**PART II**

**SUMMARIES OF STATE CAMPAIGN FINANCE LAWS**

Summaries of the campaign finance laws in each state and the District of
Columbia are presented in this part of the report. Each summary is a
synopsis of the state law in effect through December 31, 2001,
concerning the following campaign finance-related subjects:

-   Contributions and solicitation limitations

-   Expenditure limitations

-   Reporting requirements

-   Post-election requirements

-   Tax provisions

-   Public financing provisions

-   Offenses and penalties

-   Responsible state agencies

The summaries include the most important requirements of the law as
found in statutory codes, and, if available, administrative codes,
advisory opinions of the state attorney general, court decisions, and
guidance and compliance manuals, materials, and interpretations prepared
by the responsible state agency. *Since each state summary is current
through December 31, 2001, and changes in state statutory and case law
after that date are not included, the reader is advised that it is
essential that other sources be consulted for subsequent changes.* The
reader should contact the state agency responsible for the
administration and enforcement of the state\'s campaign finance law
(names, addresses, and telephone numbers are included in Chart 1 of the
preceding part of the report), or review the most recent amendments to
the state\'s statutory and administrative codes.

The law concerning state and local elections is covered in each summary;
however, state requirements for federal elections are also included to
the extent that state law has not been superceded by the Federal
Election Campaign Act. The provisions of this act and regulations of the
Federal Election Commission supercede and preempt any provision of state
law with respect to federal office, and the Federal Election Commission
has stated by regulation that the act supercedes state law concerning
the organization and registration of political committees supporting
federal office candidates, disclosure of receipts and expenditures
regarding federal office candidates and political committees, and
limitations on contributions and expenditures regarding federal office
candidates and political committees.

**CAMPAIGN FINANCE LAW**

**IN ALABAMA**

**I. INTRODUCTION**

Alabama requires all political committees to file information on all
contributions and expenditures before each election. Corporate
contributions are limited to \$500 to any one candidate, political
committee, or political party per election, and public utilities may not
make direct campaign contributions. Government employees may contribute
to political activities at all levels of government. All other
individuals and entities may contribute unlimited amounts to candidates
and committees. Candidates for state office are prohibited from
soliciting or accepting contributions when the legislature is in
session. Alabama offers no tax incentives for political contributions,
but provides a tax surcharge mechanism for designating contributions to
political parties. The Secretary of State is responsible for overseeing
the campaign finance provisions of the law. The state political parties
have imposed a separate set of regulations for party primaries.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of and Solicitations for Candidates.** A "candidate" is
an individual who has done any of the following: either taken the action
necessary under Alabama law to qualify himself or herself for nomination
or election for any state or local office, including, as an independent
seeking ballot access, on the date when he or she files a petition in
the appropriate office for the elected position sought, or; received
contributions or made expenditures, or given another person consent to
do so, with the view of bringing about his or her nomination or election
to a state office or local office \[1\]. A person is not considered to
be a candidate until he or she has contributions or expenditures in the
following amounts: 1) \$25,000 or more for election or nomination to a
state office other than the one filled by election of the registered
voters of any circuit or district within the state; 2) \$5,000 or more
for nomination or election to any state office, excluding legislative
office, filled by election of the registered voters of any circuit or
district; 3) \$10,000 or more when seeking nomination or election to the
Alabama Senate and \$5,000 when seeking nomination or election to the
Alabama House of Representatives; and 4) \$1,000 or more when seeking
nomination or election to any local office \[2\].

A candidate, public official or principal campaign committee may only
accept, solicit or receive contributions to influence the outcome of an
election and not more than 12 months before an election in which a
person intends to become a candidate \[3\]. The candidate may also
solicit contributions for a period of 120 days after the election in
which that person was a candidate, but only to the extent of their
campaign debt as indicated on the campaign financial disclosure form or
to the extent of reaching the threshold that is required for
qualification as a candidate for the office which he or she currently
holds \[4\]. The section on the campaign debt of the candidate or of his
or her principal campaign committee does not apply to any prior
candidate or current elected official who filed a verified statement of
such debt on or before October 1, 1995 \[5\]. Such debt must have been
created on or before January 1, 1995 and be directly related to lawful
campaign expenditures, provided, however, that any candidate or elected
official whose election is challenged may then accept, solicit and
receive campaign contributions for the purpose of paying all expenses
associated with the election challenge \[6\].

**B. Definition of Contribution.** A contribution is a gift, loan
advance, deposit of money or anything of value, a payment, forgiveness
of a loan, or payment of a third party, made for the purpose of
influencing the result of an election \[7\]. A contribution includes a
contract or agreement to make a gift, subscription, loan, advance, or
deposit of money or anything of value for the purpose of influencing the
result of an election \[8\]. A contribution also includes a transfer of
anything of value received by a political committee from another
political committee, political party, or other source \[9\], or the
payment of compensation by any person for the personal services or
expenses of any other person if such services are rendered or expenses
incurred on behalf of a candidate, political committee, or political
party without payment of full and adequate compensation by the candidate
or entity \[10\].

A contribution does not include payment of compensation by a corporation
to establish, administer, or solicit voluntary contributions to a
separate segregated fund established under law \[11\]. A contribution
also does not include the value of services provided without
compensation by individuals who volunteer a portion or all of their time
on behalf of a candidate or political committee \[12\]; the use of real
or personal property and the cost of invitations and food or beverages
that are voluntarily provided by an individual to a candidate or
political committee in rendering voluntary personal services on the
individual's residential or business premises for election-related
activities \[13\]; sale of food or beverage by a vendor for use in an
election campaign at a charge to a candidate or political committee less
than the normal comparable charge, if the charge to the political
committee is at least equal to the vendor's cost \[14\]; an unreimbursed
payment for travel expenses made by an individual who on his or her own
behalf volunteers personal services to a candidate or political
committee \[15\]; payment by a state or local committee of a political
party of the cost of preparation, display, or mailing or other
distribution incurred by the committee with respect to a printed slate
card or sample ballot, or other printed listing of two or more
candidates for public office \[16\]; or the value or cost of polling and
voter reference data and information if provided to a candidate or
political committee, unless the information was compiled with the
advance knowledge and approval of the candidate or political committee
\[17\].

**B. Limitations on Nature of Contributions.** A corporation may
contribute to an individual seeking public office even though the person
has not yet formally qualified nor made a public announcement of
candidacy \[18\].

A person may not make a contribution in the name of another, or permit
another person to use his or her name for such a purpose \[19\].

**C. Limitations on Amount of Contributions.** An individual, political
party, labor union, political action committee, or other political
committee is permitted to contribute unlimited amounts to any individual
campaign \[20\].

A corporation, other than a public utility that is regulated by the
public service commission, is permitted, in each separate election, to
contribute money or in‑kind services not to exceed \$500 to any one
candidate, political committee, or political party, or to aid or defeat
any question or proposition \[21\]. A parent‑subsidiary corporation is
considered to be a single entity for the purposes of the \$500 limit
\[22\]. A corporation is not limited in the number of \$500
contributions that it may make \[23\]. The Attorney General of Alabama
has issued an opinion that the \$500 limitation on corporate
contributions to aid or defeat a ballot question or proposition is
unconstitutional \[24\]. A non‑profit corporation may contribute
unlimited amounts in support of, or in opposition to, any ballot
question or proposition \[25\]. A corporation regulated by the public
service commission is prohibited from passing along to its customers any
contribution made to establish, administer, or solicit contributions to
a separate segregated fund \[26\]. A corporation may contribute a
maximum of \$1,000 (\$500 for the primary election and \$500 for the
general election) to a political committee prior to the primary
election, but a contribution for a run‑off election may not be made
until it is determined that there will be a run‑off \[27\].

**D. Limitation on Use of Contributions.** A candidate, public official,
or principal campaign committee may only use contributions for: 1)
expenditures of the campaign; 2) expenditures that are reasonably
related to performing the duties of the office held, not including
personal and legislative living expenses; 3) donations to the State
General Fund, Alabama Special Educational Trust Fund or equivalent
county or municipal funds; 4) donations to an organization to which a
federal income tax deduction is permitted, or to any other charitable,
educational, or eleemosynary cause under § 501 of the Internal Revenue
Code; 5) inaugural or transitional expenses; or paying the cost of
expenses associated with election challenges \[28\]. Contributions to an
office holder, candidate, or public official's inaugural or transitional
fund may not be converted to personal use \[29\].

**E. Limitations on Solicitations.** A political action committee or
separate segregated fund faces special restrictions on soliciting
contributions. Corporate funds may not be a part of the voluntary
contribution fund \[30\]. Contributions to the fund may not be solicited
or secured by physical force, job discrimination, financial reprisals,
or threats of these actions, or by dues, fees, or other money required
as a condition of employment \[31\]. Contribution solicitations are to
be accompanied by information about the purposes of the fund and the
right to refuse to contribute without reprisal \[32\].

State employees may not use any state funds, property, or time for any
political activities, and it is unlawful for any officer or employee to
solicit any type of political campaign contributions from other
employees supervised by the individual \[33\].

Contributions may not be solicited from or made by any state employee in
the classified service for state political activities, but are permitted
for city and county political activities \[34\]. A city employee may
contribute to county and state political activities, and a county
employee may contribute to city and state political activities \[35\].

**F. Restrictions on Solicitations and Contributions During Legislative
Sessions and from Lobbyists.** A candidate for state office and such a
candidate's principal campaign committee may not solicit or accept
contributions during the period when the legislature is convened in
session, any time from the opening day of the special or regular session
through the day of adjournment *sine die* for that session \[36\]. The
restrictions do not apply within 120 days of any primary, run-off, or
general election, nor to the candidates and their principal campaign
committees participating in any special election called by the governor,
nor to a loan from a candidate to his or her own principal campaign
committee \[37\].

A legislative caucus may not solicit a lobbyist to make a contribution
to a party caucus, political action committee, non-profit foundation,
charitable organization, or any other group, entity or organization
\[38\]. This solicitation may not be either direct or indirect, and a
member of the legislature, whether acting in the legislator's individual
capacity or as an agent or representative of a third party, may not
contact a lobbyist and ask that lobbyist to contact other lobbyists for
contributions, even if the lobbyist originally contacted by the member
of the legislature does not personally contribute \[39\].

**F. Special Restrictions for Judges and Judicial Employees.** A judge
should not be involved in political fundraising solicitations for those
other than the judge himself or herself \[40\]. A judge may not permit a
judicial official or employee subject to the judge's direction or
control to do what the judge is prohibited from doing \[41\]. A judge
may not use or permit the personal use of contributions for himself or
herself \[42\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a purchase, payment,
distribution, loan, advance, deposit, or gift of money or anything of
value made for the purpose of influencing the election \[43\]. An
expenditure includes a contract or agreement to make a purchase,
payment, distribution, loan, advance, deposit, gift, or anything of
value for the purpose of influencing an election \[44\], or the
transfer, gift, or contribution of funds of a political committee to
another political committee \[45\].

An expenditure does not include a news story, commentary, or editorial
prepared by and distributed through the facilities of a broadcast
station, newspaper, magazine, or other periodical, unless the facilities
are owned or controlled by a political party or political committee
\[46\]; nonpartisan activity designed to encourage individuals to
register to vote or to vote \[47\]; a communication by a membership
organization to its members or by a corporation to its shareholders and
employees if the entity is not organized primarily for the purpose of
influencing the results of an election \[48\]; the use of real or
personal property and the cost of invitations and food or beverages,
voluntarily provided by an individual in rendering voluntary personal
services on the individual's residential or business premises for
election-related activities \[49\]; a reimbursed payment for travel
expenses made by an individual who volunteers his or her personal
services on his or her own behalf to a candidate or political committee
\[50\]; a communication by a person which is not made for the purposes
of influencing the result of an election \[51\]; or the payment by a
state or local committee of a political party of the cost of
preparation, display, or mailing or other distribution incurred by the
committee with respect to a printed slate card or sample ballot, or
other printed listing of two or more candidates for any public official
in Alabama \[52\].

**B. Limitation on Nature of Expenditures.** A political committee
expenditure must be made by check drawn on a checking account, or out of
a petty cash fund in an amount not to exceed \$100 to any person in
connection with a single purchase or transaction \[53\].

**C. Limitations on Corporate Expenditures.** A corporation is not
permitted to directly place an advertisement in its own name in support
of a ballot question or proposition \[54\]. A non‑profit corporation is
permitted to expend an unlimited amount of funds to aid or defeat such
measures \[55\].

**D. Limitations on Candidate Expenditures.** A candidate may not spend
any money in aid of his or her nomination or election except by
contributing to the candidate's designated principal campaign committee
\[56\].

**IV. REPORTING REQUIREMENTS**

**A. Registration by a Candidate and Principal Campaign Committee.**
Within five days after an individual becomes a candidate for office,
each candidate for state office, including state senate and house of
representatives, must file with the Secretary of State; each candidate
for a county office or the state house of representatives must file with
the judge of probate of the county; and each candidate for a circuit or
district office, including the state senate, must file with the judge of
probate of each county in the circuit or district, a statement showing
the name of from one to five persons selected to serve as the
candidate's principal campaign committee, together with a written
acceptance of the persons to serve as a committee \[57\]. The statement
is considered to be timely filed if it is postmarked not later than the
fifth day after the candidate's announcement \[58\].

Candidates for office at every level of government are also required to
file a statement of economic interests for the preceding calendar year
when they become a candidate or at same time that they file their
qualifying papers with the appropriate election official \[59\]. If the
candidate does not file the statement in a timely manner, the State
Ethics Commission may not place the candidate on the ballot \[60\] An
additional five days to file the statement may be allowed by the
commission for good cause \[61\].

**B. Registration of Political Committee.** A political committee other
than a candidate's principal campaign committee must file a statement of
organization under certain circumstances. If a political committee
anticipates either receiving contributions or making expenditures during
the calendar year in an aggregate amount exceeding \$1,000, it must file
a statement of organization with the Secretary of State or the
appropriate judge of probate within 10 days after its organization, or,
if later, within 10 days after the date on which it has information
which causes the committee to anticipate it will reach or exceed the
threshold amount \[62\].

Registration is not required of committees whose major purpose is not to
engage in election activity \[63\].

A statement of organization must include the committee's name and
address \[64\]; the identification of affiliated or connected
organizations, if any \[65\]; the purposes of the committee \[66\]; the
identification of the chair and treasurer \[67\]; the identification of
principal officers, including members of any finance committee \[68\]; a
description of the constitutional amendments or other propositions, if
any, that the committee is supporting or opposing, and the identity, if
known, of any candidate or elected official that the committee is
supporting or opposing \[69\]; a statement whether the committee is a
continuing one, and, if not, the expected termination or dissolution
date \[70\]; and the disposition of residual funds which will be made in
the event of dissolution \[71\].

**C. Statement of Campaign Contributions and Expenditures.** Reports are
required of treasurers of all principal campaign committees and
political committees 45 days before and between 10 and five days before
any election for which a political committee receives contributions or
makes expenditures with a view toward influencing the election's result
\[72\], and annually on or before January 31 of the succeeding year
\[73\]. Such reports are not required of committees whose major purpose
is not to engage in election activity \[74\]. Statements are filed with
the appropriate filing officer \[75\], and are not required except
between five and 10 days before a run-off election \[76\].

Each report must disclose the amount of cash or other assets on hand at
the beginning of the reporting period \[77\]; the identification of each
person who has made contributions to the candidate or committee within
the calendar year in an aggregate amount greater than \$100, together
with the date and amount of all such contributions \[78\].

In the case of a political committee other than a principal campaign
committee, sufficient identification consists of the name and city of
residence of each person who has made contributions within the calendar
year in an aggregate amount greater than \$100 \[79\]. The report also
must include the total amount of other unreported contributions \[80\];
each loan to or from any person within the calendar year in an aggregate
amount greater than \$100, together with the identification of the
lender, endorsers, or guarantors, if any, and the date and amount of the
loans \[81\]; the total amount of receipts from any other source during
the calendar year \[82\]; the grand total of all receipts by or for the
committee during the calendar year \[83\]; the identification of each
person to whom expenditures have been made by or on behalf of the
committee within the calendar year in an aggregate amount greater than
\$100, the date, amount, and purpose of each such expenditure, and, if
applicable, the designation of each constitutional amendment or other
proposition with respect to which an expenditure was made \[84\]; the
identification of each person to whom an expenditure for personal
services, salaries, and reimbursed expenses greater than \$100 has been
made, and which is not otherwise reported or exempted from reporting
provisions, including the date, amount, and purpose of such an
expenditure \[85\]; the grand total of all expenditures made by the
committee during the calendar year \[86\]; and the amount and nature of
debts and obligations owed by or to the committee, together with a
statement as to the circumstances and conditions under which any such
debt or obligation was extinguished, and the consideration paid for it
\[87\].

A report must be signed and filed by the chairman or treasurer of a
political committee, and by the candidate in the case of a principal
campaign committee \[88\]. Each report must be accompanied by an
affidavit sworn and subscribed to by the officials signing the report
representing that the report is in all respects true and complete to the
best of the signer's knowledge and belief, and, if made by a candidate,
the affidavit must also state that the candidate has not received any
contributions or made any expenditures which are not set forth and
covered by the report \[89\].

FAXed reports are not permitted \[90\].

**V. PUBLIC FINANCING PROVISIONS**

The state revenue commission certifies amounts each December 1st that
have been designated by taxpayers to be remitted by the state
comptroller by the following January 1st to the appropriate officials of
the state governing authority of the designated political party \[91\].

**VI. TAX PROVISIONS**

Every individual who files a state income tax return may designate a
contribution to a political party in the amount of one dollar, or two
dollars for a joint return \[92\]. Such contributions increase the
taxpayer's tax liability by the amount contributed \[93\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Duties of Committee Treasurer.** A treasurer must preserve all
receipted bills and accounts required to be kept under the Act for a
period of two years from the date of any such expenditure \[94\].

**B. Termination of Political Committee Status.** When a political
committee other than a principal campaign committee determines that it
will no longer receive contributions or make expenditures during a
calendar year in an aggregate amount exceeding \$1,000, the chair or
treasurer of the committee may notify the appropriate filing officer of
the termination or dissolution of the committee \[95\]. When a candidate
through his or her principal campaign committee determines that he or
she will not receive contributions or make expenditures of \$10,000 or
more for a state office elected by all the voters of the state, \$3,000
or more for a state office filled by election of the voters of any
circuit or district, or \$1,000 for a local office, the chair or
treasurer of the committee may notify the appropriate filing officer
\[96\]. The notice must contain a statement by the committee treasurer
of the intended disposition of any residual funds then held by the
committee on behalf of a candidate \[97\].

**C. Disposition of Surplus Funds.** Surplus funds---which include
proceeds from investment of contributions---may be used to defray
ordinary and necessary expenses of the candidate incurred by him or her
in connection with his or her duties as an officeholder \[98\]; be
contributed by the candidate to an organization described in § 170(c), §
501(c), or any other charitable, educational, or eleemosynary cause
under Title 26 of the U.S. Code \[99\]; transferred to another political
committee \[100\]; be deposited into the state general fund or the
Alabama special educational trust fund or any department or agency
funded by either \[101\]; or used for inaugural or other transitional
expenses \[102\]. Surplus funds may not be converted to personal use,
but personal use does not include room, telephones, office expenses and
equipment, housing rental, meals, and travel expenses incurred in
connection with the duties as a holder of office \[103\].

**VIII. OFFENSES AND PENALTIES**

**A. Violation of Reporting Requirements.** A person's failure to
properly report within the appropriate period may result in a class B
misdemeanor, with a penalty of a fine of the greater of \$1,000 or an
amount not to exceed double the amount or value of the contributions or
expenditures not reported, or imprisonment of not more than six months,
or both fine and imprisonment \[104\]. A person who intentionally
violates the provisions governing how and when money can be raised may
be found guilty of a class B felony \[105\].

Other violations of the law are class A misdemeanors punishable by a
fine of not more than \$2,000 or imprisonment of not more than one year,
or both \[106\].

A certificate of election or nomination may not be issued to a person
elected or nominated to state or local office who fails to file a
required statement or report, and if such a certificate has been issued,
it must be revoked \[107\].

**B. Offenses by Corporations.** A corporation found to be contributing
to, or making expenditures on behalf of, a candidate, directly or
indirectly, is guilty of a misdemeanor and is subject to a fine between
\$1,000 and \$2,000 by a jury \[108\].

**C. Offenses by State Classified Service Employees.** A state
classified service employee who contributes to a candidate or political
committee forfeits his or her office or position \[109\]. If he or she
uses official authority or position to influence any person's political
actions, he or she is guilty of a felony and is subject to a fine of not
more than \$10,000, imprisonment in the state penitentiary for not more
than two years, or both \[110\].

**D. Other Offenses.** Other violations are punishable as class A
misdemeanors, subject to a fine of not more than \$2,000, imprisonment
of not more than one year, or both fine and imprisonment \[111\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State serves as chief
election officer of the state, and is the filing officer for statewide
committees, including those on behalf of candidates for the state senate
and house of representatives, and certain judicial offices \[112\].

**B. Judges of Probate.** The appropriate office of the judge of probate
serves as filing officer for those committees not required to file with
the Secretary of State \[113\].

**C. Attorney General.** The attorney general may prosecute for
violations of the Act within two years after the date of the violation
in the county in which the alleged violator resides \[114\], or in
Montgomery County for violations which occurred out of state \[115\].

**D. District Attorney.** The district attorney for the appropriate
county has jurisdiction over certain campaign violations \[116\].

**E. State Ethics Commission.** The State Ethics Commission has
jurisdiction over candidate statements of economic interest \[117\].

# References

1\. Alabama Code (hereafter AC)

§ 36-25-1(3)

2\. AC § 36-25-1(3)

3\. AC § 36-25-6(a); State Ethics Comm'n

Advisory Opinion No. 97-02, January

8, 1997

4\. AC § 36-25-6(a)

5\. AC § 36-25-6(a)

6\. AC § 36-25-6

7\. AC § 17‑22A‑2(2)(a)(1)

8\. AC § 17‑22A‑2(2)(a)(2)

9\. AC § 17‑22A‑2(2)(a)(3)

10\. AC § 17‑22A‑2(2)(a)(4)

11\. AC § 17‑22A‑2(2)(a)(4)

12\. AC § 17-22A-2(2)(b)(1)

13\. AC § 17-22A-2(2)(b)(2)

14\. AC § 17-22A-2(2)(b)(3)

15\. AC § 17-22A-2(2)(b)(4)

16\. AC § 17-22A-2(2)(b)(5)

17\. AC § 17-22A-2(2)(b)(6)

18\. Opinions of the Alabama Attorney General (hereafter Op. Att'y Gen.)

January 19, 1982

19\. AC § 17-22A-18

20\. State of Alabama, *An Elections Guide For*

*Candidates and Political Committees*

(hereafter *Guide* ) 2 (1982)

21\. AC § 10‑2A‑70.1(a); Op. Att'y Gen.

August 26, 1981. *See,* AC § 17‑22‑3(6).

State law does not prevent corporations

from earmarking how a PAC will spend

a corporation's contributions. Secretary

of State, *Corporate Contribution*

*Guidelines* (1998).

22\. AC § 10‑2A‑70.1(a)

23\. Op. Att'y Gen. August 26, 1981

24\. Op. Att'y Gen. November 19, 1981; Op.

Att'y Gen. March 2, 1982

25\. AC § 10‑2A‑70.2

26\. AC § 10‑1‑2(b)(4)

27\. Op. Att'y Gen. May 21, 1982

28\. AC §§ 36-25-6; 17-22A-7(b)(4); State

Ethics Comm'n Advisory Opinion No.

95-87, November 1, 1995

29\. AC § 36-25-6; *Ex Parte Hunt*, 642 So.2d

1060 (Ala. 1994), *reh. denied* (1994).

Funds solicited and contributed to a non-

profit charitable organization organized

to raise money by selling tickets to

events staged to celebrate a gubernatorial

inauguration were not "campaign funds"

within the meaning of the Fair Campaign

Practices Act.

30\. AC § 10‑1‑2

31\. AC § 17-22A-20

32\. AC § 10‑1‑2(b)(1)

33\. AC § 17‑1‑7(c); *but see,* *Kirby v. Mobile*

*Co. Comm'n*, 564 So.2d 447 (Ala. Civ.

App. 1990)

34\. AC §§ 36‑26‑38(a); 17‑1‑7(a)(3)

35\. AC §§ 17‑1‑7(a)(1), (2)

36\. AC § 17-22A-7(b)(2). This session ban

also includes loans by state candidates

and elected officials to their own

committees. Op. Att'y Gen. 95-00263.

37\. AC § 17-22A-7(b)(2)

38\. AC § 36-25-23(b); State Ethics Comm'n ,

Reconsideration of Advisory Opinion

No. 99-39, December 1, 1999 at 5

39\. State Ethics Comm'n , Reconsideration of

Advisory Opinion No. 99-39, December

1, 1999 at 5

40\. Canons of Judicial Conduct (hereafter

CJC) Canon 7(A)(1); *see, In Re McLeod*,

No. 1970102 (Sup. Ct. Ala. July 17,

1998); *see, Ex parte Kenneth D.*

*McLeod, Sr. Family Ltd. Partnership*,

725 So.2d 271 (Ala. 1998), reh. denied

41\. CJC Canon 7(B)(1)(b)

42\. CJC Canon 7(B)(1)(d)

43\. AC § 17-22A-2(4)(a)(1)

44\. AC § 17-22A-2(4)(a)(2)

45\. AC § 17-22A-2(4)(a)(3)

46\. AC § 17-22A-2(4)(b)(1)

47\. AC § 17-22A-2(4)(b)(2)

48\. AC § 17-22A-2(4)(b)(3)

49\. AC § 17-22A-2(4)(b)(4)

50\. AC § 17-22A-2(4)(b)(5)

51\. AC § 17-22A-2(4)(b)(6)

52\. AC § 17-22A-2(4)(b)(7)

53\. AC § 17-22A-6

54\. Op. Att'y Gen. November 19, 1981

55\. AC § 10‑2A‑70.2

56\. AC § 17-22A-4

57\. AC § 17-22A-4

58\. AC § 17-22A-5(1)

59\. AC § 36-25-15(a)

60\. AC § 36-25-15(c)

61\. AC § 36-25-15(c)

62\. AC § 17-22A-5(2)(a)

63\. *Richey v. Tyson*, 120 F.Supp.2d 1298

(S.D.Ala. 2000)

64\. AC § 17-22A-5(2)(b)

65\. AC § 17-22A-5(2)(c)

66\. AC § 17-22A-5(2)(d)

67\. AC § 17-22A-5(2)(e)

68\. AC § 17-22A-5(2)(f)

69\. AC § 17-22A-5(2)(g)

70\. AC § 17-22A-5(2)(h)

71\. AC § 17-22A-8(1)(A)

72\. AC § 17-22A-8(2)

73\. AC § 17-22A-9

74\. *Richey v. Tyson*, 120 F.Supp.2d 1298

(S.D.Ala. 2000)

75\. AC § 17-22A-8(1)(b)

76\. AC § 17-22A-8(3)(a)

77\. AC § 17-22A-8(3)(b)

78\. AC § 17-22A-8(3)(b)7

79\. AC § 17-22A-8(3)(c)

80\. AC § 17-22A-8(3)(d)

81\. AC § 17-22A-8(3)(e)

82\. AC § 17-22A-8(3)(f)

83\. AC § 17-22A-8(3)(g)

84\. AC § 17-22A-8(3)(h)

85\. AC § 17-22A-8(3)(i)

86\. AC § 17-22A-8(3)(j)

87\. AC § 17-22A-8(4)

88\. AC § 17-22A-8(4)

89\. AC § 40‑18‑146(c)

90\. Secretary of State, *Fair Campaign*

*Practices Act Candidate Filing*

*Guide (6^th^ ed.) (2000-2001)* at 25

91\. AC § 40‑18‑146(b)

92\. AC § 40‑18‑146(b)

93\. AC § 17-22A-3(4)

94\. AC § 17-22A-5(4)

95\. AC § 17-22A-5(4); AC §

17-22A-2(1)(b)(1)

96\. AC § 17-22A-5(4)

97\. AC § 17-22A-5(4)

98\. AC § 17-22A-7(a)(2)

99\. AC § 17-22A-7(a)(3)

100\. AC § 17-22A-7(a)(4)

101\. AC § 17-22A-7(a)(5)

102\. AC § 17-22A-7(a)(2)

103\. AC § 17-22A-7(a); *see also,* *Hunt v.*

*State*, 642 So.2d 999 (Ala.Crim.App.

1993), *aff'd, sub nom.,* *Ex Parte Hunt*

642 So.2d 060 Ala. 1994) (use of

surplus campaign funds by public

official for a direct personal

financial gain violates Ethics Act).

104\. AC § 17-22A-22(a)

105 AC § 17-22A-22(c)

106\. AC § 17-22A-22 (b)

107\. AC § 17-22A-21; *Megginson v. Turner*,

565 So.2d 247 (Ala. 1990). Certificate of

election to a municipal office is not

subject to revocation for failure of the

successful candidate to comply with the

Fair Campaign Practices Act. *Etheridge*

*v. State ex rel. Olson*, 730 So.2d 1179

(Ala. 1999). *But see,* *Davis v. Reynolds*,

592 So.2d 546 (Ala. 1991) (failure to file

a required report before the election

may result in forfeiture of the election

because legislative intent is full disclosure

before the election).

108\. AC § 10‑2A‑70

109\. AC § 36‑26‑38(b)

110\. AC § 17‑1‑7(b)

111\. AC § 17-22A-22(1)

112\. AC § 17-22A-9(1)

113\. AC § 17-22A-9(2)

114\. AC § 17-22A-22(d); *see, Knutson*

*v. Bronner*, 721 So.2d 678 (Ala. 1998)

115\. AC § 17-22A-22(d)

116\. AC § 17-22A-22

117\. AC § 36-25-15

**CAMPAIGN FINANCE LAW**

**IN ALASKA**

**I. INTRODUCTION**

Alaska's campaign disclosure law applies in every election for governor,
lieutenant governor, state house of representatives, state senate,
delegate to a constitutional convention, a judge seeking electoral
confirmation, ballot proposition, and to every municipal candidate in
municipalities with more than 1,000 inhabitants, unless that
municipality has voted to exempt itself from the requirements. The
campaign disclosure law provides for several different reports a
candidate might file and the state has developed a voluntary electronic
filing program. Alaska imposes limitations on the types and amounts of
contributions and expenditures that may be lawfully made or received in
relation to a campaign, including special restrictions on lobbyist
involvement in the campaign finance process. The Alaska Public Offices
Commission administers the law and enforces civil sanctions, and the
attorney general is responsible for enforcement of criminal sanctions. A
municipality may regulate campaign contributions and expenditures by
ordinance.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a purchase,
payment, promise, or obligation to pay; loan or guarantee; deposit or
gift of money, goods, or services for which a charge is ordinarily made,
and which is made for the purpose of influencing the nomination or
election of a candidate or for the purpose of influencing a ballot
proposition or question, including the payment by a person other than a
candidate or political party, or compensation date or political party
\[1\]. A contribution includes professional services volunteered by
individuals for which they ordinarily would be paid a fee or wage \[2\];
the value of donated services is the amount which the donor received for
the kind of services contributed \[3\].

A loan from an individual or person to a candidate is considered a
contribution, regardless of repayments \[4\]. A loan to a candidate is a
contribution from each endorser or guarantor in the amount for which he
or she has agreed to be liable in a written agreement \[5\]. If the
agreement does not state the portion of the loan for which each endorser
or guarantor is liable, the loan is considered a loan by each endorser
or guarantor in the same proportion that each endorser or guarantor
bears to the total number of endorsers or guarantors \[6\].

A debt owed by a political group or candidate, which is settled for less
than the amount owed is a contribution, although the Commission may
consider a multitude of factors in determining whether the debt might be
better treated in a different manner \[7\].

An expenditure made by a person in cooperation, consultation, or in
concert with, or at the request or suggestion of a candidate, the
candidate's campaign committee, campaign agents, or campaign
consultants, is a contribution to the candidate \[8\]. The financing by
a person of the issuance, republication, or distribution of a written,
graphic, or other form of campaign material provided by the candidate,
the candidate's campaign committee, campaign agents, or campaign
consultants, is a contribution to the candidate \[9\]. The contribution,
by one candidate, of money, goods, or services raised or generated by
his or her campaign, to another candidate is prohibited \[10\].

A contribution does not include non‑professional services provided
without compensation by an individual volunteering a portion of his or
her time on behalf of a candidate or ballot proposition or question
\[11\] or his or her voluntary, non-reimbursed travel expenses \[12\];
services provided by an accountant or other person to prepare required
reports and statements \[13\], including legal assistance in complying
with reporting requirements \[14\]; or ordinary hospitality in a home
\[15\].

A contribution also does not include costs incurred in bona fide news
coverage \[16\]; a non-monetary contribution or in-kind donation of a
single item with a usual and normal cost of \$50 or less \[17\]; a gift,
subscription, advance, or deposit of money or anything of value made
with respect to a recount of a state or municipal election \[18\] or to
defend a candidate's right to remain on the ballot \[19\]; or a payment
made by a business, corporation, trade association, labor organization,
or other organization not organized primarily to influence elections to
communicate directly with its members or employees, or their families,
on any subject, if the communication is of the same format and nature
used by the organization when it has communicated in the past on
nonpolitical subjects, does not request members or their families to do
anything other than exercise the right to vote, and does not solicit
contributions to a clearly identified candidate or group chosen by the
organization \[20\].

A pledge is not a contribution unless it is legally enforceable, and
generally, pledges made pursuant to a telephone conversation or pledge
card are not enforceable and are not required to be reported \[21\].

A contribution made by a married individual is not attributed to that
individual's spouse, unless otherwise specified in writing by the spouse
at the time the contribution is made \[22\].

**B. Limitations on Contribution Amounts.** An individual may not
contribute more than \$500 per year to a candidate or group that is not
a political party \[23\], and a group that is not a political party may
contribute not more than \$1,000 per year to a candidate \[24\]; group,
or party \[25\]. A loan that exceeds the contribution limitations is
unlawful, whether or not it is repaid \[26\]. Political parties and
their subdivisions are subject to an aggregate \$5,000 limitation on the
amount they may receive from an individual \[27\].

A political party may not contribute more than \$100,000 per year to a
committee for a governor/lieutenant governor candidate \[28\]; \$15,000
per year to a committee for a state senate candidate \[29\]; \$10,000
per year to a committee for a state house candidate \[30\]; \$5,000 per
year to a committee for a candidate for delegate to a constitutional
convention \[31\]; a committee for a judge seeking retention \[32\]; or
a committee for a candidate for municipal office \[33\].

A candidate may contribute an unlimited amount of his or her own money
to his or her own campaign \[34\]. However, a candidate may not recover
the amount of a loan made by the candidate to the candidate's own
campaign that exceeds \$25,000, if the candidate ran for governor or
lieutenant governor \[35\]; \$10,000, if the candidate ran for the
legislature \[36\]; or delegate to a constitutional convention \[37\];
\$10,000, if the candidate was a judge seeking retention \[38\]; or
\$5,000, if the candidate ran in a municipal election \[39\]. A
candidate may not repay a loan that the candidate has made to the
candidate's own campaign unless, within five days of making the loan,
the candidate properly notifies the Alaska Public Offices Commission, on
a form provided by the commission, of the candidate\'s intention to
repay the loan \[40\].

A corporation and its subsidiaries are prohibited from making
contributions unless it meets the definition of a group \[41\]. An
individual or group, including, but not limited to, all political
committees, businesses, corporations, and labor unions, may contribute
an unlimited amount to a ballot proposition or question \[42\].

A draft group may not accept contributions in excess of \$500 from any
individual or group \[43\], nor may it make contributions to, or
contribute previously produced material, in an amount greater than
\$1,000, to any person who has declared that he or she is seeking office
or who has filed a declaration of candidacy, nominating petition, or
become a candidate by any other means \[44\].

**C. Limitations on Nature of Contributions.** A contribution of more
than \$100 may not be made in cash or by cash payment, and such a
contribution may not be accepted by, or on behalf of, a candidate
\[45\]. A contribution may not be made, directly or indirectly, in a
fictitious name, or by one person or group in the name of another, to
influence the election of a candidate in an election \[46\]. A
contribution made by a person wishing to remain anonymous and received
by a candidate, campaign treasurer, or deputy campaign treasurer may not
be used or expended, but must be returned to that donor, if the donor's
identity is known, and, if no donor is found, the contribution escheats
to the state \[47\]. "Passing the hat" activities are prohibited \[48\].
A person may not give, render, pay, offer, solicit, or accept money,
service, or other valuable thing in connection with an appointment,
promotion, or advantage in a position with the classified service
\[49\]. A person may not require an assessment, subscription,
contribution, or service for a political party from an employee in the
classified service \[50\].

On-line contributions are authorized \[51\].

Only proceeds from raffles and lotteries may be used to aid candidates
or groups, including parties, while Bingo and pull tab proceeds may no
longer be used to fund political campaigns \[52\].

A candidate or an individual who has filed with the commission the
document necessary to permit that individual to incur election‑related
expenses may solicit or accept contributions from an individual who is
not a resident of the state at the time the contribution is made if the
amounts contributed by individuals who are not residents do not exceed
\$20,000, if the candidate or individual is seeking the office of
governor or lieutenant governor \[53\]; \$5,000, if the candidate or
individual is seeking the office of state senator \[54\]; or \$3,000, if
the candidate or individual is seeking the office of state
representative or municipal or other office \[55\]. A group or political
party may solicit or accept contributions from an individual who is not
a resident of the state at the time the contribution is made, but the
amounts accepted from individuals who are not residents may not exceed
10 percent of total contributions made to the group or political party
during the calendar or group year in which the contributions are
received \[56\].

A contribution to a candidate or a political committee may only be
received by the candidate, campaign treasurer, or deputy campaign
treasurer \[57\], and deposited in a designated campaign depository
\[58\]. The campaign may, however, permit a person to collect funds for
a single event if the funds are turned over to a deputy treasurer within
72 hours of collection \[59\].

A campaign treasurer is required to use his or her best efforts to
determine the legality of a contribution \[60\]. If a contribution
cannot be determined to be legal, the treasurer must make a refund
within a reasonable time \[61\]. Contributions that appear to be illegal
must be returned to the contributor immediately upon receipt \[62\].

**D. Limitations on Legislator and Lobbyist Activities.** A legislator
or legislative staff member for the state legislature may not solicit or
accept a contribution for a state legislative campaign during a
legislative session \[63\], nor accept money from an event held during a
legislative session if a substantial purpose of the event is to raise
money for the legislator's campaign purposes, or for state legislative
political purposes \[64\].

A covered candidate may not accept money from a fundraising event held
during regular or special session if a substantial purpose of the event
is either to raise money on behalf of the member or legislative employee
for campaign purposes or to raise money for state legislative political
purposes \[65\]. This prohibition also applies to legislators who have
filed for statewide office \[66\].

A contribution is deemed "received" when it is in the physical
possession of a candidate or the candidate's registered treasurer or
deputy treasurer \[67\]. A candidate who receives a contribution during
a prohibited period must record, report and return the contribution
\[68\].

A registered lobbyist (or a lobbyist's agent or employee acting on the
lobbyist's direction or instruction, or with remuneration from the
lobbyist) may not serve as a campaign chair, co-chair, campaign
treasurer or deputy campaign treasurer, serve on a finance or
fundraising committee, host a fundraiser, collect contributions, or
otherwise actively engage in the fundraising activity of a legislative
campaign if the lobbyist has registered during the calendar year,
although the lobbyist may make a personal contribution to a candidate
\[69\].

A registered lobbyist may not contribute to a legislative candidate
unless the lobbyist resides in the legislator's district \[70\].

**E. Limitations on Timing of Solicitation and Acceptance of
Contributions.** Alaska's campaign season has a distinct beginning and
ending \[71\]. Candidates who have filed for state office may not
solicit or accept campaign contributions prior to 18 months before the
election \[72\]. A solicitation---inviting individuals to contribute
money or to attend a fundraiser---may not be received by a member of the
public during a prohibited period, including solicitations made by mail,
hand delivery, at a fundraising event, or informally by word of mouth
\[73\]. At the other end of the campaign, they may not accept
contributions later than 45 days after their last contested election
(whether the primary or the general election) \[74\].

Municipal candidates have the same campaign period, beginning 18 months
before an election \[75\].

**F. Limitations on Activities of Judges and Judicial Candidates.** A
judge or a candidate for judicial office should not personally solicit
or accept campaign funds, and such an individual's campaign committee
may not solicit campaign funds earlier than 90 days before a primary
election nor later than 90 days after the final election in which the
candidate participates during the election year \[76\]. A judge or
candidate for judicial office should not solicit funds or pay an
assessment or make a contribution to a political organization or
candidate, or purchase tickets for political party dinners \[77\]. A
judge or candidate for judicial office may not use or permit the use of
campaign contributions for the personal benefit of the judge or
candidate for judicial office, or members of their families \[78\].

**G. Limitations on Personal Contributions by a Candidate.** A candidate
may make unlimited personal contributions from assets which, under
Alaska law, the candidate had legal right of access to, or control over,
and to which the candidate had legal and rightful title at the time he
or she became a candidate \[79\]. These assets include salary and other
income from bona fide employment; dividends, proceeds from the sale of
investments; bequests to the candidate; income from trusts established
before the candidacy; income from trusts established by bequest after
candidacy; and gifts of a personal nature which had been customarily
received before candidacy \[80\].

A candidate may use a portion of jointly owned assets as a personal
contribution. The portion of the jointly owned assets that may be used
is the candidate's share under the instruments of conveyance or
ownership \[81\]. With respect to spouses, if no specific share is
indicated by an instrument of conveyance or ownership, the value of
one-half of the property used is considered the personal funds of the
candidate \[82\]. In the case of property jointly owned by a non-spouse,
if there is no instrument of conveyance or ownership, the portion of the
asset belonging to the candidate is the pro rata share of the purchase
price paid by the candidate, or, if no purchase was made, the amount
determined by dividing the present value by the number of owners \[83\].

A candidate's donation of goods remaining from a prior campaign is a
personal contribution \[84\].

A loan of money made by a regulated banking institution to a candidate
is a personal contribution of the candidate if the loan is made in
accordance with applicable banking laws and regulations, bears the usual
and customary interest rate for the category of loan involved, is
evidenced by a written instrument, and is subject to a due date or
amortization schedule \[85\].

A candidate may not recover the amount of a loan made by the candidate
to the candidate's own campaign that exceeds \$25,000, if the candidate
ran for governor or lieutenant governor \[86\]; \$10,000, if the
candidate ran for the legislature \[87\], delegate to a constitutional
convention \[88\], or if the candidate was a judge seeking retention
\[89\]; or \$ 5,000, if the candidate ran in a municipal election
\[90\].

A candidate may not repay a loan that the candidate has made to the
candidate's own campaign unless, within five days of making the loan,
the candidate notifies the Alaska Public Offices Commission, on a form
provided by the Commission, of the candidate's intention to repay the
loan \[91\].

On and after the last day of the period ending three days before the due
date of the regular required report and until the date of the election
for which the report is filed, a candidate may not give or loan to the
candidate's campaign the candidate's money or other thing of value of
the candidate in the amount that exceeds \$5,000 \[92\].

The absolute sale of all legal and equitable interest of a candidate's
real or personal property is not a contribution from the purchasers if
the proceeds are received by a candidate in a legitimate arm's length
transaction documented in writing \[93\].

**III. EXPENDITURE LIMITATIONS**

**A. General Considerations.** Alaska law on campaign expenditures has
not been significantly amended since the U.S. Supreme Court invalidated
the independent expenditure ceiling and ceiling on overall campaign
expenditures contained in the Federal Election Campaign Act \[94\]. The
court's holding has been accepted as law in Alaska \[95\].

**B. Definition of Expenditure.** An expenditure is a purchase or
transfer of money or anything of value, or promise or agreement to
purchase or transfer money or anything of value, incurred or made for
the purpose of influencing the nomination or election of a candidate, or
of any individual who files for nomination at a later date and becomes a
candidate \[96\]; use by a political party \[97\]; payment, by a person
other than a candidate or political party, of compensation for the
personal services of another person which are rendered to a candidate or
political party \[98\]; or influencing the outcome of a ballot
proposition or question \[99\]. An expenditure does not include a
candidate's filing fee or the cost of preparing required statements or
reports \[100\]. Fees for inclusion in the state's voter information
pamphlet are similar in nature and are not necessarily reportable
\[101\].

**C. Limitations on Expenditure Amounts.** Persons, including all
political committees, corporations, businesses, and labor unions, are
permitted to expend an unlimited amount on behalf of a ballot question
or proposition \[102\].

**D. Limitations on Nature of Expenditures.** Expenditures of more than
\$100 may not be made in cash or by cash payment, unless a written
receipt is obtained from the recipient \[103\]. An expenditure may not
be made or incurred, directly or indirectly, anonymously, in a
fictitious name, or by one person or group in the name of another to
influence the election of a candidate in an election, nor may
contributions be earmarked \[104\]. An expenditure of a candidate or
political committee may only be made by the candidate, campaign
treasurer, or deputy campaign treasurer \[105\]. A campaign expenditure,
or any type may not be made by any candidate, treasurer, or group unless
the source is disclosed as required by law \[106\].

A political campaign expenditure may not be made or incurred by a person
in an election, or by a person or group with his knowledge and on his or
her behalf, before the date upon which he files for nomination for the
office which the person seeks, except for personal travel expenses or
for opinion surveys or polls \[107\]. These expenditures must be
included on the first required report \[108\].

An expenditure may not be: made to give a personal benefit to the
candidate or to another person \[110\]; converted to personal income of
the candidate \[109\]; used to make a loan to a person \[111\];
knowingly used to pay more than the fair market value for goods or
services purchased for the campaign \[112\]; used to make contributions
to another candidate or to a group \[113\]; used to pay a criminal fine
\[114\]; or used to pay civil penalties \[115\]. However, campaign
contributions held by a candidate or group may be used to pay a civil
penalty assessed for a campaign finance violation if authorized by the
Alaska Public Offices Commission or a court after it first determines
that the candidate, campaign treasurer, and deputy campaign treasurer
did not cause or participate in the violation for which the civil
penalty is imposed and exercised a reasonable level of oversight over
the campaign \[116\]; and the candidate, campaign treasurer, and deputy
campaign treasurer cooperated in the revelation of the violation and in
its immediate correction \[117\].

A candidate may also use up to \$1,000 in contributions in a year to pay
the cost of attending or paying for others to attend a party function
\[118\]; membership in a party or subscription to a party publication
\[119\]; and co-sponsoring a party event \[120\].

**E. Independent Expenditures.** Only individuals and groups may make an
independent expenditure that benefits a candidate \[121\]. There is no
limit on the amount or frequency of independent expenditures \[122\], a
disbursement of funds which is made expressly to support or oppose an
individual's candidacy or a ballot issue \[123\].

An independent expenditure is an expenditure that is made without the
direct or indirect consultation or cooperation with, or at the
suggestion or the request of, or with the prior consent of, a candidate,
a candidate's campaign treasurer or deputy campaign treasurer, or
another person acting as a principal or agent of the candidate \[124\].
An expenditure made at the request of, in consultation with, or at the
suggestion of a candidate, a candidate's committee, or a group
supporting or opposing a ballot issue is considered an in‑kind
contribution by the person making the expenditure \[125\].

**F. Expenditures by Draft Groups.** A draft group may make expenditures
in order to raise, through contributions to the group, the money
necessary to defray its own administrative costs \[126\], and attempt to
draft persons to become candidates, including the expenditure of money
to extol the qualities of persons the group is attempting to draft
\[127\], and inform the general public both of the group's position on
issues and the qualities of leadership it seeks in potential candidates
\[128\]. A draft group may not make any expenditures which may benefit a
person whom the group has successfully drafted for office, and who has
made it known that he or she will be seeking election to public office,
except for personal travel expenses, opinion surveys, or polls; however,
the group may continue in its attempts to draft other persons for
elective office \[129\]. A draft group may not contribute more than the
maximum amount permitted by law to any person who has declared that he
or she is seeking office, or who has filed a declaration of candidacy, a
nominating petition, or become a candidate by any other means \[130\].

**G. Expenditures by a Government Entity.** When a government entity
seeks to influence the outcome of a ballot proposition or question, it
is restricted in when and how it may use its funds \[131\]. Only funds
which have been specifically appropriated for that purpose by a state
law or a municipal ordinance may be used for such expenditures \[132\].
Such funds may be used to disseminate information about the time and
place of an election and to hold an election \[133\]; or to provide the
public with nonpartisan information about a ballot proposition or
question or about all the candidates seeking election to a particular
public office \[134\].

During a specifically defined campaign period when a candidate, a
legislator, or legislative employee may not use, or permit others to
use, state funds for political mass mailings to individuals eligible to
vote for the candidate \[135\].

**IV. REPORTING REQUIREMENTS**

**A. General Requirements.** Each declared candidate, or each candidate
intending to declare his candidacy by filing a nominating petition, in
every election for governor, lieutenant governor, or member of the state
legislature \[136\]; write-in candidates for state executive or
legislative office in the general election; delegate to a constitutional
convention; judges seeking electoral confirmation; and municipal
candidates in a municipality with more than 1,000 inhabitants that has
not voted to exempt its elected municipal officers from the disclosure
requirements, must file periodic campaign disclosure reports \[137\].
Eight municipalities have exempted themselves from the disclosure
requirements: Bristol Bay Borough, Cordova, Dillingham, City of Haines,
Kotzebue, Nome, Petersburg, and Wrangell \[138\].

An individual, municipality, group, or ongoing organization may also be
required to file a disclosure report under certain circumstances
\[139\]. A group is defined as each state and regional executive
committee of a political party or as any combination of two or more
individuals acting jointly, with the major purpose of influencing the
outcome of an election \[140\]. A political action committee; a group
organized to sponsor a statewide initiative, referendum, or recall
petition; and a group specifically organized to support or oppose
candidates, ballot propositions, or questions, are each required to
register as a group \[141\]. A business entity or labor organization
making a contribution or expenditure from its general fund or treasury,
for the purpose of influencing the outcome of a ballot measure election,
must make a full report of its activity \[142\]. Persons residing
outside the State of Alaska are subject to the same reporting
requirements, restrictions, and responsibilities as those placed upon
persons residing within the state \[143\].

Groups outside Alaska, including national party committees, may not
contribute to Alaska candidates; however, if they comply with all other
provisions of AS § 15.13, they may contribute to Alaska groups \[144\].

**B. Registration.** Each group, before making an expenditure on behalf
of, or in opposition to, a candidate or a contribution to a candidate,
must register with the Commission \[145\]. If the group intends to
support or oppose only one candidate, or to contribute to or expend on
behalf of, or in opposition to, one candidate at least 33\_ percent of
its funds, the name of the candidate must be part of the name of the
group \[146\]. Groups that spend more than 50% of their funds to support
or oppose one candidate are considered to be "controlled" by the
candidate \[147\]. Controlled groups are considered to be identical to
candidates' campaigns for purposes of the contribution limits \[148\].
Each group, before making an expenditure in support of, or in opposition
to, a ballot measure, must register with the Commission \[149\].

Each candidate and group must appoint a campaign treasurer, who may be a
candidate \[150\]. Each group must file the name and address of its
campaign \[151\]. Each candidate for state office must register before
making expenditures \[152\], and must file the name and address of the
campaign treasurer with the Commission, or submit that information to
the lieutenant governor for filing with the Commission, no later than 15
days after the date of filing his or her declaration of candidacy or
nominating petition \[153\]. Each candidate for municipal office must
file the name and address of the treasurer with the Commission no later
than seven days after the date of filing his or her declaration of
candidacy or nominating petition \[154\]. If the candidate does not
designate a campaign treasurer, the candidate is the campaign treasurer
\[155\]. In the case of the death, resignation, or removal of a campaign
treasurer, the candidate must appoint a successor as soon as
practicable, and file the name with the Commission with 48 hours of the
appointment \[156\]. A campaign treasurer may appoint as many deputy
campaign treasurers as he or she considers necessary \[157\]. The
candidate must file the name and addresses of the deputy campaign
treasurers with the Commission \[158\].

**C. Reporting by Contributors and Suppliers.** An individual or group
contributing \$500 to a candidate, or contributing goods or services to
a candidate with a value of \$500, to influence the election of a
candidate must furnish the Commission a signed statement itemizing the
contributions and goods, and stating that the contribution consists of
funds or property belonging to the contributor, and has not been given
or furnished by another group \[159\].

Every individual or group making a contribution of cash, goods, or
services valued \$500 a year to any group or candidate or in increments
of \$500 to a party \[160\]; or any expenditure for advertising in
newspapers, on radio, or on television, or for the publication,
distribution, or circulation of brochures, flyers, or other campaign
material for any candidate or ballot proposition or question, must file
a full report with the Commission containing the name, address,
principal occupation, and employer of the individual filing the report,
and an itemized list of expenditures \[161\].

The requirements for listing the principal occupation and employer of
the contributor include the name of the individual's employer, if the
contributor is an individual; the employee's department, if the
contributor is employed by the State of Alaska; and, if the contributor
is retired, unemployed, a housewife/homemaker, student, or a child, any
of those terms, or "not applicable" \[162\].

During each year in which an election occurs, all businesses, persons,
or groups that furnish any of the following services, facilities, or
supplies to a candidate group must maintain a record of each
transaction: newspaper, radio, television, advertising, advertising
agency services, accounting, billboards, printing, secretarial, public
opinion polls, research and professional campaign consultation or
management, media production or preparation, or computer services
\[163\].

**D. Reporting by Candidates and Groups.** Each candidate \[164\] and
group \[165\] must make a full report to the Commission of contributions
and expenditures. The report must be certified correct by the candidate
or campaign treasurer \[166\], or by the group's treasurer \[167\]. Each
candidate or group filing a report must identify each monetary
contribution or aggregate of contributions from the same contributor,
which totals in excess of \$100, by reporting the date received \[168\],
the check number \[169\], the name and address of the contributor
\[170\], the principal occupation and employer of the contributor
\[171\]; and the amount \[172\]. Each non‑monetary contribution or
aggregate of non‑monetary contributions from the same contributor,
valued at more than \$100 a year, must be identified by reporting the
date received \[173\], the name and address of the contributor \[174\],
the principal occupation and employer of the contributor \[175\], a
description of the contributions \[176\], and the estimated fair market
value \[177\]. Each loan or aggregate of loans from the same
contributor, which totals in excess of \$100, must also be identified by
reporting the date received \[178\], the name and address of the lender,
loan guarantor or co‑signer \[179\], the principal occupation and
employer of the lender, loan guarantor, or co‑signer \[180\], the
interest rate \[181\], and the amount \[182\]. Each paid expenditure
must be identified by reporting the date or payment \[183\], the check
number \[184\], the name address of the payee \[185\], the purpose of
the expenditure \[186\], and the amount \[187\]. Finally, each accrued
expenditure must be identified by reporting the date the expenditure was
incurred \[188\], the name and address of the business of individual
with whom the debt was incurred \[189\], the purpose of the accrued
expenditure \[190\], and the amount \[191\]. When reporting monetary and
non‑monetary contributions or loans, a cumulative total must be kept by
each candidate or group of the contributions, including loans made to
it, and reported when monetary contributions by the same contributor
bring the total to more than \$100 \[192\], non‑monetary contributions
by the same contributor bring the estimated total value to more than
\$100 \[193\], loans by the same lender, guarantor, or co‑signer bring
the estimated total value to over \$100 \[194\], or a combination of
monetary and non‑monetary contributions or loans by the same contributor
brings the total to more than \$100 \[195\].

