The purpose of the amendments is to update the rule to reflect new filing specifications, to incorporate user guides, to update forms, and to delete rule language already contained in statute regarding the electronic filing of campaign treasurer’s ...

DEPARTMENT OF STATE
Division of Elections

RULE NO.: RULE TITLE:
1S-2.017: Reporting Requirements for Campaign Treasurer's Reports
PURPOSE AND EFFECT: The purpose of the amendments is to update the rule to reflect new filing specifications, to incorporate user guides, to update forms, and to delete rule language already contained in statute regarding the electronic filing of campaign treasurer’s reports. The amendments also delete contents about the State Matching Funds Program as they are now in Rule 1S-2.047, F.A.C.
SUMMARY: The rule provides the requirements for filing campaign finance reports with the Division of Elections through its electronic filing system.
SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS: The Agency has determined that this will not have an adverse impact on small business or likely increase directly or indirectly regulatory costs in excess of $200,000 in the aggregate within one year after the implementation of the rule. An SERC has not been prepared by the agency.
Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.
RULEMAKING AUTHORITY: 106.0705 FS.
LAW IMPLEMENTED: 106.04, 106.07, 106.0703, 106.0705, 106.29 FS.
IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE HELD AT THE DATE,TIME AND PLACE SHOWN BELOW(IF NOT REQUESTED, THIS HEARING WILL NOT BE HELD):
DATE AND TIME: July 6, 2011, 10:00 a.m.
PLACE: Room 307, R.A. Gray Building, Department of State, 500 S. Bronough Street, Tallahassee, Florida
Pursuant to the provisions of the Americans with Disabilities Act, any person requiring special accommodations to participate in this workshop/meeting is asked to advise the agency at least 5 days before the workshop/meeting by contacting: Eddie Phillips, Executive Assistant, Office of General Counsel, Department of State, 500 S. Bronough Street, Tallahassee, Florida 32399-0250, telephone: [phone]. If you are hearing or speech impaired, please contact the agency using the Florida Relay Service, 1(800)955-8771 (TDD) or 1(800)955-8770 (Voice).
THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Gary J. Holland, Assistant General Counsel, Department of State, 500 S. Bronough Street, Tallahassee, Florida 32399-0250, telephone: [phone]

THE FULL TEXT OF THE PROPOSED RULE IS:

1S-2.017 Reporting Requirements for Campaign Treasurer’s Reports.

(1) General Reporting Requirements.

(a) All persons and political parties who file campaign treasurer’s reports filed with the Division of Elections (Division) must file reports of contributions and expenditures as set forth in this rule.

(b) All campaign treasurer’s reports filed with the Division of Elections shall be filed in electronic format by means of the internet by either keying in the detail data via the web pages or uploading an electronic file that meets the Division’s of Election’s file specifications, Form DS-DE 111, Campaign Finance Reporting File Specifications (version 05/23/11). All data submitted must comply with the instructions in Form DS-DE 110A, Candidate EFS User’s Guide (eff. 01/11), DS-DE 110B, Political Committee EFS User’s Guide (eff. 01/11), DS-DE 110C, Committee of Continuous Existence EFS User’s Guide (eff. 05/11), or DS-DE 110D, Electioneering Communications Organization EFS User’s Guide (eff. 03/11), as applicable on Form DS-DE 13A, Campaign Treasurer’s Report Itemized Contributions and Fund Transfers (Eff. 01/05) and Form DS-DE 14B, Campaign Treasurer’s Report Itemized Expenditures and Distributions (Eff. 01/05). Any amendment to a campaign treasurer’s report that covered a reporting period prior to January 1, 2005 and that was not filed electronically, may be submitted in paper form on Form DS-DE 12, Campaign Treasurer’s Report Summary (Eff. 08/04); Form DS-DE 13, Campaign Treasurer’s Report Itemized Contributions (Eff. 08/03); Form DS-DE 14, Campaign Treasurer’s Report Itemized Expenditures (Eff. 08/03); Form DS-DE 14A, Campaign Treasurer’s Report Itemized Distributions (Eff. 08/03); and Form DS-DE 94, Campaign Treasurer’s Report Itemized Fund Transfers (Eff. 08/03). Any amendment to a campaign treasurer’s report that covered a reporting period filed prior to January 1, 2005 and that was filed by magnetic diskette, may be submitted on magnetic diskette and shall conform to Division specifications.

(b)(c) Prior to filing the first campaign treasurer’s report in electronic format, each person or political party must obtain credentials for a secure sign-in to the Division’s electronic filing system. Each person or political party is responsible for protecting the credentials from disclosure and is responsible for all filings using these credentials unless the person has notified the Division that his or her credentials have been compromised.

(c)(d) The Division shall issue credentials for a secure sign-in when a person or political party files a completed Form DS-DE 9, Appointment of Campaign Treasurer and Designation of Campaign Depository for Candidates (Eff. 10/10 08/03), incorporated by reference in Rule 1S-2.0001, F.A.C.; or a completed Form DS-DE 5, Statement of Organization of Political Committee (Eff. 06/11 08/03); or a completed Form DS-DE 103, Electioneering Communications Organization Statement of Organization (Eff. 06/11 08/04). The Division shall issue credentials for a secure sign-in upon request to candidates and their treasurers or deputy treasurers and to chairpersons, treasurers, and deputy treasurers of committees, organizations, and political parties.

(d)(e) Each individual who receives secure sign-in credentials will also furnish the Division with confidential personal information, which involves supplying the answer to a personal question relating to the particular individual, that shall be used by the Division to allow access by the individual in the event that credentials are forgotten or lost. Examples of confidential personal information shall include mother’s maiden name, date of birth, child’s name, pet’s name, etc.

