributions or making such expenditures. Each statement of organization shall be accompanied by a registration fee in the amount of Fifty Dollars ($50.00). C. A new statement of organization shall be filed by a committee each year the committee continues its registration. Such statements shall be filed between January 1 and January 31 of each year and shall be accompanied by the registration fee as set forth in subsection B of this section. The registration fee shall be received no later than January 31 of each year. D. Any campaign contribution and expenditure reports required to be filed by the rules of the Ethics Commission and which may not have been filed for the previous calendar year shall be filed by the committee at the same time the registration fee is paid. The Commission may not renew a registration until the committee is in compliance with the provisions of this section. A previously registered committee shall not accept contributions or make expenditures until such committee is in compliance with the provisions of this section. Amended Laws 2004 [Effective November 1, 2004]. § 4260. Local candidates–Electronic reports All candidates allowed to receive the maximum contribution of Five Thousand Dollars ($5,000.00), pursuant to paragraph 2 of subsection A of Section 187.1 of Title 21 of the Oklahoma Statutes, shall file a campaign contributions and expenditures report electronically with the Ethics Commission. The Ethics Commission shall make the report available online. The Ethics Commission shall consult with the Office of State Finance regarding an information technology services contract to comply with this section. Added Laws 2011 [Effective November 1, 2011]. 13 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2 CHAPTER 62. – APPENDIX TITLE 257. ETHICS COMMISSION Chapter Section 1. Administrative Operations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:1-1-1 10. Campaign Reporting.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:10-1-1 15. Personal Financial Disclosure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:15-1-1 20. Ethics and Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:20-1-1 23. Lobbying Disclosure.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:23-1-1 25. RESERVED 30. Investigations, Complaints, Settlements and Litigation. . . . . . . . . . . . . . . . 257:30-1-1 CHAPTER 1. ADMINISTRATIVE OPERATIONS Section 257:1-1-1. General purpose and authority 257:1-1-2. Definitions 257:1-1-3. Office and hours–Filing requirements 257:1-1-4. Prohibited acts 257:1-1-5. Conflicts of interest 257:1-1-6. Powers and responsibilities of Commission 257:1-1-7. Forms and publications 257:1-1-8. Availability of documents 257:1-1-9. Request for ethics interpretation 257:1-1-10. Request for rule adoption, amendment or repeal 257:1-1-11. Miscellaneous civil penalty provisions 257:1-1-12. Disclosure of confidential information 257:1-1-13. Effective date of this chapter 257:1-1-14. Applicability of rules 257:1-1-1. General purpose and authority (a) Intent. The Ethics Commission was instituted as the statutory administrator of the Ethics Commission Act, Section 4200 et seq. of Title 74 of the Oklahoma Statutes. It retains these powers and others, as enumerated herein. As a statement of its general purpose and authority, the Ethics Commission finds: (1) That the Commission is to promulgate rules of ethical conduct for campaigns for elective state office and for campaigns for initiative and referendum and rules of ethical conduct for state officers and state employees; (2) That the central function of this title is to prevent, rather than punish, unethical conduct. The Commission shall publish and make available to the public and to persons subject to this title explanatory information concerning this title, the duties imposed by it and the means of enforcing it. It shall also be the goal of the Commission to initiate and continue programs for the purpose of educating officers, employees, and citizens of this state on matters of ethics and government service. (b) Administration of title. The Ethics Commission, created in Section 1 of Article XXIX of the Oklahoma Constitution, shall administer this title with respect to campaigns for elective state office, for campaigns for initiatives and referenda and for state officers and state employees elected, appointed, or employed to serve in state government. (c) Powers and duties. The powers and duties of the Ethics Commission are set forth in Section 3 of Article XXIX of the Oklahoma Constitution and the Ethics Commission Act, Section 4200 et seq. of Title 74 of the Oklahoma Statutes. (d) Rules. In keeping with its authority and purpose, the Ethics Commission has promulgated rules to implement Section 3 of Article XXIX of the Oklahoma Constitution. Amended Laws 2009. 257:1-1-2. Definitions Masculine words, whenever used in this title, shall include the feminine and neuter, and the singular includes the plural, unless otherwise specified. In addition, the following words or terms, when used in this title, shall have the following meaning, unless the context clearly indicates otherwise: "Accept", with reference to a contribution, means failure by a candidate, treasurer, deputy treasurer or agent of a committee to expressly and unconditionally reject and return a tendered contribution to the contributor within six (6) business days from receipt of the tender. "Act" means the Ethics Commission Act, Section 4200 et seq. of Title 74 of the Oklahoma Statutes. "Address" means mailing address unless otherwise specified in this title. "Affiliated" or "Connected entity" means any entity which directly or indirectly establishes, administers or financially supports a political entity. 74, Ch. 62, App. STATE GOVERNMENT 14 257:1-1-2 ETHICS COMMISSION RULES O.S. 2011 "Anything of value", "Thing of value" or "Things of value" (1) These terms, to the extent that consideration of equal or greater value is not received, include the following: (A) a pecuniary item, including money, or a bank bill or note; (B) a promissory note, bill of exchange, order, draft, warrant, check, or bond given for the payment of money; (C) a contract, agreement, promise, or other obligation for an advance, conveyance, forgivenes s of indebtedness, deposit, distribution, loan, payment, gift, pledge, or transfer of money; (D) a stock, bond, note, or other investment interest in an entity; (E) a receipt given for the payment of money or other property; (F) a right in action; (G) a gift, tangible good, chattel, or an interest in a gift, tangible good, or chattel, except as provided in subparagraphs (C), (D) and (N) of Paragraph (2) of this definition; (H) a loan or forgiveness of indebtedness, except as otherwise provided in subparagraph (I) of Paragraph (2) of this definition; (I) a work of art, antique, or collectible; (J) an automobile or other means of personal transportation; (K) real property or an interest in real property, including title to realty, a fee simple or partial interest, present or future, contingent or vested in realty, a leasehold interest, or other beneficial interest in realty; (L) an honorarium or compensation for services, except as otherwise provided in subparagraph (M) of Paragraph (2) of this definition; (M) a rebate or discount in the price of anything of value or the sale or trade of something for reasonable compensation that would ordinarily not be available to a member of the public, except as provided in subparagraph (J) of Paragraph (2) of this definition; (N) a promise or offer of employment; (O) transportation, lodging or entertainment; or (P) any other thing of value not excluded by Paragraph (2) of this definition. (2) These terms do not include: (A) a campaign contribution properly received and reported; (B) any books, written materials, audio tapes, videotapes, or other informational promotional material related to the performance of a state officer's or state employee's official duties; (C) a gift that: (i) is not used, and (ii) no later than thirty (30) days after receipt, is returned to the donor or delivered to a charitable organization and is not claimed as a charitable contribution for federal income tax purposes; (D) a gift, devise, or inheritance from an individual's spouse, child, step-child, parent, step-parent, grandparent, step-grandparent, sibling, step-sibling, parent-in-law, sibling-in-law, nephew, niece, aunt, uncle, or first cousin or the spouse of that individual, if the donor is not acting as the agent or intermediary for someone other than a person covered by this subparagraph; (E) a plaque or trophy with a value that does not exceed two hundred dollars ($200); (F) modest items of food and refreshments, such as soft drinks, coffee, and donuts, offered other than as part of a meal; (G) food and beverage consumed on the occasion when participating in a charitable, civic, or community event, or at any event to which all members of the Legislature are invited, which bears a relationship to the state officer's or state employee's office and the officer or employee is attending in an official capacity; (H) greeting cards and items with little intrinsic value, such as certificates, which are intended solely for presentation; (I) loans from banks and other financial institutions on terms generally available to the public; (J) opportunities and benefits, including favorable rates and commercial discounts, available to the public or to a class consisting of all state government employees, whether or not restricted on the basis of geographic consideration; (K) rewards and prizes given to competitors in contests or events, including random drawings, which are open to the public; rewards and prizes from contests or events which are not open to the public are also excepted if the state officer's or state employee's entry into the contest is required as part of his official duties; (L) pension and other benefits resulting from participation in a retirement plan offered by an employer or former employer of a state officer or state employee; (M) anything which is paid for by the state government or secured by the state government under state government contract; (N) any gift accepted on behalf of the state of Oklahoma or a governmental entity by the Governor under Section 381 et seq. of Title 60 of the Oklahoma Statutes. In order to be deemed accepted, the Governor must be notified in writing of any gift received by a governmental 15 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2 entity, or person on behalf of a governmental entity, within ten (10) days of receipt of the gift. Notice of acceptance must be received from the Governor within the next thirty (30) days. Upon lack of a response from the Governor within the thirty (30) days of receipt of the notice, the gift is deemed rejected and must be returned to the donor; (O) anything for which market value is paid or secured by written contract to be paid by the state officer or state employee no later than 30 days of receipt; (P) transportation furnished to a state officer or state employee for the purpose of assisting the officer or employee in the performance of the officer's or employee's official duties and from which the officer or employee receives only incidental personal benefits ancillary to said purpose; (Q) food, transportation or entertainment provided by a governmental agency or governmental enterprise of a foreign nation as a gesture of hospitality; (R) prescription drugs or similar items given to the recipient for distribution to patients in need of treatment which are not used by the recipient; (S) a meal or other food served at a meeting at which the state officer or state employee is an invited guest; and (T) any gratuity provided at a meeting, conference, or seminar by sponsors, exhibitors, etc., the cost of which is not borne by a registrant to such meeting, conference, or seminar, and which is available to all registrants; and (U) any single item with a fair market value not exceeding Ten Dollars ($10.00) provided to a state officer or state employee during a calendar year; provided, if a donor provides more than one such item to a state officer or state employee during a calendar year, any such additional items shall not be subject to this exception; and (V) a ticket to the Speaker’s Ball. "Associated", when used with reference to an entity, includes an entity in which an individual or a member of his or her immediate family is a director, officer, fiduciary, trustee, agent, or partner, or owns or controls, in the aggregate, at least two percent (2%) or a value of five thousand dollars ($5,000) of the outstanding equity. "Ballot measure" means an initiative, referendum, legislative referendum, legislative initiative, state question, or any proposition or measure submitted to voters for their approval or rejection at a statewide election. "Business" means any corporation, limited liability company, partnership, limited liability partnership, limited partnership, sole proprietorship, firm, enterprise, franchise, association, self-employed individual, holding company, joint stock company, receivership, trust, or any legal entity through which business is conducted for profit. "Business day" means any day except a Saturday, Sunday or a legal holiday designated in Section 82.1 of Title 25 of the Oklahoma Statutes. "Campaign" means and includes all activities for or against the election of a candidate to a specific state office for a specific term or the passage or defeat of a ballot measure from the date of acceptance of the first contribution, the making of the first expenditure, or the filing of a declaration of candidacy, whichever is first, until a final campaign contributions and expenditures report is filed. "Campaign expenditure" is an expenditure not otherwise prohibited which is used to defray the costs of a candidate's campaign including, without limitation, advertising, travel and food while campaigning, and costs for campaign workers, whether paid or volunteers. "Candidate" means a person who seeks nomination or election to state office. An individual is a candidate when the individual: (1) has filed a declaration of candidacy for any state office with the Secretary of the State Election Board; (2) has filed a declaration of candidacy with the Secretary of State and has drawn active opposition; (3) is nominated as a "substitute candidate" pursuant to Section 1-105 of Title 26 of the Oklahoma Statutes; or (4) solicits or accepts contributions, makes expenditures or gives consent to an individual, organization, party committee, or other committee to solicit or accept contributions or make expenditures to secure election to any state office at any time, whether or not the office for which the individual will seek nomination or election is known when the: (A) solicitation is made; (B) contribution is accepted; or (C) expenditure is made. The term "candidate" shall include a person whose candidacy is unopposed. "Candidate committee" means the committee, consisting of one or more persons who may be the candidate only, designated by a candidate to promote the candidate's candidacy and serve as the recipient of all contributions and the disburser of all expenditures for the candidate. "Charitable organization" means an entity described in 501 (c) (3) of Title 26 of the United States Code, 26 U.S.C., Section 501 (c) (3), as it currently exists or as it may be amended. "Classified employee" means a state employee or a state employee on leave from employment who is under the jurisdiction of the Merit System of Personnel 74, Ch. 62, App. STATE GOVERNMENT 16 257:1-1-2 ETHICS COMMISSION RULES O.S. 2011 Administration as provided in the Oklahoma Personnel Act, Section 840.1 et seq. of Title 74 of the Oklahoma Statutes. “Clearly identified” means the candidate’s name, nickname, photograph or drawing appears, or the identity of the candidate is otherwise apparent including, but not limited to, an unambiguous reference such as “the Governor,” “your State Representative,” or “the incumbent,” or including, but not limited to, an unambiguous reference to his or her status as a candidate such as “the Democratic gubernatorial nominee” or “the Republican candidate for State Senate District No. 49 in Oklahoma”. "Commission" means the Ethics Commission. "Committee" means a candidate committee, political action committee, or party committee. "Compensation" (1) means: (A) an advance, conveyance, forgiveness of indebtedness, deposit, distribution, loan, payment, pledge, or transfer of money or anything of value; or (B) a contract, agreement, promise, or other obligation for an advance, conveyance, forgivenes s of indebtedness, deposit, distribution, loan, payment, pledge, or transfer of money or anything of value, for services rendered or to be rendered. (2) The term does not include reimbursement of expenses: (A) if the reimbursement: (i) does not exceed the amount expended for the expenses; and (ii) is substantiated by an itemization of expenses; or (B) if the reimbursement is authorized by law. “Congressional district” means a territorial division of the state of Oklahoma entitled to elect one member to the United States House of Representatives, "Contribution" (1) means and includes: (A) a gift, subscription, loan, guarantee or forgiveness of a loan, conveyance, advance, payment, distribution, or deposit of money or anything of value made to and with the knowledge and for the benefit of a committee, which expressly advocates the election or defeat of a clearly identified candidate or candidates or the passage or defeat of a ballot measure or ballot measures, or for reducing the debt of such committee; (B) an expenditure expressly advocating the election or defeat of a clearly identified candidate or candidates or the passage or defeat of a ballot measure or ballot measures made by a person or committee, other than a candidate committee, with the cooperation of, or in consultation with, a committee, a candidate, candidate committee, or candidate's agent or that is made in concert with, or at the request or suggestion of, a candidate, candidate committee, or candidate's agent; (C) the difference between the payment to a person, other than a candidate or committee, of compensation for personal services or products to the candidate or committee, and the reasonable and customary rate charged by the person for like services or products in like quantities when the candidate or committee has knowledge of the discounted services or products; (D) anything of value received by a committee that is transferred from another committee or other source; (E) sums paid for tickets for a political event such as a reception, rally, or a similar fundraising event; however, the amount of any such contribution may be reduced for the purpose of complying with the reporting and contribution limitations requirements of Chapter 10 of this title, by the actual cost of consumables furnished by the committee in connection with the purchase of the tickets, and only the excess over the actual cost of the consumables shall be deemed a contribution; (F) the candidate's own money used on behalf of that candidate's candidacy; and (G) the difference between the open market value and a discount or rebate: (i) not extended to the public generally; or (ii) by a television or radio station not extended equally to all candidates for the same office. (2) The term "contribution" shall not include: (A) the value of services provided without compensation by any individual who volunteers on behalf of a candidate or committee; (B) for purposes of the contribution limits set forth in Section 2 of Chapter 10, the transfer of any funds by a political action committee to an affiliated or connected political action committee or by a party committee to an affiliated or connected party committee, provided the committees have been established as provided by law and the transferring committee and the receiving committee have been established, directly or indirectly, and are administered or financially supported, directly or indirectly, by a common entity; or (C) any payment or obligation incurred by a corporation, labor organization, membership organization, cooperative or corporation without capital s toc k for the es tablishment, administration, and solicitation of contributions to a separate segregated fund or political action committee to be utilized for political purposes; 17 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2 (D) a nonreimbursed payment made by an individual for the individual's own travel expenses on behalf of a committee; (E) a payment made by an occupant of a residence or office for costs related to a meeting or fundraising event held in the occupant's residence or office if the costs for the meeting or fundraising event do not exceed five hundred dollars ($500). However, if the occupant hosts more than one (1) event in an election cycle for the same beneficiary, all subsequent payments that exceed five hundred dollars ($500) in the aggregate are contributions; (F) a loan of money made in the ordinary course of business by a financial institution authorized to transact business in this state at terms and interest rates generally available to a member of the public without regard to that person's status as a state officer or state employee or a candidate for state office by the institution; (G) a communication by a corporation, labor organization, or association aimed at its employees, members, owners, stockholders, directors, executive administrative personnel, or their families; (H) a tender of a contribution if the tender is not accepted, including use as collateral, or is transferred to the state as provided in Subsection (i) of Section 2 of Chapter 10 of this title; (I) the fair market value earnings of a sole proprietorship, partnership, limited partnership, limited liability partnership, or limited liability company; or (J) a communication which does not expressly advocate the election or defeat of a clearly identified candidate or candidates or the passage or defeat of a ballot measure or ballot measures. (3) If any person makes, or contracts to make, any disbursement for any electioneering communication as defined in this section; and such disbursement is coordinated with a: (A) candidate or authorized committee of such candidate, or agent or official of any such candidate, such disbursement or contracting shall be treated as a contribution to the candidate supported by the electioneering communication and as an expenditure by that candidate committee; (B) state or local political party or committee thereof, or agent or official of such political party, such disbursement or contracting shall be treated as a contribution to the political party of the candidate or candidates supported by the electioneering communication and as an expenditure by that candidate’s or candidates’ party; or (C) ballot measure committee, or an agent or official of any such ballot measure committee; such disbursement or contracting shall be treated as a contribution to the ballot measure committee supported by the electioneering communication and as an expenditure by that ballot measure committee. "Contributor" means and includes every person who makes a contribution. "Day" means calendar day, except that in instances where a report or other document is required to be filed with the Commission and the calendar day upon which such a report or document must be filed falls on a day other than a business day, any such report or document may be filed on the immediate next business day. “Economic interest��� means a personal financial interest in a state purchase, sale, lease, contract, option, or other transaction or arrangement involving property or services when the person who has the economic interest is taking action to influence the state purchase, sale, lease, contract, option, or other transaction or arrangement involving property or services. "Election" means a Primary, Run-off Primary, General, or Special Election in which a candidate or ballot measure is on the ballot. "Election board" means the State Election Board in reference