Whenever a required report includes an expenditure to an advertising
agency, or to an individual or business which provides campaign
consultation or management services, the report must be accompanied by a
statement detailing all services rendered, including the identity of
each business from which campaign goods or services were purchased or
subcontracted, or media advertising placed, and their costs \[196\].

**E. Reporting by Certain Other Entities.** A corporation, partnership,
sole proprietorship, trade association, fraternal or charitable
organization, incorporated or unincorporated association, firm, or
business trust may report its contributions and expenditures as an
individual if all contributions and expenditures to influence the
outcome of a ballot measure election are made from the organization's
day-to-day operating account \[197\]; the organization does not conduct
a fundraising drive or assessment among its members or employees for the
purpose of influencing a ballot measure election \[198\]; and the
organization does not exercise direction, control, or discretion over
the choice of the recipient ballot measure or group, and the
organization does not exercise direction, control, or discretion over
the expenditure of money or other things of value collected, pooled,
solicited, or otherwise paid for by others for the purpose of
influencing a ballot measure election \[199\].

Reporting of fundraising and expenditures is not required of a group
restricting its acts solely to a legal challenge of a ballot proposition
\[200\].

**F. Filing Deadlines.** All required reports must be filed with
Commission on or before the due date \[201\] either through
hand-delivering the report to the Commission's central office or its
branch office in the state capital \[202\], or through having the report
postmarked by the due date \[203\]. The required 24-hour report must,
however, be filed with the Commission's central office either by a
collect telegram, actual physical delivery \[204\], or by FAX within the
prescribed time \[205\]. The 24-hour report may not be mailed \[206\]; a
24-hour report will not be considered timely if it is simply postmarked
by the due date \[207\].

Each candidate and group must make a full report to the Commission
during the period ending three days before the due date of the report,
and beginning on the last day covered by the most recent previous
report, of, if a first report, all contributions received and
expenditures made before three days before the due date of the report
\[208\]. The report is to be filed 30 days before the election; however,
this report is not required if the deadline for filing a nominating
petition or declaration of candidacy is within 30 days of the election
\[209\]; one week before the election \[210\]; 10 days after the
election \[211\]; and February 15 of each year for expenditures and
contributions received and not reported the prior year \[212\].

A statement by a contributor is to be filed with the Commission no later
than 30 days after the contribution is made \[213\]. Every individual or
group who makes a contribution or expenditure under section 15.13.040(d)
must file a full report with the Commission no later than 30 days after
the contribution is made, or no later than 10 days after an expenditure
is made \[214\]. A group formed to sponsor an initiative, a referendum,
or a recall must report 30 days after its first filing with the
lieutenant governor, and thereafter within 10 days after the end of each
calendar quarter until reports are due under the regular election
reporting schedule \[215\].

Each candidate and group is required to report on February 15 with
respect to expenditures made and contributions received that were not
reported during the previous year, or when expenditures were not made or
expenditures were not received during the previous year \[216\].

Each contribution exceeding \$250 (other than a contribution made by the
candidate) made within nine days of the election must be reported to the
Commission by date, amount, and contributor or recipient within 24 hours
of receipt or expenditure by the candidate or committee treasurer
\[217\].

The disbursement of a surplus balance of a candidate's or group's
campaign account must be reported to the Commission within 10 days after
final disposition of the balance \[218\].

Before a civic league or organization becomes eligible to lobby, the
entity must report the total amount of contributions received for the
reporting period, and, for any contribution over \$100, the name of the
contributor and the amount contributed \[219\]. Reports are to be filed
on February 10th, April 25th, and July 10th of each year, listing
contributions received during the period that ended 10 days earlier
\[220\].

When a government entity seeks to influence the outcome of an election
using budgeted funds, it reports in the same manner as an individual
\[221\]. All communications that are paid for by a government entity and
are related to an election are considered to be intended to influence
the outcome of an election, unless they are only notices of the election
or are required by statute, charter, or ordinance \[222\].

**G. Exemptions From Reporting.** A candidate who does not intend to
receive or accept more than \$2,500 in contributions or make more than
\$2,500 in expenditures during a campaign for municipal or state public
office, including any personal campaign contributions, may file a
campaign reporting exemption form \[223\]. A candidate who files the
exemption form is not required to submit any other reports to the
Commission concerning the campaign \[224\].

The reporting exemption is revoked if a candidate exceeds the limits
\[225\]. A candidate whose exemption is revoked must immediately
register the change of status, and must disclose his or her campaign
contribution and expenditure activity beginning with the first campaign
disclosure report due following the change of status \[226\].

Non‑party candidates, groups formed to influence the outcome of a ballot
issue not appearing on the primary ballot, political party subdivisions,
and multi‑candidate political action committees that do not make
campaign‑related expenditures to benefit a candidate on the primary
ballot, but that may receive contributions and make administrative
expenditures during the primary reporting period, are not required to
file the three primary election campaign disclosure reports \[227\].

**H. Date Contribution Becomes Reportable.** A contribution is
considered reportable on the date it comes into the possession of the
candidate, the candidate's treasurer, or an appointed deputy treasurer,
and not necessarily on the date on which the contribution is deposited
into the campaign account \[228\].

**I. Electronic Filing.** Candidates or groups may file their reports
electronically and on-line, using software provided by the Alaska Public
Offices Commission \[229\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Disposition of Surplus Funds**. A candidate must disburse the
surplus balance in his or her campaign account within 90 days after the
election \[230\]. Disbursement is limited to certain statutorily
specified activities which must occur \[231\].

Permitted distributions include paying bills incurred for expenditures
reasonably related to the campaign and the winding up of the affairs of
the campaign, and paying expenditures associated with post‑election fund
raising that may be needed to raise funds to pay off campaign debts
\[232\]; paying for a victory or a thank you party costing less than
\$500, or giving a thank-you gift to a campaign employee or volunteer
\[233\]; making donations, without condition, to a political party
\[234\]; the state's general fund \[235\]; a municipality of the state
\[236\]; or the federal government \[237\].

Permissible post-election expenditures may also take the form of
donations, without condition, to organizations qualified as charitable
organizations under 26 U.S.C. § 501(c)(3), provided the organization is
not controlled by the candidate or a member of the candidate's family
\[238\]; repayment of loans from the candidate to the candidate's own
campaign \[239\]; repayment of contributions to contributors made pro
rata in approximate proportion to the contributions made \[240\]. The
candidate may decide whether such repayment may be made to all
contributors \[241\]; to contributors who have contributed most recently
\[242\]; or to contributors who have made larger contributions \[243\].

The candidate may also use surplus campaign funds to establish a fund
for, and from that fund to pay, attorney fees or costs incurred in the
prosecution or defense of an administrative or civil judicial action
that directly concerns a challenge to the victory or defeat of the
candidate in the election \[244\]; or transfer all or a portion of the
unused campaign contributions to an account for a future election
campaign \[245\]. In the event a candidate opts for such a transfer, the
transfer is limited to \$50,000, if the transfer is made by a candidate
for governor or lieutenant governor \[246\]; \$10,000, if the transfer
is made by a candidate for the state senate \[247\]; \$5,000, if the
transfer is made by a candidate for the state house of representatives
\[248\]; and \$5,000, if the transfer is made by a candidate for any
other office \[249\].

A candidate may also transfer all or a portion of the unused campaign
contributions to a legislative office account if the candidate is
elected to the state legislature \[250\], in which case such a
legislative office account may be used only for expenses associated with
the candidate's serving as a member of the legislature \[251\], and all
amounts expended from the legislative office account shall be annually
accounted for under AS § 15.13.110(a)(4) \[252\]; and is limited to
\$5,000 multiplied by the number of years in the term to which the
candidate is elected \[253\].

A candidate may also transfer all or a portion of the unused campaign
contributions to a municipal office account if the candidate is elected
to municipal office, including a municipal school board \[254\];
however, all amounts expended from the municipal office account
established under this may be used only for expenses associated with the
candidate's serving as mayor or as a member of the assembly, city
council, or school board \[255\]; all amounts expended from the
municipal office account must be annually accounted for under AS §
15.13.110(a)(4) \[256\]; and such a transfer is limited to \$5,000
\[257\].

An officeholder fund is apparently not permitted for state office
holders other than members of the state legislature \[258\].

After a general, special, municipal, or municipal runoff election, a
candidate may retain the ownership of one computer and one printer and
of personal property, except money, that was acquired by and for use in
the campaign \[259\]. The current fair market value of the property
retained, exclusive of the computer and printer, may not exceed \$2,500
\[260\]. All other property must be disposed of, or sold and the sale
proceeds disposed of, in accordance with other provisions applicable to
disposition of surplus funds \[261\].

Any property remaining after post-election disbursements are made is
forfeited to the state \[262\]. Within 30 days, the candidate shall
deliver the property to the Department of Revenue \[263\].

A group disbursing the surplus balance in its campaign account may give
the money to charity \[264\]; repay contributors \[265\]; leave the
money in a campaign account until the following election, if the group
plans to remain active, with any interest realized from the campaign
account surplus to remain in the account and be reported on the first
report required of the group when it is again active in an election
\[266\]; or contribute the money to a candidate or a group controlled by
a candidate, subject to the \$1,000 limitation and other prohibitions of
the law, or to a political party or group supporting a ballot
proposition or question \[267\].

**B. Record Retention Requirements.** Each bookkeeping record required
under the Act must be maintained by the candidate or treasurer of a
group, and may not be destroyed for a period of four years from the date
of the contribution \[268\].

**VI. OFFENSES AND PENALTIES**

A person commits the crime of campaign misconduct in the first degree if
the person knowingly engages in conduct that violates one or more of the
campaign finance laws or regulations \[269\]. Campaign misconduct in the
first degree is a class A misdemeanor \[270\]. Generally speaking, each
day a violation continues constitutes a separate offense \[271\].

A person who violates the campaign disclosure law may be punished by a
fine \[272\]; probation \[273\]; a prison sentence \[274\]; a
restitution order \[275\]; or community service \[276\].

The candidate is responsible for the performance of his or her campaign
treasurers, and any default or violation by the treasurer also may be
considered a default or violation by the candidate, if he or she knew or
had reason to know of the default or violation \[277\].

If after being sworn into office, a person who was a successful
candidate, or the campaign treasurer or deputy campaign treasurer of a
person who was a successful candidate, is convicted of a violation of
the campaign disclosure law, proceedings must be held and appropriate
action taken in accordance with art. II, sec. 12, of the state
constitution, if the candidate is a candidate for the state legislature
\[278\]; art. II, § 20 of the state constitution, if the candidate is a
candidate for governor or lieutenant governor \[279\]; AS § 29.23.170,
if the candidate is a candidate for the borough assembly \[280\]; AS §
29.23.280, if the candidate is a candidate for borough mayor \[281\]; AS
§ 29.23.170, if the candidate is a candidate for city council \[282\];
AS § 29.23.280, if the candidate is a candidate for city mayor \[283\];
the provisions of the call for constitutional convention, if the
candidate is a candidate for constitutional convention delegate \[284\];
or art. IV, § 10 of the state constitution, if the candidate is a
candidate for judicial retention \[285\].

The election of a candidate to the state legislature or to municipal
office who knowingly commits a corrupt practice or whose campaign
treasurer or deputy campaign treasurer knowingly commits a corrupt
practice is voidable \[286\].

A person who fails to file a properly completed and certified report
within the time required is subject to a civil penalty of up to \$50 per
day for the reports due 30 days before and 10 days after an election
\[287\], and for a year-end report received after February 15 \[288\];
\$500 per day for each seven-day report \[289\]; and \$500 per day, up
to maximum of \$3,000, for the report due 24 hours before an election
\[290\].

The Commission has authorized staff to assess certain civil penalties,
including \$10 per day for a late 30-day report or a late 10-day report
\[291\]; \$10 per day for a late year-end report \[292\]; \$50 per day
for a late seven-day report \[293\]; and \$50 per day, to a maximum of
\$450, for each late 24-hour report \[294\].

The Commission may, in its discretion, reduce or waive any initial civil
penalty, uphold any initial civil penalty, increase the amount of any
initial penalty to an amount not exceeding the maximum statutory amount,
or instruct staff to investigate \[295\]. Where no initial civil penalty
has been assessed, the Commission may, in its discretion, assess a civil
penalty up to the maximum statutory amount if the candidate or group
does not comply \[296\].

In the event of an administrative complaint being filed over a violation
of the campaign finance laws, when the Commission determines that the
respondent engaged in the alleged violation, the Commission is required
to assess civil penalties \[297\]; the Commission's costs of
investigation and adjudication \[298\]; and reasonable attorney fees
\[299\].

When a candidate or a nominee or the campaign treasurer of a candidate
or a nominee is charged with a felony or misdemeanor under the campaign
finance laws, the case must be promptly tried and is accorded a
preferred status by the courts to ensure a speedy disposition of the
matter \[300\].

A prosecution for violation of a provision of the campaign disclosure
law may not be maintained unless it is begun within one year after the
date of the election in connection with which the offense is alleged to
have been committed \[301\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Alaska Public Offices Commission.** The Alaska Public Offices
Commission administers the campaign disclosure law \[302\].

The governor appoints two members of each of the two political parties
whose candidate for governor received the highest number of votes in the
most recent preceding general election at which a governor was elected
\[303\]. The two appointees from each of these two parties must be
chosen from a list of four names submitted by the central committee of
each party \[304\]. These four members must, by majority vote, appoint
the remaining member of the Commission \[305\]. The governor must either
appoint the nominee or reject the nominee and request the four members
to nominate another individual to serve as the fifth member of the
Commission \[306\]. All appointments are subject to confirmation by a
majority of the legislature meeting in joint session \[307\]. Members
serve staggered terms of five years, or until a successor is appointed
and qualifies \[308\].

The Commission is housed in the Department of Administration \[309\].
The Commission may employ an executive director and other necessary
employees \[310\].

The Commission relies on municipal clerks' offices to serve as regional
office in each senate district and to keep on file for public inspection
copies of all reports filed with the Commission by candidates for
statewide office and by candidates for legislative office in that
district \[311\]. The office must make all forms and pertinent material
available to candidates \[312\]. All reports are to be filed by
candidates, groups, and individuals directly with the Commission's
office \[313\]. The Commission must ensure that copies of all reports by
statewide and legislative candidates in each senate district are
forwarded promptly to that district or regional office \[314\], and that
copies of reports filed by candidates for municipal office are made
available for public inspection in the appropriate municipality \[315\].

The Commission is required to develop and provide all forms for the
required reports and statement \[316\]; prepare and publish a manual
setting out uniform methods of bookkeeping and reporting for the use of
persons required to make reports and statements, and otherwise assist
candidates, groups, and individuals in complying with requirements
\[317\]; receive and hold open for public inspection required reports
and statements, and, upon request, furnish copies, at cost, to
interested persons \[318\]; compile and maintain a current list of all
filed reports and statements \[319\]; prepare a summary of each required
candidate or group report, and make copies available to interested
persons at their actual cost \[320\]; notify by registered or certified
mail, all persons who are delinquent in filing required reports and
statements within five working days after the due date of the report
\[321\], and send notice of a civil penalty assessed against the
candidate or group within five working days after receipt of a
delinquent report, or in the case of non‑receipt of a 24‑hour report,
within 15 days from receiving the information, including a statement of
the amount of the assessment \[322\], and an affidavit appeal form
\[323\]. The Commission must also examine, investigate, and compare all
reports, statements, and actions required by the law, and report to the
attorney general the names of all persons or groups that the Commission
has substantial reason to believe violated the campaign disclosure law
\[324\]; prepare and publish a biennial report to the legislature
concerning the activities of the Commission, the effectiveness of the
campaign disclosure law, its enforcement by the attorney general's
office, and recommendations and proposals for change \[325\]; and adopt
any regulations necessary to implement and clarify the law \[326\].

A person who believes a violation of the law has occurred may file a
complaint with the Commission \[327\]. A complaint must be in writing,
and must contain the complaint's full name and mailing address \[328\];
the name of the person or group alleged to be in violation \[329\];
allegations of specific facts that, if true, would constitute a
violation of the law or regulations \[330\]; and the basis of the
complainant's knowledge of the alleged facts \[331\], including relevant
documentation \[332\]. The complaint must be signed by the complainant,
and the signature is to be verified by a person authorized to administer
oaths \[333\].

If the Commission believes that there is cause to credit the allegations
in the complaint \[334\], or determines there is substantial reason to
believe that a violation has occurred \[335\], it must expeditiously
conduct a preliminary investigation \[336\]. The Commission may compel
the attendance of witnesses and the production of papers, books,
records, accounts, documents, and testimony, and may have the deposition
of witnesses taken in a manner prescribed by court rule or law for the
taking of depositions in civil actions, when consistent with the powers
and duties assigned to the Commission \[337\]. The Commission may
examine the papers, books, records, accounts, and documents of any
person subject to the campaign disclosure law to ascertain the
correctness of a report filed with the Commission, or in conjunction
with an investigation or inspection \[338\]. Subpoenas may be issued and
served as prescribed by statute \[339\] and court rule \[340\]. The
failure, refusal, or neglect to obey a subpoena is punishable as
contempt in the manner prescribed by law or court rule \[341\]. The
superior court may compel obedience to the Commission's subpoena in the
same manner as prescribed for obedience to a subpoena issued by the
court \[342\]. The Commission is also empowered to order a preliminary
investigation of a possible violation of the law on its own motion
\[343\].

The staff of the Commission will present the results of the preliminary
investigation to the Commission for a finding \[344\]. When, in the
judgment of the Commission, after affording due process and an
opportunity for a hearing, a person has engaged in, or is about to
engage in, any acts or practices that constitute or will constitute a
violation of a provision of the law or a regulation or order issued
under it, the Commission must promptly report the information to the
attorney general for appropriate action \[345\]. The finding of the
Commission may be appealed to the superior court \[346\].

If the Commission does not open a preliminary investigation within 90
days of receiving a complaint, or if it fails to complete action within
180 days of the filing, the complainant may bring the matter to superior
court \[347\].

The Commission has established a procedure for a person or group seeking
written advice on proposed activities through advisory opinions \[348\].
Each advisory opinion request must describe a specific transaction or
activity that the requestor is presently engaged in or intends to
undertake, and must include a complete description of all the relevant
facts \[349\]. The request is to be reviewed by staff, who may request
additional information \[350\]. A request for an advisory opinion is a
public record \[351\]. The staff issues a proposed advisory opinion
approving or disapproving of the activity, and may make other
recommendations to the Commission \[352\]. The Commission reviews the
opinion, may seek additional written or oral input, and must approve,
disapprove, or modify the proposed advisory opinion \[353\]. Approval
requires an affirmative vote of at least four Commission members;
failure to attain four votes means that the advisory opinion is
disapproved \[354\]. An advisory opinion may be reconsidered at the
request of a member of the Commission who voted with the majority that
approved the opinion, and at least four members approve the motion for
reconsideration \[355\].

The Commission may act on a sworn affidavit stating facts in mitigation
submitted to it by a person against whom a civil penalty for late filing
is assessed \[356\]. An affidavit timely filed will be considered at the
next regular meeting of the Commission \[357\]. Claims of postal
problems, illness, travel, first offense, neglect, or lack of a courtesy
reminder from Commission staff are not sufficient, in themselves, to
sanction waiver of a fine \[358\]. In reviewing affidavits appealing
assessments, the Commission will consider the affiant's efforts to
comply and filing history, and the extent to which the circumstance
cited was beyond the affiant's control and was directly responsible for
the delinquency \[359\].

If a group's or candidate's appeal is denied by the Commission, the
Commission staff will notify the candidate or group of its decision
within 15 days, and require that the civil penalty originally assessed
by paid within 30 days after the date of the letter containing
notification of the Commission's decision \[360\]. If the appeal is
accepted by the Commission, Commission staff will notify the candidate
or group of its decision within 15 days, informing the group or
candidate that the civil penalty assessment has been waived and that the
matter is considered closed \[361\]. If an appeal is accepted, in part,
by the Commission, the Commission staff will notify the candidate or
group of its decision with 15 days, and require that the reduced civil
penalty assessment be paid within 30 days after the date of the letter
containing notification of the Commission's decision \[362\].

A candidate or group may appeal the Commission's decision to deny or
partially accept reasons for lateness to the superior court within 30
days after receipt of notice \[363\]. If no appeal is made within 30
days and no payment is made, the matter will be referred to the attorney
general for appropriate action \[364\]. If in the opinion of the
Commission, the public interest warrants, the Commission may request the
chief justice of the supreme court to appoint a special prosecutor to
represent the Commission in a proceeding involving an alleged violation
of the campaign disclosure law \[365\]. When the public interest
warrants, the Commission may employ temporary legal counsel from time to
time in matters in which the Commission is involved \[366\].

**B. Attorney General.** The attorney general is legal counsel for the
Commission \[367\]. The attorney general must advise the Commission in
legal matters arising in the discharge of its duties, and represent the
Commission in actions to which it is a party \[368\].

**C. Department of Revenue.** Property remaining after post-election
disbursements are made are forfeited to the state \[369\]. Within 30
days, the candidate must deliver any such property to the Department of
Revenue \[370\]. Anonymous contributions must be delivered immediately
to the Department of Revenue \[371\]. The Department of Revenue must
deposit any money received into the general fund and dispose of any
other property in accordance with law \[372\].

# References

1\. Alaska Statutes (hereafter AS) §

15.13.400(3)

2\. AS § 15.13.400(3)(B)

3\. 2 Alaska Administrative Code, Alaska

Public Offices Commission (hereafter

AAC) § 50.313(e)

4\. 2 AAC § 50.313(a)

5\. 2 AAC § 50.313(b)(3)

6\. 2 AAC § 50.313(b)(3)

7\. 2 AAC § 50.313(i)

8\. AS § 15.13.400(7)

9\. 2 AAC § 50.313(j)

10\. AS § 15.13.112(6)

11\. AS § 15.13.400(3)(B)(i)

12\. 2 AAC § 50.313(l)(3)

13\. AS § 15.13.400(3)(B)(ii)

14\. 2 AAC § 50.313(g); Alaska Public

Offices Commission, Policy

Decision (hereafter Policy Decision)

No. 15.13‑82‑1, November 18, 1982

15\. AS § 15.13.400(3)(B)(iii)

16\. 2 AAC § 50.313(l)(1)

17\. 2 AAC § 50.313(l)(2)

18\. 2 AAC § 50.313(l)(5)

19\. Alaska Public Offices Commission

Advisory Opinion (hereafter AO),

January 27, 1989

20\. 2 AAC § 50.313(l)(4)

21\. Alaska Public Offices Commission,

*APOC State and Municipal Candidates*

*Campaign Disclosure Manual* (hereafter

*Disclosure Manual*) at 8 (1995 rev. ed.)

22\. 2 AAC § 50.313(m); *Disclosure Manual*

at 54

23\. AS § 15.13.070 (b)(1). Dual contributions

to one candidate for two separate offices in

one year are permissible. AO, January

27, 1989; December 23, 1988; August 8,

1986\. Contributions to a Governor/Lt.

Governor gubernatorial campaign

team are limited to \$1,000.

Contributions and expenditures

on behalf of that team are considered

to be on behalf of a single candidate.

APOC Advisory Opinion Letter to

Douglas Rickey, December 15, 1994. *See,*

*State v. Alaska Civil Liberties Union*,

978 P.2d 597, 625 (Alaska 1999), *cert.*

*denied*, 120 S. Ct. 1156 (2000).

24\. AS § 15.13.070(c)(1)

25\. AS § 15.13.070(c)(2)

26\. 2 AAC § 50.313(b)

27\. AS § 15.13.070(b). *See, State v. Alaska*

*Civil Liberties Union*, 978 P.2d 597,

625-26 (Alaska 1999), *cert. denied*, 120

S. Ct. 1156 (2000).

28\. AS § 15.13.070(d)(1)

29\. AS § 15.13.070(d)(2)

30\. AS § 15.13.070(d)(3)

31\. AS § 15.13.070(d)(4)(a)

32\. AS § 15.13.070(d)(4)(b)

33\. AS § 15.13.070(d)(4)(c)

34\. AS § 15.13.078

35\. AS § 15.13.078(b)(1)(A)

36\. AS § 15.13.078(b)(1)(B)(i)

37\. AS § 15.13.078(b)(1)(B)(ii)

38\. AS § 15.13.078(b)(1)(C)

39\. AS § 15.13.078(b)(1)(D)

40\. AS § 15.13.078(b)(2)

41\. 2 AAC § 50.357(c). AS § 15.13.074(f).

AS § 15.13.074(f) does not prohibit, and

is unconstitutional to the extent that it

prohibits, contributions by these entities

to a political party for a purpose other

than influencing the nomination or

election of a candidate. *Jacobus, et al.*

*v. State*, No. A97‑0272 CV (JKS)

(D.Alaska June 11, 2001) (enjoining

the Commission from enforcing the

provision of law that prohibits corporations

contributing to political parties for party-

building activities). When it acts alone in

its corporate capacity, a corporation is

considered a person, and not a group, but

when it engages in activity with a

subsidiary to influence the outcome of an

election, the corporation and its

subsidiary constitute a group, APOC

Advisory Opinion, August 23, 1989.

*See,* Opinions of the Alaska Attorney

General (hereafter Op. Att'y Gen.) June

15, 1987.

42\. AS § 15.13.065(c)

43\. 2 AAC § 50.362(b)(2)(B)

44\. 2 AAC § 50.362(b)(2)(D)

45\. AS § 15.13.074(e)

46\. AS § 15.13.074(b); *Disclosure Manual* at

54

47\. AS §§ 15.13.070(d), 15.13.114(b)

48\. Alaska Public Offices Comm'n, *APOC*

*Notes for Deputy Treasurers* (hereafter

*Notes*), 1999 at 14

49\. AS § 39.25.160(b)

50\. AS § 39.25.160(c)

51\. AO AO99‑10‑CD, March 23, 2000

52\. The law appears to permit groups to

raise money by selling raffle tickets

and contribute the proceeds to candidates.

Alaska Public Offices Commission,

*Frequently Asked Questions About the New Campaign Disclosure Law*, May

1999; AS § 05.15.150 (a)(3); *see also*,

AO AO97‑19‑CD, June 3, 1997; AO 99-

05-CD, November 1, 1999

53\. AS § 15.13.072(e)(1)

54\. AS § 15.13.072(e)(2)

55\. AS § 15.13.072(e)(3)

56\. AS § 15.13.072(f); *State v. Alaska*

*Civil Liberties Union*, 978 P.2d 597,

625-26 (Alaska 1999), *cert. denied*, 120

S. Ct. 1156 (2000)

57\. AS § 15.13.076

58\. 2 AAC § 50.319(b)

59\. 2 AAC § 50.334

60\. 2 AAC § 50.319(e)

61\. AS § 15.13.114

62\. AS § 15.13.114

63\. AS §§ 24.60.031(1); 24.60.130. Opinion

of the Legislative Counsel, Mem. From T.

Cramer, Legislative Counsel, to Select

Comm.. on Legislative Ethics, April

23, 1999. With respect to whether

a campaign contribution may be

accepted on the first day of session,

the Select Committee on Legislative Ethics

has determined that the session begins

when the body in which the legislator

serves is "gaveled in". Thus a contribution

may be accepted up to that point, but the

burden of proof is on the recipient to

prove that the contribution was

accepted prior to the gavel falling.

A legislator may not ask a contributor to replace a campaign
contribution

that was received before the beginning

of session but later lost, but if the lost

check is found, it may be retained.

Select Committee on Legislative Ethics

Advisory Opinion 94‑05. *See also, State v. Alaska Civil Liberties
Union*, 978

P.2d 597, 630-31 (Alaska 1999), *cert.*

*denied*, 120 S. Ct. 1156 (2000).

64\. AS § 24.60.031(2); *see,* Memorandum

from Ass't Att'y Gen'l Jan Hart DeYoung

to Karen Boorman, June 22, 1999

(hereafter *Att'y Gen'l Memo*) (prohibition

on legislative candidates' soliciting or

accepting contributions during the

legislative session likely unconstitutional

and unenforceable)

65\. AS § 24.60.031

66\. Alaska Public Offices Commission, *Ethics*

*Handbook* (1997) at 20.

67\. 2 AAC § 50.333

68\. AS § 15.13.114; 2 AAC § 50.319(e)

69\. AS § 24.45.121(a)(8). A lobbyist may not

serve as a officer for a controlled group.

APOC Proposed Staff Advisory Opinion

Letter to David E. Rogers, June 23, 1994.

A lobbyist may host a meeting with a

candidate at the lobbyist's home if it does

not involve fundraising activity. APOC

Staff Advisory Opinion Letter to Bernie

Smith, September 21, 1994. Preparation

of a legislative fundraiser guest list by a

lobbyist on behalf of a client *may*

potentially violate the law. A majority of

Commission members voted to find such

activity impermissible in APOC Proposed

Staff Advisory Opinion Letter to Mitchell

D. Gravo, April 1, 1994, but the vote was

one short of the number required by

regulation for approval. This Opinion

Letter also contained an approved portion

covering lobbyist agent or employee

activity. *See also*, APOC Proposed Staff

Advisory Opinion Letter to Sen. Drue

Pearce and Michael F.G. Williams, July

29, 1994 for restrictions applicable to

campaign activity of a lobbyist married to

a candidate. For guidance on what a

lobbyist may and may not do with respect

to contributions by family members, *see*,

APOC Adv. Op. No. AO97‑15‑CD,

June 6, 1997.

70\. AS § 15.13.074(g). *See, State v. Alaska*

*Civil Liberties Union*, 978 P.2d 597,

617-20 (Alaska 1999), *cert. denied*, 120

S. Ct. 1156 (2000).

71\. AS 15.13.074

72\. AS § 15.13.072(c)

73\. Alaska Public Offices Commission,

*Limitations on Campaign Fundraising*

\(1997\) at 1

74\. AS § 15.13.074(c)(3). *See, State v. Alaska*

*Civil Liberties Union*, 978 P.2d 597,

626-30 (Alaska 1999), *cert. denied*, 120

S. Ct. 1156 (2000); *Att'y Gen'l Memo*

75\. AS § 15.13. 074(c)(2). *See, State v. Alaska*

*Civil Liberties Union*, 978 P.2d 597,

626-30 (Alaska 1999), *cert. denied*, 120

S. Ct. 1156 (2000).

76\. Alaska Code of Judicial Conduct

(hereafter CJC) Canon 7B(2)

77\. CJC Canon 7A(1)(c)

78\. CJC Canon 7B(2)

79\. 2 AAC § 50.316(a)

80\. 2 AAC § 50.316(a)

81\. 2 AAC § 50.316(b)

82\. 2 AAC § 50.316(b)

83\. 2 AAC § 50.316(b)

84\. 2 AAC § 50.316(c)

85\. 2 AAC § 50.316(d)

86\. AS § 15.13.078(b)(1)(A)

87\. AS § 15.13.078(b)(1)(B)(i)

88\. AS § 15.13.078(b)(1)(B)(ii)

89\. AS § 15.13.078(b)(1)(C)

90\. AS § 15.13.078(b)(1)(D)

91\. AS § 15.13.078(b)(2)

92\. AS § 15.13.078(c)

93\. 2 AAC § 50.316(e)

94\. 2 U.S.C. § 431 *et seq.*; *Buckley v.*

*Valeo*, 424 U.S. 1 (1976)

95\. Alaska Public Offices Commission, AS §

15.13 Campaign Finance Disclosure

Law (hereafter Law) 17 (1984); Op.

Att'y Gen. May 13, 1976

96\. AS § 15.13.400(4)

97\. AS § 15.13.400(4)

98\. AS § 15.13.400(4)

99\. AS § 15.13.400(4). Activity on issues

in general not constituting express

advocacy intended to influence the

outcome of an election have been held to

be permissible, and not subject to reporting

provisions. *See, e.g.,* APOC Staff

Advisory Opinion Letter to Kym Swift,

February 25, 1993, and APOC Staff

Advisory Opinion Letter to Tom Swanner,

April 9, 1993.

100\. AS § 15.13.400(4)(b)

101\. Policy Decision No. 15.13‑80‑5, July 27,

1980

102\. AS § 15.13.065(c)

103\. AS § 15.13.082(a)

104\. AS §§ 15.13.040(d); 15.13.072; AAC §

50.357. *See,* APOC Staff Proposed

Advisory Opinion to Kendall, October 5,

1990\.

105\. AS § 15.13.086(a)

106\. AS § 15.13.070(h)

107\. AS § 15.13.100

108\. AS § 15.13.100

109\. AS § 15.13.112(b)(1)

110\. AS § 15.13.112(b)(2)

111\. AS § 15.13.112(b)(3)

112\. AS § 15.13.112(b)(4)

113\. AS § 15.13.112(b)(7); *see, State v. Alaska*

*Civil Liberties Union*, 978 P.2d 597,

632-33 (Alaska 1999), *cert. denied*, 120

S. Ct. 1156 (2000).

114\. AS § 15.13.112(b)(5)

115\. AS § 15.13.112(b)(6)

116\. AS § 15.13.112(b)(A)

117\. AS § 15.13.112(b)(B)

118\. AS § 15.12.112 (c)(1)

119\. AS § 15.12.112 (c)(2)

120\. AS § 15.12.112 (c)(3)

121\. AS § 15.13.135(a). The independent

expenditure ban is applicable to

corporations and labor unions, but does

not apply to "non-group entities," whose

speech is constitutionally protected.

*State v. Alaska Civil Liberties Union*,

978 P.2d 597, 608-13 (Alaska 1999),

*cert. denied*, 120 S. Ct. 1156 (2000).

122\. 2 AAC § 50.351(c)

123\. 2 AAC § 50.351(a)

124\. AS § 15.13.400(7); *see,* 2 AAC §§

50.351(a); 50.313(j)

125\. 2 AAC § 50.351(b)

126\. 2 AAC § 50.362(b)(1)(A)

127\. 2 AAC § 50.362(b)(1)(B)(I)

128\. 2 AAC § 50.362(b)(1)(B)(ii)

129\. 2 AAC § 50.362(b)(2)(C)

130\. 2 AAC §§ 50.362(b)(2)(D); 50.362(c)

131\. AS § 15.13.145

132\. AS § 15.13.145(b)

133\. AS § 15.13.145(c)(1)

134\. AS § 15.13.145(c)(2)

135\. AS § 24.60.030(c)

136\. AS §§ 15.13.010, 15.13.040

137\. AS §§ 15.13.010, 15.13.040

138\. *Disclosure Manual* at 2

139\. AS §§ 15.13.010(b), 15.13.040. *Messerli*

*v. State*, 626 P.2d 81 (Alaska 1980);

*VECO Int'l, Inc. v. Alaska Pub. Offices*

*Comm'n*, 753 P.2d 703 (Alaska 1988),

*appeal dismissed*, 488 U.S. 919

\(1988\)

140\. AS § 15.13.400(5)

141\. Alaska Public Offices Commission,

*APOC Manual for State Groups*

2 (1982)

142\. AS §§ 15.13.040(d)(2), 15.13.040(c);

2 AAC § 50.314

143\. AS § 15.13.040

144\. AS § 15.13.072(a)(3); APOC Adv. Op.

No. A097‑08‑CD, March 2, 1998. *See*,

*State v. Alaska Civil Liberties Union*,

978 P.2d 597, 614-17 (Alaska 1999),

*cert. denied*, 120 S. Ct. 1156 (2000).

145\. AS § 15.13.050; *see, Messerli v. State*,

626 P.2d 81 (Alaska 1980)

146\. AS § 15.13.050(b)

147\. AS § 15.13.400(5)

148\. *Disclosure Manual* at 37

149\. AS § .15.13.050 A committee that is

formed to simply provide voter

information will not be required to

register because it does not expressly

advocate the election or defeat of a

candidate or ballot measure. Proposed

APOC Staff Advisory Opinion Letter to

William McConkey, June 23, 1994.

150\. AS § 15.13.060(a)

151\. AS § 15.13.060(b)

152\. AS § 15.13.060(c)

153\. AS § 15.13.060(c)

154\. AS § 15.13.060(c); *see*, *Silides v.*

*Thomas*, 559 P.2d 80 (Alaska 1977)

155\. AS § 15.13.060(c)

156\. AS § 15.13.060(d)

157\. AS § 15.13.060(e)

158\. AS § 15.13.060(e)

159\. AS § 15.13.040(d)

160\. AS § 15.13.040(d)(1)

161\. AS §§ 15.13.040(d), (e). All

expenditures, direct or indirect, relating

to advertising and campaign material,

including work by employees relating in

any way to advertising or campaign

material must be reported. APOC Staff

Proposed Advisory Opinion to Harold

Brown, August 21, 1991.

162\. *Disclosure Manual* at 44

163\. AS § 15.13.040(f)

164\. AS § 15.13.040(a)

165\. AS § 15.13.040(b); *see, VECO Int'l, Inc.*

*v. Alaska Pub. Offices Comm'n*, 753

P.2d 703 (Alaska 1988), *appeal*

*dismissed*, 488 U.S. 919 (1988)

166\. AS § 15.13.040(a)

167\. AS § 15.13.040(c)

168\. AS § 15.13.040(b)(1)

169\. 2 AAC § 50.321(a)(1)(A)

170\. 2 AAC § 50.321(a)(1)(B)

171\. 2 AAC § 50.321(a)(1)(D)

172\. 2 AAC § 50.321(a)(1)(E)

173\. 2 AAC § 50.321(a)(2)(A)

174\. 2 AAC § 50.321(a)(2)(B)

175\. 2 AAC § 50.321(a)(2)(C)

176\. 2 AAC § 50.321(a)(2)(D)

177\. 2 AAC § 50.321(a)(2)(E)

178\. 2 AAC § 50.321(a)(3)(A)

179\. 2 AAC § 50.321(a)(3)(B)

180\. 2 AAC § 50.321(a)(3)(C)

181\. 2 AAC § 50.321(a)(3)(D)

182\. 2 AAC § 50.321(a)(3)(E)

183\. 2 AAC § 50.321(a)(4)(A)

184\. 2 AAC § 50.321(a)(4)(B)

185\. 2 AAC § 50.321(a)(4)(C)

186\. 2 AAC § 50.321(a)(4)(D)

187\. 2 AAC § 50.321(a)(4)(E)

188\. 2 AAC § 50.321(a)(5)(A)

189\. 2 AAC § 50.321(a)(5)(B)

190\. 2 AAC § 50.321(a)(5)(C)

191\. 2 AAC § 50.321(a)(5)(D)

192\. 2 AAC § 50.321(b)(1)

193\. 2 AAC § 50.321(b)(2)

194\. 2 AAC § 50.321(b)(3)

195\. 2 AAC § 50.321(b)(4)

196\. 2 AAC § 50.340

197\. 2 AAC § 50.314(b)(1)

198\. 2 AAC § 50.314(b)(2)

199\. 2 AAC § 50.314(b)(3)

200\. AO 00-02-CD, September 28, 2000

201\. 2 AAC § 50.310(a)

202\. 2 AAC § 50.310(a)(1)

203\. 2 AAC § 50.310(a)(2)

204\. 2 AAC § 50.310(b)

205\. *Disclosure Manual* at 35

206\. 2 AAC § 50.310(b)

207\. *Disclosure Manual* at 35

208\. AS § 15.13.110(a)

209\. AS § 15.13.110(a)(1)

210\. AS § 15.13.110(a)(2)

211\. AS § 15.13.110(a)(3)

212\. AS § 15.13.110(a)(4)

213\. AS § 15.13.080

214\. AS § 15.13.040(e)

215\. AS §§ 15.13.110(e); 15.13.110(a)

216\. AS § 15.13.110(4)

217\. AS § 15.13.110(b)

218\. 2 AAC § 50.400(a)

219\. AS § 24.45.116

220\. AS § 24.45.116

221\. 2 AAC § 50.360(a)

222\. 2 AAC § 50.360(b)

223\. AS § 15.13.040(g)

224\. 2 AAC § 50.332(b)

225\. 2 AAC § 50.332(b)

226\. 2 AAC § 50.332(b)

227\. Policy Decision No. 15.13.82‑2,

November 18, 1982

228\. *Disclosure Manual* at 61

229\. Alaska Public Offices Commission,

Electronic Filing System

230\. AS § 15.13.116(a). *See, State v. Alaska*

*Civil Liberties Union*, 978 P.2d 597,

631-32 (Alaska 1999), *cert. denied*, 120

S. Ct. 1156 (2000).

231\. AS § 15.13.116(a)

232\. AS § 15.13.116(a)(1)

233\. AS § 15.13.116(a)(1)

234\. AS § 15.13.116(a)(2)(A)

235\. AS § 15.13.116(a)(2)(B)

236\. AS § 15.13.116(a)(2)(C)

237\. AS § 15.13.116(a)(2)(D)

238\. AS § 15.13.116(a)(3)

239\. AS § 15.13.116(a)(4)

240\. AS § 15.13.116(a)(5)

241\. AS § 15.13.116(a)(5)(A)

242\. AS § 15.13.116(a)(5)(B)

243\. AS § 15.13.116(a)(5)(C)

244\. AS § 15.13.116(a)(6)

245\. AS § 15.13.116(a)(7)

246\. AS § 15.13.116(a)(7)(A)

247\. AS § 15.13.116(a)(7)(B)

248\. AS § 15.13.116(a)(7)(C)

249\. AS § 15.13.116(a)(7)(D)

250\. AS § 15.13.116(a)(8)(A)

251\. AS § 15.13.116(a)(8)(B)

252\. AS § 15.13.116(a)(8)(C)

253\. AS § 15.13.116(a)(8)(D)

254\. AS § 15.13.116(a)(9)(A)

255\. AS § 15.13.116(a)(9)(B)

256\. AS § 15.13.116(a)(9)(C)

267\. AS § 15.13.116(a)(9)(D)

258\. *See*, APOC Adv. Op. No. A097‑07‑CD,

December 5, 1996

259\. AS § 15.13.116(b)

260\. AS § 15.13.116(b)

261\. AS § 15.13.116(b)

262\. AS § 15.13.116(c)

263\. AS § 15.13.116(c)

264\. 2 AAC § 50.400(c)(1); *see*, AO 099-08-

CD, November 1, 1999

265\. 2 AAC § 50.400(c)(2)

266\. 2 AAC § 50.400(c)(3)

267\. 2 AAC § 50.400(c)(4)

268\. 2 AAC § 320(d)

269\. AS § 15.56.012(a)

270\. AS § 15.56.012(c)

271\. AS § 15.56.018(a)

272\. AS § 12.55.015(a)(1)(A), (B)

273\. AS § 12.55.015(a)(2)

274\. AS § 12.55.015(a)(3), (4)

275\. AS § 12.55.015(a)(5)

276\. AS § 12.55.015(a)(6)

277\. AS § 15.13.060(f)

278\. AS § 15.13.380(f)(1)

279\. AS § 15.13.380(f)(2)

280\. AS § 15.13.380(f)(3)

281\. AS § 15.13.380(f)(4)

282\. AS § 15.13.380(f)(5)

283\. AS § 15.13.380(f)(6)

284\. AS § 15.13.380(f)(7)

285\. AS § 15.13.380(f)(8)

286\. AS § 15.56.110(a)

287\. AS § 15.13.390

288\. AS § 15.13.390

289\. AS § 15.13.390

290\. AS § 15.13.390

291\. 2 AAC § 50.390(d)(1)(A)

292\. 2 AAC § 50.390(d)(1)(B)

293\. 2 AAC § 50.390(d)(1)(C)

294\. 2 AAC § 50.390(d)(1)(D)

295\. 2 AAC § 50.390(i). The penalty imposed

must be reasonable and proportioned

to the offense. *VECO Int'l, Inc. v. Alaska*

*Pub. Offices Comm'n*, 753 P.2d 703

(Alaska 1988), *appeal dismissed*, 488

U.S. 919 (1988)

296\. 2 AAC § 50.390(i)

297\. AS § 15.13.390(b)(1)

298\. AS § 15.13.390(b)(2)

299\. AS § 15.13.390(b)(3)

300\. AS § 15.56.115; *see* AS § 15.13.380(e)

301\. AS § 15.13.380(e)

302\. AS § 15.13.020

303\. AS § 15.13.020(b)

304\. AS § 15.13.020(c)

305\. AS § 15.13.020(a)

306\. AS § 15.13.020(c)

307\. AS § 15.13.020(a)

308\. AS § 15.13.020(d)

309\. AS § 15.13.020(a)

310\. AS § 15.13.020(j)

311\. AS § 15.13.020(j)

312\. AS § 15.13.020(j)

313\. AS § 15.13.020(j)

314\. AS § 15.13 020(j)

315\. AS § 15.13.020(k)

316\. AS § 15.13.030(1)

317\. AS § 15.13.030(2)

318\. AS § 15.13.030(3)

319\. AS § 15.13.030(4)

320\. AS § § 15.13.030(5); 15.13.110(c)

321\. AS § 15.13.030(6); 2 AAC § 50.390(c)

322\. 2 AAC § 50.390(d)(2)(A)

323\. 2 AAC § 50.390(d)(2)(B)

324\. AS §§ 15.13.030(7), 15.13.0380(d)

325\. AS § 15.13.030(8)

326\. AS § 15.13.030(9)

327\. AS § 15.13.380(d)

328\. AS § 15.13.380(d)

329\. 2 AAC § 50.450(a)(1)

330\. 2 AAC § 50.450(a)(2)

331\. 2 AAC § 50.450(a)(3)

332\. 2 AAC § 50.450(a)(4)

333\. 2 AAC § 50.450(a)(5)

334\. 2 AAC § 50.450(b)

335\. AS § 50.40(e)

336\. AS § 15.13.380(d)

337\. AS § 15.13.045(b)

338\. AS § 15.13.045(c)

339\. AS § 44.62.430

340\. AS § 15.13.045(d)

341\. AS § 15.13.045(d)

342\. AS § 15.13.045(d)

343\. AS § 15.13.380(d)

344\. 2 AAC § 50.460(d)

345\. AS § 15.13.380(d)

346\. AS § 15.13.380(d)

347\. AS § 15.13.380(e)

348\. 2 AAC § 50.905(a)

349\. 2 AAC § 50.905(b)

350\. 2 AAC § 50.905(c)

351\. 2 AAC § 50.905(d)

352\. 2 AAC § 50.905(e)

353\. 2 AAC § 50.905(f)

354\. 2 AAC § 50.905(f)

355\. 2 AAC § 50.905(h)

356\. AS § 15.13.390

357\. 2 AAC § 50.390(g)

358\. Policy Decision No. General‑83‑4,

December 2, 1983

359\. Policy Decision No. General‑83‑4,

December 2, 1983

360\. 2 AAC § 50.390(g)(1)

361\. 2 AAC § 50.390(g)(2)

362\. 2 AAC § 50.390(g)(3)

363\. 2 AAC § 50.390(h)

364\. 2 AAC § 50.390(h)

365\. AS § 15.13.385(a)

366\. AS § 15.13.385(b)

367\. AS § 15.13.385(a)

368\. AS § 15.13.385(a)

369\. AS § 15.13.116(c)

370\. AS § 15.13.116(c)

371\. AS § 15.13.114(b)

372\. AS § 15.13.116(c)

**CAMPAIGN FINANCE LAW**

**IN AMERICAN SAMOA**

**I. INTRODUCTION**

American Samoa requires all candidates, parties, and political
committees to file information on all contributions and expenditures
once before and after each general election. An individual may not make
aggregate contributions of more than \$100, and a corporation,
partnership, joint venture, or any business or organization may not make
aggregate contributions in excess of \$250. Cash, anonymous, and
earmarked contributions are subject to restrictions. The Campaign
Spending Commission and the chief election officer are responsible for
overseeing the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a gift,
subscription, loan, advance, deposit of money or anything of value, or
cancellation of a debt or legal obligation made for the purpose of
influencing the nomination for election, or election, of any person to
office \[1\]; influencing the outcome of any question or issue which
appears or is reasonably certain to appear on the ballot at the next
applicable election \[2\]; or used by any party for such purposes \[3\].

The payment, by any person other than a candidate or committee, or
compensation for the personal services of another person which are
rendered to the candidate or committee without charge or at an
unreasonably low charge \[4\], other than volunteer campaign services,
also constitutes a contribution \[5\]. A contract, promise, or agreement
to make a contribution is also contribution \[6\].

The cost of preparing, printing, and circulating a house bulletin \[7\],
a communication sponsored by any individual, partnership, committee,
association, corporation, or labor union and its auxiliary committees
\[8\] in the regular course of publication for limited distribution to
its employees or members \[9\], and any writings, drawings, and
photographs contained in such a bulletin is not considered to be a
contribution \[10\].

**B. Limitations on Nature of Contributions.** All monetary
contributions must be promptly deposited in a financial depository duly
authorized to do business in the territory, such as a bank, savings and
loan institution, industrial loan company, or similar financial
institution, in the name of the candidate, committee, or party,
whichever is applicable \[11\].

A candidate, committee, or party may not accept a contribution of more
than \$100 in cash from a single person without issuing a receipt to the
donor and maintaining a record of the transaction \[12\].

A candidate, campaign treasurer, or committee may not receive any
contributions or receive or make any transfer of money or anything else
of value for any purpose other than those directly related to the
candidate's own campaign, in the case of a candidate for office \[13\]
or the question or issue with which they are directly associated in the
case of a non-candidate campaign \[14\].

**C. Limitations on Source of Contributions.** An individual,
partnership, committee, association, corporation, or labor union and its
auxiliary committees may not make any contributions of such a person's
own money or property or money of another person to any candidate,
party, or committee in connection with a nomination for election, or
election, in any other name than the name of the person who owns the
money or who supplies the money or property \[15\]. All contributions
made in the name of a person other than the true or established name of
the actual owner of the money or property escheat to the territory
\[16\].

An individual, partnership, committee, association, corporation, or
labor union and its auxiliary committees may not make an anonymous
contribution of such a person's own money or property or money of
another person to any candidate, political party, or committee in
connection with a nomination for election, or election \[17\]. Any
anonymous contributions received by a candidate, party, or committee and
not allowed under law may not be used or expended, but instead returned
to the donor, or, if the donor cannot be identified, the contribution
escheats to the territory \[18\].

A candidate, political party, or committee is prohibited from knowingly
receiving, accepting, or retaining such contributions as anonymous
contributions, or in the name of a person other than that of the person
by whom it was actually furnished \[19\]. The ban on receipt of
anonymous contributions does not apply to amounts that aggregate less
than \$250 when obtained through multiple contributions made by 10 or
more persons at the same event \[20\].

**D. Limitations on Amounts of Contributions.** An individual may not
make aggregate contributions in excess of \$100 \[21\], nor may a
corporation, partnership, joint venture, or any business or organization
make aggregate contributions in excess of \$250 \[22\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is any purchase or
transfer of money or anything of value, or promise or agreement to
purchase or transfer money or anything of value, or payment incurred or
made, or the use or consumption of a nonmonetary contribution for the
purpose of influencing the nomination for election, or election, to
office whether or not the person has filed nomination papers \[23\];
influencing the outcome of any question which appears or is reasonably
certain to appear on the ballot at the next applicable election \[24\];
or use by any party for any such purposes \[25\].

An expenditure also includes the payment, by any person other than a
candidate or committee, of compensation for the personal services of
another person which are rendered to the candidate or committee for the
purpose of influencing the nomination for election, or election, of any
person seeking nomination for election, or election, to office whether
or not the person has filed nomination papers \[26\]; influencing the
outcome of any question which appears or is reasonably certain to appear
on the ballot at the next applicable election \[27\]; or use by any
party for any such purposes \[28\].

An expenditure also includes the expenditure by a candidate of his or
her own funds for the purpose of influencing the nomination for
election, or election, of any person seeking nomination for election, or
election, to office whether or not the person has filed nomination
papers \[29\]; influencing the outcome of any question which appears or
is reasonably certain to appear on the ballot at the next applicable
election \[30\]; or use by any party for any such purposes \[31\].

**B. Limitations on Nature of Expenditures.** A candidate, campaign
treasurer, or committee may not make any expenditures, or transfer of
money or anything else of value for any purpose other than those
directly related to a candidate's own campaign, in the case of a
candidate campaign \[32\]; in the case of a campaign treasurer or
committee, to the campaign of the candidate, question, or issue with
which they are

directly associated \[33\]; or to campaign against any other candidate
not directly opposing the candidate for whom the funds were collected or
with whom the campaign treasurer or committee is directly associated
\[34\]. However, a candidate, campaign treasurer, or committee may
purchase from its campaign fund not more than two tickets for each
testimonial or fund raising affair held by another candidate, committee,
or party \[35\].

A party may support more than one candidate, or two or more candidates
seeking election to multiple offices from the same district may make a
joint expenditure regardless of whether the expenditures are equally or
unequally incurred among such candidates, as long as the allocation of
expenditures between the candidates is based upon reasonable objective
standards \[36\]. The party or candidates, whichever is applicable, must
make the initial allocation between candidates, and if the allocation is
disallowed by the Campaign Spending Commission, and the allocation of
expenditures is not corrected as prescribed by the Commission, the
allocation is presumed to be a transfer of funds in violation of the law
\[37\].

Any impermissible anonymous contributions received by a candidate,
political party, or committee may not be used or expended, other than in
the return to the donor or escheat to the territory \[38\].

An expenditure by a candidate committee may only be made or incurred
upon the specific written authorization of the candidate or the
candidate's authorized representative \[39\]. A candidate may draw upon
the campaign treasurer for political expenditures for postage,
telegrams, telephone calls, stationery, expressage, travel, meals, and
lodging \[40\]. Funds may only be withdrawn or paid from a campaign
depository on the written authorization of the campaign treasurer
\[41\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Each candidate, committee, and party must file an
organizational report with the Campaign Spending Commission not later
than the earliest of the following applicable days: on or before the day
of filing for nomination or election \[42\]; at least 45 days before the
general, or special election \[43\]; by the 10th day after receiving any
contributions in an aggregate amount of more than \$100 \[44\]; or the
making or incurring of any reportable expenditure \[45\]. Candidate
committee organizational reports must be certified as correct by the
candidate, and all organizational reports required to be filed under by
a political party or any other committee must be certified correct by
the party, committee treasurer, deputy treasurer, or chair thereof, in
that order \[46\].

