In Re: Karen Heriot - Florida Election Commissionfile/13-072+Heriot,+Karen_Redacted.pdf106 141(1),...

In Re: Karen Heriot

TO: Karen Heriot I 006 Corbin Court Oviedo, Florida 3 27 65

STATE OF FLORIDA FLORIDA ELECTIONS COMMISSION

Case No.: FEC 13-072

Barbara Barbour, Oviedo City Clerk 400 Alexandria Blvd .. Oviedo, Florida 32765

NOTICE OF HEARING (INFORMAL HEARING)

A hearing will be held in this case before the Florida Elections Commission on May 6, 2014, at 10:00 am, or as soon thereafter as the parties can be heard, at the following location: Senate Office Building, Room S-110, 404 South Monroe Street, I allahassee, FL 32399 ..

Failure to appear in accordance with this notice will constitute a waiver of your right to participate in the hearing Continuances will be granted only upon a showing of good cause

This hearing will be conducted pursuant to Section 106 25, Florida Statutes, which governs your participation as follows:

If you are the Respondent, you may attend the hearing, and you or your attorney will have 5 minutes to present your case to the Commission. However, some cases (including those in which consent orders or recommendations for no probable cause are being considered) may be decided by an en mas se vote and, unless you request to be heard 01 the Commission requests that your case be considered separately on the day of the hearing, your case will not be individually heard.

If you are the Complainant, you may attend the hearing, but you will not be permitted to address the Commission. In addition, some cases (including those in which consent orders or recommendations for no probable cause are being considered) may be decided by an en mas se vote and, unless the Respondent requests to be heard or the Commission requests that the case be considered separately on the day of the hearing, the case will not be individually heard

If you are an Appellant, and you have requested a heating, you may attend the hearing, and you 01 your attorney will have 5 minutes to present your case to the Commission

Please be advised that both confidential and public cases are scheduled to be heard by the Florida Elections Commission on this date. As an Appellant, Respondent 01 Complainant in one case, you will not be permitted to attend the hearings on other confidential cases

The Commission will electronically record the meeting Although the Commission's recording is considered the official record of the hearing, the Respondent may provide, at his own expense, a certified court reporter to also record the hearing

If you require an accommodation due to a disability, contact Donna Malphurs at (850) 922-4539 or by mail at 107 West Gaines Street, The Collins Building, Suite 224, Tallahassee, Florida 32399, at least 5 days before the hearing

See fur th er· instructions on the reverse side.

J!.my 9dc1Ceever 'Toman Executive Director· Florida Elections Commission April 16, 2014

Please 1efo1 to the info1mation below fo1 furthe1 instrnctions related to your paiticular heaiing:

If this is a heaiing to consider an appeal from an automatic fine, the Filing Officer has imposed a fine on you fo1 your failure to file a cainpaign treasurer's report on the designated due date and, by filing an appeal, you have asked the Commission to consider either (1) that the 1ep01t was in fact timely filed; or (2) that there were unusual circumstances that excused the failme to file the repo1t timely You aie 1equi1ed to p10ve your case If the Commission finds that the repo1t was filed timely 01 that there were unusual circumstances that excused the failure, it may waive the fine, in whole or in pait The Commission may reduce a fine after conside1ing the factors in Section 106 265, Flotida Statutes If the Commission finds that the report was not timely filed and there were no unusual ci1cumstances, the fine will be upheld.

If this is a heaiing to consider a consent order before a determination of probable cause has been made, the Commission will decide whether to accept 011eject the consent ordet If the Commission accepts the consent order, the case will be closed and become public .. If the Commission rejects the consent order or does not make a decision to accept 01 deny the consent order, the case will remain confidential, unless confidentiality has been waived

If this is a hearing to conside1 a consent order after a determination of probable cause has been made, the Commission will decide whether to accept or reject the consent order If the Commission accepts the consent 01der, the case will be closed If the Commission rejects the consent order 01 does not make a decision to accept or deny the consent 01der, the Respondent will be entitled to another heaiing to dete1mine if the Respondent committed the violation(s) alleged

If this is a probable cause hearing, the Commission will decide if there is p10bable cause to believe that the Respondent committed a violation of Florida's election laws. Respondent should be prepaied to explain how the staff in its recommendation inconectly applied the law to the facts of the case Respondent may not testify, call others to testify, or introduce any documentary or other evidence at the probable cause hearing The Commission will only decide whether Respondent should be charged with a violation and, before the Commission determines whethet a violation has occur1ed or a fine should be imposed, Respondent will have an opportunity for another hearing at which evidence may be int10duced

If this is an informal hearing, it will be conducted pursuant Sections 120.569 and 120.57(2), Florida Statutes; Chapte1 28 and Commission Rule 2B-1 004, Florida Administrative Code At the hearing, the Commission will decide whether the Respondent committed the violation(s) charged in the Order of Prnbable Cause The Respondent will be permitted to testify However the Respondent may not call witnesses to testify

Respondent may argue why the established facts in the Staff Recommendation do not support the violations chaiged in the Order of Prnbable Cause At Respondent's request, the Commission may determine whethe1 Respondent's actions in the case were willful The Respondent may also address the appropriateness of the recommended fine. If Respondent claims that his limited resources make him unable to pay the statuto1y fine, he must provide the Commission with written proof of his financial resources at the heaiing .. A financial affidavit form is available fiom the Commission Clerk

13 OEC -4 AM 9: 28

S'f',1 .~·,·. ci: ;:-·coi··~ID.L; STATE OF FLORIDA Fi 1:cc-·ilF'" G""'·!/SSIO"J

FLORIDA ELECTIONS COMMISSION __ ,_ I .vth> ui)i. v . 'h

In Re: Karen Herfot Case No.: FEC 13-072

ORDER OF PROBABLE CAUSE

THIS MATTER was heard by the Florida Elections Commission at its meeting on

November 13, 2013, in Tallahassee, Florida

Based on the Complaint, Report of Investigation, Staffs Recommendation, and oral

statements (if any) made at the probable cause hearing, the Commission finds that there is

probable cause to charge Respondent with the following violation:

Count I

On or about February 4, 2013, Respondent violated Section 106 141(1), Florida Statutes, when Respondent failed to file her 2012 Termination Report reflecting the disposition of all remaining campaign funds

DONE AND ORDERED by the Florida Elections Commission on November 13, 2013.

Copies furnished to: J aakan A Williams, Assistant General Counsel Karen Heriot, Respondent Barbara Barbour, Oviedo City Clerk

NOTICE OF RIGHT TO A HEARING

As the Respondent, you may elect to resolve this case in several ways First, you may elect to resolve this case by consent order where you and Commission staff agree to resolve the violations and agree to the amount of the fine The agreed to consent order is then presented to the Commission for its approval.. To discuss a consent order, contact the attorney who signed the Staff Recommendation attached to the Order of Probable Cause

Second, you may request an informal hearing held before the Commission, if you do not dispute any material fact in the Staff Recommendation.. You have 30 days from the date of the Order of Probable Cause to request such a hearing At the hearing, you will have the right to make written or oral arguments to the Commission concerning the legal issues related to the violations and the potential fine.. At the request of Respondent, the Commission will consider and determine willfulness at an informal hearing Otherwise, live witness testimony is unnecessary

Third, you may request a formal hearing held before an administrative law judge in the Division of Administrative Hearings (DOAH), if you dispute any material fact in the Staff Recommendation You have 30 days from the date of the Order of Probable Cause to request such a hearing At the hearing, you will have the right to present evidence relevant to the violation(s) listed in this order, to crnss-examine opposing witnesses, to impeach any witness, and to rebut the evidence presented against you ..

If you do not elect to resolve the case by consent order or request a formal hearing at the DOAH or an informal hearing before the Commission within 30 days of the date of this Order of Probable Cause, the case will be sent to the Commission and you will be entitled to a formal or informal hearing

Io request a hearing, please send a written request to the Commission Clerk, Donna Ann Malphurs The address of the Commission Clerk is 107 W Gaines Street, Collins Building, Suite 224, Tallahassee, Florida 32399-1050 The telephone number is (850) 922-4539. The Clerk will provide you with a copy of Chapter 28-106, Florida Administrative Code, and other applicable rules upon request No mediation is available.


In Re: Karen Heriot Case No.: FEC 12-420 & 13-072

TO: Karen Heriot 1006 Corbin Court Oveido, FL 32765

Barbara Barbour Oviedo City Clerk 400 Alexandria Blvd. Oviedo, FL 32765

NOTICE OF HEARING

A hearing will be held in this case before the Florida Elections Commission on November 13, 2013, at 9:00 am, 01

as soon thereafter as the parties can be heard, at the following location: Senate Oflice Building, Room 110-S, 404 South Monroe Street, Tallahassee, FL 32399.

Failure to appear in accordance with this notice will constitute a waiver of your right to participate in the hearing. Continuances will be granted only upon a showing of good cause

This hearing will be conducted pursuant to Section 106 25, Florida Statutes, which governs your participation as follows:

If you are the Respondent, you may attend the hearing, and you or your attorney will have 5 minutes to present your case to the Commission. However, some cases (including those in which consent orders or recommendations for no probable cause are being considered) may be decided by an en masse vote and, unless you request to be heard or the Commission requests that your case be considered separately on the day of the hearing, your case will not be individually heard

If you aie the Complainant, you may attend the hearing, but you will not be permitted to address the Commission In addition, some cases (including those in which consent orders or recommendations for no probable cause are being considered) may be decided by an en mas se vote and, unless the Respondent requests to be heard or the Commission requests that the case be considered separately on the day of the hearing, the case will not be individually heard.

If you are an Appellant, and you have requested a hearing, you may attend the hearing, and you or your attorney will have 5 minutes to present your case to the Commission

Please be advised that both confidential and public cases are scheduled to be heard by the Florida Elections Commission on this date. As an Appellant, Respondent or Complainant in one case, you will not be permitted to attend the hearings on other confidential cases ..

The Commission will electronically record the meeting Although the Commission's recording is considered the official record of the hearing, the Respondent may provide, at his own expense, a certified court reporter to also record the hearing

If you require an accommodation due to a disability, contact Donna Malphurs at (850) 922-4539 or by mail at I 07 West Gaines Street, The Collins Building, Suite 224, Tallahassee, Florida 32399, at least 5 days before the hearing

See fin th er instructions on the reverse side ..

fl"!Y :MCKpwer<Toman Executive Director Florida Elections Commission October 24, 2013

In Re: Karnn Heriot

( I



AMENDED STAFF RECOMMENDATION FOLLOWING INVESTIGATION

Pwsuant to section 10625(4)(c), Flotida Statutes, undersigned staff counsel files this w1itten recommendation for disposition of the complaint in this case recommending that there is probable cause to chruge Respondent with violating Section 106.141(1), Florida Statutes .. Based upon a thorough review of the Report of Investigation submitted on May 28, 2013, the following facts and law support this staff recommendation:

L On Februruy 22, 2013, the Florida Elections Commission ("Commission") received a sworn complaint from Barbara Barbour ("Complainant") alleging that Karen Heriot ("Respondent") violated Chapter 106, Florida Statutes

2 Respondent was a candidate for the Oviedo City Council, Seat 3, in the 2012 election cycle and was defeated in the November 6, 2012 General Elections 1

1 By letter dated Aptil 29, 2013, the Executive Director notified Respondent that Commission staff would investigate the following statutory provision:

Section 106.141(1), Florida Statutes: Karen Heriot, candidate for City of Oviedo Council Seat Group III and designated as the treaswer for her own campaign, failed to file her 2012 Termination Report reflecting the disposition of all remaining crunpaign fonds, after notice flom the City of Oviedo, that the report was due on Februruy 4, 2011.

