Emergency Sections
An agency may adopt a new or amended section or repeal an existing section on an 
emergency basis if it determines that such action is necessary for the public 
health, safety, or welfare of this state. The section may become effective 
immediately upon filing with the Texas Register, or on a stated date less than 
20 days after filing, for no more than 120 days. The emergency action is 
renewable once for no more than 60 days.
Symbology in amended emergency sections. New language added to an existing 
section is indicated by the use of bold text. [Brackets] indicate deletion of 
existing material within a section.
TITLE 1. ADMINISTRATION
Part II. Texas Ethics Commission
Chapter 3. Practice and Procedure
Subchapter C. Sworn Complaints
1 TAC sec.sec.3.111, 3.113, 3.115, 3.117, 3.119, 3.131 3.133, 3.135, 3.137
The Texas Ethics Commission adopts on an emergency basis new sec.sec.3.111, 3. 
113, 3.115, 3.117, 3.119, 3.131, 3.133, 3.135, and 3.137 concerning sworn 
complaints. The new sections set forth the guidelines and requirements 
concerning the filing of a sworn complaint with the Texas Ethics Commission.
The commission has determined that adoption of these sections as soon as 
possible is in the public interest and is necessary in order to comply with 
Texas Civil Statutes, Article 6252-9d (Vernon's Supplement 1991), which governs 
the complaint procedure before the commission.
The new sections are adopted on an emergency basis under Texas Civil Statutes, 
Article 6252-9d.1, (Vernon's Supplement 1991), effective January 1, 1992, which 
provide the Texas Ethics Commission with the authority to promulgate all rules 
and regulations necessary in carrying out the provision of the Act.
sec.3.111. Definitions.  The following words and terms, when used in this 
chapter shall have the following meanings, unless the context clearly indicates 
otherwise.
 Act-Texas Civil Statutes, Article 6252-9d.1 (Vernon's Supplement 1992).
 Complainant-Any person who files a sworn complaint with the Texas Ethics 
Commission.
 Respondent-Any person who is alleged to have committed a violation of a rule 
adopted by or a law administered and enforced by the Texas Ethics Commission.
sec.3.113. General Requirements of a Sworn Complaint. <ol> A sworn complaint 
must be in writing and under oath and must state on its face an allegation that, 
if true, constitutes a violation of a rule adopted by or a law administered and 
enforced by the Texas Ethics.
(1) A sworn complaint must set forth the following in simple, concise, and 
direct statements:
(A)  the name and street or mailing address of the complainant;
(B) the name, position or title, and address, if known, of each respondent;
(C)  the nature of the alleged violation, including if possible the specific 
rule or provision of law alleged to have been violated;
(D) a statement of facts alleged to constitute the violation and the dates or 
period of time in which the alleged violation occurred;
(E) all documents or other material available to the complainant that are 
relevant to the allegation, a list of all documents or other material within the 
knowledge of the complainant and available to the complainant that are relevant 
to the allegation but that are not in the possession of the complainant, 
including, if known, the location of the documents, and a list of all documents 
or other material within the knowledge of the complainant that are unavailable 
to the complainant and that are relevant to the complaint, including, if known, 
the location of the documents.
(2) The complaint must be accompanied by an affidavit stating that the 
information contained in the complaint is true and correct or that the 
complainant has good reason to believe and does believe that the violation 
occurred. An affidavit based on information and belief must state the source and 
basis of the information and belief. The complainant must swear to the facts by 
oath or affirmation before a notary or other authorized official.
sec.3.115. Availability and use of Sworn Complaint.
(a)  Availability. The Texas Ethics Commission has prescribed a sworn complaint 
form to be used by persons filing complaints. The form is available at the Texas 
Ethics Commission, 1101 Camino La Costa, Austin, Texas 78752.
(b) Use of sworn complaint form. A person filing a sworn complaint should use 
the sworn complaint prescribed by the Texas Ethics Commission. A sworn complaint 
filed with the Texas Ethics Commission on a form not prescribed by the 
commission will be sufficient provided the sworn complaint is legible, 
substantially adopts the format of the prescribed form, and otherwise complies 
with the Act, sec.1.15 and the commission rules.
sec.3.117. Identification of the Complainant.
(a) Name. The name of the complainant is sufficient if the full first and last 
name and middle initial, if any, is disclosed.
(b) Address. The address of the complainant is sufficient if the home, business 
street, or mailing address is disclosed, provided, however, that the address 
must be one where certified or registered mail, restricted delivery, return 
receipt requested may be sent to the complainant.
sec.3.119. Identification of the Respondent.
(a) Name. The name of the respondent is sufficient if the full first and last 
name and middle initial, if any, is disclosed.