**B. Reports and Reporting Dates.** In addition to the organizational
report, American Samoa requires one report prior to and following a
general election, and additional reports in the case of a surplus or
deficit in a campaign account.

Each candidate, authorized person in the case of a political party, or
campaign treasurer in the case of a committee must file a preliminary
report with the Campaign Spending Commission on forms provided by the
Commission not later than 4:30 p.m. of the 10th day prior to each
election \[47\]. The report must be certified as correct by the
candidate, and all reports required to be filed by a political party or
any other committee must be certified correct by the party, committee
treasurer, deputy treasurer, or chair thereof, in that order \[48\]. The
preliminary report must be current through the 15th calendar day prior
to the election or primary \[49\].

Each candidate or authorized person in the case of a party, or campaign
treasurer in the case of a committee, must file a final report with the
Campaign Spending Commission not later than 4:30 p.m. on the 20th day
after a general, special, or runoff election is certified \[50\].

In the event of a deficit, the candidate or authorized person in the
case of a party, or campaign treasurer in the case of a committee, must,
every three months until the deficit is eliminated, file a supplemental
report, the first of which is due not later than 4:30 p.m. on the fifth
day following the last day of the election year \[51\].

In the event of a surplus, the candidate, authorized person in the case
of a party, or campaign treasurer in the case of a committee, must file
supplemental reports every six months, until the individual becomes a
candidate again, with the first report due not later than 4:30 p.m. on
the fifth day following the last day of the election year \[52\].

A candidate, party, or committee that receives no contributions or makes
no expenditures is still required to file preliminary, final, and
supplemental reports as required by law \[53\].

**C. Report Contents.** The organizational report must include the name,
address, office sought when known, and party affiliation of each
candidate or individual whom the committee or party is supporting and
the name and address of the committee or party \[54\]; the names and
addresses of the campaign treasurer and deputies \[55\]; the names and
addresses of the campaign chair and deputy campaign chair \[56\]; a list
of all banks, safety deposit boxes, or other depositories used and the
applicable account numbers \[57\]; and the amount and date of deposit of
the contributions and the name and address of each individual donor who
has made a contribution of more than \$100 \[58\]. In the case of a
report by a committee or party supporting or opposing a ballot question
or issue, all of the information required of a candidate report must be
provided, along with a description of the question or issue \[59\].

Any change in information submitted in an organizational report other
than contributor and contribution information, must be reported not
later than 4:30 p.m. on the 10th calendar day after the change or when
the candidate, committee, party, or campaign treasurer, becomes aware of
the change \[60\].

The preliminary report must be filed with the Campaign Spending
Commission on forms provided by the Commission containing the following
information current through the 15th calendar day prior to the election:
the aggregate sum of all contributions received \[61\]; the amount and
date of deposit of the contribution and the name and address of each
donor who contributes an aggregate of \$100 or more \[62\]; all
expenditures made, incurred, or authorized by or for a candidate
including the name and address of each payee and the amount, date, and
purpose of each expenditure \[63\]; and a current statement of the
balance on hand or deficit \[64\].

A candidate or committee which makes expenditures of \$500 or less may
file a short form report with the Commission in lieu of the regular
preliminary and final reports \[65\].

The final report after each general, special, or runoff election must
include: a statement of the total contributions received \[66\]; the
amount and date of deposit of the contribution and the name and address
of each donor who contributes \$100 or more \[67\]; a statement of all
expenditures made or incurred by or for a candidate including the name
of each payee and the amount, date, and purpose of each expenditure
\[68\]; and a current statement of the balance on hand or deficit
\[69\].

Deficit report \[70\] and surplus supplemental reports must include: a
statement of the total contributions received \[71\]; the amount and
date of deposit of the contribution and the name and address of each
donor who contributes \$100 or more \[72\]; a statement of all
expenditures made or incurred by or for a candidate including the name
of each payee and the amount, date, and purpose of each expenditure
\[73\]; and a statement of the balance on hand or deficit \[74\].

A candidate, party, or committee who receives no contributions or makes
no expenditures is required to file all preliminary, final, and
supplemental reports as required by law \[75\].

Upon dissolution, the candidate or campaign treasurer must file a report
with the Campaign Spending Commission reporting amounts distributed and
the manner of disposition \[76\].

**D. Additional Reporting Requirements.** Each candidate, committee, or
political party must establish and maintain an itemized record showing
the amount of each monetary contribution, the description and value of
each nonmonetary contribution, and the name and address of each donor
making a contribution \[77\]. Each candidate and campaign treasurer must
also report the amount and date of each contribution and the name and
address of each donor who makes a contribution or contributions whose
aggregate value is \$100 or more \[78\].

A candidate must make a detailed accounting of campaign expenditures and
this accounting is required to be made a part of the required reports
\[79\]. The account must state the amount and purpose of the
expenditures and other information required by the Campaign Spending
Commission and be signed and certified by the campaign treasurer \[80\].

Each committee and party must disclose the original source of all
earmarked funds, the ultimate recipient of the earmarked funds, and the
fact that the funds are earmarked \[81\]. Earmarked funds are defined as
contributions received by a committee or party on the condition that the
funds be contributed to or expended only on certain candidates, issues,
or questions \[82\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Reporting.** In the event of a surplus, the candidate or the
authorized person in the case of a party, or campaign treasurer in the
case of a committee, must file supplemental reports every six months,
and, in the case of a candidate campaign, until the individual becomes a
candidate again, reporting: the total contributions received \[83\]; the
amount and date of deposit of the contribution and the name and address
of each donor who contributes an aggregate of \$100 or more \[84\]; a
statement of all expenditures made or incurred by or for a candidate
including the name of each payee and the date and amount and purpose of
each expenditure \[85\]; and a statement of the balance on hand or
deficit \[86\]. The first report is due not later than 4:30 p.m. on the
fifth day after the last day of the election year \[87\].

In the event of a deficit, the candidate, campaign treasurer in the case
of a committee, or authorized person in the case of a party, must file a
supplemental report every three months until the deficit is eliminated,
reporting: the total contributions received \[88\]; the amount and date
of deposit of the contribution and the name and address of each donor
who contributes an aggregate of \$100 or more \[89\]; a statement of all
expenditures made or incurred by or for a candidate including the name
of each payee and the date and amount and purpose of each expenditure
\[90\]; and a statement of the balance on hand or deficit \[91\]. The
first report is due not later than 4:30 p.m. on the fifth day after the
last day of the election year \[92\].

Upon dissolution of a committee, the candidate or campaign treasurer
must file a report with the Campaign Spending Commission, reporting the
amounts distributed and the manner of disposition \[93\].

**B. Disposition of Surplus Funds.** All candidates who withdraw or
cease to be candidates (other than those elected officials or candidates
who failed to be elected), or committees directly associated with these
candidates, or persons who receive contributions but fail to file for
nomination, or committees or parties which discontinue their covered
activities, must return any residual contributions proportionately to
the donors if their identities are known \[94\]. If no donors are found,
the residual contributions must be contributed to the campaign fund of
any candidate, or to any party, charity, or nonprofit organization, or
escheated to the territory \[95\].

**VI. OFFENSES AND PENALTIES**

If the Campaign Spending Commission finds an unintentional violation of
the law, it may require the violator to temporarily cease and desist any
violations \[96\], or file any report, statement, or other required
information \[97\].

Any natural person knowingly violating any provision of the campaign
finance law is guilty of a class B misdemeanor and is subject to the
penalties specified for such offenses \[98\]. A corporation,
organization, or association, knowingly violating any provision of the
campaign finance law is subject to sanctions appropriate to the offense
\[99\]. When a corporation, organization, or association violates the
campaign finance law, the violation is deemed to be also that of the
individual directors, officers, or agents of the corporation,
organization, or association, who have knowingly authorized, ordered, or
done any of the acts constituting the violation \[100\].

**VII. RESPONSIBLE TERRITORIAL AGENCIES**

**A. Campaign Spending Commission and Chief Election Officer.** The
Campaign Spending Commission oversees the regulation of campaign finance
in American Samoa.

The Campaign Spending Commission consists of five members, appointed by
the governor subject to confirmation by the Senate \[101\]. Members
serve for a term of four years, with a vacancy filled in the same way as
the original appointment \[102\]. The Commission's principal duty is to
supervise campaign contributions and expenditures \[103\]. In
furtherance of this duty, the Commission must ascertain whether any
candidate, committee, or party has failed to file a required report or
has filed a substantially defective or deficient report and offer an
opportunity for its correction \[104\]; hold public hearings \[105\];
investigate and hold hearings for receiving evidence of any violations
\[106\]; adopt a code of fair campaign practices \[107\]; establish
rules \[108\]; request the initiation of prosecution for violations
\[109\]; and suggest appropriate accounting methods for compliance by
candidates, committees, and parties \[110\].

The Chief Election Officer's principal duty is to regulate the election
process \[111\]. The Chief Election Officer develops and adopts required
reporting forms \[112\]; adopts and publishes a recordkeeping and
compliance manual for candidates and committees \[113\]; preserve all
required reports for at least five years from the date of receipt
\[114\]; and permit the inspection, copying, or duplicating of reports
\[115\].

The Campaign Spending Commission may initiate a complaint against any
person for violations of the campaign finance law in writing and signed
by the Commission chair \[116\]. Complaints of violations of the
campaign finance law against any person may also be filed with the
Campaign Spending Commission in writing and signed under oath by the
complainant \[117\]. The Commission must give notice of receipt of the
complaint together with a copy of the complaint to the person cited and
afford the respondent an opportunity to explain or otherwise respond to
the complaint \[118\]. The Commission may also open an investigation of
the complaint \[119\]. Upon hearing the response of the person cited, if
the person elects to respond to the complaint, and upon completion of
any investigation, the Commission must make a prompt determination as to
whether probable cause exists that a violation has been committed
\[120\].

Any person who appears before the Campaign Spending Commission has all
of the rights, privileges, and responsibilities of a witness appearing
before the courts of the territory \[121\]. The Commission must prepare
a record of all proceedings \[122\]. At the conclusion of proceedings
concerning an alleged violation or upon receiving a report from its
investigating officer, the Commission must immediately begin
deliberations and then proceed to determine by majority vote of the
members whether probable cause exists that a violation has been
committed \[123\]. Until the determination of probable cause by the
Commission, all proceedings, including the filing of the complaint,
investigation, and hearing are confidential unless the person complained
of requests an open session \[124\]. In the event the Commission
determines that probable cause does not exist, then the complaint must
be dismissed and the entire records of the proceedings must be kept
confidential at the option of the person complained of \[125\].

The Commission must give written notice to the person complained of and
to the complainant as to whether probable cause of a violation exists or
whether the complaint has been dismissed \[126\]. In the event a
determination is made that probable cause of an unintentional violation
exists, the Campaign Spending Commission must issue a confidential order
that may require the violator to: temporarily cease and desist violation
\[127\]; or file any report, statement, or other information as required
by law \[128\].

**B. Attorney General**. The office of the Attorney General has
prosecutorial responsibility over violations of the campaign finance law
\[129\]. Prosecution commences with a written request from the Campaign
Spending Commission or upon the issuance of an order of the court
\[130\]. The court must give priority to the expeditious processing of
such suits \[131\], which must be commenced before one year has elapsed
from the date of the violation or date of filing of the report covering
the period in which the violation occurred, whichever is later \[132\].

#  {#section .unnumbered}

# References

1\. American Samoa Code Annotated

\(1992\) (hereafter ASCA) §

6.1701(f)(1)(A)

2\. ASCA § 6.1701(f)(1)(B)

3\. ASCA § 6.1701(f)(1)(C)

4\. ASCA § 6.1701(f)(2)

5\. ASCA § 6.1701(f)(3)

6\. ASCA § 6.1701(f)(3)

7\. ASCA § 6.1717

8\. ASCA § 6.1701(l)

9\. ASCA § 6.1701(i)

10\. ASCA § 6.1717

11\. ASCA § 6.1709(a)

12\. ASCA § 6.1709(d)

13\. ASCA § 6.1710(a)(1)(A)

14\. ASCA § 6.1710(a)(1)(B)

15\. ASCA §§ 6.1701(l); 6.1712(a)

16\. ASCA § 6.1712(b)

17\. ASCA § 6.1711(a)

18\. ASCA § 6.1711(b)

19\. ASCA § 6.1711(a)

20\. ASCA § 6.1711(c)

21\. ASCA § 6.1709(g)(2). The law does not

specify whether this limit is applicable

to a specified time limit (*e.g.,* per year)

or election cycle. The restriction on

corporate contributions in non-

candidate elections may also be

problematic. *See*, *First Nat'l Bank of*

*Boston v. Bellotti*, 435 U.S. 765 (1978)

22\. ASCA § 6.1709(g)(1).The law does not

specify whether this limit is applicable

to a specified time limit (*e.g.,* per year)

or election cycle.

23\. ASCA § 6.1701(h)(1)(A)

24\. ASCA § 6.1701(h)(1)(B)

25\. ASCA § 6.1701(h)(1)(C)

26\. ASCA §§ 6.1701(h)(2); 6.1701(h)(1)(A)

27\. ASCA §§ 6.1701(h)(2); 6.1701(h)(1)(B)

28\. ASCA §§ 6.1701(h)(2); 6.1701(h)(1)(C)

29\. ASCA §§ 6.1701(h)(3); 6.1701(h)(1)(A)

30\. ASCA §§ 6.1701(h)(3); 6.1701(h)(1)(B)

31\. ASCA §§ 6.1701(h)(3); 6.1701(h)(1)(C)

32\. ASCA § 6.1710(a)(1)(A)

33\. ASCA §§ 6.1710(a)(1)(B); (2)

34\. ASCA § 6.1710(a)(3)

35\. ASCA § 6.1710(a)(3)

36\. ASCA § 6.1710(b)

37\. ASCA § 6.1710(b)

38\. ASCA § 6.1711(b)

39\. ASCA § 6.1715(c)

40\. ASCA § 6.1715(a)

41\. ASCA § 6.1715(b)

42\. ASCA § 6.1705(1)

43\. ASCA § 6.1705(2)

44\. ASCA § 6.1705(3)(A)

45\. ASCA §§ 6.1705(3)(B); 6.1718;

6.1719(a)(2), (3)

46\. ASCA § 6.1704(a)

47\. ASCA § 6.1718(a)

48\. ASCA § 6.1704(a)

49\. ASCA § 6.1718(a)

50\. ASCA § 6.1719(a)

51\. ASCA § 6.1719(b)

52\. ASCA § 6.1719(c)(2)

53\. ASCA § 6.1719(d)

54\. ASCA § 6.1706(a)(1)

55\. ASCA § 6.1706(a)(2)

56\. ASCA § 6.1706(a)(3)

57\. ASCA § 6.1706(a)(4)

58\. ASCA § 6.1706(a)(5)

59\. ASCA § 6.1706(a)(6)

60\. ASCA § 6.1706(b)

61\. ASCA § 6.1718(a)(1)

62\. ASCA § 6.1718(a)(2)

63\. ASCA § 6.1718(a)(3)

64\. ASCA § 6.1718(a)(4)

65\. ASCA § 6.1718(b)

66\. ASCA § 6.1719(a)(1)

67\. ASCA § 6.1719(a)(2)

68\. ASCA § 6.1719(a)(3)

69\. ASCA § 6.1719(a)(4)

70\. ASCA § 6.1719(b)

71\. ASCA §§ 6.1719(c)(2); 6.1719(a)(1)

72\. ASCA §§ 6.1719(c)(2); 6.1719(a)(2)

73\. ASCA §§ 6.1719(c)(2); 6.1719(a)(3)

74\. ASCA §§ 6.1719(c)(2); 6.1719(a)(4)

75\. ASCA § 6.1719(d)

76\. ASCA § 6.1720(c)

77\. ASCA § 6.1709(b)

78\. ASCA § 6.1709(c)

79\. ASCA §§ 6.1715(a); 6.1718(a)(3);

6.1719(a)(3)

80\. ASCA § 6.1715(a)

81\. ASCA § 6.1709(e)

82\. ASCA § 6.1709(f)

83\. ASCA §§ 6.1719(c)(2); (a)(1)

84\. ASCA §§ 6.1719(c)(2); (a)(2)

85\. ASCA §§ 6.1719(c)(2); (a)(3)

86\. ASCA §§ 6.1719(c)(2); (a)(4)

87\. ASCA § 6.1719(c)(2)

88\. ASCA §§ 6.1719(b); (a)(1)

89\. ASCA §§ 6.1719(b); (a)(2)

90\. ASCA §§ 6.1719(b); (a)(3)

91\. ASCA §§ 6.1719(b); (a)(4)

92\. ASCA §§ 6.1719(b)

93\. ASCA § 6.1720(c)

94\. ASCA § 6.1720(a)

95\. ASCA § 6.1720(b)

96\. ASCA § 6.1722(f)(1)

97\. ASCA § 6.1722(f)(2)

98\. ASCA § 6.1723(a)(1)

99\. ASCA § 6.1723(a)(2)

100\. ASCA § 6.1723(a)(3)

101\. ASCA § 6.1702

102\. ASCA § 6.1702

103\. ASCA § 6.1703(b)

104\. ASCA § 6.1703(b)(1)

105\. ASCA § 6.1703(b)(2)

106\. ASCA § 6.1703(b)(3)

107\. ASCA § 6.1703(b)(4)

108\. ASCA § 6.1703(b)(5)

109\. ASCA § 6.1703(b)(6)

110\. ASCA § 6.1703(b)(7)

111\. ASCA § 6.1703(a)

112\. ASCA § 6.1703(a)(1)

113\. ASCA § 6.1703(a)(2)

114\. ASCA § 6.1703(a)(3)

115\. ASCA § 6.1703(a)(4)

116\. ASCA § 6.1722(a)

117\. ASCA § 6.1722(a)

118\. ASCA § 6.1722(b)

119\. ASCA § 6.1722(b)

120\. ASCA § 6.1722(c)

121\. ASCA § 6.1722(c)(1)

122\. ASCA § 6.1722(c)(2)

123\. ASCA § 6.1722(c)(2)

124\. ASCA § 6.1722(d)

125\. ASCA § 6.1722(d)

126\. ASCA § 6.1722(e)

127\. ASCA § 6.1722(f)(1)

128\. ASCA § 6.1722(f)(2)

129\. ASCA § 6.1724(a)

130\. ASCA § 6.1724(a)(1)

131\. ASCA § 6.1724(b)

132\. ASCA § 6.1724(c)

**CAMPAIGN FINANCE LAW**

**IN ARIZONA**

**I. INTRODUCTION**

Arizona requires all candidates, committees, and continuing political
organizations to file information on all contributions and expenditures
in a report before and after each election, with supplemental reports
required for subsequent contributions and expenditures. Arizona offers a
voluntary electronic filing program. Direct corporate and labor union
contributions are prohibited, as are anonymous contributions. For
statewide office campaigns, individuals are limited to
inflation-adjusted contributions of not more than \$760, while a single
political committee certified to give at the upper contribution limit
may contribute more than \$3,790. Non‑statewide office contribution
limitations are \$300 and \$1,510, respectively. A candidate may not
accept contributions from all campaign committees combined totaling more
than \$75,610 for a statewide office and \$7,560 for a non‑statewide
office. The limitations are increased for opponents if a candidate
contributes or obligates more than \$23,670 of his or her own money to a
statewide campaign, or \$11,840 to a non‑statewide office campaign. An
individual may not contribute more than a total of \$2,820 to candidates
or non-ballot measure political committees in a calendar year. Those
employing lobbyists, a public body, or a lobbyist may not make or
promise to make a contribution to or promise to solicit contributions
for a member of the legislature when the legislature is in regular
session, or the governor when regular session legislation is pending
executive approval or veto. Arizona voters approved a ballot initiative
in 1998 which established a voluntary system of public financing
affecting contributions and expenditures for candidates who meet
thresholds with small contributions in statewide and state legislative
races, effective with the 2000 elections. Candidates who do not opt for
public financing face other restrictions. The initiative established a
Citizens Clean Election Commission to oversee the process, with funding
from several sources. Arizona offers a \$100 tax deduction (\$200 on a
joint return) political contributions, and permits individual taxpayers
to contribute to political parties through an income tax checkoff. The
Secretary of State is responsible for overseeing the other campaign
finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contributions.** A contribution is any gift,
subscription, loan, advance, or deposit of money or anything of value
made for the purpose of influencing an election \[1\].

A contribution includes a contribution made to retire a campaign debt
\[2\], money or the fair market value of anything directly or indirectly
given or loaned to an elected official for the purpose of defraying the
expense of communications with constituents, regardless of whether the
elected official has declared his or her candidacy \[3\], the entire
amount paid to a political committee to attend a fundraising or other
political event, and the entire amount paid to a political committee as
the purchase price for a fundraising meal or item, except that no
contribution results if the actual cost of the meal or fundraising item,
based on the amount charged to the committee by the vendor, constitutes
the entire amount paid by the purchaser for the meal or item, the meal
or item is for the purchaser's personal use and not for resale, and the
actual cost is the entire amount paid by the purchaser in connection
with the event (this exception does not apply to auction items) \[4\].

Unless specifically exempted, the provision of goods and services
without charge or at a charge less than the usual and normal charge for
such goods and services also constitutes a contribution \[5\].

A contribution does not include the value of uncompensated personal
services performed by volunteer campaign workers \[6\], personal travel
expenses incurred by an individual without direct or indirect
reimbursement \[7\], or an independent expenditure \[8\]. A contribution
also does not include money or the value of anything directly or
indirectly provided to defray the expense of an elected official meeting
with constituents if the elected official is engaged in the performance
of duties of the office \[9\], nor the use of real or personal property,
including a church or community room used on a regular basis by the
members of a community for noncommercial purposes, that is obtained by
an individual in the course of volunteering personal services to a
candidate, candidate's committee, or political party, and the cost of
food and beverages provided by an individual in rendering such voluntary
services on the individual's residential premises or in the church or
community room for candidate-related or party-related activities to the
extent that the cumulative value of the invitations, food, and beverages
provided by the individual on behalf of any one candidate does not
exceed \$100 in value with respect to any single election \[10\].

A contribution also does not include the payment by a political party
for party operating expenses; party staff and personnel; party
newsletters and reports; voter registration and efforts to increase
voter turnout; party organization building and maintenance; printing and
postage expenses for slate cards, sample ballots, and other written
material that substantially promote three or more of the party's
nominees; and other election activities not related to a specific
candidate, except this item does not apply to costs incurred with
respect to a display of the listing of candidates made on
telecommunications systems or in newspapers, magazines, or similar types
of general circulation advertising \[11\].

A contribution does not include monies loaned by a state bank, a
federally chartered depository institution, or a depository institution
insured by the FDIC or NCUA, other than an checking or savings account
overdraft made in accordance with the law and in the ordinary course of
business \[12\]. For this exemption to apply, such a loan is deemed a
loan by each endorser or guarantor in the proportion of the unpaid
balance that each endorser or guarantor bears to the total number of
endorsers or guarantors; must be made on a basis that assures repayment;
be evidenced by a written instrument; be subject to a due date or
amortization schedule; and bear the lending institution's usual and
customary interest rate \[13\].

A contribution does not include a gift, subscription, loan, advance, or
deposit of money or anything of value to a national or state political
party committee specifically designated to defray the cost of
constructing or purchasing an office facility not acquired for the
purpose of influencing the election of a candidate in any particular
election \[14\]; legal or accounting services rendered to or on behalf
of a political committee or candidate for compliance purposes if the
only person paying for the services is the regular employer of the
service provider \[15\]; the payment by a political party of the costs
of campaign materials used by the party in connection with volunteer
activities on behalf of a nominee of the political party, or payment by
a state or local party committee of voter registration or
get-out-the-vote activities conducted by the committee if the payments
are not for the costs of campaign materials or activities used in
connection with any telecommunication, newspaper, magazine, billboard,
direct mail, or other similar type of general public communication or
political advertising \[16\].

A contribution also does not include transfers between political
committees to distribute monies raised through a joint fundraising
effort in the same proportion to each committee's share of the
fundraising expenses and payments from one political committee to
another in reimbursement of a committee's proportionate share of its
expenses in connection with a joint fundraising effort \[17\]; nor does
it include an extension of credit for goods and services made in the
ordinary course of the creditor's business if the terms are
substantially similar to extensions of credit to nonpolitical debtors
that are of similar risk and size of obligation and if the creditor
makes a commercially reasonable attempt to collect the debt, except that
any extension of credit under this item made for the purpose of
influencing an election which remains unsatisfied by the candidate after
six months, notwithstanding good faith collection efforts by the
creditor, is deemed receipt of a contribution by the candidate, but is
not a contribution by the creditor \[18\].

Interest or dividends earned by a political committee on any bank
accounts, deposits, or other investments of the committee are not
contributions \[19\].

**B. Limitations on Nature of Contributions.** All receipts received by
a political committee must be deposited in a designated campaign
account, and may not be commingled with any personal funds of an
individual \[20\]. A committee must make its best efforts to obtain
certain required information from each contributor, including an oral or
written contact that asks for any missing information about the mailing
address, occupation, and employer of each individual contributor, and
the mailing address and identification number of each political
committee contributor \[21\].

All contributions other than in-kind contributions must be made by a
check drawn on the account of the actual contributor or by a money order
or a cashier's check containing the name of the actual contributor, or
must be evidenced by a written receipt with a copy of the receipt given
to the contributor and a copy maintained in the contribution records of
the recipient \[22\].

A person may not make a contribution in the name of another \[23\].
Except for a contribution to a candidate's campaign committee, an
individual or political committee may not give, and a political party or
other political committee may not accept, an earmarked contribution
\[24\]. A contribution from partnership funds may only be made in the
name of the individual partners who made the contributions \[25\].

A candidate's campaign committee may not contribute or transfer funds to
another candidate's campaign committee \[26\]. Only a political
committee that received funds from 500 or more individuals in amounts of
\$10 or more in the one-year period immediately preceding application to
the Secretary of State for qualification as a political committee may
make contributions to candidates of up to \$1,510 for a non‑statewide
candidate or \$3,790 for a statewide candidate \[27\]. A candidate may
not accept such a contribution without written certification from the
committee as provided by the Secretary of State that the committee has
met the requirements of the law \[28\].

An individual or political committee may not use economic influence to
induce other members of any organization to make contributions to a
candidate, collect contributions from members of an organizations for
transmittal to a candidate, make payments to candidates for public
appearances or services which are ordinarily uncompensated, or use any
similar device to circumvent the intent of the law \[29\].

**C. Contributions by Corporations, Labor Organizations, and Other
Groups.** A corporation or limited liability company (except a
corporation or limited liability company organized as a political
committee) \[30\] or labor organization \[31\] may not make any
contribution of money anything of value for the purpose of influencing
an election to any political office, any election to any political
convention or caucus, or any primary election held for the purpose of
selecting any candidate, political committee, or other person for
political office, convention, or caucus \[32\]. In the absence of any
corporate contribution, an Arizona corporation is permitted to create a
separate segregated fund to participate in state and local office
elections, even though the committee is identified with the corporation,
if the committee is operated free from any corporate support \[33\].

A corporation that has established a separate segregated fund may not
use that fund to make a contribution by using money or anything of value
secured by physical force, job discrimination, financial reprisal, or
the threat of any of these actions by using dues, fees, or other moneys
required as a condition of membership in a labor organization or as a
condition of employment, or by using monies obtained in any commercial
transaction \[34\].

Any person soliciting an employee for a contribution to this fund is
required to inform the employee of the political purposes of the fund at
the time of the solicitation \[35\], and of the employee's right to
refuse to contribute without reprisal \[36\].

A corporation or the corporation's separate segregated fund may only
solicit from its stockholders and their families, and its executive and
administrative personnel or their families \[37\], and may make no more
than two written solicitations for contributions during the calendar
year from any employee who is not a stockholder or executive or
administrative personnel of the corporation, or their families \[38\]. A
permissible solicitation may be made only by mail addressed to employees
who are not stockholders or executive or administrative personnel at
their residences \[39\].

A labor organization or the labor organization's separate segregated
fund may only solicit from its members and their families \[40\], and
may make no more than two written solicitations for contributions during
the calendar year from any stockholder, executive or administrative
personnel, or employee of a corporation who is not a union member or the
families of such persons, if the labor union represents members working
for that corporation \[41\]. A permissible solicitation may be made only
by mail addressed to stockholders or executive or administrative
personnel or employees who are not union members at their residences
\[42\].

A membership organization, cooperative, corporation without capital
stock, or a separate segregated fund established by such an entity may
solicit contributions to the fund from its members \[43\]. A trade
associations or its separate segregated fund may solicit contributions
from the stockholders and executive or administrative personnel of its
member corporations and families of such personnel \[44\].
Notwithstanding any other provision of the law, any method of soliciting
voluntary contributions or of facilitating the making of voluntary
contributions to a corporation's separate segregated fund that is
available to corporations for their stockholders and executive and
administrative personnel is also permitted to labor organizations with
regard to their members \[45\]. Any corporation, including its
subsidiaries, branches, divisions, and affiliates, that uses a method of
soliciting voluntary contributions or facilitating the making of
voluntary contributions must make the method available, at cost, to a
labor organization representing any members working for the corporation
or its subsidiaries, branches, divisions, and affiliates \[46\].

An employer may not knowingly enclose the pay of employees in envelopes
written or printed with any political mottoes, devices, or arguments
containing threats, expressed or implied, intended, or calculated to
influence the political opinions, views, or actions of the employees
\[47\] or, within 90 days of an election provided by law to post or
otherwise exhibit in any place where his or her employees are working or
are present in the course of employment: (1) a handbill, notice, or
placard containing a threat, notice, or information that if any
particular ticket or candidate is elected or defeated, work in that
place or establishment will be closed or the wages of workers reduced,
or (2) other expressed or implied threats calculated to influence the
political opinions or actions of employees \[48\].

**D. Limitations on Amounts of Contributions.** For an office other than
a statewide office, a contributor may not give and a candidate may not
accept contributions of more than \$340 from an individual \[49\], \$340
from a single political committee, excluding a political party not
specially certified under the law \[50\], or \$1,730 from a single
political committee, excluding a political party, properly certified
under the law \[51\]. For a statewide office, a contributor may not give
and a candidate may not accept contributions of more than \$700 from an
individual \[52\] or \$700 from a single political committee, excluding
a political party not specially certified under the law \[53\], or
\$3,460 from a single political committee, excluding a political party,
properly certified under the law \[54\]. All contributions from an
unemancipated minor child are treated as a contribution by the child's
custodial parent or parents for purposes of the individual contribution
limits \[55\].

A candidate may not accept contributions from all political committees,
excluding political parties, combined totaling more than \$8,640 for an
office other than statewide office, or \$69,120 for a statewide office
\[56\]. A political party nominee may not accept contributions from all
political parties or campaign organizations combined totaling more than
\$8,640 for an office other than statewide office, or \$69,120 for a
statewide office \[57\].

An individual may not make contributions totaling more than \$3,230 in a
calendar year to state and local candidates, campaign committees
contributing to state or local candidates, and campaign committees
advocating the election or defeat of state or local candidates \[58\].
This provision, however, does not apply to contributions to political
parties \[59\].

The contribution limitations are to be biannually adjusted to the
nearest \$10 by the Secretary of State based upon the percentage change
in the Consumer Price Index, U.S. city average \[60\]. The contribution
limitations apply to each election for any office or offices the
candidate seeks \[61\]. The contribution limitations apply to the total
contributions from all separate segregated funds \[62\].

A candidate is limited in the amount of the candidate's personal monies
contributed to his or her own campaign \[63\] to the extent that they
may not be greater than the largest amount of personal contributions,
plus any amounts due to delinquent notices, made by any other single
candidate for the same office \[64\]. The candidate's personal money
includes contributions by certain family members \[65\]. However, if a
candidate contributes or obligates more than \$13,530 of personal money
to a campaign for other than statewide office \[66\], or \$27,040 for a
statewide office, the candidate must, within 24 hours, given written
notice of the amount contributed or promised, and of the total funds
received by the candidate as of the date of the notice, to the
appropriate filing officer and all other candidates for the same office
\[67\]. From the time of notice until they exceed these amounts, other
candidates for the same office in the same jurisdiction are not subject
to the limitations on the amount of contributions as measured from the
date the notice is received until they receive either contributions
totaling the amount of personal monies contributed or promised by the
candidate giving the notice, as measured from the date received, or
receive total funds (the sum of all contributions to a candidate and all
personal monies contributed or promised by that candidate in that
election) equal to or greater than the amount of the total funds set out
in the notice, whichever occurs first \[68\]. Additional contributions
or obligations by the candidate in the amount of at least \$6,770 for a
candidate for other than statewide office \[69\], or \$13,530 for a
candidate for statewide office require similar notification, with
similar waivers resulting \[70\]. Failure to file a timely notice adds
\$590 to an opponent's waiver limit for each day the report is
delinquent \[71\].

2001‑2002 Election Cycle Campaign Contribution Limits

Contribution Limits Adjusted January 18, 2001, Pursuant to A.R.S.§
16‑905(j)

Contribution Limits NON‑STATEWIDE OFFICES STATEWIDE OFFICES

Candidate or Authorized Candidate or Authorized

Candidate's Committee Candidate's Committee

> LOCAL LEGISLATIVE

Individual's contribution \$ 340 \$ 270 \$ 700

to a candidate

A.R.S. §16‑905(A)(1)

A.R.S. §16‑905(B)(1)

Political Committee's

contribution to a candidate \$ 340 \$ 270 \$ 700

A.R.S. §16‑905(A)(2)

A.R.S. §16‑905(B)(2)

Committees certified by \$ 1,730 \$ 1,380 \$ 3,460

Secretary of State to give

at upper limit "Super PAC"

A.R.S. §16‑905(I)

A.R.S. §16‑905(A)(3)

A.R.S. §16‑905(B)(3)

Combined total from all \$ 8,640 \$ 6,910 \$ 69,120

Political Committees

other than political parties

A.R.S. §16‑905(C)

Nominee's total from political \$ 8,640 \$ 6,910 \$ 69,120

party and all political

organizations combined

A.R.S. §16‑905(D)

Total contributed by an \$ 3 , 2 3 0 i n a c a l en d a r y e a r

individual to candidates &

committees who give

to candidates

A.R.S. §16‑905(E)

Notification Levels for Candidates' and Designating Individuals'
Personal Monies

PERSONAL MONIES NOTIFICATION NON‑STATEWIDE OFFICES STATEWIDE OFFICES

A.R.S. § 16905(F)&(G) Candidate or Authorized Candidate's Committee

Candidate Exploratory Candidate Exploratory

Candidates' and Designating Individuals' \$ 13,530 \$ 13,530 \$ 27,040
\$ 27,040

obligated or contributed personal monies:

first notification

A.R.S. §16‑905(F) & (G)

Candidates' and Designating Individuals' \$ 6,770 \$ 6,850 \$ 13,530 \$
13,770

obligated or contributed personal monies:

subsequent notification

A.R.S. §16‑905(F) & (G)

**E. Special Provisions for Loans.** A loan to a political candidate or
to a candidate for the purpose of influencing an election that exceeds
the lender's contribution limitations remains unlawful whether or not it
is repaid \[72\]. A loan to apolitical committee or to a candidate made
for the purpose of influencing an election made within the contribution
limitations remains a contribution to the extent it remains unpaid
\[73\]. A loan is no longer a contribution to the extent it is repaid
\[74\]. A loan obtained by a candidate on which the candidate's spouse's
signature is required if jointly owned assets are used as collateral or
security is not considered a contribution from the candidate's spouse
\[75\].

Except with respect to loans jointly obtained by a candidate and his or
her spouse, the making of a loan that is made for the purpose of
influencing an election results in a contribution by each endorser or
guarantor \[76\]. The endorser's or guarantor's contribution is that
portion of the total amount of the loan for which he or she guaranteed
in writing to be liable for, or, if not stated in writing, the
contribution is the same proportion to the unpaid balance that each
endorser or guarantor bears to the total number of endorsers or
guarantors \[77\]. Any reduction in the unpaid balance of the loan
reduces proportionately the amount of the contribution of each endorser
or guarantor \[78\].

**F. Limitations Pertaining to Judicial Candidates.** A judge may
purchase tickets for a political fundraiser, but should not solicit
funds for, or pay an assessment to, a political organization or
candidate, or make contributions to a political party or organization,
or to a non-judicial candidate in excess of \$250 per year \[79\].
Public officials or public employees subject to a judge's direction or
control are prohibited from doing what the judge may not do personally
\[80\]. A candidate for judge must refrain from personally soliciting
campaign funds, and instead refer prospective contributors to his or her
candidate campaign committee \[81\].

**G. Limitations on Contributions During Legislative Sessions.** A
person who employs, retains, engages, or uses, with or without
compensation, a lobbyist; a public body; a lobbyist; or a public
lobbyist may not make or promise to make a campaign contribution to, or
solicit or promise to solicit campaign contributions for a member of the
legislature when the legislature is in regular session \[82\], or the
governor when the legislature is in regular session, or when regular
session legislation is pending executive approval or veto \[83\].

The restrictions do not apply to fund raising for political
organizations unless contributions are earmarked for legislators in
violation of the law \[84\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is defined as any
purchase, payment, distribution, loan, advance, deposit, or gift of
money or things of value made by a person for the purpose of influencing
an election in Arizona, and a contract, promise, or agreement to make an
expenditure resulting in an extension of credit and the value of any
in-kind contribution received \[85\].

An expenditure does not include a news story, commentary, or editorial
distributed through the facilities of any telecommunications system,
newspaper, magazine, or other periodical publication, unless the
facilities are owned or controlled by a political committee, political
party, or candidate \[86\]; nonpartisan activity designed to encourage
individuals to vote or register to vote \[87\]; the payment by a
political party of the costs of preparation, display, mailing or other
distribution incurred by the party with respect to slate cards, sample
ballots, and other printed listings of three or more of the party's
nominees, except this item does not apply to costs incurred with respect
to a display of the listing of candidates made on telecommunications
systems or in newspapers, magazines, or similar types of general
circulation advertising \[87\].

An expenditure also does not include the payment by a political party of
the costs of campaign materials used by the party in connection with
volunteer activities on behalf of a nominee of the political party, or
payment by a state or local party committee of voter registration or
get-out-the-vote activities conducted by the committee if the payments
are not for the costs of campaign materials or activities used in
connection with any telecommunication, newspaper, magazine, billboard,
direct mail, or other similar type of general public communication or
political advertising \[89\]; or any deposit or other payment filed with
the Secretary of State or any other similar officer to pay any portion
of the cost of printing an argument in a publicity pamphlet advocating
or opposing a ballot measure \[90\].

**B. Limitations on Nature of Expenditures.** Before a candidate accepts
or spends more than \$500, or before a political committee accepts any
contribution or makes any expenditure, the candidate or committee must
file a registration form with the proper authority \[91\]. The position
of chairman and treasurer may not be held by the same individual, except
that a candidate may serve as chairman and treasurer of the candidate's
own committee \[92\]. All withdrawals or disbursements from a campaign
depository account require the signature of the treasurer or a
designated agent of the political committee \[93\].

Every payment or disbursement by a candidate or campaign committee
exceeding \$10 that relates to the election, except for personal or
travel expenses not paid for by campaign funds, is required to be
evidenced by a receipted bill stating the particulars of the expense
\[94\].

**C. Expenditures by Corporations, Labor Organizations, and Other
Groups.** Certain corporate and labor organization expenditures are
permitted by law \[95\]. These include communications by a corporation
to its stockholders and executive or administrative personnel and their
families or by a labor organization to its members and their families,
on any subject \[96\]; nonpartisan registration and get‑out‑the‑vote
campaigns by a corporation aimed at its stockholders and executive or
administrative personnel and their families, or by a labor organization
aimed at its members and their families \[97\]; and the establishment,
administration, and solicitation of voluntary contributions to a
separate segregated fund to be used for political purposes by a
corporation, labor or membership organization, trade association,
cooperative, or corporation without capital stock \[98\]. A membership
organization, trade association, cooperative, or corporation without
capital stock may engage in any communications, nonpartisan
registration, or get‑out‑the‑vote activities if they are directed toward
its members, stockholders, or members of its members, its own and its
members' executive or administrative personnel, and their families
\[99\]. Contributions for use to support or oppose an initiative or
referendum measure are also permitted \[100\].

**D. Independent Expenditures.** Independent expenditures for campaign
literature or advertisements trigger a requirement for inclusion on the
literature or advertisement the names and telephone numbers of the three
individuals and political committees making the largest contributions
within the past six months to the political committee making the
independent expenditure, and, if an acronym is used to name any such
political committee, the name of the sponsoring organization must also
be printed or spoken \[101\]. The disclosure must be clear, legible, and
conspicuous \[102\]. For purposes of determining the two contributors to
be disclosed, the contributions of each political committee to the
political committee making the independent expenditure during the
one-year period before the election being affected are aggregated
\[103\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Each candidate who receives contributions or makes
expenditures of more than \$500 in connection with a campaign for public
office must designate, in writing, a political committee to serve as the
candidate's campaign committee no later than 10 days after making such
contributions or expenditures \[104\]. An individual who receives
contributions or makes expenditures of more than \$500 for the purpose
of determining whether to become a candidate must designate, in writing,
a political committee to serve as the individual's exploratory committee
\[105\]. A political committee that supports or has supported another
candidate or more than one candidate may not be designated as a
candidate's campaign committee \[106\].

A political committee that is not a candidate's campaign committee must
file a statement of organization no later than 10 days after becoming a
political committee \[107\].

A standing political committee, one active in more than one Arizona
reporting jurisdiction for more than one year and is a separate
segregated fund, a political party, a committee organized for purposes
of making independent expenditures, and a political organization
\[108\], must file a statement with the Secretary of State and each
jurisdiction in which it is active, including a notarized signature of
the chair or treasurer \[109\].

A statement of organization must include the name, address, and type of
committee \[110\]; the name, address, relationship, and type of any
sponsoring organization \[111\]; the names, addresses, telephone
numbers, occupations, and employers of the committee chairman and
treasurer \[112\]; in the case of a candidate's committee, the name,
address, office sought, and candidate's party affiliation \[113\]; in
the case of an exploratory committee, the name and address of the
individual \[114\]; and a listing of all banks, safety deposit boxes, or
other depositories used by the committee \[115\]. Any changes in this
information must be reported on an amended statement of organization
within 10 days after the change \[116\].

A political committee registered outside of Arizona, or with the Federal
Election Commission that intends to use monies in Arizona that have been
raised before filing its statement of organization in Arizona, must also
file complete copies of its previous campaign finance or other similar
reports filed in those other jurisdictions that cover all contributions
or receipts for the preceding two years \[117\].

**B. Reporting by Political Committees.** Reports are filed in the
office of Secretary of State for political committees supporting or
opposing candidates for state offices and members of the legislature,
for justices of the supreme court or court of appeals, and for a
statewide initiative or referendum, or any measure or proposition
appearing on a state general election ballot \[118\]; with the clerk of
the board of supervisors for political committees supporting or opposing
candidates for county offices, school district or college district
governing board members or ballot questions, judges of the superior
court seeking retention, special taxing districts, and a county
initiative or referendum or any measure or proposition appearing on a
county election ballot \[119\]; and with the city or town clerk for
strictly local candidates or ballot questions \[120\].

In a calendar year during which there is a regularly scheduled election
at which any candidates, measures, questions, or propositions appear or
may appear on the ballot, a political committee must file a report
covering the period beginning January 31 through May 31, filed no later
than June 30 \[121\]; a pre-election report, filed not less than 12 days
before, or mailed by certified mail not less than 15 days before any
election, complete through the 20th day before the election \[122\]; and
a post-election report, filed not less than 30 days after any election,
complete through the 20th day after the election \[123\]. In any other
calendar year, the political committee files a report covering the
period beginning 21 days after the date of the election in the preceding
calendar year through December 31 of the nonelection year, no later than
January 31 of the following calendar year \[124\]. If a political
committee receives no contributions and makes no expenditures during a
period in which it is required to file a campaign finance report, the
committee may file a notarized form prescribed by the Secretary of State
indicating no activity during the specific reporting period \[125\].
Reports in connection with special, runoff, or recall elections are to
conform to the regular filing deadlines \[126\]. In lieu of any other
report mandated by statute, a candidate's political committee that
remains active after an election due to outstanding debts may file a
notarized document no later than January 31, in a form prescribed by the
Secretary of State, that states that the committee does not intend to
receive any contributions or make any expenditures during the year. If
the political committee does receive a contribution or make an
expenditure, the committee shall file the regularly scheduled report
\[127\].

A judge who has filed a declaration of desire to be retained in office
is exempt from filing any required report if the judge, not later than
12 days before the general election, files a sworn statement certifying
that he or she has received no contributions, has made no expenditures,
has no campaign committee, and that he or she does not intend to receive
contributions, make expenditures, or form a campaign committee \[128\].
With respect to superior court judges, such a statement is effective
until the earlier of 12 days before the third general election following
filing of such a statement, or the judge receives contributions, makes
expenditures, or authorizes a campaign committee \[129\]. Such a
statement filed by a supreme court justice or court of appeals judge is
effective until the earlier of 12 days before the fourth general
election following the filing of this statement, or the justice or judge
receives contributions, makes expenditures, or authorizes a campaign
committee \[130\].

Each campaign finance report must set forth the amount of cash on hand
at the beginning of the reporting period \[131\]; for the reporting
period and election, the total amount of all receipts and an itemized
list of all of the following categories, together with the total of all
receipts in each category: contributions from individuals \[132\];
contributions from political committees \[133\]; for a candidate's
campaign committee, the candidate's contribution or promise of personal
monies, including loans guaranteed by the candidate \[134\]; all other
loans \[135\]; rebates, refunds, and other offsets to operating
expenditures \[136\]; dividends, interest, and other forms of receipts
\[137\]; and the value of in-kind contributions \[138\].

Each campaign finance report must also identify each individual who
makes any contribution during the period covered by the report whose
total contribution\[s\] for that election have an aggregate amount
exceeding \$25, together with the date and amount of the contributions
\[139\]; each political committee that makes a contribution during the
period covered by the report together with the date and amount of the
contribution \[140\]; each person who makes a loan during the period
covered by the report, together with the identification of any endorser
or guarantor of the loan and the amount endorsed or guaranteed by each,
and the date and amount of the loan \[141\]; each person who provides
any rebate, refund, or other offset to operating expenditures during the
period covered by the report, together with the date and amount of the
receipt \[142\]; and each person who provides a dividend, interest, or
other receipt during the period covered by the report, together with the
date and amount of the receipt \[143\].

For the reporting period and election, the total amount of all
disbursements \[144\] and an itemized list of all disbursements in the
following categories together with the total of all disbursements in
each category: expenditures, other than a contract, promise, or
agreement to make an expenditure resulting in an extension of credit,
made to meet committee operating expenses \[145\]; transfers to other
political committees \[146\]; for a candidate's committee, the repayment
of loans made or guaranteed by the candidate \[147\]; repayment of all
other loans \[148\]; refunds of contributions received and other offsets
to contributions \[149\]; loans made by the reporting political
committee \[150\]; the value of in-kind contributions received \[151\];
independent expenditures, together with information otherwise required
of those making independent expenditures \[152\]; and any other
disbursements \[153\].

The report must also include the name and address of each recipient of
an expenditure made during the period, and the identification number of
any political committee receiving a disbursement, together with the
date, amount of expenditure, an clear description of the item or
services purchased \[154\]. Reports must also supply an itemized account
of campaign debts and extensions of credit owed by the candidate or
political committee, and that remain outstanding, including the name and
address of the obligee or creditor, the amount owed, whether the amount
is certain or estimated (and on what basis), and the purpose of the
obligation \[155\]; and the total sum of all receipts, together with the
total receipts less offsets, and the total sum of all disbursements,
together with the total disbursements, less offsets, for both the period
covered by the report and the election \[156\].

A committee acting in support of or opposition to the qualification,
passage, or defeat of an initiative, referendum, or other ballot
measure, question, or proposition must give special notice to the
Secretary of State of any contribution or group of contributions to the
committee from a single source less than 20 days before the day of the
election if it exceeds \$10,000 for a statewide ballot measure,
question, or proposition \[157\]; \$2,500 for nonstatewide legislation
in a political subdivision with a population of 100,000 or more \[158\];
and \$500 for nonstatewide legislation in a political subdivision with a
population of fewer than 100,000 \[159\]. Special notice is also
required the first time that a committee receives contributions totaling
\$10,000 or more \[160\], makes expenditures of \$10,000 or more
\[161\]; receives contributions of \$10,000 or more from a single source
\[162\]; or receives contributions of \$1,000 or more from different
additional sources \[163\]. The notice must be filed within 24 hours,
excluding Saturdays, Sundays, and legal holidays, after the contribution
is received, and must include the identification of the contributor,
date of the receipt, and amount of the contribution \[164\].

An independent expenditure report must contain the name and address of
any person to whom an independent expenditure was made \[165\]; the date
and amount of the independent expenditure \[166\]; the purpose of the
independent expenditure, including a description of what was purchased
\[167\]; the name of each candidate whose election was advocated by the
expenditure, and, for each such candidate, the office sought and year of
election \[168\]; the names, occupations, employers, and amount
contributed by each of the three contributors that contributed the most
money within the preceding six months (and, if any other contributor
contributed the same amount, that must also be reported), and, if any of
these contributors is a political committee, the names, occupations, and
employers of the committee's chairman and treasurer must also be
disclosed \[169\]; and a certification, under penalty of perjury,
stating whether or not the claimed independent expenditure was made in
cooperation, consultation, or concert with or at the request or
suggestion of any candidate or campaign committee or agent of that
candidate \[170\].

A political committee that makes independent expenditures for literature
or an advertisement relating to any one candidate or office within 10
days before the day of any election to which the expenditures relate,
must send, by certified mail, a copy of the item to each candidate named
or otherwise referred to in the material 24 hours before depositing it
at the post office for mailing, submitting it to a telecommunications
system for broadcast, or submitting it to a newspaper for printing
\[171\].

A standing political committee files only with the Secretary of State,
and must file electronically \[172\]. Reports are due June 30 for the
period beginning January 1 and ending May 31 \[173\], with a
pre-election report due for each consolidated election as required for
other political committees \[174\] 12 days before any election complete
through the 20th day before the election \[175\]. A post-election report
is also due after each consolidated election as required for other
political committees \[176\] 30 days after any election complete through
the 20th day after the election \[177\]. An annual report is due by
January 31 in the year immediately following the calendar year that is
the subject of the report \[178\].

A political committee may terminate only when the committee chair and
treasurer file a written statement with the appropriate filing officer
certifying that it will no longer receive any contributions or make any
disbursements, that the committee has no outstanding debts or
obligations, and that any surplus monies have been properly disposed of,
together with a statement of the manner of disposition of the surplus,
the name and address of each recipient of surplus funds and the amount
of each such disposition \[179\]. No further campaign reports are
required to be filed, but no receipts or disbursements are permitted
without a new statement of organization being filed \[180\], but it may
terminate in one jurisdiction and remain active in other jurisdictions
under certain conditions \[181\].

**C. Reporting by Clean Elections Candidates and Committees and those
Making Independent Expenditures in Such Elections.** Any person who
makes independent expenditures related to a particular office
cumulatively exceeding \$500 in an election cycle, and any independent
expenditure by an organization arising from a communication directly to
the organization's members, shareholders, employees, affiliated persons,
and subscribers, must file reports with the Secretary of State so
indicating, identifying the office and the candidate or group of
candidates whose election or defeat is being advocated, and stating
whether the person is advocating election or advocating defeat \[182\].
Any person who has previously reached the threshold for filing an
original report must file a supplemental report each time previously
unreported independent expenditures exceeds \$1,000 \[183\]. Any person
who has previously reached the dollar amounts specified for
nonparticipating candidates for filing an original report shall file a
supplemental report to declare that previously unreported expenditures
or contributions specified by that paragraph exceed (1) 10% of the
original primary election spending limit or \$25,000, whichever is
lower, before the general election period, or (2) 10% of the original
general election spending limit or \$25,000, whichever is lower, during
the general election period \[184\]. Reports are filed at the times
specified for other committees, and must identify the dollar amount
being reported, the candidate, and the date \[185\].

Any person who must file an original report for independent expenditures
or must file a supplemental report for previously unreported amounts
files a report on the first of each month before the beginning of the
primary election period, unless the person has not reached the dollar
amount for filing an original or supplemental report on that date
\[186\], then on any Tuesday by which the person has reached the dollar
amount for filing an original or supplemental report \[187\]; and,
during the last two weeks before the primary election and the last two
weeks before the general election, a report must be filed within one
business day of reaching the dollar amount for filing an original or
supplemental report \[188\].

A candidate not participating in the clean elections funding must file
all required reports, including filing reports with the Secretary of
State indicating whenever expenditures other than independent
expenditures on behalf of the candidate, from the beginning of the
election cycle to any date up to primary election day, exceed 70% of the
original primary election spending limit applicable to a participating
candidate seeking the same office \[189\], or contributions to a
candidate, from the beginning of the election cycle to any date during
the general election period, less expenditures made from the beginning
of the election cycle through primary election day, exceed 70% of the
original general election spending limit applicable to a participating
candidate seeking the same office \[190\].

**D. Provisions for Deadlines.** Generally, all statements,
designations, and reports sent to the filing officer by certified mail
are deemed filed on the date of the postmark, except if the date for
filing any report is a Saturday, Sunday, or another legal holiday, the
filing deadline is the next day that is not a Saturday, Sunday, or
another legal holiday; all other filings are deemed filed on the date of
actual receipt by the appropriate filing officer \[191\].

FAX transmission of reports is not permitted \[192\].

**E. Electronic Reporting.** Arizona offers electronic filing on a
voluntary basis using state-proprietary filing software \[193\].

All statements, designations, and reports required to be filed with the
Secretary of State in electronic format must be filed using computer
software provided or approved by the Secretary \[194\]. A statement,
designation, or report filed in electronic format is deemed to be filed
under penalty of perjury if the printed format version of that document
is required to be filed under penalty of perjury \[195\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Political Parties Trust Fund**. A political parties trust fund is
established with the state treasurer, consisting of contributions from
individuals designating a portion of their income tax refund to the
fund, and interest accruing to the fund \[196\].

Payments are distributed quarterly to the state parties on the basis of
the parties designated by taxpayers to receive the contributions
\[197\]. The state deducts from the fund costs specifically attributable
to listing a political party on the tax return form, which costs are
deducted from that party's proceeds \[198\], and administrative costs,
which are divided and deducted equally from the amounts distributable to
the parties \[199\]. If the amount to be deducted exceeds the amount in
the fund for a party, the excess deduction is carried forward as a
liability of that party until paid \[200\].

