The Campaign and Financial Disclosure Act as it applies to candidates [1976]

The Campaignand Financial
Disclosure Act as It Applies to Candidates

IRVING K. KALER CHAIRMAN
SMYTHE NEWSOME VICE CHAIRMAN
LILLIAN LEWIS
JOHN MILLER
BEN H. STRICKLAND

~tate ~t~itS <rrommission
148 CAIN STREET. SUITE 642 ATLANTA. GEORGIA 30303 (404) 656-2764

JOE MITCHELL EXECUTIVE SECRETARY

A message to all candidates seeking elected office in Georgia -
The Georgia Legislature in 1974, and by amendments in 1975 and 1976, passed the Campaign and Financial Disclosure Act requiring public disclosure by all candidates for elected office in Georgia regarding their campaign financing.
This manual has been prepared to guide you in complying with the requirements of the Campaign and Financial Disclosure Act. It describes your responsibilities for record keeping and reporting and includes examples of record keeping forms you may wish to use. Further, the manual shows the required campaign disclosure reporting forms, describes how they are to be completed, and notes where and when they are to be filed.
Congratulations to you on your candidacy for elected office in Georgia--and the best of luck to you in your campaign.
STATE ETHICS COMMISSION
~ ((,
Irving K. Kaler, Chairman

The Campaign and Financial Disclosure Act
as It Applies
to Candidates

Table of Contents

Introduction

------------------- 3

Who is covered by the Campaign and Financial Disclosure Act?

_3

Who will enforce the Act? What are the specific duties of the Commission? _ What are the duties of a candidate under this law? _ Registration of a Candidate's Committee Record Keeping Contributions received

3

_

3

_

3

____ _ 3

_________________ 4

_____ 4

Expenditures made

7

Reporting Who must file reports?

8 _____ 8

Reporting dates

8

Preparing the report

9

Where reports are filed

16

Complaints and Penalties for Violation of the Act

____ 17

If you have questions

_17

May 1976
2

Introduction
The intent of the Campaign and Financial Disclosure Act is public disclosure of campaign financing and not necessarily restriction on what a candidate can and can't do. It is not intended to place unnecessary restrictions on candidates who are running for public office. Indeed, the purpose of public disclosure and public accountability should be to encourage men and women to hold themselves out for public office-not discourage them.
WHO IS COVERED BY mE CAMPAIGN AND FINANCIAL DISCLOSURE ACT?
The Campaign and Financial Disclosure Act, as amended in 1975 and 1976, now covers all candidates for elected office in Georgia-state, county, and municipal. Candidates running for over 6,000 offices must file public reports of campaign contributions received and expenditures made under this Act.
The Act also requires that any corporate entity or organization which either receives or spends money, or both, on and for candidates is subject to the disclosure requirements the same as a candidate. What this means is that any corporation, labor union, political action committee, good government committee, or any other organization that collects money for or contributes money to parties or candidates must file disclosure reports that will be made available to the public, on the same basis as the candidates whom the organization is supporting. Under the Act, the only organizations or corporations that may not contribute to political candidates in Georgia are public utilities regulated by the Public Service Commission.

period of five years prior to his appointment, shall not be eligible to serve as a member of the Commission.
WHAT ARE THE SPECIFIC DUTIES OF THE COMMISSION?
One of the Commission's duties is to prescribe rules, regulations, and report forms that must be filed by candidates under the Act. Another is to issue advisory opinions to candidates, organizations, and others who have questions about how to comply with the Act. The Commission has the duty to respond to and investigate any complaint that is filed by a Georgia citizen charging a candidate or organization with failure to comply with the Act.
WHAT ARE THE DUTIES OF A CANDIDATE UNDER THIS LAW?
This manual explains the duties of a candidate under the law. It is divided into four sections, each of which deals with an area of the Campaign and Financial Disclosure Act of 1974, as amended, that affects a candidate or candidate's committee:
Registration of a candidate"s committee, Record keeping, Reporting, and Complaints and penalties for violating the Act.

WHO WILL ENFORCE THE ACT? The Georgia Legislature created the State Ethics Com-
mission in 1975 to enforce this Act objectively and on a non-partisan basis. The Commission is composed of five members. The members arc appointed in the following manner ... one member by the Secretary of State for an initial term of office of two years; one member by the Lieutenant Governor for an initial term of office of three years; one member by the Speaker of the House of Representatives for an initial term of four years; and two members, not more than one of whom shall be from the same political party, by the Governor for initial terms of office of five years and six years, respectively. The law provides that members of the Commission shall not serve for more than one term. The law further provides that any person who has qualified to run for office, or has held any federal, state, or local public office within a

