Source: https://app.leg.wa.gov/WAC/default.aspx?dispo=true&cite=390-37&full=true
Timestamp: 2019-12-08 10:38:39
Document Index: 134783344

Matched Legal Cases: ['§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390', '§ 390']

PDF390-37-001
Enforcement cases—Jurisdiction.
The public disclosure commission (PDC) enforces chapter 42.17A RCW concerning campaign financing, lobbyist reporting, reporting of public officials' financial affairs, reporting by public treasurers, political advertising, campaign contribution limitations and the other provisions in chapter 42.17A RCW. (The PDC does not enforce the Public Records Act under chapter 42.56 RCW. RCW 42.56.550 provides for direct review by the superior courts for persons seeking to enforce chapter 42.56 RCW.)
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-001, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.56.100, 42.56.040, and 42.17A.110. WSR 12-18-015, § 390-37-001, filed 8/24/12, effective 9/24/12. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-001, filed 11/4/03, effective 12/5/03.]
PDF390-37-005
Complaint review and categorization.
(b) A remedial violation, pursuant to RCW 42.17A.005;
(e) Appropriate for investigation as to whether or not there has been a material actual violation eligible for resolution pursuant to RCW 42.17A.005(2);
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-005, filed 11/30/18, effective 12/31/18.]
PDF390-37-010
Enforcement procedures—General.
This chapter provides the procedures for the PDC's enforcement of compliance with chapter 42.17A RCW, including categorization of enforcement matters, complaint processes, alternative resolutions, investigations, and adjudicative proceedings (enforcement hearings) in compliance cases under the commission's jurisdiction. The procedures are also governed by RCW 42.17A.755, and the adjudicative proceedings provisions of chapter 34.05 RCW. Unless they differ or are otherwise specifically addressed in this chapter, the procedures, are supplemented by the model rules of procedure in chapter 10-08 WAC. In lieu of holding an adjudicative proceeding or issuing an order as a result of such a proceeding, the commission may refer the matter to the attorney general or other law enforcement agency at any time, pursuant to RCW 42.17A.105 and 42.17A.755.
In addition, the procedures for a person required to file a report under this chapter to request a hearing on a petition to modify or suspend reporting requirements are provided in RCW 42.17A.120 and chapters 390-24 and 390-28 WAC.
The policy of the PDC is to facilitate the resolution of compliance matters in a fair and expeditious manner. The PDC encourages the parties to consider corrections, alternative resolution, partial resolution, statements of understanding, settlement and stipulation procedures as set forth in WAC 390-37-040, 390-37-060, 390-37-062, 390-37-075, 390-37-090, or 390-37-142 whenever appropriate. Informal settlements are encouraged by RCW 34.05.060.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-010, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17A.110(1). WSR 16-01-015, § 390-37-010, filed 12/4/15, effective 1/4/16. Statutory Authority: RCW 42.17A.110. WSR 12-03-002, § 390-37-010, filed 1/4/12, effective 2/4/12. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-010, filed 11/4/03, effective 12/5/03; Order 79, § 390-37-010, filed 6/25/76.]
PDF390-37-020
Enforcement procedures—Who may allege a violation with the PDC.
Alleged violations of chapter 42.17A RCW may be brought to the attention of the PDC staff by:
(2) The PDC staff;
(3) A commission member, who shall thereafter, in their discretion, determine whether disqualification from participating in the adjudication of an enforcement matter that may arise from a complaint regarding the alleged violation(s) is appropriate;
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-020, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17A.110(8). WSR 15-12-079, § 390-37-020, filed 5/29/15, effective 6/29/15. Statutory Authority: RCW 42.17A.110. WSR 12-03-002, § 390-37-020, filed 1/4/12, effective 2/4/12. Statutory Authority: RCW 42.17.370. WSR 93-24-003, § 390-37-020, filed 11/18/93, effective 12/19/93. Statutory Authority: RCW 42.17.370(1). WSR 84-12-017 (Order 84-03), § 390-37-020, filed 5/25/84; Order 79, § 390-37-020, filed 6/25/76.]
