Adoption of these rules was primarily predicated upon the legislature's specific authorization to have the Government Accountability Board prescribe, by rule, categories of civil offenses which the Board will agree to compromise and settle without a formal investigation and upon payment of specified amounts by the alleged offender.
Analysis and supporting documentation used to determine effect on small businesses
The rule will have no effect on small business, nor any economic impact.
Small Business Impact
The creation of this rule does not affect business.
Fiscal Estimate
The creation of this rule has no new fiscal effect.
Text of Proposed Rule
SECTION 1. Chapter
GAB 22 is created to read:
CHAPTER GAB 22
SETTLEMENT OFFER SCHEDULE
22.01 Definitions. In this chapter:
(1) “Board" means the Wisconsin government accountability board.
(2) “Campaign finance registration statement" means the statement required to be filed by individuals, committees and groups under s.
11.05, Stats.
(3) “Continuing campaign finance report" means the semi-annual campaign finance report required under s.
11.20 (4), Stats.
(4) “Contribution" has the meaning given in s.
11.01 (6), Stats.
(5) “Contributor" means an individual or committee who makes a contribution under s.
11.01 (6), Stats.
(6) “Contributor information" means the information required by s.
11.06 (1), Stats., regarding contributions greater than $20 or greater than $100.
(7) “Disbursement" has the meaning given in s.
11.01 (7), Stats.
(8) “Disbursement information" means the information required by s.
11.06(1), Stats., regarding disbursements greater than $20.
(9) “Excess contribution" means a contribution that exceeds any of the limits set in s.
11.26, Stats.
(10) “File electronically" means the requirement in s. 11.2l (16), Stats., that registrants subject to that subsection file a copy of their campaign finance reports in electronic format.
(11) “Filing fee" means the fee required by s.
11.055, Stats.
(12) “Last-minute contribution" means the contribution or contributions described in s.
11.12 (5), Stats., that are made later than 15 days prior to a primary or an election.
(13) “Lobbyist" has the meaning given in s.
13.62 (11), Stats.
(14) “Pre-primary report or pre-election campaign finance report" means the campaign finance reports referred to in s.
11.20 (2), Stats., that are due no earlier than 14 days before a primary or election and no later than 8 days before a primary or election.
(15) “Principal" has the meaning given in s.
13.62 (12), Stats.
(16) “Registrant" has the meaning given in s.
11.01 (18m) Stats.
(17) “Statement of economic interests" has the meaning given in s.
19.43, Stats.
22.02 Settlement of campaign finance violations. (1) VIOLATIONS OF S.
11.05, STATS., FAILURE TO TIMELY FILE A CAMPAIGN FINANCE REGISTRATION STATEMENT. (a) If a campaign finance registration statement is received within 5 days after the due date for that registration, no penalty may be imposed on the registrant.
(b) If a campaign finance registration statement is received within 6 to 10 days after the due date for that registration, a settlement offer of $100 may be extended to the registrant.
(c) If a campaign finance registration statement is received within 11 to 15 days after the due date for that registration, a settlement offer of $250 may be extended to the registrant.
(d) If a campaign finance registration is received more than 15 days after the due date for that registration, a settlement offer of $500 may be extended to the registrant.
(e) Notwithstanding the settlement terms provided in pars. (a) to (d), the board may consider mitigating circumstances, including the registrant's low level of activity, in determining the amount of the settlement offer that may be extended to the registrant.
(2) VIOLATIONS OF S.
11.20 (4), STATS., FAILURE TO TIMELY FILE THE CONTINUING CAMPAIGN FINANCE REPORT. (a) If a continuing campaign finance report is received within 5 days after the due date for that report, no penalty may be imposed on the registrant.
(b) If a continuing campaign finance report is received within 6 to 10 days after the due date for that report, a settlement offer of $200 may be extended to the registrant.
(c) If a continuing campaign finance report is received within 11 to 15 days after the due date for that report, a settlement offer of $500 may be extended to the registrant.
