Holly Smith Georgia Government Transparency & Campaign Finance - - PowerPoint PPT Presentation

Holly Smith

Georgia Government Transparency & Campaign Finance Commission Director of Education, Filing, & Compliance 404-463-7740 hsmith@ethics.ga.gov # of County Officials: 159 # of Municipal Officials: about 540 # of People Who Try to Reach Me In a Day: Priceless ☺

GAVREO Conference December 2019

Who is the Filing Officer?

• Any person who supervises and/or qualifies local officials for

election to county and/or municipal offices. (Reference Ga.

• Comp. R. & Regs. R. 189-2-.01(14))

– County Election Superintendent – City Clerks – Chief Executive Officer

• In municipalities where there is no city clerk or assistant city clerk, the responsibility falls to the CEO of the

municipality which in all cases is the MAYOR. Most mayors WILL NOT want this task. It is imperative that someone or some agreement is in place to handle the filing responsibilities at the municipal level.

GAVREO Conference December 2019

Filing Officer Responsibilities

• Collect signed and submitted

reports from county and municipal level candidates.

• Retain the original copies of filing

documents and make them available for public review and copying.

– The retention schedule of the Commission is five years so it would be a best practice to follow suit. (reference Ga. Comp. R. & Regs. R. 189-1-.08) *This is changing and will provide that

• E-File (preferred method) or eFax

copies of forms and reports to the Commission.

– Check documents for completion. – Date stamp documents in the order

• received. Make sure the date stamp is

legible. – Retain original envelopes for disclosure reports.

GAVREO Conference December 2019

Filing Officer Responsibilities

• MAY officer assistance to

candidates filing paperwork but with some limitations. (reference

• Ga. Comp. R. & Regs. R.189-3-.08)
• MAY provide candidates with

prescribed forms from the Commission’s website located here: https://ethics.ga.gov/formsreportsp ublications/.

• MAY issue courtesy email reminders

to candidates when filing deadlines are approaching.

• MAY point out to candidates

missing or incomplete information

• n documentation – clerical in

nature.

• MAY point out to candidates that

records kept by a candidate or campaign committee shall be preserved for three years from the termination date of the campaign. (reference O.C.G.A. § 21-5-32(b))

GAVREO Conference December 2019

What a Filing Officer Cannot Do?

• CANNOT complete the

documentation for the candidate.

• CANNOT give legal advice.
• CANNOT be biased in assisting
• candidates. What you do for one

candidate you must do for ALL candidates and elected officials regardless of political affiliation.

• CANNOT give advice or opinions
• n how to fill out

documentation.

• CANNOT let candidates and/or

public officials use personal work equipment to fill out documentation.

GAVREO Conference December 2019

Who is the Qualifying Officer?

• In most cases, the local filing officer and qualifying officer are

the SAME PERSON.

– Local Filing Officers handle the filing responsibilities of the Act and Qualifying Officers handle the qualifying responsibilities of the Act.

• It is the person who qualifies a candidate for an election per

O.C.G.A. § 21-5-3(23).

– County Election Superintendent – City Clerk

GAVREO Conference December 2019

Qualifying Officer Responsibilities

• Qualifying Officers are required to submit

to the Commission all of the names, addresses, and qualifying dates of candidates that qualified for every election within ten business days after the close of the qualification period. (reference O.C.G.A. § 21-5-36(a)(2))

• Qualifying Officers are required to submit

to the Commission the outcomes (whether they won or lost) of the candidates that qualified for every election within ten business days of the election being certified. (reference Ga. Comp. R. &

• Regs. R. 189-7-.02)
• BOTH of these requirements are satisfied

by submitting the information through the Qualifying Officers Electronic Reporting System – QOERS.

