PROPOSED RULES

At its June 27, 2018, meeting, the Texas Ethics Commission voted to propose the following new or amended rules: §§ 16.1, 16.2, 16.3, 16.4, 16.5, 16.6, 16.7, 16.8, 16.9, 16.10, 16.11, and 18.7. The text of the new and amended rules is located below.

The Commission invites public comment on the proposals. A written statement should be emailed to public_comment@ethics.state.tx.us, or mailed or delivered to Seana Willing, Texas Ethics Commission, P.O. Box 12070, Austin, Texas 78711-2070, or sent by facsimile (FAX) to (512) 463-5777. A person who wants to offer spoken comments to the Commission concerning a proposed rule may do so during the public comment period at the Commission meeting when the Commission considers the proposed rule. Information concerning the time and location of Commission meetings is available at http://www.ethics.state.tx.us/tec/meetings.htm.

§ 16.1.  Definitions.
Text of Proposed Rule

§ 16.2. Random Selection.
Text of Proposed Rule

§ 16.3. Corrected or Amended Report Filed During a Facial Compliance Review; Late Fines.
Text of Proposed Rule

§ 16.4.  Additional Documents and Information Submitted in Response to a Facial Compliance Review; Timeliness.
Text of Proposed Rule

§ 16.5. Commission Initiated Preliminary Review or Audit Resulting from a Facial Compliance Review.
Text of Proposed Rule

§ 16.6. Notice of Audit of Report.
Text of Proposed Rule

§ 16.7. Supporting Documentation in Response to Audit; Timeliness.
Text of Proposed Rule

§ 16.8. Complete Audit Reports.
Text of Proposed Rule

§ 16.9. Representation by Attorneys.
Text of Proposed Rule

§ 16.10. Extension of Deadlines.
Text of Proposed Rule

§ 16.11. Waiver of Delivery by Certified Mail.
Text of Proposed Rule

§ 18.7. Timely Reports and Complete Reports.
Text of Proposed Rule


§ 16.1.  Definitions.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.1. Definitions.

The following words and terms, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise.


§ 16.2.  Random Selection.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.2. Random Selection.

The report subject to a facial compliance review must be randomly selected from a list of all reports filed by a particular filer type for a specific filing deadline.


§ 16.3.  Corrected or Amended Report Filed During a Facial Compliance Review; Late Fines.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.3. Corrected or Amended Report Filed During a Facial Compliance Review; Late Fines.

(a) A correction filed for the report that is subject to the facial compliance review will not be subject to a late fine if:

(b) A late fine will not be assessed for corrections filed to correct reporting errors made in any report filed prior to the report that is subject to the facial compliance review if:

(c) A correction filed in accordance with this section will not be considered a prior late offense for purposes of determining the waiver or reduction of a fine under chapter 18 of this title.


§ 16.4.  Additional Documents and Information Submitted in Response to a Facial Compliance Review; Timeliness.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.4. Additional Documents and Information Submitted in Response to a Facial Compliance Review; Timeliness.

(a) The commission may request from a filer documentation and other information used by the filer to compile a report that is subject to a facial compliance review.

(b) Documentation and other information requested by the commission is timely submitted if received by the commission not later than the 30th day after the date the filer receives the request for additional documentation. 


§ 16.5.  Commission Initiated Preliminary Review or Audit Resulting from a Facial Compliance Review.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.5. Commission Initiated Preliminary Review or Audit Resulting from a Facial Compliance Review.

(a) The commission may initiate a preliminary review as authorized by §571.124 of the Government Code or perform a complete audit of a report that is subject to a facial compliance review under §571.069 of the Government Code if:


§ 16.6.  Notice of Audit of Report.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.6. Notice of Audit of Report.

The commission shall notify a filer that the commission will perform a complete audit of a report that is the subject of a facial compliance review not later than the seventh day after the date the commission votes to initiate the audit.


§ 16.7.  Supporting Documentation in Response to Audit; Timeliness.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.7. Supporting Documentation in Response to Audit; Timeliness.

(a) A filer must submit to the commission, upon request and where applicable, supporting documentation in the possession, custody, or control of the filer or filer’s agents that contains information necessary for filing the report that is subject to the audit, such as:

(b) A filer must submit to the commission the supporting documentation in response to an audit not later than the 30th business day from the date the filer receives notice of the audit.


§ 16.8.  Complete Audit Reports.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.8. Complete Audit Report.

(a) Commission staff must complete a draft audit report not later than the 30th day after the commission receives from the filer the documentation requested under §16.6.

(b) The filer must have an opportunity to confer and object in writing to any findings in the draft audit report before it is submitted to the commission for approval.

(c) Commission staff must consider the filer’s objections before submitting the draft audit report to the commission for approval.

(d) Upon approval of an audit, the commission shall send to the filer a final audit report that includes:

(e) A filer must correct or amend a report to correct all deficiencies identified in a complete audit report not later than the 30th day from the date the filer receives the complete audit report. 


§16.9.  Representation by Attorneys.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.9. Representation by Attorney.

(a) A filer has the right to be represented by an attorney retained by the filer during a facial compliance review or an audit initiated by the commission as a result of a facial compliance review. 

(b) A letter of representation must be submitted to the commission if the filer is represented by an attorney.


§ 16.10.  Extension of Deadlines.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.10. Extension of Deadlines.

The executive director may extend all deadlines related to this chapter except as provided by §571.069(a) of the Government Code (relating to when a corrected or amended report is considered filed as of the date the report was originally filed).


§ 16.11.  Waiver of Delivery by Certified Mail.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 16. FACIAL COMPLIANCE REVIEWS AND AUDITS.

§16.11. Waiver of Delivery by Certified Mail.

A filer may waive the right under §571.032 of the Government Code to receive written notices related to a facial compliance review or audit by registered or certified mail, restricted delivery, return receipt requested, and may agree to receive written notices by first class mail, electronic mail, or other means.


§ 18.7.  Timely Reports and Complete Reports.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 18. GENERAL RULES CONCERNING REPORTS.

§18.7. Timely Reports and Complete Reports.

(a) A report is timely if it is complete and is filed by the applicable deadline using the reporting method required by law.

(b) The deadline for any report filed electronically with the commission is midnight Central Time Zone on the last day for filing the report under the law requiring the filing of the report.

(c) A report is late if it is:

(d)  A report filed electronically is not late if:

 
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