(d) If a continuing campaign finance report is received within 16 to 30 days after the due date for that report, a settlement offer of $500, plus $25 per day or, for a candidate committee, .1 % of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(e) If a continuing campaign finance report is received more than 30 days after the due date for that report, a settlement offer of $500, plus $50 per day or, for a candidate committee, .5% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(f) Notwithstanding the settlement terms provided pars. (a) to (e), the board may consider mitigating circumstances, including the registrant's level of activity under $1,000 in receipts, in determining the amount of the settlement offer that may be extended to the registrant.
(3) VIOLATIONS OF S.
11.20 (2), STATS., FAILURE TO TIMELY FILE THE PRE-PRIMARY OR PRE-ELECTION CAMPAIGN FINANCE REPORTS. (a) If a pre-primary or pre-election campaign finance report is received within 1 day after the due date for that report, no penalty may be imposed on the registrant.
(b) If a pre-primary or pre-election campaign finance report is received within 2 days after the due date for that report, a settlement offer of $250 may be extended to the registrant.
(c) If a pre-primary or pre-election campaign finance report is received within 3 days after the due date for that report, a settlement offer of $500 may be extended to the registrant.
(d) If a pre-primary or pre-election campaign finance report is received more than 3 days after the due date for that report, a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(e) Notwithstanding the settlement terms provided in pars. (a) to (d), the board may consider mitigating circumstances, including the registrant's failure to win the primary election, in determining the amount of the settlement offer that may be extended to the registrant.
(4) VIOLATIONS OF S.
11.12 (5), STATS., FAILURE TO TIMELY FILE THE 24-HOUR REPORT OF LAST MINUTE CONTRIBUTIONS. (a) If a 24-hour report of last-minute contributions is received within 1 day after the due date for that report, a settlement offer of $500 may be extended to the registrant.
(b) If a 24-hour report of last-minute contributions is received more than 1 day after the due date for that report, a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(5) VIOLATIONS OF S.
11.21 (16), STATS., FAILURE TO TIMELY FILE ANY CAMPAIGN FINANCE REPORT ELECTRONICALLY WHEN REQUIRED TO DO SO. The board will extend a settlement offer based on treating the failure to timely file electronically the same as the failure to file a campaign finance report in any other format.
(6) VIOLATIONS OF S.
11.055, STATS., FAILURE TO TIMELY PAY THE FILING FEE.
(a) If a registrant has not paid the filing fee within the time provided by s.
11.055, Stats., but does pay the fee within 10 days after notice of nonpayment from the board, a settlement offer of $300 may be extended to the registrant.
(b) If a registrant has not paid the filing fee within the time provided by s. l1.055, Stats., but does pay the fee within 11 to 18 days after notice of nonpayment from the board, a settlement offer of $500 may be extended to the registrant.
(c) If a registrant has not paid the filing fee within the time provided by s. l1.055, Stats., and does not pay the fee within 18 days after notice of nonpayment from the board, a settlement offer of $500 plus three times the payable fee may be extended to the registrant.
(7) VIOLATIONS OF S.
11.06, STATS., FAILURE TO REPORT ALL REQUIRED CONTRIBUTOR INFORMATION ON A CAMPAIGN FINANCE REPORT. (a) If the contributor information required by s. l1.06, Stats., is not included on a campaign finance report and is not provided within 10 days after the board's notice of failure to comply, the registrant shall be extended a settlement offer consisting of the registrant's donation of the contribution to charity.
(b) If a report of the donation to charity of the prohibited contribution is not provided within 20 days of notice of the board's settlement offer, a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant, and the prohibited contribution must be paid to charity.
(c) Notwithstanding the settlement terms provided in pars. (a) and (b), the board may consider mitigating circumstances, including the registrant's inability to obtain the required information from the contributor, in determining the amount of the settlement offer that may be extended to the registrant.
(8) VIOLATIONS OF S.
11.06, STATS., FAILURE TO REPORT ALL REQUIRED DISBURSEMENT INFORMATION ON A CAMPAIGN FINANCE REPORT. (a) If the disbursement information required by s.