QOERS Home screen

GAVREO Conference December 2019

Forms Filed at the Local Level

• Form DOI – Declaration of Intent to Accept Campaign

Contributions

• PFDS – Personal Financial Disclosure Statement
• CCDR – Campaign Contribution Disclosure Report

– Final Report & Termination Statement

• Affidavit of Exemption – Affidavit of Exemption not to Exceed

$2,500.00 in contributions and/or expenditures

• TBDR – Two Business Day Report

GAVREO Conference December 2019

Form DOI – Declaration on Intent to Accept Campaign Contributions

*MUST BE FILED PRIOR TO ACCEPTING CAMPAIGN CONTRIBUTIONS AND SPENDING MONEY ON A CAMPAIGN*

• A Form DOI must be filed for each new
• ffice a candidate is running for.
• A Form DOI must be filed if there is a

break in office and the candidate or public

• fficial terminated their account and runs

for the same office or a different office.

• Ex. Candidate ran for Tax Commissioner in

2016 and wants to run for County Commissioner, District #3 in 2020. Will he/she have to fill out a new Form DOI?

• Ex. Candidate ran for Mayor in 2013.

Candidate won the mayoral race but left

• ffice for personal issues in 2017 and

terminated his account. Candidate is running for Mayor again in 2019. Will he/she have to fill out a new Form DOI?

GAVREO Conference December 2019

Declaration of Intention

• There is NO grace period for filing a Form DOI.
• DOES NOT have to be filed when a candidate qualifies. Can be

filed anytime BEFORE the election date.

• Filing the Form DOI triggers the reporting requirements for

campaign contribution disclosure reports.

– Once this document is filed, the candidate and/or public official is subject to the filing schedule and reporting requirements for CCDR’s.

GAVREO Conference December 2019

Declaration of Intention

• There is no expiration date for filing a Form DOI.

– Form DOI is valid until the candidate and/or public official disposes of campaign funds and terminates the account. (reference O.C.G.A. § § 21-5-33, 21-5-34(m))

• Candidates can campaign before they file the form DOI and/or

qualify for office. They just CANNOT accept contributions or spend money towards their campaign until the Form DOI is filed with your office.

GAVREO Conference December 2019

PFDS – Personal Financial Disclosure Statement

• Document filed by a public official yearly

between January 1st and July 1st in which the filer discloses information about financial activity for the preceding calendar year.

• During an ELECTION YEAR:
• An incumbent qualifying for office shall file a

PFDS within 15 days after qualifying or before the July 1st deadline.

• A non-incumbent at the local level, WILL NOT file

a PFDS until they have assumed office.

• When legislation was drafted in 2014, the law

writers mistakenly made an omission in the wording that eliminated brand new candidates at the local level from having to file the PFDS. We are working on having the legislation corrected.

• There is no grace period for the PFDS and it is

filed EVERY YEAR.

• Reference O.C.G.A. § 21-5-50(a)(1) & (3.1)

GAVREO Conference December 2019

Affidavit of Exemption

• Candidates and public officials who do not intend to accept a

combined total of more than $2,500.00 in campaign contributions and/or expenditures (including any personal loans by the candidates to the campaign) can file an affidavit of exemption and be exempt from filing campaign contribution disclosure reports unless they cross the threshold of $2,500.00.

GAVREO Conference December 2019

Affidavit of Exemption

• The Affidavit of Exemption DOES NOT apply to the Personal Financial

Disclosure Statement. Candidates and public officials are still required to file a PFDS and are not exempt from filing that document.

• The Affidavit of Exemption can be filed before the candidate qualifies for
• ffice, when they fill out their DOI or when the candidate qualifies for
• ffice.
• The Affidavit of Exemption is valid for ONE COMPLETE ELECTION CYCLE.

– An election cycle is the period of time starting with the day after the election through the date of the next election. (reference O.C.G.A. § 21-5-3(10)

GAVREO Conference December 2019

Affidavit of Exemption

• Candidates and public officials who exceed $2,500.00

threshold but NOT $5,000.00 in contributions and/or expenditures SHALL file:

– June 30th and December 31st campaign contribution disclosure reports in their election year.

• Candidates and public officials who exceed $5,000.00 in

contributions and/or expenditures are required to file ALL reports as prescribed in the Act.