to candidates who file a declaration of candidacy with the State Election Board. "Election cycle" means the period beginning the day after the General Election, up to and including the following General Election, including a Primary, Special Primary and the following Special General Election. “Electioneering communication” (1) means any communication or series of communications that is sent by handbill or direct mail; broadcast by radio, television, cable or satellite; or appear in a newspaper, magazine or on a billboard which – (A) refer to one candidate or one or more of the same clearly identified candidates for state office or one ballot measure or one or more of the same ballot measures; (B) are made within – (i) 60 days before a general or special election for the office sought by the candidate or candidates or the ballot measure or ballot measures; or (ii) 30 days before a primary or runoff primary election for the office sought by the candidate or candidates; and (C) are targeted to the relevant electorate; (2) does not mean – (A) a communication or series of communications appearing in a news story, 74, Ch. 62, App. STATE GOVERNMENT 18 257:1-1-2 ETHICS COMMISSION RULES O.S. 2011 commentary, or editorial distributed through the facilities of any broadcasting station, newspaper, magazine, or other periodical publication, unless such facilities are owned or controlled by any political party, political action committee, candidate, candidate committee or ballot measure committee; (B) a communication or series of communications which constitute an expenditure or an independent expenditure under this chapter; or (C) a communication or series of communications which constitute a candidate debate or forum or which solely promotes such a debate or forum and is made by or on behalf of the person sponsoring the debate or forum; (3) For purposes of this definition, a communication or series of communications which refer to one or more clearly identified candidates for state office or one or more ballot measures are ‘targeted to the relevant electorate’ if the communication or series of communications have been or can be received by – (A) 2,500 or more persons in the district the candidate seeks to represent in the case of a candidate for the Oklahoma State House of Representatives; (B) 5,000 or more in the district the candidate seeks to represent in the case of a candidate for district attorney, district judge, associate district judge, or the Oklahoma State Senate; or (C) 25,000 or more persons in the State of Oklahoma in the case of a candidate for a statewide elective office or ballot measure. "Elective officer" means an individual elected to a state office or an individual who is appointed to fill a vacancy in a state office. "Expenditure": (1) means a purchase, payment, distribution, loan, advance, compensation, reimbursement, fee deposit, transfer of funds between committees, or a gift made by a committee which is used to expressly advocate the election or defeat of a clearly identified candidate or candidates or the passage or defeat of a ballot measure or ballot measures. (2) An expenditure does not include the following: (A) a loan of money, made in the ordinary course of business, by a financial institution authorized to transact business in this state; (B) a communication by a corporation, labor organization, or association aimed at its employees, members, owners, stockholders, executive administrative personnel, or their families; (C) uncompensated services provided by an individual volunteering the individual's time; or (D) a transfer of funds to another committee if such transfer is not accepted; or (E) any news story, commentary, or editorial distributed through the facilities of any broadcasting station, newspaper, magazine, or other periodical publication, unless such facilities are owned or controlled by any political party, political action committee, candidate, candidate committee or ballot measure committee. "Expenditures incurred" means an amount owed to a creditor for purchase of delivered goods or completed services. "Family" means an individual, his or her spouse, if any, and all children under the age of eighteen (18) years residing in the same household. "Filer" means an individual who is required to file a report or statement pursuant to this title. "Gift" means "anything of value", as defined in this section, to the extent that consideration of equal or greater value is not received in exchange therefor. "Governmental entity" (1) means any department, commission, authority, council, board, bureau, committee, legislative body, agency, state beneficial public trust, or other establishment of the executive, legislative or judicial branch of the State of Oklahoma. (2) shall not mean entities of political subdivisions of the State of Oklahoma. "Immediate family" means a child under the age of eighteen (18) years residing in a state officer's or state employee's household, a spouse of a state officer or state employee, and an individual claimed by the state officer or state employee or the state officer's or state employee's spouse as a dependent for tax purposes. "Income" means any money or thing of value received, or to be received as a claim on future services, whether in the form of a fee, salary, gift, expense, allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, or any other form of recompense or any combination thereof; provided, the term "income" shall not include campaign contributions. "Independent expenditure" means an expenditure made by a person to advocate the election or defeat of a clearly identified candidate or candidates or a ballot measure or ballot measures, but which is not made to, controlled by, coordinated with, requested by, or made upon consultation with a candidate, committee, treasurer, deputy treasurer or agent of a candidate committee or a ballot measure committee. "In-kind contribution or expenditure" means goods or services provided to or by a person at no charge or for less than their fair market value, but shall not include services provided by a volunteer. “Judicial office” means all elective offices for district judge, associate district judge and offices for 19 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2 which declarations of candidacy are filed with the secretary of state. "Legislation" means a bill, resolution, amendment, nomination or other matter pending in either house of the Legislature; any other matter which may be the subject of action by either house of the Legislature, including the introduction, consideration, passage, defeat, approval or veto of the matter; or any matter pending in or which may be the subject of action by a constitutional convention. "Loan" means a transfer of money, property, guarantee, or anything of value in exchange for an obligation, conditional or not, to repay in whole or part. "Lobbying", or any derivative of the word thereof, means any oral or written communication with a member of the Legislature or with the Governor or with a member of the judiciary or with an employee of the Legislature or the Governor or the judiciary on behalf of a lobbyist principal with regard to the passage, defeat, formulation, modification, interpretation, amendment, adoption, approval or veto of any legislation, rules, regulation, executive order or any other program, policy or position of the state government; provided, however, it shall not mean testimony given before, or submitted in writing to, a committee or subcommittee of the Legislature, nor a speech, article, publication or other material that is widely distributed, published in newspapers, magazines or similar publications or broadcast on radio or television; provided further, it shall not mean representation of himself or a client by an attorney, acting in a professional capacity as an attorney, in a court proceeding or quasi-judicial proceeding. "Lobbyist" means any individual who is employed or retained by another for financial or other compensation to perform services that include lobbying, other than an individual whose lobbying activities are only incidental to, and are not a significant part of, the services provided by such individual to the client, except as exempted by Section 4228 of Title 74 of the Oklahoma Statutes or as it may hereafter be renumbered or recodified. "Lobbyist principal" means any person who employs or retains another person for financial or other compensation to conduct lobbying activities on behalf of the lobbyist principal; provided, however, it shall not mean any individual members, partners, officers or shareholders of a corporation, association, firm, joint venture, joint stock company, syndicate, business trust, estate, trust, company, partnership, limited partnership, organization, committee, or club, or a group of persons who are voluntarily acting in concert. "Official action" means any judicial, executive, legislative or administrative action which shall include, but is not limited to, the promulgation of rules and regulations and the setting of rates. "Organization" means a: (1) labor organization; (2) collective bargaining organization; (3) local, state, or national organization to which a labor organization pays membership or per capita fees, based upon its affiliation and membership; or (4) trade or professional association that receives its funds exclusively from membership dues or service fees, whether organized inside or outside the state. “Out-of-state”, with respect to a committee or person, means that the committee or person expends funds to influence an election to a partisan political office outside the State of Oklahoma and that, in the twelve-month period preceding the funding of an independent expenditure or elec tioneering communication in this state, seventy-five (75%) or more of the committee’s or person’s total funding spent was spent on elections outside the State of Oklahoma or on federal elections. "Participation" includes decision, approval, disapproval, recommendation, the rendering of advice, or vote. "Particular matter" includes a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, inquiry, investigation, charge, accusation, arrest, rulemaking, or legislation. "Party committee" means a political party or any affiliated or connected entity. "Person" means an individual, corporation, limited liability company, association, proprietorship, firm, partnership, limited liability partnership, limited partnership, joint venture, joint stock company, syndicate, business trust, estate, trust, company, organization, committee, or club, or a group of persons who are voluntarily acting in concert. "Political action committee" (1) means a combination of at least two individuals, or a person other than an individual: (A) with the primary purpose of: (i) expressly supporting or opposing a clearly identified candidate or candidates, or a party committee, except those required to file with the Federal Election Commission, or (ii) supporting or opposing a ballot measure; and (B) which accepts or gives contributions or makes expenditures from a joint account aggregating at least five hundred dollars ($500) during a calendar year. (2) does not include: (A) a party committee or a candidate committee; (B) a person other than an individual, when that person makes an expenditure or expenditures from an account to which contributions have not been solicited or accepted from any other persons or individuals; and, the expenditure or expenditures are required by 74, Ch. 62, App. STATE GOVERNMENT 20 257:1-1-2 ETHICS COMMISSION RULES O.S. 2011 these rules to be reported by the recipient committee or committees as a contribution or contributions; (C) a combination of individuals, or a person other than an individual, if the combination of individuals, or a person other than an individual, solicits contributions on behalf of a committee; and, any contributions received as a result of the solicitation are forwarded to the committee without being deposited in any account; and, the contributions are required by these rules to be reported by the committee that receives the contributions; (D) a corporation; or (E) a labor union. "Political party" means any political party so recognized for the purpose of having candidates appear on the ballot. "Public member" means a member appointed to a compensated or uncompensated part-time position on a board, commission, council, authority, bureau, committee, state beneficial public trust, or other establishment of the executive, legislative or judicial branch of the State of Oklahoma. (1) A public member does not lose this status by receiving reimbursement of expenses or a per diem payment for services. (2) A public member does not include: (A) members of advisory bodies to the legislative, executive, or judicial branch of state government; (B) Postadjudication Review Board members appointed pursuant to Section 1116.2 of Title 10 of the Oklahoma Statutes; (C) board members of guaranty associations created pursuant to state statute; and (D) precinct inspectors, judges, clerks and counters. "Registered lobbyist" means a person that has filed as a lobbyist with the Commission. "Represent" or "representation" means any formal or informal attendance before, or any written or oral communication with, or the filing of documents with any governmental entity on behalf of a person or organization whether gratuitous or for compensation. "Securities" means evidences of debts, property or obligations to pay money or of rights to participate in earnings and distribution of corporate trust, and other property, including but not limited to, stocks, bonds, notes, convertible debentures, warrants, or other documents that represent a share in a company or a debt owed by a company. "State employee" (1) means: (A) an elective or appointed officer or an employee of any governmental entity, except members of the House of Representatives or State Senate; and (B) an employee, other than an adjunct professor, in the service of an institution of higher education comprising the Oklahoma State System of Higher Education. (2) does not mean a public member. "State office" means all elective offices for which declarations of candidacy are filed with the Secretary of the State Election Board. "State officer" means an elective, appointed or employed officer, including a public member, in the executive, judicial or legislative branch of the State of Oklahoma. "Substantial financial interest" (1) means and includes, but is not limited to: (A) an interest that could result in directly or indirectly receiving a substantial pecuniary gain or sustaining a substantial pecuniary loss as a result of a person’s ownership or interest in a business entity, or as a result of a person’s salary, gratuity or other compensation or remuneration from any person, partnership, organization or association. (B) An ownership interest in a private business, closely held corporation or limited liability company for which the person or the person’s immediate family member is a director, officer, owner, manager, employee, or agent or any private business, closely held corporation or limited liability company in which the person or the person’s immediate family member owns or has owned stock, another form of equity interest, stock options, debt instruments, or has received dividends, worth one thousand dollars ($1,000.00) or more at any point during the preceding calendar year; (C) An ownership interest of five percent (5%) or more in a publicly held corporation by a person or the person’s immediate family member; (D) An ownership interest in a publicly held corporation from which dividends of one hundred thousand dollars ($100,000.00) or more were derived during the proceeding calendar year by the person or the person’s immediate family member; or (E) An interest which arises as a result of the person’s or the person’s immediate family member’s service as a director, officer, representative, agent or employee of a publicly held corporation within the preceding calendar year. (2) The term “substantial financial interest” shall not be construed to include: (A) An interest in a mutual fund or other community investment vehicle in which the person or the person’s immediate family member exercises no control over the vehicle’s acquisition or sale of particular holdings; or 21 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-5 (B) An interest in a pension plan, 401k, IRA or other retirement investment vehicle in which the person or the person’s immediate family member exercises no control over the vehicle’s acquisition or sale of particular holdings. "Surplus funds" arise: (1) when a candidate committee has an unexpended balance of funds not otherwise obligated for the purposes specified in Paragraph (1) of Subsection (a) of Section 20 of Chapter 10 of this title; or (2) when a committee formed to support or oppose a ballot measure has an unexpended balance of funds not otherwise obligated for any campaign expenditure; or (3) when a committee, other than a candidate committee or a ballot measure committee, has an unexpended balance of funds not otherwise obligated to further the committee's purposes. "Transfer" means the movement or exchange of anything of value between committees, except the disposition of surplus funds or material assets by a candidate committee to a party committee in accordance with the dissolution procedure in Sections 19 and 20 of Chapter 10 of this title. Amended Laws 1995. Amended Laws 1997. Amended Laws 1998. Amended Laws 1999. Amended Laws 2000. Amended Laws 2001. Amended Laws 2002. Amended Laws 2003. Amended Laws 2005. Amended Laws 2006. Amended Laws 2007. Amended Laws 2008. Amended Laws 2009. Amended Laws 2010. Amended Laws 2011. 257:1-1-3. Office and hours–Filing requirements (a) The principal office of the Ethics Commission is in B-5 State Capitol Building, Oklahoma City, Oklahoma 73105. The Office is open 8:00 a.m. to 5:00 o'clock p.m. each business day. (b) Except as otherwise provided by Sections 15 and 16 of Chapter 10 of this title, in order to be deemed timely filed, reports, registrations, statements or any other documents required to be filed with the Commission must be received by the Commission by hand, mail, facsimile transmission, telegram or express delivery service not later than 5:00 o'clock p.m. on the day specified for filing. (c) Except as otherwise specified by Sections 15 and 16 of Chapter 10 of this title, any act authorized, required, or permitted to be performed on a day other than a business day may be performed on the next succeeding business day, and no liability or loss of rights of any kind shall result from such delay. Amended Laws 1995. 257:1-1-4. Prohibited acts (a) No member or employee of the Commission, during the period of such membership or employment, shall: (1) hold or campaign for state or local office; (2) be an officer of any committee; (3) permit his name to be used, or make contributions, in support of or in opposition to any candidate or proposition; (4) participate in any way in any election campaign; provided, a member or employee of the Commission shall retain the rights to register and vote in any election, to express his opinion privately on political subjects or candidates, to participate in the activities of a civic, community, social, labor or professional organization and to be a member of a political party or committee; (5) lobby or assist a lobbyist, except as otherwise permitted in these rules; provided a member or employee of the Commission may lobby on matters directly affecting the Act or its rules promulgated pursuant to Article XXIX of the Oklahoma Constitution; (6) sell or cause to be sold, rent or lease either as an individual or through any nonpublicly traded business enterprise in which he holds a substantial financial interest, goods, services, buildings or property to the state or any county except by condemnation or threat of condemnation. A member or employee of the Commission holding a substantial financial interest in a business enterprise shall disqualify himself in any proceeding in which such interest might cause his impartiality to be reasonably questioned pursuant to the provisions of Section 5 of this chapter; (7) be employed by the state or any county in any other capacity, whether or not for compensation; (8) receive or agree to receive compensation for representing or assisting any person or business in any transaction involving the state or any county, except a court of law, or represent another person, firm, corporation or entity for a fee before any governmental entity, except a court of law; or (9) represent any person as an attorney before the Commission, provided that an employee of the Commission may act as a lawyer before the Commission in the course of the employee's official duties. (b) Nothing in this section shall prohibit members or employees of the Commission from performing the functions permitted under this title. 257:1-1-5. Conflicts of interest (a) Disqualification. A member of the Ethics Commission shall disqualify himself or be disqualified by the Commission in a proceeding in which his impartiality might reasonably be questioned, including but not limited to, instances where: (1) the member has a personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the proceeding; (2) the member knows that he or his spouse or child has an interest in the subject matter in 74, Ch. 62, App. STATE GOVERNMENT 22 257:1-1-5 ETHICS COMMISSION RULES O.S. 2011 controversy or in a party to the proceeding that could be substantially affected by the outcome of the proceeding; (3) the member or his spouse or a person within the third degree of consanguinity to either of them or the spouse of such person: (A) is a party to the proceeding, or an officer, director, or trustee of a party; (B) is known by the member to have an interest that could be substantially affected by the outcome of the proceeding; or (C) is to the member's knowledge likely to be a material witness in the proceeding; or (4) the member's spouse or a person within the third degree of consanguinity to either of them or the spouse of such person is representing any person as an attorney in the proceeding. (b) Knowledge of financial interests. A member of the Commission shall inform himself about his personal and fiduciary financial interests and make a reasonable effort to inform himself about the personal financial interests of his spouse and children. 