PDF390-37-030
PDF390-37-040
PDF390-37-042
PDF390-37-050
Enforcement procedures—Respondent's notice of complaint.
(3) Respondents who wish to respond must file their response electronically within fourteen days of being notified by PDC staff, addressing the alleged noncompliance in the complaint. The response may address the respondent's view of which category or categories appropriately address the alleged noncompliance pursuant to WAC 390-37-005 (remedial, technical corrections, etc.). The PDC staff may provide for a shorter response period for complaints received within sixty days of an election.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-050, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17A.110. WSR 17-03-004, § 390-37-050, filed 1/4/17, effective 2/4/17. Statutory Authority: RCW 42.17A.110(1). WSR 16-01-015, § 390-37-050, filed 12/4/15, effective 1/4/16. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-050, filed 11/4/03, effective 12/5/03. Statutory Authority: RCW 42.17.370(1). WSR 79-08-046 (Order 79-03), § 390-37-050, filed 7/19/79; Order 81, § 390-37-050, filed 7/22/76.]
PDF390-37-060
Enforcement procedures—Alternative responses to noncompliance—Investigation of complaints—Initiation of adjudicative proceeding.
(c) The executive director may resolve a matter as a remedial violation pursuant to RCW 42.17A.755.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-060, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17A.110. WSR 17-03-004, § 390-37-060, filed 1/4/17, effective 2/4/17. Statutory Authority: RCW 42.17A.110(1). WSR 16-01-015, § 390-37-060, filed 12/4/15, effective 1/4/16. Statutory Authority: RCW 42.56.100, 42.56.040, and 42.17A.110. WSR 12-18-015, § 390-37-060, filed 8/24/12, effective 9/24/12. Statutory Authority: RCW 42.17A.110. WSR 12-03-002, § 390-37-060, filed 1/4/12, effective 2/4/12. Statutory Authority: RCW 42.17.370. WSR 05-11-001, § 390-37-060, filed 5/4/05, effective 6/4/05; WSR 03-22-065, § 390-37-060, filed 11/4/03, effective 12/5/03; WSR 93-24-003, § 390-37-060, filed 11/18/93, effective 12/19/93; WSR 91-16-072, § 390-37-060, filed 8/2/91, effective 9/2/91. Statutory Authority: RCW 42.17.370(1). WSR 86-04-071 (Order 86-01), § 390-37-060, filed 2/5/86; WSR 84-12-017 and 84-12-029 (Orders 84-03 and 84-03A), § 390-37-060, filed 5/25/84 and 5/29/84; Order 81, § 390-37-060, filed 7/22/76.]
PDF390-37-061
PDF390-37-062
Enforcement procedures—Alternative responses—Cases resolvable by stipulation prior to completion of investigation—Penalty schedule.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-062, filed 11/30/18, effective 12/31/18.]
PDF390-37-063
PDF390-37-070
Enforcement procedures—Complaints dismissed by executive director after an investigation has been commenced.
The executive director, at any time prior to consideration by the commission, may dismiss a complaint which on its face, or as shown by investigation, does provide reason to believe that a violation has occurred, shows that the respondent is in substantial compliance with the relevant statutes or rules, or shows that formal enforcement action is not warranted. The executive director shall report at each regular commission meeting all complaints dismissed.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-070, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17A.110(1). WSR 16-01-015, § 390-37-070, filed 12/4/15, effective 1/4/16. Statutory Authority: RCW 42.17A.110. WSR 12-03-002, § 390-37-070, filed 1/4/12, effective 2/4/12. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-070, filed 11/4/03, effective 12/5/03. Statutory Authority: RCW 42.17.390. WSR 94-05-010, § 390-37-070, filed 2/3/94, effective 3/6/94. Statutory Authority: RCW 42.17.370(1). WSR 86-04-071 (Order 86-01), § 390-37-070, filed 2/5/86; WSR 84-12-017 (Order 84-03), § 390-37-070, filed 5/25/84; Order 81, § 390-37-070, filed 7/22/76.]
