199-008-0005
Definitions of terms in ORS Chapter 244

(1) The purpose of this rule is to define certain terms and to clarify substantive provisions of ORS Chapter 244.

(2) The term “official duties” means that the public official's actions are directly related to serving the state of Oregon or any of its political subdivisions or any other public body as a public official.

(3) The term “official compensation package” means the wages and other benefits provided to the public official. To be part of the public official's “official compensation package”, the wages and benefits must have been specifically approved by the public body in a formal manner, such as through a union contract, an employment contract, or other adopted personnel policies that apply generally to employees or other public officials. “Official compensation package” also includes the direct payment of a public official's expenses by the public body, in accordance with the public body's policies.

(4) The term “reimbursement of expenses” means the payment by a public body to a public official serving that public body, of expenses incurred in the conduct of official duties on behalf of the public body. Any such repayment must comply with any applicable laws and policies governing the eligibility of such repayment. Expenses paid by the public body to their own public officials need not be reported by the public official under ORS 244.060.

(5) “Confidential information” means any record that is exempt from public disclosure or inspection under state law, or any information obtained in the course of or by reason of holding position as a public official that is not publicly disclosed. The record or information is no longer confidential if it has been voluntarily disclosed by the public body, or been disclosed through a public records disclosure order or court order.

(6) As used in ORS 244.047, a public contract is “authorized by” a public official if the public official performed a significant role in the selection of a contractor or the execution of the contract. A significant role can include recommending approval or signing of the contract, including serving on a selection committee or team, or having the final authorizing authority for the contract.

(7) As defined in ORS 244.020(15), a public official includes anyone serving the State of Oregon or any of its political subdivisions or any other public body in any of the listed capacities, including as an “agent.” An “agent” means any individual performing governmental functions. Governmental functions are services provided on behalf of the government as distinguished from services provided to the government. This may include private contractors and volunteers, depending on the circumstances. This term shall be interpreted to be consistent with Attorney General Opinion No. 8214 (1990).

(8) “Ministerial Acts” as used in ORS 244.177 means any act that a public official may take in the ordinary course of performing their official duties that has no financial impact on a relative or household member who seeks employment with, is employed by, or who otherwise serves the same public body.  Such acts may include taking meeting minutes, notarizing documents, taking messages,  filing or duplicating documents.

Statutory/Other Authority: ORS 244.290
Statutes/Other Implemented: ORS 244.020, 244.047, 244.040, 244.042, 244.177 & 244.045
History:
GEC 13-2021, amend filed 12/07/2021, effective 12/30/2021
GEC 9-2021, renumbered from 199-005-0035, filed 07/29/2021, effective 07/30/2021
GEC 1-2010, f. 3-12-10, cert. ef. 3-15-10
GEC 2-2008, f. & cert. ef. 3-7-08

199-008-0008
Policy Specifying when a Public Official acting in an Official Capacity may Directly Supervise a Relative or Member of Household under ORS 244.179

(1) The purpose of this rule is to provide guidance to a public body in creating and adopting a policy that specifies when a public official acting in an official capacity may directly supervise a person who is a relative or member of the household of the public official.

(2) A policy that specifies when a public official acting in an official capacity may directly supervise a relative shall be in writing and shall be formally adopted by the public body that the public official serves.

(3) A policy that specifies when a public official acting in an official capacity may directly supervise a relative shall comply with the other provisions of ORS Chapter 244. Any such policy shall provide for delegation to another person of any task that would constitute a prohibited use of office for financial gain pursuant to ORS 244.040(1) or a conflict of interest pursuant to ORS 244.120. The policy shall provide a method that complies with ORS 244.120 for the supervising public official to handle conflicts of interest when called upon to take actions or make decisions or recommendations regarding the financial interests of the relative or member of household who is being supervised. Examples of tasks that might constitute prohibited use of office or a conflict of interest if performed by a public official for a relative or member of household who the public official was supervising may include:

(a) Performing or approving an annual review or performance evaluation

(b) Signing a paycheck for a relative or member of household

(c) Signing a personnel action form providing for a change in salary or benefits for the relative or member of household

(d) Assigning shifts where there is discretion as to number of hours, differential pay rates, locations or overtime

(e) Approving overtime or expenses

(4) Nothing in this rule shall be construed to allow a public official to perform any of the tasks prohibited by ORS 244.177 regarding employing a relative or member of household. ORS 244.177(1)(a) prohibits a public official, except as otherwise provided, from appointing, employing or promoting a relative or member of the household to, or discharging, firing, or demoting a relative or member of the household from, a position with the public body that the public official serves or over which the public official exercises jurisdiction or control, unless the public official complies with the conflict of interest requirements of ORS Chapter 244. ORS 244.177(1)(b) prohibits a public official from participating as a public official in any interview, discussion or debate regarding the appointment, employment or promotion of a relative or member of the household to, or the discharge, firing or demotion of a relative or member of the household from, a position with the public body that the public official serves or over which the public official exercises jurisdiction or control. For further definitions and exceptions, see ORS 244.177.

