WSR 05-01-028

PROPOSED RULES

PUBLIC DISCLOSURE COMMISSION


[ Filed December 3, 2004, 2:22 p.m. ]

Original Notice.

Preproposal statement of inquiry was filed as WSR 04-18-042.

Title of Rule and Other Identifying Information: WAC 390-37-160 Statement of financial affairs (F-1) penalty schedule, 390-37-165 Candidate registration statement (C-1)/candidate statement of financial affairs (F-1) penalty schedule, 390-37-170 Lobbyist monthly expense report (L-2) penalty schedule, and 390-37-175 Lobbyist employer report (L-3) penalty schedule.

Hearing Location(s): Public Disclosure Commission, 711 Capitol Way, Room 206, Olympia, WA 98504, on January 25, 2005, at 9:00 a.m.

Date of Intended Adoption: January 25, 2005.

Submit Written Comments to: Doug Ellis, Director of Public Outreach, 711 Capitol Way, Room 206, Olympia, WA 98504, e-mail dellis@pdc.wa.gov, fax (206) 753-1112, by January 21, 2005.

Assistance for Persons with Disabilities: Contact Ruthann Bryant by phone (360) 586-0544.

Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: To clarify that those persons who, after one nonfiling occasion, again fail to file required reports will automatically be scheduled before the full commission for enforcement action.

Reasons Supporting Proposal: To provide clarification to elected officials, candidates, lobbyists and lobbyists employers on commission action for repeat nonfilers.

Statutory Authority for Adoption: RCW 42.17.370.

Statute Being Implemented: RCW 42.17.040, 42.17.240, 42.17.170, and 42.17.180.

Rule is not necessitated by federal law, federal or state court decision.

Agency Comments or Recommendations, if any, as to Statutory Language, Implementation, Enforcement, and Fiscal Matters: The rule amendments are needed to provide clarity and guidance to elected officials, candidates, lobbyists and lobbyist's employers.

Name of Proponent: Public Disclosure Commission (PDC), governmental.

Name of Agency Personnel Responsible for Drafting: Doug Ellis, 711 Capitol Way, Room 206, Olympia, WA 98504, (360) 664-2735; Implementation: Susan Harris, 711 Capitol Way, Room 206, Olympia, WA 98504, (360) 753-1981; and Enforcement: Phil Stutzman, 711 Capitol Way, Room 206, Olympia, WA 98504, (360) 664-8853.

No small business economic impact statement has been prepared under chapter 19.85 RCW. The implementation of this rule amendment has minimal impact on small businesses.

A cost-benefit analysis is not required under RCW 34.05.328. The PDC is not an agency listed in subsection (5)(a)(i) of section 201. Further, the PDC does not voluntarily make section 201 applicable to this rule adoption pursuant to subsection (5)(a)(i) of section 201, and, to date, the Joint Administrative Rules Review Committee has not made section 201 applicable to this rule adoption.

December 3, 2004

Vicki Rippie

Executive Director


AMENDATORY SECTION(Amending WSR 03-22-065, filed 11/4/03)

WAC 390-37-160   Statement of financial affairs (F-1) penalty schedule.  


Status 1st Occasion 2nd Occasion 3rd Occasion 4th Occasion
Failed to file report by date of enforcement hearing. $150 $300 $500 Full commission consideration
Filed report after hearing notice but before enforcement hearing. Did not pay settlement amount. $100 $200 $400 Full commission consideration
Filed report after hearing notice but before enforcement hearing. Provided written explanation or appeared at the hearing to explain mitigating circumstances. Did not pay settlement amount. $0 - $100 $100 - $200 $200 - $400 Full commission consideration

Provisos:

(1) The presiding officer has authority to suspend all or a portion of relevant penalty under the conditions to be determined by that officer.

(2) If on the 3rd occasion, a filer has outstanding penalties or judgments, the matter will be taken to the full commission for consideration.

(3) The presiding officer may direct a matter to the full commission if the officer believes five hundred dollars would be an insufficient penalty or the matter warrants consideration by the full commission.

(4) If previously imposed penalties remain unpaid and exceed the amount this penalty schedule would otherwise prescribe for the current violation, the presiding officer may impose a penalty not to exceed the amount of the outstanding penalty, up to five hundred dollars.

(5) "Occasion" means established violation. At the 4th occasion, among other factors, the commission may consider if any prior violations and penalties were stipulated to by the respondent, in determining the amount of the penalty.

(6) Cases will automatically be scheduled before the full Commission for an enforcement action when the person:

(a) was found in violation during a previous reporting period,

(b) the violation remains in effect following any appeals, and

(c) the person has not filed the disclosure forms that were the subject of the prior violation at the time the current hearing notice is being sent.

[Statutory Authority: RCW 42.17.370. 03-22-065, 390-37-160, filed 11/4/03, effective 12/5/03.]


AMENDATORY SECTION(Amending WSR 03-22-065, filed 11/4/03)

WAC 390-37-165   Candidate registration statement (C-1)/candidate statement of financial affairs (F-1) penalty schedule.  


