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By statute, the DETF Secretary is expressly authorized, with appropriate board approval, to promulgate rules required for the efficient administration of any benefit plan established in ch. 40 of the Wisconsin statutes. Also, each state agency may promulgate rules interpreting the provisions of any statute enforced or administered by the agency if the agency considers it necessary to effectuate the purpose of the statute.
Related statute or rule
Ch. ETF 11, Wis. Admin. Code, establishes a procedure for the review of appealable department determinations by the board responsible for the subject matter. There are no other related administrative rules or statutes.
Plain language analysis
The purpose of this rule is to improve the procedure for receipt of service of process upon the boards attached to the department by increasing the number of persons who are authorized to accept such service. The rule eliminates the reference to a chief counsel and changes that position to general counsel, and adds to other positions to the list of persons designated to accept service for the board.
Comparison with federal regulations
There are no existing or proposed federal regulations that directly pertain to this proposed rule.
Comparison with rules in adjacent states
The department did not locate any comparable rule or statute in any adjacent states.
Summary of factual data and analytical methodologies
Currently only three positions are designated by rule to receive service on behalf of the board: the chief counsel of the department and the division administrator or program director administering the program which pertains to the underlying appeal to the board.
This rule will improve the procedure for receipt of service of process upon the boards attached to the department by increasing the number of persons who are authorized to accept such service.
Analysis and supporting documents used to determine effect on small business
The rule does not have an effect on small businesses because private employers and their employees do not participate in, and are not covered by, the Wisconsin Retirement System.
Small Business Impact
There is no effect on small business.
Fiscal Estimate
The rule will have no effect on county, city, village, town, school district, technical college district or sewerage district fiscal liabilities or revenues. The rule will have no effect on state funds.
Text of Proposed Rule
ETF 11.15 (4) is amended to read:
(4) AGENT FOR SERVICE UPON BOARD. Except as provided in this subsection, no person or employee of the department is authorized to accept service for the board. From time to time the board may by motion designate a person, either by name or position, as agent to accept personal service for the board. Persons holding the following positions, whose names shall be disclosed by the department upon request, are designated as agents to accept personal service on behalf of the board:
(a) The chief counsel general counsel of the department.
(b) The division administrator or program director administering the particular program which is the subject matter of the underlying appeal to the board.
(c) The deputy secretary of the department
(d) The secretary of the department, or his or her designees.
Agency Contact Person
Please direct any questions about the proposed rule to David Nispel, General Counsel, department of employee trust funds, P. O. Box 7931, Madison, WI 53707. The email address: david.nispel@etf.state.wi.us. The telephone number is: (608) 264-6936.
Notice of Hearing
Government Accountability Board
NOTICE IS HEREBY GIVEN that pursuant to ss. 5.05 (1) (f) and 227.11 (2) (a), Stats., the Government Accountability Board will hold a public hearing to consider adoption of a rule to create Chapter GAB 22 relating to settlement of certain campaign finance, ethics and lobbying violations.
Hearing Information
The public hearing will be held at the time and location shown below:
Date and Time
Location
July 28, 2009
10:00 a.m.
Government Accountability Board
Office
212 E. Washington Avenue
3rd Floor
Madison, WI 53703
This public hearing site is accessible to individuals with disabilities. If you have special needs or circumstances that may make communication or accessibility difficult at the hearing, please contact the person listed below.
Submission of Written Comments
Comments on the proposed rules should be submitted to the Government Accountability Board, 212 East Washington Ave., P.O. Box 7984, Madison, Wisconsin 53707-7984; (elections.state.wi.us). Comments should be submitted by July 28, 2009.
Analysis Prepared by Government Accountability Board
Statutes interpreted
Statutory authority
Sections 5.05 (1) (f) and (2m) (c) 12. and 227.11 (2) (a), Stats.
Explanation of agency authority
Pursuant to s. 5.05 (2m) (c) 12., Stats., the legislature specifically authorized the Board to prescribe, by rule, categories of civil offenses which the Board will agree to compromise and settle without a formal investigation and upon payment of specified amounts by the alleged offender.
Related statute(s) or rule(s)
Chapter 11, Stats.—Campaign Financing, subch. III of ch. 13, Stats.—Regulation of Lobbying, and subch. III ch. 19, Stats.—Code of Ethics for Public Officials and Employees. Chapter GAB 1—Campaign Financing.
Plain language analysis
Chapter GAB 22 will establish settlement offer guidelines that the Government Accountability Board's staff may use to resolve certain violations of chapters 11, 13, and 19, Stats., in lieu of an enforcement action.
Comparison with federal regulations
Federal regulations will not apply to the activities covered by ch. GAB 22. The Federal Election Commission has established various formulas and charts for automatic administrative civil penalties for late filing of federal reports that are based upon the amount of activity during the reporting period. See 11 CFR 111.43.