4. Respondent filed her Appointment of Campaign I reaswe1 and Designation of Crunpaign Depository form ("DS-DE 9") with the Oviedo City Clerk on August 30, 2012, and designated herself as T reaswer. (ROI Exhibit 1)2

5. On August 30, 2012, Respondent acknowledged receiving an election packet that included the "City of Oviedo Report Filing Schedule " The schedule informed Respondent that her 2012 I ermination Report ("TR") was due by Februruy 4, 2013. (ROI Exhibit 2)

1 Because the municipal election was one of the races on the November 6, 20 l 2 general election ballot, Respondent was required to file her reports electronically with the Seminole County Supervisor of Elections' office and also file a paper copy of the report with the Oviedo City Clerk. (ROI Exhibit 2)

2 The Report of Investigation is referred to herein as "ROI"

Staff Recommendation FEC 13-072 1

2012 Termination Report

6 On January 16, 2013, Respondent's filing officer sent an email reminding Respondent that her 2012 TR Report was due by the close of business on Monday, Febrnary 4, 2013 .. The reminder was sent to the email address Respondent provided on her DS-DE 9 form (ROI Exhibit 3)

7. Despite having received the City of Oviedo Filing Schedule and an email reminde1 from her filing office1, Respondent failed to file her 2012 TR Repo1t on Febrnary 4, 2013 (ROI Exhibit 4)

8 On Febmary 6, 2013, Respondent's filing office1 sent her a letter via certified mail, return receipt requested, notifying Respondent that a review of theiI files failed to reflect that Respondent's 2012 TR Report that was due on Febma1y 4, 2013, had been filed (ROI Exhibit 4)

9 On 01 about August 29, 2013, Respondent electronically filed he1 2012 Te1mination Repo1t Howeve1, Respondent's 2012 Termination Report is not yet available for viewing by the public because Respondent failed to file the required pape1 copy of her repo1t with the Oviedo City Clerk ( Attachment "A" - Phone Log En!Iy 10)3

10. "Prnbable Cause" is defined as reasonable grounds of suspicion suppo1ted by circumstances sufficiently strnng to warrant a cautious person in the belief that the pe1son has committed the offonse cha1ged Schmitt v. State, 590 So2d 404, 409 (Fla 1991). Probable cause exists where the facts and circumstances, of which an [investigator] has reasonably tmstw01thy information, are sufficient in themselves for a reasonable man to reach the conclusion that an offonse has been committed Department of Highway Safety and Motor Vehicles v Favino, 667 So 2d 305, 309 (Fla 1'' DCA 1995).

11 The facts set forth above show that Respondent was a candidate fo1 the Oviedo City Council, Seat 3, in the 2012 election cycle Respondent filed her Appointment of Campaign T reasme1 and Designation of Campaign Deposit01y fo1m designating herself as campaign treasme1 on August 30, 2012, and was requiied to file her 2012 TR Rep01t no later than Febmary 4, 2013. Respondent's filing officer sent an email to Respondent on January 16, 2013, as a reminder that her 2012 TR Repo1t was due by Febmary 4, 2013.. Despite having received the City of Oviedo's Filing Schedule and a comtesy email from her filing officer, Respondent failed to file he1 2012 TR Repo1t by the deadline ..

3 On the City of Oviedo Repott Filing Schedule, the middle paragraph states the following:

Reports must be filed online through the Seminole County Supervisor of Elections Online Treasurer Repotting System .. After completion, you must print a hard copy, sign it, and provide it to the City Clerk by the filing date (ROI Exhibit 2)

Staff Recommendation F· EC 13-072 2

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The above facts also show that on February 6, 2013, the Oviedo City Clerk mailed a letter to Respondent via certified mail informing Respondent that the Clerk's office had not received Respondent's 2012 IR Report However, on August 29, 2013, Respondent filed her 2012 I ermination Report electronically with the Seminole County Supervisor of Elections Office, but Respondent did not file a hard copy with the City Clerk's Office pursuant to the City of Oviedo 's Filing Schedule instrnctions As of September 23, 2013, Respondent still has not filed the paper copy of her 2012 Termination Report, so it is not viewable or available to the public

Based upon these facts and circumstances, I recommend that the Commission find probable cause to charge Respondent with violating the following statutory provision:

Count 1:

On or about Febrnary 4, 2013, Respondent violated Section 106141(1), Florida Statutes, when she failed to file a report within 90 days after she withdrew her candidacy for Oviedo City Council ..

Staff Recommendation FEC 13-072

Respectfully submitted on October J__, 2013.

fuakarr A wmlams Assistant General Counsel

3

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FLORIDA ELECTIONS COMMISSION PHONE LOG


Respondent: Karen Heriot

Complainant: Barbara Barbour

1 Date and time: May 9, 2013@ 10:00 am Name: Complainant Phone#: (407) 971-5504 Summary: I had telephone contact to determine the best method to obtain Respondent's candidacy information and other relevant information pertaining to this investigation Complainant states that she will email the requested information to my attention. I thanked her for her assistance in this matter. Memo to File? No Entered by: CKO

2 Date and time: May 9, 2013 @ 2:28 pm Name: Respondent Phone#: (407) 748-1069 Summary: I attempted telephone contact to inquire as to the status of her 2012 TR Report and to complete final interview I left a message to return my call Memo to File? No Entered by: CKO

3. Date and time: May 13, 2013@ 10:45 am Name: Respondent Phone#: (407) 748-1069 Summary: I attempted telephone contact to complete final interview I left a message to return my call. Memo to File? No Entered by: CKO

4 Date and time: May 13, 2013@ 11 :00 am Name: Complainant Phone#: (407) 971-5504 Summary: I had telephone contact to request copies of Respondent's previous filed reports Complainant states that Respondent only filed a 2012 Gl Report. Complainant states that there have been no other reports filed by Respondent at any time.. Complainant states that she has sent me a copy of Respondent's only filed report I thanked her for her assistance with this matter Memo to File? No Entered by: CKO

5 Date and time: May 24, 2013@ 8:05 am Name: Respondent Phone#: (407) 748-1069

I InvOOI (10/07)

Summary: I attempted telephone contact to complete final inte1view. I left a message to return my call. Memo to File? No Entered by: CKO

6.. Date and time: May 28, 2013 @ 3: 10 pm Name: Respondent Phone #: ( 407) 7 48-1069 Summary: I attempted telephone contact to complete final inte1view I left a message to return my call Memo to File? No Entered by: CKO

7 Date and time: 08/26113; late afternoon Name: Respondent Phone #: called me Summary: Respondent telephoned FEC and informed me (the agency cle1k) that she had received our letter advising he1 we were investigating her failure to file a repo1t (letter of legal sufficiency). Respondent also stated that she doesn't know what she should do to file the missing repo1t because she only issued 4 checks for the entire campaign and that she has misplaced her records and does not know who the checks were issued to

I encomaged Respondent to contact her campaign depository and request a printed history on her account so she can recreate the 1ecords necessaiy to complete and file he1 te1mination repo1t. Respondent stated that she had spoken with the branch manager and was info1med that he couldn't provide her any info1mation (she didn't unde1stand why and neither do I) I advised Respondent that F EC has subpoena powers and that if we had not already done so, that we could and prnbably would subpoena the bank records to ensure that the info1mation repo1ted in her repmts was accurate

I advised Respondent that the reason we cancelled the p1evious probable cause dete1mination hearing scheduled for August 2013 was because we recently received our legal sufficiency letter 1eturned to us "unclaimed " Respondent stated that the ieason she cannot received certified mail is because she works in one city and lives in another and that it is too difficult to get to the post office during business homs

Respondent denied receiving any documentation fiom our office pe1taining to the repo1t of investigation and staff recommendation I offered to 1e-mail the documents to Respondent's home address

I reminded Respondent that once he1 missing repo1t is filed with the filing officer that she could request to ente1 into settlement negotiations prior to a probable cause dete1mination I also advised Respondent the difference between pie and post-probable cause consent negotiations I reminded Respondent that once she files her te1mination repmt, the filing officer would impose an automatic fine of no more than 25% of the total receipts or expenditures, whichever is greater, and that this automatic fine is in addition to the civil penalty (up to $1,000) that the FEC could impose for the failure to file the 1epo1t, afte1 notice ..

INVOOI (12/01) 2

Respondent stated that she would be calling to speak to the attorney assigned to this case to discuss settlement options Memo to File? No Entered by: DMalphurs

8 Date and time: August 30, 2013@ 9:05 am Name: Bank Rep Phone#: (407) 365-6611 Summary: I had telephone contact to determine the best method to have subpoena served I was informed that this bank only accepts subpoena's via process server. I was told that they would not accept subpoena by fax, or email I verified Respondent's account number .. Memo to File? No Entered by: CKO

9.. Date and time: September 24, 2013 @ 8:45 am Name: Charlene Pike-SOE office rep Phone#: (407) 708-7700 Summary: I attempted telephone contact to determine when Respondent filed her 2012 TR, G4, G3, and G2 Reports. I left a message to return my call Memo to File? No Entered by: CKO

10 Date and time: September 24, 2013 @9:00 am Name: Charlene Pike-SOE office rep Phone#: ( 407) 708-7706 Summary: I had telephone contact in response to message left on her behalf Ms .. Pike advised me that Respondent filed all of the requested reports on 8/29/13 .. I inquired as to when they became available to the public.. I was informed that the reports don't become available to the public until the hard copy has also been 1eceived with the City Clerk. Ms Pike told me that she has not received any information that Respondent has filed her hard copies of these reports with the City Clerk so no these reports are not available to the public at this time I thanked her for her assistance in this matter Memo to File? No Entered by: CKO

INVOOI (12/01) 3

In Re: Karen Heriot

10: Karen Heriot 1006 Corbin Court Oviedo, Florida 32765



Barbara Barbour" Oviedo City Clerk 400 Alexandria Blvd. Oviedo, Florida 32765

NOTICE OF CANCELLATION OF HEARING (PROBABLE CAUSE DETERMINATION)

The heating scheduled for August 13, 2013 at 9:45 am, in this matter has been cancelled You will be notified when the heating has been rescheduled.

J!my 9dc'Keever'l'oman Executive Director Florida Elections Commission August 1, 2013

I .

FLORIDA ELECTIONS COMMISSION 107 W .. Gaines Street,

Suite 224 Collins Building Tallahassee, Florida .32399-1050

Telephone: (850) 922-4539 Fax: (850) 921-078.3

7004 1160 0004 9189 1586 ::f"tu\e Z:11 ,o 13 VrOtef6 Ser-vu-- SS / / }13

J)tA. CERTIFIED MAIL 799olj2516661H41396098

Karen Heriot 1006 Corbin Court Oviedo, Florida 32765

RE: Case No.: FEC 1.3-072; Respondent: Karen Heriot

Dear Ms Heriot:

On Febrnary 22, 2013, the Florida Elections Commission received a complaint alleging that you violated Florida's election laws I have reviewed the complaint and find that it contains one or more legally sufficient allegations.. The Commission staff will investigate the following alleged violation:

Section 106.141(1), Florida Statutes: Karen Heriot, candidate for City of Oviedo Council Seat Group III and designated as the treasurer for her own campaign, failed to file her 2012 I ermination Report reflecting the disposition of all remaining campaign funds, after notice from the City of Oviedo, that the report was due on February 4, 2013.

You may respond to the allegation above by filing a notarized statement providing any information regarding the facts and circumstances surrounding the allegation. If you choose to file a response to the alleged violation, you should do so within 20 days of the date you receive this letter.. Your response will be included as an attachment to the investigator's report

When we conclude the investigation, you will receive a copy of the Repo1t oflnvestigation. You may file a response to the ieport within 14 days from the date the report is mailed to you .. Based on the results of the investigation, legal staff will make a written recommendation to the Commission on whether there is probable cause to believe you have violated Chapter I 04 or I 06, Florida Statutes You will receive a copy of the Staff Recommendation and may file a response within 14 days from the date the recommendation is mailed to you · Your timely filed r,esp.onse(s) will be considered by the Commission when determining probable cause ..