**B. Citizens Clean Elections Act.** The Citizens Clean Elections Act is
a campaign finance reform measure that was initiated by Arizona citizens
and passed by voters in 1998.

The Act created a new campaign financing system that provides full
public funding to qualified candidates who agree to abide by Citizens
Clean Elections Commission guidelines. Candidates for statewide offices
(governor, secretary of state, state treasurer, attorney general,
superintendent of public instruction, corporation commissioner or mine
inspector) and legislative offices (house of representatives and senate)
are eligible to participate in the public funding program. Although
public funding is available only to "participating candidates" who
choose to certify and qualify for such funding, the Act significantly
impacts "nonparticipating candidates," those candidates running their
campaigns the traditional way, by imposing lower contribution limits and
new reporting requirements.

The 2000 election was the first election in which statewide and
legislative office candidates could run an election, voluntarily, under
the Act.

**B.1. Qualifying Contributions.** During the qualifying period, the
period beginning on the first day of August in a year preceding an
election, for an election for a statewide office, or on the first day of
January of an election year, for an election for legislator, and ending
seventy‑five days before the day of the general election \[201\], a
participating candidate may collect qualifying contributions, which must
be paid to the Clean Elections Fund \[202\]. To qualify as a qualifying
contribution, a contribution of \$5 \[203\] must be made by a qualified
elector \[204\], who at the time of the contribution is registered in
the electoral district of the office the candidate is seeking and who
has not given another qualifying contribution to that candidate during
that election cycle \[205\]; made by a person who is not given anything
of value in exchange for the qualifying contribution \[206\]; and is
received unsolicited during the qualifying period or solicited during
the qualifying period by a person who is not employed or retained by the
candidate and who is not compensated to collect contributions by the
candidate or on behalf of the candidate \[207\].

If the qualifying contribution is made by check or money order, it must
be made payable to the candidate's campaign committee, or if in cash, it
must be deposited in the candidate's campaign committee account \[208\]
and be accompanied by a three‑part reporting slip that includes the
printed name, registration address, and signature of the contributor,
the name of the candidate for whom the contribution is made, the date,
and the printed name and signature of the solicitor \[209\]. A copy of
the reporting slip must be given as a receipt to the contributor, and
another copy retained by the candidate's campaign committee \[210\].

A qualifying contribution form that includes the original signature, in
ink, of the contribution must accompany each qualifying contribution
submitted to the Secretary of State, so obtaining an entirely electronic
qualifying contribution is not possible \[211\]. Candidates may post on
their web sites a solicitation for qualifying contributions and may post
the qualifying contribution form for web site visitors to download or
print out \[212\]. Candidates doing so must direct the contributor to
print out a copy of the form, complete it, return the completed form
with the \$5 contribution, and keep a copy of the qualifying
contribution form for themselves \[213\]. Upon receipt of a mail
contribution that includes a single‑part, original qualifying
contribution form, the candidate must then photocopy the mailed‑in form
and retain the copy, with the original qualifying contribution form
submitted to the Secretary of State along with all other qualifying
contribution forms and the sum of the qualifying contributions \[214\].

**B.2. Limits on Early Contributions.** A participating candidate may
accept early contributions only from individuals and only during the
exploratory period and the qualifying period \[215\]. A contributor may
not give, and a participating candidate may not accept, contributions
from a contributor exceeding \$110 during an election cycle \[216\].
Early contributions to a participating candidate from all sources for an
election cycle may not exceed \$40,000 for a candidate for governor,
and, for other candidates, 10% of the sum of the original primary
election spending limit and the original general election spending limit
\[217\]. Qualifying contributions are not included in determining these
limits \[218\].

Early contributions and the candidate's personal funds may be spent only
during the exploratory period and the qualifying period, and any early
contributions not spent by the end of the qualifying period must be paid
to the fund \[219\]. If a participating candidate has a debt from an
election campaign in this state during a previous election cycle in
which the candidate was not a participating candidate, then, during the
exploratory period only, the candidate may accept, in addition to early
contributions, certain limited additional contributions \[220\], or may
exceed the limit on personal funds \[221\], provided that such
contributions and monies are used solely to retire such debt \[222\].

**B.3. Certification as a Participating Candidate.** A candidate who
seeks to be certified as a participating candidate must, before the end
of the qualifying period, file an application with the Secretary of
State, in a form specified by the Citizens Clean Elections Commission
\[223\]. The application must identify the candidate, the office that
the candidate plans to seek, and the candidate's party, if any, and
contain the candidate's signature, under oath, certifying that the
candidate has complied with the limits on contributions and expenditures
during the election cycle to date \[224\]. The certification must also
affirm that the candidate's campaign committee and exploratory committee
have filed all campaign finance reports required during the election
cycle to date and that they are complete and accurate \[225\]; and that
the candidate will comply with the limits on contributions and
expenditures during the remainder of the election cycle and,
specifically, will not accept private contributions \[226\].

The Commission is required to act on the application within one week.
Unless, within that time, the Commission denies an application and
provides written reasons that all or part of a certification is
incomplete or untrue, the candidate must be certified as a participating
candidate \[227\]. If the Commission denies an application for failure
to file all complete and accurate campaign finance reports or failure to
make the certification regarding future compliance, the candidate may
reapply within two weeks of the Commission's decision by filing complete
and accurate campaign finance reports and another sworn certification
\[228\].

**B.4. Qualification for Clean Campaign Funding.** A candidate who has
applied for certification may also apply to receive funds from the
citizens clean elections fund, instead of receiving private
contributions \[229\]. To receive any clean campaign funding, the
candidate must present to the Secretary of State no later than one week
after the end of the qualifying period a list of names of persons who
have made qualifying contributions on behalf of the candidate, divided
by county \[230\]. At the same time, the candidate must tender to the
Secretary of State the original reporting slips for persons on the list
and an amount equal to the sum of the qualifying contributions
collected, which are then deposited by the Secretary of State into the
fund \[231\].

The Secretary of State must select a random sample of five percent of
the number of non‑duplicative names on the list and forward facsimiles
of the selected reporting slips to the county recorder for the counties
of the addresses specified in the selected slips \[232\]. Within 10
days, the county recorders must provide a report to the Secretary of
State identifying as disqualified any slips that are unsigned or undated
or that the recorder is unable to verify as matching a person who is
registered to vote, on the date specified on the slip, inside the
electoral district of the office the candidate is seeking \[233\]. The
Secretary of State then multiplies the number of valid slips by 20, and
if the result is greater than 110% of the quantity required, must
approve the candidate for funds, and if the result is less than 90% of
the quantity required, must deny the application for funds \[234\].
Otherwise, the Secretary of State must forward facsimiles of all of the
slips to the county recorders for verification, and the county recorders
must check all slips in the same manner as the sample \[235\].

To qualify for clean campaign funding, a candidate must be approved as a
participating candidate \[236\], and have obtained 200 qualifying
contributions for a candidate for legislature (\$1,000) \[237\]; 500 for
candidate for mine inspector (\$2,000) \[238\]; 1,500 for a candidate
for treasurer, superintendent of public instruction, or corporation
commission (\$7,500) \[239\]; 2,500 for a candidate for secretary of
state or attorney general (\$12,500) \[240\]; or 4,000 for a candidate
for governor (\$20,000) \[241\].

To qualify for clean campaign funding, a candidate must also either be
an independent candidate \[242\], or, to qualify for funding for a party
primary election, a candidate must have properly filed nominating papers
and nominating petitions with signatures in the primary of a political
organization entitled to continued representation on the official ballot
\[243\]. To qualify for clean campaign funding for a general election, a
candidate must be a party nominee of such a political organization
\[244\].

Write‑in candidates may not qualify for clean campaign funding for the
primary election \[245\]. If a write‑in candidate for the primary
election becomes the party nominee for the general election and meets
all of the other qualifications to become a participating candidate,
then the write‑in candidate may qualify for clean campaign funding for
the general election \[246\].

**B.5. Controls on Participating Candidates' Campaign Accounts.** A
participating candidate must conduct all financial activity through a
single campaign account of the candidate's campaign committee, and may
not make any deposits into the campaign account other than those
permitted as early contributions and qualifying contributions \[247\]. A
candidate may designate other persons with authority to withdraw funds
from the candidate's campaign account, and the candidate and any person
so designated must sign a joint statement under oath promising to comply
with the requirements of this Act \[248\].

Funds from a participating candidate's campaign account must be
disbursed directly to the person providing goods or services to the
campaign, but a committee may establish one or more petty cash accounts,
which, in the aggregate, may not exceed \$1,000, and no single
expenditure made from a petty cash account may exceed \$100 \[249\].

**B.6. Clean Campaign Funding.** At the beginning of the primary
election period, the Clean Election Commission must make disbursements
from the Clean Elections Fund to the campaign account of each candidate
who qualifies for clean campaign funding \[250\].

Funding is as follows: for a candidate who qualifies for clean campaign
funding for a party primary election, an amount equal to the original
primary election spending limit \[251\]; for an independent candidate
who qualifies for clean campaign funding, an amount equal to 70% of the
sum of the original primary election spending limit and the original
general election spending limit \[252\]; or for a qualified
participating candidate who is unopposed for an office in that
candidate's primary, in the primary of any other party, and by any
opposing independent candidate, an amount equal to \$5 multiplied by the
number of qualifying contributions for that candidate certified by the
Commission \[253\].

**SPENDING LIMITS**

> Participating Candidate
>
> Primary Gen'l Election Minimum Maximum Maximum
>
> Spending Spending Qualifying Early Candidate
>
> Limits Limits Contributions Contributions Contributions

Governor \$409,950 \$614,930 \$ 20,000 \$ 42,440 \$ 1,060

Sec. of State \$ 86,310 \$129,460 \$ 12,500 \$ 21,220 \$ 1,060

Att'y General \$ 86,310 \$129,460 \$ 12,950 \$ 21,220 \$ 1,060

Treasurer \$ 86,310 \$129,460 \$ 12,950 \$ 21,220 \$ 1,060

Sup't of Public

Instruction \$ 43,150 \$ 64,730 \$ 7,500 \$ 10,610 \$ 1,060

Corporation

Comm' \$ 43,150 \$ 64,730 \$ 7,500 \$ 10,610 \$ 1,060

Mine Inspector \$ 21,580 \$ 32,370 \$ 2,500 \$ 5,310 \$ 1,060

Legislature \$ 10,790 \$ 16,180 \$ 1,000 \$ 2,650 \$ 530

At any time after the January 1 of an election year, any candidate who
has met the requirements for clean campaign funding may sign and cause
to be filed a nomination paper with a nominating petition and
signatures, instead of filing such papers after the earliest time set
for filing, and after such a filing and verification of the signatures,
the Commission must pay the requisite amount of financing immediately,
rather than waiting for the beginning of the primary election period
\[254\].

At the beginning of the general election period, the Commission pays
from the fund to the campaign account of each candidate who properly
qualifies for clean campaign funding for the general election, the
original general election spending limit \[255\].

At the beginning of the general election period, the Commission must pay
from the fund to the campaign account of a qualified participating
candidate who has not received funds and who is unopposed by any other
party nominee or any opposing independent candidate an amount equal to
\$5 multiplied by the number of qualifying contributions for that
candidate certified by the Commission \[256\].

A special original general election spending limit, for a candidate who
has received funds is equal to the amount that the Commission is
obligated to pay to that candidate \[257\].

If a participating candidate is properly replaced under law, and the
replacement candidate files the proper oath with the Secretary of State,
the campaign account of the participating candidate may be transferred
to the replacement candidate and the Commission certifies the
replacement candidate as a participating candidate \[258\].

If the replacement candidate does not file such an oath, the campaign
account is liquidated and all remaining monies returned to the fund
\[259\].

If an adjusted spending limit reaches three times the original spending
limit for a particular election, then the Commission may not pay any
further amounts from the fund to the campaign account of any
participating candidate, and the spending limit is not adjusted further
\[260\].

**B.7. Equal Funding of Candidates.** When, during a primary election
period, a report is filed, or other information comes to the attention
of the Commission, indicating that a nonparticipating candidate who is
not unopposed in that primary has made expenditures during the election
cycle to date exceeding the original primary election spending limit,
including any previous adjustments, the Commission is required to
immediately pay from the fund to the campaign account of any
participating candidate in the same party primary as the
nonparticipating candidate an amount equal to any excess of the reported
amount over the primary election spending limit, as previously adjusted,
and the primary election spending limit for all such participating
candidates must be adjusted by increasing it by the amount that the
Commission is obligated to pay to a participating candidate \[261\].
Similar adjustments are required under similar circumstances in a
general election period \[262\].

For purposes of the additional payments and adjustment of spending
limits, independent expenditures against a participating candidate are
treated as expenditures of each opposing candidate, for primaries or
contributions to each opposing candidate, for general elections \[263\];
independent expenditures in favor of one or more nonparticipating
opponents of a participating candidate are treated as expenditures of
those nonparticipating candidates, for primary purposes, or
contributions to those nonparticipating candidates, for general election
purposes \[264\]; independent expenditures in favor of a participating
candidate are treated, for every opposing participating candidate, as
though the independent expenditures were an expenditure of a
nonparticipating opponent, for primary purposes, or a contribution to a
nonparticipating opponent, for general election purposes \[265\].

Expenditures made during the primary election period by or on behalf of
an independent candidate or a nonparticipating candidate who is
unopposed in a party primary are treated as though made during the
general election period, and equalizing funds pursuant must be paid at
the start of the general election period \[266\]. Expenditures made
before the general election period that consist of a contract, promise,
or agreement to make an expenditure during the general election period
resulting in an extension of credit are treated as though made during
the general election period, and equalizing funds must be paid at the
start of the general election period \[267\]. Expenditures for or
against a participating candidate promoting or opposing more than one
candidate who are not running for the same office are to be allocated by
the Commission among candidates for different offices based on the
relative size or length and relative prominence of the reference to
candidates for different offices \[268\].

Upon applying for citizen funding, a participating candidate for
legislature in a one‑party‑dominant legislative district -- a district
in which the number of registered voters registered in the party with
the highest number of registered voters exceeds the number of registered
voters registered to each of the other parties by an amount at least as
high as 10% of the total number of voters registered in the district
\[269\] -- who is qualified for clean campaign funding for the party
primary election of the dominant party may choose to reallocate a
portion of funds from the general election period to the primary
election period \[270\]. At the beginning of the primary election
period, the Commission must pay from the fund to the campaign account of
a participating candidate who makes this choice an extra amount equal to
50% of the original primary election spending limit, and the original
primary election spending limit for the candidate who makes this choice
is increased by the extra amount \[271\]. For a primary election in
which one or more participating candidates have made this choice, funds
may be paid only to the extent of any excess over the original primary
election spending limit as so increased \[272\].

If a participating candidate who makes this choice becomes qualified for
clean campaign funding for the general election, the amount the
candidate receives at the beginning of the general election period is
reduced by the extra amount received at the beginning of the primary
election period, and the original general election spending limit for
that candidate shall be reduced by the extra amount \[273\]. For a
general election in which a participating candidate has made this
choice, funds may be paid only to the extent of any excess over the
original general election spending limit, without such a reduction,
unless the candidate who has made this choice is the only participating
candidate in the general election, in which case such funds may be paid
to the extent of excess over the original general election spending
limit with such reduction \[274\].

If an adjusted spending limit reaches three times the original spending
limit for a particular election, then the Commission may not pay any
further amounts from the fund to the campaign account of any
participating candidate, and the spending limit may not be adjusted
further \[275\].

If the Commission cannot provide participating candidates with all
monies specified under law, as decreased by any reduction announcements,
then the Commission must allocate any reductions in payments
proportionately among candidates entitled to funding and declare an
emergency \[276\]. A declaration of an emergency allows a participating
candidate to accept private contributions to bring the total monies
received by the candidate from the fund and from such private
contributions up to the adjusted spending limits, as decreased by any
announcement about reductions in payments \[277\].

**B.8. Contribution and Expenditure Limits.** A participating candidate
may not accept any contributions, other than a limited number of \$5
qualifying contributions, early contributions, and contributions under
the emergency situation provision \[278\]; may not make expenditures of
more than a total of \$500 of the candidate's personal monies for a
candidate for legislature or more than \$1,000 for a candidate for
statewide office \[279\]; may not make expenditures in the primary
election period in excess of the adjusted primary election spending
limit \[280\]; and may not make expenditures in the general election
period in excess of the adjusted general election spending limit
\[281\].

A nonparticipating candidate may not accept contributions in excess of
an amount that is 20% less than the contribution limits \[282\].

A candidate, whether participating or nonparticipating, may not make any
expenditure in the primary or general election period exceeding an
agreed‑upon amount lower than spending limits otherwise applicable by
statute \[283\].

**B.9. Sources of Clean Elections Funding.** A taxpayer who files on a
state income tax return form may designate a \$5 voluntary contribution
per taxpayer to the fund by marking an optional check‑off box on the
first page of the form, and receive a \$5 reduction in the amount of
tax, and \$5 from the amount of taxes paid is transferred by the
department of revenue to the fund \[284\]. Any taxpayer may make a
voluntary donation to the fund by designating the fund on an income tax
return form filed by the individual or business entity or by making a
payment directly to the fund, with a taxpayer making such a donation
receiving a dollar‑for‑dollar tax credit not to exceed 20% of the tax
amount on the return or \$500 per taxpayer, whichever is higher \[285\].

Beginning January 1, 1999, an additional surcharge of 10% was imposed on
all civil and criminal fines and penalties, to be deposited into the
fund \[286\]. Beginning on January 1, 1999, a \$100 annual fee was
imposed for the fund on all registered lobbyists representing one or
more persons in connection with a commercial or for‑profit activity,
except public bodies or non‑profit entity predominately composed of, or
acting on behalf of, a trade association or other grouping of commercial
or for‑profit entities \[287\].

All civil penalties collected with respect to violations of clean
elections contribution, expenditure, or reporting are deposited into the
fund \[288\].

**B.10. Caps on Spending from Citizens Clean Elections Fund.** The
Commission may not spend, on all costs during a particular calendar
year, more than \$5 multiplied by the number of Arizona resident
personal income tax returns filed during the previous calendar year
\[289\].

**VI. TAX PROVISIONS**

**A. Deductions.** Arizona allows a deduction of not more than \$100
(\$200 for a joint return) from taxable income for a contribution to or
for the use of a candidate for an Arizona state, county, or local
elective office, or federal elective office, in a primary, general, or
special election conducted within the state \[290\]; an organization or
committee organized exclusively to support one or more candidates for
such an election \[291\]; or an Arizona state committee of a political
party which qualifies for the ballot \[292\].

**B. Designation of Refund to Political Parties.** Arizona permits an
individual taxpayer to designate an amount of the taxpayer's refund on
the taxpayer's individual income tax return form as a voluntary
contribution to the political parties trust fund \[293\]. The taxpayer
may choose among contribution amounts of two, five, or ten dollars
listed on the form to be designated to a qualified political party
\[294\]. The taxpayer may also donate any amount to the fund, in lieu of
or in addition to the designated portion of the refund \[295\].

**C. Clean Elections Tax Reduction.** A taxpayer who files on a state
income tax return form may designate a \$5 voluntary contribution per
taxpayer to the fund by marking an optional check‑off box on the first
page of the form, and receive a \$5 reduction in the amount of tax, and
\$5 from the amount of taxes paid is transferred by the Department of
Revenue to the fund \[296\]. Any taxpayer may make a voluntary donation
to the fund by designating the fund on an income tax return form filed
by the individual or business entity or by making a payment directly to
the fund, with a taxpayer making such a donation receiving a
dollar‑for‑dollar tax credit not to exceed 20% of the tax amount on the
return or \$530 per taxpayer, whichever is higher \[297\].

The Commission advises taxpayers not to claim the dollar‑for‑dollar tax
credit as a charitable contribution on their federal tax return form
until the Internal Revenue Services has issued a formal ruling on the
matter \[298\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Reporting and Recordkeeping.** All records required to be
maintained for reporting purposes must be preserved by the committee
treasurer for three years after the filing of the campaign finance
report covering the receipts and disbursements evidenced by the records
\[299\].

**B. Disposition of Surplus Funds for Non-Clean Elections Candidates.**
Surplus funds may be retained for use in a subsequent political
campaign, which includes a transfer by a candidate's campaign committee
to that candidate's campaign committee designated for a subsequent
election \[300\]; returned to the contributor to the extent records are
available permitting the return \[301\]; contributed to a county, state,
or local party committee \[302\]; donated to a charitable organization
that qualifies under Internal Revenue Code § 501(c)(3) \[303\]; in the
case of a political committee other than a candidate's committee,
donated to a candidate's campaign committee if the contribution is
within the contribution limitations \[304\]; or donated to a political
committee other than a candidate's committee \[305\]; or disposed of in
any other lawful manner \[306\]. Surplus funds may not be transferred to
a different candidate or campaign committee under the control of a
different candidate \[307\]. Surplus funds may not be used for or
converted to the personal use of a candidate or any person related to
the candidate by blood or marriage, although this does not preclude the
repayment of a loan made by a candidate to his or her campaign \[308\].

**C. Disposition of Surplus Funds for Clean Elections Candidates.** At
the end of the primary election period, a participating candidate who
has received clean campaign funding must return to the fund all monies
in the candidate's campaign account above an amount sufficient to pay
any unpaid bills for expenditures made during the primary election
period and for goods or services directed to the primary election
\[309\]. At the end of the general election period, a participating
candidate must return to the fund all monies in the candidate's campaign
account above an amount sufficient to pay any unpaid bills for
expenditures made before the general election and for goods or services
directed to the general election \[310\].

A participating candidate must pay all uncontested and unpaid bills
referenced in this section no later than 30 days after the primary or
general election, and make monthly reports to the Commission concerning
the status of the dispute over any contested bills \[311\]. Any monies
in a candidate's campaign account after payment of bills must be
returned promptly to the fund \[312\].

**VIII. OFFENSES AND PENALTIES**

**A. Offenses and Penalties for Non-Clean Elections Candidates.** A
violation of the campaign finance law is generally subject to a civil
penalty of not more than \$1,000, unless another penalty is specifically
prescribed \[313\].

A person who makes any required statement and knowingly misrepresents or
misstates or knowingly fails to fully disclose the facts as to any
contribution, loan, or promise received, or any expenditure made and
required to be reported is guilty of a class 6 felony \[314\]. If a
person is a candidate, his or her name shall not appear on the primary,
general, or special election ballot \[315\]. If the primary ballot is
printed before conviction, the candidate's name shall not appear on the
ballot at the ensuing general election, and if the general or special
election ballot is printed before conviction, he or she shall be denied
the right to hold office, if elected \[316\]. If elected to an office in
the general or special election, he or she shall not hold the office
\[317\].

Candidates and committees that file reports after the deadlines are
subject to a mandatory \$10 a day penalty for each day the report is
late, including Saturdays, Sundays, and holidays, to a maximum of \$540
\[318\]. If the candidate or committee fails to file the report within
15 days of receiving written notice from the filing office of the
failure to file, an order of compliance is issued by the proper legal
authority \[319\], and the penalty increases to \$25 for each day the
report is not filed, to a limit of \$1,000 \[320\]. Candidates who fail
to file may be barred for candidacy for five years from the date the
last report was due \[321\].

Certain violations relating to statements of organization and committee
designation may be subject to a civil penalty of three times the amount
of money or equivalent involved \[322\]. Recordkeeping violations may be
subject to a civil penalty of three times the amount of money or
equivalent involved \[323\].

A person who makes a contribution in the name of another person or who
knowingly permits his or her name to be used to effect such a
contribution, and any person who knowingly accepts a contribution made
by one person in the name of another may be found guilty of a class 6
misdemeanor \[324\]. Any other knowing violation of the contribution
limitations is a class one misdemeanor, while an unknowing violation
carries a civil penalty of up to three times the amount of the illegal
amount in question \[325\].

A standing political committee that is late in filing three or more
times is no longer eligible for consolidated filing \[326\].

A violation of the advertising disclosure requirement by those making
independent expenditures is subject to a civil penalty of up to three
times the cost of the literature or advertisement \[327\]. Similar
penalties attach to the failure to provide a required recipient with a
"last-minute" independent expenditure ad within 24 hours before
distribution \[328\].

A violation of exploratory committee contribution or expenditure
limitations is punishable by a fine of up to three times the amount of
money involved \[329\].

An employer who is found guilty of political intimidation of his or her
employees, whether acting in an individual capacity or as an officer or
agent of a corporation, is guilty of a class 1 misdemeanor \[330\]. A
corporation or labor organization which violates the prohibitions on
contributions by such entities is guilty of a class 2 misdemeanor
\[331\]. The person through whom such a violation is effected is guilty
of a class 6 felony \[332\].

The attorney general may assess a \$1,000 civil fine on violators of the
provisions on contributions during legislative sessions \[333\].

**B. Offenses and Civil Penalties for Clean Elections Candidates.** The
civil penalty for a violation of any contribution or expenditure limit
by or on behalf of a participating candidate is 10 times the amount by
which the expenditures or contributions exceed the applicable limit
\[334\].

In addition to any other penalties imposed by law, the civil penalty for
a violation by or on behalf of any candidate of any clean elections
reporting requirement is \$100 per day for candidates for the
legislature and \$300 per day for candidates for statewide office
\[335\]. These penalties will be doubled if the amount not reported for
a particular election cycle exceeds 10% of the adjusted primary or
general election spending limit, but such a penalty may not exceed twice
the amount of expenditures or contributions not reported \[336\]. The
candidate and the candidate's campaign account are jointly and severally
responsible for any such penalty \[337\].

Any campaign finance report filed indicating a violation of clean
elections contribution or expenditure limits involving an amount in
excess of 10% of the sum of the adjusted primary election spending limit
and the adjusted general election spending limit for a particular
candidate results in disqualification of a candidate or forfeiture of
office \[338\].

Any participating candidate adjudged to have committed a knowing
violation of clean elections contribution or expenditure limits must
repay from the candidate's personal monies to the fund all monies
expended from the candidate's campaign account and turn over the
candidate's campaign account to the fund \[339\].

**C. Offenses and Criminal Penalties for Clean Elections Candidates.** A
candidate, or any other person acting on behalf of a candidate, who
knowingly violates contribution or expenditure limits may be found
guilty of a class 1 misdemeanor \[340\]. Any person who knowingly pays
any thing of value or any compensation for a qualifying contribution may
be found guilty of a class 1 misdemeanor \[341\]. Any person who
knowingly provides false or incomplete information on a clean elections
report may be found guilty of a class 1 misdemeanor \[342\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State serves as the filing
officer for candidates for state offices and members of the legislature
and for a statewide initiative or referendum \[343\]. The Secretary of
State must provide computer software to accommodate electronic filings
and implement and maintain a system for the electronic collection,
filing, and dissemination of all materials filed \[344\].

Upon request of the Secretary of State, a candidate or committee is to
provide an itemized list of contributions and disbursements to support
an expenditure shown in its itemized reports \[345\].

The Secretary of State must certify that a political committee meets the
conditions of contribution amounts and distribution upon proper
application, and provide the committee with written certification
\[346\]. The Secretary of State is also responsible for certifying
candidates \[347\] for clean election financing and handling certain
deposits in the Clean Election Fund \[348\], must immediately notify the
Clean Election Commission of the filing of each report, and deliver a
copy of the report to the Commission \[349\].

Every two years, the Secretary of State is required to modify assorted
dollar values under the Clean Elections Fund to account for inflation
\[350\]. In addition, the Secretary must make a similar inflation
adjustment by modifying certain other dollar values to the nearest
dollar \[351\]. Every two years, the Secretary of State must also change
the primary election and general election spending limit dollar values
in proportion to the change in the number of Arizona resident personal
income tax returns filed during the previous calendar year \[352\].

The Secretary of State is authorized to advise incumbent and
non-incumbent candidates with regard to the campaign finance laws, and,
upon request, log requests and responses \[353\], and to publish
handbooks and rules necessary to implement the provisions relating to
contributions to the governor and members of the legislature during
regular legislative sessions and when regular session legislation is
pending executive approval or veto \[354\].

If the Secretary of State has reasonable cause to believe that a person
is violating the provisions relating to contributions during sessions,
the secretary must notify the attorney general \[355\].

Unless another penalty is specified, if the Secretary of State has
reasonable cause to believe that a person is violating any of the
campaign finance provisions, the secretary is to notify the attorney
general of a violation involving a statewide office or the legislature,
the county attorney for a violation regarding a county office, or the
city or town attorney for a violation regarding a city or town office
\[356\].

**B. Attorney General.** Upon the request of the attorney general, a
candidate or campaign committee shall provide an itemized list of
contributions and disbursements to support an expenditure shown in its
required reports \[357\]. The attorney general is empowered to enforce
the campaign financing provisions through civil and criminal actions in
any election for state office, members of the legislature, justices of
the supreme court, judges of the court of appeals, or statewide
initiative or referendum \[358\].

Any qualified elector may file a complaint with the attorney general in
which a violation of the contribution limitations is believed to have
occurred, and the complaint must be investigated for possible criminal
or civil action \[359\]. If the attorney general fails to institute an
action within 45 working days after receiving such a complaint, the
individual filing the complaint may bring a civil action in his or her
own name and at his or her own expense, with the same effect as if
brought by the attorney general \[360\]. The individual must execute a
bond payable to the defendant if the individual fails to prosecute the
action successfully \[361\]. Costs and attorney fees are to be awarded
to the prevailing party \[362\].

If the Secretary of State or another filing officer refers a matter to
the attorney general under the provisions relating to contributions
during legislative sessions or other violations, the attorney general
may serve an order on the person requiring compliance \[363\]. The order
must state with reasonable particularity the nature of the violation,
and require compliance within 20 days from the date of issuance of the
order \[364\]. The alleged violator has 20 days from the date of
issuance of the order to request a hearing \[365\].

If a person does not request a hearing and fails to take corrective
action within the time specified in the compliance order, or, if after
the hearing the person fails to take corrective active in compliance
with an order issued after the hearing specified in the order, the
attorney general must issue an order assessing a civil penalty of not
more than \$1,000, with the person who is alleged to have violated the
compliance order afforded 30 days from the date of issuance of the
assessment to request a hearing \[366\].

**C. County, City, or Town Attorney.** The city or town attorney is
empowered to enforce the campaign financing provisions through civil and
criminal actions in any election for town, city, or county office;
community college district governing board; judge, or a town, city, or
county initiative or referendum \[367\].

Any qualified elector may file a complaint with the county attorney of
the county in which a violation of the contribution limitations is
believed to have occurred, and the complaint must be investigated for
possible criminal or civil action \[368\]. If the county attorney fails
to institute an action within 45 working days after receiving such a
complaint, the individual filing the complaint may bring a civil action
in his or her name and at his or her own expense, with the same effect
as if brought by the county attorney \[369\]. The individual must
execute a bond payable to the defendant if the individual fails to
prosecute the action successfully \[370\]. Costs and attorney fees are
to be awarded to the prevailing party \[371\].

If the Secretary of State refers a matter to the city, county, or town
attorney under the provisions relating to other violations of the law,
the attorney may serve an order on the person requiring compliance
\[372\]. The order must state with reasonable particularity the nature
of the violation, and require compliance within 20 days from the date of
issuance of the order \[373\]. The alleged violator has 20 days from the
date of issuance of the order to request a hearing \[374\].

If a person does not request a hearing and fails to take corrective
action within the time specified in the compliance order, or, if after
the hearing the person fails to take corrective active in compliance
with an order issued after the hearing specified in the order, the
attorney must issue an order assessing a civil penalty of not more than
\$1,000, with the person who is alleged to have violated the compliance
order afforded 30 days from the date of issuance of the assessment to
request a hearing \[375\].

**D. Department of Revenue.** Before December 31 of each year, the
department of revenue determines its costs in administering the
political party income tax checkoff and notifies the state treasurer of
the amount \[376\].

**E. State Treasurer.** The state treasurer serves as the trustee and
administrator of the political parties trust fund \[377\]. The state
treasurer is responsible for distributing the funds on a quarterly basis
to the parties \[378\], and for deducting administrative costs from the
payments \[379\]. The treasurer also deposits lobbyist fees into the
Clean Elections Fund \[380\], and administers the fund \[381\]. The
treasurer is also responsible for returning excess funds as projected by
the Commission \[382\].

**F. Auditor General.** The auditor general is required by law to review
the monies in, payments into, and expenditures from the fund no less
often than every four years \[383\].

**G. The Department of Revenue.** The department of revenue has the
responsibility for transfer to the Clean Elections Fund all donations
made under the tax law \[384\]. The department of revenue must provide a
space, identified as the clean elections fund tax credit, on the first
page of income tax return forms, for donations \[385\].

**H. County Recorders.** County recorders are responsible for assistance
in the verification of the qualifying contribution forms, and, in the
verification process, they are required to disqualify qualifying
contribution forms if the slip is unsigned by the contributor, is not
dated, or the county recorder is unable to verify as matching a person
who is registered to vote, on the date specified on the slip, inside the
electoral district of the office the candidate is seeking \[386\]. The
county recorders also help the Clean Elections Commission in developing
a procedure for including, with ballots mailed to electors casting early
ballots and sample ballots, a document or section of a document having a
space of predefined size for a message chosen by each candidate \[387\].

**I. Citizens Clean Election Commission.** The Citizens Clean Elections
Commission consists of five members, and no more than two members of the
Commission may be members of the same political party; no more than two
members of the Commission may be residents of the same county; and no
one may be appointed as a member who does not have a voter's
registration continuously recorded for at least five years immediately
preceding appointment with the same political party or as an independent
\[388\].

The commission on appellate court appointments is required by statute to
nominate candidates for vacant commissioner positions "who are committed
to enforcing this article in an honest, independent, and impartial
fashion and to seeking to uphold public confidence in the integrity of
the electoral system" \[389\]. Each candidate must be a qualified
elector who has not, in the previous five years in this state, been
appointed to, been elected to, or run for any public office, including
precinct committeeman, or served as an officer of a political party
\[390\].

Initially, the commission on appellate court appointments was to
nominate five slates, each having three candidates, before January 1,
1999. No later than February 1, 1999, the governor was required to
select one candidate from one of the slates to serve on the for a term
ending January 31, 2004; the highest‑ranking official holding a
statewide office who is not a member of the same political party as the
governor was to select one candidate from another one of the slates to
serve for a term ending January 31, 2003; the second‑highest‑ranking
official holding a statewide office who is a member of the same
political party as the governor was to select one candidate from one of
the three remaining slates to serve for a term ending January 31, 2002;
the second‑highest‑ranking official holding a statewide office who is
not a member of the same political party as the governor was to select
one candidate from one of the two remaining slates to serve for a term
ending January 31, 2001; and, finally, the third‑highest‑ranking
official holding a statewide office who is a member of the same
political party as the governor was to elect one candidate from the last
slate to serve on the commission for a term ending January 31, 2000
\[391\]. One commissioner is be appointed for a five‑year term beginning
February 1 of every year beginning with the year 2000 by the governor,
and the governor highest‑ranking official holding a statewide office who
is not a member of the same political party as the governor shall
alternate filling such vacancies \[392\].

Members of the Commission may be removed by the governor, with
concurrence of the senate, for substantial neglect of duty, gross
misconduct in office, inability to discharge the powers and duties of
office, or violation of the law, after written notice and opportunity
for a response \[393\]. If a commissioner does not complete his or her
term of office for any reason, the commission on appellate court
appointments is to nominate one slate of three candidates as soon as
possible in the first thirty days after the commissioner vacates his or
her office and a replacement selected from the slate within 30 days of
nomination of the slate by the highest‑ranking official holding a
statewide office who is a member of the political party of the official
who nominated the commissioner who vacated office \[394\]. The
replacement serves as commissioner for the unexpired portion of the term
\[395\].

The commissioners elect a chair to serve for each calendar‑year period
from among their members whose terms expire after the conclusion of that
year \[396\], and three commissioners constitute a quorum \[397\], and a
vacancy or vacancies does not impair the right of the remaining members
to exercise all of the powers of the board \[398\].

A member of the Commission may serve no more than one term and is not
eligible for reappointment \[399\]. A commissioner, during his or her
tenure, or for three years after, may not seek or hold any other public
office, serve as an officer of any political committee, or employ or be
employed as a lobbyist \[400\].

The Commission appoints an executive director who may not be a member of
the Commission and who serves at the pleasure of the Commission \[401\].

The Commission I required to develop, in consultation with the county
recorders, a procedure for including, with ballots mailed to electors
casting early ballots and with sample ballots, a document or section of
a document having a space of predefined size for a message chosen by
each candidate \[402\].

The Commission also sponsor debates among candidates, in a manner as
determined by the Commission, and it must require participating
candidates to attend and participate in debates and may specify
penalties for nonparticipation \[403\].

The Commission must prescribe forms for required reports, statements,
notices, and other documents \[404\]; prepare and publish instructions
setting forth methods of bookkeeping and preservation of records to
facilitate compliance and explaining the duties of persons and
committees \[405\]; produce a yearly report describing the Commission's
activities, any recommendations for changes of law, administration, or
funding amounts, and accounting for monies in the fund \[406\]; and
adopt rules to implement the reporting requirements \[407\].

The Commission is charged with approving or denying clean elections
funding based on whether the candidate meets the other requirements of
the Act \[408\].

The Commission must also enforce the provisions of the Clean Elections
Act; ensure that money from the fund is placed in candidate campaign
accounts or otherwise spent as specified; monitor reports filed and
financial records of candidates as needed to ensure that equalization
monies are paid promptly to opposing qualified candidates; and ensure
that money required to be paid to the fund is deposited in the fund
\[409\].

The Commission may subpoena witnesses, compel their attendance and
testimony, administer oaths and affirmations, take evidence, and require
by subpoena the production of any books, papers, records, or other items
material to the performance of its duties or the exercise of its powers
\[410\].

Based on the results of the elections in the year 2002 or any
quadrennial election thereafter, and within six months after such
election, the Commission is authorized to adopt rules changing the
number of qualifying contributions required for any office from those
specified by law \[411\] by no more than 20% of the number applicable
for the preceding election \[412\].

Based on the results of the elections in the year 2002 or any
quadrennial election thereafter, and within six months after such
election, the Commission is authorized to adopt rules in a public
meeting reallocating funds available to all candidates between the
primary and general elections by selecting a fraction for primary
election spending limits that is between 33% and 50% of the spending
limits for the election as a whole \[413\]. For each office, the primary
election spending limit must be modified to be the sum of the primary
and general spending limits times the selected fraction, and the general
election spending limit modified to be the same sum times one less the
selected fraction \[414\].

If the Commission finds that there is reason to believe that a person
has violated any provision of this article, the Commission must serve on
that person an order stating with reasonable particularity the nature of
the violation and requiring compliance within 14 days \[415\]. During
that period, the alleged violator may provide any explanation to the
commission, comply with the order, or enter into a public administrative
settlement with the Commission \[416\]. Upon expiration of the 14 days,
if the Commission finds that the alleged violator remains out of
compliance, the Commission shall make a public finding to that effect
and issue an order assessing a civil penalty, unless the Commission
publishes findings of fact and conclusions of law

expressing good cause for reducing or excusing the penalty \[417\]. The
violator has fourteen days from the date of issuance of the order
assessing the penalty to appeal to the superior court \[418\].

Any candidate in a particular election contest who believes that any
opposing candidate has violated the Act in that election may file a
complaint with the Commission requesting that action be taken, and if
the Commission fails to make a finding within 30 days after the filing
of such a complaint, the candidate may bring a civil action in the
superior court to impose civil penalties \[419\].

#  {#section-1 .unnumbered}

# References

1\. ARSA § 16‑901(5)

2\. ARSA § 16‑901(5)(a)(I)

3\. ARSA § 16‑901(5)(a)(ii); Opinions of the

Arizona Attorney General (hereafter Op.

Att'y Gen.) No. I00-007 (2000)

4\. ARSA § 16‑901(5)(a)(iii)

5\. ARSA § 16-901(5)(a)(iv)

6\. ARSA § 16-901(5)(b)(I)

7\. ARSA § 16‑901(5)(b)(iv)

8\. ARSA § 16‑901(5)(b)(vi)

9\. ARSA § 16‑901(5)(b)(ii)

10\. ARSA § 16‑901(5)(b)(iii)

11\. ARSA § 16‑901(5)(b)(vi)

12\. ARSA § 16‑901(5)(b)(vii)

13\. ARSA § 16‑901(5)(b)(vii)

14\. ARSA § 16‑901(5)(b)(viii)

15\. ARSA § 16‑901(5)(b)(ix)

16\. ARSA § 16‑901(5)(b)(x)

17\. ARSA § 16‑901(5)(b)(xi)

18\. ARSA § 16‑901(5)(b)(xii)

19\. ARSA § 16‑901(5)(b)(xiii)

20\. ARSA § 16-904(c)

21\. ARSA § 16-904(D)(1)

22\. ARSA § 16-904(G)

23\. ARSA § 16-907(A)

24\. ARSA § 16-907(B)

25\. ARSA § 16-907(c)

26\. ARSA § 16‑905(G)

27\. ARSA § 16‑905(H)

28\. ARSA § 16‑905(H)

29\. ARSA § 16‑905(I)(6); An earlier version

of this section has been interpreted to

prohibit individuals or committees from

collecting earmarked contributions from

members of a group and passing the

contributions on as individual

contributions. Op. Att'y Gen. No. R86-

171 (1987) at 16

30\. ARSA § 16‑919(A)

31\. ARSA § 16‑919(B)

32\. ARSA § 16‑919(F)(1)

33\. ARSA § 16-920(3); Op. Att'y Gen.

No. R76‑26 (1976) at 147

34\. ARSA § 16‑921(A)(1)

35\. ARSA § 16‑921(A)(2)

36\. ARSA § 16‑921(A)(3)

37\. ARSA § 16-921(B)

38\. ARSA § 16‑921(C)

39\. ARSA § 16‑921(C)

40\. ARSA § 16-921(B)

41\. ARSA § 16‑921(D)

42\. ARSA § 16‑921(D)

43\. ARSA § 16‑921(E)

44\. ARSA § 16‑921(F)

45\. ARSA § 16‑921(G)

46\. ARSA § 16‑921(H)

47\. ARSA § 16‑1012(A)(1)

48\. ARSA § 16‑1011(A)(2)

49\. ARSA § 16‑905(A)(1)

50\. ARSA § 16‑905(A)(2)

51\. ARSA § 16‑905(A)(3)

52\. ARSA § 16‑905(B)(1)

53\. ARSA § 16‑905(B)(2); *see,* Op. Att'y

Gen. No. R86-171 (1987) at 2

54\. ARSA § 16‑905(B)(3)

55\. ARSA § 16-905(K)(3)

56\. ARSA § 16‑905(C)

57\. ARSA § 16‑905(C)

58\. ARSA § 16‑905(C); *see,* Op. Att'y

Gen. No. R86-171 (1987) at 6 *et seq*.

59\. ARSA § 16‑905(E); *see,* Op. Att'y

Gen. No. R86-171 (1987) at 8 *et seq.*

60\. ARSA § 16‑905(J)

61\. ARSA § 16‑905(K)(1); *see,* Op. Att'y Gen.

No. I97-006 (1998)

62\. ARSA § 16‑905(K)(2)

63\. ARSA § 16-901(14)

64\. ARSA § 16-905(F)(4)

65\. ARSA § 16-901(18)

66\. ARSA § 16-905(F)(1)(a)(c)

67\. ARSA § 16‑905(F)(2)(a);16-905(P)

68\. ARSA §§ 16‑905(F)(1)(a), (F)(2)(a)

69\. ARSA § 16-905(F)(1)(b)(c)

70\. ARSA § 16-905(F)(2)(b)

71\. ARSA § 16-905(F)(3)(c)

72\. ARSA § 16-906(A)

73\. ARSA § 16-906(B)

74\. ARSA § 16-906(B)

75\. ARSA § 16-906(D)

76\. ARSA § 16-906(c)

77\. ARSA § 16-906(c)

78\. ARSA § 16-906(c)

79\. Rules of the Supreme Court, Rule 81

(hereafter Rules) Canon 5A(1)(c)

80\. Rules Canon 5B(1)(b)

81\. Rules Canon 5B(2)

82\. ARSA § 41-1234.01(A)(1)

83\. ARSA § 41-1234.01(A)(2)

84\. Op. Att'y Gen. No. I00-008 (2000)

85\. ARSA § 16‑901(8)

86\. ARSA § 16‑901(8)(a)

87\. ARSA § 16‑901(8)(b)

88\. ARSA § 16‑901(8)(c)

89\. ARSA § 16‑901(8)(d)

90\. ARSA § 16‑901(8)(e

91\. ARSA § 16‑902(B)

92\. ARSA § 16-902(A)

93\. ARSA § 16-902(C)

94\. ARSA § 16‑903(A)

95\. ARSA § 16‑920(A)

96\. ARSA § 16‑920(A)(1)

97\. ARSA § 16‑920(A)(2)

98\. ARSA § 16‑920(A)(3)

99\. ARSA § 16‑920(B)

100\. ARSA § 16‑920(A)(4)

101\. ARSA § 16-912(B)

102\. ARSA § 16-912(D)

103\. ARSA § 16-912(B)

104\. ARSA § 16‑903(A)

105\. ARSA § 16‑903(B)

106\. ARSA § 16‑903(C)

107\. ARSA § 16-902.01(A)

108\. ARSA § 16-901(23)

109\. ARSA § 16-902.01(E)

110\. ARSA § 16-902.01(B)(1)

111\. ARSA § 16-902.01(B)(2)

112\. ARSA § 16-902.01(B)(3)

113\. ARSA § 16-902.01(B)(4)

114\. ARSA § 16-902(B)

115\. ARSA § 16-902.01(B)(5)

116\. ARSA § 16-902.01(D)

117\. ARSA § 16-902.02

118\. ARSA § 16-916(A); *Van Riper*

*v. Threadgill*, 905 P.2d 589

(Ariz.App.Div. 1 1995)

119\. ARSA § 16-916(A)

120\. ARSA § 16-916(A)

121\. ARSA § 16‑913(B)(1)

122\. ARSA § 16‑913(B)(2)

123\. ARSA § 16‑913(B)(3)

124\. ARSA § 16-913(c)

125\. ARSA § 16-913(D)

126\. ARSA § 16-913(G)

127\. ARSA § 16-913(E)

128\. ARSA § 16-913(E)

129\. ARSA § 16-913(F)

130\. ARSA § 16-913(F)

131\. ARSA § 16-915(A)(1)

132\. ARSA § 16-915(A)(2)(a)

133\. ARSA § 16-915(A)(2)(b)

134\. ARSA § 16-915(A)(2)(c)

135\. ARSA § 16-915(A)(2)(d)

136\. ARSA § 16-915(A)(2)(e)

137\. ARSA § 16-915(A)(2)(f)

138\. ARSA § 16-915(A)(2)(g)

139\. ARSA § 16-915(A)(3)(a)

140\. ARSA § 16-915(A)(3)(b)

141\. ARSA § 16-915(A)(3)(c)

142\. ARSA § 16-915(A)(3)(d)

143\. ARSA § 16-915(A)(3)(e)

144\. ARSA § 16-915(A)(4)

145\. ARSA § 16-915(A)(4)(a)

146\. ARSA § 16-915(A)(4)(b)

147\. ARSA § 16-915(A)(4)(c)

148\. ARSA § 16-915(A)(4)(d)

149\. ARSA § 16-915(A)(4)(e)

150\. ARSA § 16-915(A)(4)(f)

151\. ARSA § 16-915(A)(4)(g)

152\. ARSA §§ 16-915(A)(4)(h); (F)

153\. ARSA § 16-915(A)(4)(i)

154\. ARSA § 16-915(A)(5)

155\. ARSA § 16-915(A)(6)

156\. ARSA § 16-915(A)(7)

157\. ARSA § 16-914.01(A)(1)

158\. ARSA § 16-914.01(A)(2)

159\. ARSA § 16-914.01(A)(3)

160\. ARSA § 16-914.01(B)(1)

161\. ARSA § 16-914.01(B)(2)

162\. ARSA § 16-914.01(B)(3)

163\. ARSA § 16-914.01(B)(4)

164\. ARSA § 16-914.01(C)

165\. ARSA § 16-915(F)(1)

166\. ARSA § 16-915(F)(2)

167\. ARSA § 16-915(F)(3)

168\. ARSA § 16-915(F)(4)

169\. ARSA § 16-915(F)(5)

170\. ARSA § 16-915(F)(6)

171\. ARSA § 16-917(A)

172\. ARSA § 16‑913(K)

173\. ARSA § 16‑913(K)(1)

174\. ARSA § 16‑913(K)(2)

175\. ARSA § 16‑913(B)(2)

176\. ARSA § 16‑913(K)(3)

177\. ARSA § 16‑913(B)(3)

178\. ARSA § 16-913(K)(4)

179\. ARSA § 16-914(A)

180\. ARSA § 16-914(A)

181\. ARSA § 16-914(C)

182\. ARSA § 16‑941(D)

183\. ARSA § 16‑958(A)

184\. ARSA §§ 16‑958(A); 16-941(B)(2)

185\. ARSA § 16‑958(A)

186\. ARSA § 16‑958(B)(1)

187\. ARSA § 16‑958(B)(2)

188\. ARSA § 16‑958(B)(3)

189\. ARSA § 16‑941(B)(2). Repayment of

a candidate loan made in a previous

election will not be deemed an expenditure

for purposes of the reporting requirement

if the repayment is made from the previous

election account. A repayment of a

candidate loan made in a previous election,

however, will be deemed an expenditure

for purposes of the reporting requirement

if the repayment is made from the current

campaign finance account. Citizens Clean

Elections Commission Substantive

Policy Statement 4 (Adopted July 25,

2000; modification adopted September 11,

2001).

190\. ARSA § 16-916(C), (D)

191\. Secretary of State, *Campaign Finance*

*Reports: Instructions for 1997-1998*

*Election Cycle"* (February 1998),

inside cover

192\. Secretary of State, *Campaign Finance*

*Reports: Instructions for 1997-1998*

*Election Cycle"* (February 1998) at 1

193\. ARSA §§ 16-916.01(A); 16-958(E)

194\. ARSA § 16-916.01(C)

195\. ARSA §§ 16-807(A); 43-612(A)

196\. ARSA §§ 16-807(B); 43-612(A)

197\. ARSA § 807(C)(1)

198\. ARSA § 807(C)(2)

199\. ARSA § 807(D)

200\. ARSA § 16‑917

201\. ARSA § 16‑961(B)(3)

202\. ARSA § 16-946(A)

203\. ARSA § 16-946(B)(3); costs associated

with accepting a qualifying contribution

via a credit card transaction must be borne

by the campaign and paid for using early

contributions or personal monies. When

submitting the qualifying contributions to

the Secretary of State, a candidate must

remit \$5 times the number of contributor

forms presented. Any and all expenses

associated with obtaining the qualifying

contributions, including credit card

processing fees, must be paid for from the

candidates' early contributions or from

personal monies. Citizens Clean Elections

Commission Substantive Policy Statement

6 (Adopted September 11, 2001).

204\. ARSA §§ 16-946 (B)(1); 16-121

205\. ARSA § 16-946(B)(1)

206\. ARSA § 16-946(B)(2); A candidate

who is interested in clean elections funding

may accept qualifying contributions during

a party where the host serves nominal

refreshments, so long as making any such

contribution is not a prerequisite to

partaking of refreshments. Citizens Clean

Elections Commission Substantive Policy

Statement 2 (April 5. 2000).

207\. ARSA§ 16-946(B)(4). Because a

qualifying contribution may be received

unsolicited during the qualifying period, a

candidate may sign the qualifying

contribution form as the solicitor. The

candidate may sign the qualifying

contribution form as the solicitor and is

accountable for all of the responsibilities

of a solicitor. Citizens Clean Elections

Commission Substantive Policy Statement 3 (June 20, 2000; modifications

adopted September 11, 2001).

208\. ARSA § 16-946(B)(5)

209\. ARSA § 16-946(B)(6). The Commission

accepts the use of photocopies and

computer-reproduced qualifying

contribution forms that comply with the

requirements set forth in the Act. Citizens

Clean Elections Commission Substantive

Policy Statement 3 (June 20, 2000;

modifications adopted September 11,

2001).

210\. ARSA § 16-946(C)

211\. Citizens Clean Elections Commission

Substantive Policy Statement 7 (Adopted

September 11, 2001)

212\. Citizens Clean Elections Commission

Substantive Policy Statement 7 (Adopted

September 11, 2001)

213\. Citizens Clean Elections Commission

Substantive Policy Statement 7 (Adopted

September 11, 2001)

214\. Citizens Clean Elections Commission

Substantive Policy Statement 7 (Adopted

September 11, 2001)

215\. ARSA § 16-945(A)

216\. ARSA § 16-945(A)(1)

217\. ARSA § 16-945(A)(2)

218\. ARSA § 16-945(A)(3)

219\. ARSA §§ 16-945(B); 16‑941(A)(2)

220\. ARSA § 16-945(C); 16‑941(B)(1)

221\. ARSA § 16-945(C); 16‑941(A)(2)

222\. ARSA § 16-945(C)

223\. ARSA § 16-947(A)

224\. ARSA § 16-947(B)(1)

225\. ARSA § 16-947(B)(2)

226\. ARSA § 16-947(B)(3)

227\. ARSA § 16-947(C)

228\. ARSA § 16-947(C)

229\. ARSA § 16-950(A)

230\. ARSA § 16-950(B)

231\. ARSA § 16-950(B)

232\. ARSA § 16-950(C)

233\. ARSA § 16-950(C)

234\. ARSA § 16-950(C)

235\. ARSA § 16-950(C)

236\. ARSA § 16-947

237\. ARSA § 16-950(D)(1)

238\. ARSA § 16-950(D)(2)

239\. ARSA § 16-950(D)(3)

240\. ARSA § 16-950(D)(4)

241\. ARSA § 16-950(D)(5)

242\. ARSA § 16-950(E)

243\. ARSA §§ 16-950(E)(1); 16-804

244\. ARSA § 16-950(E)(2)

245\. Citizens Clean Elections Commission

Substantive Policy Statement 5 (Adopted

August 8, 2000)

246\. Citizens Clean Elections Commission

Substantive Policy Statement 5 (Adopted

August 8, 2000)

247\. ARSA §§ 16-948(A); 16‑945; 16‑946

248\. ARSA §§ 16-948(B)

249\. ARSA §§ 16-948(C)

250\. ARSA § 16-951(A)

251\. ARSA § 16-951(A)(1)

252\. ARSA § 16-951(A)(2)

253\. ARSA § 16-951(A)(3)

254\. ARSA § 16-951(D)

255\. ARSA § 16-951(D)

256\. ARSA § 16-951(D)

257\. ARSA § 16-951(D)

258\. ARSA § 16-953(D)

259\. ARSA § 16-953(D)

260\. ARSA § 16-951(E)

261\. ARSA § 16-952(A)

262\. ARSA § 16-952(B)

263\. ARSA § 16-951(C)(1)

264\. ARSA § 16-951(C)(2)

265\. ARSA § 16-951(C)(3)

266\. ARSA § 16-951(C)(4)

267\. ARSA § 16-951(C)(5)

268\. ARSA § 16-951(C)(6)

269\. ARSA § 16-951(D). The status of a district

as a one‑party‑dominant legislative district

must be determined as of the beginning of

the qualifying period.

