.. /~-, . RQJlber~ M. Stem, JP'j:esident

,CENlERFOR GOVERNMENfAL STUDffiS 10951 "W"eSi: Pico Boulevard, Swte 120

Los Angeles, CaIifomia 90064 (310) 470-6590 ext. 117

FAX (310) 475-3752 Email: rsrem@cgs.org

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To: tnR. -.' J~dL- ~A'Y) •

Fax Number: ~ ri;)7 tr'-/- 2 7 q 7--­Date: ::..,J

P . Jryou do not receive all ~f:tJ'!es, please call .fanice Roberts at (310) 470·6590 ext 124

agea plus cove.r: 23 . !

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H §!j@aJ) Allemw ilJIJr&wi1ill@i"JlliOO 0,]1lil !iIi<ESIJl~m"IID"DnaO@l 2 ] §500.1I!! Jlilii!A'lllliHsIJmnm~wQ !ilwllil C<lrllllilOOSUilli@fIII "q ¢1iI~ &gew~ <l ;; (I) The Agoocy is established 119 ruII liIdep""d."i lIuthori!y. 6., (2) The Ageney OOIlS!SIG of fi1TE> (5) _mbell'5. 'The _.bellS are sppowl:e!ll by ill. IlQ"GmOf from a pm®! "'~ len CHIl}....-. S 9~'"

ilIdividWlI$ ~OI:nil'laled by liIe ~hi.f jdStice of the [SiIlIS cornlt of 19$1 resan]. A member or Ihe Agel1CY lIWS! be " C;n;llI1B of Ihe Uroloo Stales and tI residenl (Of !his siale. A ",.",bar of Ihe Agency .baUDot be a;

II (A) public official; 12 13 14 IS 16

" eCD) public employee; Dr

" ,,.

"'-. ." • < i~,..' i \'. ,(C) candidale;

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17 (D)' lobbyist or !obllyisl's principal; 18 , 19 o. a member of the immediate Iilmily (Of such"" individual While a iIIambar of the. Agenoy.

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21 Comment: 22 . '

23 24

Considerarioll might olst> be gi ..tn to "'nguage 'hat would prohihit cel1oi/l el(JSse. of compolgn contributors from being memhern ofthe Ageney. Language might be drojtt:d asfollows:

25 26 (E) conlrlbutor within two years ofappointment ofmore loon {$Jooj 10: 27 28 (IJ 'he campaigll cammillef! of II p;"",on ••coking election /0 a public office to whiell ,IIis Aa pertalll$;: or 29

(ii) a polilical pany. 31 n {J} A member oi rh~ Agency serves a ream of four N) years. f-Iowc=vc::r, 4h= iniliul mc::wLcl;;t uf·llu) Agcou"..v D9! vo lho 33 following terms: 34 35 (A) One (I) member SOlVes a term of one (1) year. 36 37 (8) One (I) member SOlVes a lenn of iWo (2) years. 38

I 39 (e) One (I) member serves D term of three (3) years.

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41 42 43 44

(D) Two (2) mombsll'5 serve a iem! of four (4) years.

(4) An individUliI may nol selVe more Iban !WO (2) consecutive I"""" tIS a member of !he Agency. A member of Ih. Agency continues in office until a successor is appointed end h .. qUlllified. .

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Comment:

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Tn JOSler aJlL.i.'lI!ney ofdecisiollS, predictobiliry of the AI/alley:. freatment of mailers, aiM inslirmlolllll memory ofpriQr actions, terms ofot least/our yell'S lire ellcoll,aBea. Longer lel1l1S may o/so be appropriate.

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§500.02 Blection and Duties of lb. Chair and Vice Chair

The chair atld vice chair of the Agency are elected· by 1\ JD~"rity of Ibe members of Ibe Allency. The chair and vice chair selVe a term of one (I) year, and J!iay be re-elected. The chair presides a' meelings of Ihe Agenoy. The vice cbalr presides in the abstllee or disability of the cbair.

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§500.03 Agency Meetings

The Agency meets at the call oftlte ch.ir or a majority of its membsll'5. A quorum consists oftbree (3) or more members. An afnnnative vote of tbrcc (3) Qr more members is nr;ceS.~ty for an Agenoy action. 11

61 62 §500.04 Filling of. Vacancy 63 64 A vacancy is filled for Ihe remainder of an uneRpirod tenn in the same manner as an original appointment, excepl thai 65 the chief justice of the [slale court of last re5(>ltl shall "ominate iWo (2) individua!s for tl"bemalorial appointment It> • 66 67

vacancy.

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§5W.O" l1i.erru>vol of Q M_lI., Th. f,4>V<mIDff IOOO}' "eJiij""" ..., $lisps".! a "'.""lIi>er of Ihe AgroGY ~jJ!ifJl l'ilfullg. willi! !Ii., ~@Ilill~l' a WfiiWlii iiJ!!diPig @f ilre

_mbe,'. >illsf~ 0Ii' lilIllIf@llS!ilXlIle. SJJId "JIroi!l S3lWfwg a ropy of Ille written fi"diIIll Oft ille l1!lemblir rGmc>vG4i or sUSj"J--"'iidSll.

§500.0Ii Expenses for ""gllill~l' M6JiI!bllts

A llIlem\rer of !he Allenel' serves wilhout cO!lll'em,,,Uo!l. but is afforded actual and necessary e~pe!l!les fullcurred in Ihe­pe!lfOi'IDlIIiiCe of dlilties.

§SOO.07 Agency SIBff

(I) The Agency iDS)! employ ood "'IOOV. at ilS pleasure as exooutive direclor to perform it. functions. The exooutive di.-eclOr shall liave lIIe respII:",;i~;liIY for emp'oymll.llUd uemQviIlg olba, F"sIHUl.1 as lIlliy be ,,,,,,ossary.

COIlIiiJIent;

SOTllejllrisdit:tiollS "'quire agenderto amil "'.TIIselve. oJ cell/rlll s,a'e I'Ca1 s.",;ces ralher .han pennllli"/J Ih. employment of /JItOY'l1ey.f by Individuo/Dllellcios. The commis.violl ..,rablishetl by lhl., ACT sllould b.permittedro employ ""orneys for lIS

OWIIpurpO$e. •• rt1.lher IhDll beine/orced 10 rely upon the vagaril!$ oflhe .•tal. legal .mlClure10 have a<ce.. to ""u'lSel. States might wish 10 e;rpyeGsly providefor hirillg oflegal help ill 'heir s,atu,es.

(2) An executive director &haU adminisler lb. daily busine .. of Ibe Agency. and parfonn lb. duties assigned by th. Agency,

(3) The Agency shall lilt liIe compe!l$Otioo of irs employees. The ,ttlff of Ih. Agency is outside of th. (classified .Iole sorvice]. A roember of Ibe sttlll of liIe Agency shall DO! be:

(A) a public official; 0'

(Il) a candidate.

while a member of Ihe $Iffof Ibe ABeuey. iill

t§SOO.08 Filing of Statement of FWllOcj.1 Disclosure k

¥ IT

A member Md IIIl employee of Ibe Agency sball file a slatomeni of fioMei.1 disclosure with lb. Agency which shall be I a public record.

§SOO.09 Prohibition 00 Politi",,1 Aclivily by Agency Members IIJJd Slsff [A member of lb. Agency and ito staff shall DOl parlieipate in politiealllJlllJogemeIJI OT in a polilicRI campaign during Ih.

Dlel!1ber or employee's term of office or employment. A member of Ihe Agency and its staff sball not:

(1) make a fiDlIDeiai contribution 10 D candidate.

(2) make a financial cootribulion to a politi"..1 commiUee. or

(3) knowingly nltend a fundraiser held for 'the benefit of a cnndidat. or political commillee.

§SOO.IO Prohibilil;ln on Lubbyillg AClivity by Agency Members and Sttlff

(I) A merollar of liIe A8ency and its .ttlfE may not be a registered lobbyis, or participate in lobbying ftclivilies Ibal would ,.quirs the iIldlvidual to regisler lIS 11 lobbyiot, unlass Ihe lobbying aclivilies are: .

(A) authorized by lb. Agency;

(Il) <anducted on behalf of Ihe Agency; and

(C) parmilled under sIBle law.

§502 Agency Autborily

§S02.0I General PMVcrs of the Agency 6S

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R i'i~4)~§11 /Jl$ <l1!JjJ[erlS!Y 1I'_ilbl ",!~e""'i!l? Il1.a AgOiJij4)y i,@"""Il'""siMe If®. admtiu!lisier.riJ;jg'iIr", jlrovisi"",' @r alcis cIli"i'~. '!1k@ 2 Age~"y zlftlllH lia'llil Iile i"JW@< !1il!0I alOiu;re !lei 11<>t1ii1 ;., alcis A<Ii. ~ <I §S02.02 IsSUllllC\'l 01 A<IIvioowy OpiniOilW 5 Ii (I) 'The Agency Kn'Iy remle, advisory "Pillio"s ~oocemlDll Ghis Ac! based "POO reall or hypoilleniCliX cineum.slmleOO. "'he~ , 7 I'!"l"eslelil illl writing by: . 8 • \I (A) s publie official or public employee;

10 Rl (9) • former pubUc official or £0I:l'11.0' public cmploy...; or HZ 13 (C) • person who is pClIliOo.11y and directly involved i .. lbe> matter. 14 15 (2) /Iw advisory opinion reque.i by • public officiator public employee coocemiog his '" her OWIl1affairs or llie affaim 16 of a subordillate public official or employee Or a poleglial public official or public empll»1ee shall be confidential. 11 18 . (3) An adv;sor:y opinion (e'iUCSI by .. fonne. public official or fonner public employee concernillg hl.. or her 0Wl1 affoi... 19 shall be confulenlial. 20 2\ (4) An advisor:y opinion request by a pef1iOl1 ooncemi.ug Itis or ber own affai.... wItb regard to polenlial public se.vice 22 sball be confidential. 23 24 (5) /Iw advlSOll' opinlon.han be io writing and must be made available 10 the publio. bUI in Ihe ca.W of" confidential 2S advisor:y opil'oioll, the iden!lty of the persOIl reque.tiol! the opinion and of a p.rson whose afl'airs-are involved io the 26 circum"laIIces described i .. Ihe requesl for the advisory opinion. are confidential. 27 28 (6) An advisory opinion shall be deemed rendered wben signed by three or mote Agency membern subscribing to the 29 advisory opinion. 30 31 (7) An Agency member who agrees with the advisor:y opinion bUl for difforcnt reasons than as stated may file a written 32 concumng opiolon. 33 34 (8) An Agency member who dioagrees wilh the advisory opinion may file a written dissenting opinion. wltlch will be

,]5 placed allhe eud of thelll!\jorily opinion. or allhe end of a concumng opinion. if any.16 31 (9) Agency atromey. may issue advice either omlly or in writWg concerniog Ihi. Act based upon real or bypothetical 38 circumslallces when requested wheo slich advice i. COIlslsleol with this Act or previous advisory opinions ;..ucal by lite 39 Agency. provided !hal such advice shan be confidenti.l when an advisor:y opinion on the matter would be confidential. 4() Advice so issued by Agency attorneys need 1101 be made available 10 Ille public. 41 42 (10)' An advisor:y OplniOIl requested ullder Ibis seclion and any related iolernal Agoocy materials requesled or prepared 43 OS a result of suell ao advisory opinion request sball be confidential. 44 4S (11) The confidootialily of an advisor:y opini .... may be waived eilbe" 46 47 (A) in writing. by the person who {Ilquested Ihe advisory opinion; or 48 49 (B) by majorily vote of Ihe me(l\bers of Ihe Agway. if a person makes or purports to make public Ihe substanca SO or \Wy portion of 00 advisory opinion requested by 0' on behalf of tb. person. The Agency mny. in such ru\ ""enl. also vote 51 to make pUlllic the advisory opinion requesl and ",IBled ""'Ierial •. 52 53 Comment: S4 55 This provisioll alllhorl1:es me ligency 10 l$.Vue /U1VlSOry oplnloft!. bu. ku.... w11« Ago1l1"jI IS Ai"'''''18~ thQ "...",monl ofr/lf 56 approprialeness ofi .... /lng an op/llion. 57 58 There is considerable merit to Ihe idea ofhaving anyone be .able 10 ret/west (In advisOry opinion. andfor having such on 59 odYi.iory opillion request and respOl/u bca mailer o/pubUc r8cord. However. a/lowing anyone to reqU8.fI on odvi,wry opinion 60 COli ,i. up ri,e action, ofan agency with partisan- or per.lonal-bosed attacks upon Ihe actions 0/" pUblic n./Iicia/ or "",ployee. 61 Pllhlic officials or empluyee., sholJ14 be able 10 reque.<I advi.,ory opinio/IS abOUt ,hemselves ()lid their subordinales. and the'" 62 i.. significant .,en,imentjorkeeping these requeslBond respons/l., con}identlaL Ml11IYfeel. howcver. Ihat ethics wou14be greol'? 63 fostered by giving the Agency the aUthOt'iIJlIO issue Q nO"'conjidellli(1/ adl'isory opinloll 10 a member ofIhe public who IS 64 i,lVolved in some mailer involving (! public official or public: employe., and II SIOI. official or employee shoa14 also have tile 6S abWl)IlO requesl (,I puhlic odvisory opinion abOIJ! (lIlolher stale "fficiol "r enrp/"yee Who i~ "'" a subordinate. FlJr t!XOmple. 66 IJ member ofII stal. board mighl WalllllJ kI,ow whether another member of'he hoard has a pOlellt/al coltJIict 0/imerest.

