Chapter ETH 21

ETH 21.04 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23.

ETH 21.05 ETH 21.05 Response form and contents. A response to a complaint, if any, shall be filed in writing. The response, together with all attachments shall not exceed 10 pages without prior approval of the administrator. A response, if any, shall include all of the following:

ETH 21.05(1) (1) The case number assigned to the case.

ETH 21.05(2) (2) A concise statement of the facts supporting the respondent’s response to each alleged violation that differentiates between statements based on personal knowledge and those based on information and belief. Statements not based on personal knowledge shall identify the source of the information.

ETH 21.05(3) (3) Citation to any legal authority which the respondent relies on in support of their response. Citations to cases shall include a public domain cite, if available. Citations shall also include page or paragraph numbers, if appropriate.

ETH 21.05(4) (4) Any relevant documentation supporting the response, if available.

ETH 21.05(5) (5) If a response is filed by an attorney or other authorized person on behalf of the respondent, the attorney or other authorized person shall include a notice of representation that includes the name and address of the attorney or other authorized person.

ETH 21.05 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23.

ETH 21.06 ETH 21.06 Preliminary requests for information. Before the commission makes a determination of reasonable suspicion, the administrator may request from any person any of the following:

ETH 21.06(1) (1) If the complaint alleges a violation by any local registrant, a copy of the campaign registration statement and any campaign finance reports filed by the local registrant.

ETH 21.06(2) (2) If the complaint alleges a violation of s. 11.1303, Stats., any information or documentation related to the specifications provided in s. ETH 1.96.

ETH 21.06(3) (3) Any public records or other publicly available information.

ETH 21.06 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23.

ETH 21.07 ETH 21.07 Determination of reasonable suspicion.

ETH 21.07(1) (1) In making its determination as to whether reasonable suspicion of a violation exists, the commission may consider the complaint, the response, information provided upon request under s. ETH 21.06, publicly available information, and the analysis and recommendations of commission staff.

ETH 21.07(2) (2) If the commission finds no reasonable suspicion or fails to find there is reasonable suspicion that a violation has occurred or is occurring, the commission shall dismiss the complaint and the parties shall be notified pursuant to s. ETH 21.10.

ETH 21.07(3) (3) If the commission finds reasonable suspicion that a violation has occurred or is occurring, the commission may do any of the following:

ETH 21.07(3)(a) (a) Authorize an investigation by resolution. The resolution shall specifically set forth any matter that is authorized to be investigated.

ETH 21.07(3)(b) (b) Issue a written warning.

ETH 21.07(3)(c) (c) Extend a settlement offer.

ETH 21.07 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23.

ETH 21.08 ETH 21.08 Determination of probable cause.

ETH 21.08(1) (1) At the conclusion of its investigation, the commission shall, in preliminary written findings of fact and conclusions based thereon, make a determination of whether or not probable cause exists to believe that a violation has occurred or is occurring.

ETH 21.08(2) (2) In making its determination as to whether probable cause of a violation exists, the commission may consider the complaint, the response, information provided upon request pursuant to s. ETH 21.06, publicly available information, information obtained pursuant to an investigation, and the analysis and recommendations of commission staff.

ETH 21.08(3) (3) If the commission finds that no probable cause exists, it shall dismiss the complaint and the parties shall be notified pursuant to s. ETH 21.10.

ETH 21.08(4) (4) If the commission finds that there is probable cause to believe that a violation has occurred or is occurring, the commission may do any of the following:

ETH 21.08(4)(a) (a) Authorize the administrator to file a civil complaint against the alleged violator.

ETH 21.08(4)(b) (b) Issue a written warning.

ETH 21.08(4)(c) (c) Extend a settlement offer.

ETH 21.08(4)(d) (d) Refer the matter to one of the following:

ETH 21.08(4)(d)1. 1. To the district attorney for the county in which the alleged violator resides.

ETH 21.08(4)(d)2. 2. If the alleged violator is a nonresident, to the district attorney for the county where the matter arises.

ETH 21.08(4)(d)3. 3. If the alleged violator is a district attorney, a circuit court judge, or a candidate for either such office, to the attorney general.

ETH 21.08 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23.

ETH 21.09 ETH 21.09 Exercises of prosecutorial discretion. Pursuant to the authority granted in s. 19.49 (2) (b) 4., Stats., the commission may vote to terminate a complaint or investigation at any time notwithstanding a finding of reasonable suspicion or probable cause that a violation has occurred or is occurring. If a complaint or investigation is terminated, it is deemed to be dismissed by the commission and the parties shall be notified pursuant to s. ETH 21.10.

ETH 21.09 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23.