A copy of the Act, as amended, is available in the Georgia Secretary of State's office. the office of the Judge of the Probate Court in each county, and the office of the City Clerk (or elJuivalent) in each municipality.
Registration ofa Candidates Committee
rn the state of Georgia, candidates for elected office arc
not relJuired to have a campaign committee. However. if they do, they may have only one committee, and shall register that committee with the Secretary of State.
If a candidate decides to establish a campaign committee to keep his records and file his reports, the candidate must register the committee by completing all parts of Campaign Disclosure Form C-I, (blue) "Registration Form
3

for a Candidate's Campaign Committee" (example on Page 5). The Verification By Oath or Affirmation section must be notarized before sending Form C- I to the Secretaly of State.
The campaign committee must be registered before the committee accepts any contributions. Each committee shall have a designated chairman and a designated treasurer. No contributions shall be made, except to the candidate or his committee. Also, no contributions can be accepted by or on behalf of the campaign committee at any time when there is a vacancy in the office of chairman or treasurer.
Q: Must a candidate have a campaign committee if he runs for office in Georgia?
A: No. Q: Does a candidate have to register if he does not
have a candidate's campaign committee that will keep his records and file his reports? A: No. Q: If the candidate has organized a campaign committee to keep his records and file his reports, does he have to register the committee? A: Yes, with the Secretary of State using Campaign Disclosure Form C-l. Q: Where can a candidate obtain a copy of Form C-l? A: From the office of the Secretary of State, the office of the Judge of the Probate Court in each county, or the office of the City Clerk (or equivalent) in each municipality. Q: Maya campaign committee accept contributions directly or indirectly when there is a vacancy in the office of chairman or treasurer? A: No. Q: What action should be taken if there is a change in a campaign committee's chairman or treasurer, or any other information submitted on a prior Form C-I? A: The candidate must submit an amended Form C-l to the Secretary of State. 4

Record Keeping
The record keeping requirements under the Act are the same for both a candidate qnd a candidate's committee. Records must be kept of all contributions received and expenditures made.
CONTRIBUTIONS RECEIVED A candidate or candidate's committee must keep a
record of all contributions received, including the name and mailing address of each contributor and the amount of each contribution. Although the Act requires that a record be kept of all contributions received, regardless of the amount, only amounts of $101 or more received from a given contributor must be reported in the periodic campaign disclosure reports. A candidate may, of course, report all contributions, if he desires.
"Contribution" Defined The Act defines a contribution as follows:
"Contribution means a gift, subscription, loan, forgiveness of debt, advance or deposit of money, or anything of value conveyed or transferred for the purpose of influencing the nomination for election or election of any person [for an elected office in Georgia], but the term specifically does not include the value of personal services performed by persons who serve without compensation from any source and on a voluntary basis. 'Contribution' shall include retainer fees, fees or any other form of payment made to candidates for office or persons who hold office when such fees and compensation made can be reasonably construed as a campaign contribution designed to encourage or influence the candidate or office holder to introduce legislation which enriches the person, company, corporation or other entity which made the contribution. Introduction of such enriching legislation by the candidate subsequent to his election to office shall be prima facie evidence that the fee, compensation or retainer fee was a campaign contribution under the meaning of the Act."

Campaign Disclosure
FORM C-1
Rev. 4/76

ari=\

i

i ...

t

:

',r.

REGISTRATION FOR A CANDIDATE'S CAMPAIGN COMMITTEE
Please type or print in black ink.

For office use only
]iJ New registration
o Registration amendment

Note: A candidate is not required to register himself. However, if the candidate has a campaign committee,
the candidate must register the names and addresses of his Chairman and Treasurer with the Secretary of State before the campaign committee accepts any contributions. Each candidate shall have but one campaign committee to maintain records and file reports. No contributions sholl be accepted by or on behalf of the campaign committee at any time when there is a vacancy in the office of Chairman or Treasurer.

1. Date of this registration, _ _~5",,-

-,I-,O",-_----.1k-

month

dey

yee r

2. Full nome of condidote:::""y,'-'Q.LbLLOLL

first

Mailing address of candidate,

\ '2..0

~A':L\o.t\'\o..

street number
tU\:\Ob

3.

city
Telephone

numbe"

(off(LJiAcUe'\~c-oun~tyS.412,,~

--'t3=:...'
middle

. . . ~----':ro"""-'nLJ...-"e.~..s...._
t:"\ \'Yl "last :)i .
street

zip code
(home)(4 aLl)' .35"5 '" IlLS"""

4. Title of office candidate is seeking, including district, post, or judicial circuit, if applicable. Candidates for county office should indicate name of county; candidates for municipal office should indicate name of municipality.
C.ountl COYbM\~:lone(' "ost \ - t:-vhonCoun'11

5. Full name of Committee, ~=""'-'.-..'..m~&4-'-.(.J.....,e.""----_"t-'-""O~---=t=_\_'_'e.c..=_:t'______.._._.".3..o.e..bL.L.Ln_'__.._._.._..:..i~o'_'..n...e....s...__.

Moiling address of Committee,

.J\'".'\.2...-'\

~

_"~"_ S1 .

to- street number

street

S t-u\"\nn

~O~03

6.

Full

city
nome

of

Chairman,

~\ .\ '-----co-un-ty'=--'rn---'---~l.\. L4-+..I~--\----zip-c-o-de----_--_

\.00\ Moiling address of Chairman, 'f:'r}1l....i2\e D'{'.

't'eetnumb;;;-'

street

A.,. \o..n"\ 0..

tU\=\-Qh

Uor6,h+-B. B city
7. Full name of Treasurer,

~un~

\
DWo.{'--9

q \ Mailing address of Treos~re"

0

\ '-\~ .51,

zip code

street number

street

~u \ion'---'---

----:?(---?~~Q...3.._'__

city

county

zip code

VERIFICATION BY OATH OR AFFIRMATION

State of Georg io
County of F V \=\0 '"
:rohh--first

~-\-oL.:.,------'3"oJ.jo"'--'n....L'.."5.",)., being duly sworn, depose (affirm) and say that the

middle

last

information in this Registration Form is complete, true, and correct.