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lPerrmiBoong fiflt&V~lb(fjfj'8 oj eCiJt? pe;P;8§c 'fI'Jh.fiJ Ui~§ghg PW11 C2!JIVl! ffJ. jY5Jn;ceoRlF 8W(fe"V'e9U 80 U'(!€jjij?QB m §vUSaTfY (J'piwei(;f1j w~rultf1 $eV1!l! «he fJli1?p&He o/§amwflfj fJfJ tlll/vigwy@pi'';<la!!1<'' ,'(lIJ!Nl<i1 if, for eK@Jilple, @&YflJ1P&fiiI&m&errteJI!BS<?if!EfJYlilq/!J(!$UsMeI.tI" !!1<j;;lllol' ",I,ll I¥ISpeCllo i!i pOle",/a/ cmiflitJI sho, he O? sf,e "'ift/.e howe. Eu/dcs "'Qollcies IlrorB"(i 'he ""liO/I (jJ?iI frelffWenu1y comtJlCI<?if! by liI1e news me4iB or members ofthE pl4bl;c regarding sO",i'tliinE 0/1(01 (o81tlUe qfficial or employe€? I.t do'mg. W;,ilolll ,h" libillty 8(1 issue a" adviSOry op,,,i,,,, go Ell member oj1he p"I1K/c. ek" rlJg£/IIcies hO'e" d!f!iclIlt lime re..V'omiing EO Ike.,. roli~-emt. iZv~" if ,heAgelil:p OO/1lIlCi$ the s'ale qfficiel or IifWIPWyee ;fDvoll!lJ1i, Iheip lEilvire would normally 1;1' privileged or q;olljitianeial, a'uI r/ius //ley wo,,1&have a proM"", Yf1Splmfiillg eo /I mrgmfler ofthe public """ew, meliia willa respect to ,hefJl'rticu/(fJp$il",aYloll.

'/he .,,,aioll perm/YI/lli! Slqjft11llorMey. 10 issu" odvit:£! either oMily or iii writiliE. whim such adVice is b{l$eti 191'011 clear low f}'f pveceliems is set /Onh urI cover ehose s/8Mallo,., In wllim elielt'{! il; 810/0 "eed 10 Issue a" advisory opln;on 10 "I28W/lY " fJue.iEion. .

JIJrl.ifiict/,ms shoul& closely exam/rio their opo" mEfliligs ltJws 80 delUiillne WheKhar" spedji" _flip/ion 10 sMeli lows liIol wOIl/d pewilllle Agemo/ to meet ill closed seQs;,,,, 80) mnslder rlJtpJe.ils for tzdviSQry opinions ;s ""CI!S5ary.. . §S02.03 Conddet of investigations

(1) The Agency w.y conduct investigations. inquiries. and hearings concerning any mailer covered by Ibis Acl ...d certifY its own act. Mel lNlCOr<is. •

(2) The Agency JiIllIy delennlne whether 10:

(A) investigate; and

(D) act upon a complaint.

WIlen the Agency detennlnes tbal assistance i. IJeeded in conducling in"""ligalions, or when required by law. Ibe Agency hall 'equest Ibe assistance of othet appropriate agencies.

§S02.04 Adoplion of Rules

The Agen.y sban adopt, amend, repeal. and enforce roJes to implemenllhis Acl.

§502.0S PrescripiiOll of Forms and PresmrntiOD of DOCIIments

Tko All""o}' oball "",roriM ODd 1'''''';''' 6>..... 1Or....p~,..•. c,urPl1lI'n'•. nnlir,... 01111 "iltAf "nrllm"n'~ fftlilirflll hy IhiB /lCf.Doc\Illlents ,filed with the Agency as public teeords musI be retained for 81 least four (4) years from the dale of their receiPl.

Comment:

Sllltes should check. r1,1.• prowsioll IJgo;,1$t olherpro.i,;olls <ifSlale low which gove", '''''''';011 ofrecords. Mosl Slates 1.0'" a general S'Oll/le which covers tl,,, retenr;on mul dispos;t;oll '!fpuhlic records.

§:;02.06 ,Review of StatemenlS

lb. Agency sbalJ:

(I), review each sWlement filed in accorWn.>ce with this Act for compliance with ils provisions; and

(2) notify Ih~ individual On whose behalf Ihe stalemeDt ;. filed of an omission or deficiency.

§502.07 Aocesg 10 Stalewents

The Agency sholl !J)llke swomcnls and repons flied with Ibe Agency available upon Ibe wrilte.n request of lIJI individual for public inspection and copyiug during "gula, of/ice /toulS. The Age.ucy .ball make oopyjng f0C11ilies ~vailable lim of charge or at a COSIIIOIIO exceed aClUal COSI. A stalement moy be requested by mall, Mel the Agency shall rnail a copy of tbe requested stalemlinl to the individual making tbe request upon payment of appropri .... postage COSIS.

§502.08 Maintennnce of Slalomeni. >

The AgeDcy .baIl compJJe and maintain an index of repoIlS and 6ta1ements filed wilb Ihe Agency 10 facililllie public access 10 Ibe reports and staleroeul$.

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!l5!l2!.ij~ ACIlGI'''' 10 1IEi,,,lfli!fl1inOill b- illil'!(}S!igaiilll!lls

The Ag01M>Y ""my r~"iv.e ille COO!Je"'I'Otl of " Silale ag.mcy, official. ewpl<>y~. ili!!I ,,2her 1'"""''' W1dOS9 """~ilU:a is ~!a!etl by tlii. Acl. J\j] nlil(iivid1!mi sh.lI imltO iJmfOffiJiWii"n rreEJ1;onmlJly ",Iai~ w"'" nmv<ssiigmi,,,rn ""ai!.bl@ ill i~e Ag.~C9 00 WIliilllllll req....t.

No laler t_lPeeembo..r I] of _b year, ille Agency sboll report to the \egisillinre Iillll !he gtlVeJ1l1!or 011 tbe AgellCY's aClivit'es ;11 !he preoeding [Ii_I] felll,. The ..port lliIllSI ooallailJ Ihe a..""" SlId duties of ,""ell individual eillpioy~ by llJo Agoooy. ""d R summ"'Y of Agene}' delemUR1llII(ln. and 00";50'Y opWons. The Agelley $hall proved! disclo!lllfe of the identily of a PBli'SOil iiJvolv~ in [deciskms or} oonliid....jal a<Ivi~tliY opinions. The report mal' COXliain·olner ilIforma!;on on _llem wilbio ·the Agoocy'. jurisdiction Md recommmliatiolls for legislat;ou as Ibe AgencY dooms d";rabl •.

§SO;!'.I i Publication of lllfonnation

The Agency sballpubli$b and make a..,ailable to 1\16 ""rsons !lIlbjeel to Ibis Act anellhe pUblic eXI')anRiOi")l ;nfonmllion conoomil1g this Act, 1\1. dm;•• imposed by it. and the _. for enforcing il.

§S02.12 Researeh and EdllclIlion.1 Ootreach

The Ag.ocy lI!.!Iy:

(I) conduct ......rch concerning SlDte governmental etbics; and

(2) implement tlte educational programs ;1 consid... necessatY to effectuate this Acl.

§502.13 Oaths and SubpoelJos

TI.e Agency may:

(I) admioister oaths and affi.rtnations for the leslill10lty of witnesses; and

. (2) i ....e sub~a. by • vote of three or mo'" "",",ben, subject 10 judioial enfureement. for the procurell!5nt of wiln...... and ....tenals releVRIlt 10 Ibe Agency's inv ... tig.doDS, including books. peper5. retords, documents, or olh., taIIgible oIliOCI',

§S02.14 Local Rules

The Agency shall is.",e rules governing Slate government [ca(1\p.i~ finance.) conflicts of interest. financiat disclosure

I. and lobbyist regulation]. Th. rules may be adoPled by a local jurisdiction or imposed upon a local jurisdiction under Ih.is "!\oL

§S02.15 Other Duties

The Agency may perfoK1lJ the olber acL., duties, and functions autborized by this Act tbat it deems appropriate in COMoclion with t~i. ACI.

§S04 Complaints

§S04.0 I Complaints Initiated by an IndiVidual

r.. (I) The Agency shallacoept from aJ\ individual. eitber ""tBonally or on behalf ofan organil.ation or governmental bedy, a verified oomplaint in writing tltat states tbe name of a person alleged to "'ve committed. violation of this Act. and sel6 forib tbe p .... iculam of Ihe violation.

. (2) The Agency shan forward a copy of tbe complaint and a genoml \iIIltemeJ)t nf the .pplicabl" JIIW with respect to lb. oomplai)lt to th" re.~pondent.

(') If th. Agency delermines that tit. complaint does Dot ..tieS. facts sufficient 10 COtISliMe a violation of lIl'e ACI,. il shall·dismisS tho complaint and notify tlte complainant 3Dd the respondent. If lite Agency delermino. that the compllllDl alloges facts !!IIfncieut to coot<litute a violatioD of the Act. an investigation may be conducted with respect to an aneged vjo;>lalion.

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§£C'il.02 ~ia""a., llillil':>!erli ~ r,'E. Ageillcy

(I) Iflbe Ag€iFJlcy <ielemlioes iliai joi;"lIl.ifio@ Ibe AgeilC)l1iJJlS ~lIerli;

(A) Il'ro1Iidos on adeqoote bMi~ ro, !be belief Ibal " viol.taO!! of Ibe A£.llias bee~ .unmillad; m

(B) tbai 1m imlvel;lligatioo €If "puss;bl" lIioll.lio," is wmmnierll:

(2) If ilIe A~CY, duriDg Ih. course of on ;;'vestigati"", Dr upoilibe receipi €If infom1llllOll iliJJds probable ""use i<> believe iIla' a violatioo of ill. Act It.. _ ..rred, it may, UPOIl ils OWRJ )!Doti"", make a colllpJ.wl in wriliog. slalint; lb. m£lllle of.lbe poiSOXO wlto is alleged 10 bove commilied a violatioa of ilIe Act, and sel forth ilIe particulars I1I00000f. A. complaiol initiated by ilIe A.gan.y liJ.llml.oo Signed by a ....jorily· €If ilie membm of Agency.. ..

(3) The Agelloy Gllail forward a copy of Iile complaint, Rill! a general stalament of the applicable laws with respect to the compl.Inllo lb. respondent.

§504.03 Amendment of Complaints

(1) If a verified cmnplaiIJl bas been filed, D1 if lb. Agoocy has issued ilS GWiI comploint, and subsequently Ibe Alleocy fulda probable cause to believe liIat a violation of the Act bas occuned, Dthe, than an alleged violalion in Ihe complain!, tbe Agency xnay amend Ibe coroplainl upon its own molion 10 ilJelude Ihe violation.

(2) An amended complaint issued by lite Agency musl be Higned by a majorily of Ihe lIleJllbers €If Agency. The Age••y sb.lI forward B copy of the amended complaint, and Ii genetlll stalement of Ibe applicable laws with respect to the amended complaint to the compl_ruMt and respondent.

r §504.04 . Rigbt to ApJl(!"f l The Agency shall .ffimi II public official or employee wlto is t\le SIlbjec! of" complaint an opportunity 10 eJtplnio the conduct alleged 10 be in vioJaiion of Ihe Act. A public officio) Dr employee who is ill. sobject of a complaint hIlS ill. ri,lht to appeor sud be b....d [under oatb} and to offer information wllich may ICIld to ""Dnernle tbe public official or employee of probable cause 10 believe ibat lItere h.. _ R violatioD of ill. Act.

§S04.0S Righi 10 Request an Jnvestigalion €If On.'s Own Conduct

A public official or employ"" _y requosllhe Agency to make an investigation of lite public official or employee'. own CQnduct, or of .lIegalions made by another individual as 10 Ib.e public official or .mp\()yee'.~conduet. nus request ftlUSI be in writing and set forth In detail tho .....ons fur ,'"!uesling ao ;ovesri,loljon.

§5D4'06 Statute of Limitations

(I) Action may not be laken OB Bcomplainlliled more than th.... (3) yeurs _lIer the viol.lioo of the Act is alleged 10[~v. occurred. .. ;'.