ComOl l (10/07)

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The Comn:i.jssjon -yr~ll then hold a hearing to determine whether there is probable cause to believe you have violated· Chapters 104 or 106, Florida Statutes.. You and the complainant will receive a notice of hearing .~t least ;14 ·days before the hearing.. The notice of hearing will indicate the location;.date,'.and time 'of)iour hearing. You will have the opportunity to make a brief oral statement to the C9rnrnission, but you will not be permitted to testify or call others to testify, or introduce any <lodiinl:erita:iy. or other evidence ..

. ·" ';•'.· ,· . ._., '"' - '

At any time before a probable cause finding, you may notify us in writing that you want to enter into negotiations directed towards reaching a settlement via consent agreement

The Report oflnvestigation, Staff Recommendation, and Notice of Hearing will be mailed to the same address. as this letter.. Therefore, if your address changes, you must notify the investigator assigned to this case of your new address.. Otherwise, you may not receive the correspondence from the staff Failure to receive the documents will not delay the probable cause hearing

Under section 106 25, Florida Statutes, complaints, Commission investigations, investigative reports, and other documents relating to an alleged violation of Chapters 104 and 106, Florida Statutes, are confidential until the Commission finds probable cause or no probable cause The confidentiality provision does not apply to the person filing the complaint However, it does apply to you, the Respondent, unless you waive confidentiality in writing The confidentiality provision does not preclude you from seeking legal counsel However, if you retain counsel, your attorney must file a notice of appearance with the Commission before any member of the Commission staff can discuss this case with him or her

If you have any questions or need additional information, please contact Cedric Oliver, the investigator assigned to this case.

Sincerely,

To~ tor

cc: Barbara J Barbour, MMC, City Clerk, City of Oviedo, Complainant/Filing Officer

AMI/darn

ComOl 1 (8/08)


In Re: Karen Heriot

TO: Karen Heriot 1006 Corbin Court Oviedo, Florida 32765-8143


Barbara Barbour, Oviedo City Clerk 400 Alexandria Boulevard Oviedo, Florida 32765

NOTICE OF HEARING (PROBABLE CAUSE DETERMINATION)

A hearing will be held in this case before the Florida Elections Commission on August 13, 2013, at 9:45 am, or as soon thereafter as the parties can be heard, at the following location: Senate Office Building, Room 8110, 404 South Monroe Street, Tallahassee, FL 32399.

Failure to appear in accordance with this notice will constitute a waiver of your right to participate in the hearing. Continuances will be granted only upon a showing of good cause Motions or other materials received after 5:00 p.m on August 9, 2013 (the Friday before the meeting) may not be considered by the Commission

This hearing will be conducted pursuant to Section 10625, Florida Statutes, which governs yom participation as follows: .

If you are the Respondent, you may attend the hearing, and you or yom attorney will have 5 minutes to present yom case to the Commission However, some cases (including those in which consent orders or recommendations for no probable cause are being considered) may be decided by an en masse vote and, unless you request to be heard or the Commission requests that yom case be considered sepaiately on the day of the hearing, your case will not be individually heard

If you are the Complainant, you may attend the hearing, but you will not be permitted to address the Commission In addition, some cases (including those in which consent orders or recommendations for no probable cause are being considered) may be decided by an en masse vote and, unless the Respondent requests to be heard or the Commission requests that the case be considered separately on the day of the hearing, the case will not be individually heard

If you are an Appellant, and you have requested a hearing, you may attend the hearing, and you or your attorney will have 5 minutes to present yom case to the Commission

Please be advised that both confidential and public cases are scheduled to be heard by the Florida Elections Commission on this date. As an Appellant, Respondent or Complainant in one case, you will not be permitted to attend the hearings on other confidential cases

The Commission will electronically record the meeting .. Although the Commission's recording is considered the official record of the hearing, the Respondent may provide, at his own expense, a certified comt reporter to also record the hearing

If you require an accommodation due to a disability, contact Donna Malphurs at (850) 922-4539 or by mail at 107 West Gaines Street, The Collins Building, Suite 224, Tallahassee, Florida 32399, at least 5 days before the hearing

See forther instructions on the reverse side.

ll.my 9dc1(ee-ver'I'oman Executive Director Florida Elections Commission July 19, 2013

/

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In Re: Karen Heriot Case No.: FEC 13-072

STAFF RECOMMENDATION FOLLOWING INVESTIGATION

Pmsuant to section 106 25(4)(c), Flo1ida Statutes, undersigned staff counsel files this written recommendation for disposition of the complaint in this case recommending that there is prnbable cause to charge Respondent with violating Section 106 .. 141(1), Florida Statutes .. Based upon a thorough review of the Repo1t of Investigation submitted on May 28, 2013, the following facts and law suppmt this staff recommendation:

1. On Februaiy 22, 2013, the Floiida Elections Commission ("Commission") received a sworn complaint fiom Bai barn Baibour ("Complainant") alleging that Karen He1iot ("Respondent") violated Chapter 106, Floiida Statutes ..

2 Respondent was a candidate fo1 the Oviedo City Council, Seat 3, in the 2012 election cycle.

1 By letter dated April 29, 2013, the Executive Director notified Respondent that Commission staff would investigate the following statut01y provision:

Section 106.141(1), Florida Statutes: Karen Heriot, candidate for City of Oviedo Council Seat Group III and designated as the treasmer fo1 her own cainpaign, failed to file he1 2012 Termination Repo1t reflecting the disposition of all remaining cainpaign funds, after notice from the City of Oviedo, that the report was due on Februaiy 4, 2013

4 Respondent filed her Appointment of Campaign Treasurer and Designation of Cainpaign Deposito1y fo1m ("DS-DE 9") with the Oviedo City Clerk on August 30, 2012, and designated he1selfas T1easmer (ROI Exhibit 1)1

·

5. On August 30, 2012, Respondent acknowledged receiving an election packet that included the "City of Oviedo Report Filing Schedule " The schedule info1med Respondent that he1 2012 TR Report was due by Februaiy 4, 2013 (ROI Exhibit 2)

6 On Januaiy 16, 2013, Respondent's filing officer sent Respondent an email reminding her that the 2012 TR Repo1t was due by the close of business on Monday, Februa1y 4,

1 The Report oflnvestigation is referred to herein as "ROI "

Staff Recommendation f·EC 13·072 1

2011. The notice was sent to the email address Respondent provided on her DS-DE 9 form. (ROI Exhibit 3)

7.. Respondent failed to file her 2012 TR Report on February 4, 2013

8. On February 6, 2013, Respondent's filing officer sent her a letter, return receipt via certified mail, notifying her that a review of their files failed to reflect that Respondent's 2012 TR Report that was due on February 4, 2013, had been filed .. (ROI Exhibit 4)

9.. As of May 28, 2013, Respondent still has not filed her 2012 Termination Report

10. "Probable Cause" is defined as reasonable grounds of suspicion supported by circumstances sufficiently strong to warrant a cautious person in the belief that the person has committed the offense charged .. Schmitt v State, 590 So2d 404, 409 (Fla. 1991) Probable cause exists where the facts and circumstances, of which an [investigator] has reasonably trustworthy information, are sufficient in themselves for a reasonable man to reach the conclusion that an offense has been committed Department of Highway Safety and Motor Vehicles v. Favino, 667 So.2d 305, 309 (Fla. 1st DCA 1995)..

1 L The facts set forth above show that Respondent was a candidate for the Oviedo City Council, Seat 3, in the 2012 election cycle Respondent filed her Appointment of Campaign T reasmer and Designation of Campaign Depository form designating herself as campaign treaswer on August 30, 2012, and was required to file her 2012 IR Report no later than February 4, 2013 Respondent's filing officer sent an email to Respondent on January 16, 2013, as a reminder that her 2012 TR Report was due by Febrnary 4, 2011 Respondent failed to file her 2012 IR Report by the deadline On Febrnary 6, 2013, the Oviedo City Clerk mailed a letter to Respondent via certified mail, return receipt requested informing Respondent that the Clerk's office had not received Respondent's 2012 TR Report As of May 28, 2013, Respondent still has not filed her 2012 TR Report

Based upon these facts and circumstances, I recommend that the Commission find probable cause to charge Respondent with violating the following statutory provision:

Count 1:

On or about February 4, 2013, Respondent violated Section 106141(1), Florida Statutes, when she failed to file her 2012 Termination Report reflecting the disposition of all remaining campaign fonds

StaflRecommendation FEC 13-072

Respectfolly submitted on Juneci5_, 2011

(faa~i\M A. a )d~ ~akan A 'Williams

Assistant General Counsel

2

I

I reviewed this Staff Recommendation this \'--:--' 1 dayofJ

Staff Recommendation FEC 13-072 3

FLORIDA ELECTIONS COMMISSION REPORT OF INVESTIGATION

Respondent: Karen Heriot Counsel for Respondent: NI A

Complainant: Barbara Barbour Counsel for Complainant: NIA


On February 22, 2013, the Florida Elections Commission received a sworn complaint alleging that Respondent violated Chapte1 106, F101ida Statutes The Commission staff investigated whethe1 Respondent violated the following statute:

Section 106 141(1), Floiida Statutes, failure ofa candidate to file a termination repo1t reflecting the disposition of all iemaining funds in his campaign account within 90 days afte1 he withdrew, became unopposed, was eliminated, or elected

I. Preliminary Information:

I. Respondent was a fast-time candidate for Oviedo City Council, Seat 3.. Stephen Schenck seemed more than 57% of the vote to defeat Respondent in the November 6, 2012 election

2 Respondent filed her Appointment of Campaign Treasurer and Designation of Campaign Depository for Candidate (DS-DE 9) fo1m with her filing officer on August 30, 2012 Io review a copy of Respondent's DS-DE 9 fo1m, refer to exhibit L

3.. Complainant is employed as the city cle1k of the City of Oviedo; she also se1ves as Respondent's filing officer

II. Alleged Violation of Section 106.141(1), Florida Statutes:

4.. I investigated whether Respondent violated this section of the election laws by not filing her 2012 Te1mination Rep01t (TR), due by February 4, 2013

5.. Complainant states that Respondent was notified prior to the due date that the termination repo1t was required, and was notified again when the repo1t became overdue

6 On August 30, 2012, Respondent acknowledged receiving an election packet that included the "City of Oviedo Repo1t Filing Schedule".. This schedule informed Respondent that her 2012 TR Rep01t would be due on February 4, 2013 To review a copy of the signed acknowledgement letter, refer to exhibit 2

7. On January 16, 2013, Complainant sent Respondent an email reminding her that her 2012 TR Report would be due in her office by the close of business on Monday, February 4,

Inv002 (7 /08) 1

2013 .. To review a copy of this January 16, 2013 email, refor to exhibit 3.

8.. On February 6, 2013, Complainant sent Respondent a failure-to-file letter regarding her 2012 TR Report. The letter states, "A review of our files fails to reflect that your Campaign Treasurer's TR Report due on February 4, 2013, was filed with my office .. " Io review a copy of this F ebrnary 6, 2013 lette1, refor to exhibit 4 ..

9. As of the date of this report, Respondent has not filed her 2012 IR Report with her filing officer.

10 In a May 13, 2013 telephone interview, Complainant advised me that Respondent has only filed one report for her entire election campaign Complainant states that Respondent filed her 2012 GI Repo1t on September 21, 2012

1 L I have reviewed Respondent's 2012 Gl Report that was filed on September 12, 2012 Respondent reports receiving $1,200 00 in Total Monetary Contributions to Date, as well as $110.31 in Total Monetary Expenditures to Date .. To review a copy of Respondent's 2012 Gl Report, refor to exhibit 5.

12 There is a record that Respondent has previously violated this section of the election laws

III. FEC History:

13.. Respondent has been involved in one case that will be presented to the Commission Case #12-420 is currently being investigated for a possible violation of section 106 07(1 ), Florida Statutes

Conclusion:

14.. Respondent was offered several opportunities via phone and mail correspondence to make comments regarding the findings of this investigation Respondent has not responded to any of these attempts.

