Chapter ETH 21

Chapter ETH 21

PRACTICE AND PROCEDURE

ETH 21.02   Definitions.

ETH 21.03   Receipt and preliminary review of complaints.

ETH 21.04   Acknowledgement and notice of complaints.

ETH 21.05   Response form and contents.

ETH 21.06   Preliminary requests for information.

ETH 21.07   Determination of reasonable suspicion.

ETH 21.08   Determination of probable cause.

ETH 21.09   Exercises of prosecutorial discretion.

ETH 21.10   Notification of dismissal.

ETH 21.30   Requests for written advice.

Ch. ETH 21 Note Note: Chapter Eth 3 was renumbered chapter GAB 21 under s. 13.92 (4) (b) 1., Stats., and corrections made under s. 13.92 (4) (b) 6. and 12., Stats., Register April 2008 No. 628. Chapter GAB 21 was renumbered Chapters EL 21 and ETH 21 under s. 13.92 (4) (b) 1., Stats., Register June 2016 No. 726.

ETH 21.02 ETH 21.02 Definitions. As used in this chapter:

ETH 21.02(1) (1) “Administrator” means an individual appointed by the commission pursuant to s. 15.62 (1) (b), Stats., or, upon delegation by the administrator, the assistant administrator or staff counsel.

ETH 21.02(2) (2) “Assistant administrator” means an individual appointed by the administrator to serve as assistant administrator pursuant to s. 19.47 (2), Stats.

ETH 21.02(3) (3) “Commission” means the Wisconsin Ethics Commission.

ETH 21.02(4) (4) “Complainant” means a person filing a complaint with the commission under s. 19.49 (2) (b), Stats.

ETH 21.02(5) (5) “Formal opinion” means a formal advisory opinion issued by the commission under s. 19.46 (2) (a) or (c), Stats.

ETH 21.02(6) (6) “Informal opinion” means an advisory opinion issued by the commission, or by the administrator, assistant administrator, or staff counsel, as authorized by the commission, pursuant to s. 19.46 (2) (a) and (b), Stats.

ETH 21.02(7) (7) “Local registrant” means an individual or organization registered with a filing officer other than the commission.

ETH 21.02(8) (8) “Person” includes any of the following:

ETH 21.02(8)(a) (a) An individual.

ETH 21.02(8)(b) (b) A candidate as defined by s. 11.0101 (1), Stats.

ETH 21.02(8)(c) (c) A candidate committee as defined by s. 11.0101 (2), Stats.

ETH 21.02(8)(d) (d) A conduit as defined by s. 11.0101 (7), Stats.

ETH 21.02(8)(e) (e) An independent expenditure committee as defined by s. 11.0101 (17), Stats.

ETH 21.02(8)(f) (f) A legislative campaign committee as defined by s. 11.0101 (19), Stats.

ETH 21.02(8)(g) (g) A political action committee as defined by s. 11.0101 (25), Stats.

ETH 21.02(8)(h) (h) A political party as defined by s. 11.0101 (26), Stats.

ETH 21.02(8)(i) (i) A recall committee as defined by s. 11.0101 (27), Stats.

ETH 21.02(8)(j) (j) A referendum committee as defined by s. 11.0101 (28), Stats.

ETH 21.02(8)(k) (k) An agency official as defined by s. 13.62 (3), Stats.

ETH 21.02(8)(L) (L) An elective state official as defined by s. 13.62 (6), Stats.

ETH 21.02(8)(m) (m) A legislative employee as defined by s. 13.62 (8m), Stats.

ETH 21.02(8)(n) (n) A lobbyist as defined by s. 13.62 (11), Stats.

ETH 21.02(8)(o) (o) A lobbying principal as defined by s. 13.62 (12), Stats.

ETH 21.02(8)(p) (p) A local public official as defined by s. 19.42 (7x), Stats.

ETH 21.02(8)(q) (q) An official required to file as defined by s. 19.42 (10), Stats.

ETH 21.02(8)(r) (r) A state public official as defined by s. 19.42 (14), Stats.

ETH 21.02(8)(s) (s) Any other person as defined by s. 990.01 (26), Stats.

ETH 21.02(9) (9) “Probable cause” means the facts, circumstances, and reasonable inferences that together are sufficient to justify a reasonable, prudent person, acting with caution, to believe that the matter asserted is probably true.

ETH 21.02(10) (10) “Reasonable suspicion” means specific and articulable facts which, taken together with rational inferences from those facts, reasonably warrant further investigation.

ETH 21.02(11) (11) “Respondent” means a person alleged to have committed a violation of ch. 11, subch. III of ch. 13, or subch. III of ch. 19, Stats., by a complainant.

ETH 21.02(12) (12) “Staff counsel” means an employee of the commission designated by the administrator to serve as legal counsel of the commission pursuant to s. 19.47 (2), Stats.

