Chapter ETH 26

ETH 26.01(22) (22) “Statement of economic interests” means a statement of economic interests that an individual is required to file under s. 19.43, Stats.

ETH 26.01(23) (23) “Statement of lobbying activity and expenditures” means the statement referred to in s. 13.68, Stats.

ETH 26.01 History History: CR 17-035: cr., Register January 2018 No. 745 eff. 2-1-18; correction in (3), (6), (14), (15), (16), (20), made under s. 35.17, Stats., Register January 2018 No. 745; CR 20-019: cr. (1m), (12m) Register June 2021 No. 786, eff. 7-1-21.

ETH 26.02 ETH 26.02 Settlement of campaign finance violations.

ETH 26.02(1) (1) Failure to timely file a continuing report or September report.

ETH 26.02(1)(a) (a) If the commission receives a continuing or September report within 30 calendar days after the due date for that report, the commission may issue a written warning to the registrant.

ETH 26.02(1)(b) (b) If the commission receives a continuing or September report within 31 to 60 calendar days after the due date for that report, the commission may extend a settlement offer to the registrant as follows:

ETH 26.02(1)(b)1. 1. If the registrant has committed no prior offenses, a settlement offer of $100 may be extended.

ETH 26.02(1)(b)2. 2. If the registrant has committed a prior offense, a settlement offer of $200 may be extended.

ETH 26.02(1)(c) (c) If the commission receives a continuing or September report within 61 to 90 calendar days after the due date for that report, the commission may extend a settlement offer to the registrant as follows:

ETH 26.02(1)(c)1. 1. If the registrant has committed no prior offenses, a settlement offer of $200 may be extended.

ETH 26.02(1)(c)2. 2. If the registrant has committed a prior offense, a settlement offer of $300 may be extended.

ETH 26.02(1)(d) (d) If the commission receives a continuing or September report within 91 to 120 calendar days after the due date for that report, the commission may extend a settlement offer to the registrant as follows:

ETH 26.02(1)(d)1. 1. If the registrant has committed no prior offenses, a settlement offer of $300 may be extended.

ETH 26.02(1)(d)2. 2. If the registrant has committed a prior offense, a settlement offer of $400 may be extended.

ETH 26.02(1)(e) (e) If the commission receives a continuing or September report more than 120 calendar days after the due date for that report, the commission may extend a settlement offer of $500.

ETH 26.02(2) (2) Failure to timely file a preprimary, preelection, or post-election report.

ETH 26.02(2)(a) (a) If the commission receives a preprimary, preelection, or post-election report one calendar day after the due date for that report, the commission may extend a settlement offer of $100.

ETH 26.02(2)(b) (b) If the commission receives a preprimary, preelection, or post-election report 2 calendar days after the due date for that report, the commission may extend a settlement offer of $150.

ETH 26.02(2)(c) (c) If the commission receives a preprimary, preelection, or post-election report 3 calendar days after the due date for that report, the commission may extend a settlement offer of $200.

ETH 26.02(2)(d) (d) If the commission receives a preprimary, preelection, or post-election report 4 calendar days after the due date for that report, the commission may extend a settlement offer of $250.

ETH 26.02(2)(e) (e) If the commission receives a preprimary, preelection, or post-election report 5 calendar days after the due date for that report, the commission may extend a settlement offer of $300.

ETH 26.02(2)(f) (f) If the commission receives a preprimary, preelection, or post-election report 6 calendar days after the due date for that report, the commission may extend a settlement offer of $350.

ETH 26.02(2)(g) (g) If the commission receives a preprimary, preelection, or post-election report 7 calendar days after the due date for that report, the commission may extend a settlement offer of $400.

ETH 26.02(2)(h) (h) If the commission receives a preprimary, preelection, or post-election report 8 calendar days after the due date for that report, the commission may extend a settlement offer of $450.

ETH 26.02(2)(i) (i) If the commission receives a preprimary, preelection, or post-election report 9 or more calendar days after the due date for that report, the commission may extend a settlement offer of $500.

ETH 26.02(3) (3) Failure to timely pay a filing fee.

ETH 26.02(3)(a) (a) If the commission receives a filing fee within one to 15 calendar days after the due date, the commission may issue a written warning to the registrant.

ETH 26.02(3)(b) (b) If the commission receives a filing fee within 16 to 45 calendar days after the due date, the commission may extend a settlement offer of $300.

ETH 26.02(3)(c) (c) If the commission receives a filing fee within 46 to 90 calendar days after the due date, the commission may extend a settlement offer of $500.

ETH 26.02(3)(d) (d) If the commission receives a filing fee more than 90 calendar days after the due date, the commission may extend a settlement offer of $800.