15. Complainant states that she provided Respondent with an election packet on August 30, 2012.. Complainant states that this packet included all candidate registration documents, a schedule of due dates for campaign financial reports, the candidate and campaign treasurer handbook, as well as general election information. Complainant states that she had each candidate sign a receipt acknowledging receipt of this election packet Complainant provided me a receipt that Respondent signed for her election packet on August 30, 2012 To review a copy of this letter, refor to exhibit 2

16 On August 31, 2012, Respondent filed her Statement of Candidate for the office of Oviedo City Council, Seat 3 acknowledging that she had been provided access to read, write, and understand the iequirements of Chapter I 06, Florida Statutes Io review a copy of the Statement of Candidate, refor to exhibit 6

Inv002 (7/08) 2

Current address of Respondent

Ms .. Karen Heriot 1006 Corbin Court Oviedo, Fl 32765

Respectfully submitted on May 28, 2013..

~.,~· ~l1ve1 Investigation Specialist

Current address of Complainant

Ms .. Barbara Barbour 400 Alexandria Blvd Oviedo, Fl 32765

Name ~nd Address of Filing Officer:

Ms Barbara Barbour · City Clerk of Oviedo, Fl 400 Alexandria Blvd Oviedo, Fl 32765

Copy furnished to: Mr David Flagg, Investigations Manager

Inv002 (7/08) 3

/


Karen Heriot -- FEC 13-072

Exhibits #s Description of Exhibits

Exhibit 1 Respondent's DS-DE 9 form

Exhibit 2 August 30, 2012 acknowledgement letter

Exhibit 3 January 16, 2013 reminder email

Exhibit 4 February 6, 2013 failure-to-file notice

Exhibit 5 Respondent's 2012 GI Report

Exhibit 6 Statement of Candidate

Inv004 (5/08)

I I

.

APPOINTMENT OF CAMPAIGN TREASURER RE""-,.,, r17'D ... ~i,._....,. )-...( ·->_ _,... - ;J,

AND DESIGNATION OF CAMPAIGN AUb 8 l t~IZ DEPOSITORY FOR CANDIDATES

BY:~D-(Section 106 .. 021(1), FS.) -

(PL.EASE PRINT OR TYPE)

NOTE: Tl1ls form must be on file with the qualifying RECEIVED AUG 3 0 2012

officer before opening the .. campaign account. OFFICE USE. ONLY

1. CHECK APPROPRIATE BOX(ES):

© Initial Filing of Form Re·filing to Change: 0 Treasurer/Deputy O Depository D Office D Party

2. Name of Candidate (in this order: First, Middle, Last) .3 Address (indude post office box or street, city, state, zip

/(~,_,,,,, .<:,: LL •JAf

code) Corbih c!f. too~ -- __ ,.

4 .. Telephone 5. E~maiJ address ()v'f'e.Jo ,, FL J:Z7(c;S'

< '-107 l 7'FJ · /O(pq Karrm-f/.u·rr,+ 6> q.JVJaff,<Jlf»t --·-··--· 6. Office sought (include district, circuit, group number) 7 .. lfa candidate for a nonpartisan office, check if

applicable:

0 ' J.o c. ~ e,., r1 & D My intent is to run as a Write-In candidate VI~ . ·~ !Mll,C l f'Oa e !]

MY intent is to run as a 8. If a candidate fa partisan office, check block and fill in name of party as applicable:

0 Write-In D No Party Affiliation D Party candidate.

9 I have appointed the following person to act as my lfil Campaign Treas.urer 0 Deputy Treasurer -10 .. Name of Treasurer or Deputy Treasurer

1' r:~.:i ~. f:.fec) r<t . _ ---- . -·-11 Mailing Address 12 Telephone

/OOG f',.,rh;,, f!f-, <<foll ) 7 qf?-tC>G '( --- -13 .. City 14. County 15. State 16. Zip Code 17 E-mail address

Oviedo Sevntnok f c J;;..rtt;S- /{are-V'-/l,; rtof@grnaJ/,[!on"

18. I have designated the following bank as my W1 Primary D.epos ltory 0 Secondary Depository -·---

120 Address 19. Name of Bank

~ ift z """:s: -- /3 an k.p( Horr.it<. ·---151/, C-e ... Pv~ Ori re, Olli A,J(J FL j27{,,<'."' 21 .. City 22 County 23 .. State 24 .. Zip Code

(!)vie.do .Se.mlnol-e f?-L 0 ::Z.'7 t,, ts·

UNDER PENAL.TIES OF PERJURY, I DECLARE THAT I HAVE READ THE FOREGOING FORM FOR APPOINTMENT .OF CAMPAIGN TREASURER AND DESIGNATION OF CAMPAIGN DEPOSITORY AND THAT THE FACTS STATED IN IT ARE TRUE

25. Date 26 .. Signature of Candidate

9/so/ /?. x 111. ·- J!hd-27.. Treasurer's Acceptance of Appointment (fill in the blanks and check the appropriate block)

I, ~ H ~,:f K.o.r·e n $ .. lf.e.rto f , do hereby accept the appointment (Please Print or Type Name)

.designated above as: ~ Campaign Treasurer 0 Deputy Treasurer ..

11 L :s oL :i:;._ x ~!Lt Date Signature of Campaign Treasurer or Deputy Treasurer -

DS.,DE 9 (Rev .. 10/10) EXHIBIT ~ Rule 1s;2 0001, F.AC ..

CITY OF OVIEDO GENERAL.ELECTIQN November 6, 2012

!have received t})e following forms and information:

1. General Election infotmation sheet

2 Schedule o(Due Dates for Campaign Financial Reports

3. City of Oviedo Charter

4.. Florida Statlite.286 011, Sunshine Law; and Sunshine Law TnfottnationPackage

5.. Usage. &. Re.moval of Political Campaign Mvertisements (Chapter 106 .1435 FS) along with Right of-Wa,y Genet al Tnfonn::;1tion

6 City Campaign Sign Permit Application

7. The Election Laws of the State of Florida (please review Chapter 106 Florida Statutes, Campaign Financing, oflhis publication . .)

8. Candidate and Campaign Treasmer Handbook

9 Seminole County Supervisor of Elections Online 1 reasurer Reporting System Instructions

lO. Campaign Treasurer's Report Summary (Instructions on back)

11.. Itemized Conttibutions form

12.. Itemized Expenditures fo1m

Print~d Name Signature Date

EXHIBIT d G 0 £3)

CITY OF OVIEDO REPORT FILING SCHEDULE

Deadline for filing reports:

DUE DATE PERIOD COVERED

Ap1il 10, 2012 QI - January I - March 31, 2012

July 10, 2012 Q2 - April I - June 30, 2012

September 21, 2012 Gl - July 1 - September 14, 2012

October 5, 2012 G2 - September 17 - 28, 2012

October 19, 2012 G3 -September 29-0ctober 12, 2012

November 2, 2012 G4 - October 13 - November 1, 2012

November 29, 2012 TRI - July 1, 2012-November 29, 2012 (unopposed)

Febmary 4, 2012 TR- November 2, 2012 - Febmary 4, 2012

Reports must be filed online tluough the Seminole County Supervisor of Elections Online Treasurer Reporting System A copy of the instructions are included in your package After completion, you must print a ha1d copy, sign it, and provide it to the City Clerk by the filing date ..

FINAL REPORT

A final report must be filed by any candidate who withdraws their candidacy, becomes unopposed, or is eliminated or elected to office within 90 days of that occmrence ..

UNOPPOSED: GENERAL:

November 29, 2012 (IRl) February 4, 2013 (TR)

The report is not legally filed until it is received in the Clerk's office.

NOTE: Repmts shall be filed no later than 5:00 p.m, of the day designated. Any report postmarked by tl1e U S Postal Se1vice no later than midnight of the day designated shall be deemed to have been filed in a timely manner

PENALTIES: (FS 106..07(8)(a)) - Penalties for late filing ofrepo1ts will be assessed by the City Clerk's office and nonpayment of same will be turned over to the Florida Elections Commission .. Late filing fines shall not be an allowable campaign expenditure and shall be paid only from personal funds of the candidate ..

EXHIBIT tJ (Q cJ 3)

REQUIRED TO BE RETURNED TO THE CITY CLERK NO LATER THAN FRIDAY, August 31, 2012, AT 12:00 (NOON) TO QUALIFY:.

Returned Date --

o/ 30 J\0-- Appointment of Campaign Treasurer and Designation of Campaign Depository 'For Candidates form. --

B/31 /fi, Statement of' Candidate (to be filed within 10 days of filing Appointment of Campaign Treasurer form). __ , _____ , --

'l/3! /t;;. Nominating Petition foxms.

- ___ , ______ , ______ ., tjao(td--

Election Assessment l % of salaxy (Council member .. $11 O 31) -Flm.ida Statutes 99 093 (Must be paid out ofcaxnpaign account which needs to be opened to qualify).

-

~/~I [I";)...; Fotm 1 ··Financial Interests Statement, along with the Guide to Sunshine Amendment & Code of Ethics pamphlet(guide does not need to be retwned) .. ---- ______ ,,

~~d1:i- Acceptance of Candidacy letter

8~ly;:; -·--· Notification of pre-election equipment testing

,__, __ ,, __ ,, __ ,, __ -- .. ·-·----·

<[ 1~1 /1.9- Loyalty Oath & Oath of Candidate

' -- .. - _,,, ___ , __ ,,, .. _., _____ , ___ , __ ,,_ .. __

~f'ettl ,<;, Her:~o + Printed Name and Signature

IOO(p Carbin c+. Ov1eJ.o FL 3:27(,,2" Address/Phone

L{ o 7- 'l '-if?- [0 Co 'i Cell flwY.-e..

K 011r €A1\ t\<ei-t t»t Qt! 5 Y-N>v I\ . C-cw\

EXHIBIT IJ IB E>~ 3)

?? ! a.o I I (.,. Date ; '

Barbour, Barbara

From: Sent: 'To: Cc: Subject:

Importance:

/ I

Barbour, Barbara Wednesday, January 16, 2013 9:10 AM Council Member Drago; 'KarenHeriot@gmaiLcom'; '[email protected]' DeBonis, Linda; Hinson, JoAnne TR reminder

High

Councilwoman Drago, Ms .. Heriot, Mr .. Pollack:

This is a reminder that your TR report for the November 2012 election is due in my office by close of business on Monday, February 4, 2013. You may submit your report any time before that date if you wish.

1Ja1bt11(t Barbom, M.M.C City Clerk Oviedo Ci~v Ha!! 40(! Ali!mndria Bfi.d. Oi•iedo, Flmi<la 32765

Phone: (407) 971-5504 ~ax: (407) 971-5804

EXHIBIT-"Q....__ __ iu·, ,-1 U" ", . ...,/

~ ... v~.

February 6, 2013

Karen Heriot 1006 Corbin Ct Oviedo, FL 32765

Dear Ms .. Heriot:

CITY OF OVIEDO FLORIDA

400 ALEXANDRIA BLVD<> OVIEDO, FLORIDA .32765

407··971-5555 o WWW.Cl1YOFOVIEDO.NEI

A review of our files fails to reflect that your Campaign Treasurer's TR Report due on February 4, 2013, was filed with my office ..

As noted below, there are fairly severe fines associated with failing to complete and file accurate campaign reports.. If you have any questions in this matter please do not hesitate to contact me 407..971 .. 5504 ..

Section 106 .. 07(8)(b), Florida Statutes, requires that the filing officer notify you of the failure to file the report referred to above.. A fine of $50 per day for the first 3 days late and, thereafter; $500 per day for each late day, not to exceed 25 percent of the total receipts or expenditures, whichever is greater; for the period covered by the late report, is being assessed. However; for· the reports immediately preceding each special primary election, special election, primary election, and general election, the fine shall be $500 per day for each late day, not to exceed 25 percent of the total receipts or expenditures, whichever is greater~ for the period covered by the late report.