Comparison with rules in adjacent states
Illinois
Illinois statutes prescribe an automatic civil penalty of $25.00 per business day for late filing or failing to file statements of organization of political committees, except that the civil penalty for committees formed to support candidates for statewide offices is $50.00 per business day. 10 ILCS 5/9-3. Illinois has administrative rules regarding civil penalties for late campaign finance reports, categorized based upon the amount of receipts, expenditures and balance at the end of the report. See 26 Ill. Adm. Code §125.425. These civil penalties range from the lowest category of $25.00 per business day for the first violation, $50.00 per business day for the second violation. and $75.00 per business day for the third and each subsequent violation, to the highest category of $200.00 per business day for the first violation, $400.00 per business day for the second violation, and $600.00 per day for the third and each subsequent violation. Id.
Iowa
Iowa's Ethics and Campaign Disclosure Board has the authority to administratively resolve late reports by assessment of automatic civil penalties prescribed by the Board. Ch. 351-9.4(5), Iowa Adm. Code.
Michigan
Michigan has rules prescribing automatic late fees for registration, reports and statements for lobbying and campaign finance matters. Rs. 4.443, 4.452, and 169.4, Mich. Adm. Code. The automatic late fee for campaign registration statements is $10.00 per business day. See s. 169.224, Mich. Stats. The automatic late fees for campaign finance reports are $25.00 for each business day it remains unfiled, an additional $25.00 for each business day after the first three that the report remains unfiled, and an additional $50.00 for each business day after the first ten that the report remains unfiled. s. 169.233, Mich. Stats.
Minnesota
In Minnesota, the Office of Administrative Hearings has used a “penalty matrix" designed by the Secretary of State's Office to provide guidance for most campaign finance violations.
Summary of factual data and analytical methodologies
Adoption of these rules was primarily predicated upon the legislature's specific authorization to have the Government Accountability Board prescribe, by rule, categories of civil offenses which the Board will agree to compromise and settle without a formal investigation and upon payment of specified amounts by the alleged offender.
Analysis and supporting documentation used to determine effect on small businesses
The rule will have no effect on small business, nor any economic impact.
Small Business Impact
The creation of this rule does not affect business.
Fiscal Estimate
The creation of this rule has no new fiscal effect.
Text of Proposed Rule
SECTION 1. Chapter GAB 22 is created to read:
CHAPTER GAB 22
SETTLEMENT OFFER SCHEDULE
22.01 Definitions. In this chapter:
(1) “Board" means the Wisconsin government accountability board.
(2) “Campaign finance registration statement" means the statement required to be filed by individuals, committees and groups under s. 11.05, Stats.
(3) “Continuing campaign finance report" means the semi-annual campaign finance report required under s. 11.20 (4), Stats.
(4) “Contribution" has the meaning given in s. 11.01 (6), Stats.
(5) “Contributor" means an individual or committee who makes a contribution under s. 11.01 (6), Stats.
(6) “Contributor information" means the information required by s. 11.06 (1), Stats., regarding contributions greater than $20 or greater than $100.
(7) “Disbursement" has the meaning given in s. 11.01 (7), Stats.
(8) “Disbursement information" means the information required by s. 11.06(1), Stats., regarding disbursements greater than $20.
(9) “Excess contribution" means a contribution that exceeds any of the limits set in s. 11.26, Stats.
(10) “File electronically" means the requirement in s. 11.2l (16), Stats., that registrants subject to that subsection file a copy of their campaign finance reports in electronic format.
(11) “Filing fee" means the fee required by s. 11.055, Stats.
(12) “Last-minute contribution" means the contribution or contributions described in s. 11.12 (5), Stats., that are made later than 15 days prior to a primary or an election.
(13) “Lobbyist" has the meaning given in s. 13.62 (11), Stats.
(14) “Pre-primary report or pre-election campaign finance report" means the campaign finance reports referred to in s. 11.20 (2), Stats., that are due no earlier than 14 days before a primary or election and no later than 8 days before a primary or election.
(15) “Principal" has the meaning given in s. 13.62 (12), Stats.
(16) “Registrant" has the meaning given in s. 11.01 (18m) Stats.
(17) “Statement of economic interests" has the meaning given in s. 19.43, Stats.
22.02 Settlement of campaign finance violations. (1) VIOLATIONS OF S. 11.05, STATS., FAILURE TO TIMELY FILE A CAMPAIGN FINANCE REGISTRATION STATEMENT. (a) If a campaign finance registration statement is received within 5 days after the due date for that registration, no penalty may be imposed on the registrant.
(b) If a campaign finance registration statement is received within 6 to 10 days after the due date for that registration, a settlement offer of $100 may be extended to the registrant.
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