Statutory/Other Authority: ORS 244.290
Statutes/Other Implemented: ORS 244.179
History:
GEC 9-2021, renumbered from 199-005-0080, filed 07/29/2021, effective 07/30/2021
GEC 4-2016, f. & cert. ef. 11-17-16

199-008-0014
Guidelines on How Multiple Violations Will Be Charged

The Commission will identify each action that appears to constitute a violation of ORS Chapter 244 and when multiple violations are committed will charge them in the following manner:

(1) When a public official appears to have committed two or more violations by multiple equivalent actions, the Commission will charge the public official with a single violation and count the repeated actions using the number of the equivalent acts as aggravating factors when imposing any sanction. The following examples are offered to illustrate this rule and not meant to limit its application:

(a) Each occasion a public official uses the government agency’s equipment (vehicle, tractor, chainsaw, trailer, etc.) for personal purposes could be a distinct violation of ORS 244.040(1). If a public official makes equivalent personal use of the agency’s equipment on two or more occasions, the multiple violations will be combined into the charge of one violation with each additional personal use of equipment being counted as an equivalent action.

(b) Each occasion a public official uses the government agency’s resources (storage space, fuel, cash or other financial transactions, internet connection, computer, etc.) for personal purposes could be a violation of ORS 244.040(1). If a public official makes equivalent personal use of the agency’s resources on two or more occasions, the multiple violations will be combined into the charge of one violation with each additional personal use of the resource being counted as an equivalent action.

(c) Each time a public official is met with an actual or potential conflict of interest, as defined in ORS 244.020, and fails to disclose the nature of the conflict the public official could violate 244.120. If a public official, under similar circumstances, fails to disclose the nature of the same conflict of interest on two or more occasions, the multiple violations will be combined into the charge of one violation with each additional failure to disclose the nature being counted as an equivalent action.

(2) When two or more single violations are charged as one violation, each additional violation by this rule will be counted as equivalent acts. Each of the equivalent acts will be identified as an aggravating factor and included in the calculation of any assessment of a civil penalty or forfeiture that would constitute a sanction as setout in OAR 199-008-0015.

Statutory/Other Authority: ORS 244.290
Statutes/Other Implemented: ORS 244.290, 244.390, 244.370 & 244.350
History:
GEC 13-2021, amend filed 12/07/2021, effective 12/30/2021
GEC 9-2021, renumbered from 199-001-0014, filed 07/29/2021, effective 07/30/2021
GEC 1-2010, f. 3-12-10, cert. ef. 3-15-10

199-008-0015
Oregon Government Ethics Commission Guidelines on Sanctions

(1) The Commission will identify alleged violations of statutes or rules within the Commission’s jurisdiction during the preliminary review phase or by preliminary finding of violations at the end of an investigative phase. This rule will standardize the method for setting sanctions to be imposed when a matter before the Commission is to be concluded by a stipulated final order, final order or a final order by default.

(2) TABLE A lists the factors that the staff and Commission may consider as mitigating or aggravating any violation of Oregon Government Ethics law in ORS Chapter 244, Oregon Lobbying Regulation in ORS Chapter 171 or the executive session provisions in ORS 192.660.

(a) Points will be assigned from the factors listed in TABLE A. A total of the points assigned will be calculated.

(b) The total of the points assigned from TABLE A will be applied to TABLE B to determine the type and severity of any sanction imposed.

(A) If the point total indicates a civil penalty, TABLE B will be used to determine the percentage of the maximum civil penalty that may be imposed.

(B) If forfeiture is available as a sanction, TABLE B will be used to determine the percentage of the maximum forfeiture that may be imposed.

(3) If there are aggravating or mitigating factors that are not listed in TABLE A, the director will prepare a summary of those factors for the Commission to consider. The Commission may exercise its discretion to deviate from the calculated sanctions from TABLE B and modify the civil penalty or the forfeiture. Any deviation from the calculated sanctions from TABLE B must be made part of the record of a case, either through an oral or written statement.

(4) Possible aggravating or mitigating factors that may be considered in an upward or downward deviation from the calculated sanctions are:  the responsibilities of the position held by the person at the time of the violation, a demonstrated acknowledgment of the violation and willingness to be educated, or an attempt to deny responsibility or cover up the conduct.   

(5) This rule does not apply in cases where the sanction is limited under ORS 244.280, 244.282, 244.284, 244.320 or 244.350. This rule also does not apply to sanctions imposed by the Commission for the late filing of reports required by ORS 244.050(2) to (4) or 171.752.