Upon receipt of the report referred to, you will be notified of the amount due.. Such fine shall be paid to the filing officer within 20 days of receipt of notice of payment due ..

Failure to file the required report shall cause this matter to be referred to the Florida Elections Commission under Section 106 .. 22 and 106 .. 25, Florida Statutes.. The Commission is authorized by Section 106 .. 265, Florida Statutes, to levy civil penalties in the amount of up to $1,000 per count for a violation of any provision of Chapter 106, Florida Statutes.. Any such civil penalty is independent of the automatic fine imposed by statute ..

Sincerely,

Barbara J. City Clerk 407--971-5504

EXHIBIT U·,,1,\,,,l I

~ .. vt....1t.1 ·:c

AFTER 5 DAYS RETURN TO

~ITV OF OVIEDO 400 ALEXANDRIA BOULEVARD

OVIEDO, FLORIDA 32765

City Clerk DEPARTMENT

m Complete items 1, 2, and 3. Also complete item-4 if Restricted Delivery is desired.

a Print your name and address on the reverse so that we can return the card to you.

Ill Attach this card to the back of the mailpiece, or on the front If space permits.

1. Article Addressed to:

:~pkuit-/tJtliR ~C,!f(f) //~ k 3;i_7(pS"


D Agent x 0 Addressee ·

B. Received by (Printed Name) C. Date of Delivery l :

O. Is delivery address different from item 1? D Yes If YES, enter delivery address below: D No

3. ~ervi~ype t1.rCertlfled Mail

D Registered 0 Insured Mail

D Express Mail ~ Receipt for Merchandise Dc.o.o.

4. Restricted Deliverv? (Extra Feej 0 Yes

: i . '

2. Article Number (Transfer from service fabel)

7011 0470 0001 3485 7389

PS Form 3811, February 2004 Domestic Return Recelpt 102595-02-M-1540

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FLO. RIO. A DEPA. RT. WI~. T. ()F S.1'A'fE . 01\(l~!t;)N CiF. E ... i..i;t;n_.,o. l)J"S ""'C, ,1 ~ C;U ·~ CAMPAIGN TREASURER~s REPORT S:UMMARY' nu. ,Ltt-Y'J

(1) Karen s .. !le.riot Name

(2) .~ Corbin ct

AddteJ;s (numberaoq s,$reet)

_<lY.ie.do~- FL 32765 -City, State, Zip C:od:e

D CHECKIF At>ORESS HA$CHANGEO

(4) Check appropriate box(es):

()FFtCEU$E QNLY '

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(1045425]

submitted on,

9/2J./2012 16,33,21 (eastern)

(3l to, Number: ________ , ___ 2_1_6 __ _

[fil Candidate (office sought): Council Member, Group III _ .. --·---·----

0 Polit.ical Committee D CflEcK IF PC' HA$Pl$BANOED

D Comrnitte1" of continu.ou~ Existenc.19 D cHECKIF cce HAS DfSBANOE;o D Party Executive Committee

D Etectlonee.ring Comml!fl1catieh 0 CHE;CKIF NO Cl.THERE;!;EcTj.O~EERING Ci;()Jl/ll\lll!!NIAATIQ.J'.I ~P;O~TS WJLI. ;1.E Fllr::p

(&).REPORT IOENTIPIE~& 7/l/201.;i 9/14/· 20<14

Cover Period: I I To I Repo,r:t"T&pe Gl

[!!Original D s.pe.cial e tection Report

f6) CONTRIBUTIONS THIS REPORT

Cash & Checks $ b. ob

Loans $ 1,200.00

Total Monetary $ l,200 00

I ti-Kind $ 0 00

(9) lOTAL Monetary Contributions Io Date

$ . -··- '' ·-· - . ··--·-··-·-- -- ---42il0....JJJ.L.

{7) E!XPENDITURES THIS REPORT

Mon!!tal)< Expendi!ur.es $

Transfers to Office AQcovnt $

Total Monetary $

110 .. 31

o.oo

110.31 ~-------~---~~

0th:etDl.sttibUtl(1riS $ 0 00 -----------

{10J TOTAi,. ManetaryExpenditures. To Date

$ ---·---.. ·----,,·-·-- ____ lJ..(L.aJ._

(11)CER:TIFICATION It is a first d~gr~e mlsd~mean.otfor any person tO:falsify .a public t~<l.rd .(\Os. ~.1·;3, F .~~)

I certify that I have exa111ined this repM and it is true., I 1 ce~ify that I have examined this report and it is !rue, c.orrect, and complete I correct, and C<,>mplete

(Typ9name) [J1n9iv-td-,,"a"l-(0<-1t-y.-for--,¥J=T-r_ea_s-ur-er-.O=-o-.e-pv_ty_T_re-a-su-rer

eler.tl/JrtogcO(M1un.)

x~.~J Signature

DS·DE 12 (Rev. 0$104)

EXHIBIT 5 (I oi «)J

(Ty,pe. name)

~:oandiciate Q:qh~ir~;;;;~~oolyfOr PG, PTY & e!e:cilonee'tiog .. eommun organization)

X Jl~u«J]lq~ Signature

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CAMPAIGN TREASURER'S REPORT - iTEMIZED CONTRIBUTIONS

(1) Name Karen B •. Jl&L;i.t::_ _________ _ (2:) 1.0 .• Number . 216

7/1/2012 9/14/2012 (3) Cover Period _____ I __ I ____ through / I (4) Page cif 1

-------------------------------·-----------------(5) I (7)

------ D~~-----i Fut! Name. (6) I (Last, Suffix, First Middle)

Sequence 11

Stre_et-Addte:ss & ----·~bei:___ City, Stat.e,-Zip Code

IHeriot, Karen S

_I __ ,Oviedo p).. 32765 1 ·M1,,,, " .. -·· "

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c.9ntribut¢r Tvn·e i Occupation

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(9)

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(10)

ln-kipd Description

(11)

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(12)

Amount $1,ZOO 1){

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OS-DE 13 {Rev .. 08103) SEE REVERSE FOR INSTRUCTIONS AND CODE VALUES

EXHIBIT

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CAMPAI~ TREASURER'$ REPl:!R:T- ITEMIZED EXl'ENDITURJ:S (1) Name Karen s. Heriot (2) tD. Number ____ 2_1_6

7/1/2012 9/14/2012 .(~)Cover Period __ l __ t_· __ {hrough __ r __ /_. __

(5) (7) (8) {$) (1Q) (11)

Date Full l'fame Purpose

(6) {last, Suffix, Firs!, Middle) (add .offi¢esoug~t .. if

I SetjuenC:e StreetoAddress& coatriDutJ9rft0.:a Expenditure

Number City,state,·Zip Code cMditlate) ryee A.meffcfm·en:t' Amount

·-8/3)/20/2 City of Ovi;,do,

~ ~\ .. ~ "-filing fee MO $110 3

Oviedo .. FL 32765

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OS-DE 14 (Rev 08103) SEE REVERSE FOR INSTRUCTJONSANDCODEVALUES

EXHIBIT '5 G cl: i) ..

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STATEMENT OF CANDIDATE

{Section 106.0.23, F .. S . .)

(Please print or type)

candidate for the office of

OFFICE .USE ONLY

""":!..CEIVED AUG'al 2012

Y: ffef)/3 1/ :Jz

-s e.cd 1!J_. ;

have been provided access to read and understand the requirements of

Chapter 106, Florida Statutes ..

_)$__IL Jl !~.I -·-·-Signature of Candidate

Each candidate must file a statement with the qualifying officer within 10 days after the Appointment of Campaign Treasurer and Designation of Campaign Depository is filed. Willful failure to file this form is a first degree misdemeanor and a civil violation of the campaign Financing Act which may result in a fine of up to $1,000, (ss .. 106 .. 19(1)(c), 106 .. 265(1), Florida Statutes)..

----------------' DS-DE 84 (05/11)

EXHIBIT____.fo"-------

/


Karen Heriot -- FEC 1.3-072

Attachments Description of Attachments

Attachment A Additional information from DOE

lnv005 (6/08)

General Election Date:l 1116/12

November 6, 2012 Iime:l7:17:37

Page:2 of3 Seminole County, Florida

Official Results Registered Voters 2 77376 N um. Report Precinct 80 - Num. Rep01ting 80 100 00%

JUSTICE PARIENTE OVIEDO COUNCIL SEAT IV Total Iota!

Number of Precincts 80 Number of Precincts 10 Precincts Re12orting 80 100.0 % Precincts ReQorting 10 100.0 % YES 118672 66.70% Cindy Drago 9885 6772% NO 59257 33.30% Bob Pollack 4711 32.28%

,-,-.,,-, ~~h \(# « ,.:t:k!;.;

JUSTICE QUINCE SANFORD CITY COMM DIST 4 Total Iota!

Number of Precincts 80 Number of Precincts 5 Precincts Re12orting 80 100.0 % .J Precincts Re12orting 5 100.0 % YES 117933 6641% Patty Mahany 2265 5560% NO 59646 33.59% Rick Russi 1809 44.40%

COUNTY JUDGE

~ WNTR SPRNGS COMM DIST 3 1;1

Total Total l

Number olPrecincts 80 100.0 % ~ Number of Precincts 9

Precincts Re12orting 80 Precincts Re:eorting 9 100.0 % Jeff Dowdy 73660 45 27%. Pam Carroll 6930 4696% .,. Debra L. Krause 89057 54.73% Phil Kaprow 3619 2452%

:h.llll\l 1;4,; 't.;:;W Avery Smith 4209 28.52%

S _ W CONS DIST GRP 1 m;.. Jf!,.,,

Total CONST AMEND 1 i-~

Number of Precincts 80 Total ,,

Precincts Re12orting 80 100.0 % Number of Precincts 80 Ariel Gaussart 76549 5138% Precincts Re1201ting 80 100.0 % Thomas Johnson 72447 48.62% YES 96139 5086%

'i:J' l;r,1h w;;,,. NO 92872 49.14%

S W CONS DIST GRP 4 '""'~"tM;,.•1h u, .. ;;:.uill11Jl'Jfill!l!!!TIIBrniillw~1'Zn:M!!!Til!lhl!li!tUMi!ltU::.:..;;;,

Total CONST AMEND 2 Number of Precincts 80 Total Precincts Re12orting 80 100.0 % Number of Precincts 80 "I James C Adamski 63513 44.26% Precincts Re1201ting 80 100.0 % Scott Sturnill 79976 55 . .74% YES 132830 6777%

NO 63185 32.23%

LONGWOOD COMM DIST 3 ;,.;;;;;;;

Total CONST AMEND 3 Number of Precincts 4 Total Precincts Re12orting 4 100.0 % Numbet of Precincts 80 Bob Cortes 3127 58.92% Precincts Re12or ting 80 100.0 % Ben Paris 2180 41.08% YES 81799 43 56%

,,~;,;_;~,.+µ NO 105988 56.44%

OVIEDO COUNCIL SEAT III Total CONST AMEND 4

Number of Precincts 10 Total Precincts Re2orting 10 100.0 % Numbe1 of Precincts 80 Karen S Heriot 6102 42.98% Precincts Re2orting 80 100.0 % Stephen W. Schenck 8094 57.02% YES 83843 4493% "';.;;..:.: NO 102762 55.07%

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ATTACHMENT ···-··~---

RECEIVED AU6'31201Z

BY·

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Barbour, Barbara

From: Sent: To:

Cc: Subject

Importance:

All,

Barbour, Barbara Monday. October 15,2012 9:2'7' AM Deputy Mayor Britton; Council Member Drago; C.ouncil Member SChenck; Robert Pollack; KarenHeriot@gmaitcom DeBonis, Linda; Hinson,.JoAnne reports

High

Just a reminder that your reports that closed October 12 are due in my office by dose of.business on Friday, October 19 and to let you know that Linda and I will be attending FACC Fall Academy Wednesday, Thursday, a.nd Friday .. loAnne will be manning the office by herself and will be available to receive your reports.. Should JoAnne be out of the office please slide them under the door rath.er than leave. them with someone else. I apologize for any inconvenience you may encounter

I will email you cm Monday to let you know that I did r.eceiveyour report.