(f) Electronic reports are considered to be filed under oath by the person or political party filing the report and are subject to the fines and penalties in Sections 106.04(4)(d) and (8), 106.07(5) and (8), 106.0705, and 106.29(2) and (3), F.S., as applicable.

(e)(g) Electronic reports must be completed and filed through the Division’s electronic filing system no later than midnight 12:00 p.m., Eastern Standard Time, of the due date. In the event that the electronic filing system is inoperable on the date a report is due, the report will be accepted as timely filed if filed no later than midnight 12:00 p.m., Eastern Standard Time, of the first business day the electronic filing system becomes operable again. No fine will be levied during the period the electronic filing system was inoperable.

(f)(h) A report shall be deemed filed through the electronic filing system upon the issuance of an electronic receipt indicating and verifying that the report was filed.

(2) State Matching Funds Program.

(a) Pursuant to Section 106.33, F.S., a candidate for the office of Governor or member of the Cabinet who desires to receive state matching funds shall, upon qualifying for office, file a request for such contributions with the Division on Form DS-DE 98, “Candidate for Governor or Cabinet Officer Request for Contributions (Eff. 1/02)”.

(b) To be eligible to receive state matching funds, a candidate for Governor or member of the Cabinet must not be an unopposed candidate as defined in Section 106.011(15), F.S., and shall:

1. Agree to abide by the expenditure limits provided in Section 106.34, F.S.

2. Raise qualifying matching contributions as provided in Sections 106.33 and 106.35, F.S.

3. Retain copies of all checks received, in-kind documentation, credit or debit card receipts, if applicable, and, in the case of cash, copies of the accompanying deposit slips, and copies of cashiers checks. Each campaign treasurer shall submit copies of checks, in-kind documentation, credit or debit card receipts, deposit slips for cash contributions and copies of cashiers checks to the Division at each applicable reporting period; and

4. Submit to a post-election audit of the campaign account and financial records by the Division. Surplus matching funds must be returned before the post-election audit is conducted.

(c) State matching funds shall be distributed within 7 days after the close of qualifying and every 7 days thereafter, to eligible candidates. The first distribution shall be based on verified matching contributions as shown on quarterly reports, filed after September 1 of the calendar year prior to the election, through June 30 of the election year. Thereafter, distribution of funds will be based on weekly reports as provided by Section 106.07(1)(b), F.S. Each weekly distribution of funds will be based on the prior week’s report as verified by the Division, if timely received; otherwise, the distribution will be made in the next applicable weekly cycle. The Division shall verify matching contributions contained in the reports with copies of checks, in-kind documentation, credit or debit card receipts, deposit slips for cash contributions and copies of cashier’s checks which have been submitted by the candidates.

(d) For candidates who are eligible to receive state matching funds, a report is timely if it is received in the Division by 12:00 noon, Eastern Standard Time, on the date it is due. If a report is received after 12:00 noon, Eastern Standard Time, on the due date, such report will be deemed late for matching fund purposes and any eligible matching funds will be distributed in the next reporting cycle. If any fines are due for late filing they will be assessed pursuant to Section 106.07, F.S. For all other candidates, filing deadlines shall be as provided in Section 106.07, F.S.

(e) Reports filed by candidates requesting matching funds must include all information required by this rule and Sections 106.07 and 106.30-.36, F.S. If information related to a matchable contribution is missing, incomplete or cannot be verified, no match will be made for that contribution and the candidate will be notified by the Division. However, upon supplying such missing or incomplete information and upon verification by the Division, matching funds will be provided on the next applicable cycle.

(f) If a candidate requesting matching funds submits a report and subsequently amends such report, any adjustment, up or down, to the candidate’s distribution of funds will be made on the next weekly cycle occurring after receipt and review of the amended report. All amendments to reports must be submitted electronically to the Division.

(g) The Division shall record the time that reports are received from candidates requesting matching contributions and distribute funds on a first-in, first-out basis.

(h) An adverse decision regarding the distribution of matching funds may be appealed to the Florida Elections Commission, pursuant to Rule 2B-1.006, F.A.C.

(3) Voluntary Expenditure Limits. Candidates not participating in public campaign finance who wish to voluntarily abide by the expenditure limits of Section 106.34, F.S., and the contribution limits on personal and party funds set forth in Section 106.33, F.S., shall file an irrevocable statement to this effect on Form DS-DE 90, “Irrevocable Statement to Voluntarily Abide by the Expenditure and Contribution Limits on Personal and Party Funds (Eff. 12/93)”, upon qualifying for office.

(2)(4) All forms and filing specifications contained in this rule are incorporated by reference and are available from the Division of Elections, Room 316, R.A. Gray Building, Tallahassee, Florida 32399-0250, from the Division’s website at http://election.dos.state.fl.us, or by calling [phone].

Rulemaking Specific Authority 106.0705 106.35(1), (5), 106.0706 FS. Law Implemented 106.04, 106.07, 106.0703, 106.0705, 106.29, 106.30-.36 FS. History–New 11-13-88, Formerly 1C-7.017, Amended 2-28-90, 9-5-93, 1-1-96, 3-5-96, 7-20-98, 7-31-02, 1-1-05, 6-2-05,________.

NAME OF PERSON ORIGINATING PROPOSED RULE: Kristi Reid Bronson
NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Jennifer Kennedy, Acting Director, Division of Elections
DATE PROPOSED RULE APPROVED BY AGENCY HEAD: April 19, 2011
DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAW: March 25, 2011