Texas Ethics Commission

Facial Compliance Review

Facial Compliance Reviews

The Commission is required by law to review for facial compliance randomly selected reports filed with the Commission.Gov’t Code § 571.069. Reports are selected at random and reviewed to determine whether each report is complete, accurate, and complies on its face with the law(s) requiring the report. We refer to an apparent error, omission, or violation of law as a “deficiency.”

If a deficiency is discovered during a facial compliance review, our auditor sends the filer a letter and a “Facial Compliance Review Report” which details the deficiency and steps necessary to correct the report. Filers have seven business days from the receipt of the Facial Compliance Review Report to file a correction in order for the corrected report to be considered filed as on the date it was originally filed. Id. § 571.069(a). The letter and a “Facial Compliance Review Report” will explain the time required for a response for each filer. Extensions may be granted, but it is important that the filer contact our auditor if additional time is needed.

If the filer believes the report was accurate as originally filed, the filer may submit documentation or a statement to the Commission that shows the report is accurate.

Facial Compliance Reviews and audits remain confidential unless the filer waives confidentiality in writing. Filers frequently grant a limited waiver of confidentiality so that our auditor can discuss the report with a designated representative, such as a campaign treasurer, bookkeeper, or lawyer.

The Facial Compliance Review will be closed once all deficiencies in a report are resolved through either filing a corrected report or providing information that shows the report was accurate as filed. The auditor will send the filer notice once a review is closed.

Facial Compliance Reporting Flow Diagram

Full Audits

In the rare case where a Facial Compliance Review is not closed, the process can result in a full audit or a Commission-initiated civil enforcement action (effectively a sworn complaint). By a vote of at least six commissioners, the Commission may initiate a civil enforcement action or a full audit if the Commission:

  1. Does not timely receive information from the filer that would allow the Commission to determine whether the report complies with the law;
  2. A corrected report is not timely filed; or
  3. A report corrected in response to a facial compliance review still does not comply with the law requiring the filing of the report.

Gov’t Code § 571.069(b)

Frequently Asked Questions

The Commission is required to conduct Facial Compliance Reviews (FCRs) by section 571.069 of the Government Code. During a FCR, the Ethics Commission (Commission) reviews a report or statement to determine if there are any apparent inaccuracies, errors, or omissions. If an issue is found during a FCR, the filer will have an opportunity to file a correction to the report at issue without penalty.
No. During a facial review, the Ethics Commission (Commission) only reviews the statement or report for apparent errors, omissions, or inaccuracies and political contribution maintained balances. The Commission may conduct a full audit if any errors, omissions and inaccuracies are not timely corrected or documentation necessary to determine whether the report is correct and accurate is not timely provided to the Commission.
No. The sworn complaint process is separate from a FCR. Review details of the sworn complaint process.
The Commission may select at random any report or statement filed with the Commission. This includes campaign finance reports, lobby reports, and personal financial statements.
Reports are selected completely at random from a list of all reports filed for a given filing deadline.
No. If you timely correct the report to resolve the deficiency or show that the report was complete and accurate as filed, the facial compliance review will be closed without any sanction.
Review the deficiency report and make any necessary correction(s) to the statement or report that was subject to the FCR. If you have any questions call the number provided on the deficiency report cover letter to speak with the auditor. We will work with you to make sure the corrected report is complete and accurate.
FCRs are generally confidential and the Commission may only discuss the FCR with the person legally responsible for filing the report. However, the person legally responsible for filing the report can waive confidentiality to allow Commission staff to discuss the FCR with people identified by the filer. For example, a filer who had a consultant prepare a report subject to a FCR may wish to sign a limited waiver authorizing Commission staff to discuss the FCR with the consultant in order to speed up resolution of the FCR.
Corrections generally must be filed within 30 days of receiving the compliance review report to avoid a potential late fine. Deadlines can be extended upon request and with good cause shown. If you think you cannot comply with a deadline call the Commission to speak with the auditor.

While a filer will avoid a potential late fine by filing corrections within 30 days of receiving the compliance review report, corrections must be made seven (7) business days from when the filer receives the notice of a deficiency in order for a corrected report to be considered filed as of the day the report was originally filed. This is a technical distinction in the law, but it essentially means a filer will not be subject to a potential sworn complaint for an allegation of a reporting violation in the original report, if the report is corrected within seven business days of receiving the compliance review report.

Contact the auditor and request an extension. Requests for extensions should be made in writing and state the reason(s) for needing an extension.
If you electronically filed the report or statement that is subject to the FCR, you must file a corrected report or statement electronically using the electronic filing application. If you filed the report or statement that is subject to the FCR on paper, you must file a paper correction.
Contact the auditor and explain why you think the report is complete and accurate as filed. You may be required to provide documentation to allow the Commission to determine whether the report is complete and accurate as originally filed. That documentation must be provided within 30 days of your receipt of the compliance review report.
The Commission may vote to initiate a sworn complaint or a full audit if the Commission finds that the report does not comply with the law and a correction has not been timely filed.
You will receive a letter notifying you that the review has been closed.