D.C. Mun. Regs. r. 3-5535

Current through Register Vol. 71, No. 24, June 14, 2024

Rule 3-5535 - SCHEDULE OF FINES

5535.1

Upon a determination, pursuant to § 5530.8, that a violation has occurred, the Director may ministerially impose a fine upon the respondent with each allegation constituting a separate violation.

5535.2

Fines shall be imposed as follows:

(a) Failure to follow the process for accepting gifts and donations established in D.C. Official Code § 1-329.01: not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000) per violation;

(b) Participating personally and substantially in a particular matter that could affect the employee's own financial interests, in violation of D.C. Official Code § 1-1162.23(a): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(c) Participating personally and substantially in a particular matter that could affect the financial interests of the employee's spouse or registered domestic partner, in violation of D.C. Official Code § 1-1162.23(a): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(d) Participating personally and substantially in a particular matter that could affect the financial interests of the employee's dependent children, in violation of D.C. Official Code § 1-1162.23(a): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(e) Participating personally and substantially in a particular matter that could affect the financial interests of any entity or organization in which the employee serves as an officer, director, trustee, general partner, or employee, in violation of D.C. Official Code § 1-1162.23(a): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(f) Participating personally and substantially in a particular matter that could affect the financial interests of anyone with whom the employee is negotiating or has any arrangement concerning prospective employment, in violation of D.C. Official Code § 1-1162.23(a): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(g) Working on a matter that involves a nongovernmental organization in which the employee or a family member has a financial interest, in violation of D.C. Official Code § 1-1162.23(a): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(h) Using his or her official position or title in a manner that the employee knows is likely to have a direct and predictable effect on the employee's own financial interests, in violation of D.C. Official Code § 1-1162.23(a): not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000) per violation;

(i) Using his or her official position or title in a manner that the employee knows is likely to have a direct and predictable effect on the financial interests of a person or entity that is closely affiliated with the employee, in violation of D.C. Official Code § 1-1162.23(a): not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000) per violation;

(j) Using his or her official position or title to personally and substantially participate in any particular matter that the employee knows is likely to have a direct and predictable effect on the employee's own financial interests, in violation of D.C. Official Code § 1-1162.23(a): not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000) per violation;

(k) Using his or her official position or title to personally and substantially participate in any particular matter that the employee knows is likely to have a direct and predictable effect on the financial interests of a person or entity that is closely affiliated with the employee, in violation of D.C. Official Code § 1-1162.23(a): not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000) per violation;

(l) Performing an official duty, as a District government employee, if the employee or a member of the employee's household has real property, stocks, bonds, commodities, or other property that could unduly influence or give the appearance of unduly influencing the employee in the conduct of his or her official duties and responsibilities, in violation of D.C. Official Code § 1-1162.23(a) and § 1-1162.23(d)(2)(A): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(m) Member(s) of an employee's household acquiring stocks, bonds, commodities, real estate, or other property, the acquisition of which could unduly influence or give the appearance of unduly influencing the employee in the conduct of his or her official duties and responsibilities, in violation of D.C. Official Code § 1-1162.23(d)(2)(A): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(n) Acquiring an outside business or business interest that is related directly to the employee's official duties, official action, recommendation, or which is related to matters over which the employee could wield any influence, official or otherwise, in violation of D.C. Official Code § 1-1162.23(d)(2)(B): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(o) Member(s) of an employee's household acquiring an outside business or business interest that is related directly to the employee's official duties, official action, or recommendation, or which is related to matters over which the employee could wield any influence, official or otherwise, in violation of D.C. Official Code § 1-1162.23(d)(2)(B): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(p) Acquiring stocks, bonds, commodities, real estate, or other property, the acquisition of which could unduly influence or give the appearance of unduly influencing the employee in the conduct of his or her official duties and responsibilities, in violation of D.C. Official Code § 1-1162.23(d)(2)(A): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(q) Using official authority or influence for the purpose of interfering with or affecting the result of an election, in violation of D.C. Official Code § 1-1171.02(a)(1): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(r) Knowingly soliciting, accepting, or receiving a political contribution from any person, in violation of D.C. Official Code § 1-1171.02(a)(2): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(s) Filing as a candidate for election to a partisan political office in a District-regulated election, in violation of D.C. Official Code § 1-1171.02(a)(3): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(t) Knowingly directing, or authorizing anyone else to direct, any subordinate to participate in an election campaign or requesting a subordinate to make a political contribution, in violation of D.C. Official Code § 1-1171.02(a)(4): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(u) Knowingly directing, or authorizing anyone else to direct, that any subordinate participate in an election campaign or requesting a subordinate to make a political contribution, in violation of D.C. Official Code § 1-1171.02(a)(4): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(v) Working on any political campaign or engaging in any other type of political activity while at work or otherwise on duty, in violation of D.C. Official Code § 1-1171.03(a)(1): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(w) Engaging in any political activity during work hours, in violation of D.C. Official Code § 1-1171.03(a)(1): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(x) Engaging in political activity in a D.C. government building as prohibited by D.C. Official Code § 1-1171.03(a)(2): not less than one hundred dollars ($100) nor more than two thousand five dollars ($2,500) per violation;

