Indiana Administrative Code
Title 40 - STATE ETHICS COMMISSION
Article 2 - STATE OFFICERS AND EMPLOYEES
Rule 3 - Adjudication Proceedings before the State Ethics Commission
Section 3-4.1 - Public hearings

Universal Citation: 40 IN Admin Code 3-4.1

Current through March 20, 2024

Authority: IC 4-2-6-4

Affected: IC 4-2-6-12: IC 4-21.5-3

Sec. 4.1.

(a) Upon a finding of probable cause, the commission shall set a public hearing on the matter.

(b) Prior to the public hearing, the commission shall:

(1) send a copy of the complaint filed by the inspector general to the respondent pursuant to service requirements under IC 4-21.5-3-1; and

(2) serve notice of a public hearing to the respondent in accordance with the requirements set forth in IC 4-21.5-3-20.

(c) The respondent may be represented by counsel, who shall file a written appearance with the commission.

(d) The parties or counsel for either party may:

(1) exercise all discovery provisions under Trial Rules 26 through 37; and

(2) file motions in writing at any time after the filing of the complaint.

All appearances and filings must be filed with the commission in writing, with a copy served to the respondent or the respondent's counsel and the inspector general's counsel.

(e) There are no specific requirements of a form for any pleading, except:

(1) cases shall be titled "In the Matter of";

(2) the title provided for shall appear at the upper left portion of the initial page of any pleading or paper (other than exhibits) filed;

(3) the initial page of any pleading or paper (other than exhibits) shall show, opposite the title, the case number assigned by the commission, if known; and

(4) motions and petitions shall contain the name, address, and phone number of the person filing, including any counsel representing a party, and shall be signed by the person filing or counsel.

(f) Public hearings may be conducted by either:

(1) the commission; or

(2) one (1) or more commission members acting as administrative law judges.

(g) On motion of a party or the commission chair, the commission chair or an administrative law judge may consolidate hearings on two (2) or more allegations or cases against different persons if:

(1) it is determined that there is substantial identity of facts arising out of a common transaction or event; or

(2) the respondent is the same person although the violations alleged arose from different complaints, transactions, or events. Consolidation shall not be ordered if consolidation will substantially prejudice the right of any party.

(h) The commission chair or an administrative law judge for the hearing shall rule on all motions, except for any motions or actions that would terminate the adjudicatory proceeding. Any motion or action that would terminate the adjudicatory proceeding may be taken only by the commission.

(i) Unless otherwise ordered by the commission chair or administrative law judge, the inspector general and respondent or counsel for respondent shall exchange exhibits and the names and addresses of witnesses at least ten (10) days prior to the public hearing.

(j) After the hearing, the commission chair or the administrative law judge may request that the interested parties submit proposed findings of fact and conclusions of law for the commission's acceptance, rejection, or modification.

(k) If the hearing is conducted by an administrative law judge, the administrative law judge shall submit a recommended report to the full commission and all interested parties.

(I) The finding of a violation by the commission must be based on a preponderance of the evidence and be supported by a majority vote. If the commission finds a violation, the commission may set a penalty as provided in IC 4-2-6-12.

(m) The commission shall state its findings in a written report supported and signed by a majority of the commission. The final report shall be adopted by the commission at a public meeting. The report shall be made public and served upon the respondent and all interested parties.

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