257:1-1-6. Powers and responsibilities of Commission (a) Election of officers. In October of each year, or at the next Commission meeting after September, the Commission shall choose a chair and vice chair from among themselves. No member shall serve more than one consecutive year as chair. (b) Repository. The Commission shall serve as the official repository for statements of financial interests, statements of organization, last minute contributions reports, last minute independent expenditures reports, statements of inactivity, campaign contributions and expenditures reports, lobbyist expenditure reports and such other documents filed by committees, state officers, state employees, lobbyists and other persons as pertain to its duties. (c) Voluntary filings. The Commission shall accept and file any information voluntarily supplied that exceeds the requirements of this title; provided, the Commission shall not require the disclosure of any information other than as specifically provided by this title or which helps identify the filer or committee. (d) Distribution of forms. The Commission shall distribute, and make available for downloading from its website, forms upon which information shall be provided as required by this title and copies of Article XXIX of the Oklahoma Constitution and this title to the persons required to submit forms to all candidates, committees, officers, and employees required to submit or electronically transmit such forms. (e) Review of statements. The Commission shall review a random sample of registrations, reports and statements filed in accordance with this title for compliance with its provisions and notify the individual, if a candidate, or treasurer or, in the treasurer's absence, the deputy treasurer, if a committee other than a candidate committee, on whose behalf the report or statement is filed, or filer of any material omission or deficiency. (f) Availability of public records. The Commission shall make all registrations, reports and statements filed with it available to the public during regular business hours, subject to the Open Records Act, Section 24A.1 et seq. of Title 51 of the Oklahoma Statutes, within two (2) business days of receipt. No original or record copies of reports, registrations or statements shall be removed from the office of the Commission. No information or identification shall be required by the Commission as a condition of viewing or copying a registration, report or statement which is available to the public. (g) Preservation of documents. The Commission shall preserve such reports, registrations and statements in accordance with the Records Management Act, Section 201 et seq. of Title 67 of the Oklahoma Statutes, or for a period of at least five (5) years from date of receipt. (h) Ethics interpretations. The Commission may, in its discretion and where appropriate, issue ethics interpretations pertaining to the provisions of this title when requested by any person or committee who may be subject to the jurisdiction of the Commission. Before issuing an ethics interpretation, the Commission shall announce its consideration of an ethics interpretation at a meeting of the Commission, provide interested persons with a copy of the request for the ethics interpretation with sufficient deletions to prevent the disclosure of the identity of the person or persons involved in the situations presented in the request for the ethics interpretation, schedule and provide notice of a hearing on the request no fewer than thirty (30) days after the announcement and accept both written and oral comments on the request at the hearing. At least five (5) days before the hearing, Commission staff comments and/or draft ethics interpretations shall be made available to the public for comment. Should the Commission determine that a request requires a response more quickly than the notice and hearing would permit, the Commission may issue a confidential “emergency opinion” without notice and a hearing, and such an emergency opinion shall apply only to the person making the request and shall be limited to the specific fact situation included in the request. Notwithstanding the issuance of such an emergency opinion, the request for an ethics interpretation shall be scheduled for notice and hearing, the same as any other request. If the ethics interpretation thereafter adopted is different than the emergency opinion, the ethics interpretation shall be given prospective effect. The Commission shall make all ethics interpretations issued available to the public within thirty (30) days of the date of issuance. Provided, failure of a person to 23 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-7 request an ethics interpretation shall have no relevance in any subsequent proceeding under this title involving such person. Provided further, such interpretation shall be binding on the Commission in any subsequent proceeding under this title. The Commission shall publish its ethics interpretations annually; provided that sufficient deletions shall be made by the Commission in published ethics interpretations or ethics interpretations made available to the public to prevent the disclosure of the identity of the person or persons involved in the situations presented in the ethics interpretations. The executive director or the general counsel may issue informal written opinions, as time permits and with the prior approval of the chair or vice chair, pertaining to the provisions of this title on questions that are susceptible to a single analysis by the clear language of the rule and are not the subject of litigation, investigation or legislation. The Commission shall publish informal written opinions annually; provided that sufficient deletions shall be made by the Commission in published informal written opinions or informal written opinions made available to the public to prevent the disclosure of the identity of the person or persons involved in the situations presented in the informal written opinions. If the matter is subject to more than one analysis, the executive director or general counsel may give an oral opinion but shall inform the petitioner of the dual analysis and the need to request a formal ethics interpretation and shall provide the Commission with an account of the question or questions asked and the rule provision or provisions to which they pertain. (i) Hearings and subpoenas. The Commission shall, pursuant to this title and as specifically authorized by law, hold hearings, subpoena witnesses upon a vote of a majority of the members of the Commission, and compel their attendance and testimony, administer oaths and affirmations, take evidence, and require by subpoena the production of any books, papers, records, or other items relevant to the performance of the Commission's duties or exercise of its powers. (j) Investigations. The Ethics Commission shall conduct investigations and hearings concerning alleged violations of its rules governing ethical conduct for campaigns for elective state office, campaigns for initiatives and referenda and for ethical conduct of state officers and state employees and certify its own acts and records and determine whether to investigate and act upon an allegation. (k) Prosecution. The Commission shall, when it deems appropriate, prosecute in the district court of the county where the violation occurred violations of the provisions of this title governing ethical conduct of campaigns, state officers, state employees, and lobbyists. Where uncertainty exists as to the county in which the violation occurred, the Commission may prosecute in any county in which the evidence indicates the violation might have been committed. (l) Settlement. The Commission may settle allegations or investigations and accept payment of fines without court order. Fines paid shall be deposited with the State Treasurer to the credit of the General Revenue Fund of the State of Oklahoma. (m) Promulgate constitutional rules. After public hearing, the Commission shall promulgate rules of ethical conduct for campaigns for elective state office, for campaigns for initiatives and referenda and for state officers and employees, including civil penalties for violation of those rules, pursuant to the provisions of Section 3 of Article XXIX of the Oklahoma Constitution. An amendment, which is not sponsored by a commissioner, shall not be included in the draft of amendments subject to a final vote of the Commission. (n) Annual Report. No later than December 1 of each year, the Commission shall report to the five appointing authorities on the Commission's activities in the preceding fiscal year. The report shall contain the names and duties of each individual employed by the Commission and a summary of Commission determinations and ethics interpretations. The Commission shall prevent disclosure of the identity of a person involved in investigations, complaints or ethics interpretations. The report may contain other information on matters within the Commission's jurisdiction and recommendations for legislation as the Commission deems desirable. (o) The Ethics Commission may take other actions it deems appropriate to fulfill its constitutional or statutory duties. Amended Laws 1995. Amended Laws 1996. Amended Laws 1997. Amended Laws 1998. Amended Laws 2003. Amended Laws 2004. Amended Laws 2007. Amended Laws 2009. 257:1-1-7. Forms and publications The Executive Director shall devise or designate forms and form software and publications to conform with this title, subject to the approval of the Commission, which shall include, but not be limited to, the following forms and publications and shall make such forms, form software and publications available to the public: (1) Copy of Article XXIX of the Oklahoma Constitution and this title; (2) Statement of organization; (3) Campaign contributions and expenditures report; (4) Request for rule adoption, amendment or repeal; (5) Statement of inactivity; (6) Last minute contributions report; (7) Last minute independent expenditures report; (8) Contributor statement; (9) Statement of financial interests; (10) Lobbyist or other person gift report; 74, Ch. 62, App. STATE GOVERNMENT 24 257:1-1-7 ETHICS COMMISSION RULES O.S. 2011 (11) Request for ethics interpretation; (12) Prohibited acts of classified state employees; and (13) Notices, instructions, and educational manuals for filling out forms and complying with this title. Amended Laws 1996. 257:1-1-8. Availability of documents (a) Documents shall be available to the public for inspection between 8:00 a.m. and 5:00 o'clock p.m. on business days. (b) Persons wishing to photocopy documents in the custody of the Ethics Commission may do so in accordance with provisions of the Open Records Act. Photocopies of documents may be made upon payment of twenty-five cents ($.25) per page for each page of a document requested. The Executive Director may, in his or her discretion, require additional fee payment, as provided in the Open Records Act, to recover and photocopy documents requested. 257:1-1-9. Request for ethics interpretation (a) Any person who may be subject to the jurisdiction of the Commission, may request in writing an interpretation regarding the application of such rule to the facts or hypothetical set of facts furnished with the inquiry. Such request may be in the form of a petition for ethics interpretation. The petition shall state fully the facts of the situation of the requesting party as are or may be pertinent to the rule. Such person may request the assistance of the Commission's staff in complying with the requirements of this section. The Commission may respond, in its discretion and where appropriate, to such questions by assigning the request or inquiry to administrative staff for review. Thereafter, the Commission may make a final determination of the interpretation. The interpretation of the rule will be furnished in writing to the person making the request. (b) The Commission shall not issue ethics interpretations on matters it knows to be the subject of pending investigation, litigation or legislation. (c) The petition shall be in substantially the following form: BEFORE THE ETHICS COMMISSION In the matter of the petition No. (to be for Ethics Interpretation assigned by of staff) PETITION FOR ETHICS INTERPRETATION , a person who may be subject (Name of Petitioner) to the jurisdiction of the Commission states: The facts upon which this petition is based are as follows: (State facts in general terms and explain why question exists.) WHEREFORE, petitioner requests that the Commission review this petition and make a final determination of the interpretation requested and provide the interpretation in writing to petitioner. PETITIONER DATE: 257:1-1-10. Request for rule adoption, amendment or repeal All interested persons may ask the Commission to adopt, amend or repeal a rule; such request shall be in writing and filed with the Commission. The request shall set forth fully the reasons for its submission; the alleged need or necessity therefor, whether or not the proposal conflicts with any existing rule, and what, if any, statutory provisions are involved. Such persons may request the assistance of the Commission's staff in complying with the requirements of this section. Such request shall be considered by the Commission and, if approved, notice shall be given that such proposal will be formally considered for adoption. If, however, it is initially determined that the proposal or request is not a necessary adoption, amendment or repeal, the same shall be refused and the decision reflected in the records of the Commission. A copy shall be sent to the interested person who submitted the request. BEFORE THE ETHICS COMMISSION In the matter of the No. (to be petition for Rule assigned (Adoption, Amendment or by staff) Repeal) PETITION FOR RULE (ADOPTION, AMENDMENT OR REPEAL) , an interested person, (Name of Petitioner) requests that the Commission (adopt, amend or repeal) 25 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-11 the following: (if a request to adopt, amend or repeal, set out Rule in question) WHEREFORE, petitioner requests that the Commission consider this petition and approve the proposal submitted. PETITIONER DATE: 257:1-1-11. Misc e l lan eo u s c iv il penalty provisions (a) Civil penalties for violations of title. The Commission may recommend to the district court, and the district court, upon finding that a respondent has violated a provision of this title, may assess one of the following penalties: (1) Civil penalties for non-willful violations. A person who violates a provision of this title shall be liable for a civil penalty: (A) not to exceed one thousand dollars ($1,000) per violation for inadvertent disclosure violations in registrations, reports or statements filed under Chapters 10, 15, 20 and 23; (B) not to exceed two thousand dollars ($2,000) per violation, (i) for inadvertent failure to file registrations, reports, statements or changes in information relating to committee officer vacancies, or (ii) for inadvertent non-disclosure violations; (C) for inadvertent violations not included in Subparagraphs (A) or (B), not to exceed: (i) fifteen thousand dollars ($15,000) per violation, or (ii) an amount up to three (3) times the amount of the total amount of an unlawful contribution or expenditure, whichever is greater; and (2) Civil penalties for willful violations. A person who willfully violates a provision of this title shall be liable for one or more of the following civil penalties: (A) Fine. A fine not to exceed fifty thousand dollars ($50,000); (B) Administrative debarment. In the case of a state officer or state employee who has violated Chapter 20 of this title, the person may be prohibited, for not more than five (5) years, from making an oral or written communication or appearance before, with the intent to influence, the governmental entity in which the former officer or employee served; (C) Censure, suspension or removal from office. In the case of a: (i) state officer liable to impeachment, a recommendation to the House of Representatives that the officer be removed from office. (ii) state officer not subject to impeachment or a state employee in the classified or unclassified service, a recommendation to the appropriate appointing authority that the state officer or state employee be censured, suspended, or removed from office or employment. (iii) member of the state legislature, a recommendation to the presiding officer of the appropriate chamber of the legislature that the legislator be censured or subject to expulsion from office. (iv) judge not subject to impeachment, a recommendation to the Oklahoma Supreme Court that the judge be censured or removed from office. (3) Third and subsequent violations. A person who violates a provision of this title three or more times shall be liable for a fine not to exceed: (A) twenty-five thousand dollars ($25,000) per violation for inadvertent violations or fifty thousand dollars ($50,000) for willful violations, or (B) an amount up to three (3) times the amount of the total amount of an unlawful contribution or expenditure, whichever is greater. (4) For violations relating to or arising out of a candidacy. The Commission may recommend and the district court may, upon determination of a violation of a provision of Chapter 10 of this title, require the candidate, elective officer, or committee to: (A) forfeit a prohibited contribution or the excessive portion of a contribution to be deposited with the State Treasurer to the credit of the General Revenue Fund; or (B) return a prohibited contribution or the excessive portion of a contribution to the original contributor. (5) For violations of Chapter 20 or 23. The Commission may recommend and the district court may, upon determination of a violation of a provision of Chapter 20 or 23 of this title, subject the officer, employee, or lobbyist to the following: (A) forfeiture of gifts, receipts or profits obtained through a violation of Chapter 20 or 23 of this title; 74, Ch. 62, App. STATE GOVERNMENT 26 257:1-1-11 ETHICS COMMISSION RULES O.S. 2011 (B) voiding of a state action obtained through a violation of the Commission's rules; (C) civil penalties as set forth in this subsection; or (D) a combination of the penalties provided for in this paragraph. (b) Action by other governmental entities. Nothing in this section shall prevent a governmental entity from conducting its own investigation or taking its own disciplinary action as provided by law with respect to a violation committed by an officer or employee of such governmental entity. (c) Penalties to General Revenue Fund. A forfeiture, fine, reimbursement, penalty, or other property collected by the Commission as a penalty under this title shall be deposited with the State Treasurer to the credit of the General Revenue Fund. Tangible personal property other than money collected as a penalty or assessment under this title shall be deposited with and liquidated by the State Treasurer and the proceeds thereof deposited to the credit of the General Revenue Fund. (d) Liability. If two (2) or more persons are responsible for an inadvertent violation, they shall be equally liable for a proportionate share of the penalty. If two (2) or more persons are responsible for a willful violation, they shall be jointly and severally liable for said penalty. Amended Laws 1995. Amended Laws 2010, House Bill 2408, § 3, emerg. eff. July 1, 2010. 257:1-1-12. D i s c lo s u r e o f c o n f id e n t i a l information If the Commission, upon a vote of a majority of the members serving, determines that any information or record made confidential by the provisions of this title has been disclosed by a member or employee of the Commission, it shall immediately request that: (1) the member voluntarily resign from the Commission, or (2) the employee be terminated. 257:1-1-13. Effective date of this chapter The effective date of this chapter was July 1, 1994. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 6, 1995 was July 1, 1995. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 6, 1996 was July 1, 1996. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 3, 1997 was July 1, 1997. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 3, 1998 was July 1, 1998. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 1, 1999 was July 1, 1999. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 8, 2000 was July 1, 2000. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 5, 2001 was July 1, 2001. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 5, 2002 was July 1, 2002. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 3, 2003 was July 1, 2003. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 3, 2004 was July 1, 2004. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 7, 2005 shall be July 1, 2005. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 7, 2006 was July 1, 2006. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 5, 2007 and House Bill 2110 was July 1, 2007. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 5, 2008 was July 1, 2008. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 2, 2009 was July 1, 2009. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 2, 2010, was July 1, 2010. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 7, 2011, shall be July 1, 2011. Amended Laws 1995, Amended Laws 1996. Amended Laws 1997. Amended Laws 1998. Amended Laws 1999. Amended Laws 2000. Amended Laws 2001. Amended Laws 2002. Amended Laws 2003. Amended Laws 2004. Amended Laws 2005. Amended Laws 2006. Amended Laws 2007. Amended Laws 2008. Amended Laws 2009. Amended Laws 2010, including House Bill 2408, emerg. eff. July 1, 2010. Amended Laws 2011. 257:1-1-14. Applicability of rules The rules of this chapter are adopted pursuant to Article XXIX of the Oklahoma Constitution. The partial or total invalidity of any section or sections of this chapter, found by a court of competent jurisdiction, shall not affect the valid sections. 27 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:10-1-2 CHAPTER 10. CAMPAIGN REPORTING Section 257:10-1-1. General purpose and authority 257:10-1-2. Contributions 257:10-1-3. Use of public funds, property, time, and personnel to influence elections 257:10-1-4. Classified employees' political activity 257:10-1-5. Solicitation of and contributions by state employees 257:10-1-6. Limitation on fundraisers in Oklahoma County 257:10-1-7. Expenditures 257:10-1-8. Designation of candidate committees 257:10-1-9. Committee officers and agents 257:10-1-10. Campaign depositories and campaign accounts 257:10-1-11. Registration requirements 257:10-1-12. Statement of organization 257:10-1-13. Required reports of contributions and expenditures 257:10-1-14. Report contents 257:10-1-15. Report of last minute contributions/receipts 257:10-1-16. Report of last minute independent expenditures 257:10-1-17. Notification of filing obligation 257:10-1-18. Report filing requirements 257:10-1-19. Dissolution procedures 257:10-1-20. Use of campaign contributions and use of surplus funds 257:10-1-21. Effective date of this chapter 257:10-1-22. Applicability of rules 257:10-1-1. General purpose and authority The rules of this c
Object Description
Description
Title | Constitutional Ethics LAWS11 |
OkDocs Class# | E5100.4 C758e 2011 |
Digital Format | PDF, Adobe Reader required |
ODL electronic copy | Downloaded from agency website: <http://www.ok.gov/oec/documents/LAWS11.pdf> |
Rights and Permissions | This Oklahoma state government publication is provided for educational purposes under U.S. copyright law. Other usage requires permission of copyright holders. |
Language | English |