(y) Engaging in political activity while in a District government uniform or official insignia, in violation of D.C. Official Code § 1-1171.03(a)(3): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(z) Engaging in political activity in a D.C. government vehicle, in violation of D.C. Official Code §§ 1-1171.03(a)(4): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(aa) Using District government resources to coerce, explicitly or implicitly, any subordinate employee to engage in political activity, in violation of D.C. Official Code § 1-1171.03(b): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(bb) Serving as an officer or director of an outside entity when there is a reasonable likelihood that such entity might be involved in the employee's District work, in violation of District Personnel Manual (DPM) § 1807.1 (d): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(cc) Serving as an officer or director of an outside entity or organization when there is a reasonable likelihood that such entity will be involved in an official government action or decision that the employee would take or recommend, in violation of DPM § 1807.1(d): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(dd) Using information that is not available to the public for personal benefit, in violation of DPM § 1800.3(c): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(ee) Using information that is not available to the public for any nongovernmental purpose, in violation of DPM § 1800.3(c): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(ff) Permitting others to use information that is not available to the public for personal benefit, in violation of DPM § 1800.3(c): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(gg) Permitting others to use information that is not available to the public for any non-governmental purpose, in violation of DPM § 1800.3(c): not less than one hundred dollars ($100) nor more than five thousand dollars ($5,000) per violation;

(hh) Engaging in outside activities that conflict with the employee's official government duties and responsibilities, in violation of DPM § 1800.3(j): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(ii) Failure to report waste, fraud, abuse of authority, violations of law, or threats to public health or safety, in violation of DPM § 1801.1: not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(jj) Being employed by the District government and failing to report credible violations of the District Code of Conduct, in violation of DPM § 1801.1: not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(kk) Interfering with or obstructing any investigation conducted by a District or federal agency, in violation of DPM § 1801.2: not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000) per violation;

(ll) Failure to fully cooperate with any investigation, enforcement action, or other official function of the Office of Government Ethics, in violation of DPM § 1801.3: not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000) per violation;

(mm) Taking coercive, harassing, or retaliatory action against any employee acting in good faith, in violation of DPM § 1801.4: not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000) per violation;

(nn) Coercing, harassing, or retaliating against any employee who reasonably believes there has been a violation or misuse of resources and discloses that to a supervisor or a public body, in violation of DPM § 1801.4: not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000) per violation;

(oo) Accepting a gift from a prohibited source, in violation of DPM § 1803.2 (a): not less than one thousand dollars ($1,000) nor more than two thousand five hundred dollars ($2,500) per violation;

(pp) Soliciting a gift from a prohibited source, in violation of DPM § 1803.2 (a): not less than two thousand dollars ($2,000) nor more than four thousand dollars ($4,000) per violation;

(qq) Soliciting or coercing the offering of a gift, in violation of DPM § 1803.2 (b): not less than two thousand five hundred dollars ($2,500) nor more than five thousand dollars ($5,000) per violation;