Sworn to and subscr
before me this --'\""0'----== _

day of M o.~

, 191JtL

tu.~,~

Notary Public

My commission expires, -;)qn.

\

,19-l.i

PENALTIES: Any person who knowingly faits to comply with or who knowingly violate~ any of the provi~ians of the Campaign and Financial Disclosure Act shall be guilty of a misdemeanor on fhe first offense, and upan conviction thereof. ~hall be puni~hed as for a misdemeanor; and upon the second or sub sequent offen~e shall be guilty of a felony. ond upon conviction thereof, shall be punished by imprisonment for not less than
one l10r more than five years or by a fine 110t to exceed $5.000, or both.
I

All candidates file this registration with:
Ben W. Fortson, Jr. Secretary of State State Capitol Atlanta, Georgia 30334

5

Records One convenient way to keep information on contributions received is through an alphabetical card file. A separate card should be kept for each contributor. A sample Contribution Card layout, which can be reproduced and used by a candidate or candidate's committee, is given on Page 18. An example of how such a card would be used is shown on this page. In-Kind Contributions The example notes that it is possible for a candidate or committee to receive in-kind contributions, as wen as cash. An in-kind contribution is any thing of value, other than cash or a check, transferred to the candidate or campaign committee. Examples of in-kind contributions are loan of an airplane, donation of office space, and free preparation of campaign posters. Although it often will not be possible to determine the exact value of an in-kind con-

tribution, the best estimate available should be recorded on the Contribution Card.
Bank Notes and Loans The Act identifies bank ~otes and loans as being contributions, if their proceeds are used to influence the election or nomination for election of any person to public office in Georgia. Thus, any loan made to a candidate's committee is construed as being a contribution. However, loans made directly to a candidate for strictly personal purposes, such as the purchase of an automobile, are not contributions. and need not be recorded or reported. Bank notes and loans that are considered contributions may be recorded as incurred on a separate schedule from the Contribution Cards. The schedule must show the following information for each bank note or loan: name and mailing address of lender; names and mailing addresses of any co-signers; and amount of loan.

CONTRIBUTION CARD

Address

Occupation Place of business Business address
Telephone no. Date Cash
Amount

In-Kind Contribution
General Description

Estimated Value

Cumulative Amount Reported

NOTE: The information regarding a contributor's occupation, place of business, and business address is not required by the Act. However, it may be useful for analysis of contribution data by the candidate or candidate's committee.

Q: Are a candidate's personal funds used to finance his campaign considered contributions?
A: Yes. A candidate's personal funds used to finance a campaign, or to supplement contributions received from others, falls within the Act's definition of "contribution" as being ... an advance or deposit of money or anything of value conveyed or transferred for the purpose of influencing the nomination for election or election of any person ... and as such should be recorded and reported as a "contribution" from the candidate personally.
Q: Are any contributions prohibited by the Act? A : Yes. The Act prohibits (I) contributions made
6

to a campaign committee when there is a vacancy in the position of either the chairman or the treasurer; (2) anonymous contributions; and (3) contributions made by any person acting on behalf of a public utility corporation that is regulated by the Public Service Commission. Q: What disposition should be made of an anonymous contribution? A : The contribution must be transmitted to the Director of the Fiscal Division of the Georgia Department of Administrative Services, 116 Mitchell Street. Atlanta, Georgia, for deposit in the State Treasury. and the candidate or committee must report the contribution and transmittal to the Secretary of State.

EXPENDITURES MADE The candidate or candidate's committee must keep a
record of all expenditures made, including the name, mailing address, and occupation or place of employment of the recipient, as well as the amount and general purpose of the expenditure. However, the Act requires that only expenditures of $101 or more to a given recipient must be reported in the periodic campaign disclosure reports. A candidate may, of course, report all expenditures, if he desires.
"Expenditure" Defined The Act defines an expenditure as follows:
"Expenditure means a purchase, payment, distribution, loan, advance, deposit or gift of money or anything of value made for the purpose of influencing the nomination for election or election of any person [for elected office in Georgia], but the term specifically shall not include the value of personal services performed by persons who serve without compensation from any source and on a voluntary basis."

Records One convenient way to accumulate this information is through an Expenditure Card prepared for each person or firm receiving a payment. The cards should be filed alphabetically. A sample Expenditure Card layout, which can be reproduced and used by a candidate or candidate's committee, is given on Page 19. An example of how such a card would be used is shown on this page.
Q: Should expenditures of a personal nature made by a candidate, such as payment of an automobile loan installment, be recorded?
A: No. The Act requires only the recording of expenditures made for the purpose of influencing the nomination for election or election of any person to elected office III Georgia. If you are if! doubt as to the nature of the expenditure, you would be safer to record it. All expenditures made by a campaign committee must be recorded.

EXPENDITURE CARD

Name of recipient Occu pat ion or
place of employment
Bu siness ma iii ng add ress -----J'-b'<+-----k'----~I".LI-LL.- .......f____f___'_........' _ ( _ - - - - - - - - - - - - - I

Date Check No.

Genera I Purpose

Cumulative

Amount Reported

7

Reporting
The campaign financing disclosure reporting requirements are the same for both candidates and candidates' committees. This section describes those reporting requirements.

