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OFFICE OF STATE ETHICS

OFFICE OF STATE ETHICS. Enforcement Division. Primary Functions. Enforcement of Public Official and Lobbyist Codes Enforcement of Statutory Filing Requirements Lobbyist Filings SFIs Necessary Expense Reports Conflict of Interest Filings Expert Disclosures. Other Functions.

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OFFICE OF STATE ETHICS

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  1. OFFICE OF STATE ETHICS Enforcement Division

  2. Primary Functions • Enforcement of Public Official and Lobbyist Codes • Enforcement of Statutory Filing Requirements • Lobbyist Filings • SFIs • Necessary Expense Reports • Conflict of Interest Filings • Expert Disclosures

  3. Other Functions • Audit of Lobbyist Filings • Audit SFI Filings • Coordinate with Other Law Enforcement Agencies • Coordinate with Legal Division • Background Checks

  4. Enforcement of CodesPre-Complaint - Fact Gathering • Evaluation • Formal Referrals (1-101pp) • Informal Referrals • Proprietary Databases • Internal Databases • Public Sources • Voluntary Production • Voluntary Interviews • Other Law Enforcement Agencies • Legal Analysis • Interview/Meet with Target • Make Determination on Whether to Proceed

  5. Enforcement of CodesComplaint • Filed by OSE or Member of Public • Confidential • Probable Cause Standard • Public Filing • Under Penalty of False Statement • If No Foundation in Fact - Damages

  6. Enforcement of CodesPost-Complaint - Building Case for Hearing • “Preliminary Investigation” • Interviews • Depositions • Subpoena/Review of Documents • Work with Other Law Enforcement Agencies • Engage Respondent in Settlement Talks • Amend Complaint to Conform with Evidence (if necessary) • Send Notice of Probable Cause Hearing

  7. Enforcement of CodesConfidentialHearings • Probable Cause Hearing • Judge Trial Referee • OSE Has Burden of Proof • Board Hearings • JTR and Board • OSE Has Burden of Proof • Rules of Evidence Apply • 6 Votes Needed to Find Violation • Confidentiality • Confidential Through Probable Cause Finding • May Be Waived by Respondent • Breach of Confidentiality is Code Violation

  8. Enforcement of CodesForms Violations • Filed by Division – Notice of Administrative Hearing • Both Lobbyist and Public Official Filings • Not Confidential • Standard Administrative Hearing • Hearing Officer • Public

  9. Enforcement of CodesPenalties • Confidential Hearings • to $10,000 Penalty per Violation • Referral to AG for Financial Recovery in Certain “Knowing” Violations • Order to File Reports • Cease and Desist Order • (Lobbyists) Suspend or Remove Lobbyist Registration • Forms Hearings • Up to $10 Per Day for Each

  10. SFI • Statutory Filers • Elected Officials • General Assembly • Department Heads and Deputies • Gaming Policy Board • Exec. Dir. Of Div. of Special Revenue • Members/Directors of Quasi-Public Agencies • Investment Advisory Council • Marshals • Other Required Filers • Governor’s Criteria • Selected by Agencies and Quasi-Public Agencies • Voluntary Filers • Incoming/Departing Filers

  11. OFFICE OF STATE ETHICS Enforcement Division

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