270\. ARSA § 16-951(D)

271\. ARSA § 16-951(D)

272\. ARSA § 16-951(D)

273\. ARSA § 16-951(D)

274\. ARSA § 16-951(D)

275\. ARSA § 16-951(D)

276\. ARSA § 16-951(F)

277\. ARSA § 16-951(F). If, during the election

year, the Commission determines that

there is not enough money to fully fund

candidates, and the Commission declares

an emergency, then the Commission will

permit participating candidates to accept

private contributions that are otherwise

permitted, to bring the total monies to

the applicable spending limit. Citizens

Clean Elections Commission Substantive

Policy Statement 9 (Adopted September

11, 2001)

278\. ARSA §§ 16‑941(A)(1); 16-954(F)

279\. ARSA § 16‑941(A)(2)

280\. ARSA § 16‑941(A)(3)

281\. ARSA § 16‑941(A)(4)

282\. ARSA § 16‑941(B)(1)

283\. ARSA § 16‑941(C)(1)

284\. ARSA § 16-954(A)

285\. ARSA § 16-954(B)

286\. ARSA §§ 16-954(C); 12‑116.01

The constitutionality of this fee was

challenged in *Lavis v. Bayless*, No. CIV

99-1627 (D.Ariz. March 13, 2001)

(dismissed for lack of subject matter

jurisdiction), and *May v. Bayless*, No. CV

2001-006078, Slip Opinion (Mar. Cnty.

Super. Ct. December 21, 2001), in which

the surcharge on criminal and civil fines

was upheld. The case was on appeal at the

end of 2001.

287\. ARSA § 16‑944. The constitutionality of

this fee was challenged in *Lavis v.*

*Bayless*, No. CIV 99-1627 (D.Ariz. March

13, 2001) (dismissed for lack of subject

matter jurisdiction), and *May v. Bayless*,

No. CV 2001-006078, Slip Opinion (Mar.

Cnty. Super. Ct. December 21, 2001), in

which the surcharge on lobbyists was

found unconstitutional. The case was on

appeal at the end of 2001.

288\. ARSA § 16-949(E)

289\. ARSA § 16-949(A). Tax reductions and tax

credits awarded to taxpayers are not to

be considered costs for purposes of this

section, and the Commission may exceed

this limit during a calendar year, provided

that it is offset by an equal reduction of the

limit during another calendar year during

the same four‑year period beginning

January 1 immediately after a

gubernatorial election, ARSA § 16-949(A).

290\. ARSA § 43‑1059(1)

291\. ARSA § 43‑1059(2)

292\. ARSA § 43‑1059(3)

293\. ARSA § 43-612(A)

294\. ARSA § 43-612(A)

295\. ARSA § 43-612(C)

296\. ARSA § 16-954(A)

297\. ARSA § 16-954(B)

299\. Citizens Clean Elections Commission

Substantive Policy Statement 10

(Adopted September 11, 2001)

299\. ARSA § 16‑915.01(C)

300\. ARSA § 16‑915.01(A)(1)

301\. ARSA § 16‑915.01(A)(2)

302\. ARSA § 16-915.01(A)(3)

303\. ARSA § 16‑915.01(A)(4)

304\. ARSA § 16‑915.01(A)(5)

305\. ARSA § 16‑915.01(A)(6)

306\. ARSA § 16‑915.01(A)(7)

307\. Op. Att'y Gen. No. R86-171 (1987)

at 4

308\. ARSA § 915.01(B)

309\. ARSA § 16-953(A)

310\. ARSA § 16-953(B)

311\. ARSA § 16-953(C)

312\. ARSA § 16-953(D)

313\. ARSA § 924(B)

314\. ARSA § 16‑912

315\. ARSA § 16‑912

316\. ARSA § 16‑912

317\. ARSA § 16‑912

318\. ARSA § 16‑918(B)

319\. ARSA § 16‑918(C)

320\. ARSA § 16‑918(C)

321\. ARSA § 16‑918(F)

322\. ARSA § 16-903(F)

323\. ARSA § 16-904(J)

324\. ARSA § 16-907(A)

325\. ARSA § 16‑905(J)

326\. ARSA § 16-918(G)

327\. ARSA § 16-912(E)

328\. ARSA § 16-917(D)

329\. ARSA § 16-904(G)

330\. ARSA § 16‑1012(B)

331\. ARSA § 16-919(C)

332\. ARSA § 16-919(D)

333\. ARSA § 41-1237.01(B)

334\. ARSA § 16-942(A)

335\. ARSA § 16-942(B)

336\. ARSA § 16-942(B)

337\. ARSA § 16-942(B)

338\. ARSA § 16-942(C)

339\. ARSA § 16-942(D)

340\. ARSA § 16-943(A)

341\. ARSA § 16-942(B)

342\. ARSA §§ 16-942(C); 16‑958

343\. ARSA § 16‑916

344\. ARSA § 16-916.01(A)

345\. ARSA § § 16‑903(C); 16‑904(B)

346\. ARSA § 16‑905(I)

347\. The Secretary of State has the power to

deny funding if the number of qualified

slips falls below a certain percentage of the

required quantity. Similarly, the Secretary

of State will approve funding if the number

of qualified slips is above a specific

percentage of the slips required. Op. Att'y

Gen. No. I01-005 (2001)

348\. ARSA §§ 16-950(B), (C)

349\. ARSA § 16-958(D)

350\. ARSA §§ 16-959(A); 16-905(j);

adjustments are to be made to §§

16‑941(A)(2), (D); 16‑942(B); 16‑944;

16‑945(A)(1), (2); 16‑948(C); 16‑954(B);

16‑955(G); and 16‑961(G), (H).

351\. ARSA §§ 16-959(A); 16‑949(A);

16‑954(A)

352\. ARSA §§ 16-959(A); 16‑961(G), (H)

353\. ARSA § 41-1239(4)

354\. ARSA § 41-1239(1)

355\. ARSA § 41-1237.01(A)

356\. ARSA § 16-924(A)

357\. ARSA § § 16‑903(C); 16‑904(B);

16‑905(L)

358\. ARSA § 16‑1021

359\. ARSA § 16‑905(L)

360\. ARSA § 16‑905(M)

361\. ARSA § 16‑905(M)

362\. ARSA § 16‑905(M)

363\. ARSA §§ 41-1237.01(A); 16-924(A)

364\. ARSA §§ 41-1237.01(A); 16-924(A)

365\. ARSA §§ 41-1237.01(A); 16-924(A)

366\. ARSA §§ 41-1237.01(B); 16-924(B)

367\. ARSA § 16‑1021

368\. ARSA § 16‑905(L)

369\. ARSA § 16‑905(M)

370\. ARSA § 16‑905(M)

371\. ARSA § 16‑905(M)

372\. ARSA § 16-924(A)

373\. ARSA § 16-924(A)

374\. ARSA § 16-924(A)

375\. ARSA § 16-924(B)

376\. ARSA § 16-807(C)

377\. ARSA § 16-807(A)

378\. ARSA § 16-807(B)

379\. ARSA §§ 16-807(C); 43-612(B)

380\. ARSA § 16-944(A)

381\. ARSA § 16-949(D)

382\. ARSA § 16-954(D)

383\. ARSA § 16-944(D)

384\. ARSA §§ 16-954(A), (B)

385\. ARSA § 16-954(B)

386\. Citizens Clean Elections Commission

Substantive Policy Statement 3 (June 20,

2000; modifications adopted September

11, 2001)

387\. ARSA § 16-956(A)(1)

388\. ARSA § 16‑955(A)

389\. ARSA § 16‑955(B). The nomination

authority of the commission on appellate

court appointments was found to be

unconstitutional in *Citizens Clean*

*Elections Comm'n v. Myers*, 1 P.3d 706

(Ariz. 2000), but this was not found to be

fatal to the appointments, as the Supreme

Court found that the governor could

make appointments that comport to the

spirit of the law without such nominations.

1P.3d . 706 at 712-13.

390\. ARSA § 16‑955(B); *see*, *Citizens Clean*

*Elections Comm'n v. Myers*, 1 P.3d 706

(Ariz. 2000)

391\. ARSA § 16‑955(C)

392\. ARSA § 16‑955(D)

393\. ARSA § 16‑955(E)

394\. ARSA § 16‑955(F)

395\. ARSA § 16‑955(F)

396\. ARSA § 16‑955(H)

397\. ARSA § 16‑955(H)

398\. ARSA § 16‑955(F)

399\. ARSA § 16‑955(I)

400\. ARSA § 16‑955(I)

401\. ARSA § 16‑955(J)

402\. ARSA § 16‑956(A)(1)

403\. ARSA § 16‑956(A)(2). The Commission

must invite and permit nonparticipating

candidates to participate in the debates.

ARSA § 16‑956(A)(2).

404\. ARSA § 16‑956(B)(1)

405\. ARSA § 16‑956(B)(2)

406\. ARSA § 16‑956(B)(3)

407\. ARSA § 16‑956(B)(4)

408\. Op. Att'y Gen. No. I01-005 (2001)

409\. ARSA § 16‑956(B)(5)

410\. ARSA § 16‑956(C)

411\. ARSA § 16‑950(D)

412\. ARSA § 16‑950(E)

413\. ARSA § 16‑956(B)

414\. ARSA § 16‑956(B)

415\. ARSA § 16‑957(A)

416\. ARSA § 16‑957(A)

417\. ARSA §§ 16‑957(B); 16‑942

418\. ARSA §§ 16‑957(B); 12-7( 6)

419\. ARSA § 16‑957(C)

**CAMPAIGN FINANCE LAW**

**IN ARKANSAS**

***[NOTE]{.underline}**:* *Arkansas law had limited contributions to
\$1,000 per candidate per election for state constitutional offices,
supreme court, and court of appeals, and \$300 for all other offices
\[1\]. A successful 1996 initiative reduced the contribution limits to
\$300 and \$100 respectively \[2\]. These limits were challenged and the
court found the \$300 limit for statewide offices to not be so large as
to suggest coercive influence, and ruled that the limit violated
contributors' First Amendment freedom of speech rights without a
compelling state interest to so limit the contributions \[3\]. As a
result, the limits were set at \$1,000 per candidate per election for
state constitutional offices, supreme court, and court of appeals, and
\$300 for all other offices \[4\]. However, on June 4, 1998, the U.S.
8th Circuit Court of Appeals reaffirmed the lower court ruling and went
further, striking down the \$300 and \$100 limits, and also voiding the
1990 law limiting contributions to political action committees to \$200
annually\[5\]. The limits on general contributions thus return to
\$1,000.*

**I. INTRODUCTION**

Arkansas requires all candidates and persons acting on their behalf to
file contribution and expenditure reports if certain thresholds of
contributions or expenditures are met. During an election year,
candidates for state and state district office are required to file
monthly reports of contributions and expenditures, a pre‑election report
no later than seven days before an election, and a final report within
30 days after the end of the month in which an election was held.
Contributions by any persons other than a candidate contributing to the
candidate's own campaign are limited to \$1,000 per candidate per
election. Political parties are limited to \$2,500 per candidate per
election. Cash contributions are limited to \$100, anonymous
contributions must be less than \$50 per year from any one donor, and
contributions may not be made in the name of another. Arkansas offers
income tax credits for certain contributions to candidate campaigns.
Local jurisdictions are authorized to impose their own reasonable
contribution limits and voluntary expenditure laws. The Secretary of
State and the Arkansas Ethics Commission are responsible for overseeing
the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a direct or
indirect advance, deposit, or transfer of funds, contract, or obligation
whether or not legally enforceable, payment, gift, subscription,
assessment, payment for services, dues, advancement, forbearance, loan,
or a pledge or promise of money or anything of value, whether or not
legally enforceable, to a candidate, committee, or holder of elective
office, made for the purpose of influencing the nomination or election
of any candidate \[6\].

A contribution includes the purchase of tickets for events such as
dinners, luncheons, rallies, and similar fundraising events; the
granting of discounts or rebates by television and radio stations and
newspapers not extended on an equal basis to all candidates for the same
office; and any payments for the services of any person serving as an
agent of a candidate or committee by a person other than the candidate
or committee, or persons whose expenditures the candidate or committee
must report under the Political Practices Act \[7\]. A contribution also
include any transfer of anything of value received by a committee from
another committee \[8\].

A contribution does not include uncompensated, unreimbursed volunteer
personal services or travel \[9\], activity sponsored and funded by
organized political parties to promote their candidates or nominees
through events such as dinners, luncheons, rallies, or similar
gatherings; or nonpartisan activity designed to encourage individuals to
register to vote, or to vote, or any communication by any membership
organization to its members or stockholders, if the membership
organization is not organized primarily for the purpose of influencing
the nomination for election, or election to any public office \[10\].

**B. Limitations on Contribution Amounts.** A candidate for public
office, or any person acting in the candidate's behalf, may not accept
campaign contributions in excess of \$1,000 per election (in which the
candidate's name appears on the ballot) from any person \[11\], nor may
any person make such a contribution which, in the aggregate, exceeds
\$1,000 per election \[12\]. A state political party may, however,
contribute up to \$2,500 to the campaign of its respective candidate per
election \[13\]. A candidate may accept a campaign contribution or
contributions up to the maximum amount (of \$1,000) from any prospective
contributor for each election in, whether opposed or unopposed \[14\].

A candidate who runs unopposed in the primary may not accept a \$1,000
contribution for the primary election and a \$1,000 contribution for the
general election from the same contributor \[15\]. Campaign
contributions received prior to the primary by a candidate who does not
yet have an opponent in that election should be reported as
contributions for the primary election, and if the candidate does not
draw an opponent in the primary election, contributions which received
prior that election would count toward the \$1,000 contribution limit
applicable to the general election \[16\].

Whenever an individual provides his or her dependent child with funds
and the child uses those funds to make a contribution to a candidate,
the contribution is attributed to such person for purposes of the
contribution limits \[17\]. The limitations do not apply to a
candidate's own contribution from his or her personal funds, nor to
personal loans made by a financial institution to the candidate and
applied to his or her campaign \[18\].

Arkansas recognizes three types of political action committees, an
approved political action committee, a small donor political action
committee, and a prohibited political action committee \[19\].

A candidate, or any person acting on the candidate's behalf, is
prohibited from accepting a contribution from a prohibited political
action committee, and a prohibited political action committee may not
make a contribution to a candidate for public office \[20\]. An approved
political action committee includes any person who receives
contributions from one or more persons in order to make contributions to
candidates \[21\], does not accept any contribution or cumulative
contributions in excess of \$5,000 from any person in any calendar year
\[22\], and has been registered under law for at least four continuous
months prior to making contributions to candidates \[23\]. An approved
political action committee does not include an organized political
party, the candidate's own campaign committee, or an exploratory
committee \[24\]. A prohibited political action committee means any
person who receives contributions from one or more persons in order to
make contributions to candidates, but who does not meet the requirements
of an approved political action committee \[25\]. A small donor
political action committee is a person who receives contributions from
one or more individuals in order to make contributions to candidates
\[26\], does not accept any contributions aggregating more than \$25
from any individual in any calendar year \[27\], and properly registers
under the law \[28\]. A small donor political action committee does not
include an organized political party, the candidate's own campaign
committee, or an exploratory committee \[29\]. A small donor political
action committee may contribute no more than \$1,000 to a candidate for
election \[30\]. A political action committee generally may not make a
contribution to another political action committee \[31\].

An independent expenditure committee is any person who receives
contributions from one or more persons in order to make an independent
expenditure and is registered under law prior to making expenditures
\[32\]. An independent expenditure is any expenditure which is not a
contribution and expressly advocates the election or defeat of a clearly
identified candidate for office \[33\]; and is made without arrangement,
cooperation, or consultation between any candidate, or any authorized
committee or agent of such candidate, and the person making the
expenditure or any authorized agent of that person \[34\]; and is not
made in concert with, or at the request or suggestion of, any candidate,
or any authorized committee or agent of the candidate \[35\]. While the
law states that an independent expenditure committee may not accept a
contribution or cumulative contributions in excess of \$500 in value
from any person in any calendar year, this statute has been found
unconstitutional \[36\].

**C. Limitations on Nature of Contributions.** No campaign contribution
in excess of \$100 may be made or received in cash \[37\]. All
contributions in behalf of a campaign activity, other than in-kind
contributions, in excess of \$100 must be made by a written instrument
containing the name of the donor and the name of the payee \[38\]. No
campaign contribution may be made to a candidate, a political action
committee, an exploratory committee, or a political party unless it is
made directly to the intended recipient committee \[39\]. No
contribution may be made to, or knowingly accepted by, a candidate or
his or her campaign committee, a political action committee, an
exploratory committee, or a political party unless the contribution is
made in the name by which the person is identified for legal purposes
\[40\]. No person may make an anonymous contribution in support of or in
opposition to a candidate or campaign committee totaling \$50 or more in
a calendar year \[41\]. Any such contribution may not be kept by the
intended recipient, but must be promptly paid by the recipient to the
Secretary of State of Arkansas for deposit in the state treasury as
general revenues \[42\].

A candidate is generally prohibited from using his or her campaign funds
to make a contribution to a political party \[43\].

A campaign contribution may not be made by an individual who is not a
citizen of the United States, or by any other entity which is not
created under the laws of the United States or which does not have its
principal place of business in the United States \[44\].

A contribution may be received from a federal campaign committee \[45\].

**D. Limitations on Timing of Contributions.** A candidate, a person
acting in the candidate's behalf, or an exploratory committee may not
solicit or accept contributions more than two years before an election
at which the candidate seeks nomination or election, although the
solicitation or acceptance of a contribution for the sole purpose of
raising funds to retire a previous campaign debt is permitted \[46\].

Arkansas law provides that a person may not promise \[47\] a
contribution to, nor may the governor, lieutenant governor, Secretary of
State, state treasurer, auditor of state, attorney general, commissioner
of state lands, or member of the general assembly, accept a contribution
during the period beginning 30 days before and ending 30 days after any
regular session of the general assembly \[48\], or during any extended
session \[49\] or special session of the general assembly \[50\], but
these provisions have been found unconstitutional.

Campaign funds may only be solicited and accepted on behalf of a
judicial candidate beginning 180 days prior to the first election in
which the individual is a candidate, and funds received prior to the
180-day limitation should be returned to the contributor \[51\]. Funds
may not be solicited or accepted more than 45 days after the last
contested election in which the candidate participates during the
election year \[52\].

**E. Limitations on Solicitations.** A judge of the municipal, circuit,
chancery, or supreme courts may not make any solicitation on behalf of
any candidate for office at any election, other than the judge's own
campaign \[53\]. A person may not assess any state employee for any
political purpose whatever, or coerce or otherwise threaten any state
employee into making a subscription or contribution for any such purpose
\[54\], or for any person to appoint or offer to appoint anyone to any
office or position of trust, or for any person to influence, attempt to
influence, or offer to influence the appointment, nomination, or
election of any person to office in consideration of the support or
assistance of the person for any candidate in any election in Arkansas
\[55\].

An officer or employee of the state division of social services, or of a
county board of public welfare may not solicit or receive, nor be
obliged to contribute or render, any service, assistance, subscriptions,
assessments, or contributions for any political purpose \[56\].

**F. Special Provision Related to Candidates Taking Payment from
Campaign.** A candidate who has an opponent may, during the campaign and
before the election, take a leave of absence without pay from his or her
primary place of employment and take campaign funds during the campaign
and before the election as personal income up to the amount of
employment income lost as a result of such leave of absence \[57\]. A
candidate who takes campaign funds during the campaign and before the
election under a leave of absence may elect to treat the campaign funds
as a loan from the campaign fund to the candidate to be paid back to the
campaign fund by the candidate \[58\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a purchase, payment,
distribution, gift, loan, or advance of money or anything of value, and
a contract, promise, or agreement to make an expenditure for the purpose
of influencing the nomination for election, or election, of any
candidate \[59\]. An expenditure does not include nonpartisan activity
designed to encourage individuals to register to vote, or vote, or any
communication by any membership organizations to its members or
stockholders, if the membership organization or corporation is not
organized primarily for the purpose of influencing the nomination or
election of any candidate \[60\].

**B. Limitations on Nature of Expenditures.** An expenditure in excess
of \$50 may not be made or received in cash \[61\]. All expenditures in
behalf of a campaign activity, other than in‑kind expenditures, in
excess of \$50 must be made by a written instrument containing the name
of the donor and the name of the payee \[62\], although the payment of
filing fees in any amount may be made in cash if the candidate obtains a
receipt for the payment and reports it as a campaign expenditure \[63\].
Payment of filing fees from the candidate's personal funds does not
count toward the threshold for triggering the reporting requirements
\[64\].

A candidate may not take any campaign funds as personal income \[65\].
Personal use is defined as fulfilment of a commitment, obligation, or
expense of any person that would exist irrespective of the candidate's
campaign or responsibilities as an officeholder \[66\]. Campaign funds
may not be used to pay personal expenses \[67\]. Expenses considered
personal expenses *per se* include: household food items and supplies
\[68\]; most clothing other than clothing of nominal value imprinted
with campaign logos or slogans \[69\]; mortgage, rent, and utility
payments \[70\]; Membership dues, fees, or other gratuitous payments to
nonpolitical organizations, other than charities \[71\]; donations and
contributions to churches \[72\].

Generally, campaign funds may not be used to make a contribution to
another candidate's campaign \[73\]. Contributions are construed as a
personal matter and transferring a contribution from one campaign to
another person's campaign is considered a "personal use" of the funds
\[74\]. However, this general rule is a rebuttable presumption, and at
certain times and under certain circumstances, a candidate may attend a
fund raiser for another candidate and the purpose of attending would be
to further the candidate's own campaign, and buying a ticket to the fund
raiser would be permitted \[75\].

A candidate may also not take any campaign funds as income for a spouse
or dependent children, except that except that a candidate who has an
opponent may employ his or her spouse and children as campaign workers,
and any candidate who takes a leave of absence without pay from his or
her primary place of employment may take campaign funds during the
campaign and before the election as personal income, up to the amount of
income lost due to the leave of absence \[76\].

Surplus campaign funds or carryover funds given to a political party
caucus must be segregated in an account separated from other caucus
funds and may not be used by the caucus to make a campaign contribution
\[77\], or to provide an personal income to any candidate who donated
surplus campaign funds or carryover funds \[78\].

**IV. REPORTING REQUIREMENTS**

**A. Report Filing Deadlines and Filing Officers.** For each quarter
during a calendar year in which the candidate is not listed on any
ballot for election, a candidate is required to file a quarterly report
of contributions received and expenditures made during that quarter
\[79\].

During an election year, each candidate for office other than school
district, township, municipal, or county office is required to file
three types of reports: monthly reports, pre-election reports, and final
reports \[80\]. No monthly or pre-election reports are required to be
filed by a candidate who has not received in excess of \$500 in
contributions or made in excess of \$500 in expenditures, except for a
final monthly report \[81\]. When this threshold is reached, filing
begins with the first reporting period in which the contributions or the
expenditures exceed \$500 \[82\]. Reports are filed with the Secretary
of State and the county clerk of the county where the candidate resides
\[83\].

Beginning with the month of January of an election year in which the
candidate will be placed on any ballot for election, a candidate must
file a monthly report of all contributions received and expenditures
made during that month \[84\]. This does not include months in which a
preelection report is required \[85\]. Those days of that month not
included in the preelection report must be carried forward and included
in the next report \[86\].

The candidate must file the monthly report no later than 15 days after
the end of each month for which the report is filed, with the first
report filed for the month in which the candidate's cumulative
contributions exceed \$500, and the final monthly report filed within 30
days after the end of the month in which the last election is held at
which the candidate seeks nomination or election \[87\].

In the case of a special election, a candidate files monthly reports
beginning with the month in which the candidate in the special
election's total campaign contributions or expenditures exceed \$500
\[88\].

No later than seven days prior to preferential primary elections, runoff
elections, general elections, and special elections, a candidate must
file a pre-election report of all contributions received and
expenditures made between the period covered by the previous monthly
report and the period 10 days before the election \[89\].

In years where the candidate is not listed on the ballot for election,
quarterly reports must be filed for a candidate detailing all
contributions received and expenditures made during that quarter \[90\].
These reports are due within 15 days of the end of each calendar
quarter, and are not required to be filed until the candidate has
received contributions or made expenditures in excess of \$500 \[91\].

For all reports except pre-election reports, a report is timely filed if
it is either hand delivered or mailed to the Secretary of State's
office, properly addressed and mailed on or before the date on which the
report is due \[92\]. A pre-election report is timely filed if it is
received in the Secretary of State's office no later than seven days
prior to the election for which it is filed, and may be transmitted by
FAX, provided the original is received by the Secretary of State within
10 days of the date of transmission \[93\].

The Secretary of State may receive reports in a readable electronic
format which is acceptable to the Secretary of State and approved by the
Arkansas Ethics Commission \[94\].

**B. Report Contents.** Each report is to contain the total amount of
all contributions received and expenditures made during the filing
period, and detail the name and address of each person, including the
candidate, who has made a contribution in the aggregate in excess of
\$50, the contributor's principal place of business, employer,
occupation, date of the contribution, and the amount contributed \[95\].
The report must also include a description of non-money items
contributed, including volunteer service by individuals; an itemization
of all single expenditures made which exceed \$50, including the amount
of the expenditure and the name and address of any person, including the
candidate, to whom, the expenditure was made; a list of all expenditures
by category, including, but not limited to, television, radio, print,
and other advertising, direct mail, office supplies, rent, travel,
expenses, entertainment, and telephone; the total amount of all
non-itemized expenditures made during the filing period; and the current
surplus or debt of campaign funds \[96\].

Credit card expenditures must include identification of the vendor who
receives the payment from the credit card company, and note the
applicable expenditure category \[97\]. Such expenditures must also be
itemized by name of vendor, amount of payment or expense, date of
expense, and item purchased or reason for the expenditure \[98\].

The final report of the candidate must also indicate which option under
statute the candidate used to dispose of any surplus of campaign funds,
the amount of funds not disposed of by the candidate and the amount of
funds retained by the candidate \[99\].

Any personal loan made to a candidate by a financial institution which
is applied toward a candidate's campaign must be reported as a campaign
contribution \[100\], together with the name of the financial
institution, the amount of the loan, and the guarantor, if any \[101\].

**C. Registration and Reporting by Approved Political Action
Committees.** To qualify as an approved political action committee, the
committee must register with the Secretary of State within 15 days after
accepting contributions during a calendar year which, in the aggregate,
exceed \$500, with annual renewal of registration by January 15 \[102\].
The committee must verify that it will maintain for four years the name,
address, and place of employment of each person who contributed to the
committee, along with the amount contributed \[103\].

An approved political action committee must disclose the name (including
both any acronym and full name of the committee), address, and, where
available, telephone number of the committee, and the name, telephone
number, and place of employment of each of its officers \[104\]; the
professional, business, trade, labor, or other interests represented by
the committee, including any individual business, organization,
association, corporation, labor organization, or other group or firm
whose interests will be represented by the committee \[105\]; and the
name of each candidate, if any, to whom the committee contributed during
the previous calendar year, with the amount contributed and the office
sought for each candidate \[106\].

Within 15 calendar days after the end of each calendar quarter, a
political action committee is required to file a quarterly report with
the Secretary of State disclosing the total amount of contributions made
during the filing period and the cumulative amount of those totals
\[107\]; the current balance of committee funds \[108\]; the name and
address of each person who made a contribution, or contributions, to the
committee which, in the aggregate, exceeded \$500, the contributor's
place of business, employer, occupation, the date of the contribution,
the amount contributed and the total contributed for the year \[109\];
and the name and address of each candidate, if any, to whom the
committee made a contribution or contributions which, in the aggregate,
exceeded \$50 during the filing period, with the amount contributed and
the office sought for each candidate \[110\].

The total amount of expenditures made for administrative expenses must
also be reported, and, for each single expenditure which

exceeds \$100, an itemization must be made including the amount of the
expenditure, the name and address of the person to whom the expenditure
was made, and the date the expenditure \[111\].

**D. Registration and Reporting by Exploratory Committees.** An
exploratory committee is a person who receives contributions which are
held to be transferred to the campaign of a single candidate in an
election, and does not include an organized political party or the
candidate's own campaign committee \[112\]. An exploratory committee
must register with the Secretary of State within 15 days after receiving
contributions during a calendar year which, in the aggregate, exceed
\$500 \[113\].

Within 15 days after the end of each month, an exploratory committee
must file a contribution report with the Secretary of State indicating
the total amount of contributions received during the filing period
\[114\]; the name and address of each person who has made a contribution
which, in the aggregate, exceeds \$50, along with the contributor's
principal place of business, employer, occupation, and the amount
contributed \[115\]; and the total amount of expenditures made and, for
each single expenditure which exceeds \$100, an itemization including
the amount of the expenditure, the name and address of the person to
whom the expenditure was made, and the date the expenditure was made
\[116\].

The first report must be filed for the month in which the committee
files its registration, and the final report filed within 30 days after
the end of the month in which the committee either transfers its
contributions to a candidate's campaign or no longer accepts
contributions \[117\].

**E. Reporting by Independent Expenditure Committees.** A person or an
independent expenditure committee who makes independent expenditures in
an aggregate amount or value in excess of \$500 files reports with the
Secretary of State no later than 30 days prior to preferential primary
elections, general elections, and special elections covering the period
ending 35 days prior to such elections; no later than seven days prior
to preferential primary elections, runoff elections, general elections,
and special elections covering the period ending 10 days prior to such
elections; and a final report, no later than 30 days after the end of
the month in which the last election is held at which the candidate
seeks nomination or election \[118\].

In the case of an individual making such an expenditure, the reports
must include the name, address, telephone number, principal place of
business, employer, and occupation of the individual \[119\]. In the
case of a committee making such an expenditure, the name, address,
employer, and occupation of its officers must be reported \[120\]. In
the case of a person who is not an individual making such an
expenditure, the principal name of the entity, the address, and the
name, address, employer, and occupation of its officers must be
disclosed \[121\].

**F. Reporting by Political Parties.** Organized political parties must
file an annual report with the Secretary of State no later than January
15 of each year providing the name, address, employer, and occupation of
each person making contributions, along with the date and amount of each
contribution to the party which exceeded an aggregate of \$250 in the
preceding calendar year \[122\].

**G. Reporting by State Entities.** Any funds appropriated to any state
agency, board, or commission, other than State funds appropriated to any
elected officials \[123\] that are expended for the purpose of opposing
or supporting any initiative, referendum, proposed constitutional
amendment, or other measure which is submitted or intended to be
submitted to a popular vote at an election, whether or not it qualifies
for the ballot, must be reported to the Legislative Council if it
exceeds \$100 \[124\]. The use of State funds includes newspaper,
television, radio, and other forms of communication; publication
materials; travel expenses relative to reimbursement; surveys; private
contracts; and postage \[125\].

**H. Report Verification.** All reports required to be filed must be
verified by affidavit of the candidate or a person acting in the
candidate's behalf, stating that to the best of his knowledge and belief
the information disclosed is a complete, true, and accurate financial
statement of the candidate's campaign contributions or expenditures
\[126\]. The contents of a report by an approved political action
committee or an exploratory committee must be verified by an affidavit
of an officer of the committee \[127\]. An exploratory committee must
disclose on the registration form the name, address, and, where
available, telephone number of the committee and each of its officers
\[128\]. An exploratory committee must also disclose the individual who,
upon becoming a candidate, is intended to receive campaign contributions
from the committee \[129\].

Within 15 days of then end of each month, an exploratory committee must
file a contribution report with the Secretary of State indicating the
total amount of contributions received during the filing period and the
name and address of each person who has made a contribution aggregating
more than \$50, along with the contributor's principal place of
business, employer, occupation, and the amount contributed \[130\]. The
first report is to be filed for the month in which the committee files
its registration, with the final report due within 15 days after the end
of the month in which the committee either transfers its contributions
to a candidate's campaign or no longer accepts contributions \[131\].

**V. PUBLIC FINANCING**

Arkansas offers individual income tax credits for certain campaign
contributions \[132\]. A single credit against individual Arkansas
income taxes is allowed for money contributions made by the taxpayer in
a taxable year to a candidate seeking nomination or election to a public
office at an election, or to the candidate's campaign committee \[133\];
to a small donor political action committee \[134\]; to an approved
political action committee \[135\]; or to an organized political
committee \[136\].

The credit is for the aggregate contributions of not greater than \$50
on an individual return, and not more than \$100 on a joint return
\[137\].

Credits for qualifying contributions made prior to May 15 in a calendar
year may be applied to the return filed for the previous taxable year
\[138\].

**VI. POST‑ELECTION REQUIREMENTS**

**A. Retirement of Campaign Debts.** After the date of an election at
which the person is a candidate for nomination or election, the person
may not accept campaign contributions for the last election, except for
the sole purpose of raising funds to retire a previous campaign debt
\[139\]. A candidate with a campaign debt from an election that has
ended may solicit funds and hold fundraisers to retire the campaign debt
\[140\]. All contributions received to retire debt are to be treated as
campaign contributions to the candidate's previous campaign, and all
contribution limits continue to apply \[141\]. Contributors must be
afforded notice that the campaign contributions are for the purpose of
retiring a campaign debt \[142\].

**B. Recordkeeping**. A candidate, political party, or person acting in
the candidate's behalf must keep records of all contributions and
expenditures in a manner sufficient to evidence compliance for a period
of four years \[143\].

**C. Disposition and Reporting of Surplus Funds.** Within 30 days
following the end of the month in which a general election is held, a
candidate must turn surplus campaign funds over to either the state
treasurer for the benefit of the general revenue fund account of the
state apportionment fund \[144\]; an organized political party or
legislative party caucus \[145\]; a nonprofit organization exempt from
taxation under § 501(c)(3) of the Internal Revenue Code \[146\]; or the
contributors to the candidate's campaign \[147\].

Surplus campaign funds include any balance of campaign funds over
expenses incurred as of the day of the election \[148\], except for
carryover funds \[149\], and any funds required to reimburse the
candidate for personal funds contributed to the campaign or to repay
loans made by financial institutions to the candidate and applied to the
campaign \[150\].

A contribution and expenditure report is required concerning a campaign
debt if, since the last report concerning the debt, the person has
received cumulative contributions in excess of \$500 \[151\]. The report
must be filed within 15 days after a calendar quarter in which a report
is required, with no report required in any quarter in which the
cumulative contribution or cumulative expenditure limit has not been
exceeded since the previous report \[152\].

Carryover funds are campaign funds retained from the last election by
the candidate for future use in an amount not to exceed the annual
salary, excluding expense allowances, set by law for the office sought
\[153\]. Carryover funds may be expended at any time for any purpose not
prohibited by law and may be used as campaign funds for seeking any
public office, or disposed of in the same manner as for surplus funds
\[154\]. When a person with carryover funds files as a candidate for
public office, the candidate's carryover funds must be transferred to
the candidate's active campaign funds and are no longer treated as
carryover funds \[155\].

Carryover fund expenditures must be reported if, since the last report
concerning such funds, the person has expended more than \$500 \[156\].
The report must be filed within 15 days after a calendar quarter in
which a report becomes required \[157\]. Unless a person files a
quarterly report during the calendar year, an annual report is required
from a person who retains carryover funds, with the status as of
December 31 due by January 31 of the following year \[158\].

Carryover funds may be retained by a person for not more than 10 years
after the last election at which the person was a candidate, and must be
disposed of in the same manner as for other surplus funds \[159\].

If an unopposed candidate agrees not to solicit further campaign
contributions by filing an affidavit with the Secretary of State
declaring such agreement, the candidate may then dispose of any surplus
funds before a general election after the time has passed to declare an
intent to become a write-in candidate \[160\]. Unopposed candidates and
defeated candidates who file the affidavit are exempt from further
reporting requirements provided that the affidavit contains a statement
that a candidate's campaign fund has a zero balance \[161\].

**VII. OFFENSES AND PENALTIES**

Late filing of contribution and expenditure reports may be punished
administratively through the imposition of a civil penalty and through
the issuance of a public letter of caution, warning, or reprimand
\[162\].

The Ethics Commission's Rules on Campaign Finance & Disclosure contain
schedules which serve as guidelines in determining the amount of a fine.
With respect to pre-election reports, the schedules propose a fine of
\$50 per report for reports one to three days late (\$100 per report for
repeated delinquency); \$100 per report for reports four to 10 days late
(\$150 per report for repeated delinquency); and \$150 per report for
reports 11 to 30 days late (\$250 per report for repeated delinquency)
\[163\]. The fines proposed for other types of reports are \$25 per
report for reports one to 10 days late (\$50 per report for repeated
delinquency); \$50 per report for reports 11 to 20 days late (\$100 per
report for repeated delinquency); and \$100 per report for reports 21 to
30 days late (\$200 per report for repeated delinquency) \[164\].

False, misleading, or omitted information on reports may result in fines
from \$25 to \$1,000 per violation \[165\]. The Arkansas Ethics
Commission may waive fines for good cause \[166\].

If the Arkansas Ethics Commission finds a violation of the campaign
finance laws, it may issue a public letter of caution or warning or
reprimand \[167\], report its finding, along with such information and
documents as it deems appropriate, and make recommendations to the
proper law enforcement authorities \[168\], or impose a fine of \$25 to
\$1,000 for a negligent or intentional violation \[169\].

Filing of a frivolous complaint is also a violation of the law, with the
standard for a "frivolous" complaint meaning one that clearly lacks any
basis in fact or law \[170\]. In any case in which the commission has
dismissed a complaint, the respondent may request in writing that the
Commission make a finding as to whether or not the complaint filed was
frivolous, and if the Commission finds that the complaint was frivolous,
the respondent may file a complaint seeking sanctions \[171\].

Any person who knowingly or willfully fails to comply with any of the
campaign financing provisions of the Political Practices Act is subject,
upon conviction, to a fine of not more than \$1,000 or imprisonment for
not more than one year, or both \[172\].

A violation of the provisions of the Political Practices Act which
prohibit coercion of state employees or solicitation for endorsements is
a misdemeanor, punishable by a fine not exceeding \$1,000 or by
imprisonment in the penitentiary not exceeding one year, or by both fine
and imprisonment, and any person so convicted is ineligible to hold any
office or for state employment \[173\]. If any person is convicted while
employed by the state, he or she must be immediately removed from that
employment \[174\]. If any person is convicted while holding public
office, the conviction is deemed a misfeasance and malfeasance in
office, and subjects the person to impeachment \[175\].

A judge of the municipal, circuit, or chancery court, or a justice of
the Supreme Court who makes a solicitation on behalf of any other
candidate's campaign is deemed to have committed misfeasance and
malfeasance in office, and subjects the judge to impeachment \[176\].

An officer or employee of the state division of social services or a
county board of public welfare who violates the contribution provisions
applicable to such individuals is subject to discharge or suspension
\[177\].

**VIII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State and County Clerk.** The Secretary of State and
appropriate county clerk serve as filing officers for contribution and
expenditure reports \[178\].

The information required in reports will, upon proper filing, constitute
a public record, and is to be made available within 24 hours of the
reporting deadline to all interested persons and the news media \[179\].
The Secretary of State is required to establish a filing system for
campaign finance reports, which are to be kept for eight years from the
date of filing and catalogued by candidate in chronological order for
public inspection \[180\].

The Secretary of State must also notify each candidate by mail of the
deadlines for filing reports upon receiving the first monthly report
from a candidate, and furnish each candidate with appropriate filing
forms and instructions \[181\]. The Secretary of State is required to
report within 30 days after each filing deadline to the Arkansas Ethics
Commission the name of a candidate who filed a report, and the date the
report was received \[182\].

**B. Arkansas Ethics Commission.** The Arkansas Ethics Commission
regulates campaign finance-related activities. The Commission is
composed of five members, one each appointed by the governor, lieutenant
governor, attorney general, speaker of the house, and president pro tem
of the senate for five-year, non-consecutive terms \[183\]. In
considering appointments to the Commission, the appointing officials are
required to ensure that at least one member of a minority race, one
woman, and one member of a minority political party serve on the
Commission \[184\]. In the event of a vacancy, a successor must be
appointed by the official holding the office responsible for appointing
the predecessor within 30 days to serve the remainder of the unexpired
term \[185\]. No member of the Commission may be a state employee, an
elected public official, or an officer or paid employee of an organized
political party \[186\].

The Commission elects its own chair \[187\], with a majority of the
members constituting a quorum for the conduct of business \[188\]. An
affirmative vote of a majority of those present is required for action,
and the vote of each member is required to be a matter of public record
\[189\].

The Commission has the authority to issue advisory opinions and
guidelines on the requirements of the campaign finance laws \[190\];
investigate alleged violations of the campaign finance law and report
findings and disciplinary action \[191\]; pursuant to commission
investigations, subpoena any person, or the books, records, or other
documents being held by any person and take sworn statements \[192\];
administer oaths for the purpose of taking sworn testimony of witnesses
and conduct hearings \[193\]; hire a staff and retain legal counsel
\[194\]; and approve forms prepared by the Secretary of State pursuant
to the campaign finance laws \[195\].

Any citizen may file a complaint with the Commission alleging violations
of the campaign finance laws \[196\]. Upon receiving a complaint stating
facts constituting an alleged violation signed under penalty of perjury,
the Commission is required to investigate the allegation \[197\]. The
Commission is required to notify any person under investigation of the
investigation and of the nature of the alleged violation \[198\].

An investigation based upon a filed complaint must be completed within
150 days after filing, or 180 days if a public hearing is conducted, but
that time is tolled during the pendency of any civil action involving
those particular Commission proceedings \[199\].

If after the investigation, the Commission finds that probable cause
exists for a finding of a violation, the respondent must be issued a
written offer of settlement \[200\]. The issuance of an offer of
settlement does not mean that the Commission has found that the
respondent has committed a violation, but rather that probable cause has
been found to exist \[201\]. The acceptance of an offer of settlement
serves as the equivalent of a final adjudication in which the Commission
made a finding of a violation \[202\]. Upon being issued a written offer
of settlement, the respondent has the right to request a public hearing,
and if the respondent neither accepts the offer of settlement nor
requests a public hearing within 10 days after his or her receipt of the
offer of settlement, the Commission must set the complaint for a final
adjudication hearing \[203\].

All proceedings, records, and transcripts of any investigations or
inquiries are kept confidential by the Commission unless the accused
requests a public hearing or disclosure of the documents, or in the case
of judicial review of a Commission decision \[204\], but the Commission
may disclose confidential information to proper law enforcement
officials, agencies, and bodies or as may be required to conduct its
investigation \[205\].

If the Commission finds a violation of the campaign finance laws, it may
issue a public letter of caution or warning or reprimand \[206\], report
its finding, along with such information and documents as it deems
appropriate, and make recommendations to the proper law enforcement
authorities \[207\], or impose a fine of \$25 to \$1,000 for a negligent
or intentional violation \[208\].

The Commission must also advise the complainant and the accused, in a
document that will be a public record, of the final action together with
the reasons for the action \[209\].

The Commission may also file suit in Pulaski County circuit court, or in
the circuit court of the county where a debtor resides to obtain a
judgment for the amount of any fine the Commission has imposed on a
person \[210\].

**C. Circuit Judge and Special Grand Jury.** The circuit judge of any
county has special jurisdiction in certain cases involving solicitation
by employees or judges \[211\]. If 10 reputable citizens of any county
file a complaint with the circuit judge within 20 days after any
election alleging that the solicitation laws were violated, the circuit
judge must convene a special grand jury (unless a regular term is in
session or will convene within 30 days) if in the judge's opinion there
is good ground to believe the charges to be true \[212\].

In the event of an indictment and conviction, the circuit judge must
enter the finding as a part of the judgment \[213\], and the judgment
operates to deprive the candidate of the nomination \[214\] or to oust
the candidate from office \[215\].

**D. Arkansas History Commission.** The Arkansas History Commission is
required to maintain campaign finance reports and make them available
for public inspection after it receives them from the Secretary of State
\[216\].

**E. Legislative Council.** The Legislative Council receives reports of
any funds of more than \$100 appropriated to any state agency, board, or
commission that are expended for the purpose of opposing or supporting
any initiative, referendum, proposed constitutional amendment, or other
measure which is submitted or intended to be submitted to a popular vote
at an election \[217\].

#  {#section-2 .unnumbered}

# References

1\. Arkansas Code Annotated

(hereafter ACA) § 7-6-203

2\. Initiated Act Number One (1) of 1996, the

Campaign Contribution Limits and

Disclosure Act, Section 2.

3\. *Russell v. Burris*, 978 F. Supp. 1211

(E.D. Ark. 1997), *aff\''d in part, rev'd in*

*part on other grounds*, 146 F.3d 563

(8th Cir. 1998) *cert. denied*, 525 U.S.

1145 (1998)

4\. *Russell v. Burris*, 978 F. Supp. 1211

(E.D. Ark. 1997), *aff\''d in part, rev'd in*

*part on other grounds*, 146 F.3d 563

(8th Cir. 1998) *cert. denied*, 525 U.S.

1145 (1998)

5\. *Russell v. Burris*, 978 F. Supp. 1211

(E.D. Ark. 1997), *aff\''d in part, rev'd in*

*part on other grounds*, 146 F.3d 563

(8th Cir. 1998) *cert. denied*, 525 U.S.

1145 (1998)

6\. Arkansas Code Annotated

(hereafter ACA) § 7‑6‑201(2)(A)

7\. ACA § 7-6-201(2)(B)

8\. ACA § 7‑6‑201(2)(B)

9\. ACA § 7‑6‑201(2)(C)

10\. ACA § 7‑6‑201(4)

11\. ACA § 7‑6‑203(a); *Russell v. Burris*, 978

F. Supp. 1211 (E.D. Ark. 1997), *aff\''d in*

*part, rev'd part on other grounds*, 146

F.3d 563 (8th Cir. 1998) *cert. denied*,

525 U.S. 1145 (1998)

12\. ACA § 7‑6‑203(b)

13\. ACA § 7‑6‑203(d)

14\. ACA § 7‑6‑203

15\. Adv. Op. No. 2001‑EC‑007 (November

16, 2001)

16\. Adv. Op. No. 2001‑EC‑007 (November

16, 2001)

17\. ACA § 7-6-205(d). Contributions by

independent children and spouses

of contributors are attributed to the

independent children and spouses of

contributors provided the independent

children and spouses intended to make

such a contribution on his or her own

behalf. Arkansas Ethics Commission,

*Rules on Campaign Finance &*

*Disclosure* (hereafter (*Rules*) § 231(b).

18\. ACA § 7‑6‑203(c); Arkansas Ethics

Comm'n, *Instructions for Completing*

*the Campaign contribution and*

*Expenditure Report* (hereafter

*Instructions*) (October 1997) at 2.

19\. ACA §§ 7-6-201

20\. ACA § 7-6-203(e); Arkansas Ethics

Comm'n Advisory Opinion No.

97-EC-001 (March 10, 1997)

21\. ACA § 7-6-201(1)(A)(i)

22\. ACA § 7-6-201(1)(A)(ii)

23\. ACA § 7-6-201(1)(A)(iii)

24\. ACA § 7-6-201(1)(B)

25\. ACA § 7-6-201(10)

26\. ACA § 7-6-201(12)(A);*Russell v. Burris*,

978 F. Supp. 1211 (E.D. Ark. 1997),

*aff\''d in part, rev'd part on other grounds*,

146 F.3d 563 (8th Cir. 1998) *cert. denied*,

525 U.S. 1145 (1998)

27\. ACA § 7-6-201(12)(B)

28\. ACA § 7-6-201(12)(C)

29\. ACA § 7-6-201(12)(C). An auxiliary

group of an organized political party is

not a political party itself, and is

therefore eligible to organize and

maintain a small donor political action

committee. Arkansas Ethics Comm'n

Advisory Opinion (hereafter Adv. Op.)

No. 97‑EC‑008 (July 14, 1997).

30\. ACA § 7-6-203(d)

31\. Adv. Op. No. 99-EC-019 (November

19, 1999)

32\. ACA §§ 7-6-201(14); 7‑6‑215

33\. ACA § 7-6-201(13)(A)

34\. ACA § 7-6-201(13)(B)

35\. ACA § 7-6-201(13)(C)

36\. ACA § 7‑6‑203(k); *Ark. Right to Life*

*State Pol. Action Comm. v. Butler*,

29 F. Supp. 2d 540 (W.D. Ark. 1998);

Arkansas Ethics Commission,

Advisory Opinion (hereafter Adv. Op.)

No. 99-EC-003(April 16, 1999)

37\. ACA § 7‑6‑204(a)

38\. ACA § 7‑6‑204(b); *Rules* § 203(g).

39\. ACA § 7‑6‑205(a)

40\. ACA § 7‑6‑205(b)

41\. ACA § 7‑6‑205(c)(1)

42\. ACA § 7‑6‑205(c)(2)

43\. Adv. Op. No. 2000‑EC‑012

(November 9, 2000)

44\. ACA § 7-6-205(e)

45\. Adv. Op. No. 98-EC-010 (June 19, 1998)

46\. ACA § 7-6-203(f)

47\. ACA § 7-6-203(g)(2); *Ark. Right to*

*Life State Pol. Action Comm. v. Butler*,

29 F. Supp. 2d 540 (W.D. Ark. 1998)

48\. ACA § 7-6-203(g)(1)(A); *Ark. Right to*

*Life State Pol. Action Comm. v. Butler*,

29 F. Supp. 2d 540 (W.D. Ark. 1998)

49\. ACA § 7-6-203(g)(1)(B); *Ark. Right to*

*Life State Pol. Action Comm. v. Butler*,

29 F. Supp. 2d 540 (W.D. Ark. 1998)

50\. ACA § 7-6-203(g)(1)(C); *Ark. Right to*

*Life State Pol. Action Comm. v. Butler*,

29 F. Supp. 2d 540 (W.D. Ark. 1998)

51\. *In re Code of Judicial Conduct*, 627

S.W.2d 1 (1982)

52\. ACA § 7‑6‑103(a), (b)

53\. ACA § 7‑1‑103(4)

54\. Arkansas Code of Judicial Conduct,

Canon 5C(2)

55\. ACA § 7‑1‑103(a)(1)

56\. ACA § 20‑76‑207(2)(c)(1)

57\. ACA § 7-6-203(g)(2)(B)

58\. ACA § 7-6-203(g)(3)

59\. ACA § 7‑6‑201(3)

60\. ACA § 7‑6‑201(4)

61\. ACA § 7‑6‑204(a)

62\. ACA § 7‑6‑204(b)

63\. ACA § 7‑6‑204(c)

64\. ACA § 7-6-205 (e)

65\. ACA § 7-6-203(i)(1)

66\. *Rules* § 208(a)

67\. *Rules* § 209

68\. *Rules* § 209(a)

69\. *Rules* § 209(b)

70\. *Rules* § 209(c)

71\. *Rules* § 209(d)

72\. *Rules* § 209(e)

73\. Adv. Op. No. 2000‑EC‑012 (November

9, 2000)

74 . Adv. Op. No. 2000‑EC‑012 (November

9, 2000)

75\. *Rules* § 209(f); Adv. Op. Nos. 2000‑

EC‑012 (November 9, 2000); 97-EC-

001 (March 10, 1997)

76\. ACA § 7-6-203(i)(2)

77\. ACA § 7-6-203(j)(5)(A)

78\. ACA § 7-6-203(j)(5)(B)

79\. ACA § 7-6-207(a)(1)(A)

80\. ACA § 7-6-207(a)

81\. ACA § 7-6-207(c)(1)

82\. ACA § 7-6-207(c)(1)

83\. ACA § 7-6-207(a)(1)

84\. ACA § 7-6-207(a)(1)(B)

85\. ACA § 7-6-207(a)(1)(B)

86\. ACA § 7-6-207(a)(1)(B)

87\. ACA § 7-6-207(a)(1)(B)

88\. ACA § 7-6-207(a)(1)(B)

89\. ACA § 7-6-207(a)(1)(C)

90\. ACA § 7-6-207(a)(1)(A)

91\. ACA § 7-6-207(a)(1)(A)

92\. ACA § 7‑6‑207(a)(3); *see,* ACA §

7-9-406 (c)

93\. ACA § 7‑6‑207(a)(3)

94\. ACA § 7-6-207(a)(3)

95\. ACA §§ 7-6-207(b)(1)(A) - (C)

96\. ACA §§ 7-6-207(b)(1)(D) - (I)

97\. *Rules* § 219(a)

98\. *Rules* § 219(b)

99\. ACA § 7-6-207(b)

100\. ACA § 7‑6‑210(b); *Instructions* at 2

101\. ACA § 7‑6‑210(b)

102\. ACA § 7-6-215(a)

103\. ACA § 7-6-215(a)

104\. ACA § 7-6-215(b)(1)

105\. ACA § 7-6-215(b)(2)

106\. ACA § 7-6-215(b)(3)

107\. ACA § 7-6-215(d)(1)(A)

108\. ACA § 7-6-215(d)(1)(B)

109\. ACA § 7-6-215(d)(1)(C)

110\. ACA § 7-6-215(d)(1)(D)

111\. ACA § 7-6-215(d)(1)(E)

112\. ACA § 7-6-201(11); Arkansas Ethics

Commission Opinion No. 97‑EC‑007

(July 14, 1997)

113\. ACA § 7-6-216(a); *Rules* § 252; Adv.

