WSR 18-04-115
PROPOSED RULES
PUBLIC DISCLOSURE COMMISSION
[Filed February 7, 2018, 11:43 a.m.]
Original Notice.
Preproposal statement of inquiry was filed as WSR 18-01-086.
Title of Rule and Other Identifying Information: Brief enforcement hearings (adjudicative proceeding)—Penalty schedule.
The presiding officer may assess a penalty up to one thousand dollars upon finding a violation of chapter 42.17A RCW or Title 390 WAC.
Hearing Location(s): On March 15, 2018, at 1:30 p.m., at the Washington State Public Disclosure Commission, 711 Capitol Way South, #206, Olympia, WA 98504.
Date of Intended Adoption: April 10, 2018.
Submit Written Comments to: Barbara Sandahl, Deputy Director, 711 Capitol Way South, #206, email Barbara.sandahl@pdc.wa.gov, fax 360-753-1112, pdc@pdc.wa.gov.
Assistance for Persons with Disabilities: Contact Barbara Sandahl, deputy director, phone 360-753-1111, fax 360-753-1111 [360-753-1112], email Barbara.sandahl@pdc.wa.gov, pdc@pdc.wa.gov.
Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: Rule making will ensure that the commission has the ability to assess penalties for failure to file required treasurer (T-1) reports timely.
T-1 penalty schedule will be added to WAC 390-37-143.
Reasons Supporting Proposal: The adoption of the addition of T-1 penalty schedule will allow respondents, who have received notification of enforcement hearing, to enter into statements of understandings and pay the scheduled penalty to avoid hearing.
Statutory Authority for Adoption: RCW 42.17A.110 Commission—Additional powers.
Statute Being Implemented: WAC 390-37-143 Brief enforcement hearings (adjudicative proceeding)—Penalty schedule.
Rule is not necessitated by federal law, federal or state court decision.
Name of Agency Personnel Responsible for Drafting: Jana Greer, Olympia, 360-753-1985.
A school district fiscal impact statement is not required under RCW 28A.305.135.
A cost-benefit analysis is not required under RCW 34.05.328.
This rule proposal, or portions of the proposal, is exempt from requirements of the Regulatory Fairness Act because the proposal:
Is exempt under RCW 19.85.025(3) as the rules are adopting or incorporating by reference without material change federal statutes or regulations, Washington state statutes, rules of other Washington state agencies, shoreline master programs other than those programs governing shorelines of statewide significance, or, as referenced by Washington state law, national consensus codes that generally establish industry standards, if the material adopted or incorporated regulates the same subject matter and conduct as the adopting or incorporating rule.
February 7, 2018
B. G. Sandahl
Deputy Director
AMENDATORY SECTION (Amending WSR 17-03-004, filed 1/4/17, effective 2/4/17)
WAC 390-37-143 Brief enforcement hearings (adjudicative proceeding)—Penalty schedule.
The presiding officer may assess a penalty up to one thousand dollars upon finding a violation of chapter 42.17A RCW or Title 390 WAC.
(1) Base penalty amounts:
Violation
1st Occasion
2nd Occasion
3rd Occasion
Failure to timely file an accurate and complete statement of financial affairs (F-1):
Filed report after hearing notice, but before enforcement hearing. Provided written explanation or appeared at hearing to explain mitigating circumstances. Did not enter into statement of understanding.
$0 - $150
$150 - $300
$300 - $600
Filed report after hearing notice, but before enforcement hearing. Did not enter into statement of understanding.
$150
$300
$600
Failed to file report by date of enforcement hearing.
$250
$500
$1,000
Candidate's failure to timely file an accurate and complete registration statement (C-1)/statement of financial affairs (F-1):
Filed report after hearing notice, but before enforcement hearing. Provided written explanation or appeared at hearing to explain mitigating circumstances. Did not enter into statement of understanding.
$0 - $150
per report
$150 - $300
per report
$300 - $600 per report up to $1,000
Filed report after hearing notice, but before enforcement hearing. Did not enter into statement of understanding.
$150
per report
$300
per report
$600 per report up to $1,000
Failed to file report by date of enforcement hearing.
$250
per report
$500
per report
consideration by full commission
Failure to timely file an accurate and complete lobbyist monthly expense report (L-2):
Filed report after hearing notice, but before enforcement hearing. Provided written explanation or appeared at hearing to explain mitigating circumstances. Did not enter into statement of understanding.
$0 - $150
$150 - $300
$300 - $600
Filed report after hearing notice, but before enforcement hearing. Did not enter into statement of understanding.
