Washington Administrative Code › Title 390 - Public Disclosure Commission › Chapter 390-37 - Enforcement rules › Section 390-37-143 - Brief enforcement hearings (brief adjudicative proceeding)-Penalty schedule

Current through Register Vol. 24-14, July 15, 2024
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 non-compliance 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 PDC staff prior to initiation of enforcement action and
			 cooperation with PDC 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;
			 and
(l) PDC staff, third-party
			 vendor, or equipment error, including technical problems at the agency
			 preventing or delaying electronic filing.