Wisconsin Administrative Code Funeral Directors Examining Board
Wisconsin Administrative Code – Ethics Commission
Overview
The Wisconsin Ethics Commission is a state agency tasked with administering and enforcing laws related to:
Ethical conduct of public officials and employees
Lobbying
Campaign finance
It operates under the authority of Wisconsin Statutes Chapter 19 (Subchapter III – Code of Ethics for Public Officials and Employees) and Chapter 13 (Lobbying). The Wisconsin Administrative Code, primarily in chapters ETH 1 through ETH 26, supplements these statutes with detailed procedural and substantive rules.
Key Functions and Regulatory Areas
1. Code of Ethics for Public Officials and Employees
Found in Wis. Stat. § 19.41–19.59 and implemented via the ETH code chapters.
Covers conflicts of interest, use of office for private gain, acceptance of gifts, and financial disclosure.
Applies to state officials, public employees, legislators, and candidates.
Key Rule Areas:
ETH 1: Definitions and general interpretation
ETH 2–5: Statements of economic interests and financial disclosure
ETH 6–10: Procedures for investigations and complaints
ETH 21–26: Lobbying registration and reporting
2. Statements of Economic Interests (SEIs)
Required annually from certain public officials and candidates.
Disclosures include income sources, business interests, property holdings, and other financial ties.
ETH rules specify how SEIs are filed, amended, and reviewed.
3. Gifts and Honoraria
Officials may not accept items of value intended to influence official actions.
ETH rules provide exceptions (e.g., items of nominal value, educational materials).
ETH also provides guidance on "inadvertent" gifts and the process for returning or donating them.
4. Lobbying Regulation
Lobbyists must register with the Commission and report their activity.
ETH chapters 21 through 26 detail:
Registration procedures
Reporting deadlines
Limits on gifts and campaign contributions
Lobbyists may not make political contributions to certain officials during the legislative session.
5. Investigations and Enforcement
The Commission has authority to investigate ethics complaints, initiate proceedings, and impose civil penalties.
ETH rules outline:
Complaint procedures
Confidentiality provisions
Settlement and stipulation processes
Relevant Wisconsin Case Law
Case 1: State ex rel. Deisinger v. Wisconsin Ethics Board, 2000 WI 70, 236 Wis. 2d 617, 613 N.W.2d 512
Issue: Whether the Ethics Board exceeded its authority in issuing an advisory opinion on lobbying.
Holding: The Wisconsin Supreme Court upheld the Board’s authority to issue advisory opinions and clarified that such opinions are binding unless clearly erroneous.
Significance: Affirms the Ethics Commission’s quasi-judicial role in interpreting ethics laws.
Case 2: Zimmerman v. Wisconsin Ethics Board, 2002 WI App 94, 253 Wis. 2d 591, 644 N.W.2d 47
Issue: Challenge to a civil penalty imposed for failure to timely file a Statement of Economic Interests.
Holding: The Court of Appeals upheld the penalty, stating the requirement was mandatory and enforcement within the Commission’s discretion.
Significance: Highlights the importance of procedural compliance with ETH rules.
Case 3: State v. Chvala, 2004 WI App 53, 270 Wis. 2d 451, 678 N.W.2d 880
Issue: Use of state resources for campaign purposes.
Facts: A legislator was prosecuted for using state staff and offices for political campaign activities, a violation of ethics laws.
Holding: The court confirmed that such conduct violated both statutory ethics rules and administrative code provisions.
Significance: Demonstrates the enforcement of ethical conduct rules and intersection with criminal liability.
Case 4: Wisconsin Ethics Commission v. Friends of John Doe, 2018 WI App 112
Issue: Confidentiality in ethics investigations and public access to investigative materials.
Holding: The court reinforced the Ethics Commission’s authority to maintain confidentiality during active investigations, as per ETH rules.
Significance: Emphasizes the legal protections around the investigatory process.
Legal Principles Under the Ethics Commission Rules
| Principle | Explanation | Case Example |
|---|---|---|
| Binding Advisory Opinions | Ethics Commission opinions are legally significant | Deisinger v. Ethics Board |
| Mandatory Disclosure Compliance | Failure to file SEIs can result in fines | Zimmerman v. Ethics Board |
| Use of Public Office | Use of public resources for political gain is prohibited | State v. Chvala |
| Confidential Investigations | Ethics investigations are confidential until formally concluded | Ethics Commission v. Friends of John Doe |
Summary of Key Requirements under ETH Rules
| Topic | Regulation | Requirement |
|---|---|---|
| SEI Filing | ETH 2–5 | Public officials must file annual SEIs |
| Gift Acceptance | ETH 6 | Most gifts prohibited unless exceptions apply |
| Lobbying | ETH 21–26 | Lobbyists must register, report, and avoid conflicts |
| Complaint Process | ETH 10 | Formal complaint process with confidentiality |
| Investigations | ETH 6–10 | Commission investigates and may impose penalties |
Enforcement Powers
The Commission can:
Conduct audits and investigations
Impose civil forfeitures
Refer cases for criminal prosecution under Chapter 19
Appeals of Commission decisions may go to Wisconsin Circuit Courts under Chapter 227 (Administrative Procedure Act).
Conclusion
The Wisconsin Ethics Commission, through the Administrative Code (ETH Chapters), plays a critical role in ensuring accountability, transparency, and integrity in state government. The administrative rules provide structure for disclosures, lobbying, gift restrictions, and enforcement procedures. Wisconsin courts have consistently upheld the Commission’s authority and the enforceability of its rules, affirming its central role in maintaining ethical governance.
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