WHO MUST FILE REPORTS? All candidates seeking elected office in Georgia, or
their campaign committee, qlust file campaign financing disclosure reports. The following is a list of those offices for which candidates must file:

A t the STATE level

At the COUNTY level

At the MUNICIPAL level

Governor Lieutenant Governor
Attorney General Secretary of State Comptroller General

Judges of State- County Courts Solicitors of State- County Courts Judges of Small Claims and other courts
School Board members Judges of the Probate Court

Mayors Councilmen
Aldermen Other elected municipal offices

Commissioner of Agriculture

Clerks of Superior Court

State School Superintendent

Sheriffs

Commissioner of Labor

Tax Receivers

Public Service Commissioners

Tax Collectors

Senators

Tax Commissioners

Representatives

T ax Assessors

Justices of Supreme Court

Treasurers

Judges of Court of Appeals Judges of Superior Court
District Attorneys Justices of the Peace

Surveyors Coroners Superintendents of Schools Advisory Board members

Finance Board members

County Com.nissioners

Other elected county offices

REPORTING DATES

State and county elections typically are conducted on

The specific dates on which reports are due will depend the same dates. However, municipal and special election

upon the date( s) of a candidate's particular election. dates vary considcrably across the state. Regardless, the

guidelines for report filing arc as follows:

CANDIDATE/COMMITTEE REPORT FILING DATES

For a candidate in a PRIMARY election... 1st report. .. 45 days before the date of the primary 2nd report. .. 15 days before the date of the primary 3rd report. .. 10 days after the date of the primary
For a candidate in a GENERAL or SPECIAL election... 4th report. .. 15 days before the date of the general or special election

For ALL candidates... December 31 final report in the year in which the

election occurs

For WINNING candidates... December 31 supplemental report

each year following the year in which

the election occurs, if contributions are received

o r expenditures are made that are required

8

to be reported.

Q: Can reports be filed before the due dates? A: No. A report will not be accepted before the
date due. The report must be filed on the due date, or within five days after the due date. A report is timely filed when it is mailed (postmarked) on the due date or within five days thereafter-or personally filed on the due date, or within five days thereafter. Q: Will reports be accepted after the due date and the five-day grace period? A: Yes, but the candidate will be in violation of the law-and subject to possible civil and criminal penalties as outlined under the Act.
Q: Do candidates have to file disclosure reports in a primary election if they don't actually enter the primary, but qualify for nomination through a "political body" or "petition" process?
A : Yes. If they are in the race, no matter how entered, they must file the same as a candidate who enters through the primary process.
Q: What about write-in candidates? A: If the candidate filed a "notice of intention of
candidacy" prior to the required primary filing dates, then yes. If notice was filed after the due date of a report, only the reports due after the notice was filed by the candidate would be required. Q: Do losing or withdrawing candidates have to continue to file the required reports? A : If a candidate loses or withdraws in a primary election, only the reports before and after the primary, and the final December 31 report must be filed. If a candidate withdraws before the IS-day report prior to the general election is due, only the previous primary reports and the final December 31 report must be filed. All candidates-winning, losing, or withdrawing-are required to file the final December 31 report.

Q: Does a candidate have to file primary reports if he is unopposed in his party primary, but there are candidates in the opposing party primary for the same office?
A : Yes. For all practical purposes, he has "opposition" .
Q: Does a candidate have to file primary reports if his party has no primary, but the opposing party does?
A : Yes. If the opposing party has a candidate seeking the same office, he has, for all practical purposes "opposition".
Q: In a municipal election, if a candidate is unopposed in his primary and his name does not appear on the ballot, must he file primary reports?
A : Yes, unless he is both unopposed and receives no contributions in either the primary or general election. If both of these conditions occur, then only the 4S-day primary report and the December 31 report are required to be filed.
Q: Are there any exceptions then? A: Yes. If a candidate has no opposition in either
the primary or general election and receives no contributions, only the 4S-day report prior to the primary election (if the candidate has a primary) or the IS-day report prior to the general or special election (if the candidate only has a general or special) and the final December 31 report are required-a total of two reports.
Preparing the Report
Each report must be composed of a minimum of three pages, using established Campaign Disclosure forms. The first page (cover page) is Campaign Disclosure Form C-2, (white) 'Campaign Financing Disclosure Report for a Candidate or Candidate's Campaign Committee." The purpose of Form C-2 is to provide basic information about the candidate, the candidate's committee (if applicable), and the report being filed. It also provides a space for verification by oath or affirmation by the candidate or candidate's committee chairman or treasurer as to the completeness and accuracy of the entire report. An example of Form C-2 is shown on Page 10.
9

Campaign Disclosure
FORM C-2
Rev. 4/76

For office use only'
CAMPAIGN FINANCING DISCLOSURE REPORT ~iginal report

FOR A

D Report amendment

CANDIDATE OR CANDIDATE'S CAMPAIGN COMMITTEE

cover page

Please type or print in black ink

1. Date of this report,

rO Z6 16

month

day

year

tC?

