OFFICE OF STATE OFFICE OF STATE ETHICSETHICS

Enforcement DivisionEnforcement Division

Primary Primary FunctionsFunctions

Enforcement of Public Official and Enforcement of Public Official and Lobbyist CodesLobbyist Codes

Enforcement of Statutory Filing Enforcement of Statutory Filing RequirementsRequirements Lobbyist FilingsLobbyist Filings SFIsSFIs Necessary Expense ReportsNecessary Expense Reports Conflict of Interest FilingsConflict of Interest Filings Expert DisclosuresExpert Disclosures

Other FunctionsOther Functions

Audit of Lobbyist FilingsAudit of Lobbyist Filings Audit SFI FilingsAudit SFI Filings Coordinate with Other Law Enforcement Coordinate with Other Law Enforcement

AgenciesAgencies Coordinate with Legal DivisionCoordinate with Legal Division Background ChecksBackground Checks

Enforcement of CodesEnforcement of CodesPre-Complaint - Fact GatheringPre-Complaint - Fact Gathering

EvaluationEvaluation Formal Referrals (1-101pp)Formal Referrals (1-101pp) Informal ReferralsInformal Referrals Proprietary DatabasesProprietary Databases Internal DatabasesInternal Databases Public SourcesPublic Sources Voluntary ProductionVoluntary Production Voluntary InterviewsVoluntary Interviews Other Law Enforcement AgenciesOther Law Enforcement Agencies

Legal AnalysisLegal Analysis Interview/Meet with TargetInterview/Meet with Target Make Determination on Whether to ProceedMake Determination on Whether to Proceed

Enforcement of CodesEnforcement of CodesComplaintComplaint

Filed by OSE or Member of PublicFiled by OSE or Member of Public ConfidentialConfidential Probable Cause StandardProbable Cause Standard Public FilingPublic Filing

Under Penalty of False StatementUnder Penalty of False Statement If No Foundation in Fact - DamagesIf No Foundation in Fact - Damages

Enforcement of CodesEnforcement of CodesPost-Complaint - Building Case for HearingPost-Complaint - Building Case for Hearing

““Preliminary Investigation”Preliminary Investigation” InterviewsInterviews DepositionsDepositions Subpoena/Review of DocumentsSubpoena/Review of Documents Work with Other Law Enforcement AgenciesWork with Other Law Enforcement Agencies

Engage Respondent in Settlement TalksEngage Respondent in Settlement Talks Amend Complaint to Conform with Evidence Amend Complaint to Conform with Evidence

(if necessary)(if necessary) Send Notice of Probable Cause HearingSend Notice of Probable Cause Hearing

Enforcement of CodesEnforcement of CodesConfidentialConfidential HearingsHearings

Probable Cause HearingProbable Cause Hearing Judge Trial RefereeJudge Trial Referee OSE Has Burden of ProofOSE Has Burden of Proof

Board HearingsBoard Hearings JTR and BoardJTR and Board OSE Has Burden of ProofOSE Has Burden of Proof Rules of Evidence ApplyRules of Evidence Apply 6 Votes Needed to Find Violation6 Votes Needed to Find Violation

ConfidentialityConfidentiality Confidential Through Probable Cause FindingConfidential Through Probable Cause Finding May Be Waived by RespondentMay Be Waived by Respondent Breach of Confidentiality is Code ViolationBreach of Confidentiality is Code Violation

Enforcement of CodesEnforcement of CodesForms ViolationsForms Violations

Filed by Division – Notice of Administrative Filed by Division – Notice of Administrative HearingHearing

Both Lobbyist and Public Official FilingsBoth Lobbyist and Public Official Filings NotNot Confidential Confidential Standard Administrative HearingStandard Administrative Hearing

Hearing OfficerHearing Officer PublicPublic

Enforcement of CodesEnforcement of CodesPenaltiesPenalties

Confidential HearingsConfidential Hearings to $10,000 Penalty per Violationto $10,000 Penalty per Violation Referral to AG for Financial Recovery in Referral to AG for Financial Recovery in

Certain “Knowing” ViolationsCertain “Knowing” Violations Order to File ReportsOrder to File Reports Cease and Desist OrderCease and Desist Order (Lobbyists) Suspend or Remove Lobbyist (Lobbyists) Suspend or Remove Lobbyist

RegistrationRegistration Forms HearingsForms Hearings

Up to $10 Per Day for Each Up to $10 Per Day for Each

SFISFI Statutory FilersStatutory Filers

Elected OfficialsElected Officials General AssemblyGeneral Assembly Department Heads and DeputiesDepartment Heads and Deputies Gaming Policy BoardGaming Policy Board Exec. Dir. Of Div. of Special RevenueExec. Dir. Of Div. of Special Revenue Members/Directors of Quasi-Public AgenciesMembers/Directors of Quasi-Public Agencies Investment Advisory CouncilInvestment Advisory Council MarshalsMarshals

Other Required FilersOther Required Filers Governor’s CriteriaGovernor’s Criteria Selected by Agencies and Quasi-Public AgenciesSelected by Agencies and Quasi-Public Agencies

Voluntary FilersVoluntary Filers Incoming/Departing FilersIncoming/Departing Filers

OFFICE OF STATE OFFICE OF STATE ETHICSETHICS

Enforcement DivisionEnforcement Division