Performance Details

Department of Administration - Alaska Public Offices Commission

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Mission

Administer Alaska's disclosure statutes and publish financial information regarding the activities of election campaigns, public officials, lobbyists and lobbyist employers.

Core Services

• Interpret the disclosure laws and assist persons in complying, conduct training seminars, provide reporting forms and manuals of instruction for candidates, groups, lobbyists, and public officials.
  
• Enforce the disclosure laws by tracking required reports, assessing civil penalties, and complaint investigation.
• Examine and compare reports for possible violations of disclosure law.
• Publish reports filed by election campaigns, public officials, lobbyists and lobbyist employers.

Mission Results	Core Services
A: Administer Alaska's disclosure statutes.  Details >	A1: Interpret the disclosure laws and assist persons in complying, conduct training seminars, provide reporting forms and manuals of instruction for candidates, groups, lobbyists, and public officials.  Details > TARGET #1: Provide public service and training to candidates, groups, lobbyists and employer of lobbyists, and public officials. TARGET #2: Provide timely advisory opinions. A2: Enforce the disclosure laws by tracking required reports, assessing civil penalties, and complaint investigation.  Details > TARGET #1: Notify delinquent filers, assess civil penalties for late-filed reports; assist filers through appeal process. TARGET #2: Complete complaint investigations within applicable timelines. A3: Examine and compare reports for possible violations of disclosure law.  Details > TARGET #1: Conduct audits of reports submitted under AS 15.13, AS 3.950, AS 24.60, and AS 24.45.
Mission Results	Core Services
B: Publish financial information regarding the activities of election campaigns, public officials, lobbyists and lobbyist employers.  Details >	B1: Publish reports filed by election campaigns, public officials, lobbyists and lobbyist employers.  Details > TARGET #1: Ensure reports and data filed with APOC is available and accessible to the public.

Performance Detail

Target #1: Provide public service and training to candidates, groups, lobbyists and employer of lobbyists, and public officials. Staff Hours Spent on Training and Direct Service Year Training Total Hours Dir Svc Total Hours 2020 160 3112 2019 185 1990 2018 160 1990 2017 198.3 1827 2016 106 1172 2015 294 2375 2014 721 3717 2013 1255 3469 Analysis of results and challenges: APOC provides training to all filers. In addition to the number of people served through in-person training sessions, participants are also able to attend sessions online via webinars. Lobbyists and employers of lobbyists are required, by statute, to complete training on the lobbying laws and ethics on an annual basis. The agency provides a series of in-person trainings for lobbyists leading into the new year. The training program can also be completed online. 2020 data is through end of FY20 (June 30). The agency is looking toward providing more self-paced training online for other areas of the law in the future; however, staffing levels, to date, have stymied these efforts. Nevertheless, the agency still deems in-person sessions as critical to its educational efforts. Although the agency endeavors to provide training in various locations throughout the state, travel costs and staffing levels have curtailed most travel to venues outside of Anchorage or Juneau. Additionally, reductions in staff make it challenging to provide outreach, as preparing and delivering training consumes a substantial amount of time. The agency also prioritizes its direct service to the public. APOC staff encourages filers and the public to reach out with questions by telephone or e-mail. This activity contributes to the training and outreach service as it provides staff the opportunity to engage with filers, to provide guidance on best practices based on specific facts and scenarios, and to monitor trending issues that may need to be further addressed through additional training and development. As with other aspects of APOC's work, this activity increases as reporting deadlines approach.

Target #2: Provide timely advisory opinions. Opinion Response Time Year # Opinions Requested Avg. Resp. Time in days 2020 0 0 2019 4 7 2018 3 7 2017 3 7 2016 4 5 2015 2 6 2014 20 6.1 2013 7 8.57 Analysis of results and challenges: Staff are charged with preparing advisory opinions within seven days of receiving a request for formal guidance. Providing thorough timely responses to advisory opinion requests within the mandated timeline will always be a challenge. Single straightforward questions require less time than multi-tiered, complex questions which require in-depth research and department of law review. The agency has seen a general decline in requests since 2012, which may be attributable to its education and outreach efforts. 2020 data is through the end of FY20 (June 30).