ETH 26.02(4) (4) Failure to timely file a late contribution report. If a registrant fails to timely file a late contribution report, the commission may extend a settlement offer of 5 percent of the total amount of the late contribution.

ETH 26.02(5) (5) Failure to timely file a specific express advocacy report. If a person fails to timely file a specific express advocacy report, the commission may extend a settlement offer of 5 percent of the disbursement not timely reported.

ETH 26.02(6) (6) Failure to provide contributor information.

ETH 26.02(6)(a) (a) If contributor information is not included on a campaign finance report, but is received within 30 calendar days after notification from the commission, the commission may issue a written warning to the registrant.

ETH 26.02(6)(b) (b) If contributor information is not included on a campaign finance report, but is received more than 30 calendar days after notification from the commission, the commission may extend a settlement offer of $100 plus 10 percent of the total amount of contributions with incomplete contributor information.

ETH 26.02(7) (7) Failure to provide disbursement information.

ETH 26.02(7)(a) (a) If disbursement information is not included on a campaign finance report, but is received within 30 calendar days after notification from the commission, the commission may issue a written warning to the registrant.

ETH 26.02(7)(b) (b) If disbursement information is not included on a campaign finance report, but is received more than 30 calendar days after notification from the commission, the commission may extend a settlement offer of $100 plus 10 percent of the total amount of disbursements with incomplete disbursement information.

ETH 26.02(8) (8) Cash Balance Discrepancies. If a registrant’s cash balance at the beginning of a reporting period does not match the registrant’s cash balance reported at the end of the prior reporting period; or the reported beginning balance of a report, plus all receipts, minus all expenditures, does not equal the reported ending balance of that report; and the cash balance is corrected:

ETH 26.02(8)(a) (a) Within 30 calendar days after notification from the commission, the commission may issue a written warning to the registrant.

ETH 26.02(8)(b) (b) More than 30 calendar days after notification from the commission, the commission may extend a settlement offer of $100 plus 10 percent of the cash balance discrepancy.

ETH 26.02(9) (9) Exceeding contribution limits. If a registrant receives an excess contribution, the commission may extend a settlement offer in the amount by which the contribution exceeded the applicable limit.

ETH 26.02(10) (10) Prohibited corporate, union, association, or tribal contributions.

ETH 26.02(10)(a) (a) If a registrant receives a contribution contrary to s. 11.1112, Stats., the commission may extend a settlement offer in the amount of 1.5 times the amount of the contribution, up to a maximum of $500, plus surrendering the amount of the unlawful contribution.

ETH 26.02(10)(b) (b) If a person makes a contribution contrary to s. 11.1112, Stats., the commission may extend a settlement offer in the amount of 1.5 times the amount of the contribution.

ETH 26.02(11) (11) Prohibited lobbyist contributions.

ETH 26.02(11)(a) (a) If a candidate committee receives a contribution in violation of s. 13.625, Stats., the commission may extend a settlement offer requiring the return of the contribution to the lobbyist.

ETH 26.02(11)(b) (b) If a lobbyist makes a contribution in violation of s. 13.625, Stats., the commission may extend a settlement offer in the amount of 1.5 times the amount of the contribution, up to a maximum of $1,000.

ETH 26.02(12) (12) Aggravating or Mitigating Circumstances. Notwithstanding the settlement offer amounts specified in this section, the commission may consider aggravating or mitigating circumstances in determining the terms of any settlement offer that may be extended.

ETH 26.02 History History: CR 17-035: cr., Register January 2018 No. 745 eff. 2-1-18; CR 20-019: am. (1) (a), (b) (intro.), (c) (intro.), (d) (intro.), (e), (2) (a) to (i), (3) (a) to (d), (6), (7), (8) (a), (b) Register June 2021 No. 786, eff. 7-1-21.

ETH 26.03 ETH 26.03 Settlement of lobbying violations.

ETH 26.03(1) (1) Failure to timely file a statement of lobbying activity and expenditures.

ETH 26.03(1)(a) (a) If the commission receives a statement of lobbying activity and expenditures within 2 business days after the due date for that report:

ETH 26.03(1)(a)1. 1. If the principal has committed no prior offenses, no penalty may be imposed.

ETH 26.03(1)(a)2. 2. If the principal has committed a prior offense, the commission may issue a written warning to the principal.

ETH 26.03(1)(b) (b) If the commission receives a statement of lobbying activity and expenditures within 3 to 5 business days after the due date for that report:

ETH 26.03(1)(b)1. 1. If the principal has committed no prior offenses, the commission may issue a written warning to the principal.

ETH 26.03(1)(b)2. 2. If the principal has committed a prior offense, the commission may extend a settlement offer of $50.