11.06, Stats., is not included on a campaign finance report and is not provided within 10 days after the board's notice of failure to comply, the registrant may be extended a settlement offer of $100 plus 10% of the disbursement amount up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(b) If disbursement information required by s.
11.06, Stats., is not included on a campaign finance report and is not provided within 20 days after the board's notice of failure to comply, the registrant may be extended a settlement offer of $100 plus 25% of the disbursement amount up to a maximum settlement offer of $500, plus $50 per day or, in the case of a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(c) If the disbursement information required by s.
11.06, Stats., is not included on a campaign finance report and is not provided within 30 days after the board's notice of failure to comply, the registrant may be extended a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(9) VIOLATIONS OF S.
11.06 (5), STATS., FAILURE TO TIMELY REPORT THE RECEIPT OF A CONTRIBUTION. (a) If a contribution has not been included on a campaign finance report and the late report of the contribution is filed within 10 days after the due date for reporting the contribution, a settlement offer of 10% of the contribution may be extended to the registrant, up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(b) If the late report of the contribution is filed within 11 to 20 days after the due date for reporting the contribution, a settlement offer of 25% of the contribution may be extended to the registrant, up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(c) If the late report of the contribution is filed more than 20 days after the due date for reporting the contribution, a settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(d) Notwithstanding the settlement terms provided in pars. (a) to (c), the board may consider mitigating or aggravating circumstances, including the board's discovery of the receipt of the contribution without disclosure by the registrant, in determining the amount of the settlement offer that may be extended to the registrant.
(10) VIOLATIONS OF S.
11.06(5), STATS., FAILURE TO TIMELY REPORT THE RECEIPT OF A DISBURSEMENT. (a) If a disbursement has not been included on a campaign finance report and the late report of the disbursement is filed within 10 days after the due date for reporting the disbursement, a settlement offer of 10% of the disbursement may be extended to the registrant, up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(b) If the late report of the disbursement is filed within 11 to 20 days after the due date for reporting the disbursement, a settlement offer of 25% of the disbursement may be extended to the registrant, up to a maximum settlement offer of $500, plus $50 per day or, for a candidate committee, 1% of the annual salary of the office for which the candidate is registered per day.
(c) If the late report of the disbursement is filed more than 20 days after the due date for reporting the disbursement, a settlement offer of $500, plus $50 per day or, for a candidate committee, or 1% of the annual salary of the office for which the candidate is registered per day, may be extended to the registrant.
(d) Notwithstanding the settlement terms provided in pars. (a) to (c), the board may consider mitigating or aggravating circumstances, including the board's discovery of the making of the disbursement without disclosure by the registrant, in determining the amount of the settlement offer that may be extended to the registrant.
(11) VIOLATIONS OF S.
11.26, STATS., FOR RECEIVING OR MAKING CONTRIBUTIONS IN EXCESS OF STATUTORY LIMITS. Any committee that receives a contribution in excess of the limits set by s.
11.26, Stats., may be required to pay the excess portion of the contribution to a charitable organization and may also be extended a settlement offer for a forfeiture of 50% of the excess contribution up to a maximum of $500. Any individual or committee who makes a contribution in excess of the limits set by s.
11.26, Stats., may be extended a settlement offer for a forfeiture of one and one-half times the excess portion of the contribution.
(12) OTHER VIOLATIONS OF CH.
11, STATS. Settlement offers to resolve all other violations of ch.
11, Stats., will be determined on a case-by-case basis.
22.03 Violations of subch. III of ch. 19, Stats., the Code of Ethics for Public Officials and Employees, the failure to timely file the statement of economic interests as required by s. 19.43, Stats. (1) If a statement of economic interests is received within 5 days after the due date for that statement, no penalty may be imposed on the official.
(2) If a statement of economic interests is received within 6 to 10 days after the due date for that statement, a settlement offer of $10 may be extended to the official.
(3) If a statement of economic interests is received within 11 to 25 days after the due date for that statement, a settlement offer of $50 may be extended to the official.
(4) If a statement of economic interests is received within 26 to 30 days after the due date for that statement, a settlement offer of $100 may be extended to the official.