Barbara Barbour; M.M.C. City ClerJ< Oviel;!o City Hall 400 Alexandiia Blvd Oviedo, Flofidtl 32765 ?hone: (407) 9'71·5504 Fax: (407) 971 .. 5804

1

Barbour, Barbara

From: Barbour, Barbara Sent: To:

Saturday, October 06, 2012 3:15PM 'PiKe@VoteseminoJeqrg'

Subject: Re: Campaign Report

No did she file electronically?

From: Pike, Charlene <[email protected]> To.: Barbo.ur, Barbara sent: SatOct 06 14:41:48 2012 Subject: C'.ampaign Report

Barbara,

Have you received Karen Heriot's treasurer's report that was. due Friday, 10/5/1.2.

Thank you,

Charlene Pike At.imtni~trativefCahdidate Services Manager Seminole County Supervisor of Elections Office Direct Line: 407·708'7706 Fax: 407·708·7705 www.VoteSeminole.org

Like us at Facebook cpmNoteSeminole Follow us .on Twitter @VoteSeminole en Es(:)afiOI: www.VotoSeminole.org

1

November 6, 2012


Dear Ms .. Heriot:


4.0Q<ilEXANDlUA B.LVD o OVIEDO, fLOlUDA.32765

407•971"5555 • WWW.CITYOFOVIEDO .. NET

A review of our files. fails to reflect that your Campaign Treasurer's Report due on November 2, 2012, was filed with my office ..

As noted below, there are fairly severe fines associated with failing to complete and file accurate campaign reports. If you feel that y.our reports were complete when you turned them in, please let us know If you have any questions in this matter please do not hesitate to contact me 407.971 55.04 ..

Section 106 .. 0l(B)(b), Florida Statutes, requires that the fifing officer notify you of the failure to file the report referred to abow~. A fine of $50 per day for the first 3 days late and, thereafter, $500 per day for each late day, not to exceed 25 percent of the total receipts or expenditures, whichever is greater, for the period covere.d .by the late report, is being a.ssessed However, for the reports immediately preceding each special primary election, special election, primary election, and general election, the fine shall be $500 per day for each late day, not to exceed 25 perc.ent of the total rec.eipts or expenditures, whichever is greater; for the period covered by the late report.

Upon receipt df the report referred to, you will be .notified ofthe amount due.. Such fine shall be paid to the filing officerwithin 20 days of receipt of notice of payment due ..

Failure to file the required report shall cause this matter to be referred to the Florida Elections Commission under Section 106.22 and 106 .. 25, Flonaa Statutes The Commission is authorized by Section 106 265, Florida Statutes, to levy civil penalties in the amount of up to $1,000 per count for a violation of any provision of Chapter 106, Florida Statutes.. Any such civil penalty is independent ofthe automatic fine imposed by statute ..

Sincerely,

~(,{/{(,ll,Q.~'fW(/-fZ,{IL __ ,,,

Barbara J .. City Clerk 407-971-5504

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----·-·-

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October 22, 2012

Karen Heriot 1006 Corbin Ct OViedo, FL 32765

Dear Ms .. Heriot:

I '


400 ALEXANDRIA BLVD • OVIEDO, FLORIDA 32765

407-971-5555 • WWW.Cl'IYOFOVIEDO,.NET

A review .of our files fails to re.fleet that your Campaign Treasurer's Report due .on October 19, 2012, was filed with my office ..

As noted below, there are fairly severe fines associated with failing to complete .and file accurate campaign reports,. If you feel that your reports were complete when you turned them in, please let us know. If you have any questions in this matter please do not hesitate to contactme 4079715504 ..

~effiqn 106 .. 07(?)(/>), f/ori<J?, $.tafYfe$~ _reqYi@s_ th~Lfhe fifirig officer notify yqy of the failure to file the report referred to above. A fine of $50 per day for the first 3 days late and, thereafter; $500 per day for .each late day, not to exceed 25 percent of the total receipts or expenditures, whichever is greater, for the period covered by the late report, is being assessed

Upon receipt of the report referred to, you will be notifie.d of the amount due.. Such fine shall be paid to the filing officer within 20 days of receipt of notice of payment due ..

Failure to file the required report shall cause this matter to be referred to the Florida Elections Commission under Section 10622 and 106 .. 25, Florida Statutes.. The Commission is authorized by Section 106 265, Florida Statutes, to levy civil penalties in the amount of up to $1,000 per count for a violation of any provision of Chapter 106, Florida Statutes. Any such civil penalty is independent of the automatic fine imposed by statute ..

Sincerely,

~~ar/tla'lt-J.'tu. ~~(/{/JwV City Clerk 407-971-5504

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Dear Ms .. Heriot:

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40() ALEXAN:DRIA ~LVD •OVIEDO, FLOR1DA3.2765

407··971-5555 • WWW.CUYOF<:i'VIEDO.NEI

A rev1evvofour-filesrailslo reflecrthat your Gmn'Jj'aign~Treasarel's-R~ol't--dae-on-· -October 5, 2012, was file.d with my office ..

As noted below, there. are fairly severe fines as.sociated with failing to complete. and file accurate campaign reports.. If you feel that Your reports were complete when you turned them in, please let us know. If you have any questions in this matter please do not hesitate to contact me 407 .. 971. 5504 ..

Section 106.07(8){b), Florida Statutes, requires that the filing officer notify you of the failure to file the repori referre .. d to above A fine of $50 per day forth(:) first 3 days late and, thereafter; $500 per day for each late day, not to exceed 25 percent of the total receipts or expenditures, whichever is greater; forthe period covered by the.late repori, is being assessed.

Upon receipt of the repori referred to, you will be notified of the. amount due.. Such fine shall b.e paid to the filing offic.er within 20 days of rec11ipt of notice of payment due ..

Failure to file the required repori shall cause this matter to be referred to the F/Otida Elections Commission under Section 106.22 and 101:125, Florida Statutes.. The Commission is authorized by Section 106 .. 265, Florida Statutes, to levy civil penalties in the amount of up to $1,000 per count for a violation of any provision of Chapter 1061

Florida Statutes. Any such civil penalty is independent of the automatic fine imposed by statute ..

Sincerely,

<:::::1Wf"lt/U..l.~~ffel___ Barbara J. City Clerk 407-971-5504

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-

FLORIDA ELECTIONS COMMISSION 107 W .. Gaines Street,

Suite 224 Collins Building Tallahassee, Florida 32399-1050

Telephone: (850) 922-4539 Fax: (850) 921 -0783

April 29, 2013

CERTIFIED MAIL 70042510000147396098

Karen Heriot 1006 Corbin Court Oviedo, Florida 32765

RE: Case No.: FEC 1.3-072; Respondent: Karen Heriot

Dear Ms Heriot:

On February 22, 2013, the Florida Elections Commission received a complaint alleging that you violated Florida's election laws I have reviewed the complaint and find that it contains one or more legally sufficient allegations.. The Commission staff will investigate the following alleged violation:

Section 106.141(1), Florida Statutes: Karen Heriot, candidate for City of Oviedo Council Seat Group III and designated as the treasurer for her own campaign, failed to file her 2012 Termination Report reflecting the disposition of all remaining campaign funds, after notice from the City of Oviedo, that the report was due on Febrnary 4, 2013

You may respond to the allegation above by filing a notarized statement providing any information regarding the facts and circumstances surrounding the allegation. If you choose to file a response to the alleged violation, you should do so within 20 days of the date you receive this letter. Your response will be included as an attachment to the investigator's report

When we conclude the investigation, you will receive a copy of the Report oflnvestigation You may file a response to the report within 14 days from the date the report is mailed to you Based on the 1esults of the investigation, legal staff will make a written recommendation to the Commission on whether there is probable cause to believe you have violated Chapter 104 or 106, Florida Statutes You will receive a copy of the Staff Recommendation and may file a response within 14 days from the date the recommendation is mailed to you Your timely filed response(s) will be considered by the Commission when determining probable cause

ComOl l (10/07)

' '

The Commission will then hold a heru:ing to determine whether there is probable cause to believe you have violated Chapters 104 or 106, Florida Statutes You and the complainant will receive a notice of hearing at least 14 days before the hearing The notice of hearing will indicate the location, date, and time of your hearing You will have the opportunity to make a brief oral statement to the Commission, but you will not be permitted to testify or call others to testify, or introduce any documentru:y or other evidence

At any time before a probable cause finding, you may notify us in writing that you want to enter into negotiations directed towards reaching a settlement via consent agreement

The Report of Investigation, Staff Recommendation, and Notice of Hearing will be mailed to the same address as this letter Therefore, if your address changes, you must notify the investigator assigned to this case of your new address.. Otherwise, you may not receive the correspondence from the staff Failure to receive the documents will not delay the probable cause hearing

Under section 106 25, Florida Statutes, complaints, Commission investigations, investigative reports, and other documents relating to an alleged violation of Chapters 104 and 106, Florida Statutes, are confidential until the Commission finds probable cause or no probable cause.. The confidentiality provision does not apply to the person filing the complaint However, it does apply to you, the Respondent, unless you waive confidentiality in writing. The confidentiality provision does not preclude you from seeking legal counsel.. However, if you retain counsel, yom attorney must file a notice of appearance with the Commission before any member of the Commission staff can discuss this case with him or he1 .

If you have any questions or need additional information, please contact Cedric Oliver, the investigator assigned to this case.

cc: Barbara J Bru:bom, MMC, City Clerk, City of Oviedo, Complainant/Filing Officer

AMT/dam

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107 West Gaines Street, Suite 224, Tallahassee, Florida 32399-1050 Telephone Number: (850) 922-4539 ZOIJ '.~o • ')

WWVl/,fec.statc.fJ.us r1..U .:'.'. ~--CONFIDENTIAL COMPLAINT FORM --

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The Commission's l'ecords and pr·oceedings in a case are confidential until the Commission rules on pr·obable cause .. A copy of the complaint will be provided to the person against whom the complaint is brought.

L PERSON BRINGING COMPLAINT:

Name: City of Oviedo (Barbara Barbour, City Clerk) Work Phone: (407) 971-5504

Address: 400 Alexandria Blvd Home Phone: (___) ___ _

City: Oviedo Somino"" County: ..... ·· ...... State: FL Zip Code: 32765

2 .. PERSON AGAINST WHOM COMPLAINT IS BROUGHT:

A person can be an individual, political committee, committee of continuous existence, political party, electioneering communication organization, club, corporation, partnership, company, association, or any other type of organization. If both an individual and a committee or organization ar·e involved, name both

Name of individual: Karen Heriot ----------------------------Address: 1006 Corbin Ct Phone: (___) ____ _

City: Oviedo County: Seminole State: FL --- Zip Code: _3_2_7_6_5 __ _

If individual is a candidate, list the office or position sought: -------------

Name of committee or organization: ----------------------

Address: --------------------- Phone: (___) ____ _

City: _____ _ County: ____ _ State: --- Zip Code: _____ _

Have you filed this complaint with the State Attorney's Office? (check one) 0 Yes [j] No

.3.. ALLEGED VIOLATION(S):

Please list the provisions of The Florida Election Code that you believe the person named above may have violated The Commission has jurisdiction only to investigation the following provisions: Chapter 104, Chapter 106, Section 98..122, and Section 105 .. 071, Florida Statutes. Also, please include:

./ The facts and actions that you believe supp01t the violations you allege,

./ The names and telephone numbers of persons you believe may be witnesses to the facts,

./ A copy 01 picture of the political advertisements you mention in your statement,

./ A copy of the documents you mention in your statement, and

./ Other evidence that supports your allegations.