Full text | CONSTITUTIONAL AND STATUTORY PROVISIONS and CONSTITUTIONAL ETHICS RULES governing the ETHICAL CONDUCT of STATE OFFICERS AND EMPLOYEES and CAMPAIGNS for STATE OFFICE OR STATE ISSUES ***** EFFECTIVE JULY 1, 2011 2300 North Lincoln Boulevard, Room B5 ! Oklahoma City, Oklahoma 73105-4812 (405) 521-3451 ! FAX (405) 521-4905 ! WEBSITE www.ethics.ok.gov PREAMBLE This document contains the following: ! Article XXIX of the Oklahoma Constitution titled Ethics Commission; ! Canon 5 of Chapter 1, Appendix 4 of Title 5 of the Oklahoma Statutes [Code of Judicial Conduct] ! Section 48 of Title 17 of the Oklahoma Statutes; ! Sections 187, 187.1 and 187.2 of Title 21 of the Oklahoma Statutes; ! Sections 334, 360 and 463 of Title 21 of the Oklahoma Statutes; ! Section 2358.3 of Title 68 of the Oklahoma Statutes; ! Chapter 62–Ethics Commission Act [Sections 4200 through 4248.1 of Title 74 of the Oklahoma Statutes [repealed]; ! Chapter 62–statutes governing lobbying registration and activities, revolving fund and local candidates filing electronic reports [Sections 4249 through 4260 of the Oklahoma Statutes]; and ! Chapter 62–Appendix: Title 257. Ethics Commission [Sections 257:1-1-1 et seq. of the Rules of the Ethics Commission, 74 O.S. 2011, Ch. 62, App.] [the “Rules”]. Amendments adding or deleting language to the Rules and a synopsis of the amendments, which take effect July 1, 2011, are available on the agency’s website as “2011 Promulgated Rule Amendments" and “Synopsis of 2011 Promulgated Rule Amendments” at: WWW.ETHICS.OK.GOV Please note that the Ethics Commission has jurisdiction over the Political Subdivisions Ethics Act [for county campaigns and officeholders] and the Rules of the Ethics Commission only. The Commission has no jurisdiction to enforce other statutes, whether they carry civil or criminal penalties. Related statutes to the ethics of state officers or employees or state campaigns are included in this compilation for the convenience of the user. 1 CONSTITUTION OF OKLAHOMA Art. 29 § 3 O.S. 2001 ARTICLE XXIX. ETHICS COMMISSION 1. Ethics Commission–Appointments– Qualifications–Terms–Vacancies–Quorum 2. Appropriation–Compensation–Staff 3. Ethics Rules 4. Investigation–Decision–Subpoena Power 5. Ethics Interpretations 6. Criminal Penalties 7. Removal § 1. E th ic s Commis s io n –Ap p o in tmen ts – Qualifications–Terms–Vacancies–Quorum Ethics Commission–Appointments– Qualifications–Terms–Vacancies–Quorum A. There is hereby created the Ethics Commission which shall consist of five members. The Governor, Attorney General, President Pro Tempore of the Senate, Speaker of the House of Representatives, and Chief Justice of the Supreme Court shall each appoint a person who is a registered voter of this State to the Commission. The initial terms of the Governor's and Attorney General's appointees shall be one year; the initial terms of the President Pro Tempore's and Speaker's appointees shall be three years, and the initial term of the Chief Justice's appointee shall be five years. B. No congressional district shall be represented by more than one Commissioner, and no more than three persons of the same political registration shall serve on the Ethics Commission at the same time. C. After the initial terms, members of the Ethics Commission shall serve terms of five years. No person shall be appointed to the Commission more than two times in succession, except the initial members who serve less than five-year terms may be appointed three times in succession. A vacancy on the Commission shall be filled for the remainder of the unexpired term by the appointing authority. D. The members of the Commission shall choose a chair from among themselves. E. The term of office for a Commissioner shall commence at noon on the second Monday in July. F. No member of the Ethics Commission shall be eligible for elected office for two years after completing his or her term. G. A majority of the members serving shall constitute a quorum. § 2. Appropriation–Compensation–Staff Appropriation–Compensation–Staff A. The Ethics Commission shall receive an annual appropriation by the Legislature sufficient to enable it to perform its duties as set forth in this Constitutional Amendment. Any funds appropriated to the Ethics Commission, which remain unspent at the end of the fiscal year shall be returned to the general revenue fund. The Commission shall present its proposed budget to the Governor and the Legislature on the second day of each legislature session. B. The Commissioners shall receive reimbursement for travel, lodging, and meals while on official business as provided for other officers of the State, but they shall not be otherwise compensated. C. The Commission may employ an executive director and other staff, including attorneys, necessary to fulfill its duties. § 3. Ethics Rules Ethics Rules A. After public hearing, the Ethics Commission shall promulgate rules of ethical conduct for campaigns for elective state office and for campaigns for initiatives and referenda, including civil penalties for violation of these rules. B. After public hearing, the Ethics Commission shall promulgate rules of ethical conduct for state officers and employees, including civil penalties for violation of these rules. C. Newly promulgated rules shall be presented to each House of the Legislature and to the Governor on the second day of each session of the Legislature. If these rules are not disapproved by joint resolution, subject to veto by the Governor, during the same legislative session, they shall be effective. In the event the Governor vetoes a joint resolution disapproving any Ethics Commission's rules, the procedure shall be the same as for the veto of any other bill or joint resolution. Effective Ethics Commission rules shall be published in the official statutes of the State. D. Effective Ethics Commission rules may be repealed or modified by the Commission, and the repeal or modification shall be submitted to the Legislature and the Governor in the same manner as newly promulgated rules. Effective Ethics Commission rules may also be repealed or modified by law passed by a majority vote of each House of the Legislature. If the Governor vetoes such a law, the procedure shall Art. 29 § 3 CONSTITUTION OF OKLAHOMA 2 O.S. 2001 be the same as for the veto of any other bill or joint resolution. § 4. Investigation–Decision–Subpoena Power Investigation–Decision–Subpoena Power A. The Ethics Commission shall investigate and, when it deems appropriate, prosecute in the District Court of the County where the violation occurred violations of its rules governing ethical conduct of campaigns, state officers, and state employees. Where uncertainty exists as to the County in which the violation occurred, the Commission may prosecute in any County in which the evidence indicates the violation might have been committed. The Court may assess penalties for violation of ethical standards established by the Commission as provided in the Commission's rules. The Commission may settle investigations and accept payment of fines without Court order. Fines paid shall be deposited in the general revenue fund of the State. B. The Commission shall also enforce other ethics laws as prescribed by law. C. For purposes of its investigations, the Ethics Commission shall have subpoena power. § 5. Ethics Interpretations Ethics Interpretations. The Ethics Commission may respond, pursuant to its rules, to questions of specific individuals seeking an interpretation of the Commission's rules governing ethical conduct for campaigns, state officers, or state employees. Any such official interpretation of ethics rules shall be binding on the Commission. § 6. Criminal Penalties Criminal Penalties. This Article shall not prevent enactment of laws prohibiting certain conduct by political candidates, government officers, government employees, or other persons and providing criminal penalties for such conduct. It also shall not prevent enactment of laws governing ethical conduct of local political subdivision officers and employees, nor shall it prevent enactment of law governing conditions of state government employment. § 7. Removal Removal. A Commissioner shall only be removed from office pursuant to the provisions of Article VIII of this Constitution. Title 17 Oklahoma Statutes 1996, § 48 § 48. Transportation, presents, or gratuities to Corporation Commissioners or employees prohibited–Exceptions A. No person who is subject to the regulations of the Corporation Commission, or has interests in any firm, corporation or business which is subject to regulation by the Corporation Commission shall furnish transportation, presents, or gratuities other than as provided by the Rules of the Ethics Commission to any member of the Corporation Commission or any employee thereof; provided, however, during a period beginning one hundred twenty (120) days prior to a primary election, through one hundred twenty (120) days following the general election, any person may make contributions not otherwise prohibited by the Rules of the Ethics Commission to the cost of any current candidate's political campaign. It shall be unlawful for any such member or employee to knowingly accept any such transportation, presents or gratuities from any such person, firm or association. B. A violation of the provisions of this section shall, upon conviction, be punishable as a misdemeanor. Title 5, Attorneys and State Bar Code of Judicial Conduct Canon 5. A judge or judicial candidate should refrain from inappropriate political activity 1. A. All Judges 1 and Candidates. (1) Except as authorized herein a judge or a candidate for election or appointment to judicial office should not: (a) act as a leader of or hold an office in political organization; (b) publicly endorse or publicly oppose another candidate for public office; (c) make speeches on behalf of a political organization or candidate or publicly endorse a candidate for public office; or (d) solicit funds for, or pay an assessment to or make a contribution to a political organization or candidate, or purchase tickets for political party dinners or other functions. (2) A judge should resign from judicial office upon becoming a candidate for a non-judicial office either in a primary or in a general election, except that the judge may continue to hold judicial office while being a candidate for election to or serving as a delegate in a 3 ATTORNEYS AND STATE BAR 5, Ch. 1, App. 4 O.S. 2011 Code of Judicial Conduct Canon 5 state constitutional convention if the judge is otherwise permitted by law to do so. (3) A candidate for judicial office: (a) should maintain the dignity appropriate to judicial office and act in a manner consistent with the integrity and independence of the judiciary, and should encourage members of the candidate’s family to adhere to the same standards of political conduct in support of the candidate as apply to the candidate; (b) should prohibit employees and officials who serve at the pleasure of the candidate, and should discourage other employees and officials subject to the candidate’s direction and control from doing on the candidate’s behalf what the candidate is prohibited from doing under the Sections of this Canon; (c) except to the extent permitted by Section 5C(2), should not authorize or knowingly permit any other person to do for the candidate what the candidate is prohibited from doing under the Sections of this Canon; (d) should not: (i) with respect to cases, controversies, or issues that are likely to come before the court, make pledges, promises or commitments that are inconsistent with impartial performance of the adjudicative duties of the office, or (ii) knowingly misrepresent the identity, qualifications, present position or other fact concerning the candidate or opponent; (e) may respond to personal attacks or attacks on the candidate’s record as long as the response does not violate Section 5A(3)(d); B. Candidates Seeking Appointment to Judicial or Other Governmental Office. (1) A candidate for appointment to judicial office or a judge seeking other governmental office should not solicit or accept funds, personally or through a committee or otherwise, to support his or her candidacy. (2) A candidate for appointment to judicial office or a judge seeking other governmental office should not engage in any political activity to secure the appointment except that: (a)2 such persons may: (i) communicate with the appointing authority, including any selection or nominating commission designated to screen candidates, or members thereof; (ii) seek support or endorsement for the appointment from organizations that regularly make recommendations for reappointment or appointment to the office, and from individuals to the extent requested or required by those specified in Section 5B(2)(a); and (iii) provide to those specified in Sections 5B(2)(a)(i) and 5B(2)(a)(ii) information as to his or her qualifications for the office. C. Judges and Candidates Subject to Public Election. (1) A judge or candidate subject to public election may, except as prohibited by law: (a) speak to gatherings on his or her own behalf; (b) appear in newspaper, television and other media advertisements supporting his or her candidacy; (c) distribute pamphlets and other promotional campaign literature supporting his or her candidacy; and (d) publicly endorse or publicly oppose other candidates for the same judicial office in a public election in which the judge or judicial candidate is running. (2) A candidate should not personally solicit campaign contributions or personally solicit publicly stated support. A candidate may, however, establish committees of responsible persons to conduct campaigns for the candidate through media advertisements, brochures, mailings, candidate forums and other means not prohibited by law. Such committees may solicit and accept reasonable campaign contributions, manage the expenditure of funds for the candidate’s campaign and obtain public statements of support for his or her candidacy. Such committees are not prohibited from soliciting and accepting reasonable campaign contributions and public support from lawyers. A candidate’s committees may solicit and/or accept contributions and public support for the candidate’s campaign no earlier than 90 days before an election filing period and no later than 30 days after the last election in which the candidate participates during the election year. A candidate should not use or permit the use of campaign contributions for the private benefit of the candidate or others. 5, Ch. 1, App. 4 ATTORNEYS AND STATE BAR 4 Canon 5 Code of Judicial Conduct O.S. 2011 D. Incumbent Judges on Retention Ballot. An incumbent judge or justice who is a candidate for retention in or re-election to office without a competing candidate, and whose candidacy has drawn active opposition, may campaign in response thereto and may obtain publicly stated support and campaign funds in the manner provided herein. E. Applicability. Canon 5 generally applies to all incumbent judges and judicial candidates. A successful candidate, whether or not an incumbent, is subject to judicial discipline for his or her campaign conduct; an unsuccessful candidate who is a lawyer is subject to lawyer discipline for his or her campaign conduct. F. On October 5, 1998, and in all judicial elections thereafter, within ten (10) days after formally announcing and/or qualifying for election or re-election to any judicial office in this state (whichever is earlier), all candidates, including incumbent judges, shall forward written notice of such candidacy, together with an appropriate mailing address, to the Administrative Director of the Courts. Upon receipt of such notice, the Administrative Director shall cause to be distributed to all such candidates by Registered Mail, Return Receipt Requested, copies of the following: Canon 5 of the Code of Judicial Conduct; summaries of all previous Formal Advisory Opinions, if any, issued by the Judicial Ethics Panel which relate in any way to campaign conduct and practices; and a form acknowledgment which each candidate shall promptly return to the Administrative Director of the Courts and therein certify that he/she has read and understands the material forwarded and agrees to be bound by such standards during the course of the campaign. A FAILURE TO COMPLY W ITH THIS SECT ION SHAL L CONSTITUTE A PER SE VIOLATION OF CANON 5. Upon request, the documents executed by a candidate for judicial election in accordance with this rule shall be made available to General Counsel of the Oklahoma Bar Association, the Panel on Judicial Elections, the Council on Judicial Complaints, and the Oklahoma Supreme Court. Effective November 1, 1997. Amended by orders of Oct. 5, 1998; Jan. 17, 2006, eff. March 6, 2006. 1. So in original. 2. So in original; there is no subparagraph (b). Title 21 Oklahoma Statutes 2001 187. Definitions 187.1 Limitations on campaign contributions 187.2 Prohibition on corporate contributions to candidate campaigns–Penalties 334. Contingent fees–Influencing legislation or official action 360. Coercing political participation of state employees 463. Offering forged or false instruments for record § 187. Definitions As used in Sections 1 through 3*of this act: 1. "Accept", with reference to a contribution, means failure by a candidate, treasurer, deputy treasurer or agent of a committee to expressly and unconditionally reject and return a tendered contribution to the contributor within six (6) business days from receipt of the tender; 2. "Ballot measure" means an initiative, referendum, legislative referendum, legislative initiative, state question, or any proposition or measure submitted to voters for their approval or rejection at a statewide election; 3. "Campaign" means and includes all activities for or against the election of a candidate to a specific state office or local office for a specific term or the passage or defeat of a ballot measure from the date of acceptance of the first contribution, the making of the first expenditure, or the filing of a declaration of candidacy, whichever is first, until a final campaign contributions and expenditures report is filed; 4. "Candidate" means a person who seeks nomination or election to state or local office. An individual is a candidate when the individual: a. has filed a declaration of candidacy for any state office with the Secretary of the State Election Board; b. has filed a declaration of candidacy for any local office with the secretary of any county election board, c. has filed a declaration of candidacy with the Secretary of State and has drawn active opposition, d. is nominated as a "substitute candidate" pursuant to Section 1-105 of Title 26 of the Oklahoma Statutes; or e. solicits or accepts contributions, makes expenditures or gives consent to an individual, organization, party committee, or other committee to solicit or accept contributions or make expenditures to secure election to any state office at any time, whether or not the office for which the individual will seek nomination or election is known when the: (1) solicitation is made, (2) contribution is accepted, or 5 CRIMES AND PUNISHMENTS 21 § 187 O.S. 2011 (3) expenditure is made. The term "candidate" shall include a person whose candidacy is unopposed; 5. "Candidate committee" means the committee, consisting of one or more persons who may be the candidate only, designated by a candidate to promote the candidate's candidacy and serve as the recipient of all contributions and the disburser of all expenditures for the candidate. 6. "Committee" means a candidate committee, political action committee, or party committee; 7. a. "Contribution" means and includes: (1) a gift, subscription, loan, guarantee or forgiveness of a loan, conveyance, advance, payment, distribution, or deposit of money or anything of value made to and with the knowledge and for the benefit of a committee for use in a campaign, or for reducing the debt of a committee, (2) an expenditure made by a person or committee, other than a candidate committee, with the cooperation of, or in consultation with, a committee, a candidate, candidate committee, or candidate's agent or that is made in concert with, or at the request or suggestion of, a candidate, candidate committee, or candidate's agent, (3) the difference between the payment to a person, other than a candidate or committee, of compensation for personal services or products to the candidate or committee, and the reasonable and customary rate charged by the person for like services or products in like quantities when the candidate or committee has knowledge of the discounted services or products, (4) anything of value received by a committee that is transferred from another committee or other source, (5) sums paid for tickets for a political event such as a reception, rally, or a similar fundraising event; however, the amount of any such contribution may be reduced for the purpose of complying with the reporting and contribution limitations requirements of Section 2 of this act, * by the actual cost of consumables furnished by the committee in connection with the purchase of the tickets, and only the excess over the actual cost of the consumables shall be deemed a contribution, (6) the candidate's own money used on behalf of that candidate's candidacy; and (7) the difference between the open market value and a discount or rebate: (a) not extended to the public generally, or (b) by a television or radio station not extended equally to all candidates for the same office. b. The term "contribution" shall not include: (1) the value of services provided without compensation by any individual who volunteers on behalf of a candidate or committee, (2) for purposes of the contribution limits set forth in Section 2* of this act, the transfer of any funds by a political action committee to another political action committee, provided the committees have been established as provided by law and the transferring committee and the receiving committee have been established, directly or indirectly, and are administered or financially supported, directly or indirectly, by a common entity, (3) any payment or obligation incurred by a corporation, labor organization, membership organization, cooperative or corporation without capital stock for the establishment, administration, and solicitation of contributions to a separate segregated fund or political action committee to be utilized for political purposes, (4) a nonreimbursed payment made by an individual for the individual's own travel expenses on behalf of a committee, (5) a payment made by an occupant of a residence or office for costs related to a meeting or fundraising event held in the occupant's residence or office if the costs for the meeting or fundraising event do not exceed Five Hundred Dollars ($500.00). However, if the occupant hosts more than one event in an election cycle for the same beneficiary, all subsequent payments that exceed Five Hundred Dollars 21 § 187 CRIMES AND PUNISHMENTS 6 O.S. 2011 ($500.00) in the aggregate are contributions, (6) a loan of money made in the ordinary course of business by a financial institution authorized to transact business in this state at terms and interest rates generally available to a member of the public without regard to that person's status as a state or local officer or state or local employee or a candidate for state or local office by the institution, (7) a communication by a corporation, labor organization, or association aimed at its members, owners, stockholders, directors, executive administrative personnel, or their families, or (8) a tender of a contribution if the tender is not accepted, including use as collateral, or is transferred to the state as provided in Rule 10-1-2 of the Rules of the Ethics Commission, 74 O.S. Supp. 1994, Chapter 62, App.; 8. "Expenditure" means a purchase, payment, dis tribution, loan, advance, compensation, reimbursement, fee deposit, transfer of funds between committees, or a gift made by a committee. An expenditure does not include the following: a. a loan of money, made in the ordinary course of business, by a financial institution authorized to transact business in this state, b. a communication by a corporation, labor organization, or association aimed at its members, owners, stockholders, executive administrative personnel, or their families, except a communication by the corporation's political action committee promoting or opposing a candidate or candidates, c. uncompensated services provided by an individual volunteering the individual's time, or d. a transfer of funds to another committee if such transfer is not accepted; 9. "Family" means an individual, his or her spouse, if any, and all children under the age of eighteen (18) years residing in the same household; 10. "Local office" means all elective offices for which a declaration of candidacy is filed with the secretary of any county election board; 11. "Party committee" means a political party or any affiliated or connected entity; 12. "Person" means an individual, corporation, association, proprietorship, firm, partnership, limited partnership, joint venture, joint stock company, syndicate, business trust, estate, trust, company, organization, committee, or club, or a group of persons who are voluntarily acting in concert; 13. "Political action committee": a. means a combination of at least two individuals, or a person other than an individual: (1) with the primary purpose of: (a) supporting or opposing a candidate or candidates, or a party committee, except those required to file with the Federal Election Commission, or (b) supporting or opposing a ballot measure, and (2) which accepts or gives contributions or makes expenditures from a joint account aggregating at least Five Hundred Dollars ($500) during a calendar year, and b. does not include: (1) a party committee or a candidate committee, (2) a person other than an individual, when that person makes an expenditure or expenditures from an account to which contributions have not been solicited or accepted from any other persons or individuals; and the expenditure or expenditures