Target #1: Notify delinquent filers, assess civil penalties for late-filed reports; assist filers through appeal process. Civil Penalties Year Civil Penalties Civil Penalties Appealed Referred to AG 2020 154 18 26 2019 214 85 52 2018 286 70 14 2017 374 137 34 2016 370 153 40 2015 256 120 12 2014 471 258 18 2013 284 83 10 Analysis of results and challenges: APOC enforces the statutes and regulations that require timely filing of financial reports. Staff is responsible for assessing civil penalties for late-filed reports. Filers can either pay the assessed penalty or they may appeal the assessment to the Commission. Filers who do not pay or appeal their civil penalty are referred to the Attorney General's Office. In even calendar years, when activity includes municipal and statewide elections, reportable activities peak, and the increased activity generally generates more penalty assessments. Additionally, in 2014, it became evident that many contributors were unaware of the statement of contribution reporting requirement which resulted in a rise in civil penalty assessments. APOC has since made targeted efforts to educate ballot groups and raise awareness of this requirement and has seen a substantial decline in penalty assessments associated with those reports. The agency has also adopted new regulations which allows for a reduction in the maximum penalty during staff's initial assessment up to and including a complete waiver for many of these first-time violations. In instances where mitigating factors may be applicable, filers are encouraged to appeal their assessed penalties. This allows staff to recommend the Commission further reduce, or in certain instances, waive a civil penalty based on standard criteria codified in regulation. 2020 data is through the end of FY20 (June 30).

Target #2: Complete complaint investigations within applicable timelines. Complaints Year Complaints Filed Initiated by Public Initiated by APOC 2020 10 8 2 2019 5 3 2 2018 11 10 1 2017 3 3 0 2016 6 6 0 2015 9 6 3 2014 14 14 0 2013 12 8 4 Analysis of results and challenges: APOC staff must determine whether a complaint can be accepted based on specific criteria within one day of receipt. If accepted, staff must complete an investigation and issue its report within 30 days. This abbreviated timeline can be challenging to meet when complaints involve voluminous records, complex issues or multiple parties. A party may also request expedited consideration of a complaint. A request for expedited consideration must be considered by the Commission within two days. If the Commission determines the complaint warrants expedited consideration, a hearing on the complaint must then be held within 2 days. Unlike a regular complaint, APOC staff is not a party in an expedited complaint, and the party that requests expedited consideration bears the burden of proof. 2020 data is through the end of October 2020 and does not include an account of complaints that were ultimately rejected for investigation. Election years that see controversial ballot measures or contentious races lead to more complaints filed. This can be attributed to the increased publicity surrounding these measures or races, as well as the increased financial activity that occurs when there are staunch supporters from both sides. This has been the case leading into the 2020 General Election. APOC staff continues to prioritize training, auditing and direct service to the public in its effort to provide more transparency, but to also curtail violations and civil penalties. Training efforts combined with service to the public and auditing reports has facilitated more consistent filing and has also resulted in less complaints.

Target #1: Conduct audits of reports submitted under AS 15.13, AS 3.950, AS 24.60, and AS 24.45. Audited Reports Year Total Reports Received Total Reports Audited % Audited 2020 8087 477 6% 2019 5900 1004 17% 2018 5952 1159 19% 2017 5735 1640 29% 2016 6324 4638 73% 2015 5241 5091 97% 2014 8446 3107 37% 2013 4797 3538 74% Analysis of results and challenges: In light of budget reductions and the associated loss of personnel, APOC is unable to comprehensively audit every report it receives. Instead, staff conducts limited audits of daily filings to identify major deficiencies. Auditing for each area of law is unique and certain types of reports take more time than others. Specifically, campaign disclosure reports require a review and cross-check of transaction data to ensure compliance. Depending on the type and size of the campaign, this can range from a few, to thousands of entries. Staff will endeavor to fully audit reports as time allows, but given the current staffing level, comprehensive auditing of all reports is unrealistic. 2020 data is through September 30.

Target #1: Ensure reports and data filed with APOC is available and accessible to the public. Number of Public Records Request Year Records Request POFD Requests CD Requests 2020 84 84 0 2019 90 89 1 2018 43 39 3 2017 42 36 3 2016 34 20 12 2015 36 15 11 2014 45 19 4 2013 29 13 5 Analysis of results and challenges: The vast majority of the reports are filed electronically and are accessible to the public online which has resulted in less burdensome public records requests. In consideration of the potential negative effect on membership of volunteer Boards and Commissions, difficulty in recruiting appointed members of the executive branch and matters of security for judicial officers; the Commission does not publish all public official financial disclosure (POFD) statements online. They are, however, still public records and have been the subject of the majority of the agency's public records requests followed by historical campaign disclosure (CD) information. 2020 data is through September 30.

Current as of December 4, 2020