(2) Nothing herain sboll bar proceedings against a person wbo by fraud Dr otber device prevents discovery of. violation of Ib.e ACI.

§S04.06 Rere.... \ of Eviden"" of R Violal;on of Law

r- Notwilhstanding [iba plOVisions of. slate confidentiality law], tb. Agency may, iD its discretion, 111m over 10 an 19propriate gmremmett! Agency [upon request or as • roaller €If course], apP'nml evidence of. violatioo of law.

Comment:

This .teetion permils Ihe Asency 10 make avoilable I" an approprial. governmellr o.f/ictal or ogellCY infortna/ion .hat may be IIsed In a criminal proC8tltling ",. orh",. bTeb.ch of the law. The question thaI Ihe stal. needs 10 reso/Vi! i$ whether Ihit Ipformdllon should be tlimed over 10 such ",. emilY OJllomalic"lly, or only after the malerial has bee" requmf!.tl qf the Ag""cy. A.ulomatic reletue fJJ malerials may promol. more pr6SeCU/inm;,for 1ft. appropriall! proseculorial dUlh9rilie.. may be "naWtlre qf cen(lln transgressions without such nat;cer ~lease upon rcquost wouTil $ervt1 10 reduce the burden on proStlCU/fJrial authorities, for they would Ih.I/ ollly be required 10 look Into more information on the InW!SligatiollS 11111t they had iniliated.

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WhdorJ ~1 Via@Jvu2eai1@pYV'etjjeJDremePDofor Agc;VilC'jJ IfErr2UOflU W'~s C@l1!si.tkved. ifl w<i?.£ trf/ijt3CJetl ()!$ @ be~fag em eAfUfif!18 fJJewdClfJ (}Fa ehe Agenq witli rrespeel Ed) bOil' d1<t'l''''' "reA lim;lit;. ~

§!!i1l6 !frro~Ii!ii;!laooiB5 ""Ill lfl!eallliJiill!!is

§5oo.m "1I1i1011i1lO1,OIl iO C@OOIiCi !iii W"vesligotiOlll <,

• Bef<1ie Ibe "8""ey mmy slilli'ffi'M a witllesses. Bdwjn;sler oalbs, I.!Ike remmony, Of req.lif. liteproouciioD fur eJ!arni!laliO!l of books ot 11"1""" ""ih respJ:l'i 1<1 "" inveSligaii<l1ll or h~riJJg, ;1 shall. bY!l'ellOilllb!ll!! adopted by " vole of abxee or .nore of_ ilS llIIembors. defi... Ihe "arure lil'ld S"<lll" of ils ;nquil}'.

This sect'oll requires the AgellCjlIO dqfl'''' the scope ofa."iiiceedill8 (II I,.. olltsee. TIle question thai/he SIO'P. need, '(I resolVi! is whet/lerthis dqflniilofl (lIthe "a'!lre (J.lul scope of Ihe i"ljuiry is 10 be limiting or <ulvisory. ff the/armer. t/le resolution should he drawl/-as broadly as possIble, or made suhjecllo /Oler lUIIendmelll. Iflhe laller, there should be ••ome specificity to guard'ogo/mt tho proW/rllial government wi/chhu",. .

§S06.02 Ageney Investigatol}' Powers

In an investigation or hearing conducted Ill1der this section. the Agency may do the follOWing:

(I) Require an individual 10 s\lbmit mwriting verified RjK1rt. and answers to que..tions relevant 10 Ihe proceedings conducted unde, this section.

(2) Administer oaths and .-.quire by subpoena ilIe 811endance and testimony of witnesses aud ill. production of OOoumentary evidence relating 10 Ihe investigation or hearing being conducted.

(3) Order testimony 18k"" by deposition bofore an individual designated by Ihe Agency who bllS Ihe power to adminlster oaths. aud. 10 compel such testimony and the production of aviden"" by subpoena.

(4) Pay wilof!$ses the same foes and mileage reimbursement paid io .inolar circullIS""'ces by tke courts of the obtte.

(5) Request and obtaiQ nom the [slllle departmenl of warion or te1/enue] copies of state mcome lax rerums and a= to other appropriate inform.tion {Og.rding a peISon who i. tbe subject of an investigation.

(6) Request the .espondenl·s attendance I\t a meeting (or hearing) of Ibe Agency conducted to obram Curtbor iofonuarion from Ibe respondent.

§S06.03 Enfurcement of Subpoena.,

Enforcement of subpoenas issued by tbe Agency may be effected by wriuen npl'lic'lion of the Agency to • (1_1 court] judge.

§506.04 Probable Cause of Vioiation .:~

(I) At Ih. C(IlIclusion of ;Is investigation. the Agency shall, in pleliroin8ry wrilten decision with linding. of fuet and conclusions of law, make a determination of whelh •• probable cause exists to believe that a violation of the Act bas occuned. If the Agency determines thai probable cau.e dOel; not exist. it shall send written noti"" ofthe detenninalion to tbe respondcot and the CODlplaiJl8lll. The written notice of no probable call'. must be in the form of a written decision with findings of fact and conclusions of law.

(2) If the Agency determioes thatlhele i. probable etluse to believe tbat a violation of the Act has been committed. il5 plelimiJ1ary decision with lindings of fRet and conclusions of law may contain au order seHing funb a date fur bearing before tho Agency to determine whetber a violation of ilIe Act bllS OCCUlTed. The order shall be served upon tbe respondent. The respondent is entilled to full discovery rights before a hearing is ordered. including adverse examination of wibmSSes who will t..,lify at the hearing 81 R reawnable time before the date of the bearing.

(3) If tke Agency linds probable cause to believe tbat a viol.tion of tbe Act bas occurred. tbe Agency may waive fUrther p~ings because of actiQu tbe respondent rakes 10 remedy or correct Ihe alleged violariou. Th. Agel.toy shall wake the ICmedial or cotTOCcive Belion laken by the respondent. the Agenoy's decision in light of lb. action to waive .pllthet ..!.oceedings. I1l\d the Agenoy's justification for its decision. " pnrt of the public record.

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~~OO,OO FrIf~g Il'rooorilwres

(1) Th. Age'/;,cy iIIl!ly appoiJrnt • q""liiioo IHidividilllO !lS B D<>aiWg er.~ooi»e•• The ileEllMg eJrnmilDer moo!;

(A) be a "",,,,her or ill. b ... of the Slale;

(II) 1iI011Je an eleclive official 01 " full-iiwe """,lOll"" of Ihe ""eeuiive ow legisla!iue bll'mcli; ""d

(C) Riol be II me/llber Or empl€lyee €If Ibe.Age!!lcy.

(Z) The bearing eRomine. shall eooduo' a bea""'g or ",ba!iri«lg ..ruI., this _1;0)1 in accoro.'l,\'lce w;lh lII!e r~IIi"'jii"";'of line Si$le .d~ljv" procodure llCi). eRcep! "" otherwise eJlpra..ly prouided, '

(3) J)ormg!lll il1vesligaliOil or bearing '0 detemilDe whelber • viol~lioll of the Ael bas occum:d. the respondenl mayhe represented by counsel of ille respondent's clmice. ­

(4) The ",spondent has the followiog righ!s:

(A) To be afforded au oppostullloy to cbaUenge the v.racily ..,d sufficiency of a complain! filed lIgoinsl thorespondent.

(D) To p,osen! wible ..... who sh.1I pc subpoenaed by Ibe Agency to compel attendance 1IjJOU the respondent'. request.

(e) To e!llablish peninen! fnc's and circtlmSltulces:

(I) To .ehut or offior countervailing evldetl(;e;

(E) To queSlion or ",fute testimony or evidence. including tlJe oppoltUoity to confroDt and cross-examine an .dvernewitne!ls,

(F) To elIercise fully ""y pretrial discovery procedure usually available in. civil oclioo.

(S) During!lll Agency hearing oonduoled 10 delerro;oe whether a violalion of Ihe Act has occurred, all eVidence. rncluding records tb. Agency oonsidor$. sball ba fully offered ..,d made a peJI of the ,ecord in the procaedings.

(6) A person whose ffiIIJle i$ mentioned or who is olherwise identified during an Agency hearing. and who. in Ihe opinion of tlte Agency, may be adversely affected as a .esull, may, UJ1OI' the request o~ lb. pefSOII or Ibe person'. .epresentativ.:

(A) appear perSOi1Slly bafore thl> Agency and lestify DR Ih. person'. owo behalf;

(D) bave a representative appear 10 les!ify; or

(e) ..roUI Of offO!' counl!lrvailing evidence,

The Agency may permit any otlJer person 10 appear IUId testify at • heaJing.

(7) The Agency shall nol be bound by Ihe Sirict niles 01 ""'denee when conducting a bearIng '0 de,ermlo. wb.U•• , D viol'lion of this Act has occurred, II!Id the degree or quanmm of proof required shall he a preponderance of Ibe evidence.

(8) Alter lb. cone1\1sion of ils hearing, tlte Agency sball. as SooD as l'mclicable:

(A) begin deliberations 00 Ihe evidence presented al the hearing; IUId

(O) determi.ne whotlter the respondent has violated tbe Act.

(9) If. hearing officer is appointed and a majority of the members of the Agency are Dot presenl 8t the hearing, lho Agency sh.1I not begin deli1Jeralion. unlil after: '

>

(A) Ihe proposed decision is '01"\100 upon th. Agency and the panl",,: and

(D) an opportunity is provided for oral argumenls.

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(iI!J) /Ii. !;",,~lnlg no ole!SmWm6 "JI>.I~ew II,es@ Lim; I!!s.@. " "i()!~iifrm @f!!li@ Aei W]Si Ire FJ"illiic. __ e!l.@ h.1!Iffi!]0Y vOlileg 1o mfBEQ' fl1ffia (Wi4~!lice ~ en6{:!l!!ijve sasSBfmr

(1 i)· Ii member of !be Ag"""y ""'y .dmi!ill;sler c.lbs. A memOOf of dae Agency _y liteOIl' lesliw!lI9lY Oil' """"iv. oQlrer evide~ce iJm a procostl;IlI!l lrefulN' Ime Agency.

" ~ (1) No later than [2 reasonabYe time] after the conclusion of a hearing to determme whether a violation of the Ac£ has "",cuffed, ibe Agooey shall set furth ils delemliii!.tioo ;!iIl Q wrillel9l deeisioo wilb oodmgs of fact and cone\IlsjofllS of law. n. Agency shall send ils writ!ef.l decisiol9l with findilllls of fuel and "".clusiou. of law 10 the mpondent ""d O!;lmpla;,uml.

(2) If lb. Agency detormioes that a violation of lite Act has occurred. iis written decisiolll wilh findings of fact ""d OOIlGllIfiilll1fi of lmw mUfil GMfain ronft (I) or mn", nf Ibp. followi"ll ordG" or ree"""""ndoliooc: . .

(A) IrA the case ofa Siale offici.lli.blelo impeachment, a recorMIendaliOliio lb. presiding officer of each chamber of Ihe legislalllre that the official Ire removed from office.

(II) 10 Ihe case of a public official or pUblic employee in Ihe [classified or unclassified] service, " recommendation to the appropriate sppointing authority lila! Ibe pUblic official or !!'Iblic employee be censured, suspended, or removed from office or employment.

(C) In Ihe case ofa member of Ihe stale legislalllre, II recommendation 10 Ihe presiding officer of Ih. appropriate chamber of the legislalll.... thallh. legislator be censured. suspended, or removed from office.

(0) IrAlh. ense of Rjudge, II recommendation II') the [state court of last resortl and to Ibe presiding office; of each chamber of tho logiol.bI.... Ih.1 Ibe judge be censured, suspended, or removed from office.

(E) An order reqlliriOllllxe publio official OK publiO employee [0 confo"" lb.. official's or employ.e's conductiO the "'qoiremeo[s of Ibe Aci.

(F) Au order lreqIlirillg tbe public official at public employee 10 pay a civil penalty of nOI mQre dtao [$2,000] for each violation of the A.cI. The a!lomey general, when requested by the Agen.y, shall iU$liblte proceedings to m;ove. a line or furfeihlTe incun"ed uude. this section nol paid by, or an belt-If of, 11x. pel'lQO against whom it is assessed.

(G) Olb•• tecontmeDdalions or orders, including:

(i) forC.illlte of gifu;, "",eipls or profits obtained Ihrough a violatiDn of Ihe A<;~

(ii) voiding of a slit"" aClioo obtained Ibrough a violalion of Ille ACI: or

(iii) or a combination of Ihe above, as "ocessary and appropriale. consistent wilh Ibe Act.

(3) A line imposed by Ibe Ageocy. disciplinary action taken by an appropriate authority, or a delenninalion Dalla take disciplinary action mode by an appropriate authorily is public recOrd.