are required by law or by Chapter 10 of the Rules of the Ethics Commission to be reported by the recipient committee or committees as a contribution or contributions, and (3) a combination of individuals, or a person other than an individual, if the combination of individuals, or a person other than an individual, solicits contributions on behalf of a committee, and any contributions received as a result of the solicitation are forwarded to the committee without being deposited in any account; and, the contributions are required by law or by Chapter 10 of the Rules of the Ethics Commission to be reported by the committee that receives the contributions; 14. "Political party" means any political party so recognized for the purpose of having candidates appear on the ballot; and 7 CRIMES AND PUNISHMENTS 21 § 187.2 O.S. 2001 15. "State office" means all elective offices for which declarations of candidacy are filed with the Secretary of the State Election Board. *Section 187, 187.1 and 187.2 of Title 21 of the Oklahoma Statutes. § 187.1. L i m i t a t i o n s o n c a m p a i g n contributions A. No person or family may contribute more than: 1. Five Thousand Dollars ($5,000.00) in any calendar year to a committee other than a candidate committee; 2. Five Thousand Dollars ($5,000.00) to a candidate for state office, to a candidate for municipal office in a municipality with a population of over two hundred fifty thousand (250,000) persons, according to the most recent Federal Decennial Census, to a candidate for county office in a county with a population of over two hundred fifty thousand (250,000) persons, according to the most recent Federal Decennial Census, or to a candidate committee authorized by such a candidate to receive contributions or make expenditures on his or her behalf, for any campaign; or 3. One Thousand Dollars ($1,000.00) to a candidate for other local office, or to a candidate committee authorized by such a candidate to receive contributions or make expenditures on his or her behalf, for any campaign. B. No candidate, candidate committee, or other committee shall knowingly accept contributions in excess of the amounts provided herein. C. These restrictions shall not apply to a committee supporting or opposing a ballot measure or local question or to a candidate making a contribution of his or her own funds to his or her own campaign. D. It shall be prohibited for a campaign contribution to be made to a particular candidate or committee through an intermediary or conduit for the purpose of: 1. Evading requirements of effective Rules of the Ethics Commission promulgated pursuant to Article XXIX of the Oklahoma Constitution or laws relating to the reporting of contributions and expenditures; or 2. Exceeding the contribution limitations imposed by subsection A of this section. Any person making a contribution in violation of this subsection or serving as an intermediary or conduit for such a contribution, upon conviction, shall be subject to the penalties prescribed in subsections E and F of this section. E. Any person who knowingly and willfully violates any provision of this section where the aggregate amount contributed exceeds the contribution limitation specified in subsection A of this section by Five Thousand Dollars ($5,000.00) or more, upon conviction, shall be guilty of a felony punishable by a fine of up to four times the amount exceeding the contribution limitation or by imprisonment in the State Penitentiary for up to one (1) year, or by both such fine and imprisonment. F. Any person who knowingly and willfully violates any provision of this section where the aggregate amount contributed is less than Five Thousand Dollars ($5,000.00) in excess of the contribution limitation specified in subsection A of this section, upon conviction, shall be guilty of a misdemeanor punishable by a fine of not more than three times the amount exceeding the contribution limitation or One Thousand Dollars ($1,000.00), whichever is greater, or by imprisonment in the county jail for up to one (1) year, or by both such fine and imprisonment. G. No lobbyist or lobbyist principal as defined in Section 4249 of Title 74 of the Oklahoma Statutes shall make or promise to make a contribution to, or solicit or promise to solicit a contribution for a member of the Oklahoma Legislature or a candidate for a state legislative office during any regular legislative session, beginning the first Monday in February, through its adjournment, and for five (5) calendar days following sine die adjournment. A member of the Oklahoma Legislature or a candidate for a state legislative office shall not intentionally solicit or accept a contribution from a lobbyist or lobbyist principal as defined in Section 4249 of Title 74 of the Oklahoma Statutes during any regular legislative session and for five (5) calendar days after sine die adjournment. For the purposes of this subsection, a candidate shall mean any person who has filed a statement of organization for a state legislative office pursuant to Oklahoma Statutes, Title 74, Chapter 62 Appendix, Rule 257:10- 1-8. H. Any person who knowingly and willfully violates any provision of subsection G of this section, upon conviction, shall be guilty of a misdemeanor punishable by a fine of not more than One Thousand Dollars ($1,000.00), or by imprisonment in the county jail for up to one (1) year, or by both such fine and imprisonment. Amended Laws 2008 [Subsections G and H effective November 1, 2008]. § 187.2. P r o h i b i t i o n o n c o r p o r a t e contributions to candidate campaigns–Penalties A. No corporation shall contribute to any campaign fund of any party committee of this state or to any other person for the benefit of such party committee or its candidates, nor shall it, through any agent, officer, representative, employee, attorney, or any other person or persons, so contribute. Nor shall any such corporation, directly or through such other person, 21 § 187.2 CRIMES AND PUNISHMENTS 8 O.S. 2001 make any loan of money or anything of value, or give or furnish any privilege, favor or other thing of value to any party committee, or to any representative of a party committee, or to any other person for it, or to any candidate upon the ticket of any political party. B. A corporation shall not make a contribution or expenditure to, or for the benefit of, a candidate or committee in connection with an election, except that this provision shall not apply to: (1) A campaign or committee solely for or against a ballot measure or local question; or (2) The establishment, administration, and solicitation of contributions to a political action committee to be utilized for political purposes by a corporation. C. No candidate, candidate committee, or other committee shall knowingly accept contributions given in violation of the provisions of subsection A or B of this section. D. The provisions of this section shall not apply to a bank, savings and loan association or credit union loaning money to a candidate in connection with his or her own campaign which is to be repaid with interest at a rate comparable to that of loans for equivalent amounts for other purposes. E. Any person who knowingly and willfully violates any provision of this section where the aggregate amount contributed exceeds Five Thousand Dollars ($5,000.00), upon conviction, shall be guilty of a felony punishable by a fine of up to four times the amount of the prohibited contribution or by imprisonment in the State Penitentiary for up to one (1) year, or by both such fine and imprisonment. F. Any person who knowingly and willfully violates any provision of this section where the aggregate amount contributed is Five Thousand Dollars ($5,000.00) or less, upon conviction, shall be guilty of a misdemeanor punishable by a fine of not more than three times the amount of the prohibited contribution or One Thousand Dollars ($1,000.00), whichever is greater, or by imprisonment in the county jail for up to one (1) year, or by both such fine and imprisonment. § 334. Contingent fees–Influencing legislation or official action No person may retain or employ a lobbyist, as defined in Section 6* of this act, for compensation contingent in whole or in part on the passage or defeat of any official action or the approval or veto of any legislation, issuance of an executive order or approval or denial of a pardon or parole by the Governor. No lobbyist may accept any employment or render any service for compensation contingent on the passage or defeat of any legislation or the approval or veto of any legislation by the Governor. Any person convicted of violating the provisions of this section shall be guilty of a felony punishable by a fine of not more than One Thousand Dollars ($1,000.00) or by imprisonment in the state penitentiary not exceeding two (2) years or by both such fine and imprisonment. *Section 4249 of Title 74 of the Oklahoma Statutes. § 360. Coercing political participation of state employees No public employee or public officer, as defined in Section 304 of Title 51 of the Oklahoma Statutes, shall directly or indirectly coerce, attempt to coerce, command, advise or direct any state employee to pay, lend or contribute any part of his or her salary or compensation, time, effort or anything else of value to any party, committee, organization, agency or person for political purposes. No public employee or official shall retaliate against any employee for exercising his or her rights or for not participating in permitted political activities as provided in Ethics Commission Rule 10-1- 4. Any person convicted of willfully 1 violating the provisions of this section shall be guilty of a felony and shall be punished by the imposition of a fine of not more than Ten Thousand Dollars ($10,000.00) or by imprisonment for not longer than two (2) years, or by both said fine and imprisonment. 1Title 74, Ch. 62, App. 1, 257:10-1-4. § 463. Offering forged or false instruments for record Any person who knowingly procures or offers any false or forged instrument to be filed, registered, or recorded in any public office within this state, which instrument, if genuine, might be filed or registered or recorded under any law of this state or of the United States, shall be guilty of a felony. Title 68 Oklahoma Statutes 2001, § 2358.3 § 2358.3. Income tax deduction for contribu-tions A person who contributes money to a political party or to a candidate or candidate committee shall be entitled to deduct the amount contributed, not to exceed One Hundred Dollars ($100.00) in any one tax year, from the person's adjusted gross income in the computation of Oklahoma income tax. CHAPTER 62. – ETHICS COMMISSION ACT Sections 4200 through 4219 and 4221 through 4248.1 have been repealed. Section 4220 has been recodified at Section 1840 of Title 21 of the Oklahoma Statutes. 9 STATE GOVERNMENT 74 § 4249 O.S. 2001 The following provisions became law per House Bill 1608, emergency effective July 1, 1995 4249. Definitions 4250. Lobbyists registrations–Termination 4251. Influencing legislation or official action– Fraud 4252. Appearance on floor of Legislature 4253. Use of registration forms and activities reports 4254. State officers or state employees– Additional Compensation for lobbying 4255. Violations–Penalties–Third and subse-quent violations 4256. Late fee assessments 4257. Employment of former members of board or commission–Violations– Penalties 4258. Revolving fund 4259. Committee registration 4260. Local candidates–Electronic reports § 4249. Definitions As used in Sections 6 through 12* of this act: 1. "Lobbying", or any derivative of the word, means any oral or written communication with a member of the Legislature, with the Governor, with a member of the Corporation Commission, with a member of the judiciary or with an employee of the Legislature, the Governor, the Corporation Commission or the judiciary on behalf of a lobbyist principal with regard to the passage, defeat, formulation, modification, interpretation, amendment, adoption, approval or veto of any legislation, rule, regulation, executive order or any other program, policy or position of the state government; provided, however, it shall not mean testimony given before, or submitted in writing to, a committee or subcommittee of the Legislature, nor a speech, article, publication or other material that is widely distributed, published in newspapers, magazines or similar publications or broadcast on radio or television; provided further, it shall not mean representation of himself or herself or a client by an attorney acting in a professional capacity as an attorney who has entered an appearance in a court proceeding or quasi-judicial proceeding or a legislative or quasi-judicial proceeding before the Corporation Commission; 2. "Lobbyist" means any individual who is employed or retained by another for financial or other compensation to perform services that include lobbying, other than an individual whose lobbying activities are only incidental to, and are not a significant part of, the services provided by such individual to the client, except the following individuals shall not be considered lobbyists: a. an individual appearing before a meeting of a legislative body or executive agency who receives no compensation for his or her appearance other than reimbursement from the state for expenses and who engages in no further or other lobbying, b. a public or federal official acting in his or her official capacity, c. a public employee acting on behalf of the governmental entity by which he or she is employed, and d. any person exercising his or her constitutional right to petition the government who is not specifically required by the provisions of Sections 6 through 11* of this act to register as a lobbyist and who receives no compensation or anything of value for lobbying; 3. "Lobbyist principal" means any person who employs or retains another person for financial or other compensation to conduct lobbying activities on behalf of the lobbyist principal; provided, however, it shall not mean any individual members, partners, officers or shareholders of a corporation, association, firm, joint venture, joint stock company, syndicate, business trust, estate, trust, company, partnership, limited partnership, organization, committee, or club, or a group of persons who are voluntarily acting in concert; 4. "Public member" means a member appointed to a compensated or uncompensated part-time position on a board, commission, council, authority, bureau, committee, state beneficial public trust, or other establishment of the executive, legislative or judicial branch of the State of Oklahoma. A public member shall not lose his status by receiving reimbursement of expenses or a per diem payment for services. A public member shall not include: a. members of advisory bodies to the legislative, executive, or judicial branch of state government, b. Postadjudication Review Board members appointed pursuant to Section 1116.2 of Title 10 of the Oklahoma Statutes, c. board members of guaranty associations created pursuant to state statute, and d. precinct inspectors, judges, clerks and counters; 5. "State employee" means: a. an elective or appointed officer or an employee of any state governmental entity, except members of the House of Representatives or State Senate; and 74 § 4249 STATE GOVERNMENT 10 O.S. 2001 & O.S. 2011 b. an employee, other than an adjunct professor, in the service of an institution of higher education comprising The Oklahoma State System of Higher Education. The term "state employee" shall not include a public member; and 6. "State officer" means an elective, appointed or employed officer, including a public member, in the executive, judicial or legislative branch of the State of Oklahoma. *Sections 4249 through 4255 of Title 74 of the Oklahoma Statutes. **Sections 4249 through 4254 of Title 74 of the Oklahoma Statutes. § 4250. Lobbyist registration–Termination A. Every lobbyist shall be required to register with the Ethics Commission no later than December 31 of each year or within five (5) days after engaging in lobbying on behalf of one or more lobbyist principals, and pay a registration fee of One Hundred Dollars ($100.00). All monies collected from this registration fee shall be deposited with the State Treasurer to the credit of the Ethics Commission Fund. B. Information contained on the lobbyist registration form shall be limited to the following: 1. The lobbyist's name and business address and telephone number; 2. The name and address of each lobbyist principal by whom the lobbyist is employed or retained; and 3. The date of the registration. All registrations filed under this section shall be certified. C. The registration of each lobbyist shall expire on December 31 of each year unless the annual registration fee as set forth in subsection A of this section is paid. The registration fee shall be payable from December 1 through 31 of each year. A lobbyist expenditure report shall be due at this time if such report was not filed for the previous reporting period. If the lobbyist was previously unregistered, then the fee is due within five (5) days after engaging in lobbying. The provisions of this section must be complied with before the Ethics Commission can renew a lobbying registration. D. Every lobbyist shall file a supplemental registration indicating any change in the information contained in the registration within twenty (20) days after the date of the change. A person who ceases to engage in lobbying shall file a written, verified statement with the Ethics Commission acknowledging the termination of activities. The notice shall be effective immediately upon filing. E. All registrations filed under this section shall be public records and shall be made available for public inspection pursuant to the Open Records Act. F. The Ethics Commission shall maintain registrations in a separate, alphabetical file and make such registrations available to the public for inspection. G. A person who files a notice of termination pursuant to the provisions of subsection D of this section shall file the reports required pursuant to the Rules of the Ethics Commission for any reporting period during which the person was registered at the time the notice of termination is effective. Amended Laws 2004 [Effective November 1, 2004]. § 4251. Influencing legislation or official action– Fraud No person required to be registered under Section 6* of this act may: 1. Knowingly or willfully make any false statement or representation of the facts to a member of the legislative branch, judicial branch or executive branch; or 2. Knowing a document to contain a false statement, cause a copy of the document to be received by a member of the legislative branch, judicial branch or executive branch without notifying such member in writing of the truth. *Section 4249 of Title 74 of the Oklahoma Statutes. § 4252. Appearance on floor of Legislature No lobbyist may go on the floor of either house of the Legislature while that house is in session, except on invitation of that house. § 4253. Use of registration forms and activities reports No information copied from registration forms required by Section 7* of this act or from lists compiled from such forms and reports shall be sold or utilized by any person for the purpose of soliciting campaign contributions or selling tickets to a testimonial or similar fund-raising affair or for any commercial purpose. *Section 4250 of Title 74 of the Oklahoma Statutes. § 4254. State officers or state employees– Additional compensation for lobbying No state officer or state employee shall receive any additional compensation or reimbursement from any person for personally engaging in lobbying, other than compensation or reimbursements provided by law for that member's job position. 11 STATE GOVERNMENT 74 § 4257 O.S. 2001 & O.S. 2011 § 4255. Violations–Penalties–Third and subse-quent violations A. Any person who knowingly and willfully violates any provision of Sections 5 through 11* of this act or Chapter 23 of the Rules of the Ethics Commission commits a misdemeanor. Nothing in Sections 5 through 11** of this act relieves a person of criminal responsibility under the laws of this state relating to perjury. B. Any person who knowingly and willfully violates any provision of Sections 5 through 11*** of this act or any provision of Chapter 23 of the Rules of the Ethics Commission a third and subsequent time, in addition to any other penalties provided herein, shall be prohibited from further lobbying as defined herein for a period of five (5) years. If any person having been so prohibited, lobbies while prohibited, such person shall be permanently prohibited from lobbying and shall be guilty of a felony. *Section 360 of Title 21 and Sections 4249 through 4254 of Title 74 of the Oklahoma Statutes. **Section 360 of Title 21 and Sections 4249 through 4254 of Title 74 of the Oklahoma Statutes. ***Section 360 of Title 21 and Sections 4249 through 4254 of Title 74 of the Oklahoma Statutes. § 4256. Late fee assessments A. Every candidate or candidate committee for state or county office and every other committee failing to file registrations and reports of contributions and expenditures or statements of inactivity on or before the days specified in Chapter 10 of the Rules of the Ethics Commission shall be assessed by the Ethics Commission a late filing fee of up to One Hundred Dollars ($100.00) for each day after a report of contributions and expenditures is due that said report remains unfiled; provided, the total amount of such fees assessed per report shall not exceed One Thousand Dollars ($1,000.00). B. Committees campaigning for or against an initiative or referendum petition, legislative referendum, or a state question who fail to file reports of contributions and expenditures on or before the days specified in Chapter 10 of the Rules of the Ethics Commission shall be assessed by the Ethics Commission a late filing fee of up to One Thousand Dollars ($1,000.00) for each day after a report of contributions and expenditures is due that said report remains unfiled; provided, the total amount of such fee assessed per report filing shall not exceed Ten Thousand Dollars ($10,000.00). C. Every person failing to file a statement of financial interests or financial disclosure statement on or before the days specified in Chapter 15 of the Rules of the Ethics Commission shall be assessed by the Ethics Commission a late filing fee of up to One Hundred Dollars ($100.00) for each day the statement remains unfiled; provided, the total amount of such fees assessed per statement shall not exceed One Thousand Dollars ($1,000.00). D. The treasurer, except for treasurers for candidates or candidate committees, may be liable for the late fee. Failure to file a registration, report or statement shall be deemed to be a separate offense for each day that the registration, report or statement remains unfiled after it becomes due. The first Twenty-five Thousand Dollars ($25,000.00) per calendar year derived from fees collected pursuant to the provisions of this section shall be deposited with the State Treasurer to the credit of the Ethics Commission Fund and any amount in excess of Twenty-five Thousand Dollars ($25,000.00) per calendar year shall be deposited in the General Revenue Fund. Candidates or candidate committees shall not pay such fees from campaign funds. Amended Laws 2004 [Effective November 1, 2004]. Amended Laws 2010, House Bill 2408, § 2, emerg. eff. July 1, 2010. § 4257. Employment of former members of board or commission–Violations–Penalties A. Except as otherwise provided for by this section, no state board or commission shall employ any former member of the board or commission. B. A state board or commission may employ a former member of the board or commission if at least one (1) year has passed since the term of office of the former member has expired or since the date the former member resigned from the board or commission. C. Notwithstanding subsection B of this section, a state board or commission may employ: 1. A state employee who is an ex officio member of that board or commission and who is required by law to be a member of that board or commission; or 2. A former statewide elected official who was an ex officio member of that board or commission if the former statewide elected official completed the term in office. This subsection shall not apply to a statewide elected official who is an ex officio member of a board or commission. D. Any person who willfully violates any provision of this section shall be guilty of a misdemeanor and upon conviction thereof shall be punished by a fine of not less than Fifty Dollars ($50.00) nor more than One Thousand Dollars ($1,000.00), or by imprisonment for not longer than six (6) months or by both such fine and imprisonment, and upon conviction shall be ineligible for appointment to or employment in a position in state service and, if at the time of conviction is an employee of the state, the employee shall forfeit the position. 