3709 INFORMAL HEARING FOR ALLEGED VIOLATIONS OF REPORTING REQUIREMENTS

3709.1 The Director may institute or conduct an informal hearing on alleged violations of the reporting and disclosure requirements, prescribed by the Act and Chapters 30 - 37 of this title.

3709.2 The reporting and disclosure requirements shall apply to the following:

1. (a) Lobbyist Activity Report;
2. (b) Lobbyist Registration Form;
3. (c) Citizen Service Financial Report;
4. (d) Financial Disclosure Statement;
5. (e) Statement of Potential Conflict of Interest;
6. (f) R & E Report;
7. (g) Notification required on campaign literature, pursuant to the Act;
8. (h) The responses to Requests for Additional Information (RFAI);
9. (i) Statement of Candidacy;
10. (j) Statement of Organization;
11. (k) Statement of Information;
12. (l) NC Summary Financial Statement; and
13. (m) Honoraria and Outside Income Disclosure Statement.

3709.3 Notice of an informal hearing shall be issued in writing at least seven (7) days prior to the hearing.

3709.4 In the notice, an alleged violator of the reporting requirements shall be informed of the following:

1. (a) Nature of the alleged violation;
2. (b) The authority on which the hearing is based;
3. (c) Time and place of the hearing;
4. (d) The right to be represented by legal counsel; and
5. (e) The alleged violator's failure to appear may be considered an admission of the allegation.

3709.6 The Director shall regulate the course of the informal hearing and the conduct of the parties and their counsel.

3709.7 The alleged violator, or counsel for the alleged violator, shall present the alleged violator's case and evidence to the Director.

3709.8 The Director may wait a reasonable period of time for the alleged violator to appear before beginning the informal hearing.

3709.9 If the alleged violator fails to appear after a reasonable period of time, the Director shall perform the following:

(a) Reschedule the informal hearing;

(b) Issue notice, pursuant to §§ 3709.3 and 3709.4; and

(c) Serve the alleged violator both by certified and regular mail.

3709.10 If the alleged violator fails to appear after an informal hearing has been rescheduled, pursuant to § 3709.9, the Director may proceed with the informal hearing; provided, that the alleged violator has received notice.

3709.11 Following the conduct of each informal hearing, the Director shall perform the following:

(a) Determine whether a violation has occurred; and

(b) Issue a written order with findings of facts and conclusions of law.

3709.12 Any party adversely affected by any order of the Director may obtain review of the order by filing, with the Board of Elections and Ethics, a request for a hearing de novo.

3709.13 The request, pursuant to § 3709.12, shall be filed in the following manner:

(a) Within fifteen (15) days from the issuance by the Director of an order; and

(b) In accordance with Chapter 4 of this title.

SOURCE: Final Rulemaking published at 45 D.C. Reg. 3161, 3208-10 (May 22, 1998); and further amended by Final Rulemaking published at 47 D.C. Reg. 2171, 2187 (March 24, 2000).