PDF390-37-071
Enforcement procedures—Initial hearing (case status review prior to ninety days).
(1) After initiating an investigation pursuant to WAC 390-37-060, the executive director will conduct a case status review, referred to as an initial hearing in RCW 42.17A.755. The case status review is not an adjudicative proceeding conducted pursuant to the Administrative Procedure Act (chapter 34.05 RCW). Its purpose is to ensure the investigation, is being conducted expeditiously and to provide an opportunity to discuss possible alternative resolutions.
(2) The case status review will be conducted within ninety days of the complaint being filed in the matter, and may be held by telephone conference or in-person at a time and place specified by PDC staff. Notice of the case status review will be delivered electronically whenever possible.
(c) When appropriate, encourage the parties to enter into a stipulated agreement as authorized by RCW 42.17A.755 and WAC 390-37-062; and
(6) Following the case status review, the executive director shall direct PDC staff to update the PDC's public case-tracking database pursuant to WAC 390-37-005.
(7) The executive director shall report to the commission, no later than the next regular commission meeting, any case status reviews held. The executive director's report shall include an overview of matters addressed and any review outcomes.
(8) Nothing in this section shall limit the authority of the commission or its staff to resolve a complaint or refer a matter to the attorney general at any time.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-071, filed 11/30/18, effective 12/31/18.]
PDF390-37-075
PDF390-37-090
PDF390-37-100
PDF390-37-103
Enforcement procedures—Commission options following receipt of a staff report on alleged violations.
Upon receipt of a PDC staff report concerning alleged violations, the commission may:
(1) Direct the executive director to pursue an alternative resolution as provided in WAC 390-37-060;
(4) Refer the matter or apparent violations to the attorney general or other enforcement agency pursuant to RCW 42.17A.105(5) and 42.17A.755.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-103, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17A.110(1). WSR 16-01-015, § 390-37-103, filed 12/4/15, effective 1/4/16. Statutory Authority: RCW 42.17.130 and 42.17.093. WSR 12-01-047, § 390-37-103, filed 12/14/11, effective 1/14/12. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-103, filed 11/4/03, effective 12/5/03.]
PDF390-37-105
PDF390-37-120
Enforcement hearings (adjudicative proceedings)—Subpoenas—Discovery—Hearings.
(1) The commission, or presiding officer, may issue subpoenas for discovery, subpoenas to persons to appear and give testimony, and may require the production of any books, papers, correspondence, memorandums, or other records deemed relevant or material and the commission or presiding officer may issue protective orders as a part of an enforcement hearing. The PDC staff or its legal representative may issue subpoenas as may the attorney of the party against whom action is being taken. Upon request of the commission or presiding officer, all subpoenas must be filed with the commission, together with proof of proper service. Such subpoenas will issue and may be enforced in the form and manner set forth in RCW 34.05.446 and WAC 10-08-120(4). The subpoena may be personally delivered or sent by certified mail, return receipt requested.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-120, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-120, filed 11/4/03, effective 12/5/03; WSR 91-16-072, § 390-37-120, filed 8/2/91, effective 9/2/91.]
PDF390-37-130
Enforcement hearings (adjudicative proceedings)—Depositions and interrogatories—Right to take.
Unless otherwise provided, any party may take the testimony of any person, including a party, by deposition upon oral examination or written interrogatories for use as evidence in the hearing. The deposition of a commissioner, the executive director, or other staff, may only be taken upon application to the commission, for good cause shown, and only in those circumstances where the statements or depositions of other staff members would not reveal the information, evidence, or details needed by the party for the case. The attendance of witnesses to a deposition may be compelled by use of a subpoena. Depositions shall be taken only in accordance with this rule and the rules on subpoenas.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-130, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-130, filed 11/4/03, effective 12/5/03; WSR 91-16-072, § 390-37-130, filed 8/2/91, effective 9/2/91.]