$150
$300
$600
Failed to file report by date of enforcement hearing.
$250
$500
$1,000
Failure to timely file an accurate and complete lobbyist employer report (L-3):
Filed report after hearing notice, but before enforcement hearing. Provided written explanation or appeared at hearing to explain mitigating circumstances. Did not enter into statement of understanding.
$0 - $150
$150 - $300
$300 - $600
Filed report after hearing notice, but before enforcement hearing. Did not enter into statement of understanding.
$150
$300
$600
Failed to file report by date of enforcement hearing.
$250
$500
$1,000
Failure to timely file accurate and complete disclosure reports:
Political committee registration (C-1pc).
$150
$300
$600
Statement of contributions deposit (C-3).
$150
$300
$600
Summary of total contributions and expenditures (C-4).
$150
$300
$600
Independent expenditures and electioneering communications (C-6).
$150
$300
$600
Last minute contribution report (LMC).
$150
$300
$600
Out-of-state committee report (C-5).
$150
$300
$600
Annual report of major contributors (C-7).
$150
$300
$600
Failure to timely file accurate and complete reports disclosing lobbying activities:
Lobbyist registration (L-1).
$150
$300
$600
Public agency lobbying report (L-5).
$150
$300
$600
Grass roots lobbying report (L-6).
$150
$300
$600
Failure to file electronically.
$350
$650
$1,000
Exceeding contribution limits.
$150
$300
$600
Exceeding mini reporting threshold.
$150
$300
$600
Failure to comply with political advertising sponsor identification requirements.
$150
$300
$600
Failure to include required candidate's party preference in political advertising.
$150
$300
$600
Failure to comply with other political advertising requirements, RCW 42.17A.330 through 42.17A.345.
$150
$300
$600
Use of public facilities to assist a campaign for election or promote a ballot measure.
$150
$300
$600
Treasurer's failure to timely file an accurate and complete annual treasurer's report (T-1):
Filed report after hearing notice, but before enforcement hearing. Provided written explanation or appeared at hearing to explain mitigating circumstances. Did not enter into statement of understanding.
$0 - $150
$150 - $300
$300 - $600
Filed report after hearing notice, but before enforcement hearing. Did not enter into statement of understanding.
$150
$300
$600
Failed to file report by date of enforcement hearing.
$250
$500
$1,000
"Occasion" means established violation. Only violations in the last five years will be considered for the purpose of determining second and third occasions.
(2) In determining the appropriate penalty, the presiding officer may consider the nature of the violation and aggravating and mitigating factors, including:
(a) Whether the respondent is a first-time filer;
(b) The respondent's compliance history for the last five years, including whether the noncompliance was isolated or limited in nature, indicative of systematic or ongoing problems, or part of a pattern of violations by the respondent, or in the case of a political committee or other entity, part of a pattern of violations by the respondent's officers, staff, principal decision makers, consultants, or sponsoring organization;
(c) The respondent's unpaid penalties from a previous enforcement action;
(d) The impact on the public, including whether the noncompliance deprived the public of timely or accurate information during a time-sensitive period, or otherwise had a significant or material impact on the public;
(e) The amount of financial activity by the respondent during the statement period or election cycle;
(f) Whether the late or unreported activity was significant in amount or duration under the circumstances, including in proportion to the total amount of expenditures by the respondent in the campaign or statement period;
(g) Corrective action or other remedial measures initiated by respondent prior to enforcement action, or promptly taken when noncompliance brought to respondent's attention;
(h) Good faith efforts to comply, including consultation with commission staff prior to initiation of enforcement action and cooperation with commission staff during enforcement action, and a demonstrated wish to acknowledge and take responsibility for the violation;
(i) Personal emergency or illness of the respondent or member of his or her immediate family;
(j) Other emergencies such as fire, flood, or utility failure preventing filing;
(k) Sophistication of respondent or the financing, staffing, or size of the respondent's campaign or organization;
(l) Commission staff, third-party vendor, or equipment error, including technical problems at the agency preventing or delaying electronic filing.
(3) The presiding officer has authority to suspend all or a portion of an assessed penalty under the conditions to be determined by that officer including, but not limited to, payment of the nonsuspended portion of the penalty within five business days of the date of the entry of the order in that case.
(4) If, on the third occasion, a respondent has outstanding penalties or judgments, the matter will be directed to the full commission for consideration.
(5) The presiding officer may direct a matter to the full commission if the officer believes one thousand dollars would be an insufficient penalty or the matter warrants consideration by the full commission. Cases will automatically be scheduled before the full commission for an enforcement action when the respondent:
(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.