GAVREO Conference December 2019

Campaign Contribution Disclosure Reports

• Report filed by candidates, public
• fficials, and/or campaign

committees that discloses all contributions received and expenditures made during a reporting period.

– Reporting period means the period of time beginning the day AFTER the last due date, excluding any grace period, through the due date of the next

• report. (reference O.C.G.A. § 21-5-

3(24))

• There is a five day grace period for

all CCDR filings EXCEPT for runoff elections as the grace period is only two days for those required reports. (reference O.C.G.A. § 21-5-34(c)(4)

GAVREO Conference December 2019

Campaign Contribution Disclosure Reports

• During an election year:

– January 31st – April 30th (This date changed from March 31st due to the passage of SB 213 during the 2019 legislative session.) – June 30th – September 30th – October 25th – December 31st

• During a non-election year:

– June 30th – December 31st (This date changed from January 31st due to the passage of SB 213 during the 2019 legislative session.)

All county level officials and/or candidates have a December 31st report due this year. This is a non-election year.

GAVREO Conference December 2019

Unsuccessful Candidates

• Any person who is unsuccessful in an election and required to file

campaign contribution disclosure reports SHALL file the same reports as the successful candidate for the remainder of the election cycle.

– If a candidate was unsuccessful and filed and affidavit of exemption, the day after the election that affidavit expires and they will be required to file a CCDR. If they have no campaign funds they can go ahead and file the final report and termination statement as their December 31st report and close everything out.

• If the candidate has excess contributions from the campaign, they are

required to file a supplemental campaign contribution disclosure report no later than December 31st of each year until ALL contributions are expended.

Code section O.C.G.A. § 21-5-33 references the ways to dispose of excess campaign contributions.

GAVREO Conference December 2019

FRTS - Final Report and Termination Statement

• This is the final campaign contribution disclosure

report candidates and/or public officials file to terminate their campaigns.

• Candidates who file a Form DOI and an Affidavit
• f Exemption but do not qualify for office may

file a Final Report and Termination Statement within 10 days of dissolving their campaign.

• If a candidate qualified for office and was

unsuccessful, they will file their Final Report and Termination statement on December 31st of their election.

• This report can only be filed if everything is

zeroed out the net balance on hand equates to $0.

GAVREO Conference December 2019

TBDR - Two Business Day Report

• This report is used to report individual

contributions (including loans) of $1,000.00 or more received between the date of the last CCDR due before the date of the election for which the candidate has qualified.

• These contributions MUST be reported within

two business days of receipt and they MUST be reported on the next scheduled CCDR.

• There is NO grace period for the two business

day report.

• A TBDR is NOT FILED every time a candidate

receives a contribution of $1,000 or more. It is

• nly filed during a certain time frame.
• Reference O.C.G.A. § 21-5-34(c)(2)(C) & Ga.
• Comp. R. & Regs. R. 189-3-.09

GAVREO Conference December 2019

Forms Filed with the Commission

• Form RC – Registration of a Campaign Committee
• Form COOSA – Choosing the Option of Separate Accounting

– Even if these forms are brought to your office, tell the candidate and/or public they have to file the form directly with our office. We are the custodian of these documents and need the originals on file.

GAVREO Conference December 2019

Form RC – Registration of a Campaign Committee

*A campaign committee is NOT the same as a ballot committee for county or municipal question*

• Before a campaign committee accepts

contributions, the name and address of the chairperson and treasurer SHALL be filed with the Commission.

• When the candidate is elected to office, the

registration of the candidate’s committee with the Commission remains in effect as long as the candidates remains in office unless the registration is cancelled by the committee or the candidate.

• Contributions SHALL NOT be accepted by the

committee anytime there a vacancy for the chairperson or a treasurer.

• Reference O.C.G.A. § 21-5-30(b)

GAVREO Conference December 2019

Form COOSA – Choosing Option of Separate Accounting

• Candidates have the option to collect campaign

contributions for more than one election at a time but must separately account for those contributions.