74 § 4258 STATE GOVERNMENT 12 O.S. 2011 Amended Laws 2004 [Effective June 8, 2004]. § 4258. Revolving fund There is hereby created in the State Treasury a revolving fund for the Ethics Commission to be designated the "Ethics Commission Fund". The fund shall be a continuing fund, not subject to fiscal year limitations and shall consist of all copying fees, lobbyist registration fees, and committee registration fees received by the Commission. All monies accruing to the credit of the fund are hereby appropriated and may be budgeted and expended by the Commission for any expenses incurred in the implementation of this act.1 Expenditures from the fund shall be made upon warrants issued by the State Treasurer against claims filed as prescribed by law with the Director of State Finance for approval and payment. Amended Laws 2004 [Effective June 8, 2004]. § 4259. Committee registration A. As used in this section, “committee” means a political action committee or a party committee as defined in the rules of the Ethics Commission. Committee shall not include a candidate committee as defined in the rules of the Ethics Commission. B. Any committee which accepts contributions or makes expenditures in excess of Five Hundred Dollars ($500.00) in the aggregate in this state in a calendar year shall file a statement of organization with the Ethics Commission no later than five (5) days after accepting such contributions or making such expenditures. Each statement of organization shall be accompanied by a registration fee in the amount of Fifty Dollars ($50.00). C. A new statement of organization shall be filed by a committee each year the committee continues its registration. Such statements shall be filed between January 1 and January 31 of each year and shall be accompanied by the registration fee as set forth in subsection B of this section. The registration fee shall be received no later than January 31 of each year. D. Any campaign contribution and expenditure reports required to be filed by the rules of the Ethics Commission and which may not have been filed for the previous calendar year shall be filed by the committee at the same time the registration fee is paid. The Commission may not renew a registration until the committee is in compliance with the provisions of this section. A previously registered committee shall not accept contributions or make expenditures until such committee is in compliance with the provisions of this section. Amended Laws 2004 [Effective November 1, 2004]. § 4260. Local candidates–Electronic reports All candidates allowed to receive the maximum contribution of Five Thousand Dollars ($5,000.00), pursuant to paragraph 2 of subsection A of Section 187.1 of Title 21 of the Oklahoma Statutes, shall file a campaign contributions and expenditures report electronically with the Ethics Commission. The Ethics Commission shall make the report available online. The Ethics Commission shall consult with the Office of State Finance regarding an information technology services contract to comply with this section. Added Laws 2011 [Effective November 1, 2011]. 13 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2 CHAPTER 62. – APPENDIX TITLE 257. ETHICS COMMISSION Chapter Section 1. Administrative Operations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:1-1-1 10. Campaign Reporting.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:10-1-1 15. Personal Financial Disclosure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:15-1-1 20. Ethics and Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:20-1-1 23. Lobbying Disclosure.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:23-1-1 25. RESERVED 30. Investigations, Complaints, Settlements and Litigation. . . . . . . . . . . . . . . . 257:30-1-1 CHAPTER 1. ADMINISTRATIVE OPERATIONS Section 257:1-1-1. General purpose and authority 257:1-1-2. Definitions 257:1-1-3. Office and hours–Filing requirements 257:1-1-4. Prohibited acts 257:1-1-5. Conflicts of interest 257:1-1-6. Powers and responsibilities of Commission 257:1-1-7. Forms and publications 257:1-1-8. Availability of documents 257:1-1-9. Request for ethics interpretation 257:1-1-10. Request for rule adoption, amendment or repeal 257:1-1-11. Miscellaneous civil penalty provisions 257:1-1-12. Disclosure of confidential information 257:1-1-13. Effective date of this chapter 257:1-1-14. Applicability of rules 257:1-1-1. General purpose and authority (a) Intent. The Ethics Commission was instituted as the statutory administrator of the Ethics Commission Act, Section 4200 et seq. of Title 74 of the Oklahoma Statutes. It retains these powers and others, as enumerated herein. As a statement of its general purpose and authority, the Ethics Commission finds: (1) That the Commission is to promulgate rules of ethical conduct for campaigns for elective state office and for campaigns for initiative and referendum and rules of ethical conduct for state officers and state employees; (2) That the central function of this title is to prevent, rather than punish, unethical conduct. The Commission shall publish and make available to the public and to persons subject to this title explanatory information concerning this title, the duties imposed by it and the means of enforcing it. It shall also be the goal of the Commission to initiate and continue programs for the purpose of educating officers, employees, and citizens of this state on matters of ethics and government service. (b) Administration of title. The Ethics Commission, created in Section 1 of Article XXIX of the Oklahoma Constitution, shall administer this title with respect to campaigns for elective state office, for campaigns for initiatives and referenda and for state officers and state employees elected, appointed, or employed to serve in state government. (c) Powers and duties. The powers and duties of the Ethics Commission are set forth in Section 3 of Article XXIX of the Oklahoma Constitution and the Ethics Commission Act, Section 4200 et seq. of Title 74 of the Oklahoma Statutes. (d) Rules. In keeping with its authority and purpose, the Ethics Commission has promulgated rules to implement Section 3 of Article XXIX of the Oklahoma Constitution. Amended Laws 2009. 257:1-1-2. Definitions Masculine words, whenever used in this title, shall include the feminine and neuter, and the singular includes the plural, unless otherwise specified. In addition, the following words or terms, when used in this title, shall have the following meaning, unless the context clearly indicates otherwise: "Accept", with reference to a contribution, means failure by a candidate, treasurer, deputy treasurer or agent of a committee to expressly and unconditionally reject and return a tendered contribution to the contributor within six (6) business days from receipt of the tender. "Act" means the Ethics Commission Act, Section 4200 et seq. of Title 74 of the Oklahoma Statutes. "Address" means mailing address unless otherwise specified in this title. "Affiliated" or "Connected entity" means any entity which directly or indirectly establishes, administers or financially supports a political entity. 74, Ch. 62, App. STATE GOVERNMENT 14 257:1-1-2 ETHICS COMMISSION RULES O.S. 2011 "Anything of value", "Thing of value" or "Things of value" (1) These terms, to the extent that consideration of equal or greater value is not received, include the following: (A) a pecuniary item, including money, or a bank bill or note; (B) a promissory note, bill of exchange, order, draft, warrant, check, or bond given for the payment of money; (C) a contract, agreement, promise, or other obligation for an advance, conveyance, forgivenes s of indebtedness, deposit, distribution, loan, payment, gift, pledge, or transfer of money; (D) a stock, bond, note, or other investment interest in an entity; (E) a receipt given for the payment of money or other property; (F) a right in action; (G) a gift, tangible good, chattel, or an interest in a gift, tangible good, or chattel, except as provided in subparagraphs (C), (D) and (N) of Paragraph (2) of this definition; (H) a loan or forgiveness of indebtedness, except as otherwise provided in subparagraph (I) of Paragraph (2) of this definition; (I) a work of art, antique, or collectible; (J) an automobile or other means of personal transportation; (K) real property or an interest in real property, including title to realty, a fee simple or partial interest, present or future, contingent or vested in realty, a leasehold interest, or other beneficial interest in realty; (L) an honorarium or compensation for services, except as otherwise provided in subparagraph (M) of Paragraph (2) of this definition; (M) a rebate or discount in the price of anything of value or the sale or trade of something for reasonable compensation that would ordinarily not be available to a member of the public, except as provided in subparagraph (J) of Paragraph (2) of this definition; (N) a promise or offer of employment; (O) transportation, lodging or entertainment; or (P) any other thing of value not excluded by Paragraph (2) of this definition. (2) These terms do not include: (A) a campaign contribution properly received and reported; (B) any books, written materials, audio tapes, videotapes, or other informational promotional material related to the performance of a state officer's or state employee's official duties; (C) a gift that: (i) is not used, and (ii) no later than thirty (30) days after receipt, is returned to the donor or delivered to a charitable organization and is not claimed as a charitable contribution for federal income tax purposes; (D) a gift, devise, or inheritance from an individual's spouse, child, step-child, parent, step-parent, grandparent, step-grandparent, sibling, step-sibling, parent-in-law, sibling-in-law, nephew, niece, aunt, uncle, or first cousin or the spouse of that individual, if the donor is not acting as the agent or intermediary for someone other than a person covered by this subparagraph; (E) a plaque or trophy with a value that does not exceed two hundred dollars ($200); (F) modest items of food and refreshments, such as soft drinks, coffee, and donuts, offered other than as part of a meal; (G) food and beverage consumed on the occasion when participating in a charitable, civic, or community event, or at any event to which all members of the Legislature are invited, which bears a relationship to the state officer's or state employee's office and the officer or employee is attending in an official capacity; (H) greeting cards and items with little intrinsic value, such as certificates, which are intended solely for presentation; (I) loans from banks and other financial institutions on terms generally available to the public; (J) opportunities and benefits, including favorable rates and commercial discounts, available to the public or to a class consisting of all state government employees, whether or not restricted on the basis of geographic consideration; (K) rewards and prizes given to competitors in contests or events, including random drawings, which are open to the public; rewards and prizes from contests or events which are not open to the public are also excepted if the state officer's or state employee's entry into the contest is required as part of his official duties; (L) pension and other benefits resulting from participation in a retirement plan offered by an employer or former employer of a state officer or state employee; (M) anything which is paid for by the state government or secured by the state government under state government contract; (N) any gift accepted on behalf of the state of Oklahoma or a governmental entity by the Governor under Section 381 et seq. of Title 60 of the Oklahoma Statutes. In order to be deemed accepted, the Governor must be notified in writing of any gift received by a governmental 15 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2 entity, or person on behalf of a governmental entity, within ten (10) days of receipt of the gift. Notice of acceptance must be received from the Governor within the next thirty (30) days. Upon lack of a response from the Governor within the thirty (30) days of receipt of the notice, the gift is deemed rejected and must be returned to the donor; (O) anything for which market value is paid or secured by written contract to be paid by the state officer or state employee no later than 30 days of receipt; (P) transportation furnished to a state officer or state employee for the purpose of assisting the officer or employee in the performance of the officer's or employee's official duties and from which the officer or employee receives only incidental personal benefits ancillary to said purpose; (Q) food, transportation or entertainment provided by a governmental agency or governmental enterprise of a foreign nation as a gesture of hospitality; (R) prescription drugs or similar items given to the recipient for distribution to patients in need of treatment which are not used by the recipient; (S) a meal or other food served at a meeting at which the state officer or state employee is an invited guest; and (T) any gratuity provided at a meeting, conference, or seminar by sponsors, exhibitors, etc., the cost of which is not borne by a registrant to such meeting, conference, or seminar, and which is available to all registrants; and (U) any single item with a fair market value not exceeding Ten Dollars ($10.00) provided to a state officer or state employee during a calendar year; provided, if a donor provides more than one such item to a state officer or state employee during a calendar year, any such additional items shall not be subject to this exception; and (V) a ticket to the Speaker’s Ball. "Associated", when used with reference to an entity, includes an entity in which an individual or a member of his or her immediate family is a director, officer, fiduciary, trustee, agent, or partner, or owns or controls, in the aggregate, at least two percent (2%) or a value of five thousand dollars ($5,000) of the outstanding equity. "Ballot measure" means an initiative, referendum, legislative referendum, legislative initiative, state question, or any proposition or measure submitted to voters for their approval or rejection at a statewide election. "Business" means any corporation, limited liability company, partnership, limited liability partnership, limited partnership, sole proprietorship, firm, enterprise, franchise, association, self-employed individual, holding company, joint stock company, receivership, trust, or any legal entity through which business is conducted for profit. "Business day" means any day except a Saturday, Sunday or a legal holiday designated in Section 82.1 of Title 25 of the Oklahoma Statutes. "Campaign" means and includes all activities for or against the election of a candidate to a specific state office for a specific term or the passage or defeat of a ballot measure from the date of acceptance of the first contribution, the making of the first expenditure, or the filing of a declaration of candidacy, whichever is first, until a final campaign contributions and expenditures report is filed. "Campaign expenditure" is an expenditure not otherwise prohibited which is used to defray the costs of a candidate's campaign including, without limitation, advertising, travel and food while campaigning, and costs for campaign workers, whether paid or volunteers. "Candidate" means a person who seeks nomination or election to state office. An individual is a candidate when the individual: (1) has filed a declaration of candidacy for any state office with the Secretary of the State Election Board; (2) has filed a declaration of candidacy with the Secretary of State and has drawn active opposition; (3) is nominated as a "substitute candidate" pursuant to Section 1-105 of Title 26 of the Oklahoma Statutes; or (4) solicits or accepts contributions, makes expenditures or gives consent to an individual, organization, party committee, or other committee to solicit or accept contributions or make expenditures to secure election to any state office at any time, whether or not the office for which the individual will seek nomination or election is known when the: (A) solicitation is made; (B) contribution is accepted; or (C) expenditure is made. The term "candidate" shall include a person whose candidacy is unopposed. "Candidate committee" means the committee, consisting of one or more persons who may be the candidate only, designated by a candidate to promote the candidate's candidacy and serve as the recipient of all contributions and the disburser of all expenditures for the candidate. "Charitable organization" means an entity described in 501 (c) (3) of Title 26 of the United States Code, 26 U.S.C., Section 501 (c) (3), as it currently exists or as it may be amended. "Classified employee" means a state employee or a state employee on leave from employment who is under the jurisdiction of the Merit System of Personnel 74, Ch. 62, App. STATE GOVERNMENT 16 257:1-1-2 ETHICS COMMISSION RULES O.S. 2011 Administration as provided in the Oklahoma Personnel Act, Section 840.1 et seq. of Title 74 of the Oklahoma Statutes. “Clearly identified” means the candidate’s name, nickname, photograph or drawing appears, or the identity of the candidate is otherwise apparent including, but not limited to, an unambiguous reference such as “the Governor,” “your State Representative,” or “the incumbent,” or including, but not limited to, an unambiguous reference to his or her status as a candidate such as “the Democratic gubernatorial nominee” or “the Republican candidate for State Senate District No. 49 in Oklahoma”. "Commission" means the Ethics Commission. "Committee" means a candidate committee, political action committee, or party committee. "Compensation" (1) means: (A) an advance, conveyance, forgiveness of indebtedness, deposit, distribution, loan, payment, pledge, or transfer of money or anything of value; or (B) a contract, agreement, promise, or other obligation for an advance, conveyance, forgivenes s of indebtedness, deposit, distribution, loan, payment, pledge, or transfer of money or anything of value, for services rendered or to be rendered. (2) The term does not include reimbursement of expenses: (A) if the reimbursement: (i) does not exceed the amount expended for the expenses; and (ii) is substantiated by an itemization of expenses; or (B) if the reimbursement is authorized by law. “Congressional district” means a territorial division of the state of Oklahoma entitled to elect one member to the United States House of Representatives, "Contribution" (1) means and includes: (A) a gift, subscription, loan, guarantee or forgiveness of a loan, conveyance, advance, payment, distribution, or deposit of money or anything of value made to and with the knowledge and for the benefit of a committee, which expressly advocates the election or defeat of a clearly identified candidate or candidates or the passage or defeat of a ballot measure or ballot measures, or for reducing the debt of such committee; (B) an expenditure expressly advocating the election or defeat of a clearly identified candidate or candidates or the passage or defeat of a ballot measure or ballot measures made by a person or committee, other than a candidate committee, with the cooperation of, or in consultation with, a committee, a candidate, candidate committee, or candidate's agent or that is made in concert with, or at the request or suggestion of, a candidate, candidate committee, or candidate's agent; (C) the difference between the payment to a person, other than a candidate or committee, of compensation for personal services or products to the candidate or committee, and the reasonable and customary rate charged by the person for like services or products in like quantities when the candidate or committee has knowledge of the discounted services or products; (D) anything of value received by a committee that is transferred from another committee or other source; (E) sums paid for tickets for a political event such as a reception, rally, or a similar fundraising event; however, the amount of any such contribution may be reduced for the purpose of complying with the reporting and contribution limitations requirements of Chapter 10 of this title, by the actual cost of consumables furnished by the committee in connection with the purchase of the tickets, and only the excess over the actual cost of the consumables shall be deemed a contribution; (F) the candidate's own money used on behalf of that candidate's candidacy; and (G) the difference between the open market value and a discount or rebate: (i) not extended to the public generally; or (ii) by a television or radio station not extended equally to all candidates for the same office. (2) The term "contribution" shall not include: (A) the value of services provided without compensation by any individual who volunteers on behalf of a candidate or committee; (B) for purposes of the contribution limits set forth in Section 2 of Chapter 10, the transfer of any funds by a political action committee to an affiliated or connected political action committee or by a party committee to an affiliated or connected party committee, provided the committees have been established as provided by law and the transferring committee and the receiving committee have been established, directly or indirectly, and are administered or financially supported, directly or indirectly, by a common entity; or (C) any payment or obligation incurred by a corporation, labor organization, membership organization, cooperative or corporation without capital s toc k for the es tablishment, administration, and solicitation of contributions to a separate segregated fund or political action committee to be utilized for political purposes; 17 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2 (D) a nonreimbursed payment made by an individual for the individual's own travel expenses on behalf of a committee; (E) a payment made by an occupant of a residence or office for costs related to a meeting or fundraising event held in the occupant's residence or office if the costs for the meeting or fundraising event do not exceed five hundred dollars ($500). However, if the occupant hosts more than one (1) event in an election cycle for the same beneficiary, all subsequent payments that exceed five hundred dollars ($500) in the aggregate are contributions; (F) a loan of money made in the ordinary course of business by a financial institution authorized to transact business in this state at terms and interest rates generally available to a member of the public without regard to that person's status as a state officer or state employee or a candidate for state office by the institution; (G) a communication by a corporation, labor organization, or association aimed at its employees, members, owners, stockholders, directors, executive administrative personnel, or their families; (H) a tender of a contribution if the tender is not accepted, including use as collateral, or is transferred to the state as provided in Subsection (i) of Section 2 of Chapter 10 of