Op. No. 97‑EC‑007 (July 14, 1997)

114\. ACA § 7-6-216(c)(1)

115\. ACA § 7-6-216(c)(2)

116\. ACA § 7-6-216(c)(3)

117\. ACA § 7-6-216(d)

118\. ACA § 7‑6‑220(a)(3)

119\. ACA § 7‑6‑220(a)(1)

120\. ACA § 7‑6‑220(a)(1)

121\. ACA § 7‑6‑220(a)(1)

122\. ACA § 7-6-223

123\. 1999 Ark. Acts 1006 § 3

124\. 1999 Ark. Acts 1006 § 1

125\. 1999 Ark. Acts 1006 § 2

126\. ACA § 7-6-213

127\. ACA § 7-6-216(a)

128\. ACA § 7-6-216(b)

129\. ACA § 7-6-216(b)

130\. ACA § 7‑6‑216(c)

131\. ACA § 7-6-216(c)

132\. ACA § 7-6-222

133\. ACA § 7-6-222(a)(1)

134\. ACA § 7-6-222(a)(2)

135\. ACA § 7-6-222(a)(3)

136\. ACA § 7-6-222(a)(4)

137\. ACA § 7-6-222(b)

138\. ACA § 7-6-222(c)

139\. ACA § 7-203(4)

140\. ACA § 7‑6‑219(a)(1)

141\. ACA § 7‑6‑219(a)(2)

142\. ACA § 7‑6‑219(b)

143\. ACA §§ 7‑6‑206(a), (b)

144\. ACA § 7-6-203(j)(1)(A)

145\. ACA § 7-6-203(j)(1)(B)

146\. ACA § 7-6-203(j)(1)(C)

147\. ACA § 7-6-203(j)(1)(D)

148\. ACA § 7-6-201(16)

149\. ACA § 7-6-201(16)(A)

150\. ACA § 7-6-201(16)(B)

151\. ACA § 7-6-219(c)

152\. ACA § 7-6-219(c)

153\. ACA § 7-6-201(15)

154\. ACA §§ 7-6-203(h)(3)(A)

155\. ACA § 7-6-203(h)(3)(B)(i)

156\. ACA § 7-6-203(h)(3)(C)(i)

157\. ACA §§ 7-6-203(h)(3)(C)(i), (ii)

158\. ACA § 7-6-203(h)(3)(C)(iii)

159\. ACA §§ 7-6-203(h)(3)(D); 7-6-203(j)(1)

160\. ACA § 7-6-203(j)(2)

161\. ACA § 7-6-203(j)(2)

162\. *Rules* § 247

163\. *Rules* § 247

164\. *Rules* § 247

165\. *Rules* § 247(e)

166\. *Rules* § 247(f)

167\. ACA § 7-6-218(b)(4)(A); Arkansas Ethics

Commission, *Commission Rules*

VI(B)(1) -(3)

168\. ACA § 7-6-218(b)(4)(C). When

exercising this authority, the Ethics

Commission is not required to make

a finding of a violation of the laws

under its jurisdiction.

169\. ACA § 7-6-218(b)(4)(B)

170\. ACA § 7-6-218(b)(1)(D)

171\. ACA § 7-6-218(b)(1)(D)

172\. ACA § 7‑6‑202

173\. ACA § 7‑1‑103(23)(b)(2)

174\. ACA § 7‑1‑103(23)(b)(1)

175\. ACA § 7‑1‑103(23)(b)(1)

176\. ACA §§ 7‑6‑103(b), (c)

177\. ACA § 20‑76‑207(2)(c)(1)

178\. ACA § 7-6-207(d)(1)

179\. ACA § 7-6-214

180\. ACA § 7-6-207(d)(1)

181\. ACA § 7‑6‑207(a)(4)

182\. ACA § 7-6-207(d)(2)

183\. ACA § 7-6-217(a)

184\. ACA § 7-6-217(b)

185\. ACA § 7-6-217(d)

186\. ACA § 7-6-217(c)

187\. ACA § 7-6-217(d)

188\. ACA § 7-6-217(e)

189\. ACA § 7-6-217(e)

190\. ACA § 7-6-217(g)(2); *Rules* § 210

191\. ACA § 7-6-217(g)(3). Apparently the

only action that the Commission may

take is to make public a letter declaring

the nature of the violation found.

*Spradlin v. Ark. Ethics Comm'n*,

858 S.W.2d 684 (Sup. Ct. 1983).

192\. ACA § 7-6-217(g)(4)

193\. ACA § 7-6-217(g)(5)

194\. ACA § 7-6-217(g)(6)

195\. ACA § 7-6-217(g)(7)

196\. ACA § 7-6-218(a); Adv. Op. No.

98-EC-001 (February 20,1998) (no

time limit for filing citizen complaints)

197\. ACA § 7-6-218(b)(1)(A)

198\. ACA § 7-6-218(b)(1)(B)

199\. ACA § 7-6-218(b)(5)

200\. ACA § 7-6-218(b)(2)

201\. *Commission Rules* VI(15)

202\. *Commission Rules* VI(16)

203\. *Commission Rules* VI(17)

204\. ACA § 7-6-218(b)(1)(B)(i). All records,

save Commission and staff working

papers, become open for inspection no

later than 30 days after any final

adjudication in which the Commission

makes a finding of a violation. ACA §

7-6-218(b)(3)(C).

205\. ACA § 7-6-218(b)(3)(B)(ii)

206\. ACA § 7-6-218(b)(4)(A)

207\. ACA § 7-6-218(b)(4)(B)(i). When

exercising this authority, the Ethics

Commission is not required to make

a finding of a violation of the law

under its jurisdiction.

208\. ACA § 7-6-218(b)(4)(B)

209\. ACA § 7-6-218(b)(1)(C)

210\. ACA § 7-6-217(g)(8)(A)

211\. ACA § 7‑5‑807

212\. ACA § 7‑5‑807(a)

213\. ACA § 7‑5‑808(a)

214\. ACA § 7‑5‑808(b)

215\. ACA § 7‑5‑809

216\. ACA § 7-6-207(d)(1)

217\. 1999 Ark. Acts 1006 § 1

**CAMPAIGN FINANCE LAW**

**IN CALIFORNIA**

**I. INTRODUCTION**

Candidates receiving or expending more than \$1,000 in an election and
candidates meeting a certain threshold of contributions and expenditures
must file information on all contributions and expenditures several
times during the year, both before and after elections. Late
contributions and expenditures of \$1,000 or more must be reported
within 24 hours. Electronic filing and disclosure is mandated for
certain committees. Contributions from individuals to campaigns are
limited only in special elections, special runoff elections, and where
local limits are in place. Cash contributions must be less than \$100,
anonymous contributions must be less than \$100 per year from any one
donor, and contributions may not be made in the name of another.
Contributions from individuals, political committees, political parties,
and lobbyists are limited. The state has voluntary spending limits for
candidates, and candidates agreeing to such limits may purchase space in
the state ballot pamphlet. The Fair Political Practices Commission is
responsible for overseeing the campaign finance provisions of the law. A
city or county in the State of California is permitted to impose more
stringent campaign laws and may limit contributions and expenditures.
More than 60 localities have enacted contribution limits, including the
cities of Los Angeles, Oakland, San Francisco, and San Diego.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a payment, a
forgiveness of a loan, a payment of a loan by a third party, or
enforceable promise to make a payment, except to the extent that full
and adequate consideration is received, unless it is clear from the
surrounding circumstances that it is not made for political purposes
\[1\]. A payment made at the behest of a committee that receives
contributions of \$1,000 or more in a calendar year \[2\] is a
contribution to the committee unless full and adequate consideration is
received for making the payment \[3\]. A contribution made at the behest
of a candidate is a contribution to the candidate unless full and
adequate consideration is received from the candidate \[4\], or it is
clear from the surrounding circumstances that it is made for purposes
unrelated to the candidate's candidacy \[5\] and the contribution is not
used for election-related activities \[6\] such as communications that
contain express advocacy of the nomination or election of the candidate
or the defeat of his or her opponent \[7\]; communications that refer to
the candidate's candidacy for elective office, the candidate's election
campaign, or the candidate's or his or her opponent's qualifications for
elective office \[8\]; solicitation of contributions to the candidate or
to third persons for use in support of the candidate or in opposition to
his or her opponent \[9\]; arranging, coordinating, developing, writing,
distributing, preparing, or planning of any election-related
communication or activity \[10\]; recruiting or coordinating campaign
activities of campaign volunteers on behalf of the candidate \[11\];
preparing campaign budgets \[12\] or campaign finance disclosure
statements \[13\]; or communications directed to voters or potential
voters as part of activities encouraging or assisting persons to vote if
the communication contains express advocacy of the nomination or
election of the candidate or the defeat of his or her opponent \[14\].

A contribution includes any payment made to a person or organization
when, at the time of making the payment, the donor knows or has reason
to know that the payment, or funds with which the payment will be
commingled, will be used to make contributions; this presumes the
contributor does not have reason to know that all or part of the payment
will be used to make expenditures or contributions, unless the person or
organization has made expenditures or contributions of at least \$1,000
in the aggregate during the calendar year in which the payment occurs,
or any of the immediately preceding four calendar years \[15\]. A
contribution also includes the purchase of tickets for events such as
dinners, luncheons, rallies, and similar fundraising events; the
candidate's own money or property used on behalf of his or her
candidacy; the granting of discounts or rebates not extended to the
public generally or the granting of discounts or rebates by television
and radio stations and newspapers not extended on an equal basis to all
candidates for the same office; and the payment of compensation by any
person for the personal services or expenses of any other person if such
services are rendered or expenses incurred on behalf of a candidate or
committee without payment of full and adequate consideration \[16\].

A contribution also includes a transfer of anything of value to a
committee from another committee unless full and adequate consideration
is received \[17\].

A contribution does not include an amount received pursuant to an
enforceable promise to the extent those amounts have been previously
reported as a contribution \[18\]. A contribution does not include a
payment made by an occupant of a home or office for costs related to any
meeting or fundraising event held in the occupant's home or office if
the costs for the meeting or fundraising event are \$500 or less \[19\].
A contribution does not include an expenditure made at the behest of a
candidate in connection with a communication directed to voters or
potential voters as a part of voter registration activities or
activities encouraging or assisting persons to vote, if the expenditure
does not constitute express advocacy \[20\]. A contribution also does
not include volunteer personal services or a payment made by any
individual for his or her own travel expenses if such payments are made
voluntarily without any understanding or agreement that they will be,
directly or indirectly, repaid \[21\].

A contribution does not include payments for communications for purpose
of this title to members, employees, shareholders, or families of
members, employees, or shareholders of an organization for the purpose
of supporting or opposing a candidate or a ballot measure, or
independent expenditures, if those payments are not made for general
public advertising such as broadcasting, billboards, and newspaper
advertisements \[22\].

Payments made by a sponsoring organization for establishment and
administration of a political action committee are also not considered
to be contributions \[23\].

A contribution does not include a payment made at the behest of a
candidate, which is a communication by the candidate or any other
person, that does not contain express advocacy \[24\]; does not make
reference to the candidate's candidacy for elective office, the
candidate's election campaign, or the candidate's or his or her
opponent's qualifications for the office \[25\], and; does not solicit
contributions to the candidate or to third persons for use in support of
the candidate or in opposition to the candidate's opponent \[26\]. A
contribution also does not include a payment made by a candidate or
committee for another candidate to attend the paying candidate or
committee's fundraiser \[27\]; a payment made by a candidate for a
communication publicizing his or her endorsement by another candidate,
provided that the communication does not expressly advocate the
nomination or election of the endorsing candidate or the defeat of an
opponent of the endorsing candidate \[28\]; a payment made by a ballot
measure committee for a communication in which the ballot measure
supported or opposed by the committee is endorsed or opposed by a
candidate, and the communication does not expressly advocate the
nomination or election of the endorsing candidate or the defeat of an
opponent of the endorsing candidate \[29\]; a payment by a regularly
published newspaper, magazine, or other periodical of general
circulation which routinely carries news, articles and commentary of
general interest for the cost of publishing a news story, commentary or
editorial, or a federally regulated broadcast outlet for the cost of
broadcasting a news story, commentary or editorial \[30\]; a payment by
an organization for its regularly published newsletter or periodical, if
the circulation is limited to the organization's members, employees,
shareholders, other affiliated individuals and those who request or
purchase the publication (any additional costs incurred are
contributions) \[31\]; payments for a debate or other forum sponsored by
a nonpartisan organization in which at least two candidates appearing on
the ballot for the same elective office were invited to participate
\[32\]; payments for a debate or other forum in which the proponent of a
ballot measure and at least one opponent, or their respective
representatives, were invited to participate in equal numbers \[33\]; a
payment for a debate or other forum sponsored by a political party or
affiliated committee in which a majority of the candidates for that
party's nomination were invited to participate \[34\]; payments made by
a bona fide service, social, business, trade, union or professional
organization or group for reasonable overhead expenses associated with
the organization's regularly scheduled meeting at which a candidate or
an individual representing either side of a ballot measure speaks, if
the organization pays no additional costs in connection with the
speaker's attendance \[35\]; payments received by, directed by, or made
at the behest of a candidate for personal purposes \[36\]; payments made
by a candidate for a communication in support of or opposition to a
ballot measure, if the communication features the endorsing candidate or
clearly identifies him or her as the sponsor of the communication
\[37\]; and a contribution made at the behest of a candidate for a
different candidate or to a committee not controlled by the behesting
candidate is not a contribution to the behesting candidate \[38\].

"Made at the behest of" means made under the control or at the direction
of, in cooperation, consultation, coordination, in concert with, at the
request or suggestion of, or with express, prior consent \[39\].

**B. Limitations on Nature of Contributions.** A contribution of \$100
or more may not be made or received in cash \[40\]. A cash contribution
is not deemed received if it is not negotiated or deposited and is
returned to the contributor before the closing date of the campaign
statement on which the contribution would otherwise be reported \[41\].
If a cash contribution other than a late contribution is negotiated or
deposited, it is not deemed received if it is refunded within 72 hours
of receipt \[42\].

A late contribution is any contribution, including a loan, which totals
in the aggregate \$1,000 or more that is made to or received by a
candidate, a controlled committee, or a committee formed or existing
primarily to support or oppose a candidate or measure, before the date
of the election at which the candidate or measure is to be voted on, but
after the closing date of the last campaign statement required to be
filed before the election \[43\]. A late contribution is not deemed
received if it is not cashed or deposited and is returned to the
contributor within 48 hours of receipt \[44\].

A contribution of \$100 or more other than an in‑kind contribution may
not be made except by written instrument containing the name of the
donor and the name of the payee and drawn from the account of the donor
or the intermediary \[45\]. The value of an in-kind contribution of
\$100 or more must be reported in writing to the recipient upon the
written request of the recipient \[46\].

A contribution may not be made, directly or indirectly, by any person
other than in the name by which such person is identified for legal
purposes \[47\]. A person may not make any contribution to a committee
on the condition or with the agreement that it will be contributed to
any particular candidate unless the contribution is fully disclosed
\[48\]. A person may not make a contribution on behalf of another, or
while acting as the intermediary or agent of another, without disclosing
to the recipient of the contribution both his or her full name and
street address, occupation, and the name of his or her employer, if any,
or his or her principal place of business if he or she is self‑employed,
and the full name and street address, occupation and the name of
employer, if any or principal place of business if self‑employed, of the
other person \[49\]. If a candidate or committee does not have on file
in its records the name, address, occupation, and employer of the
contributor, the candidate or committee must return any contribution of
\$100 or more within 60 days \[50\].

A person may make not an anonymous contribution or contributions to a
candidate, committee, or any other person totaling \$100 or more per
year, and such contributions may not be kept by the intended recipient,
but instead must be promptly paid to the Secretary of State for deposit
in the general fund of the state \[51\].

A foreign government or foreign principal \[52\] may not make, directly
or through any other person, any contribution, expenditure, or
independent expenditure in connection with the qualification or support
of, or opposition to, any state or local ballot measure \[53\], nor may
any person or committee solicit or accept a contribution from a foreign
government or foreign principal in connection with the qualification or
support of, or opposition to, any state or local ballot measure \[54\].
A "foreign principal" includes a domestic subsidiary of a foreign
corporation if the decision to contribute or expend funds is made by an
officer, director, or management employee of the foreign corporation who
is neither a citizen of the United States nor a lawfully admitted
permanent resident of the United States \[55\].

All contributions received by a person acting as an agent of a candidate
or a committee must be reported, not later than the closing date of any
campaign statement the candidate or committee for whom the contribution
is intended is required to file, to the candidate, committee's
treasurer, or any of his or her designated agents \[56\]. A contribution
may not be commingled with the personal funds of the recipient or any
other person \[57\]. A person may not receive or deliver or attempt to
deliver a contribution, a facsimile of a contribution, or an original or
copy of a transmittal letter, in person or cause the same to be
delivered in person by an agent or intermediary, in the state capitol,
in any state office building, or in any office for which the state pays
the majority of the rent other than a legislative district office
\[58\].

A contribution may not be solicited or received by a candidate before a
candidate intention statement is filed \[59\], or by a committee when
there is a vacancy in the office of treasurer \[60\]. All contributions
received by a candidate must be deposited in a campaign contribution
account established at an office of a financial institution located
within the state \[61\].

**C. Limitations on Acceptance of Contributions by Certain State
Officers.** An officer of an agency may not accept, solicit, or direct a
contribution of more than \$250 from any party, or his or her agent, or
from any participant, or his or her agent, while a proceeding involving
a license, permit, or other entitlement for use is pending before the
agency and for three months following the date a final decision is
rendered in the proceeding if the officer knows or has reason to know
that the participant has a financial interest \[62\]. This prohibition
applies regardless of whether the officer accepts, solicits, or directs
the contribution for himself or herself, or on behalf of any other
officer, or on behalf of any candidate for office or on behalf of any
committee \[63\].

An elected state officer or candidate for elected state office may not
accept a contribution from a lobbyist, and a lobbyist may not make a
contribution to an elected state officer or candidate for elected state
office, if that lobbyist is registered to lobby the governmental agency
for which the candidate is seeking election or the governmental agency
of the elected state officer \[64\].

**D. Limitations on Amounts of Contributions.** Most of the state's
contribution limits based on a fiscal year scheme \[65\] were held to be
unconstitutional \[66\], but were re-enacted in slightly different form
by Proposition 34 \[67\].

The law creates a new vehicle, the "small contributor committee," which
has special status for contribution purposes. A small contributor
committee is any committee that has been in existence for at least six
months \[68\]; receives contributions from 100 or more persons \[69\],
with no one person contributing more than \$200 per calendar year
\[70\]; and that makes contributions to five or more candidates \[71\].

Contributions to a candidate for governor from any person other than a
small contributor committee or political party committee are limited to
\$20,000 per election \[72\]. Contributions to other candidates for
statewide elective office from any person other than a small contributor
committee or political party committee are limited to \$5,000 per
election \[73\]. Contributions to candidates for elective state office
other than a candidate for statewide elective office are limited to
\$3,000 per election from any person other than a small contributor
committee or political party committee \[74\]. A candidate's
contributions of his or her personal funds to his or her own campaign
are not subject to these contribution limitations \[75\].

A candidate for elective state office or committee controlled by that
candidate may not make any contribution to any other candidate for
elective state office in excess of these limits \[76\]. A candidate for
elective state office may not personally loan to his or her campaign an
amount, the outstanding balance of which exceeds \$100,000, and a
candidate may not charge interest on any loan he or she made to his or
her campaign \[77\]. These provisions apply to extensions of credit, but
do not apply to loans made to a candidate by a commercial lending
institution in the lender's regular course of business on terms
available to members of the general public for which the candidate is
personally liable \[78\].

A small contributor committee is limited to contributions of not more
than \$20,000 per election to a candidate for governor \[79\]; no more
than \$10,000 per election to a candidate for statewide elective office
other than governor \[80\]; and no more than \$6,000 per election to
candidates for elective state office other than a candidate for
statewide elective office \[81\].

A person may not make to any committee, other than a political party
committee, and a committee other than a political party committee may
not accept, any contribution totaling more than \$5,000 per calendar
year for the purpose of making contributions to candidates for elective
state office \[82\]. A person may not make to any political party
committee, and a political party committee may not accept, any
contribution totaling more than \$25,000 per calendar year for the
purpose of making contributions for the support or defeat of candidates
for elective state office \[83\]. A person's contributions to a
committee or political party committee are not limited if the
contributions are used for purposes other than making contributions to
candidates for elective state office \[84\].

A candidate for elective state office or an elected state officer may
establish a separate legal defense account to defray attorney's fees and
other related legal costs incurred for the candidate's or officer's
legal defense if the candidate or officer is subject to one or more
civil or criminal proceedings or administrative proceedings arising
directly out of the conduct of an election campaign, the electoral
process, or the performance of the officer's governmental activities and
duties \[85\], and if these funds are used only to defray those attorney
fees and other related legal costs, they are not subject to the
contribution limits \[86\].

Contributions made by a husband and wife may not be aggregated \[87\]. A
contribution made by a child under 18 years of age is presumed to be a
contribution from the parent or guardian of the child \[88\]. The
contributions of an entity whose contributions are directed and
controlled by any individual must be aggregated with contributions made
by that individual and any other entity whose contributions are directed
and controlled by the same individual \[89\]. If two or more entities
make contributions that are directed and controlled by a majority of the
same persons, the contributions of those entities must be aggregated
\[90\]. Contributions made by entities that are majority‑owned by any
person shall be aggregated with the contributions of the majority owner
and all other entities majority‑owned by that person, unless those
entities act independently in their decisions to make contributions
\[91\].

An elected state officer may establish a committee to oppose the
qualification of a recall measure, and the recall election when the
elected state officer receives a notice of intent to recall, and may
accept campaign contributions to oppose the qualification of a recall
measure, and if qualification is successful, the recall election,
without regard to the campaign contributions limits \[92\].

A contribution for an election may be accepted by a candidate for
elective state office after the date of the election only to the extent
that the contribution does not exceed net debts outstanding from the
election, and the contribution does not otherwise exceed the applicable
contribution limit for that election \[93\].

Where contributions exceed the contribution limits, they will be deemed
not accepted by the candidate if returned, prior to deposit or
negotiation, within 14 days \[94\]. The entire check containing a
contribution that exceeds the contribution limits must be returned, even
if only a portion exceeds the limits \[95\].

The Fair Political Practices Commission must adjust contribution limits
in January of every odd year to reflect the Consumer Price Index,
rounding the new limits to the nearest \$100 \[96\].

**E. Limitations on Solicitation.** An appointed officer of an agency
may not accept, solicit, or direct a contribution of more than \$250,
from any party, or his or her agent, or from any participant or his or
her agent, while a proceeding involving a license, permit, or other
entitlement for use is pending before the agency and for three months
following the date a final decision is rendered in the proceeding if the
officer knows or has reason to know that the participant has a financial
interest \[97\]. This prohibition applies regardless of whether the
officer accepts, solicits, or directs the contribution for him or
herself or on behalf of any candidate for office \[98\]. If an officer
receives a contribution to be used in a federal, state, or local
election which would otherwise require disqualification, returns the
contribution within 30 days from the time he or she knows or should have
known about the contribution and the proceeding involving a license,
permit, or other on entitlement for use, he or she is permitted to
participate in the proceeding \[99\].

While, in general, no restriction may be placed on the political
activities of any officer or employee of a state or local agency
\[100\], no one who holds, or is seeking election or appointment to, any
office or employment in a state or local agency may, directly or
indirectly, use, promise, threaten, or attempt to use, any office,
authority, or influence, whether then possessed or merely anticipated,
to confer upon or secure for any individual person, or to aid or
obstruct any individual person from securing any position, nomination,
confirmation, promotion, or change in compensation or position, within
the state or local agency, upon consideration or condition that the vote
or political influence or action of such person or another must be given
or used in behalf of, or withheld from, any candidate, officer, or
party, or upon any other corrupt condition or consideration \[101\].
This prohibition applies to urging or discouraging the individual
employee's action \[102\].

An officer or employee of a local agency \[103\] or a candidate for
elective office of a local agency may not, directly or indirectly,
solicit a political contribution from an officer or employee of that
agency, or from a person on an employment list of that agency, with
knowledge that the person from whom the contribution is solicited is an
officer or employee of that agency \[104\]. An officer or employee of a
local agency, or a candidate for elective office in a local agency, may,
however, request political contributions from officers or employees of
that agency if the solicitation is part of a solicitation made to a
significant segment of the public which may include officers or
employees of that local agency \[105\].

An officer or employee of a state or local agency is not prohibited from
soliciting or receiving political funds or contributions to promote the
passage or defeat of a ballot measure which would affect the rate of
pay, hours of work, retirement, civil service, or other working
conditions of officers or employees of such state or local agency,
except that a state or local agency may prohibit or limit such
activities by its employees during their working hours, and may prohibit
or limit entry into governmental offices for such purposes during
working hours \[106\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a payment, a
forgiveness of a loan, a payment of a loan by a third party, or an
enforceable promise to make a payment \[107\], unless it is clear from
the surrounding circumstances that it is not made for political purposes
\[108\].

An expenditure does not include a candidate's use of personal funds used
to pay candidate filing fees or ballot statement fees \[109\].

An independent expenditure is an expenditure made by any person in
connection with a communication which expressly advocates the election
or defeat of a clearly identified candidate, or the qualification,
passage, or defeat of a clearly identified measure, or taken as a whole
and in context, unambiguously urges a particular result in an election
but which is not made to or at the behest of the affected candidate or
committee \[110\].

**B. Limitations on Nature of Expenditures.** No expenditure of \$100 or
more may be made in cash \[111\]. An expenditure of \$500 or more may
not be made, other than overhead or normal operating expenses, by an
agent or independent contractor, including, but not limited to, an
advertising agency, on behalf of, or for the benefit of any candidate or
committee unless it is reported by the candidate or committee as if the
expenditure were made directly by the candidate or committee \[112\].
The agent or independent contractor must make known to the candidate or
committee all information required to be reported \[113\].

For a candidate to transfer funds to another candidate, there must be a
reasonable relation between the expenditure and a political,
legislative, or governmental purpose \[114\], and the transfer may not
be made for the purpose of making independent expenditures to support or
oppose other candidates \[115\].

A foreign government or foreign principal may not make, directly or
through any other person, any expenditure, or independent expenditure in
connection with the qualification or support of, or opposition to, any
state or local ballot measure \[116\].

When an expenditure is made to support litigation aimed at gaining a
place on the ballot for a candidate or measure, aimed at keeping a
candidate or measure off the ballot, or challenging the results of an
election, the expenditure is made for the purpose of influencing the
outcome of the election in favor of or against a particular candidate or
measure, and should be reported on the appropriate statement as an
expenditure \[117\].

An expenditure may not be made by or on behalf of a committee without
the authorization of the treasurer or that of his or her designated
agents \[118\]. No expenditure may be made by or on behalf of a
committee when there is a vacancy in the office of treasurer \[119\].
All campaign expenditures must be made from the campaign account
\[120\].

The payment of a salary, reimbursement for personal expenses, or other
compensation by an employer to an employee who spends more than 10% of
his or her compensated time in any one month rendering services for
political purposes is a contribution by the employer if the services are
rendered at the request or direction of the employer, or the employee,
with consent of the employer is relieved of any normal working
responsibilities related to his or her employment in order to render the
personal services, unless the employee engages in political activity on
bona fide, although compensable, vacation time, or pursuant to a uniform
policy allowing employees to engage in political activity \[121\].
Personal services are rendered for political purposes if they are
carried on for the purpose of influencing or attempting to influence the
action of the voters for or against the nomination or election of one or
more candidates, or the qualification or passage of any measure, and
include, but are not limited to, personal services received by or made
at the behest of a candidate or committee by an employee, and time spent
developing or distributing communications that expressly advocate the
election or defeat of a clearly identified candidate, or the
qualification, passage, or defeat of a clearly identified measure
\[122\]. The amount of such a contribution or expenditure is the pro
rata portion of the gross salary, reimbursement for personal expenses,
or compensation attributable to the time spent on political activity
\[123\]. Salary, reimbursement for personal expenses, and compensation
paid to an employee by an employer who has contracted to provide
services to a candidate or committee are not contributions by the
employer, provided that the services rendered by the employee are not
beyond the scope of the contract \[124\].

**C. Voluntary Spending Limits.** Each candidate for elective state
office must file a statement of acceptance or rejection of voluntary
expenditure limits at the time he or she files the statement of
intention \[125\]. Adherence to voluntary spending limits allow the
candidate to purchase space in the state ballot pamphlet and be
recognized as adhering to spending limits \[126\].

A candidate for elective state office, other than the Board of
Administration of the Public Employees' Retirement System, who
voluntarily accepts expenditure limits may not make campaign
expenditures in excess of \$6 million in the primary election and \$10
million in the general election for a candidate for governor \[127\];
\$4 million in the primary election and \$6 million in the general
election for a statewide candidate other than a candidate for governor
or the State Board of Equalization \[128\]; \$1 million in the primary
election and \$1.5 million in the general election for a candidate for
the State Board of Equalization \[129\]; \$600,000 in the primary
election and \$900,000 in the general election for a candidate for
Senate \[130\]; and \$400,000 in the primary election and \$700,000 in
the general election for a candidate for Assembly \[131\]. A campaign
expenditure made by a political party on behalf of a candidate may not
be attributed to these limitations on campaign expenditures \[132\].

A candidate for elective state office who declined to accept the
voluntary expenditure limits but does not exceed the limits in the
primary, special primary, or special election, may file a statement of
acceptance of the expenditure limits for a general or

special runoff election within 14 days following the primary, special
primary, or special election \[133\]. A candidate for elective state
office who has filed a statement accepting the voluntary expenditure
limits is not bound by those limits if an opposing candidate contributes
personal funds to his or her own campaign in excess of the voluntary
expenditure limits \[134\].

The Fair Political Practices Commission must adjust contribution limits
in January of every odd year to reflect the Consumer Price Index,
rounding the new limits to the nearest \$1,000 \[135\].

**D. Specifically Authorized and Prohibited Expenditures.** The Act sets
forth certain specifically approved expenditures to guide candidates in
the interpretation of language that requires expenditures to be made
only for things reasonably related to a political, legislative, or
governmental purpose \[136\]. Substantial personal benefit from an
expenditure is generally prohibited for a candidate or a member of his
or her immediate family \[137\].

Campaign funds may not be used to pay or reimburse the candidate,
elected official, or employees or staff of the campaign committee or
elected official's governmental agency for travel expenses and necessary
accommodations except when these expenditures are directly related to a
political, legislative, or governmental purpose \[138\].

Campaign funds may not be used to reimburse the cost of professional
services unless the services are directly related to a political,
legislative, or governmental purpose \[139\]. Expenditures by a campaign
committee for professional services reasonably required by the committee
to assist it in the performance of its administrative functions are
permissible \[140\].

Campaign funds may not be used to pay health-related expenses (including
examinations by physicians, dentists, psychiatrists, psychologists, or
counselors, expenses for medications, treatments, or medical equipment,
hospitalization, or health club dues, and special dietary foods) for a
candidate, elected official, or his or her household \[141\]. However,
campaign funds may be used to pay the employer costs of health care
benefits for a bona fide employee of the campaign committee \[142\].

Campaign funds may not be used to pay or reimburse fines, penalties,
judgments, or settlements, except for parking citations incurred in
performing an activity directly related to a political, legislative, or
governmental purpose \[143\], or any other action for which payment of
attorney's fees would be permitted under the Act \[144\].

Campaign funds may not be used for campaign, business, or casual
clothing, except specialty clothing that is not suitable for everyday
use, including formal wear, where this attire is to be worn by the
candidate or elected official and is directly related to a political,
legislative, or governmental purpose \[145\].

Campaign funds may be used to purchase or reimburse for the costs of
tickets to political fundraising events for the attendance of a
candidate, elected official, his or her immediate family, and employees
or staff of the campaign committee and the elected official's
governmental agency if not otherwise prohibited by law \[146\], but
campaign funds may not be used to pay for or reimburse for the costs of
tickets for entertainment or sporting events for the candidate, elected
official, or members of his or her immediate family, unless their
attendance at the event is directly related to a political, legislative,
or governmental purpose \[147\].

Campaign funds may not be used to make personal gifts unless the gift is
directly related to a political, legislative, or governmental purpose
\[148\]. An election night victory celebration or gifts totaling less
than \$250 in a calendar year made to an employee or a campaign
committee worker, or to an employee of the elected official's
governmental agency, are considered to be directly related to a
political, legislative, or governmental purpose \[149\]. Campaign funds
may not generally be used to make loans to a candidate for elective
office, a political party, or a committee \[150\].

There are limitations on the use of campaign funds for vehicle expenses
which provide that campaign funds may only be used to purchase a vehicle
if title to the vehicle is held by the campaign committee \[151\], and
the use of the vehicle is directly related to a political, legislative,
or governmental purpose \[152\]. Leasing a vehicle with campaign funds
is permitted only if the lessee is the campaign committee \[153\], and
the use of the vehicle is directly related to a political, legislative,
or governmental purpose \[154\]. Documented mileage and operating
expenses may be paid or reimbursed if the use of the vehicle is directly
related to a political, legislative, or campaign purpose and appropriate
records are maintained \[155\].

Campaign funds may not be used for payment or reimbursement for the
lease of real property, or for the purchase, lease, or refurbishment of
any appliance or equipment, where the lessee is, or the legal title
resides, in whole or in part, in a candidate, elected official, member
of his or her immediate family, campaign treasurer, or any individual or
individuals with authority to approve the expenditure of campaign funds
\[156\]. Campaign funds may also not be used for the purchase of real
property, but they may be used, excepted as otherwise prohibited, for
the lease of real property for up to one year at a time where the use of
that property is directly related to political, legislative, or
governmental purposes \[157\]. Real property, appliances, or equipment
are considered to be directly related to a political, legislative, or
governmental purpose as long as its use for other purposes is only
incidental to its use for political, legislative, or governmental
purposes \[158\].

Expenditures of campaign funds for attorney's fees and other costs in
connection with administrative, civil, or criminal litigation are not
directly related to a political, legislative, or governmental purpose,
except where the litigation arises directly out of a candidate's or
elected official's activities, duties, or status as such, including an
action to enjoin defamation, defense of an action to enjoin defamation,
defense of an action brought for a violation of state or local campaign,
disclosure, or election laws, and an action arising from an election
contest or recount \[159\].

Campaign funds may be used to make donations or loans to bona fide
charitable, educational, civic, religious, or similar tax-exempt,
nonprofit organizations, where no substantial part of the proceeds will
have a material financial effect upon the candidate, elected official, a
member of his or her immediate family, the campaign treasurer, or any
individual or individuals with authority to approve the expenditure of
campaign funds and where the donation or loan bears a reasonable
relation to a political, legislative, or governmental purpose \[160\].

Also permitted is payment for, or the reimbursement to the state of, the
costs of installing and monitoring an electronic security system in the
home or office (or both) of a candidate or elected officer who has
received threats to his or her physical safety, if the threats arise
from his or her activities or duties as a candidate or elected officer,
and the threats have been reported to and verified by an appropriate law
enforcement agency \[161\]. No more than \$5,000 in campaign funds may
be used \[162\]. If funds are used for such purposes, a special report
must be completed and filed with the Fair Political Practices Commission
\[163\]. The candidate or elected official must reimburse the campaign
fund account for the system's fair market value upon sale of the
property on which the system is installed \[164\].

**IV. REPORTING REQUIREMENTS**

**A. General Requirements.** Any person or combination of persons who
directly or indirectly receives contributions totaling \$1,000 or more
in a calendar year \[165\]; makes independent expenditures totaling
\$1,000 or more in a calendar year \[166\]; or makes contributions
totaling \$10,000 or more in a calendar year to or at the behest of
candidates or committees \[167\]; becomes a committee required to file
campaign statements under the Act. A slate mailer organization must file
a statement of organization within 10 days after it receives or is
promised \$500 or more for producing one or more slate mailers \[168\].

**B. Registration.** A committee that receives contributions of \$1,000
or more in a calendar year is a recipient committee, and must file a
statement of organization with the Secretary of State, with a copy to
the local filing officer, if any, within 10 days after it has qualified
as a committee \[169\]. A campaign committee formed between the closing
date for the last pre‑election statement and the date of the election
must register with the state in person, on-line, by FAX, or by telegram
within 24 hours of formation \[170\], including an independent
expenditure committee making expenditures of \$1,000 or more to support
or oppose a candidate or candidates \[171\].

The statement of organization must include the committee's name, street
address, and telephone number, if any, and, in the case of a sponsored
committee, the name of its sponsor (whenever a committee has more than
one sponsor, and the sponsors are members of an industry or other
identifiable group, a term identifying that industry or group must also
be included in the name of the committee) \[172\]; the name, street
address, and telephone number, if any of each sponsor, if any \[173\],
the name, street address, and telephone number of the committee's
treasurer and principal officers \[174\]; and the full name and office
sought by any candidate and the title and ballot number, if any, of any
measure which the committee supports or opposes as its primary activity
\[175\]. A committee that does not support or oppose one or more
candidates or ballot measure as its primary activity must provide a
brief description of its political activities, including whether it
supports or opposes candidates or measures and whether such candidates
or measures have common characteristics such as a political party
affiliation \[176\]. The statement of organization must also include a
statement whether the committee is independent or controlled by a
candidate or state ballot measure proponent, and if it is controlled,
the name of each candidate or committee by which it is controlled or
with which it acts jointly \[177\]; and information on the disposition
of surplus funds which will be made in the event of dissolution \[178\].
A candidate's controlled committee must also disclose its bank and bank
account information \[179\].

Whenever there is a change in any of the information contained in a
statement of organization, an amendment must be filed with the local
filing officer within 10 days to reflect the change \[180\]. An
amendment to the statement of organization must be filed by FAX,
on-line, telegram, or personal delivery with the regular filing officer
within 24 hours when the change requiring the amendment occurs before
the date of the election in connection with which the committee is
required to file a pre‑election statement, but after the closing date of
the last pre‑election statement required to be filed for the election if
the name of the committee, the name of the treasurer or other principal
officers, or the name of any candidate or committee by which the
committee is controlled or with which it acts jointly is changed
\[181\]. The notification must include the changed information, the date
of the change, the name of the person providing the information, and the
committee's name and identification number \[182\].

A candidate must file a candidate intention statement before any
contributions may be solicited or received \[183\]. Each candidate who
raises contributions of \$1,000 or more in a calendar year must also
file a campaign bank account statement that identifies the campaign bank
account, with the name and address of the bank, established solely for
that election \[184\]. A statement of organization for a candidate must
also be filed with the Secretary of State if a candidate receives
contributions totaling \$1,000 or more in a calendar year \[185\].

A slate mailer organization \[186\], a person (other than a candidate or
officeholder or a candidate's or officeholder's controlled committee
\[187\]; an official committee of any political party \[188\]; a
legislative caucus committee \[189\]; or a committee primarily formed to
support or oppose a candidate, officeholder, or ballot measure \[190\])
involved in the production of one or more slate mailers who exercises
control over the selection of the candidates and measures to be
supported or opposed in the slate mailers, and receives or is promised
payments totaling \$500 or more in a calendar year for the production of
one or more slate mailers \[191\], must file a registration statement
\[192\].

The statement of organization of a slate mailer organization must
include the name, street address, and telephone number of the
organization (in the case of an individual or business entity that
qualifies as a slate mailer organization, the name of the slate mailer
organization must include the name by which the individual or entity is
identified for legal purposes) \[193\]; the full name, street address,
and telephone number of the treasurer and other principal officers
\[194\]; and the full name, street address, and telephone number of each
person with final decision making authority as to which candidates or
measures will be supported or opposed in the organization's slate
mailers \[195\]. The statement of organization must be filed with the
Secretary of State within 10 days after the slate mailer organization
receives or is promised \$500 or more for producing one or more slate
mailers \[196\]. If an entity qualifies as a slate mailer organization
before the date of an election in which it is required to file
preelection statements, but after the closing date of the last campaign
statement required to be filed before the election, it must file with
the Secretary of State, by telegram or personal delivery within 24 hours
of qualifying as a slate mailer organization, the information required
to be reported in the statement of organization \[197\].

**C. Reporting by Candidates and Committees.** Most candidates and
committees must file semi-annual campaign statements no later than July
31st and January 31st \[198\] with closing dates of June 30th \[199\],
and December 31st \[200\]. All elected officials must file campaign
statements no later than July 31st and January 31st, except for judges,
or elected officers whose salaries are less than \$200 per month, unless
the elected officer or judge is a candidate or committee which makes or
receives contributions or makes expenditures during the applicable
six‑month period \[201\]. A judge who is not listed on the ballot for
reelection to, or recall from, any elective office during a calendar
year does not have to file semi-annual statements for any six-month
period if the judge has not received any contributions \[202\] and the
only expenditures made by the judge during the calendar year are
contributions from the judge's personal funds to other candidates or
committees totaling less than \$1,000 \[203\].

In connection with a statewide direct primary held in March of an
even‑numbered year, and any other election held on the same day as that
election, the following candidates and committees must file campaign
reports for the calendar year prior to the election: all candidates who
have filed or are required to file a statement of intention in
connection with the election, their controlled committees, and
committees primarily

formed to support or oppose those candidates \[204\]; committees
primarily formed to support the qualification, passage, or defeat of a
measure being voted upon in the election \[205\]; state and county
general purpose committees that have made contributions or independent
expenditures totaling \$500 or more during the period July 1 through
September 30 \[206\]; city general purpose committees that have made
contributions or independent expenditures totaling \$500 or more during
the period July 1 through September 30 \[207\]; candidates and
committees not otherwise covered that make contributions totaling
\$5,000 or more to an elected state officer, a candidate for

elective state office, his or her controlled committee, or a committee
primarily formed to support or oppose any elected state officer or
candidate for elective state office during the period July 1, through
September 30 or July 1 through December 31 \[208\]; and any slate mailer
organization that produces a slate mailer supporting or opposing a
candidate or measure being voted on in the election if the slate mailer
organization receives payments totaling \$500 or more from any person
for the support of or opposition to a candidate or ballot measure in one
or more slate mailers, or expends \$500 or more to produce one or more
slate mailers \[209\].

In addition to the semi-annual campaign statements, all candidates for
state elective office in the primary or general elections, their
controlled committees, and committees primarily formed to support or
oppose an elected state officer or such a candidate, and all elected
state officers who, during the appropriate reporting period, contribute
to a committee required to report \[210\], must file a pre-election
report no later than March 22 in most circumstances \[211\], and again
no later than 12 days before the June election \[212\], and for the
general election period, no later than October 5 \[213\], and no later
than 12 days before the general election \[214\].

A candidate who lost in the primary election, his or her controlled
committee, and any committee primarily formed to support or oppose that
candidate is not required to file the statements in connection with the
November election unless the candidate, his or her controlled committee,
or any committee primarily formed to support or oppose that candidate
contributes to any committee required to report receipts, expenditures,
or contributions or make independent expenditures \[215\].

During an even-numbered year candidates for other than state elective
office voted on in the primary and general elections, their controlled
committees, and committees primarily formed to support or oppose those
candidates or a measure being voted on at the primary or general
elections are required to file all pre-election reports required of
state candidates \[216\].

All other candidates, their controlled committees, and committees
primarily formed to support or oppose such a candidate or a measure
\[217\] file pre-election statements no later than 40 days before the
election \[218\], and again no later than 12 days before the election
\[219\].

During an even-numbered year, most state and county general purpose
recipient committees are required to file pre-election reports on the
same schedule as most state candidates if they make contributions or
independent expenditures of \$500 or more during the period covered by
the pre-election statement \[220\]. State and county general purpose
committees that do not make contributions but make \$1,000 or more in
independent expenditures in a calendar year \[221\], or contributions of
\$10,000 or more in a calendar year at the behest of candidates or
committees \[223\] are not required to file such statements \[222\].
City general purpose committees are required to file reports on the same
schedule as most state candidates if they make contributions or
independent expenditures of \$500 or more during the period covered by
the pre-election statement \[224\]. City general purpose committees in
cities which have elections at times other than the usual June and
November cycle are required to file reports no later than 40 days
\[225\] and 12 days \[226\] before an election if they make
contributions or independent expenditures of \$500 or more during the
period covered by the pre-election statement \[227\].

In addition to semi-annual statements, committees primarily formed to
support or oppose the qualification, passage, or defeat of a ballot
measure, and proponents of a state ballot measure who control a
committee formed or existing primarily to support or oppose the
qualification, passage, or defeat of a state ballot measure file
campaign statements no later than April 30 for the period of January 1
through March 31 \[228\], and no later than October 31 for the period of
July 1 through September 30 \[229\]. These reporting provisions do not
apply to committees during an semi-annual period in which the committee
is required to file pre-election statements under § 84200.5(a) - (c)
\[230\], nor to a committee following the election in which the measure
is voted upon unless the committee makes contributions or expenditures
to support or oppose qualification of another ballot measure \[231\].

Any candidate or committee which makes contributions totaling \$10,000
or more in connection with an election, including a run‑off election,
must file with the proper filing authority or authorities a supplemental
pre‑election statement no later than 12 days before the election for the
period ending 17 days before the election \[232\], except for candidates
and committees during any six‑month period in which the candidate or
committee is required to file certain pre‑election statements \[233\].
During an odd‑numbered year, any committee which makes contributions
totaling \$1,000 or more to elected state officers, their controlled
committees, or committees primarily formed to support or oppose any
elected state officer, between January 1 and March 31 file a statement
no later than April 30 \[234\], or between July 1 and September 30 file
a statement no later than October 31 \[235\]. If a committee makes
contributions totaling \$10,000 or more to elected state officers, their
controlled committees, or committees primarily formed to support or
oppose any elected state officer during the specified dates reports all
of those contributions through other reports on or before this special
reporting deadline, the additional statement is not required to be filed
\[236\].

A ballot measure committee must report each contribution of \$1,000 or
more received during any election cycle on-line or electronically within
24 hours of receipt \[237\]; and any contribution of \$5,000 or more
received at any other time \[238\]. The same reporting requirements
apply to those making independent expenditures \[239\].

Each candidate or committee that makes or receives a late contribution
(a contribution aggregating \$1,000 or more received after the closing
date for the last pre‑election report) must file a late contribution
report by telegram, guaranteed overnight mail through the United States
Postal Service, FAX (if not more than 30 pages), or personal delivery
within 24 hours of the time it is made in the case of a candidate or
committee that makes the contribution, and within 24 hours of the time
it is received in the case of the recipient \[240\]. A FAXed report or
statement is not deemed filed if it is not an exact copy of the original
or copy of the report or statement personally delivered or sent by
first-class mail or guaranteed overnight delivery \[241\]. The candidate
or committee that makes the late contribution must report his or her
full name and street address, the full name and street address of the
person to whom the late contribution has been made, the office sought if
the recipient is a candidate, the ballot measure number or letter if the
recipient is a committee primarily formed to support or oppose a ballot
measure, and the amount and date of the late contribution \[242\]. The
recipient of the late contribution must also report his or her full name
and street address, and the date and amount of the late contribution,
with the full name of the contributor, his or her street address,
occupation, and the name of his or her employer, or, if self‑employed,
the name of the business \[243\]. A late contribution need not be
reported nor deemed accepted if it is not cashed, negotiated, or
deposited and is returned to the contributor within 24 hours of its
receipt \[244\].

A candidate or committee that makes a late in-kind contribution must
notify the recipient of the value of the contribution in writing. The
notice must be received by the recipient within 24 hours of the time the
contribution is made, and the recipient must report the late in-kind
contribution within 48 hours of the time the contribution is received
\[245\].

If a candidate or committee has made independent expenditures totaling
\$1,000 or more in a calendar year to support or oppose a candidate, a
measure, or qualification of a measure, it must file independent
expenditure reports with the proper filing authority or authorities at
the same time, covering the same periods, as if it were formed or
existing primarily to support or oppose the candidate or measure or
qualification of the measure \[246\]. An independent expenditure report
must contain the name, street address, and telephone number of the
candidate or committee making the expenditure, and of the committee's
treasurer, and the number assigned to the committee by the Secretary of
State \[247\]; if the report is related to a candidate, the full name of
the candidate and the office and district for which the candidate seeks
nomination or election, or, if the report is related to a measure or
qualification of a measure, the number or letter of the measure, or, if
none has yet been assigned, a brief description of the subject matter of
the measure, and the jurisdiction in which the measure is to be voted on
or would be voted on if it qualified \[248\]; the total amount of
expenditures related to the candidate or measure during the period
covered by the report made to persons who have received less than \$100
\[249\]; the total amount of expenditures related to the candidate or
measure during the period covered by the report made to persons who have
received \$100 or more \[250\]; a list of all of the filing officers
with whom the committee filed its most recent campaign statement
\[251\]; and, for each person to whom an expenditure of \$100 or more
related to the candidate or measure has been made during the period
covered by the report and for each person who has provided consideration
for an expenditure of \$100 or more during the period covered by the
report, his or her full name \[252\], his or her street address \[253\],
if the person is a committee, the name of the committee, the number
assigned to the committee by the Secretary of State, or if no number has
been assigned, the full name and street address of the treasurer of the
committee \[254\], the date of the expenditure \[255\], the amount of
the expenditure \[256\], a brief description of the consideration for
which each expenditure was made and the value of the consideration if
less than the total amount of the expenditure \[257\], and the
cumulative amount of expenditures to the person \[258\].

A person who makes a payment or a promise of payment totaling \$50,000
or more for a communication that clearly identifies a candidate for
elective state office, but does not expressly advocate the election or
defeat of the candidate, and that is disseminated, broadcast, or
otherwise published within 45 days of an election, must file on-line or
electronically with the Secretary of State a report disclosing the name
of the person, address, occupation, and employer, and amount of the
payment within 48 hours of making the payment or the promise to make the
payment \[259\]. If any person has received a payment or a promise of a
payment from other persons totaling \$5,000 or more for the purpose of
making such a communication, the person receiving the payments must
disclose on the report the name, address, occupation and employer, and
date and amount received from the person \[260\]. A person who receives
or is promised a payment that is otherwise reportable is not required to
report the payment if the person is in the business of providing goods
or services and receives or is promised the payment for the purpose of
providing those goods or services \[261\].

A committee that makes a late independent expenditure---any independent
expenditure which totals in the aggregate one thousand dollars (\$1,000)
or more and is made for or against any specific candidate or measure
involved in an election before the date of the election but after the
closing date of the last campaign statement required to be filed prior
to the election by a candidate or committee participating in such
election \[262\]---must report the independent expenditure to the proper
filing authority by telegram, guaranteed overnight mail through the
United States Postal Service, FAX, or personal delivery within 24 hours
of the time it is made \[263\]. A FAXed report or statement is not
deemed filed if it is not an exact copy of the original or copy of the
report or statement personally delivered or sent by first-class mail or
guaranteed overnight delivery \[264\]. The committee that makes the late
independent expenditure must report its full name and street address,
the name, office, and district of the candidate, if the report is
related to a candidate, or if the report is related to a ballot measure,
the number or letter of the ballot measure, the jurisdiction in which
the measure is to be voted upon, the amount and date, and a description
of the goods and services for which the late expenditure was made
\[265\]. A committee that makes a late independent expenditure files a
late independent expenditure report in the places it would be required
to file statements if it were formed or existing primarily to support or
oppose the candidate or measure for or against which it is making the
late independent expenditure \[266\].

A candidate or state measure proponent and any committee or committees
which the candidate or a state measure proponent controls may file
consolidated campaign statements in each place each of the committees
and the candidate or state measure proponent would be required to file
campaign statements if separate statements were filed \[267\].

An organization which sponsors a political action committee is not a
political committee and is not required to file a campaign statement if
the name of the political action committee includes the official or
publicly recognized name of the sponsoring organization \[268\]; the
sponsoring organization does not make a sufficient amount of
contributions and expenditures, other than those in support of the
committee, to satisfy the reporting thresholds \[269\]; the committee
reports all contributions and expenditures made in support of the
committee by the sponsoring organization, its intermediate units, and
the members of such entities \[270\]; the committee reports as an
intermediary the sponsoring organization and each intermediate unit
which directly or indirectly provides the committee with \$100 or more
in member contributions, regardless of whether any member for whom the
intermediary acted contributed \$100 or more \[271\]; if the
intermediate unit's name is substantially different from the name of the
sponsoring organization \[272\]; and a responsible officer of the
sponsoring organization verifies the campaign statement in addition to
the treasurer of the political action committee \[273\].

If a state or local government agency has enough campaign activity to
qualify it as a committee, the state or local government agency itself
will be required to file campaign statements \[274\]. The individual
authorizing or directing the making of expenditures or contributions
which qualify an agency as a committee must be the treasurer unless
another individual is designated \[275\]. Under many circumstances,
campaign‑related activities by a state or local government agency may be
illegal \[276\].

A slate mailer organization required to file campaign reports must
include the following information: (a) The total amount of receipts
during the period covered by the campaign statement and the total
cumulative amount of receipts, payments received by a slate mailer
organization for production and distribution of slate mailers \[277\];
(b) The total amount of disbursements made during the period covered by
the campaign statement and the total cumulative amount of disbursements,
payment made by a slate mailer organization for the production or
distribution of slate mailers \[278\]; (c) For each candidate or
committee that is a source of receipts totaling \$100 or more during the
period covered by the campaign statement: (1) The name of the candidate
or committee, identification of the jurisdiction and the office sought
or ballot measure number or letter, and if the source is a committee,
the committee's identification number, street address, and the name of
the candidate or measure on whose behalf or in opposition to which the
payment is made \[279\]; (2) The date and amount received for each
receipt totaling \$100 or more during the period covered by the campaign
statement \[280\]; (3) The cumulative amount of receipts on behalf of or
in opposition to the candidate or measure \[281\]; (d) For each person
other than a candidate or committee who is a source of receipts totaling
\$100 or more during the period covered by the campaign statement: (1)
Identification of the jurisdiction, office or ballot measure, and name
of the candidate or measure on whose behalf or in opposition to which
the payment was made \[282\]; (2) Full name, street address, name of
employer, or, if self‑employed, name of business of the source of
receipts \[283\]; (3) The date and amount received for each receipt
totaling \$100 or more during the period covered by the campaign
statement \[284\]; (4) The cumulative amount of receipts on behalf of or
in opposition to the candidate or measure \[285\]; (e) For each
candidate or ballot measure not reported, but who was supported or
opposed in a slate mailer sent by the slate mailer organization during
the period covered by the report, identification of jurisdiction, office
or ballot measure, and name of the candidate or measure who was
supported or opposed \[286\]; (f) The total amount of disbursements made
during the period covered by the campaign statement to persons who have
received \$100 or more \[287\]; (g) The total amount of disbursements
made during the period covered by the campaign statement to persons who
have received less than \$100 \[288\]; (h) For each person to whom a
disbursement of \$100 or more has been made during the period covered by
the campaign statement: his or her full name \[289\]; street address
\[290\]; the amount of each disbursement \[291\]; and a brief
description of the consideration for which each disbursement was made
\[292\]. The information required, inclusive, for each person, if
different from the payee, who has provided consideration for a
disbursement of \$500 or more during the period covered by the campaign
statement \[293\]; cumulative disbursements, totaling \$1,000 or more,
made directly or indirectly to any person listed in the slate mailer
organization's statement of organization \[294\]; and the full name,
street address, and telephone number of the slate mailer organization
and of the treasurer \[295\].

If a slate mailer organization receives a late contribution of \$2,500
or more for purposes of supporting or opposing any candidate or ballot
measure in a slate mailer, the slate mailer organization must report the
payment in the same manner as candidates and committees when reporting
late contributions received \[296\]. The slate mailer organization must
also identify the candidates or measures whose support or

opposition is being paid for, in whole or in part, by each late payment
\[297\].