2. Full name of candidate,

\ John

(J.

first

middle

Mailing address of candidate:
4t;;aut4 ~

1:20
Fu/ttY; .t,eet numbe,

city

county

10q - 3. Telephone number: (office)

355:-0zg' (home)

,hf/le'S sr..last
Elm
street
"5Qa03 ~_tJ-.'~=--=-~-b~:?fS.~.<::5;Z;P-co6de 1t5"

4. Title of office candidate is seeking including district, post, or judicial circuit, if applicable. Candidates

for county office should indicate name of county; candidates for municipal office should indicate name

Post af mc)'?o'icuip~altityr. ;CCJ11m;ss~

j ~~ton &unw

a~fde 5. Does the candidate have a campaign committee to keep the financial records of the campaign

the reports?

[il(Yes

D No

If yes, complete items 6 and 7 below. I.f no, leave items 6 and 7 blank.

I

to 6. Full name of Committee, ~1VI1/f--eL-

F:!eet: John VOI'US

Mailing address of Committee: -+!-LI-"Z0<-4I---18'Hth-lL'-.S.. :"t=~------------------

~

street number
F!AI-I-on

street
30303

city

county

zip code

7. Telephone number of campaign committee, _m1Q!:f----.3JJ.Z'"'-"'z.'-"-_-_--'47="O.Lo",...-'O~

_

Type of Report You Are Filing

(check only one box and complete)

8. ~eport due 45th day before primary election

~. IDth t. ;q 76

dote of candidate's pr ary election

9. D Report due 15th day before primary election

~ date of candidate's primary ele,tion

10. D Report due 10th day after primary election

date of condidate's primary election

11. D Report due 15th day before D general or D special election
(check either general or special)

date of condidote's election

12. D Final report due no later than December 31 of your election yeor
13. D Supplemental report due no later than December 31 of each year following year in which the
election occurs (only for winning candidates while in office)

.. .. ~

,~~_._--,---

VERIFICATION BY OATH OR AFFIRMATION

State of Georg;a[-U:lfo

County of

(/J

I, '!-Ie!7c,. 12 S'IIU"t-fl

, being duly sworn, deposes (affirm) and say that the

Full no e of candidate if candidate is filing; or full

nome of chairman, or treasurer if the candidote's

campaign c:ommilfee is filing.

information in this report form is complete, true, and correct.

doyof

Dubhc

\k

I My commission expires'LtA/L:

of Si6nJt';;~o~rf,Z,n:;d;:ea~:;:rn~i~~~~i~::~i,:9c~;~;~ture
committee is filing.
PENALTIES: Any person who knowingly fails to comply with or who knowingly violates any of the provisions of the Campaign and Financial Disclosure Act shall be guilty of a misdemeanor on the first offense, and upon conviction thereof, shall be
19E punished as for a misdemeanor; and upon the second or subsequent offense sholl be guilty of a felony, and upon conviction thereof, sholl be punished by imprisonment for not less than one nor more than five years or by a fine not to exceed $5,000, or both.

STATE CANDIDATES file this report with, Ben W. Fortson, Jr. Secretary of State State Capitol Atlanta, Georgia 30334
and a copy with, Judge of the Probate Court in county of residence of candidate---

COUNTY CANDIDATES file this report with: Judge of the Probate Court County of election

MUNICIPAL CANDIDATES file this report with, Municipal Clerk Municipality of election

In the event a candidate for county or municipal office has no opposition for nomination or election, a copy of this report should be filed wit~

Ben W. Fortson, Jr. Secretary of State State Capitol Atlanta, Georgia 30334

10

Contributions Form C-2 must be followed by one or more sheets of
Campaign Disclosure Form C-3, (white) "Campaign Contributions Received by a Candidate or a Candidate's Campaign Committee". An example of Form C-3 is shown on Page 12.
Contributors should be listed in alphabetical order and only once on Form C-3. Only the total cash amount received from each contributor during the reporting period should be entered in the "Cash Amount (total)" column. Each in-kind contribution should be listed separately, with the "General Description" and "Estimated Value" columns completed. If Contribution Cards are used to maintain records of all contributions, as discussed earlier, the information may be posted directly from a contributor's card to Form C-3. The fact that amounts have been posted to a Form C-3 could be noted on a given contribution card simply by drawing a line under the latest transaction posted, entering the report date on the next line in the "Date" column, and noting the amount posted to Form C-3 in the "Amount Reported" column. The ex-

ample on this page illustrates this procedure. Note that only the amount contributed since the last report need be reported-not the cumulative amount.
Bank notes or loans must also be listed on Form C-3, showing the name and address of the lender, followed by the names and addresses of any co-signers. The amount of each note or loan should be shown in the "Cash Amount (total)" column, and the type of note or loan described in the "General Description" column. The example on Page 12 illustrates this procedure.
It should be noted that the Act requires the reporting of contributions only at such time as a contributor's cumulative amount reaches $101 or more, including inkind contributions. However, all contributions, regardless of amount, may be reported, if desired. The Act also requires the aggregation and annual reporting of separate contributions of less than $101, if they are knowingly received from a "common source", such as members of the same family, firm, or partnership, or employees of the same person. The example on Page 12 shows a "common source" contribution reported on Form C-3.

CONTRIBUTION CARD

I1da., s Name of contributor
me a Address /;). :1 '-f

~

D'. J-I fll'l'i I,.J ~

IN.J..()s), J.. F/~p

Street Number and Name

fl-J. Ja. A) fa.,

Fv /lbAJ

''T' POI'~; fA

.?03~ ')

City

County

State ..,

Zip

Occupation

Phu s;ria.,JU

Place of business

' /J1 ere u flO,.~/-j.~7

Business address

11'1 n~~J\Jr/ 'f)I\/1 Jad"',.,.J IJ f/t4.Nia. (}o- ]0))6'

Telephone no.