ETH 21.02(13) (13) “Sufficient allegations” means allegations of fact and reasonable inferences drawn from those allegations that, if proven, would satisfy each element of the applicable law.

ETH 21.02 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23; correction in (1), (11) made under s. 35.17, Stats., Register July 2023 No. 811.

ETH 21.03 ETH 21.03 Receipt and preliminary review of complaints.

ETH 21.03(1) (1) Complaint form and contents. A complaint shall be filed in writing. The complaint, together with all attachments shall not exceed 10 pages without prior approval of the administrator. A complaint shall include all of the following:

ETH 21.03(1)(a) (a) The full name and address of the complainant.

ETH 21.03(1)(b) (b) The full name and address of the respondent against whom the complaint is filed. If multiple persons are alleged to have committed a violation, a complainant shall file a separate complaint for each respondent.

ETH 21.03(1)(c) (c) An allegation of a violation of ch. 11, subch. III of ch. 13, or subch. III of ch. 19, Stats.

ETH 21.03(1)(d) (d) A concise statement of the facts supporting 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 21.03(1)(e) (e) Citation to any legal authority which the complainant relies on in support of their complaint. Citations to cases shall include a public domain cite, if available. Citations shall also include page or paragraph numbers, if appropriate.

ETH 21.03(1)(f) (f) Any relevant documentation supporting the allegations, if available.

ETH 21.03(1)(g) (g) The notarized signature of the complainant, the complainant’s attorney, or other authorized person filing the complaint on behalf of the complainant.

ETH 21.03(1)(h) (h) If a complaint is filed by an attorney or other authorized person on behalf of the complainant, 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 21.03(2) (2) Preliminary review. The administrator shall conduct a preliminary review of each complaint filed with the commission and shall dismiss a complaint or the relevant portion of a complaint if it does not comply with sub. (1) or if any of the following applies:

ETH 21.03(2)(a) (a) The complainant does not file the complaint within the time period specified by s. 19.49 (2) (f), Stats.

ETH 21.03(2)(b) (b) The commission does not have jurisdiction over the violation alleged.

ETH 21.03(2)(c) (c) The complaint does not contain sufficient allegations to establish that a violation of ch. 11, subch. III of ch. 13, or subch. III of ch. 19, Stats., has potentially occurred.

ETH 21.03(3) (3) Notice of dismissals. The administrator shall inform the commission of each complaint that was dismissed under sub. (2) since its last meeting.

ETH 21.03 History History: CR 22-052: cr. Register July 2023 No. 811, eff. 8-1-23.

ETH 21.04 ETH 21.04 Acknowledgement and notice of complaints. After preliminary review of a complaint under s. ETH 21.03 (2), but within 5 calendar days of receipt of the complaint, the administrator shall:

ETH 21.04(1) (1) Send a written notice to the complainant that provides all of the following:

ETH 21.04(1)(a) (a) An acknowledgement that the commission received the complaint.

ETH 21.04(1)(b) (b) A notice if the complaint or any portion of the complaint was dismissed under s. ETH 21.03 (2).

ETH 21.04(1)(b)1. 1. If the complaint or any portion of the complaint was dismissed for failure to comply with the requirements of s. ETH 21.03 (1), the notice shall include an explanation of the relevant requirements and inform the complainant that the complainant may re-file the complaint once it conforms to the requirements of s. ETH 21.03 (1).

ETH 21.04(1)(b)2. 2. If the complaint or any portion of the complaint was dismissed pursuant to s. ETH 21.03 (2) (a), the notice shall indicate the relevant deadline to file the complaint, if known.

ETH 21.04(1)(b)3. 3. If the complaint or any portion of the complaint was dismissed pursuant to s. ETH 21.03 (2) (b), the notice shall inform the complainant of the governmental agency with jurisdiction over the matter, if known.

ETH 21.04(1)(b)4. 4. If the complaint or any portion of the complaint was dismissed pursuant to s. ETH 21.03 (2) (c), the notice shall specify what additional allegations would be required to satisfy each element of the applicable law, if known.

ETH 21.04(2) (2) If the complaint was not dismissed, send a written notice to the respondent that provides all of the following:

ETH 21.04(2)(a) (a) A statement that the respondent has 15 calendar days from receipt of the notice to submit a written response demonstrating to the commission that the commission should take no action against the respondent on the basis of the complaint.

ETH 21.04(2)(b) (b) A notice that an extension of the deadline to file a written response may be granted by the administrator for good cause shown.

ETH 21.04(2)(c) (c) If any portion of the complaint was dismissed upon preliminary review under s. ETH 21.03 (2), a statement describing which allegations have been dismissed.

ETH 21.04(2)(d) (d) A copy of the complaint.

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.