(4) This section does nOllimillhe power of:

(A) eilber cbamber of the legislaluJe 10 discipline ilS own members or to impeach a public official; or

(8) of a department 10 discipline ilS officials at employees.

§506.07 Rehearings

(I) After tbe soMc. upon the alleged violalor by Ibe Agency of a decision under section 506.06 conrainixlll an order or recommendation, tho respondent may apply to Ibe Agency for a rehearing wilb respect to a matter determined in the decision.

(2) Au applicalion for 8 rehearing is governed by rules established by the Agency. The Agency may graxtl one.(l) rehearing to a particular respondent.

(3) An Agency order may 001 become effeclive:

(A) before twenly (20) days afier it is issued:

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(C) Irefore.llel1 (10) dIlys aliar ilia "I1l'licatioo for ""'oaring is eilber denied, orr ill. Allency it"" M!!(>u.ooIJ iRs 1iruI! de!<llfBllDil1~tJ" .>i. reb~ng.

(1) 'The nllomey gen.rIll may _.r 11 fee. OOmpelllsat;o". gift, 0 •.,,,,,61 .-ecelvetl by a I"'JIllOn II!) a _Ii "fA "iolali(j~of Ille fl.c!.

(2) AClio!) lakeo by Ihe attorney g<!mer1l!l uKAde, liIis subsechoo must be brought '''' latot tli.., one (!) year aRer a deteuminatioi! of" "iolatioi! of Ihe MI,

§506.09 Appeal

A liDal aclion by tile Agency ....oer ibis Act i. ll11bj.e11O _iew in acOOI'dJuJ.ce wilb ibe [sillite adminislrallv. procodure

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I; §S06.10 SeUlement Agreements

I A public official or employee under invealigolion by the Agency for a possible 'Iiolation of Ihe Act may enler into a ~lIlemen! agreement with the Agooey 10 resolve the JIllIlle. 10 pr.elude further proceedings: or llearillllS. A seillemoot

1 Bsreemenl is _ "",lIer of public recore. •I

§S06.11 AmhenticaliDD of Agency ActionsI,, A d",,;$;oO or l'liviso'l' opinion of Ibe AgellC'!} ",u.'<I be in wriling IIIId si~ed by IhJee or more membtm of ike AgooC'!},1

I §506.12 Public Iuspeclj(l)JI of R.eords

(I) Except as provided in ",,!meetioD (2) below, all AS811Cy records are open forpublic inspection during DOiQl!II business hours.

(2) The fQllowiog Agency ,.cords are not open for public inspection:

(A) Recorcls obtained in colllloction witb a raques! for lin advisory opinion. The Agency m.y make ""","" described by tbis subdivision pUblic wilh Ibe C01ilSell1 of the individual to whom the records pelfAlin.

(D) Records obtained Dr p",pared by the Ageuey in cODDootion with an investigation or complainl. HowlWer. the Agency shall permit inspection of the following:

(i) Record. made public in tb. course of n ,bearing. .' >

(Ai) Verified complaints med wilb Ibe Agency.

(iii) Complai»ts issued by lhe Agency.

of law.

(V) Deci~jon. wilh findings of fael anlt C<;I!Iclusions of law issued afler a ,bearing.

(vi) A delermiOlllion made by lhe Agency regarding 8 reI1earing.

(vii) A settlement agreemeot enlerW inlo by III. Agency and • respondent.

(3) A pel$!)D wbo mllkes or pU!ports 10 make public Ibe 5ubslal!ce requesled by or on bebalf of Ibe llCI1!OD has waived tbe . . (Jbt:nined by the Agency in oo""""tiOIl with ille 1'IlqlleS' tor lUI advlSO'l' OPIIIIO:~.

(4) The Agency JIllIy publicly respond to a s!4ltem~1 or inlerpreilll\On.macie Co!\I~ '_~V.'''' opillion or decis;QD it hIlS issued d. is pwported 10 have ,RSUed, '

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(n) A Il'lJIbJio official <Jr j'llJlbf;" elilIpl"yee W"" ""ptlir!<l or 011<>",1'''' to ,eW"", 10 ilIe A~i1iIcl" OJ' ilI@ Qfficial'~ O. GY!ll!'!oyee's olepa6ti1:len!, diwi.i<m, b~, D!lii'OOU, commissio.... cllaillbei' of tile legHslnrure, or @ilIeil" ag.~cl" of iIle S!ilie. ilIIf""",!;om cooooltiIDll ''-1 mcliQIl ilia! llie pUblic official or I'ublic ellilP!oyee re8Soonbly believes 10 i...volve:

(.1\) oo'ffilptioU!; ;..

(Ill lm6thical practices;

(C) violation of federal, Sialo, or local taws or regulations;

(0) misrmutagernet1i; . (B) gross wasle of public funds or resoD"",";

(f) abuse of authority;

(0) d.nger 10 Ihe public safelY: Or

(ti) o!Iter alleged acts of impropri.ty;

wilbin «stale department, division, board, bureau. commi ... ioll. cballIber oflbel'gi,IaNre, or olbe. agency of Ihe state, may not be sul.!iec! to discipline or reprisal for reporting Ihe oets of alleged impltlpriety to lite extenl mar rho public official or employee is 110' directly responsible for Ibe acts complained of. I

(2) A public official or employee shall not subj!'C1 a person who report. 10 a government enlily or iii. Agency infoK1ll8tioll <;onceming ... aclion !he petson reasonably believes is a violation of the Acl, or of any of{lor, or rule, Issued by lite Agency '0 ",,,osa! of retaliaiion.

(3) A public official 0' employee wbo i. discbarged. disciplined, or oIiJerwise penalized by a government emplOYer w I violalion of tbis section may, after ellbausling all availllble administrative remedies, bring a civil ac!ioo, no la'er Ihall ninel)' j (90) day. alier the date of the final adminis'rative de,ermin.!ioo or nQt laler ibM ninety (90) day. aller Ibe viol1ltion, i wltichever is later, in [district-level] court for: i

I(A) reidslarem.ol 10 Ihe position beld at the time of Ihe disclosure;

(D) paymenl of hack wages and benefits: Md ' i (e) olher relief as the public official <>r employee may deem approl'ri.te or necessary.

(4) An employee found 10 have knowingly made. fals. report shalt be subject to disciplioary acliQR wllich may welud. Idismissal. "" J

Comment: I I

An individual, paniclliarly a public employee••,hl}uld hefree 10 spook out on ilI.,ues relating tofraud. WD.<le. allli a/)~e;n i government wilhout fear ofr",alialion through demoli(1n, transfer, CUI In pay, or an unstlliifactory p.Ij'ormallC6 rev;ew. This­provlsinn permils " puhlic emplayee or any pmon to disclose alleged improprielies wilhout ropri.•al by the governmeRl. Sojeguard..jor reln.<tatil'S an employee and deterrillg wllYUl misconduClfhroughmaki/lgfaLte ar:cusaf/OIlS are also included.

§500.16 Copy of the Act I€> be furnisbed to l'ublic Officials and nmployees

(I) Ew:h public official and employee shsll receive a copy of tbis Act [notice of8mewlmenls,j and a brochure describing the genemlapplication of the ACI bufore January 15 ofeach yeat, fiom the public offici3! or employee'S department. division, board. bureau, commission, cbamhsr of !he leglslarure, or other agency of Ihe Slale, upon nssumiug Ibe dulies of offi<!e or I

position within s;rate govemment~ I (

((2) The [jUrisdiction) (\laY choose to assume Ibe responsibility for the distribution of the Act for appropriate public I

officials ou~ employees under subaec.j.,n (I) above if it annually includes a copy of the Act witb each official or emplcryee'5 t paycheck 0. statement ofelectronic funds transfer. (

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§~Ol;!.(ll i!'ori'eiruJf<l of li'enwioll ""d ReIi""",.@1 901l\efils

C!) A pl!"lIe officio! ofl",bJic "",ployee, .... " Slmriv"., lIeir, succ.."" •• or ..lale oh public official or I'~blic B--I""... wbo IS <lI)mllcieti of" fclooy: . -n' -,

(A) reialing 10; o;r

(II) arising ...ul of;

Ihe I'liblic official or II"'blic employee's public !lerviee IllllIY nOI ueceivl' Ille poKiion IJf pBl!ISiOll or treliremeui beuofils paid by " pUblic entity ud ;"1_1 SCCl1l00 110 Ihaiportion. ._

•(2) A public official or public ciIl!Iloyee ",,'crUll! public !lelVice suhseqllenllD the """,",ge IIf this Act i.deemed 10 bave

coo_lad to this !reCIiOlil "" a C(liIdilion of coverage.

Principles offoimess are (11 stake in the diSlrii1ation ofrhe-goVBY1lme", share 0/retiremenl or jXmSio/J /nm'lfils to a public official or employee who has obwed the public trust. Si,u(11/ons in i'mnsylvania and lUinois have highlighted rhe problem in recent years. This sec.1ion denies Ihe govemmem 's pq:ymenl& (and accn/ed imen!Sl 011 ,hepay",.,,") '0 0 public official Dr empll)Jlee'S jXmSron or retlremem plan 1/.""qffrdal or empruy"e'sfol""J'~" ,;.!I;,}/j i.f 1'41,,'ed ", ,1", ;IIjivUu .. I'., C"",,"'Rlen, service. The public offidfl/ Dr emplqyec ;s still enlitled to redeem the employee's .•hare 0/the comribUlion /0 Ihe jJI!lJ.Sioll or Te,irmzem plan. AI .dmilar statule i/llllinois has survived COlt"iIUliollo[ chaUenge.

§S08.02 TIIlt T ..... lmenl of Fines and Repay_Is

(1) A /iDe, pe119!ty, ,.eimburseJl)eJll, or oiber paymeol ordered by !he Agency en COIIrt in connection with makiDg lite government wllo(e fur a II1msaclion improperly entered into by a public official, employee, or coosuU"nl, or Ii "",,,,her of lite immediate lwu..bold of a public official. employee, or COnsllilmtl does nol qualify for n SlIIle or local mll credil or dedUClioo.

(2) The guilt or ilinocence of a party making a payment under subseolion (I) bas 1110 elfeel open the sIBle or)"",,' WI. consequence., nor does an admission or failure to ed.nlit guilt or complicity in a transaction. .

ClImmenl;

A rorrupt public official or employee should not i1e (lb[e to profit from his or her aail)n in a;;Y manner, direc.1 or·indlrea. Muc/, ofthe language ofthis statule has been oriented /0 p",.•crib/nc the direct ben'lfils. 1his sec.1iOll and section 248 are dt!WJted 10 keeplnc Ihe wrongdoer/rom deriving some lJoodfrom the wrongdoing. n •.tamar/o is 1I0t hypotherica!;former Vice Presidellt Spiro To ACnew tried 10 do just Ihis.

§)08.03 AdminislJntive Debarment

If lite bead of a department oragenay of lite executive branch in which n fotlller offiwr or employee .eIVed finds. after notice IIIId opportunity COT 11 bearing, that lite former officer of employee violaled subsection (I), (2). or (3) of thi. secllOD, the dcpsrlment or ageney head Jl1lIy prohibit IharpetSon from mlllcln8, OIl beholf of 1lIIY olber peJllOD (except Ihe slate), 811 nppelll'llDCe befute, or willt !be inlent 10 infiuence, an ot8l or wrillen colJ1lllUllicalioD to the department or agency on a II1JIlter fur nOI mote than five (5) yean. The discipl;"ary aeMD is sul!jeet 10 review in an appropriate slale [district level] court. A ~I or agellGy $hnll, in consulmlion with (the aUorDe)' gen""" or Ihe Agency], adopt rules to iml'leJlHllll.. lltis su&section.

,508.04 SuspeI!ISiOJl Of RevOl:lllioo of Lobbying Privilege

The AgCllcy may by " majority vole, as B result of n vjolation of the Lobbying RegulBliOll Act. 8tier • public bearing. suspend or revoke !he re~l(atiDD privileges ofa lobbyist.

1510 ~ency Duties

COl!1l!!ent:

1/Us section selS fonl. Ihe required powel'$ alld duties of the Agency which are considered "..ential /0 the '!/fectiv.: Inves/lg(11/on qfslJ.'pec:red or alleged v;0Ia6;0Ils, and el!fotceme", of,h. provisiolls o/Ihis Act. The olJlhorilJl prescribEd in this section war drafted rifier (l/}nsitkirmlon ofdetailed SUnJey respOYlllI!S /rom SO officinls chorged with enforcement 01 compaignfillauce IIIws/" their respecfivejl4ristiictions In Ihe Unlred Sltiles end Canada, and 'he drqtler's OWl! experifllltJE

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'!fee" y8ill'OiP'illCli<!)9;~ u~ls 1i!1''€WI. U~ {;fN}@,J.«<!mIS, 01,;8 Sel;iJ/');;lll"-'irftiiiJSerJ ,he Miiool;"W?SIIti4lJQi'" 8a dls!dIiaI9ngJl$w«J/C@!rr8@f ,I,,, .hige"CJI, IIlfui el,e ".,u/wr;1JI lite_a""" '''' 12"1"""" """"f!'Ii"Plce w;,o. ,r,e ,~gIIiN{lgl@)W fiJ5FiI VGj1@Wiwg JilfWrJis/@f'$ ofclu,s Act.