this title; (I) the fair market value earnings of a sole proprietorship, partnership, limited partnership, limited liability partnership, or limited liability company; or (J) a communication which does not expressly advocate the election or defeat of a clearly identified candidate or candidates or the passage or defeat of a ballot measure or ballot measures. (3) If any person makes, or contracts to make, any disbursement for any electioneering communication as defined in this section; and such disbursement is coordinated with a: (A) candidate or authorized committee of such candidate, or agent or official of any such candidate, such disbursement or contracting shall be treated as a contribution to the candidate supported by the electioneering communication and as an expenditure by that candidate committee; (B) state or local political party or committee thereof, or agent or official of such political party, such disbursement or contracting shall be treated as a contribution to the political party of the candidate or candidates supported by the electioneering communication and as an expenditure by that candidate’s or candidates’ party; or (C) ballot measure committee, or an agent or official of any such ballot measure committee; such disbursement or contracting shall be treated as a contribution to the ballot measure committee supported by the electioneering communication and as an expenditure by that ballot measure committee. "Contributor" means and includes every person who makes a contribution. "Day" means calendar day, except that in instances where a report or other document is required to be filed with the Commission and the calendar day upon which such a report or document must be filed falls on a day other than a business day, any such report or document may be filed on the immediate next business day. “Economic interest��� means a personal financial interest in a state purchase, sale, lease, contract, option, or other transaction or arrangement involving property or services when the person who has the economic interest is taking action to influence the state purchase, sale, lease, contract, option, or other transaction or arrangement involving property or services. "Election" means a Primary, Run-off Primary, General, or Special Election in which a candidate or ballot measure is on the ballot. "Election board" means the State Election Board in reference to candidates who file a declaration of candidacy with the State Election Board. "Election cycle" means the period beginning the day after the General Election, up to and including the following General Election, including a Primary, Special Primary and the following Special General Election. “Electioneering communication” (1) means any communication or series of communications that is sent by handbill or direct mail; broadcast by radio, television, cable or satellite; or appear in a newspaper, magazine or on a billboard which – (A) refer to one candidate or one or more of the same clearly identified candidates for state office or one ballot measure or one or more of the same ballot measures; (B) are made within – (i) 60 days before a general or special election for the office sought by the candidate or candidates or the ballot measure or ballot measures; or (ii) 30 days before a primary or runoff primary election for the office sought by the candidate or candidates; and (C) are targeted to the relevant electorate; (2) does not mean – (A) a communication or series of communications appearing in a news story, 74, Ch. 62, App. STATE GOVERNMENT 18 257:1-1-2 ETHICS COMMISSION RULES O.S. 2011 commentary, or editorial distributed through the facilities of any broadcasting station, newspaper, magazine, or other periodical publication, unless such facilities are owned or controlled by any political party, political action committee, candidate, candidate committee or ballot measure committee; (B) a communication or series of communications which constitute an expenditure or an independent expenditure under this chapter; or (C) a communication or series of communications which constitute a candidate debate or forum or which solely promotes such a debate or forum and is made by or on behalf of the person sponsoring the debate or forum; (3) For purposes of this definition, a communication or series of communications which refer to one or more clearly identified candidates for state office or one or more ballot measures are ‘targeted to the relevant electorate’ if the communication or series of communications have been or can be received by – (A) 2,500 or more persons in the district the candidate seeks to represent in the case of a candidate for the Oklahoma State House of Representatives; (B) 5,000 or more in the district the candidate seeks to represent in the case of a candidate for district attorney, district judge, associate district judge, or the Oklahoma State Senate; or (C) 25,000 or more persons in the State of Oklahoma in the case of a candidate for a statewide elective office or ballot measure. "Elective officer" means an individual elected to a state office or an individual who is appointed to fill a vacancy in a state office. "Expenditure": (1) means a purchase, payment, distribution, loan, advance, compensation, reimbursement, fee deposit, transfer of funds between committees, or a gift made by a committee which is used to expressly advocate the election or defeat of a clearly identified candidate or candidates or the passage or defeat of a ballot measure or ballot measures. (2) An expenditure does not include the following: (A) a loan of money, made in the ordinary course of business, by a financial institution authorized to transact business in this state; (B) a communication by a corporation, labor organization, or association aimed at its employees, members, owners, stockholders, executive administrative personnel, or their families; (C) uncompensated services provided by an individual volunteering the individual's time; or (D) a transfer of funds to another committee if such transfer is not accepted; or (E) any news story, commentary, or editorial distributed through the facilities of any broadcasting station, newspaper, magazine, or other periodical publication, unless such facilities are owned or controlled by any political party, political action committee, candidate, candidate committee or ballot measure committee. "Expenditures incurred" means an amount owed to a creditor for purchase of delivered goods or completed services. "Family" means an individual, his or her spouse, if any, and all children under the age of eighteen (18) years residing in the same household. "Filer" means an individual who is required to file a report or statement pursuant to this title. "Gift" means "anything of value", as defined in this section, to the extent that consideration of equal or greater value is not received in exchange therefor. "Governmental entity" (1) means any department, commission, authority, council, board, bureau, committee, legislative body, agency, state beneficial public trust, or other establishment of the executive, legislative or judicial branch of the State of Oklahoma. (2) shall not mean entities of political subdivisions of the State of Oklahoma. "Immediate family" means a child under the age of eighteen (18) years residing in a state officer's or state employee's household, a spouse of a state officer or state employee, and an individual claimed by the state officer or state employee or the state officer's or state employee's spouse as a dependent for tax purposes. "Income" means any money or thing of value received, or to be received as a claim on future services, whether in the form of a fee, salary, gift, expense, allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, or any other form of recompense or any combination thereof; provided, the term "income" shall not include campaign contributions. "Independent expenditure" means an expenditure made by a person to advocate the election or defeat of a clearly identified candidate or candidates or a ballot measure or ballot measures, but which is not made to, controlled by, coordinated with, requested by, or made upon consultation with a candidate, committee, treasurer, deputy treasurer or agent of a candidate committee or a ballot measure committee. "In-kind contribution or expenditure" means goods or services provided to or by a person at no charge or for less than their fair market value, but shall not include services provided by a volunteer. “Judicial office” means all elective offices for district judge, associate district judge and offices for 19 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2 which declarations of candidacy are filed with the secretary of state. "Legislation" means a bill, resolution, amendment, nomination or other matter pending in either house of the Legislature; any other matter which may be the subject of action by either house of the Legislature, including the introduction, consideration, passage, defeat, approval or veto of the matter; or any matter pending in or which may be the subject of action by a constitutional convention. "Loan" means a transfer of money, property, guarantee, or anything of value in exchange for an obligation, conditional or not, to repay in whole or part. "Lobbying", or any derivative of the word thereof, means any oral or written communication with a member of the Legislature or with the Governor or with a member of the judiciary or with an employee of the Legislature or the Governor or the judiciary on behalf of a lobbyist principal with regard to the passage, defeat, formulation, modification, interpretation, amendment, adoption, approval or veto of any legislation, rules, regulation, executive order or any other program, policy or position of the state government; provided, however, it shall not mean testimony given before, or submitted in writing to, a committee or subcommittee of the Legislature, nor a speech, article, publication or other material that is widely distributed, published in newspapers, magazines or similar publications or broadcast on radio or television; provided further, it shall not mean representation of himself or a client by an attorney, acting in a professional capacity as an attorney, in a court proceeding or quasi-judicial proceeding. "Lobbyist" means any individual who is employed or retained by another for financial or other compensation to perform services that include lobbying, other than an individual whose lobbying activities are only incidental to, and are not a significant part of, the services provided by such individual to the client, except as exempted by Section 4228 of Title 74 of the Oklahoma Statutes or as it may hereafter be renumbered or recodified. "Lobbyist principal" means any person who employs or retains another person for financial or other compensation to conduct lobbying activities on behalf of the lobbyist principal; provided, however, it shall not mean any individual members, partners, officers or shareholders of a corporation, association, firm, joint venture, joint stock company, syndicate, business trust, estate, trust, company, partnership, limited partnership, organization, committee, or club, or a group of persons who are voluntarily acting in concert. "Official action" means any judicial, executive, legislative or administrative action which shall include, but is not limited to, the promulgation of rules and regulations and the setting of rates. "Organization" means a: (1) labor organization; (2) collective bargaining organization; (3) local, state, or national organization to which a labor organization pays membership or per capita fees, based upon its affiliation and membership; or (4) trade or professional association that receives its funds exclusively from membership dues or service fees, whether organized inside or outside the state. “Out-of-state”, with respect to a committee or person, means that the committee or person expends funds to influence an election to a partisan political office outside the State of Oklahoma and that, in the twelve-month period preceding the funding of an independent expenditure or elec tioneering communication in this state, seventy-five (75%) or more of the committee’s or person’s total funding spent was spent on elections outside the State of Oklahoma or on federal elections. "Participation" includes decision, approval, disapproval, recommendation, the rendering of advice, or vote. "Particular matter" includes a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, inquiry, investigation, charge, accusation, arrest, rulemaking, or legislation. "Party committee" means a political party or any affiliated or connected entity. "Person" means an individual, corporation, limited liability company, association, proprietorship, firm, partnership, limited liability partnership, limited partnership, joint venture, joint stock company, syndicate, business trust, estate, trust, company, organization, committee, or club, or a group of persons who are voluntarily acting in concert. "Political action committee" (1) means a combination of at least two individuals, or a person other than an individual: (A) with the primary purpose of: (i) expressly supporting or opposing a clearly identified candidate or candidates, or a party committee, except those required to file with the Federal Election Commission, or (ii) supporting or opposing a ballot measure; and (B) which accepts or gives contributions or makes expenditures from a joint account aggregating at least five hundred dollars ($500) during a calendar year. (2) does not include: (A) a party committee or a candidate committee; (B) a person other than an individual, when that person makes an expenditure or expenditures from an account to which contributions have not been solicited or accepted from any other persons or individuals; and, the expenditure or expenditures are required by 74, Ch. 62, App. STATE GOVERNMENT 20 257:1-1-2 ETHICS COMMISSION RULES O.S. 2011 these rules to be reported by the recipient committee or committees as a contribution or contributions; (C) a combination of individuals, or a person other than an individual, if the combination of individuals, or a person other than an individual, solicits contributions on behalf of a committee; and, any contributions received as a result of the solicitation are forwarded to the committee without being deposited in any account; and, the contributions are required by these rules to be reported by the committee that receives the contributions; (D) a corporation; or (E) a labor union. "Political party" means any political party so recognized for the purpose of having candidates appear on the ballot. "Public member" means a member appointed to a compensated or uncompensated part-time position on a board, commission, council, authority, bureau, committee, state beneficial public trust, or other establishment of the executive, legislative or judicial branch of the State of Oklahoma. (1) A public member does not lose this status by receiving reimbursement of expenses or a per diem payment for services. (2) A public member does not include: (A) members of advisory bodies to the legislative, executive, or judicial branch of state government; (B) Postadjudication Review Board members appointed pursuant to Section 1116.2 of Title 10 of the Oklahoma Statutes; (C) board members of guaranty associations created pursuant to state statute; and (D) precinct inspectors, judges, clerks and counters. "Registered lobbyist" means a person that has filed as a lobbyist with the Commission. "Represent" or "representation" means any formal or informal attendance before, or any written or oral communication with, or the filing of documents with any governmental entity on behalf of a person or organization whether gratuitous or for compensation. "Securities" means evidences of debts, property or obligations to pay money or of rights to participate in earnings and distribution of corporate trust, and other property, including but not limited to, stocks, bonds, notes, convertible debentures, warrants, or other documents that represent a share in a company or a debt owed by a company. "State employee" (1) means: (A) an elective or appointed officer or an employee of any governmental entity, except members of the House of Representatives or State Senate; and (B) an employee, other than an adjunct professor, in the service of an institution of higher education comprising the Oklahoma State System of Higher Education. (2) does not mean a public member. "State office" means all elective offices for which declarations of candidacy are filed with the Secretary of the State Election Board. "State officer" means an elective, appointed or employed officer, including a public member, in the executive, judicial or legislative branch of the State of Oklahoma. "Substantial financial interest" (1) means and includes, but is not limited to: (A) an interest that could result in directly or indirectly receiving a substantial pecuniary gain or sustaining a substantial pecuniary loss as a result of a person’s ownership or interest in a business entity, or as a result of a person’s salary, gratuity or other compensation or remuneration from any person, partnership, organization or association. (B) An ownership interest in a private business, closely held corporation or limited liability company for which the person or the person’s immediate family member is a director, officer, owner, manager, employee, or agent or any private business, closely held corporation or limited liability company in which the person or the person’s immediate family member owns or has owned stock, another form of equity interest, stock options, debt instruments, or has received dividends, worth one thousand dollars ($1,000.00) or more at any point during the preceding calendar year; (C) An ownership interest of five percent (5%) or more in a publicly held corporation by a person or the person’s immediate family member; (D) An ownership interest in a publicly held corporation from which dividends of one hundred thousand dollars ($100,000.00) or more were derived during the proceeding calendar year by the person or the person’s immediate family member; or (E) An interest which arises as a result of the person’s or the person’s immediate family member’s service as a director, officer, representative, agent or employee of a publicly held corporation within the preceding calendar year. (2) The term “substantial financial interest” shall not be construed to include: (A) An interest in a mutual fund or other community investment vehicle in which the person or the person’s immediate family member exercises no control over the vehicle’s acquisition or sale of particular holdings; or 21 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-5 (B) An interest in a pension plan, 401k, IRA or other retirement investment vehicle in which the person or the person’s immediate family member exercises no control over the vehicle’s acquisition or sale of particular holdings. "Surplus funds" arise: (1) when a candidate committee has an unexpended balance of funds not otherwise obligated for the purposes specified in Paragraph (1) of Subsection (a) of Section 20 of Chapter 10 of this title; or (2) when a committee formed to support or oppose a ballot measure has an unexpended balance of funds not otherwise obligated for any campaign expenditure; or (3) when a committee, other than a candidate committee or a ballot measure committee, has an unexpended balance of funds not otherwise obligated to further the committee's purposes. "Transfer" means the movement or exchange of anything of value between committees, except the disposition of surplus funds or material assets by a candidate committee to a party committee in accordance with the dissolution procedure in Sections 19 and 20 of Chapter 10 of this title. Amended Laws 1995. Amended Laws 1997. Amended Laws 1998. Amended Laws 1999. Amended Laws 2000. Amended Laws 2001. Amended Laws 2002. Amended Laws 2003. Amended Laws 2005. Amended Laws 2006. Amended Laws 2007. Amended Laws 2008. Amended Laws 2009. Amended Laws 2010. Amended Laws 2011. 257:1-1-3. Office and hours–Filing requirements (a) The principal office of the Ethics Commission is in B-5 State Capitol Building, Oklahoma City, Oklahoma 73105. The Office is open 8:00 a.m. to 5:00 o'clock p.m. each business day. (b) Except as otherwise provided by Sections 15 and 16 of Chapter 10 of this title, in order to be deemed timely filed, reports, registrations, statements or any other documents required to be filed with the Commission must be received by the Commission by hand, mail, facsimile transmission, telegram or express delivery service not later than 5:00 o'clock p.m. on the day specified for filing. (c) Except as otherwise specified by Sections 15 and 16 of Chapter 10 of this title, any act authorized, required, or permitted to be performed on a day other than a business day may be performed on the next succeeding business day, and no liability or loss of rights of any kind shall result from such delay. Amended Laws 1995. 257:1-1-4. Prohibited acts (a) No member or employee of the Commission, during the period of such membership or employment, shall: (1) hold or campaign for state or local office; (2) be an officer of any committee; (3) permit his name to be used, or make contributions, in support of or in opposition to any candidate or proposition; (4) participate in any way in any election campaign; provided, a member or employee of the Commission shall retain the rights to register and vote in any election, to express his opinion privately on political subjects or candidates, to participate in the activities of a civic, community, social, labor or professional organization and to be a member of a political party or committee; (5) lobby or assist a lobbyist, except as otherwise permitted in these rules; provided a member or employee of the Commission may lobby on matters directly affecting the Act or its rules promulgated pursuant to Article XXIX of the Oklahoma Constitution; (6) sell or cause to be sold, rent or lease either as an individual or through any nonpublicly traded business enterprise in which he holds a substantial financial interest, goods, services, buildings or property to the state or any county except by condemnation or threat of condemnation. A member or employee of the Commission holding a substantial financial interest in a business enterprise shall disqualify himself in any proceeding in which such interest might cause his impartiality to be reasonably questioned pursuant to the provisions of Section 5 of this chapter; (7) be employed by the state or any county in any other capacity, whether or not for compensation; (8) receive or agree to receive compensation for representing or assisting any person or business in any transaction involving the state or any county, except a court of law, or represent another person, firm, corporation or entity for a fee before any governmental entity, except a court of law; or (9) represent any person as an attorney before the Commission, provided that an employee of the Commission may act as a lawyer before the Commission in the course of the employee's official duties. (b) Nothing in this section shall prohibit members or employees of the Commission from performing the functions permitted under this title. 257:1-1-5. Conflicts of interest (a) Disqualification. A member of the Ethics Commission shall disqualify himself or be disqualified by the Commission in a proceeding in which his impartiality might reasonably be questioned, including but not limited to, instances where: (1) the member has a personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the proceeding; (2) the member knows that he or his spouse or child has an interest in the subject matter in 74, Ch. 62, App. STATE GOVERNMENT 22 257:1-1-5 ETHICS COMMISSION RULES O.S. 2011 controversy or in a party to the proceeding that could be substantially affected by the outcome of the proceeding; (3) the member or his spouse or a person within the third degree of consanguinity to either of them or the spouse of such person: (A) is a party to the proceeding, or an officer, director, or trustee of a party; (B) is known by the member to have an interest that could be substantially affected by the outcome of the proceeding; or (C) is to the member's knowledge likely to be a material witness in the proceeding; or (4) the member's spouse or a person within the third degree of consanguinity to either of them or the spouse of such person is representing any person as an attorney in the proceeding. (b) Knowledge of financial interests. A member of the Commission shall inform himself about his personal and fiduciary financial interests and make a reasonable effort to inform himself about the personal financial interests of his spouse and children. 