(rr) Accepting a gift in return for being influenced in the performance or nonperformance of an official act, in violation of DPM § 1803.3 (a): not less than two thousand five hundred dollars ($2,500) nor more than five thousand dollars ($5,000) per violation;

(ss) Taking any action to pressure or coerce other District government employees into contributing monetarily to a private cause, in violation of DPM § 1803.3 (b): not less than five hundred dollars ($500) nor more than three thousand dollars ($3,000) per violation;

(tt) Accepting a salary or anything of monetary value from a private source as compensation for services to the government, in violation of DPM § 1803.8: not less than one thousand five hundred dollars ($1,500) nor more than three thousand five hundred dollars ($3,500) per violation;

(uu) Soliciting a salary or anything of monetary value from a private source as compensation for services to the government, in violation of DPM § 1803.8: not less than two thousand dollars ($2,000) nor more than four thousand dollars ($4,000) per violation;

(vv) Accepting, directly or indirectly, a gift from a District employee who earns a lower salary, in violation of DPM § 1804.3: not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000) per violation;

(ww) Coercing a gift from a District employee with a lower salary, in violation of DPM § 1804.4: not less than five hundred dollars ($500) nor more than one thousand five hundred dollars ($1,500) per violation;

(xx) Acquiring any stocks, bonds, commodities, real estate, or other property, the possession of which could unduly influence or give the appearance of unduly influencing the employee in the conduct of his or her official duties and responsibilities, in violation of DPM § 1805.8(a): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(yy) Acquisition by members of the employee's household of any stocks, bonds, commodities, real estate, or other property, the possession of which could unduly influence or give the appearance of unduly influencing the employee in the conduct of his or her official duties and responsibilities, in violation of DPM § 1805.8(a): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(zz) Acquiring an interest in or operating any business which is in any way related to the employee's official duties, official action, recommendation, or which is in any way related to matters over which the employee could wield any influence, official or otherwise, in violation of DPM § 1805.8 (b): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(aaa) Acquisition by members of an employee's household of an interest in or operating any business which is in any way related to the employee's official duties, official action, recommendation, or which is in any way related to matters over which the employee could wield any influence, official or otherwise, in violation of DPM § 1805.8(b): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(bbb) Directly or indirectly making a hiring decision regarding a position within his or her own agency with respect to a relative, in violation of DPM § 1806.3: not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(ccc) Taking any action to appoint, employ, promote, evaluate, interview, or advance any individual who is a relative, in violation of DPM § 1806.3: not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(ddd) Engaging in any outside employment, private business activity, or other interest that is reasonably likely to interfere with the employee's ability to perform his or her job, or which may impair the efficient operation of the District government, in violation of DPM § 1807.1(a): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(eee) Gambling while on duty and while on District government owned or leased property (other than as permitted), in violation of DPM § 1807.1(b): not less than one hundred dollars ($100) nor more than two thousand dollars ($2,000) per violation;

(fff) Using District government time to raise money for a private cause, in violation of DPM § 1807.1(b): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(ggg) Using District government property to raise money for a private cause, in violation of DPM § 1807.1(b): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(hhh) Ordering, directing, or requesting subordinate officers or employees to perform during regular working hours any personal services not related to official District government functions and activities, in violation of DPM § 1807.1(c): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(iii) Maintaining financial or economic interest in or serving as an officer or director of an outside entity if there is any likelihood that such entity might be involved in an official government action or decision taken or recommended by the employee, in violation of DPM § 1807.1(d): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(jjj) Engaging in outside employment, private business activity, or other interest which permits an employee to capitalize on his or her official title or position, in violation of DPM § 1807.1(e): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(kkk) Engaging in outside employment, private business activity, or other interest which permits others to capitalize on his or her official title or position, in violation of DPM § 1807.1(e): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(lll) Divulging any official government information to any unauthorized person or in advance of its authorized issuance, or making use of or permitting others to make use of information not available to the general public, in violation of DPM § 1807.1(f): not less than five hundred dollars ($500) nor more than two thousand five hundred dollars ($2,500) per violation;