§S !(UJI Responsibility of the Agotloy IThe All""")' shall do the foll_iilg:

."" (I) 1s""'ligate II suspecied violaliolll of ibis Act 00 iiS own initiativ" or UI'OO receipt of. wrillen G(lmpirunl liilder oanh by 00 indjvlm..a! willi ~I 10 an alleged violalion of lilis ACI.

(A) No later ihm seven (7) <lays after tile Agency bas received a swom oomplami, o. decides to i"vesligate on r ire own initiative, II!e Agency must ackmowledge receipt of tlie complaint to the complsiruml by cet!lliod _ii, where IlWmprinle.

(8) A complaint JIIlIst'he filed. or an inVe!iligalion !ilU$! be begim by tile Agency 011 ito own iniliative, iIO inl", . iIloo four (4) yeal10 from the dale IballOO violalion is SU5J'",,1ed Or alleged to Itave bes!JI commilled.

Col!!!!!!!eni:

The.,,, provislOlIS require Ihe Agency to investigale (I suspected OT Ill/sged violalion oj'h~Acr on its OWIT ",,/ilion or upon Ihe receipt ofaproperly verified complaint from an iltdlvldulIl. 7ht. process I.• consistent wl,h Ille authorlry fJFamed to Ihe VI"" moJorl1)l 'If IIlI/epend_m bUllrd, "",1 cu",,,,i •• ,,,,,. ,,, II.d Uilild EIIJl/ll9 ,1,1Il1 111J1<11 htw" mll1bliEhud to "dminirler aM pllftlff'(' $uch laws. • I,11:"." in Ihe absence of(I complallli. it is esse/ltlalJor the Agelll:y 10 begin onIRl'l!'tigalion ",h/!l,11 possesses inJomlation Ihot I

;bear., upon a po.sible vloklliol' of,hela",... TheJailure /0 (lei i" such circumslances may ertJde Ihe public's co.rJidence in the eleclQral process, and will surely larnirh .he "",dibilily of'/le Agency.

i The languafJ" does no. specifY whelher a majorlty Or enr(J.oTi1illary mojorlty MI. ofrhe Agency members should be required I 10 b.ll/ate an illvestlgatio" in ,h. absence ofa ()f)mplllill'. The i,lrent ;s 1(1 reseT1le Ihese procedural Issues lor a decision by ! Ihe Agency in Ihe resolulion of the formal regl4wtion-mllking proooss. gowrned by the Admlnls"""lve I'roced.we ACI oj Ihe port/CUInTjuri.,dlalo". However, we recommend ,hal a simple mojo,ity vote of.he Agency ntembel:f be 1't!quired. rather Ih"" (J.n enroordlnary mojoriry. in oroer «Jfadll1lfte such action. The MnfJuage Is certainly brood enough 10 ellSure, foY' f1JU7.mple. thatlh. results ofSIq/faudits may ••erve a.t the bllSlsjor (I jUll i,."".tigatio". HowtlVer, the neassityfor the Agency 10 review .1

these resulls and Mal" a mOI;oll to initiate an Im-esrig6l1011 is "If important check on Ihe dlscrellon ofils staff. i

By contrilSt, no ""'e by Agency members Is required (1$ (I prerequisite to /he invesllgalloll oja verified t;t1mp/(J.inl. The oalh i requiremell/. couplud with penaltiesfor jalse oalh.. thar Mil ulldouhllIdly ex/s.e(sewhere ill the lawoflhejurisdiction. greatly deters the opportunity for j'obricatioll qfpals1I1lyframlIllem cllargll$. A sworn comr./aint .thotlld'CfJrt')I sulJlcielll lefJllimacy I 10 justifY an il/vest/galio" of/he cha"l!tlS witham reqllirillg fonnal Agency approva . I No forther coudlliQII.' are prest:l'lbedJOT 'he compMinlfil/ng process 10 encourage its use to uddrers que.JfiOlLt Ofpropriety. i

While there wa.. some suppOrt for (J reqUirement ,hal ,he compll)inam have personal knowledge ofthe facts reciled, ,'t .vos rejected as burdeR$oms lind became i, places Oil ulmecessary ilnpedimenr 10 thf1 ;tJilioticJIJ ofan ;/lve$lI'gat;on.

Wr;lIen notlel! ofreceipl oja complain, must be sent '0 Ihe co';;plainam by the AgellCY, 10 prevellt s,ale elni"", alour year tatllte oflimitations is placed UpOIl the flling ofcomp/(J.illls alld comm~/Icemell' ofillvesl/galio'lS. I

(Z) n.caive and "".mlne each statement and report fiI~ under the Act and del.nnine whether il is complete 3lld is i

~:::7ee witb Ibe provisions of the Act ,.J

1 The Agency is I'Ilqulred '0 bOlh receive and emmlrre 'he registration andfinancial disclosure reportsfiled in (lcC()rotlnce wi,h

"he provisions (If the Act. Although alew jurisdictions IJ1JslfJR,lhe repository jUnctio" ro all "ffidlll or agellCY thar does 1/01 possess rhe audit, /nwlf/igalive, Qlrd enforcemellt fillJctions (typically Ihe Ser:re,ary"f 8/(I1e or COutlry clerks). the preferred approach is to combitl. (llIfurlCtiolis In (I single indepelldem tlgel'CY that is nor comprised ofelected olJicials sulJiea /0 ,Ire requiremeJlls ofthe Act.

In ttddilion 10 the elim/llar/on ojconflicts ofintere.fts "ud a redllction ill partisanship. both real (UII/potemiol, rhe JelegaUo/1 ofallfuncriOla8 to dlJ indepelultfme entity pr(}l1lQ1es effic;ienCYlfacilfratus dissem;nar;on ofinformat.ion 10 'he public. and ensures i greOIep compliance wllh rl,e laws.

Amollg other M_erse oollsequerrcss. Ihe SCP(lro/;o" o.frhe.reposi'ory jUnalonfrom the audil and enforcement fo"a;o/l.< will i"C1'eose ,lIe likP.lihood thai those .,uhjact to Ihe reqUirements of rhe Ael willlYlCllive illconsislelll advice, Dlld diminish Ihe ablliry of'he audil and ellorcemell' all""cyro revi".., rIle s/alements and reports fOT .compUQ/lce.

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lfJuwYClP id<UJi C/?C"VllSU(jJ%a/S, " 1fI@!,<! IiXImpteue tiJmi dai!tililiZtJ ",oi@. {alidilj shouli/l be Jljwt!&iJdJJ!Oi1W wilh ""sF. '" 1!!11ch mpOfi jlled. lfJowf!lIIir, Ilia f/POtiliC(l/jl8co11Iimiol2ll,m.v '''' "".willVI:\%' ovol/;!Ible eo file Ag,,,,1'J' /pi'<id1!if!1i' s"t:h dellJ/Ket!} Y\?vlew9 '" e"til IWSU(i1F/C8 widloM' some ,wen slifJwillC ." ,,«ad or rii/Fldom desk orjI(J1i/I or!tliu f11!Jldiremem.

(3) Iteviow ""II ""lIil rn SlJiiel:!lOJ!li or rel"'rt filed "nil", tbe Aci:

(A) 10 lIe-rne if M awli-! fou I"'biic fund. is eligible 10 recei"" such fu~ds llIJd bas oib",w,,,,, complied wiib llie ""l";""",,ols of (llie public Ii.llnilcmg ...,Iion of iIle Act]:

(II) o.q -.I' be fl6CeSi1JIlY io cOnduct" fa.i. Bud complete investigation ofa stlspet:fed or alleged viol.,jom ofalI. IIrJ mmmrJlr.r,d fllll'l'1llllnt til ~1Ihi1flllilln (I) or fbi; ••ciiolJl; rutd,

(C) in ..,y "iber circumsilliICIlS deemed nece5Sl11J' 10 effeclUJile the pus;po_ "f Ihe Act in accordance with Ibe ",gul.ljOlJ~ adopied by iii • ./\geoFY under ibe Acl.

Comment:

The public interim ill comprohew.dW! audi,lng of«IFllpaign disc/o.'luI'e r"PtJrt¥ is C/JfI$idetv!d moSI significant "'h.,, [''''f,uJ,t!1 forms are .Mughl or U$etlatJfinfJllt:e 0 po/lrical campa/gil, ond whell Ihe guilt or inllo"""':2 C!fon itit/Mdllolor other per.voll sU$pected 0/0 viololioll is delDl71Iined by Ihe ei1forcemenl illfl!}lCY, eo".•equenaly. an Qudil is Tequll'V!d by law ollly ;n those inslonces.

The Ag.nt:)!~' ability 10 conduct audits onder olher·t:ircumslon""sshould no' be CO/lSlrained if/IpOlsesse. sllf/it:iellt re,raurt:'l!$ ifIhe circumstol/r:t/S ore selfonh ill reflU/at/ollS promulgmi!d by theAgent:)! in accortiqnce wilh 'he Ad11liltl..,,..,,il'e Procedure Act oflhe particularjllrisdiClioll.

(4) (A) Impose a late Iililllg fee, payable 10 Ibe Agency, against a pe!SOft who fails to file a Slalemeot or report willi lite AgEncy by a deadline set forth ""de.- Ibe Act.

(ll) Impo<itjlJll of a late filing fee .hal) nol be an appealable IIIllller, either to iIle Agency or 10 • court.

(e) The Agency roay, fOT good cause, and in accowance willi procedural rul.,. il sball adopl, waive a lale filing foe required 10 be imposed UlIder thi. subseclioo. .

(D) A lale filing fee sbell be assessed on Ihe following basis:

(i) A late filing fee of tilly dollalS ($50) slIall be ass.,.""" agoinsl·. """,OIl for f.ilure to liIe a required stalement or report in a timely _er. •

(li) An additional Jale filing fee of ten dollar. ($10) shall be imposed for each day after Ihe firsl day Iba. a required stal ....... ' Dr mport is not filed.

(iii) A Jate filing foe of one hundred dollars ($100) shall be ....ssed agajost a person for failure 10 timely file • requirod slalemeJll or report thai must be filed within Ihbly (30) days before a primary or gene,al eJeclion. .'-, .

(iv) An additional lale filing ree of fifty dolla", ($50)sbaU be imposed for each day aller the first day Ibat " ""lui red slate"..nl or mpolt Ih.t must be filed wilhin thirty (30) days &Sib", a prillllllJ' or gene.raJ election is nol filed.

(E) The total amOllllI of late filing fees il11pOWd and due under Ibis subseclion with aespecl 10 a single required stalemel)t or repon for anyone person may nOI exceed one Ihousand dollars ($1,000).

Comment:

This sub.reCl/oII requires the AgellCj '0 impose a late filing fee agai,lSt a perlO" who is required to file a stUlem,1II or disclosure repon, alln whofai1.'ltQ do so by the time reqUired by the Ad.

The imposition ofa kile filing fee is 1J1It0m(Jlic, mid is "01 appealable. The lad( ofon appeal "n,<u"i!S ,imely disclosure mrd prevenls dilalory tactia. Automatic increoses ofthe feefor ""minued deli1UJUB1lt:)! are aLto prescribetJ. "'/lh Ih. lorolornou", ,

IiI

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offee. that mil)' be assessed aga/TIS' allY aile person for the lIanfiling or wefiling ofa singh! .,a'emen' or repon mil)' nOI ex:cei!d $I,(}()(J. •

As Ihe.•<la'eme"S and repons required fo be filed immedialely pre«ding an sledion are likely 10 be the mo.•1 imponont to the public. ,he late filing .feelor nom;OmplilJlICe is set or a Irigher threshold.

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7Iha A",,"q I.r lJ1Ee8h",",ze,1 o@ t~"';V'" "'''!JI1wejil'OJEP ir"plPseil. "'1$.1er uew,w ",ghe 1l«J1, PJlJJ' o"ly Ifol,!! "';'~!'JVW!IE"'''res ",I!1BllIifj' 01,,, Mlrilr;I!11MU./l!1wh I" ""1J"U@limlllQ.tfZ,o?JuiJiP.byel'''A1g,'''"?lro",";w&efiJ''8WBulke!l;z .IMllia;fiJism,o'we mee?!!i'J;t? "'" epfUla"i,",.;g;ii1:ll6iU'J. S/{md(lwiJi:r/lti rl!llJ~I",,,,e"6sj,,y tile g"""I/"8 oj$"';;' walve?s will r,elp 8@ e""",e l~eC rhe A8"'1~ Is 0"1'" s~l;jg<:le!P. '''' 'llqj23SliJ~e@! mr.ci.l"ffl, or subjece fO dGlm' ofseleevive el'jopcemefl!. I

_, (A) Kia findiDg i. nOI issued by the AgewJ.cy wiihin one blllldml tmd twanty (120) d!lys aJler Ihe Agooey receivllS - a rompia;,,!, an ;ndivid",,1 who ""sides w!lliill QOOJ~li'iisdiciiOJlll of tbe omoe f"r ",Klich llIe c!llldidale oompJailielil against seeks liIlIy file" civil ""Ii"n 10 enlfo_ !be pW?"is["'" of the Act in il!.e [mall """,1"1 for llIe jUrisilicli"" in "'liich th" ,,[olntioll i. alleged to have occurred. All aclion brougbl ".der llIis .ubseed,,/! shnll have II'rece&:_ lOw purpo.,es or bioI in the order of lime liIod, ll!Id over all other eMI nclions for aily """se.

