Alabama Administrative Code Title 340 - ALABAMA ETHICS COMMISSION
The Alabama Administrative Code, Title 340, is dedicated to the Alabama Ethics Commission. This Commission is a vital independent state agency responsible for interpreting, administering, and enforcing the Alabama Ethics Act (Title 36, Chapter 25 of the Code of Alabama) and the Fair Campaign Practices Act (FCPA).
Its overarching mission is to promote public confidence in the integrity of government by ensuring that public officials and employees operate ethically, avoid conflicts of interest, and do not use their public positions for personal gain.
Key Areas of Regulation under Title 340:
Title 340 primarily consists of Chapter 340-X-1, which governs the "General Operations" of the Alabama Ethics Commission. While some older chapters related to specific aspects like "Statement of Economic Interests," "Lobbying," or "Notification of Contract with the State" have been repealed, their core content is now often directly integrated into the Ethics Act itself or covered under the general operations.
Here's a breakdown of the key areas of regulation typically found in Title 340:
Chapter 340-X-1 - General Operations: This is the core chapter and outlines the Commission's procedures and policies:
Handling of Cases/Complaints (Rule 340-X-1-.01): This is a detailed rule outlining the process for how complaints against public officials or employees are handled. It covers:
Notification to the respondent of a complaint and charges.
Right to legal counsel for the respondent.
Discovery procedures (though the Commission's investigatory report and internal documents are generally not discoverable).
Rules of evidence for hearings (not strictly applied; hearsay may be considered).
Procedures for conducting hearings, including the separation of complainant and respondent during their respective presentations.
Right of the respondent to testify (but cannot be compelled).
Procedures for continuances.
Right of appeal/reconsideration of the Commission's decision.
Provisions for administrative resolution of cases.
Informal Opinions (Rule 340-X-1-.04): Authorizes the Director and General Counsel to issue confidential informal opinions on the meaning and application of the Ethics Act. These opinions are prospective and do not carry the same legal immunity as formal opinions.
Precertifications (Rule 340-X-1-.05): Addresses the process for individuals to seek precertification from the Commission regarding compliance with the Ethics Act for specific actions.
Liquidation of Campaign Property (Rule 340-X-1-.06): Provides rules for how campaign property (e.g., equipment, funds) must be disposed of or accounted for, often requiring a reasonable fair market value for any transfer.
Access to Commission Records (previously in 340-X-1-.03, but typically integrated into general policy): Outlines which records are publicly accessible (e.g., Statements of Economic Interests, lobbyist registration forms, quarterly lobbying activity statements) and the procedure for requesting them.
Statements of Economic Interests (SEI): While the detailed chapter (340-X-2) has been repealed, the rules for who must file, when, and the requirements for online filing are fundamental to the Ethics Act and are administered by the Commission. Public officials and designated public employees must file SEIs annually. Candidates for office also have specific SEI filing deadlines.
Lobbying Regulations: Rules for the registration of lobbyists and principals, and the filing of quarterly statements of lobbying activities and expenditures. These details are critical for transparency in governmental influence.
Ethics Training: The Commission is responsible for assuring that public officials and designated public employees complete assigned ethics training.
Scope and Importance of the Alabama Ethics Commission's Rules:
The rules of the Alabama Ethics Commission are crucial for:
Preventing Conflicts of Interest: Prohibiting public officials and employees from using their position for personal financial gain for themselves, family members, or associated businesses.
Promoting Transparency: Requiring disclosure of financial interests, lobbying activities, and campaign finance information.
Ensuring Accountability: Providing a mechanism for investigating alleged violations of the Ethics Act and imposing disciplinary actions.
Guiding Ethical Conduct: Offering guidance through advisory and informal opinions to help individuals comply with the law.
Fair Campaign Practices: Overseeing certain aspects of campaign finance, including reporting requirements.
How to Access Alabama Administrative Code, Title 340:
The most authoritative and up-to-date sources for the Alabama Administrative Code are:
Alabama Legislative Services Agency - Administrative Code: This is the official online portal for the Alabama Administrative Code.
Website: https://admincode.legislature.state.al.us/administrative-code/
From the agency list, select "340 - Alabama Ethics Commission". You will then find Chapter 340-X-1 and its current rules.
Alabama Ethics Commission Official Website: The Commission's official website is an excellent resource, often providing direct links to their rules, the full text of the Alabama Ethics Act, relevant forms (like SEI forms, lobbyist registration forms), advisory opinions, and FAQs.
Website: https://ethics.alabama.gov/ (Look for "Law & Rules" or similar sections).
Legal Information Institute (LII) at Cornell Law School / Justia: These legal research websites also compile and provide access to state administrative codes.
LII: https://www.law.cornell.edu/regulations/alabama/title-340
Justia: https://regulations.justia.com/states/alabama/title-340/
Key Considerations:
Statutory Basis: The administrative rules in Title 340 directly implement the Alabama Ethics Act (Code of Alabama 1975, Title 36, Chapter 25) and the Fair Campaign Practices Act. It is essential to consult both the statutes and the administrative rules for a complete understanding.
Dynamic Nature: Ethics laws and regulations can be subject to change based on legislative action or Commission interpretations. Always ensure you are consulting the most current versions.
Strict Enforcement: The Alabama Ethics Commission is known for its rigorous enforcement of the Ethics Act, and violations can carry serious consequences for public officials and employees.
Seeking Guidance: Individuals who believe their actions may fall under the purview of the Ethics Act are strongly encouraged to seek an advisory opinion from the Commission or consult with legal counsel specializing in ethics law.
RELATED Blog
0 comments