Procedures

ADVISORY OPINIONS

(Rules regarding advisory opinions can be viewed in Chapter 6 of the Rules for the Board of Ethics.)

What is an advisory opinion?
An advisory opinion is a public document that is an official opinion from the Louisiana Board of Ethics as to whether a proposed action is permissible under one of the bodies of law under its jurisdiction. (For example: A public servant wants to know whether his brother can enter into a contract with his agency.)

The Board of Ethics does not render advisory opinions as to the propriety of past actions or if sufficient information is not provided. The request for the advisory opinion and the advisory opinion are public documents.

Who may submit a request for an advisory opinion?
Any person who has a demonstrable and objective interest in the interpretation, construction, or application of any law within the jurisdiction of the Board of Ethics.

What must be included in a written request for an advisory opinion?

1. Name, address, and signature of the person requesting the advisory opinion. The advisory opinion rendered by the Board of Ethics will be mailed to the address provided.
2. Information concerning the following:
   1. The requestor’s interest in the question presented to the Board of Ethics;
   2. The governmental agency involved;
   3. The transaction involved; and
   4. Sufficient facts to enable the Board of Ethics to understand and respond to the question posed.
3. Telephone and/or email address of the person requesting the opinion in case additional information is needed prior to the meeting at which the request will be considered.

How do you submit a request for an advisory opinion?
It may be in a letter-format addressed to the Louisiana Board of Ethics. The request may be submitted by:

1. Mail – P. O. Box 4368, Baton Rouge, LA 70821;
2. Fax – 225/381-7271;
3. Upload – Send in a PDF file format through the Ethics File Upload website; or
4. Hand-delivered – 617 North Third Street, 10th Floor, Baton Rouge, LA 70802.

What is the advisory opinion process?

1. Once the request is received, it is assigned to a staff attorney and will be included on the general agenda for consideration by the Board of Ethics. Following is a link to Board of Ethics’ schedule of meetings: https://ethics.la.gov/BoardMeetings.aspx.
2. The requestor will receive an acknowledgment letter, which will provide the docket number assigned to their request and the anticipated meeting date at which the Board of Ethics will consider the request. If the requestor has questions about their submission or wishes to submit additional information, they should reference the docket number assigned to the matter.
3. The staff attorney will review and prepare a draft advisory opinion for consideration at the appropriate meeting of the Board of Ethics.
4. If the requestor wishes to appear at the meeting, they should contact the staff attorney prior to the meeting.
5. The Board of Ethics, at the public meeting, may render an advisory opinion, which will be mailed to the requestor within 10 days of the meeting at which the opinion was rendered.

CAMPAIGN FINANCE COMPLAINTS

What is a campaign finance complaint?
A campaign finance complaint is a written request asking the Louisiana Board of Ethics to conduct an investigation that a person may have violated a provision of the Campaign Finance Disclosure Act (CFDA) (R.S. 18:1481, et seq.) Following are links to summaries of those laws pertaining to specific filer types: (CFDA Summary for Candidates and CFDA Summary for PACs).

Complaints are confidential and privileged. Neither the Board of Ethics nor its staff are allowed to provide information to the public about such. However, upon receipt of a complaint regarding a violation of the CFDA, the person who is the subject of the complaint is provided with a copy of the complaint, with the name and address of the complainant redacted. Please note, that staff may not be able to redact all identifying information from the body of the complaint, so the complainant should avoid including any such identifying information, if they do not want their identity as the complainant revealed to the respondent.

Who may submit a complaint?

Any person who is a resident of the State of Louisiana.

Is there a form for filing the complaint?

Yes. Following is a link to the form: Campaign Finance Complaint Form

Is the form required to file a complaint?

No. However, R.S. 18:1511.4A(2) requires that the complaint must contain all of the following information:

1. The complainant's full name and mailing address.
2. An email address for the complainant, if available.
3. The identification of each person who is alleged to have violated the Campaign Finance Disclosure Act (“CFDA”).
4. A clear and concise recitation of the facts describing the alleged violation of the CFDA.
5. With respect to statements made in the complaint, the complainant shall:
   1. Indicate whether the statements are based on the complainant’s personal knowledge, or
   2. Include reasonable identification of the source of the information which gives rise to the complainant’s belief in the truth of the statements in the complaint.
6. All documentation in the possession of the complainant that supports the facts alleged in the complaint.

How do you submit a campaign finance complaint?

It may be in a letter-format addressed to the Louisiana Board of Ethics, which may submitted by:

1. Mail – P. O. Box 4368, Baton Rouge, LA 70821;
2. Fax – 225/381-7271;
3. Upload – Send in a PDF file format through the Ethics File Upload website; or
4. Hand-delivered – 617 North Third Street, 10th Floor, Baton Rouge, LA 70802.

What is the campaign finance complaint process?