.~5t.1-/:lJIf.

/

Date Cash Amount
'fIt. sn.l')O lfh7
5/;10 ;160.00
4S day report } (P/I~ before primary /PI). (p
.71/V !i().OO

In-Kind Contribution General Description
off;'('e. f()rN; -fare....
rwl'J~ wr/it-r-s (.<)
FRONT
In-Kind Contribution

-- ---~----~--

Estimated Value
300.00
IOO.DD

Cumulative
,t;O.OO J~tJ. 00 550.00 (PSD. 00

700.00

Cash Date Amount

General Descri ption

Estimated Value

Cumulative

IS day report } before primary

7/-?(P

8/10

g/IS'

10 day report} after primary

~/2o

-

75".00
-

dell Te/~/!IhOHe all.$l.Jpr,'/U/)

:l'.te

~~D.OO

77S:()0
I02~. Do

-V
BACK

--'--..

Amount Reported
~5().DO
Amount Reported
5{)DD 7~f: DO
11

Campaign Disclosure
FORM C-3
Rev. 4/76

CAMPAIGN CONTRIBUTIONS

I

I

RECEIVED BY A CANDIDATE OR A

For office use only

CANDIDATE'S CAMPAIGN COMMITTEE

"Contribution" means a gift, subscription, loan, forgiveness of debt, advance or deposit of money or anything of value conveyed or transferred for the purpose of influencing the nomination for election or election of any person ... the term specifically shall not include the value of personal services performed by persons who serve without compensation from any source and on a voluntary basis. "Contribution" sholl include retainer fees, fees or ony other form of payment made to candidates for office or who hold office when such fees and compensation mode con be reasonably construed as a campaign contribution designed to encourage or influence the candidate or office holder to introduce legislation which enriches the person, company, corporation or other entity which mode the contribution. Introduction of such enriching legislation by the candidate subsequent to his election to office sholl be primo facie evidence that the fee, compensation or retainer fee was a campaign contribution under the meaning of this Act. GA. Code Annotated Section 40-3803

1. Full name of candidote:

JOhn
first

2. This report includes contributions received from

:rUf\e.
month

II day

1E::LJo yea'

B

\ A-~I"'~ middle

\ !o

month

doy

:rone~

to last
\91

to

yeor

List names of contributors in alphabetical order, with mailing address and zip code. list each contributor only once.
\-\0..r-o\4 ~. A A~ms
\~~ YY\.!: ~r\\-asl, lax'. A""\o..n\Cl. <Sa.. ~~l,"
J

r Cosh Amount I (total)

General Description

In-kind Contributions
-'-('-it'e~Im=-i'z-e--)---E;;-s--:t~im-o-'-te~d'-

Volue
._~~+-~~~~~~---~-+---- ~ ~ -

WOOO ~tc?'e ~U(,"iruN_
"T'i~wr~tersL'L)

300.00 lCOOO

At\o..1\~a. No..\-\ono.\ ~\( ?~o..~n;'f'H S"t ,N.; .
A--t\~Y\\o.) G-~. ~~3

1 3,000. 00

<:-0 - S'ql'\-et'~ ..
\. '3'~1\ '-. "~wSlo'"
\15\5 '3o\e.i\e. t>r .
?, 'E~\ ~o,~,;') G-o..~!>,~
'1.... c;. Q,t'a\C\ V\s.;'~r
\\;, \)\'\'!;)wort" \)Q.. At\QY\\<A )Ga.~C)",

~o...n\t Loo..n ~('
c:.o.."" ?o...\J""

Ro\:>eri- f\. ~\J"ns
\OIS WOOdbUf'y Q.c\.
At\o...V\'to. ) &0... ~~~
G~orqe c.('\~p
\5'!5~ Y"\e.oAotu Lo..ne '\)c..\~e..(" I G-o... ~.34q

\~.oo
'too 00

Emp )o1e~ of .Jone~ fnf,l
Co.

(:tiel e,:,r\o'l~e':. mack, a. C\"ou~

cc>\'\-\~\'bu.i'\O"
c.o"'''r\pu.''\oW'\

I

\o'"1v0trc;".\~~.,\oy~o)

3\S.oo

12

-2.- PogeJ__ of

poges of Form (-3

Expenditures Form C-3 must be followed by one or more sheets of
Campaign Disclosure Form C-4, (white) "Campaign Expenditures Made by a Candidate or a Candidate's Committee". An example of Form C-4 is shown on Page 14.
Recipients of expenditures should be listed in alphabetical order and only once on Form C-4. Immediately following the recipient's name and mailing address must be a notation of his occupation or place of employment, if he is an individual and not a firm or other organizational entity. Only the total amount of expenditures made to a given recipient during a reporting period need be shown, as long as the description of the "general purpose" of the expenditures adequately reflects the entire range of purposes. If Expenditure Cards are used to maintain records of all expenditures, as discussed earlier, the information may be posted directly from a recipient's card to Form C-4. The fact that amounts have been posted to Form C-4 could be noted on a given expenditure card simply by drawing a line under the latest transaction posted, entering the report date on the next line in the "Date" column, and noting the amount posted to Form C-4 in the "Amount Reported" column. The example on this page illustrates this procedure. Note that only the amount expended since the last report need be reportednot the cumulative amount.
As with contributions, the Act requires the reporting of expenditures only at such times as a recipient's cumulative amount reaches $101 or more. However, all expenditures, regardless of amount, may be reported, if desired.