(11:1) In additiOil 10 11>.6 service required ro, llIe OOOOJ:l.16ilCemellii of a civilar.:tiolli. an individual who brings a civil MI;On under tbi~ ""b3OOlioo .holl. wilhi~ sov... (7) (I!>.ys.after filing the ...Ii"". ""IV" Ii! cOI'Y of lite GOmpiailil OK! eh. Agellcy.

The Age""y slo.1I ille a molion 10 dismiss the civil actioo conunence4 undllJi" Ihl. seclion wiihin Ihree (3) days aft.. ils """';PI of II copy of the cO"'I'I.;111 if it h"'l i••uod "probeble cause or DO probable c....sa Ilndillg, I!Ild GhaU serve liolice or it. motion on all panies. Th.e court shall hea. lite molion nOI less thM il!....,. (3) nor more thao sevell (1) days after ils filing by Ihe Agency, l\fId shall render a judgment on lbe motion al the colliciusion of the hearing. I

(C) A civil 90tiol;1 may 1101 be ilIed under subsection (A) if: I (i) the acliOll alleges a violation allai..sl a person for failure to timely file a required stalcment or report; i,

(ii) Ihe Agency bas:

(8) ;'$uOO a finding of probable cause or 00 probable cause '0 believe thai Q viQlation hes bee. committed in connecrioo wilh Ibe original oomplain!; or

(b) has "'fe....oo evldeoce oompiled in its investigation to Ibe [appropriale prosecllional alilhori!y); Of

(iii) Ihe violation occuned more tban four years before lhe date Ih. civil actiol! is filed.

(D) The couit s~.U have the same powers as reserved iO tbe Agency if Ibe court delemUnes lbal • civil violation of Ihe Act has occurred.

(E) A plaintIff o. defendant wbo prevails in 0 civil actiou sball be OIIlilled to recover auomey. fees and court COSIS from an opposing parly. olher Ib.n Ibe Agency, iflbe court so decides. A _sful plainlijf shall also be entitled to receive on.,third (1/3) of the amount of a civil penalt), and furfeilUfc of a contribution or eltpendilUre ordered by the court to be paid by Ibe defendant under subsection (A).· .

(f) The Agency retains jurisdiction over Ihe original complaint unless:

(I) • civil nclion has been commenced und.r subsection (A) within the lim. required; and I/.

(i.i) the Agency bas "!II iseuOO a findins of probable cause ot no probable cause 10 believe tbal a violation I bas ,",CUITed, at has teferredevidence compiled in ils invesllgation 10 Ihe [appropriate prosecmorial authority).

Comment!

The Ag"ncy must (I'" UpO/l a cOlllploi,., it rtlceh'eS. If I/le Agency does /101 oct wililill 120 doys aJler its receipt, (1/1 iluJivid~ol i within Ihe jllrisdiCli(l1l mt1Jlfile a eomp/ailll will: Ih(l IT/alleWll eoun to e/lsure the eMl 8110/"1:111110111 01the CtlIIIpCl/glIjil/aoce i lows. While OIl1y a.few jurisdictiolr.. have .fuch a "eilitell .,ui,· provision, this check (III rhe Agency'. oetiOlI$ i, considered ' 10 be 011 i"'p(lnanl alui necessary sqJegU!lrd ill Ihe elll(lrcemtnlt process. !

Ii 1/.6 12o-day period pyovides Ihe AgellCY a reasm.able (lppommitjl II) act fairly upon the .fubs/Q/Iliol /IIajority ofcompkll,/IS , thaI II receives even ifIts appr(lpri(#edfo'uis mui dedit:f11ed resource, are 11100..,,-0$ ;s the re(ltify wIth rl1.'JU'.ft {(UnO." en/llies I

whid, investigate and el!forct! compoigllfinance laws. 71le/olr ond expedirioll.r re.,o/udon ()Ithese t;Qmpla;IIts is a wortl,y I obJectilll!. and les/xlatures sh~uld adequl1Iely fond the e1ifim:l!1Re/lt agency 10 achieve ,his goal. If such fill/ding, is nol provided, this time """",,rolm will or/ly .<ervq to dlmllli$h rhe Agency's ~6crivelless (lnd adversely impact UPOII rhe p~blic~ i perceptiDn 01 irs opera/10m. "

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~$]l /j,rJiftl1rfi::§ IDis_llii®ml"li'jl Aonaliil!mirty

1C!!l!l!IlIW~!A!:

11,;s secti"" sets {"nh eIle lJgem:y'l! diSC~I;()nary au'honK)!. To '''1111'''' ,hoe ,he Jlge"o/ <Xiii folly and ((jfectiVi!ly ;"vl?"igl1te alleged vioMtl",lS, if must luiue the PlftW1Y to 1..."" _""poenfL' 80 ClJW/pel fl!Scimo"7 elld ehe production of 11"7 rel""",,1 dQt:lJmentf dElring ""7 given GIOge of /III illvestigmion. 0""" an wokl%n Is disc:tJV2reti. 'he ACell", must be able to

"<

ezpeditio,lSly "omrCf it, and, if cppropriole, pllnish QjfeJlders through employment of tdf'ective sant:!.;o1•• 80 deler fiu"Ye 8V'an.fgresRiorw. ljuriOllS el/ftlireemem f(/(JI$ fAlld opgjollfl OYe pyovitled to enable Ihe AU""'" 10 'lifeCfiW!Zy tieilll wilh Ihe rllf/ge ofvloltElio... lt will disctwer, Red Ghe po.vziCl8Kar cirt;lJm$lonces uniqllQ til' each _Ii!. §511.0! iii ilIe peri'ormao"", of;1$ required dUlies, lIte Agency bas lIte 8UlltOrily 10 do Ibe fOllowing:

(l) Subp<>Ona poiSOnS in C<mneclion wilb ao investigation or b ... ri~g Dod.,. prooolh.orni regulBlioos il may adopt. "­subpoena rnay be issuad 10 comporallendaoce llIld lcolima"y, and 10 require lIRe produclioo ronltllminalion ..fbooks. records, papers, comp"ter software. or other docuiilenlS or maleri.ls the Agoocy deems relevant 10 a matter Dod" ioveslig.lion o[ in question.

(A) In lIte event of a rel\lsal 10 comply wilb ,. subpoena issued p1IJ1;UJ1l1i 10 this Gub_Iion or 10 leSlify "'illt respect 10 .. mailer upon whicb Ihe person may be properly ill.!errogared, Ibe [bial level court of the cOIUJIy in wbieb tbe Agency mainillin. its prinei"•• office], OD application of!he Agency, lJIlIy i .... e "" order requiring Ihe person 10 cOlllply and to testify.

(II) Failure 10 obey an ordor of III. court compelling oompBJ...ce 0, testimony lIllIy be punished by Che court liS

contempt.

Comment:

lhis .'rub.feel/oll authorizes Ihe .Asency to issue subpoellQ.fj in connoCf;on with an ;nvesriglllion or hearln8. ~qu;re Ihe production ofrecords, documems, or marerial. rele11Q1Jt to Ihe motter i" question. and compel the testimol.., ofany persall.

Me'luale ••ubpoena po ...r t. colt.iderm essential,., ascertain thefacr$ and verotityqf a panicaiar romp/(lintor invesligolion. Such authority is typically delegmlftl to most ogendef Ihm i_stlgote electiDn t:ompiDlnts.

The IM/ requires the Agency 10 adopi proclftltlra/ reguiDlions concerninc Ihe issuance. qf.fubpoenm to el&fUre uI/vonnity and mmJ1Pinnrn Yli,,, "If!' mnrtirftrinnn' o"nrlfRJRflr if tlmt }PMmwJ.. 11m ~6IJDNBJ' ;g nbrD lJlIIP"ortielJ,Jl '9 tmflJlJIJI} l19.i"1I1M ow,,. iM subpoena by direct aaio/1 to (I trial court which. in larn, Is empowered 10 issue a conlempt order in 'he evem qf noncompliam:e with Ih. subpoena. Again, this Is all esse"tial component ofthe .'fllbpoeno /I<1IWr..wlthout which rhe power would b. rendered Impotem.

To preclude ,h.possibility qfpoliliro/ i"teiferellce-or even Ihe raising ofIl valid claim ro 'har effeer-the Age"cy is pel7lliBIlftl 10 enJorce itf sub[JOl!na directly in the coun without the prior approval of rhe atfQrney general or similar prOR.,curnrial aUlllDrity.

(2) Issue an order RlIjUiring .h. custodian of Iinanci.L:records Jlece.,sary for the Agency 10 complele IIIId Budit conductad under Section '10(3) I" produco Stich record. for exilmi ...IiOJJ.

(A) If. person refuses 10 comply with such an order, Ibe [Iriall""el court) .llwIled in Ibe same [judieial diBiriCl or countyI whe... Ibe Ageooy moinlllin. irs principaJ office may, em appl/eolion of tbe Agency, issue DI1 onl.r requiring Ihe person to eomply wilb the Agency onler; and

(8) The failure 10 obey such an order may be punisbell by the court lIS CDnlompl.

Comment;

is involved In an Infli!4t/gadon. 1"",,'1 me Irs subpoenapoweno compel produalotl ojsuch ret:Ords. which may iDc/nduuch Items as bank stalements, cherf</JaQk Jet1gers, canceled checks, deposit Ildzt.•, InvaiOO$, reCeipl~. and Ih" lila:. .. Beco/l$e Ihe enabllnc .ubpoeno., au,hority applies excZ"slVl!ly to fllVesligo.tlolVJ ond heIlrings. il does 1101 _ 81JH1irs utrtlertaTrsn which tlb nOl result 111ft.u. /"vesrigallolVJ. This provision complemtmrs Ihe .fubpoena authority by (H!I71Jill;nu rhe­Agency..ro Issue an enforceable ordC!1" topiY)liuce such re(l()l't/s under the clrcumslances desaiiPed oboW!. This ""thorllyis boIh o logical and nec"'.ary component o/Ihe ondil aUlharity.

111i.f .full,fealon is intender! ro ensure that tlte Agency is qJfordet1l1lX11SS to alljilUlnrlall"iUXJrds 1I1!Cf!SSory to rondua on alUlI, when required by the law and grCUlf/Slances, and in the absence ofa pending oomplailllllr i_tigtllio". !fthe CommlsslOFli

l I ""1­r

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C_ll1Ji9a:

The AgenCJI should l!Ia expedlliollSly 8" correa minor ti;.•t:I't!pOlncies (Jr ""'/S9/0"" which it may d/.,,:ovEr. Fontm/ proc:ed"r<ll re'l";reFllen/s. SUM f!S /3 hearing, should be viewed as a I,,,, M.",n. tmtA ",em nOl imerj'ere willi the Age",;!" .• ",a",I"I" 1"""

.. eVlSure MmptiC/nee w/lk 'h" reg/'Eration aM repoe1/n8 requ;rements ofehe ;la. The colleaive experiel'r:e In edminislI'mitm offliese law.. Rugg,,"'i.• Ihal ehere aye many ;nadvf!Ylent errors <llIIlomlssiQI'IS ;n regJslralion <llId reponing lha, may easily be "'clifted and snf)uld nol be$Ubjecl'Dp."Olley. In tliese c(],,,,n,,,, al1djreqMelll circllm.<fanreV, tliepublicF"liey uederlyil!g these law.• ;s best achieved by seCl4ring timely and Mmpiele dlwckJsu,e l!f mmpa;gnjlnllnces. .

(4) Consult with liMI(/ request additiOiisl investigatory or audit ,",rsooneJ from !be:

(A) office of ihe uttomey general:

(B)

(C)

!load prosecuioria\ autbority]:

[commissioner or head of the stale.f)Olice or S""1e law enforcement investigatory aulbority.!:

(D) c!tier of n iOCRi police dep ....llnent;

(E) sfate or counlY auditors: or

(F) local [elecrion authorities]:

when lleceGSSry 10 (ielennine compliance with Ihe provisions of Ihe ACI. Such assistJmee sball heplovided to Ihe Agency 01'00 reques..