(b) Position or title. The position or title of the respondent is sufficient if 
the information discloses the capacity in which the respondent is alleged to 
have committed the violation (e.g lobbyist, candidate, officeholder) and in the 
event more than one person holds a similar position or title, the information 
further specifically identifies the particular position or title held by the 
respondent. In the event the respondent does not hold a title or position of if 
the alleged violation consists of the respondent's failure to hold a position 
required by law, such as failure to register as a lobbyist, the complaint is 
sufficient if the sworn complaint taken as a whole discloses the circumstances 
under which the respondent is subject to a rule adopted by or a law administered 
and enforced by the Texas Ethics Commission.
(c) Address. The address of the respondent must be provided, if known by the 
complainant.
(d) Multiple respondents. In the event the complaint names two or more 
respondents, identifying information required by the Act, sec.1.15 of the Act 
and these rules must be listed separately as to each respondent.
sec.3.131. Nature of Violation.
(a) General rule. A description of the nature of an alleged violation shall 
consist of a short, concise statement of the commission rule or provision of law 
alleged to have been violated. The complaint should, if possible, specifically 
identify the relevant rule or provision of law. However, a description is 
sufficient if the relevant rule or provision of law can reasonably be 
ascertained from the description and the from the statement of facts required by 
the Act, sec.1.15(b)(4) and these rules.
(b) Erroneous designation. A description of the nature of an alleged violation 
which erroneously designates a specific rule or provision of law is nonetheless 
sufficient if the correct designation can be reasonably be ascertained as 
provided in these rules and if the commission determines that the erroneous 
designation is not calculated to mislead the respondent.
sec.3.133. Statement of Facts.
(a) General rule. A description of the facts constituting an alleged violation 
must state facts which, if true, establish each element of a violation and must 
provide sufficient detail to reasonably place the respondent on notice of the 
rule or provision of law violated, of the manner and means by which the 
violation allegedly occurred, and to afford the respondent an opportunity to 
prepare a response.
(b)  Dates. A description of the facts must, if possible, disclose the specific 
date(s) on which the alleged violation occurred. If the complainant is unable to 
provide specific dates, the complaint must disclose a specific period of time in 
which the alleged violation occurred. In either event, the statement of facts 
must disclose that the alleged violation occurred subsequent to December 31, 
1991.
(c) Documents. The statement of facts may adopt by reference the content of 
documents that are attached to and made a part of the complaint. However, the 
statement of facts must reasonably identify those portions of the document that 
are relevant to the alleged violation.
sec.3.135. Relevant Documents or Other Material.
(a) Relevance. For purposes of this rule, a document or other material is 
relevant if the document or material has a tendency to make the existence of any 
fact that is of consequence to the alleged violation more probable or less 
probable than it would be without the document or other material.
(b) Documents or other material in possession of complainant. The complaint must 
describe or should attach duplicates of all documents or other materials that 
are relevant to the allegation and that are in the possession of the 
complainant, including duplicates of records that are in the possession of the 
complainant.
(c)  Documents or other material not in the possession of complainant. The 
complaint must list all documents or other material within the knowledge of the 
complainant that are relevant to the allegation but are not in the possession of 
the complainant. The list must describe the document or material with sufficient 
detail to disclose its relevance. The list must also describe the location of 
the document if known.
sec.3.137. Affidavit.
(a) Form. The complaint must be verified. The form of the verification is 
sufficient if the complaint is based on oath or affirmation before a notary 
public or other person authorized by law to administer oaths.
(b) Contents of oath or affirmation. The oath or affirmation must either state 
that the factual allegations in the complaint are true and correct or that the 
allegations are based on information and belief.
(c) Basis for oath or affirmation. An oath or affirmation stating that the 
allegations are true and correct must be based on personal knowledge. An oath or 
affirmation based on information and belief may be based on personal knowledge 
or information gained from other sources.
(d) Oath or affirmation based on information and belief. An oath or affirmation 
based on information and belief must state the source and basis of the 
information. The complaint sufficiently identifies the source of the information 
if the source, in the case of an individual, is named or identified by position, 
and in the case of documents if the nature of the document is described. The 
complaint sufficiently identifies the basis of the information if the complaint 
states the substance of the information received. A complaint is sufficient if 
it is based in part on an anonymous source, provided however that additional 
facts are stated that independently corroborate the source.
Issued in Austin, Texas, on February 18, 1992.
TRD-9202438
Jim Mathieson
Attorney
Texas Ethics Commission
Effective date: February 18, 1992
Expiration date: June 17, 1992
For further information, please call: (512) 406-0100