PDF390-37-132
Enforcement hearings (adjudicative proceedings)—Depositions—Notice.
A party desiring to take the deposition of any person upon oral examination shall give reasonable notice of not less than five business days in writing to the commission and all parties. The notice shall state the time and place for taking the deposition and the name and address of each person to be examined. On motion of a party to whom the notice is served, the commission or its hearing officer may, for cause shown, enlarge or shorten the time. If the parties so stipulate in writing, depositions may be taken at any time or place, upon any notice, and in any manner and when so taken may be used as other depositions.
[Statutory Authority: RCW 42.17A.110. WSR 17-03-004, § 390-37-132, filed 1/4/17, effective 2/4/17. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-132, filed 11/4/03, effective 12/5/03; WSR 91-16-072, § 390-37-132, filed 8/2/91, effective 9/2/91.]
PDF390-37-134
Enforcement hearings (adjudicative proceedings)—Depositions and interrogatories—Protection of parties and deponents.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-134, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17.370. WSR 03-18-003, § 390-37-134, filed 8/20/03, effective 9/20/03; WSR 91-16-072, § 390-37-134, filed 8/2/91, effective 9/2/91.]
PDF390-37-136
Enforcement hearings (adjudicative proceedings)—Production of documents and use at hearing and other hearing procedures.
(c) The parties shall confirm in advance with the executive director that any documents provided electronically are able to be accessed by software available at the agency. If they are not accessible, the executive director shall direct how the documents are to be submitted.
(d) The documents are considered filed when received during actual business hours at the commission office. If received after actual business hours, they will be deemed filed the next business day.
(4) Respondent's exhibits shall be numbered R-1, R-2, etc. PDC staff exhibits shall be numbered S-1, S-2, etc. Jointly submitted exhibits shall be numbered J-1, J-2, etc. If an exhibit is not jointly submitted but there is no objection to it by the responding party, the party offering the exhibit shall designate agreed-to exhibits on the party's exhibit list.
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-136, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17A.110. WSR 17-03-004, § 390-37-136, filed 1/4/17, effective 2/4/17. Statutory Authority: RCW 42.17.370 and 42.17.690. WSR 06-07-001, § 390-37-136, filed 3/1/06, effective 4/1/06. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-136, filed 11/4/03, effective 12/5/03; WSR 91-16-072, § 390-37-136, filed 8/2/91, effective 9/2/91.]
PDF390-37-140
Brief enforcement hearings (brief adjudicative proceedings)—Authority.
(1) The commission may provide a brief adjudicative proceeding for violations in which the facts are undisputed, the violations appear to be relatively minor in nature, and a penalty no greater than $1,000 will be assessed for the violations. Typical matters to be heard in a brief adjudicative proceeding include, but are not limited to, the following:
[Statutory Authority: RCW 42.17A.110(1) and 2018 c 304. WSR 18-24-074, § 390-37-140, filed 11/30/18, effective 12/31/18. Statutory Authority: RCW 42.17A.110(1). WSR 16-01-015, § 390-37-140, filed 12/4/15, effective 1/4/16. Statutory Authority: RCW 42.17A.110. WSR 12-03-002, § 390-37-140, filed 1/4/12, effective 2/4/12. Statutory Authority: RCW 42.17.370. WSR 03-22-065, § 390-37-140, filed 11/4/03, effective 12/5/03; WSR 93-15-004, § 390-37-140, filed 7/7/93, effective 8/7/93; WSR 91-16-072, § 390-37-140, filed 8/2/91, effective 9/2/91.]
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PDF390-37-150
PDF390-37-182