1. Once the complaint is received, it is assigned to a staff attorney, who will determine whether the complaint provides all the necessary information required by R.S. 18:1511.4A(2). The complainant will receive an acknowledgment letter, which will provide them with the docket number assigned to their complaint.
2. The person identified in the complaint as violating the CFDA is referred to as the respondent.
3. If the complaint does not substantially comply with R.S. 18:1511.4A(2), the staff attorney will send a notice to the complainant and the respondent within 5 business days that no action will be taken with respect to the complaint. A copy of the redacted complaint will be provided to the respondent.
4. If the complaint substantially complies with R.S. 18:1511.4A(2), the staff attorney will send the respondent notice of receipt of the campaign finance complaint, along with a copy of the redacted complaint. The notice shall inform the respondent that they have 15 days from receipt of the notice to submit a letter or memorandum setting forth reasons why the Board should take no action, along with supporting documentation.
5. After the 15 days has expired, the complaint and response/memorandum from the respondent, if one is received, shall be included on the Board of Ethics next agenda for consideration during executive session. At that meeting, the Board of Ethics may by a majority vote decline to investigate the matter or, by a vote of at least 10 members refer the matter to investigation.
6. The purpose of the investigation is to gather facts, which includes obtaining documents and statements from witnesses. An investigation report is compiled and presented back to the Board of Ethics to determine whether a violation of one of the laws under the jurisdiction of the Board of Ethics has occurred and what enforcement action, if any, should be taken. The respondent and the complainant is notified of the final decision of the Board of Ethics.

COMPLAINTS

What is a complaint?
A complaint is a written request asking the Louisiana Board of Ethics to conduct an investigation that a person may have violated a law under its jurisdiction. (For example: The brother of the mayor of the Village of Tanuck entered into a contract with the village.)

Complaints are confidential and privileged. Neither the Board of Ethics nor its staff are allowed to provide information to the public about such. However, if the Board of Ethics refers a person to investigation, that person is given written notice of the investigation, which includes a copy of the complaint (sworn or non-sworn), with the name and address of the complainant redacted. Please note, that staff may not be able to redact all identifying information from the body of the complaint, so the complainant should avoid including any such identifying information, if they do not want their identity as the complainant revealed to the respondent.

Who may submit a complaint?
Any person who is an resident of the State of Louisiana.

What must be included in the complaint?

1. Name and address of the person submitting the complaint. The complainant should also include contact information, such as a telephone number or email address, in the event additional information is needed.
2. Information in the body of the complaint should include the following:
   1. Concise statement of the action that one believes violates a law under the Board of Ethics’ jurisdiction;
   2. The governmental agency involved;
   3. The name of the person, and a description of their actions, the complainant believes violated a provision of law under the Board of Ethics’ jurisdiction; and
   4. Any documents, as well as the names and contact information of witnesses, to support the complainant’s allegation.

How do you submit a request for a complaint?
It may be in a letter-format addressed to the Louisiana Board of Ethics, which may submitted by:

1. Mail – P. O. Box 4368, Baton Rouge, LA 70821;
2. Fax – 225/381-7271;
3. Upload – Send in a PDF file format through the Ethics File Upload website; or
4. Hand-delivered – 617 North Third Street, 10th Floor, Baton Rouge, LA 70802.

What is the complaint process?

1. Once the complaint is received, it is assigned to a staff attorney and will be included on the executive agenda for consideration by the Board of Ethics, which is not open to the public. Following is a link to Board of Ethics’ schedule of meetings: https://ethics.la.gov/BoardMeetings.aspx.
2. The complainant will receive an acknowledgment letter, which will provide them with the docket number assigned to their complaint and the anticipated meeting date at which it will be considered by the Board of Ethics. If the complainant has questions about their submission or wishes to submit additional information, they should reference the docket number assigned to the matter.
3. Sworn complaint v. non-sworn complaint.
   1. A sworn complaint shall be considered by the Board of Ethics and includes the complainant’s signature and oath attesting to the truthfulness of the statements contained in the complaint, along with a notary’s signature. The person who submits a sworn complaint receives a copy of the notice of the investigation that is sent to the subject of the complaint, in the event an investigation is opened.
   2. A non-sworn complaint may be considered by the Board of Ethics upon their vote. The person who submits a non-sworn complaint only receives notice of the final disposition of their complaint.
   3. To refer a matter to investigation based on information in a non-sworn complaint requires the vote of at least eight members of the Ethics Board.
4. The purpose of the investigation is to gather facts, which includes obtaining documents and statements from witnesses. An investigation report is compiled and presented back to the Board of Ethics to determine whether a violation of one of the laws under the jurisdiction of the Board of Ethics has occurred and what enforcement action, if any, should be taken. The Board of Ethics may file charges, impose fines, or seek other administrative remedies for violations of law. The complainant is notified of the final decision of the Board of Ethics within 10 days of its meeting.
5. For sworn complaints, the investigation must be completed within one year of receipt of complaint. For non-sworn complaints, the investigation must be completed within one year of the Ethics Board’s vote to refer the matter to investigation. These time periods can be extended by agreement of the person(s) subject to the investigation.