ETH 26.03(1)(c) (c) If the commission receives a statement of lobbying activity and expenditures within 6 to 15 business days after the due date for that report:

ETH 26.03(1)(c)1. 1. If the principal has committed no prior offenses, the commission may issue a written warning to the principal.

ETH 26.03(1)(c)2. 2. If the principal has committed a prior offense, the commission may extend a settlement offer of $100.

ETH 26.03(1)(d) (d) If the commission receives a statement of lobbying activity and expenditures within 16 to 29 business days after the due date for that report:

ETH 26.03(1)(d)1. 1. If the principal has committed no prior offenses, the commission may extend a settlement offer of $50.

ETH 26.03(1)(d)2. 2. If the principal has committed a prior offense, the commission may extend a settlement offer of $250.

ETH 26.03(1)(e) (e) If the commission receives a statement of lobbying activity and expenditures 30 business days or more after the due date for that report:

ETH 26.03(1)(e)1. 1. If the principal has committed no prior offenses, the commission may extend a settlement offer of $100.

ETH 26.03(1)(e)2. 2. If the principal has committed a prior offense, the commission may extend a settlement offer of $500.

ETH 26.03(2) (2) Failure to timely file a 15 day report.

ETH 26.03(2)(a) (a) If the commission does not timely receive a 15 day report and the principal has no prior offenses:

ETH 26.03(2)(a)1. 1. If the unreported interest is less than 10 percent of the principal’s total effort, the commission may issue a written warning to the principal.

ETH 26.03(2)(a)2. 2. If the unreported interest is 10 percent or more of the principal’s total effort, the commission may extend a settlement offer of $25 per late reported interest.

ETH 26.03(2)(b) (b) If the commission does not timely receive a 15 day report and the principal has one prior offense:

ETH 26.03(2)(b)1. 1. If the unreported interest is less than 10 percent of the principal’s total effort, the commission may extend a settlement offer of $50 per late reported interest.

ETH 26.03(2)(b)2. 2. If the unreported interest is 10 percent or more of the principal’s total effort, the commission may extend a settlement offer of $100 per late reported interest.

ETH 26.03(2)(c) (c) If the commission does not timely receive a 15 day report and the principal has 2 or more prior offenses, the commission may extend a settlement offer of $100 per late reported interest.

ETH 26.03(3a) (3a) Unauthorized Lobbying. If a lobbyist makes a lobbying communication on behalf of a lobbying principal prior to authorization as required by s. 13.65, Stats.:

ETH 26.03(3a)(a) (a) If the lobbyist has committed no prior offenses, the commission may extend a settlement offer of $100 per unauthorized lobbying communication that occurred that reporting period on behalf of the principal, up to an aggregate total maximum of $1,000 per principal per session.

ETH 26.03(3a)(b) (b) If the lobbyist has committed a prior offense, the commission may extend a settlement offer of $200 per unauthorized lobbying communication that occurred that reporting period on behalf of the principal, up to an aggregate total maximum of $1,000 per principal per session.

ETH 26.03(3a)(c) (c) If the principal has committed no prior offenses, the commission may extend a settlement offer of $200 per unauthorized lobbying communication that occurred that reporting period on behalf of the principal, up to an aggregate total maximum of $2,000 per lobbyist per session.

ETH 26.03(3a)(d) (d) If the principal has committed a prior offense, the commission may extend a settlement offer of $400 per unauthorized lobbying communication that occurred that reporting period on behalf of the principal, up to an aggregate total maximum of $2,000 per lobbyist per session.

ETH 26.03(4) (4) Failure to timely pay lobbying fees.

ETH 26.03(4)(a) (a) Lobbyist license fees.

ETH 26.03(4)(a)1. 1. If the commission receives a lobbyist license fee within one to 30 calendar days after notification from the commission that fees are outstanding, the commission may issue a written warning to the lobbyist.

ETH 26.03(4)(a)2. 2. If the commission receives a lobbyist license fee within 31 to 45 calendar days after notification from the commission that fees are outstanding, the commission may extend a settlement offer of $100.

ETH 26.03(4)(a)3. 3. If the commission receives a lobbyist license fee within 46 to 60 calendar days after notification from the commission that fees are outstanding, the commission may extend a settlement offer of $200.

ETH 26.03(4)(a)4. 4. If the commission receives a lobbyist license fee more than 60 calendar days after notification from the commission that fees are outstanding, the commission may extend a settlement offer of $300.

ETH 26.03(4)(b) (b) Lobbying principal registration fees or lobbying principal authorization fees.

ETH 26.03(4)(b)1. 1. If the commission receives a lobbying principal registration fee or lobbying principal authorization fee within one to 30 calendar days after notification from the commission that fees are outstanding, the commission may issue a written warning to the principal.