(mmm)Engaging in any outside employment, private business activity, or other interest which might impair an employee's mental or physical capacity that he can no longer carry out his duties and responsibilities in a proper and efficient manner, in violation of DPM § 1807.1(g): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(nnn) Serving in a representative capacity, agent, or attorney for any outside entity involving any matter before the District government, in violation of DPM § 1807.1(h): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(ooo) Contracting through an organization that the employee controls or substantially owns with the District government, in violation of DPM § 1807.1(h): not less than five hundred dollars ($500) nor more than three thousand dollars ($3,000) per violation;

(ppp) Engaging in any outside employment, private business activity, or other interest which is in violation of federal or District law, in violation of DPM § 1807.1(i): not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500) per violation;

(qqq) Misusing District government property for other than authorized purposes, in violation of DPM § 1808.1: not less than one hundred dollars ($100) nor more than two thousand dollars ($2,000) per violation;

(rrr) Permitting others to misuse District government property for other than authorized purposes, in violation of DPM § 1808.1: not less than one hundred dollars ($100) nor more than two thousand dollars ($2,000) per violation;

(sss) Failure to comply with all applicable Financial Disclosure Statement filing requirements, in violation of DPM § 1810.4 (e) or Council Code of Conduct XI (c): not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000) per violation;

(ttt) Knowingly acting as an attorney, agent, or representative, at any time after leaving District employment, in any formal or informal appearance before an agency as to a particular matter involving a specific party or parties in which the employee personally and substantially worked on while a District government employee, in violation of DPM § 1811.3: not less than five hundred dollars ($500) nor more than three thousand dollars ($3,000) per violation;

(uuu) Making any oral or written communication to an agency, at any time after leaving District employment, with the intent to influence that agency on behalf of another person as to a particular matter involving a specific party or parties on which the employee personally and substantially participated while a District government employee, in violation of DPM § 1811.4: not less than five hundred dollars ($500) nor more than three thousand dollars ($3,000) per violation;

(vvv) Knowingly acting as an attorney, agent, or representative, within two years of leaving District employment, in any formal or informal matter before an agency if he or she previously had official responsibility for that matter during the last year the employee worked for the District, in violation of DPM § 1811.5: not less than five hundred dollars ($500) nor more than three thousand dollars ($3,000) per violation; and

(www) Knowingly representing or aiding, counseling, advising, consulting, or assisting in representing any other person, within two years of leaving District employment, by personal appearance before an agency as to a particular government matter involving a specific party if the former employee participated personally and substantially in that matter during the last year the employee worked for the District, in violation of DPM § 1811.8: not less than five hundred dollars ($500) nor more than three thousand dollars ($3,000) per violation.

(xxx) Failing to act impartially and giving preferential treatment to any private organization or individual in violation of DPM § 1800.3(h): not less than five hundred dollars ($500) nor more than three thousand dollars ($3,000) per violation.

5535.3

The aggregate set of the penalties imposed against each person under the Director's authority pursuant to §§ 5535.1 and 5535.2 may not exceed five thousand dollars ($5,000).

5535.4

Any fine imposed by the Director, pursuant to §§ 5535.1 and 5535.2, shall become effective on the sixteenth (16th) day following the issuance of a decision and order; provided, that, the respondent does not request a hearing pursuant to § 5530.11.

5535.5

The Director may modify, rescind, dismiss, or suspend any fine imposed, pursuant to §§ 5535.1 and 5535.2, for good cause shown.

5535.6

Fines imposed pursuant to this chapter shall be paid within ten (10) days of the effective date of the issuance of an Order of the Director. Payment by check or money order shall be payable to the D.C. Treasurer, and directed to the Board of Ethics and Government Accountability, 441 4th Street N.W., Suite 830 South, Washington, D.C. 20001.

D.C. Mun. Regs. r. 3-5535

Final Rulemaking published at 65 DCR 7038 (6/29/2018)