WSR 18-10-088
PERMANENT RULES
PUBLIC DISCLOSURE COMMISSION
[Filed May 1, 2018, 12:54 p.m., effective June 1, 2018]
Effective Date of Rule: Thirty-one days after filing.
Purpose: RCW 42.17A.570 requires an annual statement (T-1) from "the state treasurer, each county, public utility district, and port treasurer, and each treasurer of an incorporated city or town whose population exceeds one thousand" to be filed under oath with the public disclosure commission that no public funds under that treasurer's control were invested in any institution where the treasurer or, in the case of a county, a member of the county finance committee, held an office, directorship, partnership interest, or ownership interest during the reporting period. These reports are to be filed with the commission after January 1 and before April 15. This rule will ensure that the commission can assess penalties for failure to file the required T-1 reports.
Citation of Rules Affected by this Order: Amending WAC 390-37-143.
Statutory Authority for Adoption: RCW 42.17A.110(1) and 42.17A.570.
Adopted under notice filed as WSR 18-04-115 on February 7, 2018.
Number of Sections Adopted in Order to Comply with Federal Statute: New 0, Amended 0, Repealed 0; Federal Rules or Standards: New 0, Amended 0, Repealed 0; or Recently Enacted State Statutes: New 0, Amended 0, Repealed 0.
Number of Sections Adopted at the Request of a Nongovernmental Entity: New 0, Amended 0, Repealed 0.
Number of Sections Adopted on the Agency's own Initiative: New 0, Amended 0, Repealed 0.
Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 0, Amended 1, Repealed 0.
Number of Sections Adopted using Negotiated Rule Making: New 0, Amended 0, Repealed 0; Pilot Rule Making: New 0, Amended 0, Repealed 0; or Other Alternative Rule Making: New 0, Amended 1, Repealed 0.
Date Adopted: April 26, 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.