EXPENDITURE CARD

Name of recipient

/til J) ?r;1U f/Aln CO.

(/'

C Pr Occupation or place of employment

0/n1Yl ~1"1"'a.. /

/A)"I P /' ~

aa Business mailing address /;2.)~ ;()"fA Sil'e.e.t

fJf/Alt/fA

3'O.1Q':<.

I

Date

5/;'0

(P//D ~/:lo
45 day report} (P/~1p before primary
7/3

")1;./

15 day report }

before primary 7J"f4

gIl"

15 day report } after primary

'tJ:lO

Check No.
/0 ~lf
30
'fS-
(D:1,.
71

General Purpose

Cd.m .n12 ,'/1 JU /l". (' fp /' "-

n: :'rt Ca..';' D4~'~1V I f1!u,lI"S

C a.

~'I: 0 (A.

AJ rJ

f iJ /'~ t"

C. a.. hi ~~ i I:'IV f'/I~~ r-'i

',n (! a. , h7

/L;~ A J "

,,,;... ~ fp.r<:.

C a..frI " ~ ",~ III Iv /J/r I"e..t

Amount

Cumulative

Amount Reported

/5"0.00 JSO.DO

:<00. DO
7S".oo

:J(;'O.OO lf~!:,DO

y.:lj~()O

;).~5:()() ~>O,()O

300.00 ClSO.DO

S.:lS".()O

/:2>.00 ID?S'. Do I AS: Do

FRONT

13

Campaign Disclosure
FORM C-4
Rev. 4/76

CAMPAIGN EXPENDITURES MADE BY A CANDIDATE OR A CANDIDATE'S CAMPAIGN COMMITTEE

Far office use only

"Expenditure" means a purchase, payment, distribution, loan, advance, deposit or gift of money or anything of value made for the purpose of influencing the nomination for election or election of any person ... the term specifically shall not include the value of personal services performed by persons who serve without compensation from any source and on a voluntary basis. GA. Code Annotated Section 40-3803.

1. Full name of candidate:

jobn

~

first

middle

2. This report includes expenditures from

~l.Q \9110 to

manti

day

year

JOne s

last
:::Jt ,nf .2.lD 1'\1 b

month

day

year

list nam-es o-f- ;eci~ie-nts in -al~~-b~ti-~~d~-r~--llf~~cipient is an individual,

with mailing address and zip code. List each con-l'ist occupatiO.n or place of

tributor only once.

employment.

----- _._--- - - - - . _ - - - - - - - - - - - - _ . - - - - - - - - - - - - - - - - - - - - --

-_.,-------------

AAA "('\Y'\"\;~~.(JO.
\').,.\1. \Ot.b _'St- J Iv.W . M\~V\,"~ I G=o.. - ~O~O~

Expenditures ~-eral-p-u-rp-o-se--__=~[------ Am-~u-~t-

?\"\\'\~\\'\~ a",

L\~.oo

Ct\Y'<\?~jY\ \~\~ro..~re

Ro..Y\~0A.\\ ~. Grorc\o n 2..,,~ \'\':h ~;-. )N .W .
A~ \o..V\\O J Ga... ~O!lO~
Mo..J'1 J ~(,\(Son
\?..1S f \.J,.\V\'i Dr. )s.. 'vJ .
A"T\o...V\\Q.) -.1&0... ~03\~

1('":I.\\\.l...StN).:\or I ?O~~f o..f''t Wor~.1 \~1.0o
\~. '\'>If\.~.,I)
i Qomm\ \\~e '\-0 I ~\Q.t1-secre...'~tl I '}.,()o 00
IQ.\e.c.;- :r~" "3oNS
i I
i
I

?e.o.mi Ne. 1> reSS \~~ C-\\Y\\-ot\ Si' \N.~ .
A"'\o..n'\a) Qo.. oo~~?v
S~''iU\Vi el~Ye\ o.?eX"\o'.iQree.rQi.'\eC.s.our1
A't\o..V\,"~ ) G-Q.. ~O~o3

Ne.\.uS.'Po. ~r
o.c\ve.\'"T\~\nj

\'152..3

()~\<.e. s.~~e.
\"Q.V\ "<A..\

~15.00

14

.1.- .3- Page __ of

pages of Form C4

Q: If no contributions are received or no expenditures are made during a reporting period that meet the reporting requirements, must Forms C-3 and C-4 be submitted?
A: Yes, with the notation "none" in the left-hand column, indicating that there were no contributions or expenditures that met the reporting requirements.
Q: Must contributions of less than $101 that aggregate to a "common source" be reported?
A: Yes, if they are "knowingly" received from a "common source" and such contributions are not reported individually, they must be aggregated and reported no later than the Dec. 31 final report.
Q: When is the cut-off date for listing contributions and expenditures in each report filing?
A: Each report should list contributions and expenditures received or made through the date of that report. The next report would include all contributions and expenditures received or made after the date of the previous report. For example, if a report due IS days before an election-and a final December 31 report are being filed, the IS-day report would include contributions and expenditures received or made up through that date; and contributions and expenditures received or made after the