(5) If a statement of economic interests is received more than 30 days after the due date for that statement, a settlement offer of $250 may be extended to the official.
(6) Notwithstanding the settlement terms provided in subs. (1) to (5), the board may consider mitigating circumstances, including the fact that the board's staff failed to notify the person filing the statement of the requirement to file the statement of economic interests, in determining the amount of the settlement offer.
22.04 Violations of subch. III of ch. 13, Stats., the Regulation of Lobbying in Wisconsin. (1) VIOLATIONS OF S.
13.64, STATS., FAILURE OF A PRINCIPAL TO TIMELY FILE A REGISTRATION STATEMENT. (a) If the registration statement of a principal, as required by s.
13.64, Stats., is received within 7 days after the due date for that registration, no penalty may be imposed on the principal, but a warning that any future failure to timely file could lead to a forfeiture will be issued.
(b) If the registration statement of a principal is received within 8 to 14 days after the due date for that registration, a settlement offer of $250 may be extended to the principal.
(c) If the lobbying registration statement of a principal is received within 15 to 21 days after the due date for that registration, a settlement offer of $500 may be extended to the principal.
(d) If the lobbying registration statement of a principal is received within 22 to 28 days after the due date for that registration, a settlement offer of $750 may be extended to the principal.
(e) If the lobbying registration statement of a principal is received more than 28 days after the due date for that registration, a settlement offer of $1,000 may be extended to the principal.
(2) VIOLATIONS OF S.
13.66, STATS., FAILURE OF A LOBBYIST TO TIMELY OBTAIN A LICENSE TO ACT AS A LOBBYIST. (a) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66, Stats., but obtains that license within 7 days after the due date for obtaining that license, no penalty may be imposed on the lobbyist, but a warning that any future failure to timely file could lead to a forfeiture will be issued.
(b) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66, Stats., but obtains that license within 8 to 14 days after the due date for obtaining that license, a settlement offer of $75 may be extended to the lobbyist.
(c) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66, Stats., but obtains that license within 15 to 21 days after the due date for obtaining that license, a settlement offer of $125 may be extended to the lobbyist.
(d) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66, Stats., but obtains that license within 22 to 28 days after the due date for obtaining that license, a settlement offer of $250 may be extended to the lobbyist.
(e) If a lobbyist fails to timely obtain a license to act as a lobbyist under s.
13.66, Stats., and does not obtains that license until more than 28 days after the due date for obtaining that license, a settlement offer of $500 may be extended to the lobbyist.
(3) VIOLATIONS OF S.
13.65, STATS., FAILURE OF A PRINCIPAL TO TIMELY FILE A WRITTEN AUTHORIZATION FOR A LOBBYIST TO REPRESENT THE PRINCIPAL. (a) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65, Stats., but files that authorization within 7 days after the due date for filing that authorization, no penalty may be imposed on the principal, but a warning that any future failure to timely file could lead to a forfeiture will be issued.
(b) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65, Stats., but files that authorization within 8 to 14
days after the due date for filing that authorization, a settlement offer of $125 may be extended to the principal.
(c) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65, Stats., but files that authorization within 15 to 21 days after the due date for filing that authorization, a settlement offer of $250 may be extended to the principal.
(d) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65, Stats., but files that authorization within 22 to 28 days after the due date for filing that authorization, a settlement offer of $375 may be extended to the principal.
(e) If a principal fails to timely file a written authorization for a lobbyist to represent the principal under s.
13.65, Stats., and does not file that authorization until more than 28 days after the due date for filing that authorization, a settlement offer of $500 may be extended to the principal.
(4) VIOLATIONS OF S.
13.68, STATS., FAILURE OF A PRINCIPAL TO TIMELY FILE THE SEMIANNUAL REPORT OF LOBBYING EXPENSES AND INCURRED OBLIGATIONS. (a) If a principal fails to timely file the semi-annual report of lobbying expenses as required by s.
13.68, Stats., but files that report within 2 days after the due date for filing that report, no penalty may be imposed on the principal.