$;omm",":

Many 'lithe existing lIgel/cies with Ih"jurisdiction to admin;ster ond ."fora: COJ1IpaignjlnOll(:e laW.t Qre not adequat.ly fimded 10 t1I11ploy a s'if/icienl mm,ber ofauditors Or ill_,lgolon 10 properly Gllemp' or conduct necessary oudits or Iltw!sti£'l'iollS. The integrity o/the elllire proCt!ss is, however, depelllJent upon Ihe proper aIwcatlon o/ellese resourct!$ to monitoyactlvilies.

Even In those jul'isdictio/lS which have provided t',elr respeClive efl.forcement agencies with ample resources 10 handk dny,'o-day opem//OIIS, there willI>" investigalions or audilS that require tho info,violl oj8ignijlcontly mOre Tt!.fOurces ,hall a typical case 10 comple,e them quickly, thoroughly, andfair{v. In addirlon, Ihe /sSlles involved Ul a partlculor if/vestigalion or audit may have kgal or jlllal/cial ramijlcatioll$ he:yO/IIi the AgenCJI's inrernal expertise. The Ai/elley must, al a minimum. possess til" ability to marshall the resOl/r~s ofother low etiforcemenr and prosecutor/al entities In an effort ro complete these in_tlcalion,. and audits.

(5) Conducl a hearing whCl'l it i. deemed ru:cess,,,y 10 detennine if a violation of Ibe Act bas occurred in accordance wilh tbe requirements of iIIe [edmini.lral;". procedure Bet] and with Ihe regulations that Ibe Agency shall adopt.-,

CA) An opporturuty for a hearing sball be provided 10 a respondent prior to Ihe issuance of an (lrder by Ih. Agency requiring:

(il payment of a civil penally;

(iI) return of a contribution 10 • contributor: or

(iii) Ihe escheat of" contribution 10 Ihe ''''te:

however, a hearing is not required prior to iIIe imposition of a lale filing fee imposed under Section 170 (4).

(D) A hearing shall be preceded hy Written nOliee 10 tho respondent of nollCSli IhM len (10) days, and must include the charges and references 10 Ihe provisions of the Acl lhal are alleged 10 bave been commilled. A respondent may waive Ibe right to 6 hearing by written stipulation. •

(e) A hearing conducled pursuant to paragraph (A) of this subseclion i. open 10 the public.

..; (D) A respondent at a hearing conduCledput9uani to paragraph (A) of this subsectiCJll shall have .11 of the prote<:tions granted by lite [administrative procedure ocl], including:. .

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(ii) Ille> ebiiilJ! 00 mil. en'-"", or.1i cro".-e!!ami~. "'i!lila!ll'lllS; @ll1d

(iii) Ill~ Ol'l"'ll'IIiIIiQy to ''''iI"lre produc!iom ". ""idenoe by ."bpOOIliIB.

(Ii) A. ilI?II))ber of !be Agl!!llC)l lor n ""nior jmdge or ",feme] shan IICI "" 'llie helftlg offi"", fur J'M'I'oses ofOOl!!due';,,8' Ilie Ilemm~. The bes.!i.ng offi__y be "",i.1Ed by ""moo! 10 1iI@ AgoJ/iC)f iii the eo\1duel of llie hllliliJiill. - ' ­

(II') IlR Ii... of n ~ officer, the A~""cy _y, ""Iin~ "lJ b...., OOKllluclibe lIe<lW1g.

(G) UP"lI the: eODcln.'''" nf lile ilearing. the bearing offiCllr or de..ignee of the Agency. $bail prepare. V"CJ!lOilconsisting of:

(0 findings of facl;

(ii) conclusioos of Jaw; OlId

(iii) "reeD_dod order.

The bearing officer may be ,..sisled by cowsel 10 the Agency in the prepazalioll of this rep011. The '"J!lO!"! 1!)11." be issued 10 lb. iCSpoudenl liD Ialer thOlI shiny (30) days afler the conclusion of Ibe hem.ug and submission of briefs. if any. A reqlftrement of this pa.tagraph may be waived by written $lipulBlion of Ibe ooBlploina.nt ood the ....pondent.

(H) The Agellcy shall, by • majority Yale of Il quorum of lhasa members p,.."."u:

(i) edOPI;

(ii) modify: or

(iii) ~ecl

thc.teporl of lite hearing officer wlllWl iIlirty (30) days afler its i.SU8llC6 10 the .espoudeal.

(I) A decision of the }\geoey 10

(i) adopt;

(ii) modify; or

(iii) reject

a repol1 WIder Ibis """Iiou "",y be appealed by the respondeol 10 the [Irial coo!"!} of tbe juriediction where Ibe Agency mainlains its priucipal office within the time required by !be: [adminisbalive procedure act).

Cnmrnent:

This sUUseetlon prescribe, the Agency's ceneral duCW!lionaty aUlhority 10 COMUCI a hearing whell nere....ry to derermine whether a violation ofth. law htJs been comminet/..

, The hearing mIlS' be condUCled In accordance with rheju,isdit:1ion '$ {Il/m/n/srmriWlprocedure (l("I '0 ensure compliance with , Ihe consl/mlloMI relJuiremenrs 0/all. procus. Il(}Wev<!f". an opportunity for a hearing is "", reIluired unless the Agencyorders ihoJ " civil penalty be paid "r improper contribUllon.r befor;fe.lle4 fO the state or refonded 10 donors.

In IIIS.anco.r where property is sough' '0 be takt!n by Ihe Acency, conslitutlonal we process requ;""', IIorlre '0 the perstJ/I . whose propeny it 8ubj'" 10 such an acrl(}n. aM an oppo/1unity for the person to be heard Q/ II hearing. ManalJlory , administrative hearings in olher cases are oot only not IIIgally necessory, but ore also generally lOti cumbenllme 11M timB-collJluminc·!ojustify when the essentialpurposeo/the law is to e/lSurt!the apmi'i"r.I.t resolution ofd/spUI... Dueprocea

'requiremenls are s(lli!jfie4 by the court III cirtUJfl.ftances w/um the Agent;!' rtt/i!r8 evidell,ce of criminal viOlations 10 Ih. ,appropriate mmilUll proseCll/orial aU/horitles, or when 'he Ag/lllCY refers 8IIidence requiring an injUllaioll, q"o worranto,or equi.ltIble ro'I'!!,,, doil proseC1lforial authorities. CQnsequenlly. an Agent;!' hellring "" sach issues would he rilIundllllt.

CfJn!iideration might begiven to allowing ajr«ilc/atuppea/Ia,be take,. by a loslllg eMI compkJinanl cJjier /1nAge/lCY hearing. , 01 to specifically penni' an appew. 10 be .takE.. by a re.qwrulen' who me"," wish.,.. 10 hllWl all issue orfinding fIllly resolved "ft",. an Agency hearing.

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This slltw!Clic'" "miloT/US Ihe AgeliO:Y 10 toke direct enforcement 1/11;1"011 in fhe evenl '" violation hlJiS b••" commitled. The I/1hillly eo o1'der III l;eave oed desist lila/Oil is iPllpoyg"", fO p_em oke tJ/1/ltifiIlOfioll I?ftheo1fe,.ve. 111. e;iforceNle"iAg<1lirCJI mllsl he (Able 80 (Acwmpll$h ,hi. ,Ur.ctly w;,h"", re.,,,rt 10 aflf)lherforum. ,

(A) liD! 10 eKceed fiv@thouSMld dollall'S ($5,000); or

(B) !Ill MIG""! equivalent to !b= (3) limes tbe amount of a" u ...lawful .""lrlhul;on or expendihlre;

wbichever is greater.

Such on order lillIy not be Issued against. person without pwviding the person wrilten DOUce and 80 oppodUoily to be liesrd al a h""ring as required by lhi. SlaMa. A pers"", ",ay wajve tbose right. by writleu stipulation. If a civil penalty is imposed upon a candidate. lite Agency may order thai the penalty. or1liiY p()l1io" ofIbe penalty, be paid from the candidate's pe<rSolll1l funds.

Comment:

71re /llfent:y mu.tt be provided wilh Ihe oUfhority ro enforce i<f artlers. 71re obi/lry to directly impose sigllificant mOllelary pella/tie, against violators is the most potent 1001Jor fire qff",crillll e'l!orcement ofthe campaign jil/allce laws. MOSI e;risllnc 6'ifo"celll"'" aC8l1cle.r pos.,I!SS 3UM authority, and ead. Acen;:y con.rideTS Ihls /(J be absolulely easenrial "'. rna/mam Ih. integrity ofthe process. The threat ofrnQlleld1)l sanctions is a delem",' tl) poten'/al vlolator .... JJfI' ollly ifthe (II110uIII of ,he pella/ty Ihot may b. ossessedfor a givell viola/ioll i.< signlficanl.

An enJorcement ngeno:y should be collSistem ontlfa;, in iL' tr"arms'" ofviolations. However, in practice, a law cannot he drafted that addrl!$$1!S each Circumstance-mitigating or agcravating--,hat may be present ill 'he comen of a particular viola,ion. consequemly, Ihe Age/to:y should be qIforded discn!tion to del.nnine the amount ofthe penalty 10 be Ii!Isessed in " particular cose.

Rea.iOllable limllations 0/. tltis discretion should be--and are--carejilily drawn in 'he .fttllute. 71.s maximum penalIy tht1llnll)l be impo..fed. nlll.,'lt reflect tile actual amount that was g;\.'6I1, wnned, transferred. received. or $pellt in viola,;tm o!the law to provide II•• deterrent effect that i. so critical fO any penal .ryscem. In addilloll, no penally should be ""/raeled from a P''''O" without due proCI!$S I)f law. Aceordingly, nOllce a,1d till opportunily to he heard al a h_ing is Yf}I1uired.

Althougb llWly slates pennit tines to be paid from conuniltee funds. llIis is not an effective deterrent to t\,. commis.<ion of violations. Consequently, tb. Agency is !liven discretion to assess the line against the candidAte persODally.

(8) Issue an order against a pelSlm found to hBve'lCCeived 0 contribution thaI is prohibited, or is in .~ce..s of the limilations prescribed by tbis Act. Such on order way require: '.

(A) forfeiture of the prohibited contribution or Ibe excessive portiol! of a contribution to tbe slate Gen"",l Fund; or

(B) rerom of Ibe prohibited contribution or lbe e~cessive portio. of a contribution 10 Ihe original contributor.

The Agency lIUIy not issue such an order willLOUI providing the persoo roaking the cODIribution aod the person receiving Ihe contributioD written nolice and an opporhlnity to be beard at a hearing as reqUired by sub.""tion (4) ofIhis section. A persoll lIll\y waive his Or her right!> by CotlseDl or wrilleo slipulation.

CommC!!t;

In addition to the Impo.<;lioll ofmoll"'ory civil penalfi"s 0SOi.1S1 a violator, Ihe Agell;:Y mu.,t POSSf!SS 'he autlrl>rity 10 "mokiJ 'he campols"finnnce process whole • • To ellSure that ,his objeCtive is accomplished, 'he ACellCY Is provided with 'he authority '0 Issue an eliforceable order' direi:r/,'8 'he recipi.", of0 coII/ribut/oll 'hOI I" ill exCI!$$ of 'he.limit/ltiolls or olht!TlVi.re in violariolJ 0/ the subSl(mriw prowsiolJ1: cf ,he 1m\' foJorfe.it tl16 illegal SUItt.\' 10 the Age.ncy ()F' to relurn them to the original cOlf/fibulOr, at the Ageno:y's diScr>etion. AIIY.14ms collected, os in the t:a.,e ofdvit penaltil!3 or lotejilingjef!S. must he deposited in the .f/ate Gelleml Fund..

lIolh 'he recipient and conlTibllto, ani II) be offorded notice and opportulliry '0 be heord, becauSe both the makillg and the receipt oj(An improper conrribl/lion may be prosecuted uIIIJe, the Act.

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r (!J) (J),) ~~ QJiil ",IiIsIT i_GliI 1>)' ., Afg"'loy 's _ ."""W1iO!ll "",RIill 1»' RIill" Ill- '" w!»"" '! "~ """,,,I@!i. 1Ih~ !~ai I•••!

<l!Wllf1ll] wll'-'1fe line Af!».7)OY PilmllliJme iiS IllO'i".'lI'aIi "illii"" oilail, "Ii'<''' awiic£illi"lll 00 'I,. AP"l'. ,-" "'" ,,,OIs. ""l"llrnlllline~fIl il) coJti!il'ly "Jilb !IIR<il A~cy's ",.&,.

(II) Fai!",", \<1 obey sucl' ~ court ",des" may be puafsIJ@!i !IS """temp!.