ETH 21.10 ETH 21.10 Notification of dismissal. After a determination that either no reasonable suspicion or no probable cause of a violation exists, or where any complaint is deemed to be dismissed by the commission, the administrator shall send a written notice to the complainant and respondent within 5 calendar days.

ETH 21.10 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23.

ETH 21.30 ETH 21.30 Requests for written advice.

ETH 21.30(1) (1) General provisions.

ETH 21.30(1)(a) (a) A person may request either a formal or an informal advisory opinion of the commission. An informal opinion may be issued by the administrator and is issued only to the person requesting the opinion. A formal opinion is issued by the commission itself, allows an opportunity for a hearing, and the request and opinion are anonymized and published on the commission’s Internet site.

ETH 21.30(1)(b) (b) If a person requests in writing the commission’s written advice regarding the propriety of a matter to which the person is or may become a party, the administrator may advise the person in writing.

ETH 21.30(1)(c) (c) The written advice shall be consistent with all applicable formal advisory opinions issued by the commission, statute or other law, and case law as required by s. 19.46 (2) (b) 1., Stats., as well as the United States and Wisconsin constitutional law.

ETH 21.30(1)(d) (d) Written advice prepared by the administrator has the full force and effect of written advice given by the ethics commission.

ETH 21.30(2) (2) Requests for informal opinions.

ETH 21.30(2)(a) (a) If a person requests an informal opinion, the administrator shall determine if any of the following applies:

ETH 21.30(2)(a)1. 1. If the request cannot be answered by existing statute, opinion precedent, or case law, the request shall be considered by the commission at its next regular meeting.

ETH 21.30(2)(a)2. 2. If the request can be answered by existing statute, opinion precedent, or case law, the administrator may issue an informal opinion on behalf of the commission. If the administrator issues an informal opinion on behalf of the commission, all of the following applies:

ETH 21.30(2)(a)2.a. a. Any such opinion shall include a notice to the requestor that the opinion shall be reported to the commission at its next regular meeting pursuant to s. 19.46 (2) (a) 4., Stats. The notice shall advise the requestor that if the commission disagrees with the opinion, the commission may withdraw the opinion, issue a revised opinion, or request an opinion from the attorney general. The notice shall also state that if the opinion is withdrawn or revised, no person relying upon the withdrawn or revised opinion is exempted from prosecution under s. 19.46 (2) (a) 3., Stats., after withdrawal or revision. If the commission issues a revised opinion, the revised opinion provides exemption from civil or criminal prosecution under s. 19.46 (2) (a) 3., Stats.

ETH 21.30(2)(a)2.b. b. Any such opinion shall be reported to the commission at its next regular meeting pursuant to s. 19.46 (2) (a) 4., Stats.

ETH 21.30(2)(b) (b) The administrator, assistant administrator, or staff counsel may request any additional information from the requestor that is necessary to issue the opinion.

ETH 21.30(3) (3) Requests for formal opinions.

ETH 21.30(3)(a) (a) If a person requests a formal opinion or requests a review or modification of a previously issued formal opinion, the commission shall review the request and may issue a formal opinion.

ETH 21.30(3)(b) (b) The administrator, assistant administrator, or staff counsel may request any additional information from the requestor that is necessary to issue the opinion.

ETH 21.30(3)(c) (c) Any person requesting a formal opinion may request a public or private hearing before the commission to discuss the opinion pursuant to s. 19.46 (2) (b), Stats. Any such request for a hearing must be received no later than 21 calendar days prior to the requested hearing date. The commission shall grant any such request for a public or private hearing.

ETH 21.30(4) (4) Voluntary waiver of confidentiality. In addition to waiver by making an opinion public or purporting to make an opinion public as provided in s. 19.55 (4) (b), Stats., a person who receives an informal or formal opinion may voluntarily waive confidentiality of the request and any records obtained or prepared by the commission in connection with the request for an informal or formal opinion by submitting a statement in writing to the administrator that the person is waiving confidentiality. Any records obtained or prepared by the commission includes the opinion.

ETH 21.30 History History: Cr. Register, June, 1976, No. 246, eff. 7-1-76; am. Register, September, 1976, No. 249, eff. 10-1-76; am. Register, October, 1976, No. 250, eff. 11-1-76; am. Register, April, 1985, No. 352, eff. 5-1-85; correction made under s. 13.92 (4) (b) 6., Stats., Register June 2016 No. 726; CR 17-038: am. Register March 2018 No. 747 eff. 4-1-18; CR 22-052: r. and recr. Register July 2023 No. 811, eff. 8-1-23; correction in (1) (c), (2) (a) 2. a. made under s. 35.17, Stats., Register July 2023 No. 811.