§97-6  Administration.  (a)  The stateethics commission shall administer and implement this chapter, and shall havethe following powers and duties:

(1)  Initiate, receive, and consider chargesconcerning alleged violations of this chapter, and investigate or cause to beinvestigated on a confidential basis, the activities of any person to determinewhether the person is in compliance with this chapter;

(2)  Prescribe forms for the statements and reportsrequired by sections 97-2 and 97-3 and establish orderly procedures forimplementing the requirements of those provisions;

(3)  Render advisory opinions upon the request of anyperson subject to this chapter.  If no advisory opinion is rendered withinthirty days after the request is filed with the commission, it shall be deemedthat an advisory opinion was rendered and that the facts and circumstances ofthat particular case do not constitute a violation of this chapter.  Theopinion rendered or deemed rendered, until amended or revoked, shall be bindingon the commission in any subsequent charges concerning the person subject tothis chapter who sought the opinion and acted in reliance on it in good faith,unless material facts were omitted or misstated by the person in the requestfor an advisory opinion;

(4)  Issue subpoenas, administer oaths, and exercisethose powers conferred upon the commission by section 92-16;

(5)  Adopt rules, not inconsistent with this chapter,as in the judgment of the commission seem appropriate for the carrying out ofthis chapter and for the efficient administration of this chapter, includingevery matter or thing required to be done or which may be done with theapproval or consent or by order or under the direction or supervision of, or asprescribed by, the commission.  The rules, when adopted as provided in chapter91, shall have the force and effect of law; and

(6)  Have jurisdiction for purposes of investigationand taking appropriate action on alleged violations of this chapter in allproceedings commenced within three years of an alleged violation of thischapter.  A proceeding shall be deemed commenced by the filing of a charge withthe commission or by the signing of a charge by three or more members of thecommission.  Nothing shall bar proceedings against a person who by fraud orother device prevents discovery of a violation of this chapter.

(b)  Charges concerning the violation of thischapter shall be in writing, signed by the person making the charge under oath,except that any charge initiated by the commission shall be signed by three ormore members of the commission.  The commission shall notify in writing everyperson against whom a charge is received and afford the person an opportunityto explain the conduct alleged to be in violation of the chapter.  The commissionmay investigate, after compliance with this section, such charges and render aninformal advisory opinion to the alleged violator.  The commission shallinvestigate all charges on a confidential basis, having available all thepowers herein provided, and proceedings at this stage shall not be public.  Ifthe informal advisory opinion indicates a probable violation, the personcharged shall request a formal opinion or within a reasonable time comply withthe informal advisory opinion.  If the person charged fails to comply with suchinformal advisory opinion or if a majority of the members of the commissiondetermine that there is probable cause for belief that a violation of thischapter might have occurred, a copy of the charge and a further statement ofthe alleged violation shall be personally served upon the alleged violator. Service shall be made by personal service upon the alleged violator whereverfound or by registered or certified mail with request for a return receipt andmarked deliver to addressee only.  If after due diligence service cannot beeffected successfully in accordance with the above, service may be made bypublication if so ordered by the circuit court of the circuit wherein thealleged violator last resided.  The commission shall submit to the circuitcourt for its consideration in issuing its order to allow service bypublication an affidavit setting forth facts based upon the personal knowledgeof the affiant concerning the methods, means, and attempts made to locate and effectservice by personal service or by registered or certified mail in accordancewith the above.  Service by publication when ordered by the court shall be madeby publication once a week for four successive weeks of a notice in a newspaperof general circulation in the circuit of the alleged violator's last knownstate address.  The alleged violator shall have twenty days after servicethereof to respond in writing to the charge and statement.

(c)  If after twenty days following service ofthe charge and further statement of alleged violation in accordance with thissection, a majority of the members of the commission conclude that there isprobable cause to believe that a violation of this chapter has been committed,then the commission shall set a time and place for a hearing, giving notice tothe complainant and the alleged violator in the same manner as provided insubsection (b).  Upon the commission's issuance of a notice of hearing, thecharge and further statement of alleged violation and the alleged violator'swritten response thereto shall become public records.  The hearing shall beheld within ninety days of the commission's issuance of a notice of hearing. If the hearing is not held within that ninety-day period, the charge andfurther statement of alleged violation shall be dismissed; provided that anydelay that is at the request of, or caused by, the alleged violator shall notbe counted against the ninety-day period. 

All parties shall have an opportunity to:

(1)  Be heard;

(2)  Subpoena witnesses and require the production ofany books or papers relative to the proceedings;

(3)  Be represented by counsel; and

(4)  Have the right of cross-examination.

All hearings shall be in accordance withchapter 91.  All witnesses shall testify under oath and the hearings shall beopen to the public.  The commission shall not be bound by the strict rules ofevidence but the commission's findings shall be based on competent andsubstantial evidence. 

All testimony and other evidence taken at thehearing shall be recorded.  Copies of transcripts of the record shall beavailable only to the complainant and the alleged violator at their ownexpense.  All fees collected under this chapter shall be deposited into thegeneral fund.

(d)  A decision of the commission pertaining tothe conduct of any person subject to this chapter shall be in writing andsigned by three or more of the members of the commission.  A decision of thecommission rendered after a hearing together with findings and the record ofthe proceeding shall be a public record.

(e)  A person who files a frivolous charge withthe commission against any person covered by this chapter shall be civillyliable to the person charged for all costs incurred in defending the charge,including but not limited to costs and attorneys' fees.  In any case where thecommission does not issue a decision or final conclusion in which thecommission concludes that a person has violated this chapter, the commissionshall, upon the written request of the person charged, make a finding as towhether or not the charge was frivolous.  The person charged may initiate anaction in the circuit court for recovery of fees and costs incurred incommission proceedings within one year after the commission renders a decision thatthe charge was frivolous.  The commission's decision shall be binding upon thecourt for purposes of a finding pursuant to section 607-14.5.

(f)  The commission shall cause to be publishedyearly summaries of decisions, advisory opinions, and informal advisoryopinions.  The commission shall make sufficient deletions in the summaries toprevent disclosing the identity of persons involved in the decisions oropinions where the identity of such persons is not otherwise a matter of publicrecord under this chapter. [L 1975, c 160, pt of §1; am L 1979, c 91, §13; am L1980, c 129, §1(g); am L 1982, c 105, §5; am L 1995, c 220, §7; am L 1997, c264, §1; am L 1998, c 17, §1; am L 2001, c 146, §1]