Ms Heriot has not filed her TR report for the November 6, 2012 election that was due on Monday, February 4, 2013

A copy of the email reminder to file her report as well as a certified copy of a letter advising her that she

failed to file the report on time is attached

Case # 12-420

FEC 002 (Rev 4-24-05)

4. OATH

STATE OF FLORIDA COUNTY OF Seminole

Additional materials attached (check one)? li]Yes 0No

------------I swear or affir·m, that the above information is true and correct to the best of my knowledge ..

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Sworn to and subscribed before me this 19th day of

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.. ~d .. v.t1'~ Signature of Officer Authorized to Administer Oaths or Notary public

.-~<':/.~'>if;;- - LINDAA.0EBONIS f.fJi:' d MY COMMIS.SION # EE 04l728

r!~·-•' EXPIRES. March 8, 2015 ~ii;~~'f,;'·· Bonded Thru Notary Publi<: Undewriters

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(Prmt Type- or Stamp Commissioned Name ofNotary Public)

Personally known L Or Produced Identification __ _

Type of Identification Produced. _________ _

Any person who files a complaint while knowing that the allegations are false or without merit commits a misdemeanor of the first degree, punishable as provided in Sections 775 .082 and 775 .083, Florida Statutes

FEC 002 (Rev 4-24-05)

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February 6, 2013


Dear Ms .. Heriot:


400 .AlEXAN:DRIA BLVD" OVIEDO, FLORIDA 32765

407-971-5555 o WWW .. CIIYOFOVIEDO.NEI

A review of our files fails to reflect that your Campaign Treasurer's TR Report due on February 4, 2013, was filed with my office ..

As noted below, there are fairly severe fines associated with failing to complete and file accurate campaign reports.. If you have any questions in this matter please do not hesitate to contact me 407 .. 971 .. 5504 ..

Section 106 . .07(8)(b), Florida Statutes, requires that the filing officer notify you of the failure to file the report referred to above.. A fine of $50 per day for the first 3 days late and, thereafter, $500 per day for each late day, not to exceed 25 percent of the total receipts or expenditures, whichever is greater, for the period covered by the late report, is being assessed. However, for the reports immediately preceding each special primary election, special election, primary election, and general election, the fine shall be $500 per day for each late day, not to exceed 25 percent of the total receipts or expenditures, whichever is greater; for the period covered by the late report.

Upon receipt of the report referred to, you will be notified of the amount due.. Such fine shall be paid to the filing officer within 20 days of receipt of notice of payment due ..

Failure to file the required report shall cause this matter to be referred to the Florida Elections Commission under Section 106..22 and 106 .. 25, Florida Statutes.. The Commission is authorized by Section 106 .. 265, Florida Statutes, to levy civil penalties in the amount of up to $1,000 per count for a violation of any provision of Chapter 106, Florida Statutes.. Any such civil penalty is independent of the automatic fine imposed by statute ..

Sincerely,

Barbara J .. City Clerk 407-971-5504


;1rv OF OVIEDO 400 ALEXANDRIA BOULEVARD


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ZIP ~2765 0110116171,3(;

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Barbour, Barbara

From: Sent: To: Cc: Subject:

Importance:

Barbour, Barbara Wednesday, January 16, 2013 9:10 AM Council Member Drago; 'KarenHeriot@gmaiLcom'; '[email protected]' DeBonis, Linda; Hinson, JoAnne TR reminder

High

Councilwoman Drago, Ms. Heriot, Mr. Pollack:

This is a reminder that your TR report for the November 2012 election is due in my office by close of business on Monday, February 4, 2013 You may submit your report any time before that date if you wish

Barbma Bathom, Mi'd.C City Cle1k Oviedo Cit.v Ffafl 4110 Ale~w1d1 ia B/iod, Oi•iedo, Flmitla 32765

Phone: ( 407) 971-5504 Fax: (407) 971-5804

CITY OF OVIEDO . REPORT FILING SCHEDULE


DUE DATE PERIOD COVERED

April 10, 2012 Ql - January l - March 31, 2012

July 10, 2012 Q2 - April I - June 30, 2012

September 21, 2012 Gl - July 1- September 14, 2012


October 19, 2012 G3 - September 29- October 12, 2012

November 2, 2012 G4 - October 13 - November 1, 2012

November 29, 2012 TRI - July 1, 2012- November 29, 2012 (unopposed)

February 4, 2012 TR- November 2, 2012 - February 4, 2012

Reports must be filed online tluough the Seminole County Supervisor of Elections Online Treasurer Reporting System. A copy of the instructions are included in your package After completion, you must print a hard copy, sign it, and provide it to the City Clerk by the filing date.

FINAL REPORT

A final report must be filed by any candidate who withdraws their candidacy, becomes unopposed, or is eliminated or elected to office within 90 days of that occunence.

UNOPPOSED: GENERAL:

November 29, 2012 (TRl) February 4, 2013 (TR)

The report is not legally filed until it is received in the Clerk's office.

NOTE: Reports shall be filed no later than 5:00 pm. of the day designated. Any report postmarked by the US. Postal Service no later than midnight of the day designated shall be deemed to have been filed in a timely marmer.

PENALTIES: (FS 106..07(8)(a))- Penalties for late filing ofreports will be assessed by the City Clerk's office and nonpayment of same will be turned over to the Florida Elections Commission Late filing fines shall not be an allowable campaign expenditure and shall be paid only from personal funds of the candidate ..