15 day report would be included in the December 31 report. Q: Are there spending limits for candidates under the Act? A: Section SA of the Act sets out spending limits for the office of Governor, constitutional statewide offices, and State Senate and House offices. However, on January 30, 1976, the U. S. Supreme Court in the case of Buckley v. Valeo, 44 U. S. L. W. 4127, declared spending limitations on candidates, individuals, groups, and political parties to be unconstitutional as a violation of the First Amendment. In an opinion letter to the State Ethics Commission on February 9, 1976, the Attorney General's office in Georgia advised that in light of the U. S. Supreme Court decision, the spending ceiling provision (Section SA) for candidates in Georgia is in all probability, unconstitutional. Q: Where can the report forms be obtained? A : The Secretary of State has forms available in the Elections Division, State Capitol, Atlanta, Georgia. Additionally, the Secretary of State has provided every county and municipality with forms for use by candidates for local office. These may be obtained in the office of the Judge of the Probate Court in every county, and the office of the City Clerk in every municipality.

15

WHERE REPORTS ARE FILED The following table indicates where committee registra-
tion and campaign disclosure report forms should be filed.

TYPE OF OFFICE SOUGHT

REPORT AND
FORMS
CAMPAIGN COMMITTEE REGISTRAnON (blue Form C-l)

STATE

COUNTY

MUNICIPAL

ALL CANDIDATES FILE WITH: Ben W. Fortson, If. Secretary of State State Capitol Atlanta, Georgia 30334

CAMPAIGN DISCLOSURE
REPORTS (white Forms C-2 ,
C-3, C-4)

FILE WITH: SECRETARY OF STATE
and copy with
Judge of the Probate Court in candidate's county of residence

FILE WITH: JUDGE OF THE PROBATE
COURT in county of
election and
if candidate has no opposition for nomination or election, also with Secretary of State

FILE WITH: CITY CLERK in the
municipality of
election and if candidate has no opposition for nomination or election. also with Secretary of State

16

Complaints & Penalties
for Violation of the Act
The Act provides that any person who knowingly fails to comply with, or who knowingly violates any of the provisions of the Act shall be guilty of a misdemeanor on the first offense, and upon the second or subsequent offense, shall be guilty of a felony, and upon conviction, shall be punished by imprisonment for not less than one, nor more than five years, or by a fine not to exceed $5,000, or both.
The Act also sets up a procedure whereby formal complaints may be filed with the State Ethics Commission when there is a suspected violation of the Act. Any person who feels a candidate has knowingly violated any provision of the Act need only notify the Commission in writing, stating the name of the person bringing the complaint, the name of the candidate upon whom the complaint is brought, and a statement of the facts upon which the complaint is based.
The Commission will send a copy of the complaint to the candidate, giving the candidate an opportunity to respond to the complaint in writing, if desired. If after preliminary investigation, the Commission determines there is a factual basis for the complaint and further proceedings are warranted, it will schedule a hearing on the matter of the complaint, notifying all interested parties. If there is no factual basis for the complaint, the complaint will be dismissed, subject to being reopened upon dis-

covery of additional evidence or relevant material. If a hearing is warranted and held on the matter of the
complaint, all parties will have the opportunity to be heard and present evidence, and have legal counsel present if desired.
If after reaching a final decision on the complaint, the Commission feels a violation of the Act has occurred, it has the authority to:
1. Direct compliance by the violator. 2. Direct the violator to make public corrected
statements or reports. 3. Make public its conclusions that a violation has
occurred. 4. Request criminal prosecution of the violator by
appropriate law enforcement authorities. The Commission may petition the Superior Court in the county of residence of the violator to enforce its orders or initiate actions to enjoin or restrain any violation or threatened violation of the Act.

... If You Have Questions...
Contact your local City Clerk's office or Judge of the Probate Court's office for forms and copies of the Act.
If you cannot get answers to your questions locally, caU or write the Elections Division, Office of the Secretary of State, State Capitol, Atlanta, Georgia; telephone (404) 656-2871
OR
call or write the State Ethics Commission, 148 Cain Street, N.E., Suite 642, Atlanta, Georgia; telephone (404) 656-2764.
17

Name of contributor Address
City Occupation Place of business Business address Telephone no.
Date Cash Amount

CONTRIBUTION CARD

Street Number and Name

County

State

Zip

In-Kind Contribution
General Description

.~- --.- .. - . - - - - - - - - - - - r - - - - - - -

Estimated Value

Cumulative Amount Reported

Cash Date Amount

FRONT

In-Kind Contribution
General Descri ption

Estimated Value

Cumulative

Amount Reported

BACK 18

Name of recipient Occupation or
place of employment
Business mailing address

EXPENDITURE CARD

Date Check No.

General Purpose

Amount

Cumulative

Amount Reported

Date Check No.

FRONT

Genera I Purpose

Amount Cumulative Amount Reported

BACK
19

1976 PRIMARY AND GENERAL ELECTION I<'IUNG DATES
(State and County Elections) 45 day report before the primary election
.. due June 26,1976 15 day report before the primary election
.. due July 26, 1976 lO day report after the primary election
.. due August 20, 1976 15 day report before the general election
.. due October 18,1976 December 31 year end report
.. due no later than December 31, 1976
Prepared by Georgia State Ethics Commission
With assistance from Peat, Marwick, Mitchell & Co. Certified Public Accountants