• The form is filed with the Commission prior to

accepting contributions for any election other than the candidate’s next upcoming election.

• Candidate SHALL only be required to file one such

form which SHALL be utilized for all subsequent elections to the same elective office, regardless

• f whether an election occurs in a new election

cycle.

• Reference O.C.G.A § 21-5-43(a)

GAVREO Conference December 2019

Ballot Committees

• Any campaign committee which

accepts contributions or makes expenditures designed for voters to approve or reject any proposed questions appearing on a ballot in a county or municipal election shall register and file campaign disclosures reports with the local election official.

– They register using Form RO - Registration Form for a Non-Candidate Committee – They are ONLY required to file such reports if contributions and/or expenditures exceed $500.00.

• 15 days before the date of the lection
• December 31st report of the year in which the

election is held

• ALL advertising pertaining to proposed

questions SHALL identify the principal

• fficer of the campaign committee.
• Reference O.C.G.A. § 21-5-34(a)(2)(A)

Note: Ballot committees should register when there is actual enabling legislation for the question to appear on the ballot. They are NOT required but is a best practice.

GAVREO Conference December 2019

Recall Committees

• Did you know that recall

committees have to submit documentation to the Secretary

• f State Office and file reports

with the Campaign Finance Commission?

– Recall Committee: Any campaign committee which accepts contributions or makes expenditures designed to bring about the recall of a public officer

• r to oppose a public officer.
• Filing Schedule:

– Initial report filed within 15 days after the date when the official recall petition is issued to sponsors. – Second report filed 45 days after the filing

• f initial report.

– Third report filed within 20 days of election superintendent certifying legal sufficiency or insufficiency of petition. – Final report filed prior to December 31st of the year the recall election is held.

GAVREO Conference December 2019

Lobbyist Reporting – Local Level

• Did you know if someone lobbies
• n behalf of your county and/or

municipality, they file reports with the Commission AND give you a copy of that report?

• County and municipal level

lobbyists SHALL register with the Commission.

• File a copy of such report with the election

superintendent of each county involved if the report contains lobbying expenditures relating to county or county school districts.

• File a copy of such report with the municipal

clerk (if not clerk with CEO of municipality) of each municipal involved if the report contains lobbying expenditures relating to municipal affairs or independent school districts.

GAVREO Conference December 2019

Late Fees

• As the Local Filing Officer, you are responsible for letting the Commission

know who did not file reports and who filed reports late.

• The Commission is responsible for the notification AND collection of late

fees, and for the enforcement of compliance under the Act. Local filing

• fficers are not charged with letting local candidates know they are late

and will therefore have late fees. You are more than welcome as a courtesy, but the Commission is tasked with that.

• Local filing officers should send an email to latefees@ethics.ga.gov with

the following information of ALL candidates and public officials who are late AND did not file:

– Name, address, office candidate is seeking or holds, filer ID (if applicable), report type (CCDR, PFDS, etc.) due date, and date report was filed.

GAVREO Conference December 2019

Sending Documents to the Commission

• Preferred method is the email

copies of campaign finance documents to localreports@ethics.ga.gov.

• If you MUST fax, please fax to 1-

866-914-7974 and not our main fax number.

• What documents are sent to the

Commission and when:

– Form DOI: submit a copy no later 10 days after receipt. – Affidavit of Exemption: submit a copy no later than 10 days after receipt. – Campaign Contribution Disclosure Report: submit a copy no later than 30 days after the close of EACH grace period. – Personal Financial Disclosure: submit a copy no later than 30 days after the close of the reporting period. – Two Business Day Report: submit a copy no later than 10 days after receipt

GAVREO Conference December 2019

Thank you for your participation in today’s training. Should you have any additional questions, comments, or concerns, feel free to contact the education department or visit our website at www.ethics.ga.gov.

• Holly Smith, Director of Filing & Compliance/Education – hsmith@ethics.ga.gov
• Tamara Solomon, Candidate Training Coordinator – tsolomon@ethics.ga.gov