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  Audit of Lobbyist Filings  Audit SFI Filings  Coordinate with Other Law Enforcement Agencies  Coordinate with Legal Division  Background Checks

Enforcement of Codes Pre-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

Enforcement of Codes Complaint  Filed by OSE or Member of Public  Confidential  Probable Cause Standard  Public Filing  Under Penalty of False Statement  If No Foundation in Fact - Damages

Enforcement of Codes Post-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

Enforcement of Codes Confidential Hearings  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

Enforcement of Codes Forms Violations  Filed by Division – Notice of Administrative Hearing  Both Lobbyist and Public Official Filings  Not Confidential  Standard Administrative Hearing  Hearing Officer  Public

Enforcement of Codes Penalties  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

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

OFFICE OF STATE ETHICS Enforcement Division