Section 40IAC2-4-2. Processing violations

   (a) This section shall apply to the processing of violations under IC 4-2-6-8.

  (b) The following are procedures for staff audit:

(1) After financial disclosure statements are submitted, the staff will review and audit all forms to ensure that they are complete, legible, and filed properly and in a timely manner. The staff person conducting this audit will examine each statement to determine that all information required is complete according to instructions and that all necessary information is included.

(2) If a statement is not complete, the staff person will notify the person who filed the statement and afford the person the opportunity to provide the requested information or the form may be returned to the person for completion.

(3) At the discretion of the director, a field audit to examine the accounts and documents supporting the information on the financial disclosure statement may be conducted.

  (c) The following are procedures in the event of failure to comply:

(1) Whenever a person required to file has not done so, the commission shall initiate an investigation and conduct its proceedings in compliance with IC 4-2-6-4(b)(2)(C).

(2) An investigation under this subsection shall remain confidential until the commission finds probable cause to believe that a violation of IC 4-2-6-8 has occurred.

(3) If at the conclusion of its investigation the commission determines that probable cause exists to believe that a violation of IC 4-2-6-8 has occurred, the respondent shall be notified that, subject to the approval of the commission, he or she may consent to an entry of a finding that he or she has committed a violation as alleged and further consent to the imposition of a penalty or a fine as determined under IC 4-2-6-8(d) through IC 4-2-6-8(e). Such consent shall be filed on a form provided by the commission and shall contain a waiver of the respondent's right to appear at a public hearing. If the respondent consents and the commission, by majority vote, accepts the consent entry, the commission may impose the penalties listed in IC 4-2-6-8(d) through IC 4-2-6-8(e).

(4) In the event the respondent fails to consent to a finding of a violation, the commission shall convene a public hearing under IC 4-2-6-4(b)(2)(D) through IC 4-2-6-4(b)(2)(E) and under IC 4-2-6-4(b)(2)(G) through IC 4-2-6-4(b)(2)(H) and may impose sanctions under IC 4-2-6-8(d) through IC 4-2-6-8(e).

  (d) Any fines imposed by the commission shall be made payable to the state of Indiana and submitted to the state ethics commission. (State Ethics Commission; 40 IAC 2-4-2; filed Oct 22, 1991, 11:10 a.m.: 15 IR 210; readopted filed Aug 2, 2001, 3:15 p.m.: 24 IR 4227; readopted filed Nov 29, 2007, 11:14 a.m.: 20071226-IR-040070658RFA; readopted filed Sep 30, 2013, 1:33 p.m.: 20131030-IR-040130243RFA)