[ED. NOTE: To view attachments referenced in rule text, click here to view rule.]

Statutory/Other Authority: ORS 244.290
Statutes/Other Implemented: ORS 244.290, 244.390, 244.370 & 244.350
History:
GEC 13-2021, amend filed 12/07/2021, effective 12/30/2021
GEC 9-2021, renumbered from 199-001-0015, filed 07/29/2021, effective 07/30/2021
GEC 1-2010, f. 3-12-10, cert. ef. 3-15-10

199-008-0020
Settlement

(1) The Oregon Government Ethics Commission encourages the settlement of a case by stipulated final order. As used in this rule, a stipulated final order is an agreement between the Commission and the party which resolves all of the issues pending in the matter.

(2) The stipulated final order shall be in writing and shall be signed by the person who is the subject of a complaint or against whom an investigation has commenced or by the attorney representing such person, if any, before being submitted to the Commission.

(3) The stipulated final order shall contain a short and plain:

(a) Statement of the nature of the complaint and the basis of the jurisdiction of the Oregon Government Ethics Commission;

(b) Statement of all agreed facts and of all facts, if any, that are not agreed;

(c) Statement of the terms of settlement;

(d) Statement that both the commission and respondent have had an opportunity to seek the advice of counsel;

(e) Statement of the effect of the agreement including that it is subject to final approval of the Government Ethics Commission, and that it is binding upon both parties and that the respondent waives the right to a contested case hearing and waives the right to judicial review.

(4) The stipulated final order is a final order of the Commission.

Statutory/Other Authority: ORS 244.290
Statutes/Other Implemented: ORS 244.260
History:
GEC 9-2021, renumbered from 199-001-0020, filed 07/29/2021, effective 07/30/2021
GEC 1-2010, f. 3-12-10, cert. ef. 3-15-10
GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99
EC 1-1993, f. & cert. ef. 4-22-93

199-008-0035
Criteria and Procedures for Exercise of Prosecutorial Discretion

(1) The purpose of this rule is to establish how the Commission decides whether to proceed with a preliminary review, investigation, or contested case hearing involving a potential violation of ORS Chapter 244, 171.725 to 171.785 or 192.660, or any administrative rule adopted by the Commission (collectively, matters within the Commission's jurisdiction).

(2) All complaints from members of the public concerning alleged violations of matters within the Commission's jurisdiction shall be submitted to the Commission's staff in written form and signed with the person's true name. No anonymous complaints or oral complaints will be accepted. Complaints may be made and signed electronically via the Commission’s webpage, https://www.oregon.gov/ogec/public-records/Pages/How-to-File-a-Complaint.aspx.

(3) The Director shall review each submitted complaint within 2 business days of its receipt to determine if the matters alleged come within the Commission's jurisdiction, if the matters alleged occurred within four years of the date submitted, and if the complaint contains enough specific information to warrant further review. If the Director determines that the complaint contains allegations without any corroborative information, the Director shall, within 10 days of the complaint's receipt, notify the person filing the complaint that the complaint lacks sufficient information to warrant further review. If the Director is able to determine the nature of additional information that would enable the Commission to pursue the matter, the person filing the complaint shall likewise be also notified and a subsequent complaint concerning the same circumstances may be filed by any person. If the Director determines a complaint is within the Commission's jurisdiction, alleges  conduct that occurred within the prior four years, and contains corroborating information, a preliminary review will be initiated.  The preliminary review phase commences on the date the Commission receives such a complaint.

(4) The Director or any member of the Commission may propose that the Commission initiate a preliminary review based on information received from objective sources, such as media accounts or information obtained from the Commission’s own records or from other public agencies that indicates that a violation within the Commission's jurisdiction may have occurred.

(5) The Commission shall consider fully all matters presented for preliminary review, or initiated by the Commission's own motion, to determine whether there is "cause" to investigate the matter, as that term is defined in 244.260. Following the investigation phase, the Commission shall move a matter to a contested case hearing when the Commission determines that the information presented is sufficient to make a preliminary finding of violation of one or more statutes or administrative rules within the Commission's jurisdiction. All matters before the Commission may also be settled, at any point in the proceedings, in compliance with OAR 199-001-0020. No settlement negotiated by the Director shall be binding on the parties unless approved by the Commission by motion and vote.

Statutory/Other Authority: ORS 244.290
Statutes/Other Implemented: ORS 244.290(5)(d)
History:
GEC 13-2021, amend filed 12/07/2021, effective 12/30/2021
GEC 9-2021, renumbered from 199-001-0035, filed 07/29/2021, effective 07/30/2021
GEC 1-2010, f. 3-12-10, cert. ef. 3-15-10
GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99