257:1-1-6. Powers and responsibilities of Commission (a) Election of officers. In October of each year, or at the next Commission meeting after September, the Commission shall choose a chair and vice chair from among themselves. No member shall serve more than one consecutive year as chair. (b) Repository. The Commission shall serve as the official repository for statements of financial interests, statements of organization, last minute contributions reports, last minute independent expenditures reports, statements of inactivity, campaign contributions and expenditures reports, lobbyist expenditure reports and such other documents filed by committees, state officers, state employees, lobbyists and other persons as pertain to its duties. (c) Voluntary filings. The Commission shall accept and file any information voluntarily supplied that exceeds the requirements of this title; provided, the Commission shall not require the disclosure of any information other than as specifically provided by this title or which helps identify the filer or committee. (d) Distribution of forms. The Commission shall distribute, and make available for downloading from its website, forms upon which information shall be provided as required by this title and copies of Article XXIX of the Oklahoma Constitution and this title to the persons required to submit forms to all candidates, committees, officers, and employees required to submit or electronically transmit such forms. (e) Review of statements. The Commission shall review a random sample of registrations, reports and statements filed in accordance with this title for compliance with its provisions and notify the individual, if a candidate, or treasurer or, in the treasurer's absence, the deputy treasurer, if a committee other than a candidate committee, on whose behalf the report or statement is filed, or filer of any material omission or deficiency. (f) Availability of public records. The Commission shall make all registrations, reports and statements filed with it available to the public during regular business hours, subject to the Open Records Act, Section 24A.1 et seq. of Title 51 of the Oklahoma Statutes, within two (2) business days of receipt. No original or record copies of reports, registrations or statements shall be removed from the office of the Commission. No information or identification shall be required by the Commission as a condition of viewing or copying a registration, report or statement which is available to the public. (g) Preservation of documents. The Commission shall preserve such reports, registrations and statements in accordance with the Records Management Act, Section 201 et seq. of Title 67 of the Oklahoma Statutes, or for a period of at least five (5) years from date of receipt. (h) Ethics interpretations. The Commission may, in its discretion and where appropriate, issue ethics interpretations pertaining to the provisions of this title when requested by any person or committee who may be subject to the jurisdiction of the Commission. Before issuing an ethics interpretation, the Commission shall announce its consideration of an ethics interpretation at a meeting of the Commission, provide interested persons with a copy of the request for the ethics interpretation with sufficient deletions to prevent the disclosure of the identity of the person or persons involved in the situations presented in the request for the ethics interpretation, schedule and provide notice of a hearing on the request no fewer than thirty (30) days after the announcement and accept both written and oral comments on the request at the hearing. At least five (5) days before the hearing, Commission staff comments and/or draft ethics interpretations shall be made available to the public for comment. Should the Commission determine that a request requires a response more quickly than the notice and hearing would permit, the Commission may issue a confidential “emergency opinion” without notice and a hearing, and such an emergency opinion shall apply only to the person making the request and shall be limited to the specific fact situation included in the request. Notwithstanding the issuance of such an emergency opinion, the request for an ethics interpretation shall be scheduled for notice and hearing, the same as any other request. If the ethics interpretation thereafter adopted is different than the emergency opinion, the ethics interpretation shall be given prospective effect. The Commission shall make all ethics interpretations issued available to the public within thirty (30) days of the date of issuance. Provided, failure of a person to 23 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-7 request an ethics interpretation shall have no relevance in any subsequent proceeding under this title involving such person. Provided further, such interpretation shall be binding on the Commission in any subsequent proceeding under this title. The Commission shall publish its ethics interpretations annually; provided that sufficient deletions shall be made by the Commission in published ethics interpretations or ethics interpretations made available to the public to prevent the disclosure of the identity of the person or persons involved in the situations presented in the ethics interpretations. The executive director or the general counsel may issue informal written opinions, as time permits and with the prior approval of the chair or vice chair, pertaining to the provisions of this title on questions that are susceptible to a single analysis by the clear language of the rule and are not the subject of litigation, investigation or legislation. The Commission shall publish informal written opinions annually; provided that sufficient deletions shall be made by the Commission in published informal written opinions or informal written opinions made available to the public to prevent the disclosure of the identity of the person or persons involved in the situations presented in the informal written opinions. If the matter is subject to more than one analysis, the executive director or general counsel may give an oral opinion but shall inform the petitioner of the dual analysis and the need to request a formal ethics interpretation and shall provide the Commission with an account of the question or questions asked and the rule provision or provisions to which they pertain. (i) Hearings and subpoenas. The Commission shall, pursuant to this title and as specifically authorized by law, hold hearings, subpoena witnesses upon a vote of a majority of the members of the Commission, and compel their attendance and testimony, administer oaths and affirmations, take evidence, and require by subpoena the production of any books, papers, records, or other items relevant to the performance of the Commission's duties or exercise of its powers. (j) Investigations. The Ethics Commission shall conduct investigations and hearings concerning alleged violations of its rules governing ethical conduct for campaigns for elective state office, campaigns for initiatives and referenda and for ethical conduct of state officers and state employees and certify its own acts and records and determine whether to investigate and act upon an allegation. (k) Prosecution. The Commission shall, when it deems appropriate, prosecute in the district court of the county where the violation occurred violations of the provisions of this title governing ethical conduct of campaigns, state officers, state employees, and lobbyists. Where uncertainty exists as to the county in which the violation occurred, the Commission may prosecute in any county in which the evidence indicates the violation might have been committed. (l) Settlement. The Commission may settle allegations or investigations and accept payment of fines without court order. Fines paid shall be deposited with the State Treasurer to the credit of the General Revenue Fund of the State of Oklahoma. (m) Promulgate constitutional rules. After public hearing, the Commission shall promulgate rules of ethical conduct for campaigns for elective state office, for campaigns for initiatives and referenda and for state officers and employees, including civil penalties for violation of those rules, pursuant to the provisions of Section 3 of Article XXIX of the Oklahoma Constitution. An amendment, which is not sponsored by a commissioner, shall not be included in the draft of amendments subject to a final vote of the Commission. (n) Annual Report. No later than December 1 of each year, the Commission shall report to the five appointing authorities on the Commission's activities in the preceding fiscal year. The report shall contain the names and duties of each individual employed by the Commission and a summary of Commission determinations and ethics interpretations. The Commission shall prevent disclosure of the identity of a person involved in investigations, complaints or ethics interpretations. The report may contain other information on matters within the Commission's jurisdiction and recommendations for legislation as the Commission deems desirable. (o) The Ethics Commission may take other actions it deems appropriate to fulfill its constitutional or statutory duties. Amended Laws 1995. Amended Laws 1996. Amended Laws 1997. Amended Laws 1998. Amended Laws 2003. Amended Laws 2004. Amended Laws 2007. Amended Laws 2009. 257:1-1-7. Forms and publications The Executive Director shall devise or designate forms and form software and publications to conform with this title, subject to the approval of the Commission, which shall include, but not be limited to, the following forms and publications and shall make such forms, form software and publications available to the public: (1) Copy of Article XXIX of the Oklahoma Constitution and this title; (2) Statement of organization; (3) Campaign contributions and expenditures report; (4) Request for rule adoption, amendment or repeal; (5) Statement of inactivity; (6) Last minute contributions report; (7) Last minute independent expenditures report; (8) Contributor statement; (9) Statement of financial interests; (10) Lobbyist or other person gift report; 74, Ch. 62, App. STATE GOVERNMENT 24 257:1-1-7 ETHICS COMMISSION RULES O.S. 2011 (11) Request for ethics interpretation; (12) Prohibited acts of classified state employees; and (13) Notices, instructions, and educational manuals for filling out forms and complying with this title. Amended Laws 1996. 257:1-1-8. Availability of documents (a) Documents shall be available to the public for inspection between 8:00 a.m. and 5:00 o'clock p.m. on business days. (b) Persons wishing to photocopy documents in the custody of the Ethics Commission may do so in accordance with provisions of the Open Records Act. Photocopies of documents may be made upon payment of twenty-five cents ($.25) per page for each page of a document requested. The Executive Director may, in his or her discretion, require additional fee payment, as provided in the Open Records Act, to recover and photocopy documents requested. 257:1-1-9. Request for ethics interpretation (a) Any person who may be subject to the jurisdiction of the Commission, may request in writing an interpretation regarding the application of such rule to the facts or hypothetical set of facts furnished with the inquiry. Such request may be in the form of a petition for ethics interpretation. The petition shall state fully the facts of the situation of the requesting party as are or may be pertinent to the rule. Such person may request the assistance of the Commission's staff in complying with the requirements of this section. The Commission may respond, in its discretion and where appropriate, to such questions by assigning the request or inquiry to administrative staff for review. Thereafter, the Commission may make a final determination of the interpretation. The interpretation of the rule will be furnished in writing to the person making the request. (b) The Commission shall not issue ethics interpretations on matters it knows to be the subject of pending investigation, litigation or legislation. (c) The petition shall be in substantially the following form: BEFORE THE ETHICS COMMISSION In the matter of the petition No. (to be for Ethics Interpretation assigned by of staff) PETITION FOR ETHICS INTERPRETATION , a person who may be subject (Name of Petitioner) to the jurisdiction of the Commission states: The facts upon which this petition is based are as follows: (State facts in general terms and explain why question exists.) WHEREFORE, petitioner requests that the Commission review this petition and make a final determination of the interpretation requested and provide the interpretation in writing to petitioner. PETITIONER DATE: 257:1-1-10. Request for rule adoption, amendment or repeal All interested persons may ask the Commission to adopt, amend or repeal a rule; such request shall be in writing and filed with the Commission. The request shall set forth fully the reasons for its submission; the alleged need or necessity therefor, whether or not the proposal conflicts with any existing rule, and what, if any, statutory provisions are involved. Such persons may request the assistance of the Commission's staff in complying with the requirements of this section. Such request shall be considered by the Commission and, if approved, notice shall be given that such proposal will be formally considered for adoption. If, however, it is initially determined that the proposal or request is not a necessary adoption, amendment or repeal, the same shall be refused and the decision reflected in the records of the Commission. A copy shall be sent to the interested person who submitted the request. BEFORE THE ETHICS COMMISSION In the matter of the No. (to be petition for Rule assigned (Adoption, Amendment or by staff) Repeal) PETITION FOR RULE (ADOPTION, AMENDMENT OR REPEAL) , an interested person, (Name of Petitioner) requests that the Commission (adopt, amend or repeal) 25 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:1-1-11 the following: (if a request to adopt, amend or repeal, set out Rule in question) WHEREFORE, petitioner requests that the Commission consider this petition and approve the proposal submitted. PETITIONER DATE: 257:1-1-11. Misc e l lan eo u s c iv il penalty provisions (a) Civil penalties for violations of title. The Commission may recommend to the district court, and the district court, upon finding that a respondent has violated a provision of this title, may assess one of the following penalties: (1) Civil penalties for non-willful violations. A person who violates a provision of this title shall be liable for a civil penalty: (A) not to exceed one thousand dollars ($1,000) per violation for inadvertent disclosure violations in registrations, reports or statements filed under Chapters 10, 15, 20 and 23; (B) not to exceed two thousand dollars ($2,000) per violation, (i) for inadvertent failure to file registrations, reports, statements or changes in information relating to committee officer vacancies, or (ii) for inadvertent non-disclosure violations; (C) for inadvertent violations not included in Subparagraphs (A) or (B), not to exceed: (i) fifteen thousand dollars ($15,000) per violation, or (ii) an amount up to three (3) times the amount of the total amount of an unlawful contribution or expenditure, whichever is greater; and (2) Civil penalties for willful violations. A person who willfully violates a provision of this title shall be liable for one or more of the following civil penalties: (A) Fine. A fine not to exceed fifty thousand dollars ($50,000); (B) Administrative debarment. In the case of a state officer or state employee who has violated Chapter 20 of this title, the person may be prohibited, for not more than five (5) years, from making an oral or written communication or appearance before, with the intent to influence, the governmental entity in which the former officer or employee served; (C) Censure, suspension or removal from office. In the case of a: (i) state officer liable to impeachment, a recommendation to the House of Representatives that the officer be removed from office. (ii) state officer not subject to impeachment or a state employee in the classified or unclassified service, a recommendation to the appropriate appointing authority that the state officer or state employee be censured, suspended, or removed from office or employment. (iii) member of the state legislature, a recommendation to the presiding officer of the appropriate chamber of the legislature that the legislator be censured or subject to expulsion from office. (iv) judge not subject to impeachment, a recommendation to the Oklahoma Supreme Court that the judge be censured or removed from office. (3) Third and subsequent violations. A person who violates a provision of this title three or more times shall be liable for a fine not to exceed: (A) twenty-five thousand dollars ($25,000) per violation for inadvertent violations or fifty thousand dollars ($50,000) for willful violations, or (B) an amount up to three (3) times the amount of the total amount of an unlawful contribution or expenditure, whichever is greater. (4) For violations relating to or arising out of a candidacy. The Commission may recommend and the district court may, upon determination of a violation of a provision of Chapter 10 of this title, require the candidate, elective officer, or committee to: (A) forfeit a prohibited contribution or the excessive portion of a contribution to be deposited with the State Treasurer to the credit of the General Revenue Fund; or (B) return a prohibited contribution or the excessive portion of a contribution to the original contributor. (5) For violations of Chapter 20 or 23. The Commission may recommend and the district court may, upon determination of a violation of a provision of Chapter 20 or 23 of this title, subject the officer, employee, or lobbyist to the following: (A) forfeiture of gifts, receipts or profits obtained through a violation of Chapter 20 or 23 of this title; 74, Ch. 62, App. STATE GOVERNMENT 26 257:1-1-11 ETHICS COMMISSION RULES O.S. 2011 (B) voiding of a state action obtained through a violation of the Commission's rules; (C) civil penalties as set forth in this subsection; or (D) a combination of the penalties provided for in this paragraph. (b) Action by other governmental entities. Nothing in this section shall prevent a governmental entity from conducting its own investigation or taking its own disciplinary action as provided by law with respect to a violation committed by an officer or employee of such governmental entity. (c) Penalties to General Revenue Fund. A forfeiture, fine, reimbursement, penalty, or other property collected by the Commission as a penalty under this title shall be deposited with the State Treasurer to the credit of the General Revenue Fund. Tangible personal property other than money collected as a penalty or assessment under this title shall be deposited with and liquidated by the State Treasurer and the proceeds thereof deposited to the credit of the General Revenue Fund. (d) Liability. If two (2) or more persons are responsible for an inadvertent violation, they shall be equally liable for a proportionate share of the penalty. If two (2) or more persons are responsible for a willful violation, they shall be jointly and severally liable for said penalty. Amended Laws 1995. Amended Laws 2010, House Bill 2408, § 3, emerg. eff. July 1, 2010. 257:1-1-12. D i s c lo s u r e o f c o n f id e n t i a l information If the Commission, upon a vote of a majority of the members serving, determines that any information or record made confidential by the provisions of this title has been disclosed by a member or employee of the Commission, it shall immediately request that: (1) the member voluntarily resign from the Commission, or (2) the employee be terminated. 257:1-1-13. Effective date of this chapter The effective date of this chapter was July 1, 1994. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 6, 1995 was July 1, 1995. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 6, 1996 was July 1, 1996. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 3, 1997 was July 1, 1997. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 3, 1998 was July 1, 1998. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 1, 1999 was July 1, 1999. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 8, 2000 was July 1, 2000. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 5, 2001 was July 1, 2001. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 5, 2002 was July 1, 2002. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 3, 2003 was July 1, 2003. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 3, 2004 was July 1, 2004. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 7, 2005 shall be July 1, 2005. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 7, 2006 was July 1, 2006. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 5, 2007 and House Bill 2110 was July 1, 2007. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 5, 2008 was July 1, 2008. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 2, 2009 was July 1, 2009. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 2, 2010, was July 1, 2010. The effective date of the amendments to this chapter submitted to each House of the Legislature and to the Governor on February 7, 2011, shall be July 1, 2011. Amended Laws 1995, Amended Laws 1996. Amended Laws 1997. Amended Laws 1998. Amended Laws 1999. Amended Laws 2000. Amended Laws 2001. Amended Laws 2002. Amended Laws 2003. Amended Laws 2004. Amended Laws 2005. Amended Laws 2006. Amended Laws 2007. Amended Laws 2008. Amended Laws 2009. Amended Laws 2010, including House Bill 2408, emerg. eff. July 1, 2010. Amended Laws 2011. 257:1-1-14. Applicability of rules The rules of this chapter are adopted pursuant to Article XXIX of the Oklahoma Constitution. The partial or total invalidity of any section or sections of this chapter, found by a court of competent jurisdiction, shall not affect the valid sections. 27 STATE GOVERNMENT 74, Ch. 62, App. O.S. 2011 ETHICS COMMISSION RULES 257:10-1-2 CHAPTER 10. CAMPAIGN REPORTING Section 257:10-1-1. General purpose and authority 257:10-1-2. Contributions 257:10-1-3. Use of public funds, property, time, and personnel to influence elections 257:10-1-4. Classified employees' political activity 257:10-1-5. Solicitation of and contributions by state employees 257:10-1-6. Limitation on fundraisers in Oklahoma County 257:10-1-7. Expenditures 257:10-1-8. Designation of candidate committees 257:10-1-9. Committee officers and agents 257:10-1-10. Campaign depositories and campaign accounts 257:10-1-11. Registration requirements 257:10-1-12. Statement of organization 257:10-1-13. Required reports of contributions and expenditures 257:10-1-14. Report contents 257:10-1-15. Report of last minute contributions/receipts 257:10-1-16. Report of last minute independent expenditures 257:10-1-17. Notification of filing obligation 257:10-1-18. Report filing requirements 257:10-1-19. Dissolution procedures 257:10-1-20. Use of campaign contributions and use of surplus funds 257:10-1-21. Effective date of this chapter 257:10-1-22. Applicability of rules 257:10-1-1. General purpose and authority The rules of this c |
Date created | 2011-07-21 |
Date modified | 2011-10-27 |