Status 1st Occasion 2nd Occasion 3rd Occasion 4th Occasion
Failed to file F-1 and/or C-1 by date of enforcement hearing. $150 per report $300 per report, up to $500 Full commission consideration Full commission consideration
Filed reports after hearing notice but before enforcement hearing. Did not pay settlement amount. $100 per report $200 per report $400 Full commission consideration
Filed report after hearing notice but before enforcement hearing. Provided written explanation or appeared at the hearing to explain mitigating circumstances. Did not pay settlement amount. $0 - $100

per report

$100 - $200

per report

$200 - $400 Full commission consideration

Provisos:

(1) The presiding officer has authority to suspend all or a portion of relevant penalty under the conditions to be determined by that officer.

(2) If on the 3rd occasion, a filer has outstanding penalties or judgments, the matter will be taken to the full commission for consideration.

(3) The presiding officer may direct a matter to the full commission if the officer believes five hundred dollars would be an insufficient penalty or the matter warrants consideration by the full commission.

(4) If previously imposed penalties remain unpaid and exceed the amount this penalty schedule would otherwise prescribe for the current violation, the presiding officer may impose a penalty not to exceed the amount of the outstanding penalty, up to five hundred dollars.

(5) "Occasion" means established violation. At the 4th occasion, among other factors, the commission may consider if any prior violations and penalties were stipulated to by the respondent, in determining the amount of the penalty.

(6) Cases will automatically be scheduled before the full Commission for an enforcement action when the person:

(a) was found in violation during a previous reporting period,

(b) the violation remains in effect following any appeals, and

(c) the person has not filed the disclosure forms that were the subject of the prior violation at the time the current hearing notice is being sent.

[Statutory Authority: RCW 42.17.370. 03-22-065, 390-37-165, filed 11/4/03, effective 12/5/03.]


AMENDATORY SECTION(Amending WSR 03-22-065, filed 11/4/03)

WAC 390-37-170   Lobbyist monthly expense report (L-2) penalty schedule.  


Status 1st Occasion 2nd Occasion 3rd Occasion 4th Occasion
Failed to file report by date of enforcement hearing. $150 $300 $500 Full commission consideration
Filed report after hearing notice but before enforcement hearing. Did not pay settlement amount. $100 $200 $400 Full commission consideration
Filed report after hearing notice but before enforcement hearing. Provided written explanation or appeared at the hearing to explain mitigating circumstances. Did not pay settlement amount. $0 - $100 $100 - $200 $200 - $400 Full commission consideration

Provisos:

(1) The presiding officer has authority to suspend all or a portion of relevant penalty under the conditions to be determined by that officer. Except in rare circumstances, the nonsuspended portion of the penalty will not be less than the original settlement offer.

(2) If on the 3rd occasion, a filer has outstanding penalties or judgments, the matter will be taken to the full commission for consideration.

(3) The presiding officer may direct a matter to the full commission if the officer believes five hundred dollars would be an insufficient penalty or the matter warrants consideration by the full commission.

(4) If previously imposed penalties remain unpaid and exceed the amount this penalty schedule would otherwise prescribe for the current violation, the presiding officer may impose a penalty not to exceed the amount of the outstanding penalty, up to five hundred dollars.

(5) "Occasion" means established violation. At the 4th occasion, among other factors, the commission may consider if any prior violations and penalties were stipulated to by the respondent, in determining the amount of the penalty.

(6) Cases will automatically be scheduled before the full Commission for an enforcement action when the person:

(a) was found in violation during a previous reporting period,

(b) the violation remains in effect following any appeals, and

(c) the person has not filed the disclosure forms that were the subject of the prior violation at the time the current hearing notice is being sent.

[Statutory Authority: RCW 42.17.370. 03-22-065, 390-37-170, filed 11/4/03, effective 12/5/03.]


AMENDATORY SECTION(Amending WSR 03-22-065, filed 11/4/03)

WAC 390-37-175   Lobbyist employer report (L-3) penalty schedule.  


Status 1st Occasion 2nd Occasion 3rd Occasion 4th Occasion
Failed to file report by date of enforcement hearing. $150 $300 $500 Full commission consideration
Filed report after hearing notice but before enforcement hearing. Did not pay settlement amount. $100 $200 $400 Full commission consideration
Filed report after hearing notice but before enforcement hearing. Provided written explanation or appeared at the hearing to explain mitigating circumstances. Did not pay settlement amount. $0 - $100 $100 - $200 $200 - $400 Full commission consideration

Provisos:

(1) The presiding officer has authority to suspend all or a portion of relevant penalty under the conditions to be determined by that officer.

(2) If on the 3rd occasion, a filer has outstanding penalties or judgments, the matter will be taken to the full commission for consideration.

(3) The presiding officer may direct a matter to the full commission if the officer believes five hundred dollars would be an insufficient penalty or the matter warrants consideration by the full commission.

(4) If previously imposed penalties remain unpaid and exceed the amount this penalty schedule would otherwise prescribe for the current violation, the presiding officer may impose a penalty not to exceed the amount of the outstanding penalty, up to five hundred dollars.

(5) "Occasion" means established violation. At the 4th occasion, among other factors, the commission may consider if any prior violations and penalties were stipulated to by the respondent, in determining the amount of the penalty.

(6) Cases will automatically be scheduled before the full Commission for an enforcement action when the person:

(a) was found in violation during a previous reporting period,

(b) the violation remains in effect following any appeals, and

(c) the person has not filed the disclosure forms that were the subject of the prior violation at the time the current hearing notice is being sent.

[Statutory Authority: RCW 42.17.370. 03-22-065, 390-37-175, filed 11/4/03, effective 12/5/03.]

Legislature Code Reviser 

Register

Washington State Code Reviser's Office