ICe"'''''!:

The ollJlhorlgy o/Iile Agency 10 enforce ils orders by judidol inlen'Bmion is (]Ssem/al. The obif;ry I/Jflh~ ro14n 10 punish by- - ­ronuemp' "pers"n who N!/i!ses 10 comply will< an Ag811cy order provides assurance 'hal Ilia ell/O""",elll proce •• Is eJJet:tlve. and serves as ajlsl'lher detqyre1l(;(J 10 po/ential wrongd(Jrp's.

(10) Refer evidf!l)Ce IJJat e violation of the Act hAS been Ioo.owrogly ood wiJ/ilily eOlllmlilt@!i to the [loea' or state i'l!'!)s""",lo"inl !!lliholily] iQ d.temi". whether cI1iJDill~~ prosecution OOouid be c<>m!I!eiice<l ogaim.t ...y such !JellS"'''.

j::g!mmelill:

Eachjurlsdir:1lofl provide./"r the po..sible aim/nal enforcement o/vlolallo/l$ oftile t:t1mpa/gnjinnm;e laws. Um{oubledly, ehelW wi/I be 'lome CfJSIIlS where 'he wolalion L. intentional and ""rremely serious, af/d wI,,,,",, civil enforcemelll will 1/0/ be adeqlJOte fa pIII.ish the qfJender orprovide suitable detemlllCi1. Criminal enforClWlentls, Iher{/ore. essential.

Most jurisdiClions require Ihe offender 10 acr inrentionally or wi,h some degree ojgrealer aware" ..... a/his or her Ulllmlljls/ c(JIWuCI befote crimlnol sanClions may be opplled. 'Jhe slmwordmOSI l!ftell used 10delemJins Ihep",.rt!llce ofcrimil/"/ ronducr inhal 'he per.fOn 'Tmowlngly and wiflUlIy' wdlotetl "~If' Act, which is inrol"pf1T'4led in 'his too.

7he Agency. as the primary In""'''lgIII01)1 aUlllo,lry, mUSt Ihl!rllfo"" be oUlhorizetl 10 reJer evldenct!ofthll!Secriminal wO/llti01/ll to thejurisdlctiOll 's proset:Ulorial l.Iulhorllies. Due to ils ""Perit!1lct! ;n !wndlillg aU "_pargll.!/nonce viotol/ons, Ihe Agency ir best /Ujuipped /0 iniliolly adjudge whether .he case deserves consideralion for proseeu,lon. NOlie oj the boarr;f$ and comm/ss;()1IS Ihalllave t!1CiSflingju,isdictioll 10 Investigafe fhll!Se wo/Qr/o/lS olsa po.r.res.r 11'6 o/JIhoriry to prosecule crlmi"ally.

'11re needs Jor checks and balances, mill the complexity Df criminal proseculion cleorly Suggt!.fls ,hat the Agency should IIDI have ,lie outhority to ",alma/II crlll.inal prosecution. 7h" sam. kinds (lJcollSiderallDIIS slttmgly ",illgale agaillSl ...... ovalof prosecutl)rialjurisdit:titJII upon all Agency referraL Mandatory crimi1llJI pTO$eCll/ion, ol1hough an appeo.ling mncepl; does nUl sellin justified when measured ogain .. a ""riery ofolher rompelling I'r!fJSOIIS for maintaining discretion ill th4.area.

(11) (A) Refer evidence ofo vic.IRliOD or !he AcllQ !he (Ioeal or sllUe civil prosecutorial authorilY) 10 delemUne whorher procoedings for:

(i) quo wan1l!lto;

(ii) iIliunolivc relief; or

(iii) equitable JOIief

should be sought.

(Il) The [1"""\ 0' stale p,,,,,,,,,ulorial authority] I;aulboriwllo C<IIII1IleDce such a proceeding by application to the [locallriallevel court] in the !coonly or district] where the Agency lIIlIiotnins ;IS principal office.

Comment:

Many jurisdictioM pem!it If/junctiv/! D, eqllilable relitif'lf) be soughI from '/Ie murls 10 enforce compliance with ClImpalga finance I ....s. '11reseactiol1f are ordinarily Insll/uleti by'he AI/orney General or similar civil prosecutoria/ IJUllwriry qfier an Agency iflvesllgMon. -As rhese (lctit}M are bOll1 ""mp/ex aud eJ<trarmJinary. 'he ciwlproSllC1l/or should.llove rhe",spollSlbllJry forlhem.

Quo warranto prl}~illgs ore gerre,ally not applicable to ";0111,10.... D/lhe campaign jinf)llct! laWS, howtWel", j" the mon egregious circumstances where tI t:OJU/ldllle's election '0 office was rile resull 0/significant wilfiJl WD/(Jr/OI'" qftile law, fJIID warranto should b. available 10 chal/enge Ille ostensible Wr:1Dr'S right 10 the office.

§!!11 a,lIi!'eomiliell >

§512.01 Amounts or I,:jvil PCIlallies

A pe!SOn who violates a jlrovisJon of !hi! Act, except as provided in §170(4). slJeJl be liable for n civil peilglly:

87

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12/02/2@07 23:28 3104753752 CEliTER FOR G.OV~ PI-\tilo 21122

~I) Doo!l u., ellcero fiVB 1Ili_!l~<i <l"!Il.,,, ($Si,@DII) i!"" v;i)lai;l):Ql; @~

(2) !l!U e"",,~ni "'I'lIRVUHeOi 10 three (~) I,Mes lloe _OM!l)i of ilia !"lat am"",,1 of fl!ll ",J1lIaw&i """I,;IlWi;"~ <IF ex!",rndil.1l",:

whichever is s"oaler.

A vooo1iy or fee collooted by ihe Agmcy shall be deposited ;" iha Sim'. (len"",! Fund. , " §!H2.02 Joinl au" Several Liability

If lWo (2) or more persollS are KespOIIsible fOT :i violation. they sb.1I be jointly and ""veI'Illly liable.

§Sll Crimiliisl Sim4!lio!lS

(I) A person who kIIowingly and wilfully v;0121.'-. provision of Ih. Act may 00 pn~i.hed by:

(A) .m fine nO! 10 e"ceed len IbouSlIIId dollars ($10,000); or

(8) imprisotu'ilElnI not 10 exceed five (5) years:

or bolh.

(2) A person who is convicled under !his section shan 00 disqualified from holding eleclive public office for a period of four yeaf$ from tile dale of convlclion.

Comment:

Criminal sallctiorLffor 'mowillg and wl!fol wowlions ofthe campalglljinonce laws exisr ill mosrjurisdictil)lI$ OM Oro essential 10 Ihe ~eeJlve el!forcelllt!1I1 t;1fIhese hiw... The ra"gt! ofIttIsll"g crimillol sonctions vorlos.

TI) provide all effective doterTelll 10 pernicious Cl1IrdueJ, the o.ffellder ought to be subjecr to .fevere rrealmelll. The sOilalol1S Jncorpol"Oled in rhls sealoll are cons/stem with those applicable '0 non-capiral ftlo,,;es. 800111 jilr/sdictiollS lreal rhese vi%llOllS tl$ ",isdellletJllor•• The loss qfvol/llg righ.s wlrich, in mosrjurisdieJioll$, also results in disqualffimrlotlfrom s,,-eking 3

333 3: 3' 4(41 4. 43 44 45 46 47 48 49 O J 2 3 4 5 6 7 8

or holding public office UPO" <owletloll ofa felony is an app"'priOle remedy for a .•erious elea/oll·related ojfe, •• e.

§514 Venue

Venue for a proseeuli"" commenced undor §S 13 shall be in iIIe county or district Where tbe campaign statement was filed, 0' wbere the offense has been a\leged 10 bave been committed. . ..

~SIS Statute (If Limitations

A prosecution under §173 .hall be commenced no later than five (S) ytaJS after ill. dale rhat the violation is alleged 10 have been commilled.

-§SUi Disclosure of CumplamlS, Records of "'lIedey Invesl~tions or Audits, or Hearings

(I) A complaint filed with the Agency is open tOlJUblic inspection, and a copy of an Agency report shall be provided to any person upen request. S

5(2) A rec;ord compiled or IIlade by tbe Agency in an investigation pursuant to seclion 170(I) is confidential, and shall 5

nol be disclosed by a member or sI3ff of tile Agency until: 55555556616636465

(A) Ihe investigation is completed; and

(B) the Agency has issued ilo findings.

(3) Notwithstanding paragmph (2) abave, a record may be disclosed: 9> 0

, (A) to) a respondent or subject of an jnvestig'liM, or tbe a!lamey for a respondent or subject of.., investigation.. in an attempt to concili~te Or otherwise sellie Ihe matter, 2

(8) 10 a respondent in 8 ~earing conducted by the Agency to delennme whether the respondenl has violated • provision of tile Act, if authorized by the rules of discovery pertaini.ag 10 such bearilllls 1!lal the Agency shall adopt;

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(D) to A law Biilfu_m.,~! AgSllcy Of ollfieer to fulfill alte purpose.. of seeliG" 111(4),

(4) if !he AgeliCY d""jdes II) "'''r evidellce ofn vRolatlom ofIhe AcllO .be (.I'PMpriale proSil<:~'oriaJ .othority] p!li'SUlllll 10 §J'l'l(JO), ,n' Ol1lCOrd Gompllet! or metI. by ibe Agency iii "" '""oslng •• iolll of Ibe viololion shail 00 di\lClolliO! by Ihe IIRlsliOhs)'ll <}r IlIaff of iIle Agooey 10 ooy oibcr persoli Wltil; ,

<

(A) ille ,ol'l""l'oo'" p",.."utori'! anlhon!y] Iws <i6ien!l!ii!ed mol 10 p",,,,,,"le lite ","iter; Dr

(D) !he cooe hIlS been figelly et!judiClllloo in ille coum;

wbic!iever i. "l'piiClllble. . . (5) A """otd compiled .". _de by liIe Agency m I\il mspeclioJl orabdil of. report or SIalomout filet! in accordance with

prov;';oos of ille Act is opel! to public inspecl;OIl and sllal! be providet! to ""y ",,_n UjIOD ""'I""St.

(6) lIioIWilbslandWg paragrnpb (5) 8ooV., " .eoord used by Ibe Agency in ... investigation thel it Ims ioiti.toll isconfidcoliol, ""d sb.RI.oo, 00 disclosed by .....mber Of slnri of the Agency unlil:

(A) the investigation is compJeted; and

'" (D) Ibe Agency has issued its findings.

(7) Except in Ibe 011"" of a hearing coadueted under §171(S)(D), B bearing condueted by Ibe Agency i. confidential unl""s eacb respondent in Ibn hearing requ,",ts otherwise.

(8) A futol decision or findings issuet! by tbe Agency after n completed inVestigation i. Opel! to public inspection, The Ageocy sbelJ IIIIlIiI "copy 10 lb. complnirJan. nod respondent within five (5) days ofsuch n d..,is;on or fmdinlls, 2!)d provide such R decision or findings 10 any per.;on upo~ requosl,

Comment:

1his .fCClioll oddre.'i,fe.'i Ihe sensirive is.fUes t:.Oncerning discloslIre ojc()mpl6;ms~ Agency investigatory alld auditing records, hearings, and final dec~ions issued by Ihe Agency.

While Ihere is a consensusfor ·sunshine· 10 ""Ign to the greate" <We./f pfJSslble, ,here are legitimate conoorl&,-,<IJm ns ,h. protection ojrepu,atlons agaWI baseless mmplainlS'-,ha, require confiden/ialiry ojc:ertaln records and proreedings, t1t lelUl until the Agency hlU made a delerminmion ol,he aCCused's guill or Im,oc"m;6. Confidelltlallry ollnVll!Sligm/,'I! remrds is essential while an invesrlgtl,lon is In progms 10 e"murt/Il" wi,nesses '0 $peakfreely and ,rulhfolly, prolect them against possible rhreal,'i 0,. coercion. and diminish the obility 0/ .he f'Wjl(mdent 10 r:on.~'",a orfabricate dtlfen.'res. SlIcll eompttlling mnslderalions do nol exist Dna! an inveStiga,ion is oompleted, AllhOl po;nl, the pllblic's right to know supersedes o,her possible ilJrt!1'e.".r:.

P,actiml concerns mi,lgale against cl1nfidenlioliry ojIhe aauF!Complain'. The public's percep,io" "I,he Agency could b. severely ,a,."igl,ed ifit could IIot, mlelJ.$', pUblicly acknowledge thOI a oompl(linl has becm/iled, While a SllUulOry Cag order muld be imposed on ,he Agency, il cannOI ,<ilenee ,he complainant, There i" no td/e<1ive means 10 p",elnde rele",. ollhe Mml'lninr Thi, ",('Ii(lJlnn"",pl, 1(1 rtrli:q Ih. "pproprimq ",,1""00 bDhl'll8" .hopliNk" riChl I" kn"'" ond thu nerdl'"1.1:TIItJl In Ihe inWJStigolory process.

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