I

~~~ (/6 1l .,.,..... ;_·y r"r.t"-APPOINTMENT .OF CAMPAIGN TREASURER RE·,,N '' . ~·D

AND DESIGNATION OF CAMPAIGN ~.Uu S .J £0\Z DEPOSITORY FOR CANDIDATES

BY:.-i.fL {Section 106 .021(1 ), F.S . .)

(Pl.EASE PRINT ORTYPE)

@ore: This form mus't be on file with the qualifying RECEIVED AUG 3 0;1012

l:lfficer before 01>ening,the.campaign account. OFFICE USE ONLY .

1. CHECKAAPROPRIATE BOX(ES):

00 lnitiafFiling·of Form Re·.filing to Change: 0 Treasurer/Deputy O Depository D Office D Party.

2 Name. of Candidate (in this order: First, Middle, Last) 3 Address (include post office box or stree( city, state. zip

t<~PfM _i:i: £J,,,.,A+ code)

Corbin Cf. t6t>t.,, ____ .. _ 4 .. Telephone

I . 5 .. E·rnail actciress () vi-e.J.o , Ft ... 3:Z7105"

( L/ol'f l 74fJ - /DfpCf Karn,.,J../.e,r-ro f lf!i> a {Vl:a.f{lJ!f»1

6 bffice sought '(include district, circuit, group number) 7 .. lfa c.and id ate for a nonpartisan <ifflce, check if applicable:

0 ' Jo c.~ ·eo . tl (;,. rn D My intent is to run as a Write-In candidate •

VI~ .. ·~ t.IMC \ t-oap . " --a If a candidate f:a parti!?M office, check block and fiJI in name o.f party as applicable: My intent ls to mn as a

0 Write .. ln 0 No Party Affiliation D Party candid.ate

.9 I have appointed thefollowlng per'son to act as my 00 Campaign Treasurer D D\:lpllty Treasure( ~- ·- ... 10. Name of Treasurer.or DeputyTreasurer

e-. fGc.za S- tlet"l~t .. -· -· ---------·-11 . Mailing Address 12 Teleph6ne

Joor; f!orb;n flf-, <ifofl ) )1?·i6C,f ;-,-- - ---·

13. City 14 County 15 State 16 Zip Code 17.. E-mail address

Oviedo Sevn ivi<5t-e f L J';l.!Zl11S /(a;r-e,_,,..N:.i rt cf@ gmL• i"f,edn.,

16 ... 1 have designated the following bank as my ~ Primary Depository D Secondary'Deposltol)' ----- ··-- -·-19. Name of Bank 20 Address

C1H1 z evi.s __ f3.,n{( of FlorrJ"'- Jt;;t;: (.:. ., •v-'I Or, 1e 0111 ~Jo (::/ y;;_ ")(,, ' 21 City 22 .. County 23 .. State 24. Zip Co.de

(!)vi ale .S'r?.rrd;w/'€ FL 0 7!7 (,, f§""

UNDER PENAL.TIES OF PERJURY, I DECLAR.E THAT I HAVE READ THE FOREGOING FORNI FOR APPOINlMENTOF CAMPAiGNTREl\SUR.ER AND. DESIGNATION OF CAMPAIGN DEPOSITORY AND THAT THE FACTS STATED IN IT ARE TRUE.

-·--·- --25 .. Date 26. Signature of Candid.ate

9/so/ 1.z x //J,, -. ,J)~d .

27 Treasurer's .Acceptance of Appointment (fill in the blanks and cMck the appropriate block)

I, ~fl <£.y.~yf K.o.r- e n S.. /.!e.f' io f . , do hereby accept the appointment (Please Print or Type Name)

designated above as: IX] Campaign Tre.asurer 0 Deputy Treasurer.

-a LJ, o[:i:J- x ~~ --· Date Signature of Campaign Treasurer or Deputy Treasurer

OS -DE 9 (Rev .. 10/10) lEXHiBIT__.J __ _

' I : '

CITY OF OVl:EDO GENERAL ELEl'Tl()N Nov.ember 6,.2012

I have received the following forms and information:

1. General Election information sheet

2. Schedule of Due Dates forCaropaign Financial Reports

3. City ofOviedo Charte1

4. FlOJida Stattite 286 011, Srtnshine Law; and Su!l,shine Law Infotmation Package

5.. Usage & Removal of PPliticaJ Caropaign A4vertisements (Ch?.pter 106.1435 FS) along with Right of.Way Genetal Infotmation

6.. City Campaign .Sign Permit Application

7. The Election Laws of the State of Florida (please review Chapter 106 Florida Statutes, Campaign Financing, of this publication.)

8. Candidate and Campaign Treasurer Handbook

9.. Seminole County Supervisor of Elections Online Treasurer Reporting System Instructions

1 O Caropaign Tteasmer's Report Sununaiy (Instructions 011 back)

11.. Itemized Contributions form

12 Itemized Expenditures fotm

l0irevi £. iler- I o + P~dName Date

EXHIBIT d G nt3J_

/

CITY OF OVIEDO REPORT FILING SCHEDULE


DUE DATE

Ap1il 10, 2012

July 10, 2012

PERIOD COVERED

QI- January 1-March31, 2012

Q2 - Ap1il 1 - June 30, 2012

September 21, 2012 GI - July 1 - September 14, 2012


October 19, 2012 G3 -September 29- October 12, 2012

November2, 2012 G4 - October 13- November 1, 2012

November 29, 2012 TRI - July 1, 2012-November 29, 2012 (unopposed)

February 4, 2012 IR-November 2, 2012 - February 4, 2012

Reports must be filed online tluough the Seminole County Supervisor of Elections Online Treasurer Reporting System. A copy of the instructions are included in your package After completion, you must print a hard copy, sign it, and provide it to the City Clerk by the filing date.

FINAL REPORT

A final report must be filed by any candidate who withdraws their candidacy, becomes unopposed, or is eliminated or elected to office within 90 days of that occuirence.

UNOPPOSED: GENERAL:

November 29, 2012 (TRl) February 4, 2013 (TR)

'fb.e report is not legally filed until! it is received in the Clerk's office.

NOTE: Repmts shall be filed no later than 5:00 pm of the day designated. Ju1y report postmarked by the U.S. Postal Service no later than midnight of the day designated shall be deemed to have been filed in a timely manner

",PENAL TIES: (FS lOo 07(8)(a)}'- Penalties for late filing of reports will be assessed by the City ~lerk's office md nonpayment \)f same will be turned over to the Florida Elections Commission. Late filing fines shall not be a.~ allowable campaign expenditure and shall be paid only from personal funds of the cmdidate. ~

EXHIBIT tJ (Q oP 3J _

REQUIRED TO BE RETURNED TO THE CITY CLERK NO LATER TIIAN FRIDAY. August 31, 2012. AT12:00 (NOON) TO QUALIFY:

. Returned Da1:e -----o/ .31> )\?·-- ApJ?ointment of Campaign Treasurer and Designation of

cCampaign Depositoty For Candidates form

~/31/r~ Statement ofCandidate (to be filed within 10 days of filing Appointment of Campaign Treasurer form)..

--·- - --

l//i1/1:;. Nominatin,g Petition fo1ms

-·· -----------·----·

~a o/i;}····· Election Assessment 1% ofsalru:y (Council member··· $11-0.31) · Flo1.ida Statutes 99 .093 (Must be paid out of cru:npaign account which needs to be opened to qualify)..

-·-· ---

f j ';, I { I ":l--1

Form l ··Financial J:n,terests Statement, along with the Guide to Sunshine Amendment &Code ofEi:hics pamphlet (guide does no.t needto be retumed) ..

-·

~:?t/_1~- Acceptance of Candidacy letter

.

~6r /1,2,,, Notification of pre- election equipment testing.

-- . ...

<[ / 31/ /,;). Loyalty Oath & Oath of'Candidate.

-·· -·-··----·

-~~Her-lo+ Printed Name md Signature

loo~ CarbrVI C-L Ov'1eJ.o FL 327ro~Address/Phone

L{Ot"f.- rJ'{~-~ (Q &ct 6ell f~-e.

Kovr'S<t\ t\-er-to-f 0t;5 ~ev\\ -~ EXHIBIT f1 IB e>·~ 0)

___ ,,_ ..

·-

·-

,., _______

Date ~Ja.0/17-

Barbour, Barbara

From: Sent: To: Cc: Subject:

Importance:

( \

Barbour, Barbara Wednesday, January 16, 2013 9:10 AM Council Member Drago; 'KarenHeriot@gmaiLcom'; 'robertapollack@gmail com' DeBonis, Linda; Hinson, JoAnne TR reminder

High

Councilwoman Drago, Ms Heriot, Mr. Pollack:

This is a reminder that your TR report for the November 2012 election is due in my office by close of business on Monday, February 4, 2013 You may submit your report any time before that date if you wish.

Ba1h11H1 8mbom1 M.JVJ. C Ci1y Oe1k Ovietlo Ci(y Hall 400 Alexmulria Bli-d. 0l'iedo, Flmida 'i276S

Phone: (407) 971-5504 Fax: ( 407) 971. -5804

February 6, 2013


Dear Ms .. Heriot:

' I (


400 ALExANDRIABLVD <> OVIBDO, FLORIDA32765

407·-971-5555 o WWW.CIIYOFOVIEDO .. NEI

A review of our files fails to reflect that your Campaign Treasurer's TR Report due on February 4, 2013, was filed with my office.

As noted below, there are fairly severe fines associated with failing to complete and file accurate campaign reports. If you have any questions in this matter please do not hesitate to contact me 407 .. 971 .. 5504 ..

Section 106 .. 07(8)(b), Florida Statutes, requires that the fifing officer notify you of the failure to file the report referred to above. A fine of $50 per day for the first 3 days late and, thereafter; $500 per day for each late day, not to exceed 25 percent of the total receipts or expenditures, whichever is greater; for the period covered by the late report, is being assessed. However, for the repolis immediately preceding each special primary election, special election, primary election, and general election, the fine shall be $500 per day for each late day, not to exceed 25 percent of the total receipts or· expenditures, whichever is greater; for the period covered by the late report.

Upon receipt of the report referred to, you will be notified of the amount due. Such fine shall be paid to the filing officer within 20 days of receipt of notice of payment due ..

Failure to file the required report shall cause this matter to be referred to the Florida Elections Commission under Section ·to6 .. 22 and 106 .. 25, Florida Statutes.. The Commission is authorized by Section 106 . .265, Florida Statutes, to levy civil penalties in the amount of up to $1, 000 per count for a violation of any provision of Chapter 106, Florida Statutes.. Any such civil penalty is independent of the automatic fine imposed by statute ..

Sincerely,


~ITV OF OVIEDO 400 ALEXANDRIA BOULEVARD


,_/


m Complete items 1, 2, and 3. Also complete item-4 if Restricted Delivery is desired.

El Print your name and address on the reverse so that we can return the card to you.

El Attach this card to the back of the mailpiece, or on the front If space permits.


./~~ /tJO' (K' ~()f-(f} //~ f?_, 3~7&S-

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Karen Heriot 1 006 Corbin Ct Oviedo, FL 32765

B. Received by (Printed Name)

0 Agent l l D Addressee !

C. Date of Delivery I

D. Is delivezy address different from item 1? 0 Yes If YES, enter delivery address below: D No

3. ~erv1~ype ClYCertlfled Mail D Registered Cl Insured Mail

D Express Mail ~n Receipt for Merchandise [J c.o.o.

4. Restricted Delivery? (Extra Fee) D Yes i - . -

2. Artlcle Number (Transfer from serVice label)

7011 0470 0001 3485 7389

PS Form 381.1, February 2004 Domestic Return Receipt 102595-02·M-1540

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-·- -. -FLQRIIJA 0EPARTME1'JT OF 'STA1'E [jJVfSfON OF ELptTIOJ\JS ,, .. ,. ·4 t t;ui•t;

CAMPAIGJ$.J TREAS:iJRieR~s REPORT sQ:M:MA:8¥. · ........ )'Lt};) . .

(11· Karen s.. ile.riot ~~~---~------------Name

(.2) 10D6 Corbili Ct -·--·--.-·.-·---··

Addt~s (:rll.lm'ber ;il!Q s~~e¢()

_Qyiad,Q,_ FI, J2765

Pity, Statoa, Zip Ce:d.e.

D eHEC:K JF AOORESS HAS"CliANGED

{ 4) Cn:eek aJ'.)prc;iptiatebi'.>lC{.es'):

Sub1n:itt ed on.: 9/21/2012 16 :33: 21 (eastern)

{Z:) m: Number: _________ 2_1_:6 ___ ~

,@D Camdidate '(hfficewught): .t:<>i:mcil Memb.er, Group I!I -----·-·----·-·--·--·-0 Rol.itioal Comntittee D ·Cl'lEC.K u= P'<'fl'IA$Pl$BANPED·

D c:;'pml'.Oiltee pf ,C:QntitltJ9.Us Existehce D cMECK IF C!i:EHASPfS~ANlilElil D Party'Execl.ittve Commrt~e O Eli;)cfit>n~iii'\{I Comli1Ynic;atig.n

~ver Peticid:

Q"9 oiigli:ial D Amendmlllit

(~j CON1'Rf.BUTlONS THI~ REPORT

•0esh & Checks $ CL ob

Loans $ l,_,. 2·00 0'0

T¢1el Monetary $ 1,200 00

$ 0 00

(!;!) TOTAL Monetary Contributions To [)ate

$ ·---··· .. ,--···--~-·····----1..,2.:0.0...Jl!L

[}cHECKIF N.O' Clc:l'li!!;;fljoliECT!QNeERlN~ e~MM.~Nt!S.IP'l~Jil ~f!P~T~ w1"'t. ~:e Fll.!Sl'l

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(7) E*PENriITURE;S'"J:HIS'~EPbRl'

Morietll:J'Y E*<.pend(lur.es $

lllansfercs.to Gf!ic::a .!\<;Co1;lf)t $

li~l MM~ary

110 .. 31

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110.:)1

' {10) TOTA!- Monetary Expendl.tute.s. Tq Date

$ ---··---·-----•·----.-l.1..0c.>1-.

(11lCERTIFICATION It.is a first ciegra.e m isdeltieal'!C>i fQ'r ;iny perso~ to:f'!l1'ify._a public r~o<lr!l.(ss. 13$$; ta, F • .$.l

I certify.that I have.examined this r,ep;M and it ls t~ue., I lcoitify !fi.at I hiive examined thl$.t-eport and it is.!ru.e, correct, and c.omplete eorreot, and complete.

I

CTXPen_am __ . e"-)---·=~--~~---[:l1nqfy.1puaJ (011~y-1qr _ ~Treas1,1rer 0.0.~pvfy lre,asurer

efe.ctlon.ee_r.lpg commun )

X Lu_jJlMJ Signature

DS-DE 12 (Rev.:o?/04)

(Tj'.Pe. name)

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CAMPAIGN TREASURER'S REPORT-iTEMIZED CONTRIBUTIONS

(1) Name Karen -s Heri at :(2) LD .. Number --.4-'-''-----

7 /1/2012 9/14/2012

f3) Cove.r Period -------- I __ I-----· tbr<:\Ugh I I

--------------------------------~ (5.) I (7)

i------·-----R~~:_ ________ ~ Fun ·Name (6) i (Last, Suffi*, FilSt, Middle.)

Sequence i StreetAddress & _________ _f'Jutn_12'!!.____ ! Citv. State . Zio Cooe

IHeriot, Karen

I' 8/).5/2,01.2 1006 COl:"i:.lin -Ct

1---~·l __ ~I ---1-bVicdo :, Fl 3-2-'u;;s

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(4) Page 1

(10) (11)

ln,kiod Des·crloti·on .Atnendmen,t

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(12)

-Amount $1,2-90 0

1----~---------·--1·--·---------·-· ____ .,___ ___ T _______ ·---·---i----+------<

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--- -·-·--·--- -·--"·---- .. ·-·-·- --.. -···-"------· .. ---

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L I OS-DE 13 (Rev. 08103) SEE REVERSE FOR INSmUCT.fONS AND COD.EYALUES

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CAMPAIGN TREASURER~$ REPORT- ITEMIZED EXPENDITURES pfName Kaxen s. Heriot (2).10 Number 216

7/1./2.012 9/14/2012 (~)CoverP.eriod ___ ;/__ __ J_· _._through. __ .i ___ f__ (4).P.age l of 1

JS) (l) (8) (~} (1.0) {tj)

Date Full Name. P.;irp-q'f;'e-(6) (Last, SUffll\; Firs!, Mlcldle) ('.a;dct.<>ffi:Ci>.$PU$h! If

Expenditure se·quenCe Sttaet:Address .. & ccntribUti.on t'O:a Numb.er City, st<ite,·Zip Coda :<::aniliaat•l Typ~ Arneiid'rrt~nt:. Miotint

··--, ____ ,

---·-·---· ,___ _____

8/3ll2.0.12 ~y, of Oviedo, ti.ling fee MO .$.11.0 .. 3

,_ _ _f__f_ __ 11,\ "'""'~ 1-I" "'-Oviedo, Ft> 32?65

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DS·.OE 14 (Rev 08103) SEE REVERSE FOR INSTRUCTIONS ANDCOClEVALUES

r-·---------- -----------·----

STATEMENT OF CANDIDATE

(Section 106.023, F .. S.;)

(Please print or type)

candidate for the office of

.OFFICE USE ONLY

CEIVED AUG 31 l.012

t!Y: ~ 1/:g

~-~-----·------------!

have been provided access to read and understand the requirements of

Chapter 106., Florida Statutes

LIL JJ!!~.t Signature of Candidate Date

Each candidate must file a statement with the qualifying officer within 10 days after the Appointment of Campaign Treasurer ahd Designation -of Campaign Depository is filed Willful failure to file this form is a first degree misdemeanor and a civil violation of the Campaign Financing Act which may resultin a fine of up to $1,000, (ss. 106. 19(1 )(c), 106 .265(1), Florida Statutes) ..

DS-DB84(1J5/ll)

EXHiB~'f ___ iz ____ _

In Re: Karen Heriot - Florida Election Commissionfile/13-072+Heriot,+Karen_Redacted.pdf106 141(1),...

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Transcript of In Re: Karen Heriot - Florida Election Commissionfile/13-072+Heriot,+Karen_Redacted.pdf106 141(1),...