**D. Special Short Form Reports for Certain Candidates.** A candidate or
officeholder who plans to receive contributions of less than \$1,000,
and who plans to make expenditures of less than \$1,000 in a calendar
year may file a short form campaign statement for that calendar year in
lieu of any other campaign statements \[298\]. If a candidate who files
a short form report in connection with an election subsequently receives
monetary or non-monetary contributions totaling \$1,000 or more, or
makes expenditures totaling \$1,000 or more during the calendar year,
written notification must be sent to the Secretary of State, the
appropriate local filing officer, and each candidate contending for the
same office \[299\], by telegram, guaranteed overnight delivery,
personal delivery, or FAX (if not more than 30 pages) \[300\], within 48
hours of meeting the threshold \[301\]. A FAXed report or statement is
not deemed filed if it is not an exact copy of the original or copy of
the report or statement personally delivered or sent by first-class mail
or guaranteed overnight delivery \[302\]. The notification must include
the name and address of the candidate, the office sought, the election
date, and the date the threshold was met \[303\]. The \$1,000 threshold
does not include payments made for a filing fee or a statement of
qualification if the payments have been made from the candidate's
personal funds \[304\]. The written notification under this section
serves to revoke the previously filed short form statement \[305\].

**E. Reporting by Others.** Any person who employs or contracts for the
services of one or more lobbyists, independently or jointly with another
\[306\] and any person who directly or indirectly makes payments of
\$5,000 to influence legislative or administrative action in any
calendar quarter \[307\] must file periodic reports detailing the date
and amount of each contribution of \$100 or more made by the filer to a
state candidate, an elected state officer, or a committee supporting
such candidate or officer, and the name of the recipient of each
contribution \[308\].

An elected or appointed officer of an agency, any alternate to an
elected or appointed officer of an agency, and any candidate for
elective office in an agency \[309\] is subject to certain special
reporting requirements, as is anyone seeking a business, professional,
trade and land use license or permits and any other entitlement for use,
including all entitlements for land use, all contracts (other than
competitively bid, labor, or personal

employment contracts), and all franchises \[310\] under certain
circumstances.

Prior to rendering any decision in a proceeding involving a license,
permit or other

entitlement for use pending before an agency, each officer of the agency
who received a contribution within the preceding 12 months in an amount
of more \$250 from a party or from any participant must disclose that
fact on the record of the proceeding \[311\]. A party to a proceeding
before an agency involving a license, permit, or other entitlement for
use must also disclose on the record of the proceeding any contribution
in an amount of more than \$250 made within the preceding 12 months by
the party, or his or her agent, to any officer of the agency \[312\].

**F. Contents of Campaign Statements.** Each campaign statement must
contain information on the total amount of contributions received and
expenditures made during the period covered by the campaign statement,
and the total cumulative amount of contributions received and
expenditures made \[313\]; the total amount of contributions received
during the period from persons who have given a cumulative amount of
\$100 or more \[314\], and the total amount of contributions received
during the period from persons who have given a cumulative amount of
less than \$100 \[315\]; and the balance of cash and cash equivalents on
hand at the beginning and the end of the period covered by the campaign
statement \[316\]. If the cumulative amount of contributions (including
loans) received from a person is \$100 or more and a contribution or
loan has been received from that person during the period covered by the
campaign statement, the statement must detail that person's full name
\[317\]; the name of the person's employer, or, if self‑employed, name
of business \[318\]; the date and amount received for each contribution
received during the period, and, if the contribution is a loan, the
interest rate \[319\]; and the cumulative amount of the contributions
\[320\]. The full name \[321\]; street address \[322\]; occupation
\[323\]; the name of the person's employer, or, if self‑employed, name
of business \[324\]; and the amount of a person's maximum liability is
required to be on the statement for each person, other than the filer,
who is directly, indirectly, or contingently liable for repayment of a
loan of \$400 or more made or received during the period covered by the
campaign statement \[325\].

The statement must also contain the total amount of expenditures made
during the period to persons who have received \$100 or more \[326\].
For each person to whom an expenditure of \$100 or more was made during
the period covered \[327\], and each person, if different from the
payee, who has provided consideration for an expenditure of \$100 or
more during the period \[328\] the statement must contain the person's
full name \[329\]; street address \[330\]; the amount of each
expenditure \[331\]; a brief description of the consideration for which
the expenditure was made \[332\]; and, in the case of an expenditure
that is a contribution, the date of the contribution, cumulative amount
of contributions made to a candidate, elected officer, or committee; the
full name of the candidate and the office and district for which he
seeks nomination or election; and, in the case of a contribution in
support of or opposition to a measure, the number or letter of the
measure and the jurisdiction in which the measure will be voted on
\[333\]. In the case of an expenditure made to pay or reimburse the
travel expenses or necessary accommodations of a candidate, his or her
representative, or a member of the candidate's immediate family, the
date, destination, and total expenditure for each trip must be reported
\[334\].

If the campaign statement is filed in connection with the qualification
of a measure, it must include the full name, street address, amount of
each expenditure, and a brief description of the consideration for which
each expenditure was made with respect to each person who has, directly,
indirectly, or through an intermediary, received payments cumulatively
totaling \$100 or more for circulation of petitions to qualify a measure
for the ballot \[335\]. If a committee primarily formed for the
qualification or support of, or opposition to, an initiative or ballot
measure is required to report an expenditure to a business entity, and
50% or more of the business entity is owned by the candidate or person
controlling the committee, by an officer or employee of the committee,
or by a spouse of any of these individuals, the committee's campaign
statement must also contain the person's name, the person's relationship
to the committee, and a description of the person's ownership interest
or position with that entity \[336\]. If a committee primarily formed
for the qualification or support of, or opposition to, an initiative or
ballot measure is required to report an expenditure to a business
entity, and a candidate or person controlling the committee, an officer
or employee of the committee, or a spouse of any of these individuals is
an officer, partner, consultant, or employees of the business entity,
the committee's campaign statement must also contain the person's name,
the person's relationship to the committee, and a description of the
person's ownership interest or position with that entity \[337\].

Each recipient committee must also disclose the amount and source of any
miscellaneous receipt \[338\]. If a contribution of \$100 or more is
made to or received from a committee, or an expenditure of \$100 or more
is made to a committee, the statement must list the number assigned by
the Secretary of State to the committee, or, if no number has been
assigned, the full name and street address of the treasurer of the
committee assigned, the full name and street address of the treasurer of
the committee \[339\]. In a campaign statement filed by a candidate who
is a candidate in both a state primary election and a general election,
the candidate's controlled committee, or a committee primarily formed to
support such a candidate, the total amount of contributions received and
expenditures made for the period January 1st through June 30th, and the
total amount of contributions received and expenditures made for the
period July 1st through December 31st must be reported \[340\].

The campaign statement must also contain the full name, residential and
business addresses and telephone numbers of the filer, or, in the case
of a campaign statement filed by a committee, the name, street address,
and telephone number of the committee and its treasurer \[341\]. If a
campaign statement is filed by a candidate, the candidate must disclose
the name, street address, and treasurer of any committee of which he has
knowledge which has received contributions or made expenditures on
behalf of his or her candidacy, and whether such committee is controlled
by the candidate \[342\].

A campaign statement filed by a committee which makes independent
expenditures of \$1,000 or more in a calendar year, or makes
contributions totaling \$10,000 or more in a calendar year to or at the
behest of candidates or committees is required to contain certain
information sufficient to identify the nature and interests of the filer
\[343\]. If the filer is an individual, the name and address of the
filer's employer, if any, or his or her principal place of business if
the filer is self-employed, and a description of the business activity
in which the filer or his or her employer is engaged must be disclosed
\[344\]. If the filer is a business entity, a description of the
business activity in which it is engaged must be disclosed \[345\]. If
the filer is an industry, trade, or professional association, a
description of the industry, trade, or profession which it represents,
including a specific description of any portion or faction of the
industry, trade, or profession which the association exclusively or
primarily represents must be disclosed \[346\]. If the filer is not an
individual, business entity, an industry, trade, or professional
association, a statement of the person's nature and purposes, including
a description of any industry, trade, profession, or other group with a
common economic interest which the person principally represents or from
which its membership or financial support is principally derived must be
made \[347\].

A candidate must verify his or her campaign statement, and the campaign
statement of each committee subject to his or her own control, and all
reports, even those of noncandidates, are to be signed under penalty of
perjury \[348\]. The verification must state that the filer has used all
reasonable diligence in its preparation, and, that to the best of his or
her knowledge it is true and complete \[349\]. In the case of a
candidate or state measure proponent verification, it must state that,
to the best of the individual's knowledge, the treasurer of each
controlled committee used all reasonable diligence in the preparation of
the committee's statement, but the treasurer must also verify the report
\[350\]. A report or statement filed by a committee must be signed and
verified by the treasurer, and a report or statement filed by any other
organization must be signed and verified by a responsible officer of the
organization, or by an attorney or a certified public accountant
\[351\].

**G. Reporting of Loans.** A loan must be reported if the loan is a
contribution \[352\], the loan is received by a committee \[353\], or if
the loan is received by a candidate and is used for political purposes
\[354\]. The due date of the loan, if any, is to be reported in the
reporting period in which the loan is received \[355\]. For any
reporting period in which any part of a loan is repaid or forgiven,
additional information is required \[356\]. This information includes
the original date and source of the loan \[357\], any change in the
interest rate of the loan \[358\], the balance owed on the original
principal at the end of the reporting period \[359\], and the amount of
any forgiveness or repayment of any part of the loan by the lender, by
any cosigner or guarantor, or by any other person during the reporting
period, and the name, address, occupation, and employer of any such
person \[360\]. For any calendar year in which any part of the loan is
outstanding, the original date, amount, and source of the loan \[361\]
and the balance owed on the principal and interest on the loan at the
end of the reporting period must be reported on no more than one
campaign statement \[362\].

A loan of campaign funds must also be reported \[363\]. The report must
include for the reporting period in which the loan is made, the date,
amount, interest rate, and the due date, if any \[364\]. For any
reporting period in which any part of the loan is repaid or forgiven,
additional information is required \[365\]. This information includes
the original date of the loan and the person to whom the loan was made
\[366\], the purpose of the payment, any change in the interest rate,
and, if the payment is made by a third party, the name and address of
the person making the payment \[367\], the balance owed on the principal
at the end of the reporting period \[368\], and the amount of any
forgiveness of the loan during the reporting period \[369\]. For any
calendar year in which any part of the loan is outstanding, the original
date, amount, and the name of the person to whom the loan was made
\[370\], and the balance owed on the principal and interest on the loan
at the end of the reporting period must be reported on no more than one
campaign statement \[371\].

**H. Place of Filing.** All candidates, elected officers, committees,
and proponents of state ballot measures (except city elected officers,
candidates for city office, their controlled committees, and committees
formed or existing primarily to support or oppose candidates or measures
in one city) must file two copies of their campaign statements with the
clerk of the county in which they are domiciled \[372\]. A committee is
domiciled at the address listed on its campaign statement unless it is
domiciled outside California, in which case its domicile is deemed to be
Los Angeles County for filing purposes \[373\]. In addition, statewide
elected officers, candidates for such offices (other than Board of
Equalization), their controlled committees, justices of the supreme
court, state central committees of political parties, and committees
formed or existing primarily to support or oppose such candidates or
elected officers or statewide measures or their qualification must file
the original and one copy of the statement with the Secretary of State
\[374\]; two with the registrar‑recorder of Los Angeles County, campaign
reporting unit \[375\]; and two copies with the registrar of voters of
the city and county of San Francisco, campaign statements \[376\].
Members of the Legislature or Board of Equalization, justices of the
court of appeals, judges of the superior court, candidates for those
offices, their controlled committees, and committees formed or existing
primarily to support or oppose such candidates or officeholders must
also file the original and one copy with the Secretary of State \[377\],
and two copies with the clerk of the county with the largest number of
registered voters which is included in whole or in part in the
candidate's or officeholder's district \[378\]. Elected officers in
jurisdictions other than legislative districts, Board of Equalization
districts, or appellate court districts which contain parts of two or
more counties, candidates for such offices, their controlled committees
and committees formed or existing primarily to support or oppose
candidates or local measures to be voted upon in one of these
jurisdictions must also file the original and one copy with the clerk of
the county with the largest number of registered voters in the
jurisdiction \[379\]. County elective officers, municipal court judges,
candidates for such offices, their controlled committees and committees
formed or existing primarily to support or oppose candidates or local
measures to be voted upon in any number of jurisdictions within one
county, other than related to city elections, must also file the
original and one copy with the clerk of the county \[380\]. City
elective officers, candidates for city office, their controlled
committees, and committees formed or existing primarily to support or
oppose candidates or local measures to be voted upon in one city must
file the original and one copy with the clerk of the city \[381\]. If a
committee is initially required to file campaign statements under the
city or county provisions, the committee must continue to file such
statements in such places, in addition to any other places required,
until the end of the calendar year \[382\].

When a report or statement or copies required to be filed with any
officer have been sent by first class mail or guaranteed overnight
delivery service addressed to the officer, it will for purposes of any
deadline, be deemed to have been received on the date of the deposit in
the mail or receipt by the delivery service \[383\]. Any date stamped by
the post office on the envelope or overnight delivery receipt containing
the report or statement is presumed, until the contrary is established,
to be the date it was deposited in the mail or received by the delivery
service \[384\]. Mail which is not received by the filing officer is
presumed not to have been sent unless the filer possesses a post office
or delivery service receipt establishing the date of deposit, and the
name and address of the addressee \[385\]. Second pre-election
statements, which are due 12 days before an election, must be filed by
personal delivery or guaranteed overnight delivery by candidates being
voted upon, their controlled committees, and committees formed to
support or oppose candidates or ballot measures being voted upon in the
election \[386\]. Reports and statements consisting of 30 pages or less
may also be FAXed by the applicable deadline \[387\]. The required paper
originals or copies must be sent by first class mail, personal delivery,
or guaranteed overnight delivery within 24 hours of the applicable
deadline \[388\]. A report is not deemed filed if a FAXed copy is not a
true and correct copy of the original or copy sent by mail, personal
delivery, overnight delivery service, or FAX \[389\]. An unsigned
statement is not filed within the requirements of the Act, but absence
of a date, the filing of a copy rather than a signed original, absence
of signature by the candidate in the case of a controlled committee
where the treasurer's signature is present, or absence of signature by
the treasurer when the candidate has signed in the case of a controlled
committee are errors or omissions to be remedied, but are not fatal to
the effective date of the filing \[390\].

**I. Electronic Filing.** Beginning with the pre-election statements
required to be filed in connection with the March 7, 2000 primary,
certain candidates and committees must file electronically using
approved software programs if \$100,000 has been raised or spent from
January 1, 1999 through the closing dates for the pre-election
statements \[391\]. Starting on July 1, 2000, the filing threshold drops
to \$50,000 for the period beginning January 1, 2000 \[392\]. Those
required to file on-line are candidates for elective state office; state
ballot measure committees; committees supporting or opposing state
candidates and measures; state general purpose recipient committees; and
state slate mailer organizations \[393\]. Paper filings are still
required in addition to the electronically-filed statements \[394\].

Committees and other persons that are not required to file on-line or
electronically by this section may do so voluntarily \[395\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Disposition of Certain Surplus Funds.** Upon leaving any elective
office, or at the end of the post-election reporting period following
the defeat of a candidate for elective office, whichever occurs last,
surplus campaign funds raised before January 1, 1989, under the control
of the former candidate or officeholder or his or her controlled
committee must be used or held for a limited number of purposes \[396\].
These purposes include repayment of personal or committee loans or other
obligations if there is a reasonable relationship to a political,
legislative or governmental activity \[397\]; the payment of outstanding
campaign expenses \[398\]; contributions to any candidate, committee, or
political party, except where prohibited by law \[399\]; pro rata
repayment of contributors \[400\]; donations to certain religious,
scientific, educational, social welfare, civic, or fraternal
organizations \[401\]; and, except where otherwise prohibited by law,
held in a segregated fund for future political campaigns, not to be
spent except for political activity reasonably related to preparing for
future candidacy for elective office \[402\].

Also permitted is payment for, or the reimbursement to the state of, the
costs of installing and monitoring an electronic security system in the
home or office (or both) of a candidate or elected official who has
received threats to his or her physical safety, if the threats arise
from his or her activities or duties as a candidate or elected official,
and the threats have been reported to and verified by an appropriate law
enforcement agency \[403\]. No more than \$5,000 in surplus campaign
funds may be used \[404\]. If funds are used for such purposes, a
special report must be completed and filed with the Fair Political
Practices Commission \[405\]. Payments must be made during the two years
immediately following the date upon which the campaign funds became
surplus campaign funds, and the candidate or elected official must
reimburse the surplus campaign fund account for the system's fair market
value no later than two years immediately following the date upon which
the campaign funds became surplus campaign funds, upon sale of the
property on which the system is installed, or prior to the closing of
the surplus campaign fund account \[406\]. The electronic security
system becomes the property of the candidate or elected official
\[407\].

Disposition of funds raised after January 1, 1989 may only be
accomplished through the repayment of outstanding campaign debts or
elected official's expenses \[408\], pro rata repayment of contributions
\[409\], donations to any bona fide charitable, educational, civic,
religious, or similar tax-exempt, nonprofit organization, where no
substantial part of the proceeds will have a material financial effect
on the former candidate or elected official, any member of his or her
immediate family, or his or her campaign treasurer \[410\],
contributions to a political party so long as the funds are not used to
make contributions in support of or opposition to a candidate for
elective office \[411\], contributions to support or oppose a candidate
for federal office, a candidate in another state, or a ballot measure
\[412\], or the payment for professional services reasonably required by
the committee to assist in the performance of its administrative
functions, including payment for attorneys fees for litigation which
arises directly out of a candidate's or elected officer's activities,
duties, or status as an elected officer, including, but not limited to,
an action to enjoin defamation, defense of an action brought of a
violation of state or local campaign, disclosure, or election laws, and
an action arising from an election recount or contest \[413\].

**B. Supplemental Reports.** The filing obligations of an independent
expenditure committee, or committee which makes contributions totaling
\$10,000 or more in a calendar year to or at the behest of candidates or
committees may terminate at the end of the calendar year, except to the
extent that additional campaign statements are required by the reporting
provisions of the Act \[414\]. If additional campaign statements are
filed after the beginning of a new calendar year because the committee
files a post‑election statement for an election held during the previous
calendar year, a statement in connecting with the qualification of a
measure, or a semiannual statement covering activity for the period July
1st through December 31st the committee's filing obligations terminate
when such statements have been filed \[415\].

**C. Termination of Status.** A candidate may terminate his or her
status as a candidate, and a treasurer of a recipient committee may
terminate the committee's status as a committee, only by filing a
statement of termination declaring, under penalty of perjury, that the
candidate or committee has ceased to receive contributions and make
expenditures and does not anticipate receiving contributions or making
expenditures in the future \[416\]; has eliminated or has declared that
it has no intention or ability to discharge all of its debts, loans
received, and other obligations \[417\]; has no surplus funds \[418\];
and has filed all required campaign statements disclosing all reportable
transactions \[419\]. A statement of termination for a committee is
filed in the original with the Secretary of State, and a copy is filed
with each filing officer with whom a copy of the committee's last
campaign statement was filed \[420\]. A candidate's statement of
termination is filed in the original with the filing officer with whom
the original of the candidate's last campaign statement was filed
\[421\]. A candidate or committee that has terminated remains subject to
all civil and criminal penalties and remedies for any violations of law
\[422\].

**VI. OFFENSES AND PENALTIES**

Liability under the Political Reform Act only attaches to certain
persons, those who violate any provision of the Act, who purposely or
negligently causes any other person to violate any provision, or who aid
and abets any other person in the violation of any provision of the Act,
and who have filing or reporting obligations under this title, or who
are compensated for services involving the planning, organizing, or
directing any activity regulated or required by the Act \[423\].

Any person who knowingly or willfully violates any provision of the
Political Reform Act is guilty of a misdemeanor \[424\]. In addition to
other penalties prescribed by law, a fine of up to the greater of
\$10,000 or three times the amount the person failed to report properly
or unlawfully contributed, expended, gave, or received may be imposed
upon conviction for each violation \[425\]. A person who makes or
receives an expenditure in violation of the Act is liable in a civil
action brought by the commission for an amount of up to three times the
amount of the unlawful expenditure \[426\]. Criminal prosecution must be
commenced within four years after the date on which the violation
occurred \[427\]. No person convicted of a misdemeanor under the
Political Reform Act may be a candidate for any elective officer or act
as a lobbyist for a period of four years following the date of the
conviction unless the court at the time of sentencing specifically
determines that this provision must not be applicable \[428\]. A plea of
nolo contendere must be deemed a conviction for these purposes \[429\].
Any person who violates this section is guilty of a felony \[430\].
Whether a violation is inadvertent, negligent, or deliberate, and the
presence or absence of good faith must be considered in applying the
permissible remedies and sanctions \[431\].

Any person residing in the jurisdiction may sue for injunctive relief to
enjoin violations or to compel compliance with the provisions of the
Act, and the court may, in its discretion, require any plaintiff other
than the Fair Political Practices Commission to file a complaint with
the Commission prior to seeking injunctive relief \[432\]. The court may
award to a plaintiff or defendant who prevails his costs of litigation,
including reasonable attorney's fees \[433\].

Any person who intentionally or negligently violates any of the
reporting requirements of the Act may be liable in a civil action
brought by the civil prosecutor or by a person residing within the
jurisdiction for an amount not more than the amount or value not
properly reported \[434\]. Any person who makes or receives a
contribution or expenditure in violation of the Act is liable in a civil
action brought by the civil prosecutor or by a person residing within
the jurisdiction for an amount up to \$1,000 or three times the amount
of the unlawful contribution or expenditure, whichever amount is greater
\[435\]. Any person who violates any provision of the political reform
act except the sections pertaining to mass mailings \[436\], and
commingling of contributions with personal funds \[437\], for which no
specific civil penalty is provided, may be liable in a civil action
brought by the Commission, district attorney, or elected city attorney,
for an amount up to \$5,000 \[438\]. No civil action alleging a
violation of the Act may be filed against a person under this provision
if the criminal prosecutor is maintaining a criminal action against that
person \[439\]. No request to the civil prosecutor to file a civil
action under the Act may be made or filed in connection with a required
report or statement until the time when an audit or investigation could
be begun \[440\], nor may such a civil action be filed more than four
years after an audit could begin \[441\], or more than four years after
the date the violation occurred \[442\].

Not more than one judgment on the merits with respect to any violation
may be obtained under the provisions for civil violations of the
reporting \[443\] and contribution and expenditure requirements \[444\].
Actions brought for the same violation or violations must have
precedence for purposes of trial in order of the time filed \[445\].
Such actions must be dismissed once judgment has been entered or a
settlement approved by the court in a previously filed action \[446\].
The court may dismiss a pending action without prejudice to any other
action for failure of the plaintiff to proceed diligently and in good
faith \[447\]. The action may be so dismissed on motion of the civil
prosecutor or any plaintiff in an action based on the same violation
\[448\]. In determining the amount of liability for a violation, the
court may take into account the seriousness of the violation, and the
degree of culpability of the defendant \[449\]. If a judgment is entered
against the defendant or defendants in such an action, the plaintiff
receives one-half of the amount recovered and the remaining one-half is
to be deposited in the general fund of the state \[450\]. In an action
brought by the civil prosecutor, the entire amount recovered must be
paid to the general fund or treasury of the jurisdiction \[451\]. The
court may award to a plaintiff or defendant other than an agency, who
prevails in any action authorized by the Act his or her costs of
litigation, including reasonable attorney's fees \[452\]. On motion of
any party, a court must require a private plaintiff to post a bond in a
reasonable amount of any state of the litigation to guarantee payment of
costs \[453\]. If two or more persons are responsible for any violation,
they are jointly and severally liable \[454\]. When the Fair Political
Practices Commission determines on the basis of a hearing that a
violation has occurred, it must issue an order which may require the
violator to cease and desist violation \[455\]; file any required
reports, statements, or other documents or information \[456\]; and pay
a monetary penalty of up to \$5,000 for each violation to the general
fund of the state \[457\].

If any person files an original statement or report after any deadline
imposed by the Act, he or she, in addition to any other penalties or
remedies established by the Act, is liable in the amount of \$10 per day
after the deadline until the report or statement is filed, to the
officer with whom the statement or report is required to be filed
\[458\]. Liability need not be enforced by the filing officer if, on an
impartial basis, the filing officer determines that the late filing was
not willful and that enforcement of the liability will not further the
purposes of the Act, except that no liability may be waived if a
statement or report is not filed within 10 days, or five days in the
case of the second pre‑election campaign statement, after the filing
officer has sent specific written notice of the filing requirement
\[459\]. If any person files a copy of a statement or report after any
deadline imposed by the Act, he or she is, in addition to any other
penalties or remedies established by the Act, liable in the amount of
\$10 per day, starting 10 days, or five days in the case of the second
pre‑election campaign statement, after the officer has sent specific
notice of the filing requirement, and until the statement is filed.
Liability under this provision may not exceed the cumulative amount
stated in the late statement or report, or \$100, whichever is greater
\[460\]. The officer must deposit these late filing fees into the
general fund of the jurisdiction of which he or she is an officer
\[461\].

A violation of the laws against soliciting from employees is punishable
as a misdemeanor \[462\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Fair Political Practices Commission.** The five‑member Fair
Political Practices Commission has primary responsibility for the
impartial, effective administration and implementation of the Political
Reform Act \[463\]. The chairperson and one additional member are
gubernatorial appointees \[464\]. The governor's appointees must not be
members of the same political party \[465\], and no more than three
members of the commission may be members of the same party \[466\]. The
Attorney General, the Secretary of State, and the Controller each
appoint one member of the Commission \[467\]. Procedures are set forth
for appointments if these three officials are of the same party \[468\],
and to fill vacancies \[469\].

The Commission may adopt, amend, and rescind rules and regulations to
carry out the purposes and provisions of the Act and to govern
procedures of the Commission \[470\]. The Commission must, in addition
to its other duties, prescribe forms for reports, statements, notices,
and other required documents \[471\]; prepare and publish manuals and
instructions setting forth methods of bookkeeping and preservation of
records to facilitate compliance with and enforcement of the Act, and
explaining the duties of persons and committees under the Act \[472\],
including a booklet published not later than March 1 annually setting
forth the provisions of the Act and other information pertinent to
interpretation and enforcement \[473\]; provide assistance to agencies
and public officials in administering the provisions of the Act \[474\];
make reports available for inspection as soon as practicable, but not
later than the second day after filing \[475\]; and maintain a central
file of local campaign contribution and expenditure ordinances forwarded
to it by local agencies \[476\].

The Commission may also accept grants, contributions, and appropriations
\[477\]; contract for services which cannot be satisfactorily performed
by its employees \[478\]; employ legal counsel, and obtain legal advice
and representation by the Attorney General at no charge \[479\]. The
Commission also selects by lot the persons or districts to be audited on
a random basis \[480\], and audit, candidates for Controller and members
of the Board of Equalization and committees supporting such candidates
\[481\], and may perform discretionary investigations and audits
\[482\].

Any person may request the Commission to issue an opinion with respect
to his or her duties under the Act \[483\]. The Commission must, within
14 days, either issue the opinion or advise the person who made the
request whether an opinion will be issued \[484\]. No person who acts in
good faith on an opinion issued to that person by the Commission may be
subject to criminal or civil penalties for so acting, provided that the
material facts are as stated in the opinion request \[485\]. The
Commission's opinions must be public records and may from time to time
be published \[486\].

Any person may request the Commission to provide written advice with
respect to the person's duties under the Act \[487\]. Such advice must
be provided within 21 working days of the request, and may be extended
for good cause \[488\]. Under law, it is a complete defense in any
Commission-initiated enforcement proceeding, and evidence of good faith
in any other civil or criminal proceeding, if the requester, at least 21
working days prior to the alleged violation, requested written advice
from the Commission in good faith, disclosed truthfully all the material
facts, and committed the acts complained of either in reliance on the
advice, or because the Commission failed to provide advice within 21
days of the request or such later extended time \[489\].

Upon the sworn complaint of any person or on its own initiative, the
Commission must investigate possible violations of the Act relating to
any state agency, state official, state election, lobbyist, or state
legislative or administrative action \[490\]. Within 14 days after the
receipt of complaint under this section, the Commission must notify in
writing the person who made the complaint of the action, if any, the
Commission has taken or plans to take, together with the reasons for
such action or non‑action \[491\]. If no decision has been made within
14 days, the person who made the complaint must be notified of the
reasons for the delay and must subsequently receive such notification
\[492\].

The Commission may not issue a finding of probable cause to believe the
Act has been violated unless, at least 21 days prior to the Commission's
consideration of the alleged violation, the person alleged to have
violated the Act is notified of the violation by service of process or
registered mail with return receipt requested, provided with a summary
of the evidence, and informed of his or her right to be present in
person and represented by counsel at any proceeding of the Commission
held for the purpose of considering whether probable cause exists for
believing the person violated the Act \[493\]. Notice to the alleged
violator must be deemed made on the date of service, the date the
registered mail receipt is signed, or, if the registered mail receipt is
not signed, the date returned by the post office \[494\]. A proceeding
held for the purpose of considering probable cause must be private
unless the alleged violator files with the Commission a written request
that the proceeding be public \[495\].

When the Commission determines there is a probable cause for believing
that the Act has been violated, it may hold a hearing to determine if
such a violation has occurred. Notice must be given, and the hearing
conducted in accordance with the Administrative Procedure Act \[496\].
The Commission may subpoena witnesses, compel their attendance and
testimony, administer oaths and affirmations, take evidence, and require
by subpoena the production of any books, papers, records, or other items
material to the performance of the Commission's duties or exercise of
its powers \[497\]. The Commission may refuse to excuse any person from
testifying, or from producing books, records, correspondence, documents,
or other evidence in obedience to the subpoena of the Commission
notwithstanding an objection that the testimony or evidence required of
him or her may tend to incriminate the individual \[498\]. No individual
may be prosecuted in any manner or subjected to any penalty or
forfeiture on account of any transaction, act, matter, or thing
concerning which he or she is compelled, after having claimed his or her
privilege against self‑incrimination, to testify or produce evidence,
except that the individual so testifying is not to be exempt from
prosecution and punishment for perjury committed in so testifying
\[499\]. No immunity may be granted to any witness under this section
unless the Commission has notified the Attorney General of its intention
to grant immunity to the witness at least 30 days in advance, or unless
the Attorney General waives this requirement \[500\].

When the Commission determines on the basis of a hearing that a
violation has occurred, it is required to issue a proposed decision
which may require the violator to cease and desist violation \[501\];
file any reports, statements, or other documents or information that may
be required \[502\]; or pay a monetary penalty of up to \$2,000 to the
general fund of the state \[503\]. This triggers a period during which
briefs must be filed by the Commission's enforcement division (no later
than 14 days after date of service of the proposed decision), and during
which the respondent may file a brief (no later than 14 days after date
of service of the division's brief) \[504\]. A petition for
reconsideration may also be filed by the parties during the initial
15-day period, which may be extended at the Commission's discretion
\[505\].

When the Commission determines that no violation has occurred, it must
publish a declaration so stating \[506\]. An interested person may seek
judicial review of any action of the Commission \[507\]. If judicial
review is sought of any action of the Commission relating to a pending
election, the matter must be advanced on the docket of the court and put
ahead of other actions \[508\]. The court may, consistent with due
process of law, shorten deadlines, and take other steps necessary to
permit a timely decision \[509\].

Upon written authorization from a district attorney, the Commission may
bring any civil action permitted under the Act which could be brought by
a voter or resident \[510\].

**B. Secretary of State.** The Secretary of State serves as the
repository for statements of organization \[511\], and campaign
statements for all statewide elected officers, members of the
Legislature and Board of Equalization, justices of the supreme court and
court of appeals, judges of the superior court, and their controlled
committees, committees formed or existing primarily to support or oppose
such candidates or elected officers, and state central committees of
political parties \[512\]. When the Secretary of State receives any
campaign statement filed pursuant to the Federal Election Campaign Act
\[513\], the Secretary must send a copy of the statement of a candidate
for President, Vice President, U.S. senator, or a committee supporting
such candidates to the registrar‑recorder of Los Angeles County and the
registrar of voters of the city and county of San Francisco \[514\], and
a copy of statements of candidates for U.S. representative and
committees supporting such candidates, to the clerk of the county which
contains the largest percentage of the registered voters, and to the
clerk of the county within which the candidate resides or in which the
committee is domiciled, provided that if the committee is not domiciled
in California, the statement must be sent to the registrar‑recorder of
Los Angeles County \[515\].

The Secretary of State is required to develop an index \[516\] and
secure process for the on-line and electronic filing and disclosure of
reports and statements via the Internet, with implementation by December
31, 2002 \[517\], and must report to the legislature on its
implementation and development not later than January 31, 2003 \[518\].
In furtherance of this process, the Secretary must accept test files,
from software vendors and others wishing to file reports electronically,
for the purpose of determining whether the file format is in compliance
with the standardized record format developed and is compatible with the
Secretary of State's system for receiving the data, and a list of
software and service providers who have submitted acceptable test files
must be published by the Secretary of State and made available to the
public \[519\]. The Secretary must make all the data filed available on
the Internet in an easily understood format that provides the greatest
public access, free of charge and as soon as possible

after receipt, with all late contribution and late independent
expenditure reports made available on the Internet within 24 hours of
receipt \[520\]. The Secretary of State must maintain all filed data
on-line for 10 years after the date it is filed, and then archive the
information in a secure format \[521\], and provide assistance to those
seeking public access to the information \[522\] and to the Fair
Political Practices Commission \[523\].

If the Secretary of State rejects an electronic filing, the Secretary of
State must immediately notify the filer, by electronic mail, of the
reason or reasons for rejection using plain, straightforward language,
avoiding technical terms as much as possible, and using a coherent and
easily readable style, and the notice must be written or displayed so
that the meaning will be easily understood by those persons directly
affected by it \[524\].

The Secretary of State also is empowered to appoint a member of the Fair
Political Practices Commission \[525\].

**C. Controller.** The Controller has the power to appoint a member of
the Fair Political Practices Commission \[526\]. If the Attorney
General, Secretary of State, and the Controller are all members of the
same political party, the chair of a state central committee of any
political party with a registration of more than 500,000 may submit to
the Controller a list of not less than five persons who are qualified
and willing to be members of the Commission \[527\]. The list must be
submitted not later than January 2nd immediately prior to any
appointment by the Controller \[528\]. If the Controller receives one or
more lists pursuant to this provision, the Controller's appointment must
be made from one of such lists \[529\].

**D. Attorney General and District Attorney.** The Attorney General is
empowered to appoint a member of the Fair Political Practices Commission
\[530\], and, upon request of the Commission, is required to provide
legal advice and representation without charge to the Commission
\[531\]. The Attorney General may waive notice requirements for
providing immunity to a witness in a Commission hearing \[532\].

The Attorney General is responsible for enforcing the criminal
provisions of the Act with respect to state agencies, lobbyists, and
state elections \[533\]. The district attorney of any county in which a
violation occurs has concurrent powers and responsibilities with the
Attorney General \[534\]. The civil prosecutor is primarily responsible
for enforcement of the civil penalties and remedies of the Act \[535\].
The civil prosecutor is the Commission, with respect to the state or any
state agency, except itself, for which the Attorney General serves as
civil prosecutor \[536\]. The district attorney is the civil prosecutor
with respect to any other agency \[537\]. The civil prosecutor may bring
any civil action under the Act which could be brought by a voter or
resident of the jurisdiction \[538\]. Upon written authorization from a
district attorney, the Commission may bring any civil action under the
Act which could be brought by a voter or resident of the jurisdiction
\[539\].

**E. Franchise Tax Board.** The Franchise Tax Board makes audits and
conducts fraud investigations of reports and statements filed with the
Secretary of State for all candidates and committees supporting or
opposing such candidates except candidates for Controller and members of
the Board of Equalization and their supporting committees \[540\]. The
subjects for audit are selected by lot in the public by the Fair
Political Practices Commission after the last date for filing the first
report on statement following the general or special election for which
the candidate ran, or following the election at which the measure was
adopted or defeated \[541\]. Public selection of lobbyist audits is done
annually \[542\].

Each statewide, supreme court, court of appeals, or Board of
Equalization candidate in a direct primary or general election for whom
it is determined that \$25,000 or more in contributions have been
raised, or \$25,000 or more in expenditures have been made, whether by
candidate or by a committee or committees controlled by the candidate,
or whose participation in the direct primary or general election is
primarily in support of his candidacy may be audited \[543\]. Each
statewide candidate whose contributions and expenditures are less than
\$25,000 may be subject to an audit on a random basis of 10 percent of
the number of such candidates \[544\]. Each candidate for the
Legislature or superior court bench in a direct primary or general
election may be subject to audit by random selection if it is determined
that \$15,000 or more in expenditures have been made, whether by the
candidate, or by a committee or committees controlled by the candidate,
or primarily supporting his candidacy \[545\]. Random selection must be
made of 25% of the senate districts, 25 percent of the assembly
districts, and 25% of the judicial offices contested in an election year
\[546\]. Each candidate for the Legislature in a special primary or
special run‑off election for whom it is determined that \$15,000 or more
in expenditures have been made, whether by the candidate or by a
committee or committees controlled by the candidate or primarily
supporting his or her candidacy must also be audited \[547\]. Each
controlled committee of any candidate who is being audited is also to be
audited \[548\], as is each recipient or independent expenditure
committee primarily supporting a candidate who is being audited if the
committee has expended more than \$10,000 on the measure or measures
\[549\]. A recipient or independent expenditure committee whose
participation is primarily in support of or in opposition to a state
measure or state measures is to be audited if it is determined that the
committee has expended more than \$10,000 on such measure or measures
\[550\]. Each committee, other than a recipient or independent
expenditure committee, a controlled committee, or a committee primarily
supporting or opposing a state candidate or measure, if it is determined
that the committee has raised or expended more than \$10,000 supporting
or opposing state candidates or state measures during any calendar year,
except that if the Commission determines from an audit report that a
committee is in substantial compliance with the provisions of the Act,
the committee thereafter is subject to an audit on a random basis with
each such committee having a 25 percent chance of being audited \[551\].
The Franchise Tax Board and Fair Political Practices Commission may make
discretionary investigations and audits with respect to any reports or
statements required to be filed under the Act \[552\].

An audit or investigation of any candidate, controlled committee, or
committee primarily supporting or opposing a candidate or a measure in
connection with a required report or statement may not begin until after
the last date for filing the first report or statement following the
general, run‑off, or special election for the office for which the
candidate ran, or following the election at which the measure was
adopted or defeated, except that audits and investigations of statewide
candidates, their controlled committees, and committees primarily
supporting or opposing such statewide candidates, supporting candidates
who were defeated in the primary election and who are not required to
file statements for the general election may begin after the last date
for filing the first report or statement following the primary election
\[553\]. When the campaign statements or reports of a candidate,
controlled committee, or a committee primarily supporting or opposing a
candidate are audited and investigated, the audit and investigation must
cover all campaign statements and reports filed for the primary and
general or special or run‑off elections and any previous campaign
statement or report filed since the last election for that office
\[554\]. When the campaign statements or reports of a committee
primarily supporting or opposing a measure are audited and investigated,
the audit and investigation must cover all campaign statements and
reports from the beginning date of the first campaign statement filed by
the committee in connection with the measure \[555\]. For all other
committees, the audit and investigation covers all campaign statements
filed during the previous two calendar years \[556\]. Audit guidelines
and standards have been promulgated by the Commission \[557\].

The Franchise Tax Board must periodically prepare reports which must be
sent to the Commission, the Secretary of State, and the Attorney General
(unless the reports relate to candidates for or committees supporting or
opposing candidates for the office of Attorney General, in which case
reports are sent to the Commission, the Secretary of State, and the
district attorneys of Los Angeles, Sacramento, and San Francisco
counties) \[558\]. The reports of the Franchise Tax Board are public
documents, and must contain in detail the board's findings with respect
to the accuracy and completeness of each report and statement reviewed
and its findings with respect to any report or statement that should
have been but was not filed \[559\].

**F. Department of Information Technology.** The Department of
Information Technology is charged with working with the Secretary of
State and the Fair Political Practices Commission to develop the
electronic filing and reporting system \[560\], and is responsible for
approving the new system \[561\].

# References

1\. California Government Code (West)

(hereafter CGC) § 82015(a)

2\. CGC § 82013(a)

3\. CGC § 82015(b)(1)

4\. CGC § 82015(a)(2)(A)

5\. CGC § 82015(a)(2)(B)

6\. CGC § 82015(a)(2)(C)

7\. CGC § 82015(a)(2)(C)(i)

8\. CGC § 82015(a)(2)(C)(ii)

9\. CGC § 82015(a)(2)(C)(iii)

10\. CGC § 82015(a)(2)(C)(iv)

11\. CGC § 82015(a)(2)(C)(v)

12\. CGC § 82015(a)(2)(C)(vi)

13\. CGC § 82015(a)(2)(C)(vii)

14\. CGC § 82015(a)(2)(C)(viii)

15\. CGC § 82015; Regulations of the

Fair Political Practices Commission,

2 California Administrative Code

Division 6 (hereafter Regs.) § 18215(b)(1)

16\. CGC § 82015(c)

17\. CGC § 82015(d)

18\. CGC § 82015(e)

19\. CGC § 82015(f); 2 Regs. § 18215(c)(3).

This is a per household, per event

exemption. FPPC Informal Advice

Summary I-97-590 (1/12/98)

20\. CGC § 82015(g); 2 Regs. § 18215(c)(1)

21\. 2 Regs. § 18215(c)(2)

22\. CGC § 85312

23\. *Californians for Political Reform Fndtn.*

*v. Fair Political Practices Comm'n*, 71

Cal.Reptr.2d 606 (Cal. App. 3 Dist. 1998)

*review denied*

24\. CGC § 82015(b)(2)(C)(i);

2 Regs. § 18215(c)(4)(i)

25\. CGC § 82015(b)(2)(C)(ii);

2 Regs. § 18215(c)(4)(ii)

26\. CGC § 82015(b)(2)(C)(iii);

2 Regs. § 18215(c)(4)(iii)

27\. 2 Regs. § 18215(c)(5)

28\. 2 Regs. § 18215(c)(6)

29\. 2 Regs. § 18215(c)(7)

30\. 2 Regs. § 18215(c)(8)

31\. 2 Regs. § 18215(c)(9)

32\. 2 Regs. § 18215(c)(10)

33\. 2 Regs. § 18215(c)(11)

34\. 2 Regs. § 18215(c)(12)

35\. 2 Regs. § 18215(c)(13)

36\. 2 Regs. § 18215(c)(14)

37\. 2 Regs. § 18215(c)(15)

38\. CGC § 82015(b)(2)(D);

2 Regs. § 18215(d)

39\. 2 Regs. § 18225.7(a)

40\. CGC § 84300(a)

41\. CGC § 84300(a)

42\. CGC § 84300(a)

43\. CGC § 82036

44\. CGC § 84300(a)

45\. CGC § 84300(c). Contributions via the

Internet are authorized providing that all

the reporting requirements are met. FPPC

Formal Advice Summary A-99-201

(07/20/99).

46\. CGC § 84300(d)

47\. CGC § 84301

48\. CGC §§ 85704; 84302

49\. CGC § 84302; 2 Regs § 18432.5

50\. CGC § 85700

51\. CGC §§ 84304; 85701

52\. CGC § 85320(c)

53\. CGC § 85320(a)

54\. CGC § 85320(b)

55\. CGC § 85320(c)(2)(B)(4)

56\. CGC § 84306

57\. CGC § 84307

58\. CGC § 84309

59\. CGC § 85200

60\. CGC § 84309

61\. CGC §§ 85201(a), (b), (c)

62\. CGC §§ 84308(b); 87100 *et seq.* If an

officer receives a contribution which

would otherwise require disqualification

under this section, returns the contribution

within 30 days from the time he or she

knows, or should have known, about the

contribution and the proceeding involving

a license, permit, or other entitlement for

use, he or she is permitted to participate in

the proceeding. CGC §§ 84308(c).

63\. CGC §§ 84308(b)

64\. CGC § 85702; *Inst. of Gov'tl Advocates,*

*Inc. v. Fair Pol. Practices Comm'n*, 164

F.Supp.2d 1183 (E.D. Cal. 2001) *see*,

*Fair Pol. Practices Comm'n v. Sup. Ct.*

599 P.2d 46 (1979)

65\. CGC § 85301 *et seq.* The California

Supreme Court, in *Kopp v. Fair Political*

*Practices Comm'n*, S038571 (Cal.

November 30, 1995), declined to

reformulate the sections of CGC §§

85301 - 85304 which were found

to be unconstitutional by the federal

courts in *Service Employees Int'l*

*Union v. Fair Political Practices*

*Comm'n*, 955 F.2d 1312 (9th Cir. 1992),

*cert denied*, 505 U.S. 1230. The holding

in *Service Employees* stands as current

California law because the California

Supreme Court found it impossible to

reform the statutes "in a manner that closely

effectuates policyjudgments clearly

articulated by the electorate." *Kopp* at 5, 73-

85\. Two essentially irreconcilable

propositions, Proposition 73 and Proposition

68, both were passed by the voters on

November 2, 1988. Proposition 73 received

more votes than Proposition 68, and the

California Fair Political Practices

Commission determined that most of

Proposition 68 was superseded by

Proposition 73. *In re Bell*, 11 Fair

Political Practices Commission Opinions

(hereafter Opinions) 1 (1988). This

conclusion was subsequently challenged,

and the California Supreme Court held

that all of Proposition 68 was ineffective.

*Taxpayers to Limit Campaign Spending*

*v. Fair Political Practices Comm'n*, 51

Cal.3d 744 (1990). In its decision, the

Supreme Court specifically declined to

address the issue of whether Proposition

68 became operative if Proposition 73's

provisions were invalidated in a separate

court ruling, but since then, most of the

contribution limits in Proposition 73 have

been struck down by a federal court, a

decision upheld on appeal. *Service*

*Employees.* But when Proposition 73 was

attacked in litigation, that did not revive

Proposition 68. *Gerken v. Fair Political*

*Practices Comm'n*, 6 Cal.4th 707 (Cal.

1993). When presented with a writ

seeking reformation of Proposition 73,

some justices believed that it was "not

amenable to judicial reformation," while

other justices believed that the court did

not even have the power, "absent

authorization by the Legislature," to

reform the proposition *qua* law.

Kennard, J., concurring and dissenting

opinion at 11. *See also*, Proposition 208

Memo at 3.

66\. *Service Employees Int'l Union v. Fair*

*Political Practices Comm'n*, 955 F.2d

1312 (9th Cir. 1992), *cert den.*, 112

S.Ct. 3056-57

67\. Proposition 34, approved November 7,

2000; SB 34 (Ch. 241, effective Sept.

4, 2001)

68\. CGC § 85203(a)

69\. CGC § 85203(b)

70\. CGC § 85203(c)

71\. CGC § 85203(d)

72\. CGC § 85301(c)

73\. CGC § 85301(b)

74\. CGC § 85301(a)

75\. CGC § 85301(d)

76\. CGC § 85305

77\. CGC § 85307(a)

78\. CGC § 85307(b)

79\. CGC § 85302(c)

80\. CGC § 85302(b)

81\. CGC § 85302(a)

82\. CGC § 85303(a)

83\. CGC § 85303(b)

84\. CGC § 85303(c)

85\. CGC § 85304(a)

86\. CGC § 85304(b)

87\. CGC § 85308(a)

88\. CGC § 85308(b)

89\. CGC § 85311(b); 2 Regs. § 18215.1

90\. CGC § 85311(c); 2 Regs. § 18531

91\. CGC § 85311(d);2 Regs. § 18215.1

92\. CGC § 85315(a)

93\. CGC § 85316

94\. 2 Regs. § 18215.1(a)(2)

95\. 2 Regs. § 18215(d)

96\. CGC § 83124

97\. CGC § 84308(b)

98\. CGC § 84308(b)

99\. CGC § 84308(c)

100\. CGC § 3203

101\. CGC § 3204

102\. CGC § 3204

103\. CGC § 3205(a)

104\. CGC § 3205(b)

105\. CGC § 3205(c)

106\. CGC § 3209

107\. CGC § 82025

108\. *See, The Thirteen Committee v.*

*Weinreb*, 168 Cal.App.3d 528 (App. 1

Dist. 1985) (litigation expenditures for

mayoral candidate suing opponent for

campaign-related defamation are

reportable); *In re Buchanan*, 5 Fair Pol.

Practices Comm'n Opinions 14

\(1979\) (candidate litigation expenses are

reportable); *Yes on Measure A et al. v.*

*City of Lake Forest*, G016799 (Ct. App.

4th Dist. Div. 3, December 30, 1997)

(litigation expenditures by city in

pre-election challenge to legality of

ballot measure not reportable).

109\. CGC § 82025

110\. CGC § 82031

111\. CGC § 84300(b)

112\. CGC § 84303

113\. CGC § 84303

114\. Fair Political Practices Commission,

Advice Letter (Dorman 1991).

115\. CGC § 85501

116\. CGC § 85320(a)

117\. 5 Opinions 14, 15, No. 78‑013, May 1,

1979

118\. CGC § 84100

119\. CGC § 84100

120\. CGC § 85201(e)

121\. 2 Regs. § 18423(a)

122\. 2 Regs. § 18423(b)

123\. 2 Regs. § 18423(c)

124\. 2 Regs. § 18423(e)

125\. CGC § 85401(a)

126\. CGC §§ 85600; 85601

127\. CGC § 85400(a)(5)

128\. CGC § 85400(a)(4)

129\. CGC § 85400(a)(3)

130\. CGC § 85400(a)(2)

131\. CGC § 85400(a)(1)

132\. CGC § 85400(c)

133\. CGC § 85401(b)

134\. CGC § 85402(a)

135\. CGC § 83124

136\. CGC § 89511(b)(3); Fair Political

Practices Comm'n, "Personal Use

Outline," (November 17, 1993)

137\. CGC §§ 89512

138\. CGC § 89513(a)

139\. CGC § 89513(b)

140\. CGC § 89513(b)(1)

141\. CGC § 89513(b)(2)

142\. CGC § 89513(b)(2)

143\. CGC § 89513(c)

144\. CGC § 89513(c)(2)

145\. CGC § 89513(d)

146\. CGC § 89513(e)

147\. CGC § 89513(e)(1)

148\. CGC § 89513(f)(1)

149\. CGC § 89513(f)(2)

150\. CGC § 89513(g)

151\. CGC § 89516(a)(1)

152\. CGC § 89516(a)(2)

153\. CGC § 89516(b)(1)

154\. CGC § 89516(b)(2)

155\. CGC §§ 89516(c) - (e)

156\. CGC § 89517(a)

157\. CGC § 89517(b)

158\. CGC § 89517(c)

159\. CGC § 89514. When a candidate uses

his or her personal funds for litigation

aimed at maintaining his or her status as

a candidate, the payments should be

reported by the candidate as a

contribution to himself or herself,

5 Opinions 14 (1979).

160\. CGC § 89515

161\. CGC § 89517.5(a)

162\. CGC § 89517.5(a)

163\. CGC § 89517.5(a)

164\. CGC § 89517.5(a). The system apparently

becomes the property of the candidate or

officeholder.

165\. CGC § 82013(a); certain candidates and

committees must also file electronically,

CGC § 84605

166\. CGC § 82013(b); certain candidates and

committees must also file electronically,

CGC § 84605

167\. CGC § 82013(c); certain candidates and

committees must also file electronically,

CGC § 84605

168\. CGC § 84108

169\. CGC § 84101; FPPC Formal Advice

Summary A-98-011 (02/06/98)

170\. CGC § 84101(b)

171\. CGC § 84101(c)

172\. CGC § 84102(a)

173\. CGC § 84102(b)

174\. CGC § 84102(c)

175\. CGC § 84102(d)

176\. CGC § 84102(d)

177\. CGC § 84102(e)

178\. CGC § 84102(f)

179\. CGC § 84102(f)

180\. CGC § 84103(a)

181\. CGC § 84103(b); on-line notification is

valid only if the filing officer is capable of

so receiving

182\. CGC § 84103(b)

183\. CGC § 85200

184\. CGC § 85201(c)

185\. CGC § 84101

186\. CGC § 82048.4(a)

187\. CGC § 82048.4(b)(1)

188\. CGC § 82048.4(b)(2)

189\. CGC § 82048.4(b)(3)

190\. CGC § 82048.4(b)(4)

191\. CGC § 82048.4(a)(1); a slate mailer is a

mass mailing which supports or opposes a

total of four or more candidates or ballot

measures. CGC § 82048.3

192\. CGC § 84108(a)

193\. CGC § 84108(b)(1)

194\. CGC § 84108(b)(2)

195\. CGC § 84108(b)(3)

196\. CGC § 84108(c)

197\. CGC § 84108(c)

198\. CGC § 84200(a)

199\. CGC § 84200(b)

200\. CGC § 84200(b)

201\. CGC § 84200(2)

202\. CGC § 84200(a)(3)(A)

203\. CGC § 84200(a)(3)(B)

204\. CGC § 84200.3(a)(1)

205\. CGC § 84200.3(a)(2)

206\. CGC § 84200.3(a)(3)

207\. CGC § 84200.3(a)(4)

208\. CGC § 84200.3(a)(5)

209\. CGC § 84200.3(a)(6)

210\. CGC § 84200.5(a)

211\. CGC § 84200.7(a)(1)

212\. CGC § 84200.7(a)(2)

213\. CGC § 84200.7(b)(1)

214\. CGC § 84200.7(b)(2)

215\. CGC § 84200.5(a)

216\. CGC § 84200.5(b)

217\. CGC § 84200.5(c)

218\. CGC § 84200.8(a)

219\. CGC § 84200.8(b)

220\. CGC §§ 84200.5(d); 84200.7

221\. CGC § 82013(b)

222\. CGC § 82013(c)

223\. CGC § 84200.5(d)

224\. CGC § 84200.5(e)(1)

225\. CGC § 84200.8(a)

226\. CGC § 84200.8(b)

227\. CGC § 84200.5(e)(2)

228\. CGC § 84202.3(a)(1); *see*, *McCauley v.*

*Howard Jarvis Taxpayer Ass'n* 80

Cal.Rptr.2d 900 (Cal. App. 4th Dist.

