PDFWAC 390-37-062
Enforcement procedures—Alternative responses—Cases resolvable by stipulation prior to an investigation—Penalty schedule.
(1) The purpose of WAC 390-37-062 is to set forth a schedule of violations and penalties that may be agreed to by a respondent pursuant to a stipulation prior to an investigation, as authorized by RCW 42.17A.755. That schedule appears in the table below.
(2) A violation not set forth in the schedule may be resolved pursuant to a stipulation, provided that the proposed penalty amount is within the dollar ranges listed in the schedule.
(3) "Occasion" as used in the schedule means a violation found by the commission.
(4) Only violations within the last five years will be considered for determining whether the violation under consideration will be deemed a second or third occasion.
(5) Any proposed stipulation must be in writing, must include a brief recitation of the facts, violations, and penalty, and be signed by each party to the stipulation or their representative and provided by 4:00 p.m. three business days preceding the commission meeting. The executive director will sign for PDC staff.
(6) The commission has the option of accepting, modifying or rejecting the proposed stipulation. If the commission accepts the stipulation, or modifies the stipulation with the agreement of the parties, the commission will enter an order in conformity with the terms of the stipulation. If the commission rejects the stipulation, the commission staff may consider whether:
(a) An investigation should be initiated; or
(b) The matter may appropriately be resolved in another manner.
(7) In determining whether to accept the stipulation, the commission may consider the nature of the violation(s), and any aggravating and/or mitigating factors as provided in WAC 390-37-182.
Violations: | |||
Respondent failed to file or timely file an accurate or complete: (1) Statement of Financial Affairs (F-1 Report) / (2) Candidate Registration / (C-1 Report) / (3) Lobbyist Monthly Expense Report (L-2 Report) / (4) Lobbyist Employer Annual Report (L-3 Report) and (5) Local Treasurer's Annual Report (T-1 Report). | |||
1st Occasion | 2nd Occasion | 3rd Occasion | |
Filed missing report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $300 | $300 - $600 | $600 - $1,000 |
Report is filed late and is incomplete or inaccurate. | $0 - $600 | $600 - $1,200 | $1,200 - $2,400 |
Respondent failed to file or timely file accurate and complete campaign disclosure reports: | |||
Cash Receipts Monetary Contributions Report (C-3 Report) | |||
Filed missing C-3 Report or amended C-3 Report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failed to timely deposit monetary contributions within five business days of receipt. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failed to include employer and occupation information for contributors of more than $100. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Campaign Summary Receipts and Expenditures Report (C-4 Report) | |||
Filed missing C-4 Report or amended C-4 Report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failed to properly report the "purpose" of an expenditure under RCW 42.17A.240(6) or 42.17A.255 (5)(b). | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failed to properly report expenditures made on behalf of a candidate or political committee by any person, agency, firm, organization, etc. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failed to report a contractual contingent liability. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failed to properly dispose of surplus funds. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failed to properly make campaign books of account available for public inspection as required immediately preceding the date of an election. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Independent Expenditure Report (C-6 Report) | |||
Filed missing C-6 Report or amended C-6 Report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Report is incomplete or inaccurate. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Out-of-State Political Committee Report (C-5 Report) | |||
Filed missing C-5 Report or amended C-5 Report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Last Minute Contribution Report (LMC report) | |||
Filed missing LMC report or amended LMC report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Exceeding Contribution Limits | |||
Refunded contributions after being notified of the complaint, over limit contributions were not significant, and respondent provided written explanation with mitigating circumstances. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Other Alleged Violations | |||
Exceeding Mini Reporting Threshold | |||
Filed C-3 and C-4 Reports for full reporting after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failure to file electronically | |||
Filed C-3 and C-4 Reports electronically after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Use of public facilities for the purpose of assisting a campaign for the election of any person to any office, or for the promotion of or opposition to any ballot proposition. | |||
Use of public facilities was incidental and isolated, and evidence was not submitted indicating that the use may have affected the outcome of the election. | $0 - $750 | $750 - $1,500 | $1,500 - $2,250 |
Failure to file Lobbyist Registration report (L-1 Report) | |||
Filed missing L-1 Report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $300 | $300 - $600 | $600 - $1,000 |
Failure to File Agency Lobbying Report (L-5 Report) | |||
Filed missing L-5 Report or amended L-5 Report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $300 | $300 - $600 | $600 - $1,000 |
Grassroots Lobbying Report (L-6 Report) | |||
Filed missing L-6 Report or amended L-6 Report after being notified about the complaint, and provided written explanation with mitigating circumstances. | $0 - $300 | $300 - $600 | $600 - $1,000 |
Sponsor identification requirements for political advertising | |||
Political advertising failed to include any sponsor identification, or included improper or misleading sponsor identification. | $0 - $300 | $300 - $600 | $600 - $1,000 |
Party preference requirement for political advertising | |||
Political advertising failed to include a candidate's party preference. | $0 - $300 | $300 - $600 | $600 - $1,000 |
Use of current picture requirement in political advertising | |||
Political advertising fails to include at least one picture of the candidate used in the advertising that was taken within the last five years, that is no smaller than any other picture of the same candidate used in the same advertisement. | $0 - $300 | $300 - $600 | $600 - $1,000 |
Political advertising or electioneering communication—Libel or defamation per se | |||
Political advertising or an electioneering communication that contains a false statement of material fact about a candidate for public office. | $0 - $600 | $600 - $1,200 | $1,200 - $2,400 |
Political advertising or an electioneering communication that falsely represents that a candidate is the incumbent for the office sought when in fact the candidate is not the incumbent. | $0 - $600 | $600 - $1,200 | $1,200 - $2,400 |
Political advertising or an electioneering communication that makes either directly or indirectly, a false claim stating or implying the support or endorsement of any person or organization when in fact the candidate does not have such support or endorsement. | $0 - $600 | $600 - $1,200 | $1,200 - $2,400 |
Commercial advertisers—Public inspection of documents | |||
Commercial advertisers who after accepting or providing political advertising or electioneering communications during an election campaign fail to maintain records and books of account, or make such information available by the methods provided under WAC 390-18-050. | $0 - $600 | $600 - $1,200 | $1,200 - $2,400 |
Candidates and political committees—Public inspection of books of accounts | |||
Candidates or political committees who fail to accommodate requests for public inspection as required by WAC 390-16-043. | $0 - $600 | $600 - $1,200 | $1,200 - $2,400 |
Limitations on employers or labor organizations | |||
Failed to maintain open for public inspection, during normal business hours, documents and books of accounts showing a copy of each employee's request for funds to be withheld for transfer to a political committee. | $0 - $600 | $600 - $1,200 | $1,200 - $2,400 |
(8) In a matter where the PDC staff have completed an investigation or resolved the matter as a technical correction, as authorized in RCW 42.17A.755, the schedule set forth in the table above is not applicable.
[Statutory Authority: RCW 42.17A.110(1), 2019 c 428, and 2019 c 261. WSR 20-02-062, § 390-37-062, filed 12/24/19, effective 1/24/20. 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.]