Colorado Regulations § 8 CCR 1505-6-23 Complaints filed under section 1-45-111.7, C.R.S
Regulation Text
23.1
Filing initial complaints
23.1.1
Campaign and political finance complaints must be filed in writing and can be submitted by hardcopy or electronically. Electronic signatures are permitted for any complaint documentation that requires a signature by complaint, respondent, or the elections division.
23.1.2
A complaint must identify both a respondent and a complainant. Anonymous complaints or complaints that fail to identify a complainant and respondent may be rejected and not reviewed by the elections division.
23.1.3
Complaints must meet the plausibility pleadings standard by presenting a plausible basis, based on concrete, non-conclusory allegations of particularized facts, to support the allegations that a potential campaign and political finance violation occurred. The plausibility of an allegation is determined while accepting as true the concrete, non-conclusory assertions of fact upon which the allegation is based.
23.1.4
Complaints that stem from a common set of operative facts as a pending complaint will be consolidated when practicable. When consolidation is not practicable and the outcome of the initial case will be determinative of the later case, a complaint will be stayed until a final agency decision issues on the initial complaint and any appeals are resolved.
23.1.5
Violations stemming from late or missing filings that have had a late filing penalty assigned or the assigned penalty has been waived under Rule 18 are not subject to additional monetary penalties under Rule 23.3 for the late filing violation.
23.2
Documents related to complaints.
23.2.1
The original complaint, notice of initial review, motion to dismiss, an order issued by the Secretary of State's Office, final agency decision, and any complaint filed by the elections division with a hearing officer will be publicly available at the time the document is provided to the respondent.
23.2.2
The elections division may redact any document that it will otherwise make available pursuant to this rule if such redaction is necessary to protect any personal private information or personally identifiable information, is not relevant or material to the determination, or is otherwise required under the Colorado Open Records Act.
23.2.3
Any document the elections division receives under section
1-45-111.7
(5)(a)(III)
, C.R.S., will not be retained after the time necessary to review, investigate, or prosecute a complaint, including any appeal, as applicable.
23.3
Settlement of complaints and fine structure for violations
23.3.1
After a complaint has been filed with a hearing officer the elections division may enter into a settlement agreement with the respondent.
23.3.2
In assessing a fine amount or approving a settlement, the deputy secretary of state or a hearing officer, as applicable, will consider all of the following factors:
(a)
Specific fine amounts outlined in Rule 23.3.3;
(b)
Any appropriate specific action in Rule 23.3.4;
(c)
Whether Rule 18 late filing penalties have been issued and if a waiver was granted;
(d)
Sanctions available under section
1-45-111.5
, C.R.S.; and
(e)
The mitigating and aggravating factors, including those listed in Rule 23.3.5, to increase or decrease the monetary fine or terms.
23.3.3
Fine amounts
(a)
Failure to register a committee
(1)
Amount of contributions or donations accepted or expenditures made while out of compliance, outlined below:
(A)
Less than $1,000 fine is at least $150;
(B)
Between $1,001 and up to $5,000 fine is at least $300; or
(C)
Greater than $5,000 the fine of at least $300 plus at least 10 percent of total amount of the contributions and expenditures made.
(b)
Failure to file complete and accurate affidavits, disclosures, contributions, expenditures, or other finance reports
(1)
Failure to file complete and accurate reports is a $100 fine per report plus 5 percent of the activity not accurately or completely reported.
(2)
Failure to file an accurate candidate affidavit
(A)
If the affidavit is submitted within 14 days of registration deadline, the fine is at least $50; or
(B)
If the affidavit is submitted after 14 days post deadline, the fine is at least $100.
(3)
Failure to file an accurate or complete initial, updated, or amended personal financial disclosure as required under section
1-45-110
, C.R.S., which includes content required by section
24-6-202
(2)
, C.R.S.
(A)
If the personal financial disclosure is filed or corrected within 14 days of the applicable filing due date, the fine is at least $50;
(B)
If the personal financial disclosure is filed or corrected prior to the filing of any complaint alleging an insufficient filing of a personal financial disclosure, so long as the disclosure is submitted at least 30 days prior to the first election in which the candidate is running, the fine is at least $100;
(C)
If the personal financial disclosure is filed or corrected after the filing of any complaint alleging an insufficient filing of a personal financial disclosure, so long as the disclosure is submitted at least 30 days prior to the first election in which the candidate is running, the fine is at least $250;
(D)
If the personal financial disclosure is filed or corrected fewer than 30 days before the election in which the candidate is running, the fine is at least $500;
(E)
If the candidate or incumbent is defeated or withdraws and the personal financial disclosure was not corrected, the fine will be at least $500; or
(F)
If the personal financial disclosure is corrected after the election, and the respondent was not defeated or did not withdraw, the fine is at least $1,000.
(4)
Failure to file an initial disclosure report or an annual update as required under section
24-6-202
, C.R.S.
(A)
If the disclosure report is filed within 14 days of due date, the fine is at least $50;
(B)
If the disclosure report is filed within 28 days of due date, the fine is at least $100;
(C)
If the disclosure report is filed more than 28 days late but at least 30 days prior to an election in which the official is running, the fine is at least $500; or
(D)
If the disclosure report is filed after an election in which the official is running, the fine is at least $1,000.
(5)
Filing an inaccurate or incomplete personal financial disclosure or failure to correct an inaccurate or incomplete personal financial disclosure could result in criminal and civil penalties under section
24-6-202
(7)
, C.R.S.
(c)
Prohibited contributions, donations, and expenditures
(1)
For accepting a prohibited contribution including accepting an amount that exceeds a contribution limit or making prohibited expenditures, the fine is at least $100 and 10 percent of the prohibited activity:
(2)
Prohibited use of unspent campaign funds and exceeding voluntary contribution limits
(A)
A fine of at least $250 per violation; and
(B)
A fine that is up to 25 percent of the amount of the prohibited activity.
(d)
Disclaimer and electioneering communications
(1)
If noncompliant communication is mitigated prior to the election: a fine of at least 5 percent cost of the noncompliant communication including cost to broadcast; or
(2)
If noncompliant communication is not mitigated prior to the election: a fine of at least 10 percent of the cost of the communication including cost to broadcast.
(e)
Violations by the state or a political subdivision under section
1-45-117
, C.R.S.
(1)
If the violation is cured before the election but there was no substantial compliance, the fine will be at least $500;
(2)
If the violation is not cured before the election, the fine will be at least $1,000; or
(3)
If the amount of funds improperly used is ascertainable, the fine will be at least three times the amount of the improperly used funds.
(f)
Other violations of campaign and political finance rules and regulations will be assessed penalties based on the circumstances of the violations and factors outlined in Rule 23.3.4.
23.3.4
Specific action(s)
(a)
In addition to monetary fines the deputy secretary of state or assignee may seek a specific action(s) from the respondent. Specific actions may include:
(1)
Registering as a committee or candidate in TRACER;
(2)
Return or donation of prohibited contribution or disgorgement of the value of the improper conduct;
(3)
Filing or amending disclosure reports;
(4)
Inclusion or correction of disclaimer on the communication; or
(5)
Other specific performance or terms that may be warranted.
23.3.5
The elections division may also consider the follow mitigating and aggravating factors:
(a)
Nature and extent of the violation;
(b)
Timing of the violation (including proximity to the election);
(c)
Ability or effort to mitigate the violation;
(d)
Evidence of an intentional act or a pattern or practice of misconduct;
(e)
Extent to which the harm cause by the violation or the value of the violation cannot be reasonably calculated; or
(f)
Other aggravating or mitigating factors may be taken into consideration in reaching a just and equitable outcome.
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