1998\) , *rehearing denied*, *review denied*

229\. CGC § 84202.3(a)(2)

230\. CGC § 84202.3(b)

231\. CGC § 84202.3(c)

232\. CGC § 84202.5(a)

233\. CGC §§ 84202.5(b); 84200.5

234\. CGC § 84202.7(a)(1)

235\. CGC § 84202.7(a)(2)

236\. CGC § 84202.7(a)(2)

237\. CGC § 85309(b)

238\. CGC § 85309(d)

239\. CGC § 85500

240\. CGC §§ 84203(a), (b); 81007.5(a)

241\. CGC § 81007.5(b)

242\. CGC § 84203(a)

243\. CGC § 84203(a)

244\. CGC § 84203(a)

245\. CGC §84203.3

246\. CGC § 84203.5(a)

247\. CGC § 84203.5(b)(1)

248\. CGC § 84203.5(b)(2)

249\. CGC § 84203.5(b)(3)

250\. CGC § 84203.5(b)(4)

251\. CGC § 84203.5(b)(6)

252\. CGC § 84203.5(b)(5)(A)

253\. CGC § 84203.5(b)(5)(B)

254\. CGC § 84203.5(b)(5)(C)

255\. CGC § 84203.5(b)(5)(D)

256\. CGC § 84203.5(b)(5)(E)

257\. CGC § 84203.5(b)(5)(F)

258\. CGC § 84203.5(b)(5)(G)

259\. CGC § 85310(a)

260\. CGC § 85310(b)(1)

261\. CGC § 85310(b)(2)

262\. CGC § 82036.5

263\. CGC §§ 84204(a); 81007.5(b)

264\. CGC § 81007.5(b)

265\. CGC § 84204(b)

266\. CGC § 84204(c)

267\. CGC § 84209

268\. 2 Regs. § 18419(b)(1)

269\. 2 Regs. § 18419(b)(2)

270\. 2 Regs. § 18419(b)(3)

271\. 2 Regs. § 18419(b)(4)

272\. 2 Regs. § 18419(e)

273\. 2 Regs. § 18419(b)(5)

274\. 2 Regs. § 18420

275\. 2 Regs. § 18420(e)

276\. 2 Regs. § 18420; *see,* California Penal

Code (West) § 424; *Stanson v. Mott*, 17

Cal.3d 206 (1976); *People v. Sperl*, 54

Cal.App.3d 640 (1976); *People v.*

*Battin*, 77 Cal.App.3d 635 (1978)

277\. CGC § 84219(a)

278\. CGC § 84219(b)

279\. CGC § 84219(c)(1)

280\. CGC § 84219(c)(2)

281\. CGC § 84219(c)(3)

282\. CGC § 84219(d)(1)

283\. CGC § 84219(d)(2)

284\. CGC § 84219(d)(3)

285\. CGC § 84219(d)(4)

286\. CGC § 84219(e)

287\. CGC § 84219(f)

288\. CGC § 84219(g)

289\. CGC § 84219(h)(1)

290\. CGC § 84219(h)(2)

291\. CGC § 84219(h)(3)

292\. CGC § 84219(h)(4)

293\. CGC § 84219(h)(5)

294\. CGC § 84219(i)

295\. CGC § 84219(j)

296\. CGC § 84220

297\. CGC § 84220

298\. CGC § 84206(a); 2 Regs. § 18406(a)

299\. CGC § 84206(c); 2 Regs. § 18406(b)

300\. 2 Regs. § 18406(b)(3); CGC § 81007.5(a)

301\. CGC § 81007.5(b)

302\. CGC § 84206(c); 2 Regs. § 18406(b)(1)

303\. 2 Regs. § 18406(b)(2)

304\. CGC § 84206(b)

305\. CGC § 84206(c)

306\. CGC § 86115(a)

307\. CGC §§ 86115(b); 84105; *see*, 2 Regs

§ 18427.1 (notification by candidate to

large contributors)

308\. CGC §§ 86113; 86114(7); 86116(g)

309\. CGC § 84308(a)(4)

310\. CGC § 84308(a)(5)

311\. CGC § 84308(c)

312\. CGC § 84308(d)

313\. CGC §§ 84211(a), (b)

314\. CGC § 84211(c)

315\. CGC § 84211(d)

316\. CGC § 84211(e)

317\. CGC § 84211(f)(3)

318\. CGC § 84211(f)(4)

319\. CGC § 84211(f)(5)

320\. CGC § 84211(f)(6)

321\. CGC § 84211(g)(1)

322\. CGC § 84211(g)(2)

323\. CGC § 84211(g)(3); see, Informal Advice

Summary I-99-063 (3/29/99)

324\. CGC § 84211(g)(4); see, Informal Advice

Summary I-99-063 (3/29/99)

325\. CGC § 84211(g)(5)

326\. CGC § 84211(i)

327\. CGC § 84211(k)

327\. CGC § 84211(k)(6)

329\. CGC § 84211(k)(1)

330\. CGC § 84211(k)(2)

331\. CGC § 84211(k)(3)

332\. CGC § 84211(k)(4)

333\. CGC § 84211(k)(5)

334\. CGC § 84211(k)(7)

335\. CGC §§ 84211(s); 84211 (j)(1) - (4)

336\. CGC § 84211(t)

337\. CGC § 84211(u)

338\. CGC § 84211(l)

339\. CGC § 84211(m)

340\. CGC § 84211(n)

341\. CGC § 84211(o)

342\. CGC § 84211(p)

343\. CGC §§ 82013(b), (c); 84211(v)

344\. CGC § 84211(v)(1)

345\. CGC § 84211(v)(2)

346\. CGC § 84211(v)(3)

347\. CGC § 84211(v)(4)

348\. CGC § 81004

349\. CGC § 81004

350\. CGC § 84213

351\. CGC § 81004

352\. CGC § 84216(b)(1)

353\. CGC § 84216(b)(2)

354\. CGC § 84216(b)(3)

355\. CGC § 84216(c)

356\. CGC § 84216(d)

357\. CGC § 84216(d)(1)

358\. CGC § 84216(d)(2)

359\. CGC § 84216(d)(3)

360\. CGC § 84216(d)(4)

361\. CGC § 84216(e)(1)

362\. CGC § 84216(e)(2)

363\. CGC § 84216.5(a)

364\. CGC § 84216.5(b)

365\. CGC § 84216.5(c)

366\. CGC § 84216.5(c)(1)

367\. CGC § 84216.5(c)(2)

368\. CGC § 84216.5(c)(3)

369\. CGC § 84216.5(c)(4)

370\. CGC § 84216.5(d)(1)

371\. CGC § 84216.5(d)(2)

372\. CGC § 84215

373\. CGC § 84215

374\. CGC § 84215(a)(1)

375\. CGC § 84215(a)(2)

376\. CGC § 84215(a)(3)

377\. CGC § 84215(b)(1)

378\. CGC § 84215(b)(2)

379\. CGC § 84215(c)

380\. CGC § 84215(d)

381\. CGC § 84215(e)

382\. CGC § 84215(g)

383\. CGC § 81007

384\. CGC § 81007

385\. CGC §§ 84200.7, 84200.8

386\. CGC § 81007.5(a)

387\. CGC § 81007.5(a)

388\. CGC § 81007.5(b)

389\. CGC § 81007.5(b)

390\. 1 Opinions 113, 114‑115, No. 75,

August 21, 1975

391\. CGC § 84604(a)

392\. CGC § 84605(a)

393\. CGC §§ 84604(a)(1)-(3); 84605(a)(1)-(3)

394\. CGC §§ 84604(b); 84605(a)(i)

395\. CGC § 84605(f)

396\. CEC § 20300; Fair Political Practices

Comm'n, "Personal Use Outline,"

(November 17, 1993); the provisions

related to personal use of surplus

campaign funds do not apply to a ballot

measure committee. 75 Op. Att'y Gen. 29

(February 26, 1992).

397\. CEC § 20300(a)(1)

398\. CEC § 20300(b)

399\. CEC § 20300(c)

400\. CEC § 20300(d)

401\. CEC § 20300(e)

402\. CEC § 20300(f)

403\. CEC § 20300(a)(2); CGC § 89519(a)(2)

404\. CEC § 20300(a)(2); CGC § 89519(a)(2)

405\. CEC § 20300(a)(2); CGC § 89519(a)(2)

406\. CEC § 20300(a)(2); CGC § 89519(a)(2)

407\. CEC § 20300(a)(2); CGC § 89519(a)(2)

408\. CGC § 89519(a)(1); the provisions

related to personal use of surplus

campaign funds do not apply to a ballot

measure committee. 75 Op. Att'y Gen.

29 (February 26, 1992).

409\. CGC § 89519(b)

410\. CGC § 89519(c)

411\. CGC § 89519(d)

412\. CGC § 89519(e)

413\. CGC § 89519(f)

414\. 2 Regs. § 18404(a)

415\. 2 Regs. § 18404(a); CGC § 84214

416\. 2 Regs. § 18404(b)(1)

417\. 2 Regs. § 18404(b)(2)

418\. 2 Regs. § 18404(b)(3)

419\. 2 Regs. § 18404(b)(4)

420\. 2 Regs. § 18404(c)(1)

421\. 2 Regs. § 18404(c)(2)

422\. 2 Regs. § 18404(d)

423\. CGC § 83116.5; *see*, *McCauley v. BFC*

*Direct Marketing*, 20 Cal.Rptr.2d 498

(Cal.App. 4 Dist. 1993), *as modified on*

*denial of rehearing*.

424\. CGC § 91000(a)

425\. CGC § 91000(b)

426\. CGC § 89521

427\. CGC § 91000(c)

428\. CGC § 91002

429\. CGC § 91002

430\. CGC § 91002

431\. CGC § 91002(c)

432\. CGC § 91003(c)

433\. CGC § 91001(a)

434\. CGC § 91004

435\. CGC § 91005(a)

436\. CGC §§ 84305; 89001

437\. CGC § 84307

438\. CGC § 91005.5

439\. CGC § 91005.5

440\. CGC § 91010; *see generally[,]{.underline}* CGC §

91002(b)

441\. CGC § 91011(a)

442\. CGC § 91011(b)

443\. CGC § 91008

444\. CGC §§ 91005(a); 91008

445\. CGC §§ 91005(a); 91008

446\. CGC §§ 91005(a); 91008

447\. CGC § 91008

448\. CGC § 91008

449\. CGC § 91009

450\. CGC § 91009

451\. CGC § 91009

452\. CGC § 91012

453\. CGC § 91012

454\. CGC § 91006

455\. CGC § 83116(a)

456\. CGC § 83116(b)

457\. CGC § 83116(c)

458\. CGC § 91013(a)

459\. CGC § 91013(b)

460\. CGC § 91013(c)

461\. CGC § 91013(c)

462\. CGC § 3205(d)

463\. CGC §§ 83100; 83111

464\. CGC § 83101

465\. CGC § 83101

466\. CGC § 83100

467\. CGC § 83102(a)

468\. CGC § 83102(b)

469\. CGC § 83104

470\. CGC § 83112

471\. CGC § 83113(a); 2 Regs. § 18313

472\. CGC § 83113(b); 2 Regs. § 18313

473\. CGC § 83113(e)

474\. CGC §§ 81008(a); 81007.5(c)

475\. CGC § 83113(c)

476\. CGC § 83113(d)

477\. CGC § 83117(a)

478\. CGC § 83117(b)

479\. CGC § 83117(c)

480\. CGC § 90002(j)

481\. CGC § 90006

482\. CGC § 90003

483\. CGC § 83114(a); *People v. Snyder*,

992 P.2d 1102 (Cal. 2000)

484\. CGC § 83114(a)

485\. CGC § 83114(a)

486\. CGC § 83114(a)

487\. CGC § 83114(b); *People v. Snyder*,

992 P.2d 1102 (Cal. 2000)

488\. CGC § 83114(b)

489\. CGC § 83114(b)

490\. CGC § 83115; *see* 2 Regs. § 18361.5

491\. CGC § 83115; an administrative action

seeking monetary penalties other other

remedies may not be commenced more

than five years after the date on which

the alleged violation occurred. CGC §

91000.5

492\. CGC § 83115

493\. CGC § 83115.5

494\. CGC § 83115.5

495\. CGC § 83115.5

496\. CGC §§ 11500 *et seq.*; 83116

497\. CGC § 83118

498\. CGC § 83119

499\. CGC § 83119

500\. CGC § 83119

501\. CGC § 83116(a)

502\. CGC § 83116(b)

503\. CGC § 83116(c)

504\. 2 Regs. § 18361.5

505\. 2 Regs. § 18361.5

506\. CGC § 83116(c)

507\. CGC § 83120

508\. CGC § 83121

509\. CGC § 83121

510\. CGC § 91001(b). Generally speaking,

violations under the Act by those other

than elected officers, candidates, and

treasurers can only be addressed in

administrative action, and not in a private

cause of action. *See, McCauley v. BFC*

*Direct Marketing*, 20 Cal.Rptr.2d 498

(Cal.App. 4 Dist. 1993), *as modified on*

*denial of rehearing*.

511\. CGC § 84101(a)

512\. CGC §§ 84215(a), (b)

513\. 2 U.S.C. § 431 *et seq.*

514\. CGC § 84217(a)

515\. CGC § 84217(b)

516\. CGC § 84602.5

517\. CGC § 84602

518\. CGC § 84602(j)

519\. CGC § 84602(b)

520\. CGC § 84602(d)

521\. CGC § 84602(f)

522\. CGC § 84602(g)

523\. CGC § 84602(i)

524\. CGC § 84612

525\. CGC § 83102(a)

526\. CGC § 83102(a)

527\. CGC § 83102(b)

528\. CGC § 83102(b)

529\. CGC § 83102(b)

530\. CGC § 83102(a)

531\. CGC § 83117(c)

532\. CGC § 83119

533\. CGC §§ 91001(a); CEC 3205(d)

534\. CGC § 91001(a)

535\. CGC § 91001(b)

536\. CGC § 91001(b)

537\. CGC § 91001(b)

538\. CGC § 91001(b)

539\. CGC § 91001(b)

540\. CGC §§ 90000; 90006

541\. CGC § 90001(j)

542\. CGC § 90001(j)

543\. CGC § 90001(b)

544\. CGC § 90001(b)

545\. CGC § 90001(c)

546\. CGC § 90001(c)

547\. CGC § 90001(d)

548\. CGC § 90001(e)

549\. CGC § 90001(f)

550\. CGC § 90001(g)

551\. CGC § 90001(h)

552\. CGC § 90003

553\. CGC § 90002(c)

554\. CGC § 90002(c)

555\. CGC § 90002(c)

556\. CGC § 90002(c)

557\. 2 Regs. §§ 18915; 18916

558\. CGC § 90004

559\. CGC § 90004

560\. CGC § 84602(n)

561\. CGC § 84606

**CAMPAIGN FINANCE LAW**

**IN COLORADO**

**I. INTRODUCTION**

Colorado requires most candidates, political committees, issue
committees, political parties, and persons making independent
expenditures to file information on all contributions and expenditures
in reports before and after each election. Supplemental reports are
required until a report shows a zero balance. Contributions by an
individual or political committee to candidate committees are now
limited. Political parties also have contribution limits. Candidate
committees are subject to aggregate limitations on contributions that
they may accept from political committees. Contributions by lobbyists to
legislators and legislative candidates and the governor and candidates
for governor are generally prohibited while the legislature is in
regular session. Colorado offers no tax incentives for political
contributions nor a mechanism for public financing of election
campaigns. The Secretary of State is responsible for overseeing the
campaign finance provisions of the law. Any home rule municipality may
adopt ordinances or charter provisions that are more stringent than any
or all of the provisions of the Campaign Reform Act. Some
municipalities, such as Boulder, also have enacted local campaign
finance ordinances that include public financing.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a payment, loan,
pledge, advance of money, or a guarantee of a loan made to or for any
candidate or political committee, issue committee, or political party
for the purpose of influencing the passage or defeat of any issue or the
nomination, retention, election, or defeat of any candidate \[1\]. If a
loan is forgiven, the unpaid portion of that loan becomes a
contribution, and a state candidate or state candidate committee must
apply that contribution to the applicable contribution limits \[2\].

A contribution does not include services provided without compensation
by an individual volunteering time on behalf of a candidate, political
committee, issue committee, or political party \[3\].

A contribution in kind is the fair market value of a gift or loan of any
item of real or personal property, other than money, made to or for any
candidate committee, issue committee, political committee, or political
party for the purpose of influencing the passage or defeat of any issue
or the nomination, retention, election, or defeat of any candidate
\[4\]. Personal services are a contribution in kind by the person paying
the compensation \[5\]. In determining the value to be placed on
contributions in kind, a reasonable estimate of fair market value must
be used \[6\].

A contribution in kind does not include an endorsement of a candidate or
an issue by any person \[7\], nor the payment of compensation for legal
and accounting services rendered to a candidate if the person paying for
the services is the regular employer of the individual rendering the
services, and the services are solely for the purpose of ensuring
compliance with the law \[8\].

In determining the value of a contribution for which the contributor
receives compensation or consideration of less than equivalent value to
the contribution, including, but not limited to, items of perishable or
nonpermanent value, goods, supplies, services, or participation in a
campaign‑related event, an amount equal to the value in excess of such
compensation or consideration as determined by the candidate committee
is considered to be a contribution \[9\].

**B. Limitations on the Nature of Contributions.** All contributions
received by a candidate or political committee must be deposited in a
financial institution in a separate account whose title must include the
name of the candidate or political committee \[10\].

A candidate committee, issue committee, political committee, or
political party may not accept any contribution in currency or coin
exceeding \$100 \[11\]. A contribution may not be made with the
expectation of reimbursement, nor may a person be reimbursed for such
contributions \[12\].

Only natural persons, political parties, and political committees may
contribute to a state candidate's candidate committee \[13\]. A state
candidate's candidate committee may not accept contributions from, or
make contributions to, another candidate committee, including any
candidate committee, or equivalent entity, established under federal law
\[14\].

A person may not act as a conduit for a contribution \[15\]. A conduit
is a person who transmits more than one contribution from another person
directly to a candidate or candidate committee, but does not include the
contributor's immediate family members, the candidate or campaign
treasurer of the candidate committee receiving the contribution, a
volunteer fundraiser hosting an event for a candidate committee, or a
professional fundraiser if the fundraiser is compensated at the usual
and customary rate \[16\]. The immediate family members of the
contributor include a spouse, children, parents, grandparents,
grandchildren, brother, half‑brother, sister, or half-sister \[17\].
Mailing and delivery services are not considered conduits when acting in
their ordinary course of business \[18\].

Loans may only be received from a financial institution organized under
federal or state law if the loan bears the usual and customary interest
rate, is made on a basis that assures repayment, is evidenced by a
written instrument, and is subject to a due date or amortization
schedule \[19\].

A person may not pay, cause to be paid, or attempt to pay to any
candidate or to any political committee any money or any other thing of
value to encourage a candidate to withdraw his or her candidacy \[20\].

A judge should not pay an assessment or contribute to a political
organization or candidate, or purchase tickets for a political party
dinner or similar function \[21\]. A judicial employee under the
direction and control of a judge is subject to the same restrictions
\[22\].

An agency, department, board, division, bureau, commission, or council
of the state or any political subdivision thereof may not make any
contribution in campaigns involving the nomination, retention, or
election of any person to public office, statewide ballot issue, local
ballot issue, referred measure, or recall election \[23\]. The
restriction does not apply to incidental expressions of opinion by
certain policymaking officials in response to questions \[24\] or
contributions made to prepare or distribute factual summaries of
material on an issue \[25\].

**C. Limitations on Amounts of Contributions.** Contributions in support
of a candidacy include all contributions given directly or indirectly
for a specific public office, or for a generic public office, with the
latter covering a situation in which a candidate has not decided on
which elective office to be sought, yet receives contributions for an
elective office to be chosen at a later date within that election cycle
\[26\].Candidates may only have one candidate committee per legally
allowable race \[27\].

During an election cycle -- the period beginning 31 days following a
general election for the particular office and ending 30 days following
the next general election for that office \[28\] -- candidate committees
may not receive an aggregate total of contributions from political
committees in excess of \$10,000 for the house of representatives, state
board of education, and regent of the University of Colorado \[29\];
\$15,000 for the state senate \[30\]; \$20,000 for lieutenant governor
\[31\]; \$80,000 for secretary of state, attorney general, or state
treasurer \[32\]; and \$400,000 for governor \[33\].

A political party may not accept aggregate contributions from any person
that exceed \$25,000 per year, and may not accept contributions that are
intended, or in any way designated, to be passed through the party to a
specific state candidate's candidate committee \[34\].

In the applicable election cycle, a political party may not contribute
more than \$10,000 to any one candidate for state representative, state
board of education, or regent of the University of Colorado candidate
committee \[35\]; \$15,000 to any one state senate candidate committee
\[36\]; \$20,000 to any one lieutenant governor candidate committee
\[37\]; \$80,000 to any one secretary of state, attorney general, or
state treasurer candidate committee \[38\]; and \$400,000 to any one
gubernatorial candidate committee \[39\].

**D. Special Limitations on Contributions by Lobbyists.** A lobbyist or
a lobbyist principal may not make a contribution to, or solicit or
promise to solicit a contribution for \[40\], a member of the general
assembly or a candidate for that body when the general assembly is in
regular session \[41\]; the governor or a candidate for governor when
the general assembly is in regular session, or when any measure adopted
by the general assembly in regular session is pending before the
governor for approval or disapproval \[42\]; or the lieutenant governor,
the secretary of state, the state treasurer, the attorney general, or a
candidate for any of such offices when the general assembly is in
regular session \[43\]. A lobbyist may, however, participate in a party
fundraiser if the purpose is not to raise funds for specifically
designated legislators or legislative candidates, or the governor or
specifically designated candidates for governor \[44\].

**E. Limitations on Solicitations.** An employer, or any officer or
agent of the employer, may not enclose in paying employees their pay in
envelopes upon which are written or printed any political mottoes,
devices, or arguments containing express or implied threats intended or
calculated to control the political opinion, views, or actions of the
employees \[45\], or to put up or exhibit, within 90 days before any
municipal election, in the employer's place of business or place where
the employer's employees may be working or be present in the course of
employment, any handbill, notice, or placard containing any threat,
notice, or information that if a particular candidate is elected or
issue carried, work in the establishment will cease in whole or in part,
or the employees' wages will be reduced, or containing any other
expressed or implied threats intended to control the employees'
political opinions or actions \[46\].

A judge should not solicit funds for a political organization or
candidate \[47\], and should not personally solicit funds for the
judge's own campaign \[48\]. A judicial employee under the direction and
control of a judge is subject to the same restrictions \[49\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is the payment,
distribution, loan, or advance of any money by any candidate, political
committee, issue committee, or political party or agent \[50\]. An
expenditure occurs when the actual payment is made or when there is a
contractual agreement and the amount is determined \[51\].

**B. Independent Expenditures.** An independent expenditure is the
payment of money by any person for the purpose of advocating the
election or defeat of a candidate, if the expenditure is not controlled
by, or coordinated with, any candidate or any agent of the candidate
\[52\]. An independent expenditure includes expenditures for political
messages, but does not include expenditures made by persons, other than
political parties and political committees, in the regular course and
scope of their business and political messages sent solely to their
members \[53\].

Expenditures by any person on behalf of a candidate for public office
that are coordinated with or controlled by the candidate or the
candidate's agent are treated as a contribution to the candidate and
subject the candidate and the contributor to any applicable penalties
\[54\].

**D. Limitations on Nature of Expenditures.** A candidate or political
committee, issue committee, political committee, or political party may
not make any expenditure in currency or coin exceeding \$100 for any
purpose \[55\].

If a candidate who is also an incumbent inadvertently or unavoidably
makes an expenditure which involves campaign expenses and official
expenses, the expenditure is deemed a campaign expense only, unless the
candidate, not more than 10 working days after the expenditure, files
with the appropriate officer such information as the Secretary of State
may by rule require in order to differentiate between campaign expenses
and official expenses \[56\]. In the event that public funds have been
expended for campaign purposes and for official expenses, the candidate
must reimburse the state or political subdivision for the amount of
money spent on campaign expenses \[57\].

Contributions to a candidate committee may not be used for personal
purposes not reasonably related to supporting the election of the
candidate \[58\]. An officeholder with a registered candidate committee
remains a candidate, and the officeholder's expenses as an officeholder
may be construed as reasonably related to supporting his or her election
\[59\]. A candidate may not pay to any radio or television station,
newspaper, periodical, or other supplier of materials or services a
higher charge than that normally required for local commercial customers
for comparable use of space or materials and services \[60\]. Any such
rate must not be rebated, directly or indirectly \[61\]. A person may
not pay, cause to be paid, or attempt to pay to any candidate or to any
political committee, any money or any other thing of value for the
purpose of encouraging a candidate to withdraw his or her candidacy, nor
may any candidate offer to withdraw his or her candidacy in return for
money or any other thing of value \[62\].

**E. Limitations on Disbursements by Lobbyists.** A professional
lobbyist \[63\] may not disburse the party moneys of any state, county,
district, or local political party to candidates of that political party
\[64\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** When any individual becomes a candidate, he or she
must certify, by affidavit filed with the appropriate filing officer
within 10 days, that he or she is familiar with the provisions of the
Campaign Reform Act \[65\]. For candidates for statewide elected
offices, general assembly, regents of the University of Colorado and
district attorney, failure to file the required form will result in the
disqualification of that person as a candidate for that office \[66\].

All candidate committees, political committees, issue committees, and
political parties must file a statement of organization with the
Secretary of State before accepting or making any contributions \[67\].
The statement of organization must include: the committee's full name,
spelling out all acronyms \[68\], a natural person to act as a
registered agent \[69\], a street address and telephone number for the
principal place of operations \[70\], all affiliated candidates and
committees \[71\], the purpose or nature of interest of the committee
\[72\], and any intent of the candidate committee, political committee,
issue committee, or political party to electronically file required
reports on a web site operated and maintained by the Secretary of State
\[73\]. A candidate committee that is filed with a generic purpose,
(*e.g.,* "support John Doe for public office") or changes the elective
office sought must file an amended statement not later than five days
after the change \[74\].

An issue committee may support or oppose more than one issue without
having to open numerous campaign accounts and file numerous statements
of organization, if the following conditions are met: the specific
issues are included on the statement of organization, generic phrases
(*e.g.,* support or oppose issues affecting the basic rights of cattle)
are used, and the committee states whether it will be supporting or
opposing the issue \[75\]. A political committee whose purpose is the
recall of any elected official must file a statement of organization
with the appropriate officer no later than 10 business days after
receiving its first contribution \[76\].

**B. Reporting by Candidates and Committees.** The campaign treasurer
must file reports of all contributions of \$20 or more received and all
expenditures made quarterly in off-election years, and on the first day
of each month beginning the sixth full month before the major election,
14 days before, and 30 days after the major election in election years
\[77\]. If the filing date falls on a Saturday, Sunday or legal holiday,
the filing date will be the next business day \[78\]. The reports must
be filed in duplicate \[79\].

A candidate committee, political committee, issue committee, or
political party that uses the electronic filing system to file reports
with the Secretary of State is afforded two additional days after each
due date in which to file such reports \[80\].

The quarterly reporting period closes on the last day of the month, with
reports due on April 15th, July 15th, October 15th, and January 15th of
the following month \[81\]. Monthly reporting periods close five
calendar days prior to the last day of the month on the first calendar
day of the following month \[82\]. The pre‑election reporting period
closes 19 days prior to the election, with the report due on the 14th
day prior to the election \[83\]. The post‑election reporting period
closes on the last day of the calendar month in which the election was
held, with the report due on the 30th day following the election \[84\].

Every report must contain the amount of funds on hand at the beginning
of the reporting period \[85\]; the name and address of each person who
has made an aggregate contribution of \$20 or more within the reporting
period \[86\]; expenditures made, and obligations entered into, by the
committee or party \[87\]; the balance of funds at the beginning of the
reporting period, the total of contributions received, the total of
expenditures made during the reporting period, and the name and address
of the financial institution used by the reporting committee or party
\[88\].

**D. Place of Filing.** Reports of candidates for statewide office, the
general assembly, district attorney, district court judge, or any office
representing more than one county (except school district director), and
political committees in support or opposition to such candidates or in
support of or opposition to statewide issues, must be filed with the
Secretary of State \[89\]. Political committees in support of or
opposition to issues which are not statewide issues, but are issues in a
political subdivision which includes more than one county must file with
the county clerk and recorder of each such county \[90\]. Candidates and
political committees in support of or in opposition to such candidates
or in support of or in opposition to municipal issues in municipal
elections shall file with the municipal clerk, and all other candidates
and political committees file with the county clerk and recorder of the
county of their residence \[91\].

Reports are due by the close of business on the day due \[92\]. Reports
may be filed by FAX and are considered timely if received by the filing
officer no later than the close of business on the due date only if an
original of the report is received by the appropriate officer within
seven days of the due date \[93\].

Committees filing with the Secretary of State may file reports
electronically, and electronic read-only access of applicable filed
reports is available through the Secretary of State's office \[94\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Reports.** A person remains a candidate as long as the
candidate maintains a registered committee \[95\], and a supplemental
report is required on the regular reporting period time frame as long as
a committee remains active \[96\]. A committee may terminate if the
candidate or committee no longer intends to receive contributions or
make expenditures; a zero balance is achieved by having no cash on hand
and no outstanding debts or obligations; and the candidate or committee
files a termination statement of contributions and expenditures \[97\].
A termination statement may be filed at any time \[98\].

**B. Recordkeeping.** All records pertaining to campaign accounts must
be maintained by the candidate committee, issue committee, political
committee, or political party for 90 days after any general election for
which the committee or party received contributions, unless a complaint
is filled, in which case they must be maintained until the final
disposition of the complaint and any consequent litigation \[99\].

**C. Post-Election Contributions.** If a candidate or the candidate
committee has a deficit after the primary election, the candidate may
accept contributions to be applied to the deficit remaining from that
previous election if the contributions do not exceed the aggregate
contribution limit for that contributor if for a state candidate
\[100\]. All contributions received that are designated for a previous
election deficit must not exceed that deficit \[101\].

A deficit remains from a previous election if the post‑election
contribution and expenditure report indicates a deficit \[102\].

**D. Distribution of Surplus Funds.** Contributions not expended on
behalf of a candidate's campaign, upon approval of the candidate or
political committee, may be contributed to a political party \[103\];
contributed, in an amount not greater than \$25,000 for the election
cycle, to a candidate committee established by the same candidate for a
different public office, if the candidate committee making such a
contribution is affirmatively closed by the candidate no later than 10
days after such a contribution is made \[104\]; donated to a charitable
organization recognized by the Internal Revenue Service \[105\];
returned to contributors \[106\]; or retained for use by the candidate
for use by the candidate in a subsequent campaign \[107\].

In addition to the purposes just elaborated, a person elected to a
public office may use unexpended campaign contributions for voter
registration \[108\]; political issue education (including polling or
providing information to the electorate) \[109\]; postsecondary
educational scholarships \[110\]; to defray reasonable and necessary
expenses related to mailings and similar communications to constituents
\[111\]; and any expenses directly related to the officeholder's
official duties, including, but not limited to, expenses for the
purchase or lease of office equipment and supplies, room rental for
public meetings, necessary travel and lodging expenses for legislative
education (such as seminars, conferences, and meetings on legislative
issues), and telephone and pager expenses \[112\].

Contributions not expended on behalf of an issue committee may be
donated to a Internal Revenue Service-recognized charitable
organization, or may be returned to contributors \[113\].

A candidate committee for a former officeholder or a person not elected
to office must expend all of the unexpended campaign contributions
retained by the candidate committee no later than nine years from the
date the officeholder's term expired, or from the date of the election
at which the person was a candidate for office, whichever is later
\[114\].

**VI. OFFENSES AND PENALTIES**

Any person who knowingly violates any contribution or expenditure
provision of the Campaign Reform Act, including the willful and
intentional failure to disclose any contribution or expenditure, commits
a class two misdemeanor \[115\].

Any person who violates provisions relating to contribution limits is
also subject to a fine of double the amount contributed or received in
violation of the applicable provision of the law \[116\]. Candidates are
personally liable for fines imposed against their candidate's committees
\[117\].

A volunteer may have immunity from criminal prosecution for a class two
misdemeanor or from a fine or penalty based on an act or omission of the
volunteer if the volunteer was acting in good faith and within the scope
of the volunteer's official functions and duties for the candidate or
candidate committee \[118\], and the violation was not caused by willful
and intentional misconduct by the volunteer \[119\].

The filing officer is required to impose a penalty of \$10 per day for
each day that a required report or statement has not been filed, after
the committee is properly notified by certified mail \[120\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State must prescribe the
forms for statements and other information required to be filed, and
furnish the forms and information to county clerks and recorders, free
of charge, for use by candidates and other persons required to file
\[121\]; develop a filing and indexing system consistent with the Act
\[122\]; and make the reports and statements filed with the secretary's
office available for public inspection and copying immediately \[123\].

The secretary must also notify any person required to file a statement
if it appears that the person has failed to file a required report or
that a statement filed does not conform to law \[124\]. The Secretary of
State is required to reimburse the county clerk and recorder of each
county \$2 per candidate per election to help defray the costs
associated with report processing and retention \[125\].

The Secretary of State is also responsible for maintaining an electronic
filing system and web site for reports \[126\]. All electronically
reports required to be filed must be made available in searchable form
on the web site within 48 hours after filing \[127\]. The web site must
also allow a user to produce summary reports based on search criteria
that includes, but is not limited to, the reporting period, date, name
of the person making a contribution or expenditure, candidate, and
committee \[128\]. When a person uses the electronic filing system to
meet the filing requirements, the Secretary of State must electronically
acknowledge receipt of the filing \[129\].

The Secretary of State must either modify the web site or establish,
operate, and maintain an additional web site so as to allow any person
who wishes to review reports filed with a county clerk and recorder and
electronically transmitted to the Secretary of State or electronically
filed electronic read‑only access to such reports free of charge
\[130\].

The Secretary of State is also empowered to conduct hearing on matters
within his or her jurisdiction \[131\]. Any person who believes a
violation of the Act has occurred may file a written complaint with the
secretary no later than 180 days after the date of the alleged violation
\[132\]. An administrative law judge is appointed to hear the case, with
the hearing within 15 days after the complaint is filed, and a decision
rendered within 10 days after the hearing \[133\]. If the administrative
law judge determines that such a violation has occurred, the Secretary
of State must so notify the attorney general and appropriate district
attorney \[134\].

A trial court apparently has the authority to grant an injunction in a
Fair Campaign Practices Act action without a showing of irreparable
harm, but such an injunction should be strictly tailored \[135\].

If the Secretary of State receives a complaint against a candidate for
Secretary of State, the Secretary of State must refer the complaint to
the attorney general for investigation \[136\].

**B. Municipal Clerk and County Clerk and Recorder.** Each municipal
clerk and county clerk and recorder is to develop a filing and indexing
system for his or her office consistent with the Campaign Reform Act
\[137\]; preserve any statement or copies required to be filed for a
period ending one year after the termination of the term of office of
the candidate who is elected, and statement or images of those
statements of all other candidates or political committees, for a period
of one year after the date of receipt \[138\]; make the reports and
statements filed available for public inspection and copying as soon as
practicable, but not later than the end of the next business day
following the date of filing \[139\]. The municipal clerk and county
clerk or recorder also must transmit to the Secretary of State all
records and statements requested by the Secretary of State \[140\];
notify the person required to file a statement or report that he or she
has failed to file, or that a complaint has been filed with the
Secretary of State alleging a violation \[141\]; and report violations
of law to appropriate law enforcement authorities \[142\].

Until January 1, 2006, any person required to file reports with a county
clerk and recorder pursuant may meet the filing requirements by using
the electronic filing system if the county clerk and recorder has the
technology available to access the internet \[143\]. If the county clerk
and recorder does not have the technology available to access the
internet, reports shall not be filed electronically \[144\].

**C. Attorney General.** Upon notice by the Secretary of State that a
violation of the Campaign Reform Act has occurred, the attorney general
must investigate complaints in the same manner as specified by law for
the Secretary of State \[145\].

# References

1\. Colorado Revised Statutes

(hereafter CRS) § 1‑45‑103(4)(a)

2\. Colorado Dep't of State Rules Concerning

Fair Campaign Practices Act (October 2,

1997\) (hereafter Rules); *Common Sense*

*Alliance v. Davidson*, 995 P.2d 748 (Colo.

2000\) *en banc*; *League of Women Voters of*

*Colo. v. Davidson*, 23 P.3d 1266 (Colo.

App. 2001), Davidson v. *The Committee for*

*Gail Schoettler, Inc.*, 24 P.3d 621 (2001)

*appeal dismissed en banc* (June 4, 2001)

3\. CRS § 1‑45‑103(4)(b)

4\. CRS § 1‑45‑103(4.5)(a)

5\. CRS § 1‑45‑103(4.5)(a)

6\. CRS § 1‑45‑103(4.5)(a)

7\. CRS § 1‑45‑103(4.5)(b)

8\. CRS § 1‑45‑103(4.5)(c)

9\. CRS § 1-45-103(4)(a)(V)

10\. CRS § 1‑45‑105.3(8). Initials and acronyms

are not considered a complete name.

Secretary of State, *Campaign Reform Act*

*Instruction Manual* (August, 1995) 3.

11\. CRS § 1‑45‑105.3(9)

12\. CRS § 1‑45‑105.3(10)

13\. CRS § 1‑45‑105.3(6)

14\. CRS § 1‑45‑105.3(3); Rules § 21.5

15\. CRS § 1‑45‑105.3(8)

16\. CRS § 1‑45‑103(3)

17\. Rules § 21.7

18\. Rules § 21.7

19\. CRS § 1-45-105.3(7)

20\. CRS § 1‑45‑115

21\. Colorado Code of Judicial Conduct

(hereafter CJC) Canon 7A.(1)(c)

22\. CJC Canon 7B.(1)(b)

23\. CRS § 1-45-117(1)(a)(I). Public funds may

be broadly construed to include more

than merely sums raised through the

imposition of taxes, *Denver Area Labor*

*Fed'n v. Buckley*, 924 P.2d 524 (Colo.

1996).

24\. CRS § 1-45-117(1)(a)(II); *Regents of the*

*Univ. of Colo. v. Meyer*, 899 P.2d

316 (Colo.App. 1995).

25\. CRS § 1-45-117(1)(b)(I); *Larimer Co.*

*Comm'rs v. Sec'y of State*, 911 P.2d

698 (Colo.App. 1995).

26\. Rules § 21.4; *see*, CRS § 1-45-104(14)

27\. Rules § 21.5

28\. CRS § 1-45-103(5)

29\. CRS § 1-45-105.3(1)(a)

30\. CRS § 1-45-105.3(1)(b)

31\. CRS § 1-45-105.3(1)(c)

32\. CRS § 1-45-105.3(1)(d)

33\. CRS § 1-45-105.3(1)(e)

34\. CRS § 1-45-105.3(4)

35\. CRS § 1-45-105.3(5)(a)

36\. CRS § 1-45-105.3(5)(b)

37\. CRS § 1-45-105.3(5)(c)

38\. CRS § 1-45-105.3(5)(d)

39\. CRS § 1-45-105.3(5)(e)

40\. CRS § 1‑45‑105.5(1)(a)

41\. CRS § 1‑45‑105.5(1)(a)(I)

42\. CRS § 1‑45‑105.5(1)(a)(II)(A)

43\. CRS § 1‑45‑105.5(1)(a)(II)(B)

44\. CRS § 1-45-105.5(1)(c)(II)

45\. CRS § 31‑10‑1522(1)(c)

46\. CRS § 31‑10‑1522(1)(d)

47\. CJC Canon 7A.(1)(c)

48\. CJC Canon 7B.(2)(d)

49\. CJC Canon 7B.(1)(b)

50\. CRS § 1‑45‑103(6)

51\. CRS § 1‑45‑103(6)

52\. CRS § 1‑45‑103(7)

53\. CRS § 1‑45‑103(7)

54\. CRS § 1‑45‑107(3)

55\. CRS § 1‑45‑105.3(9)

56\. CRS § 1-45-117(3)

57\. CRS § 1-45-117(3)

58\. CRS § 1‑45‑106(a)(II)

59\. Rules § 25.1

60\. CRS § 1‑45‑114(1)

61\. CRS § 1‑45‑114(1)

62\. CRS § 1‑45‑115

63\. CRS § 24-6-310(6)

64\. CRS § 1-45-129

65\. CRS § 1‑45‑110(1)

66\. CRS § 1-45-110(2)(a)

67\. CRS § 1‑45‑108(3)

68\. CRS § 1‑45‑108(3)(a)

69\. CRS § 1‑45‑108(3)(b)

70\. CRS § 1‑45‑108(3)(c)

71\. CRS § 1‑45‑108(3)(d)

72\. CRS § 1‑45‑108(3)(e)

73\. CRS § 1‑45‑108(3)(f)

74\. Rules § 22.4; *see*, *Colorado for Family*

*Values v. Meyer*, 936 P.2d 631 (Colo.

App. 1997) on what constitutes an "issue"; The term "issue committee"
covers only

those issue committees that were formed

for the purpose of supporting or opposing

a ballot initiative. An association that was

formed and operated for purposes other

than "accepting contributions or making

expenditures to support or oppose any

ballot issue or ballot question" does not

become an "issue committee" as defined in

this section if, at a future point in time, it

engages in those activities with regard to a

specific ballot issue or ballot question.

*Common Sense Alliance v. Davidson*,

995 P.2d 748 (Colo. 2000). *See also*, CRS

§ 1-45-103(8)

75\. Rules § 22.5

76\. CRS § 1‑45‑108(6)

77\. CRS § 1‑45‑108(2)(a)

78\. Rules § 26

79\. CRS § 1‑45‑109(4)

80\. CRS § 1‑45‑108(2.3)(a)

81\. CRS § 1-45-108(2)(c)(I); Rules § 26.2

82\. CRS § 1-45-108(2)(c)(II); Rules § 26.3

83\. CRS § 1-45-108(2)(c)(III); Rules § 26.4

84\. CRS § 1-45-108(2)(c)(IV); Rules § 26.5

85\. CRS § 1‑45‑108(2)(b)

86\. CRS § 1‑45‑108(1)

87\. CRS § 1‑45‑108(1)

88\. CRS § 1‑45‑108(2)(b)

89\. CRS § 1‑45‑109(1)

90\. CRS § 1‑45‑109(1)

91\. CRS § 1‑45‑109(1)

92\. CRS § 1‑45‑109(2)

93\. CRS § 1‑45‑109(2)

94\. CRS §§ 1-45-109(5) -(7)

95\. CRS § 1-45-103(1)

96\. CRS § 1‑45‑108(2)(a)

97\. Rules § 22.3

98\. Rules § 22.3

99\. CRS § 1‑45‑105.3(8)

100\. Rules § 24.4

101\. Rules § 24.4

102\. Rules § 24.4

103\. CRS § 1‑45‑106(1)(a)(I)(A)

104\. CRS §§ 1‑45‑106(1)(a)(I)(B); 1‑45‑105.3

\(4\) (b), (c)

105\. CRS § 1‑45‑106(1)(a)(I)(C)

106\. CRS § 1‑45‑106(1)(a)(I)(D)

107\. CRS § 1‑45‑106(1)(a)(I)(D)

108\. CRS § 1-45-106(b)(I)

109\. CRS § 1-45-106(b)(II)

110\. CRS § 1-45-106(b)(III)

111\. CRS § 1-45-106(b)(IV)

112\. CRS § 1-45-106(b)(V)

113\. CRS § 1‑45‑106(3)

114\. CRS § 1‑45‑106(a)(III)

115\. CRS § 1‑45‑113(1)

116\. CRS § 1‑45‑113(2); *see,* *The Committee*

*for Gail Schoettler, Inc.*, 24 P.3d 621

\(2001\) *appeal dismissed en banc* (June

4, 2001) at 624

117\. CRS § 1‑45‑113(2)

118\. CRS § 1-45-113(6)(a)(I)

119\. CRS § 1-45-113(6)(a)(II)

120\. CRS § 1‑45‑113(4)

121\. CRS § 1‑45‑111(1)(a)

122\. CRS § 1‑45‑111(1)(c)

123\. CRS § 1‑45‑111(1)(d)

124\. CRS § 1‑45‑113(4)

125\. CRS § 1‑45‑112(2)

126\. CRS §§ 1‑45‑109(5)-(9)

127\. CRS §§ 1‑45‑109(5)(b); (7)(b)

128\. CRS §§ 1‑45‑109(5)(b); (7)(b)

129\. CRS §§ 1‑45‑109(6)(b)

130\. CRS §§ 1‑45‑109(7)(a)

131\. CRS § 1‑45‑111(2)

132\. CRS § 1‑45‑111(2)(a)

133\. CRS § 1‑45‑111(2)(a)

134\. CRS § 1‑45‑111(2)(a)

135\. *State ex rel. Meyer v. Ranum High*

*School*, 895 P.2d 1144 (Colo.App.

1995\)

136\. CRS § 1‑45‑111(1)(e)

137\. CRS § 1‑45‑112(1)(a)

138\. CRS § 1‑45‑112(1)(b)

139\. CRS § 1‑45‑112(1)(c)

140\. CRS § 1‑45‑112(1)(d)

141\. CRS § 1‑45‑112(1)(e)

142\. CRS § 1‑45‑112(1)(f)

143\. CRS § 1‑45‑109(8)(c)(I)

144\. CRS § 1‑45‑109(8)(c)(I)

145\. CRS §§ 1‑45‑111(2)(c); 1-45-111(2)(a);

*see,* *The Committee for Gail Schoettler,*

*Inc.*, 24 P.3d 621 (2001) *appeal dismissed*

*en banc* (June 4, 2001) at 624

**CAMPAIGN FINANCE LAW**

**IN CONNECTICUT**

**I. INTRODUCTION**

Connecticut requires candidates, political committees, and party
committees spending or receiving more than \$1,000 in any election, and
any group, organization, or business entity spending more than \$1,000
in referendum elections, to file itemized information on all
contributions and expenditures in a series of five pre‑election and one
post‑election reports (the numbers vary slightly for party committees).
Individuals who make independent expenditures aggregating more than
\$1,000 must also file disclosure reports. Supplemental reports are
required for certain post‑election transactions. Contributions by
individuals other than candidates are limited to an aggregate of
\$15,000 per election, and different amounts depending upon the
recipient. Direct corporate and labor organization contributions are
prohibited, but labor organization political action committees may spend
up to \$50,000 per election. Lobbyists and their related political
committees may not be solicited for, nor make, contributions to state
constitutional office and legislative candidates or specified related
committees during certain legislative sessions. Contributions may not be
required of government employees. Cash contributions are limited to
\$50, and anonymous contributions must be less than \$15. All
contributions over \$100 must be made by personal check. Connecticut
offers no tax incentives for political contributions, nor a mechanism
for public financing of election campaigns. The State Elections
Enforcement Commission is responsible for the administration and
enforcement of the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**1. Definition of Contribution.**

**A. Items Deemed Contributions.** A contribution is any gift,
subscription, loan, advance, payment, or deposit of money or anything of
value made for the purpose of influencing the nomination or election of
any person, or for the purpose of aiding or promoting the success or
defeat of any referendum question, or on behalf of any political party
\[1\]; a written contract, promise, or agreement to make a contribution
for any such purpose \[2\]; the payment by any person, other than a
candidate or campaign treasurer, of compensation for the personal
services of any other person which are rendered without charge to a
committee or candidate \[3\]; an expenditure, when made by a person with
the cooperation of, or in consultation with any candidate, candidate
committee, or agent of the candidate \[4\]; or funds received by a
committee which are transferred from another committee or other source
\[5\].

**B. Items Not Deemed Contributions.** A contribution does not include a
loan of money by a national or state bank made in the ordinary course of
business \[6\]; any communication made by any corporation, organization,
or association to its members, owners, stockholders, executive or
administrative personnel, or their families \[7\], or nonpartisan voter
registration or get‑out‑the‑vote efforts by these entities aimed at
these individuals \[8\]; uncompensated services provided by individuals
volunteering their own time \[9\]; the voluntary provision of real or
personal property, and the cost of invitations, food, or beverages by an
individual to a candidate, or on behalf of a state central or town
political party committee, in connection with election‑related events on
the individual\'s residential premises, to the extent that the
cumulative value of the invitations, food, or beverages provided on
behalf of any single candidate for nomination or election does not
exceed \$200 for any single election, or \$400 on behalf of all party
committees in any calendar year \[10\]; the sale of any food or beverage
for use in any candidate\'s campaign, or for use by any political party
committee at a discount, if the charge is not less than the vendor\'s
cost, to the extent that the cumulative discount value does not exceed
the \$200 candidate or \$400 party calendar year limit \[11\];
unreimbursed travel expenses of a volunteer, subject to the same
calendar year limit \[12\]; the payment by a party committee, political
committee, or individual of the costs of preparation, display, mailing,
or other distribution incurred by the committee or individual for any
printed slate card, sample ballot, or other printed list with the names
of three or more candidates for nomination or election \[13\]; an
individual\'s donation of personal property to a committee for a
fundraiser, or the purchase by an individual of any such item at a
fundraiser, to the extent that the cumulative value donated or purchased
does not exceed \$50 \[14\]; the purchase, by an individual, of tickets
to any single fundraiser to the extent that the aggregate purchase price
does not exceed \$30 \[15\]; the purchase of advertising space in a
program for a fundraiser, which clearly identifies the purchaser but
does not exceed \$250, if the purchaser is a business entity or \$50 for
purchases by any other person \[16\]; the payment of money by a
candidate to his or her candidate committee \[17\]; the donation of
goods or services by a business entity to a committee for a fundraiser,
to the extent that the cumulative value donated does not exceed \$100
\[18\]; or the advance of a security deposit by an individual to a
telephone company for telecommunications services for a committee,
provided the security deposit is returned to the individual \[19\].

**C. Candidate Expenditures Not Deemed Contribution.** A candidate may
be reimbursed for his or her own permissible campaign expenses if the
campaign treasurer authorized the expenditure, the treasurer is provided
a written receipt from the vendor and a detailed accounting is included
in the report filed by the treasurer\[20\].

**2. Limitations on Contributions and Solicitations**

**A. Contributions by Business Entities.** No business entity may make
any contribution to, or for the benefit of any candidate\'s campaign for
nomination or election to public office, to promote the defeat of any
candidate for any political office, or to promote the success or defeat
of any political party \[21\]. A business entity may make contributions
to promote the success or defeat of a referendum question \[22\].

**B. Contributions by Labor Organizations and Their Political
Committees.** A labor organization may make contributions only by first
forming its own political committee \[23\]. A labor organization is
permitted to form only one political committee, which may receive funds
from the labor organization\'s treasury, or voluntary contributions, but
not both, and may make contributions to or for the benefit of any
candidate\'s campaign for election or for nomination, or for any
political party, or make contributions to another political committee
\[24\].

No labor organization political committee may make contributions to or
for the benefit of any candidate for governor in excess of \$2,500
\[25\]; in excess of \$1,500 for lieutenant governor, secretary of
state, treasurer, comptroller, or attorney general \[26\]; in excess of
\$1,000 for chief executive of a town, city, or borough \[27\]; in
excess of \$500 for state senator or probate judge \[28\]; or in excess
of \$250 for state representative or other municipal office \[29\].
Primary contributions are counted separately \[30\]. A labor
organization\'s political committee may not make contributions to or for
the benefit of any candidate\'s exploratory committee in excess of \$250
\[31\]. A labor organization political committee is limited in the total
amount it may contribute to statewide candidates, candidates for the
legislature, and probate judge \[32\]. The limit is \$50,000 for any
single primary and election \[33\].

No labor organization political committee may make contributions, in any
one calendar year, to or for the benefit of the state central committee
of a political party in excess of \$5,000 \[34\]; any other party
committee in excess of \$1,000 \[35\]; or any political committee in
excess of \$2,000 \[36\]. The latter limitation does not apply to
political committees formed solely to aid or promote the success or
defeat of a constitutional amendment, referendum question, or a question
to be voted on in any election, and a contribution to a political
committee established by a candidate for an exploratory effort \[37\]. A
labor organization political committee is limited in the total amount of
contributions it may make to these party and political committees
\[38\]. The limit is \$15,000 in any one calendar year \[39\].

**C. Contributions Concerning a Ballot Question by Other Than an
Individual or Committee.** A person, other than an individual or a
committee, may not make a contribution to a political committee, formed
solely to aid or promote the success or defeat of a referendum question,
or to any other individual, committee, firm, partnership, labor
organization, association, syndicate, company trust, corporation, or
other non‑government legal entity, to aid or promote the success or
defeat of a referendum question, in excess of 10 cents per person
residing in the state or political subdivision in which the election is
held, in accordance with the last federal decennial census \[40\].

**D. Contributions by Political Committees of Business Entities.** A
political committee may be organized by a business entity, into which
voluntary contributions by individuals may be made, as long as the
contributions are not solicited or secured by job discrimination,
financial reprisal, or as a condition of employment \[41\]. Business
entity funds may not be used to make contributions or to reimburse in
any manner any individual for making a contribution; however, a business
entity may fund the cost of operating its political committee and the
cost of soliciting voluntary contributions to the committee, such as
through implementation of a payroll deduction program \[42\].

A political committee organized by a business entity may not make
contributions to or for the benefit of any candidate for governor in
excess of \$5,000 \[43\]; in excess of \$3,000 for lieutenant governor,
secretary of state, treasurer, comptroller, or attorney general \[44\];
in excess of \$1,000 for state senator, probate judge, or chief
executive officer of a town, city, or borough \[45\]; in excess of \$500
for state representative \[46\]; or in excess of \$250 for any other
municipal office \[47\]. These same limitations apply separately to a
primary \[48\], and a contribution limit of \$250 is imposed for a
contribution to or for the benefit of an exploratory committee \[49\],
with an overall aggregate limit of \$100,000 in contributions for any
single primary and general election \[50\].

**E. Contributions by or to a Party Committee or Political Committee
Organized for Ongoing Political Activities.** A party committee, or a
political committee organized for ongoing political activities, may make
other contributions to or for the benefit of another party committee
\[51\]; a candidate committee \[52\]; a political committee \[53\]; any
national political party committee \[54\]; or a committee of a candidate
for federal or out‑of‑state office \[55\], without limitation. A party
committee or political committee organized for ongoing political
activities may receive contributions from a federal account of a
national political party committee, but may not receive contributions
from any other account of a national party political committee
(so-called "soft money") or from a committee of a candidate for federal
or out‑of‑state office for use in the election of candidates subject to
the provisions of the campaign finance law \[56\]. A party committee or
political committee organized for ongoing political activities may make
contributions to a tax‑exempt charitable organization \[57\].

A political committee organized for ongoing political activities may not
make a contribution in excess of \$2,000 to another political committee
in any calendar year nor may it contribute in excess of \$250 to an
exploratory committee \[58\].

A political committee may not accept contributions from a lobbyist
during a legislative session unless the committee treasurer has filed a
certification that the committee is not established for an assembly or
senatorial district; by a member of the general assembly or a member\'s
agent; or in consultation with, at the request or suggestion of any
member or agent, or that is controlled by any member or agent \[59\].

**F. Contributions by Candidate Committee.** A candidate committee may
not make contributions to or for the benefit of a party committee
\[60\]; a political committee, except a political committee which has
been formed for a slate of convention delegates in a primary \[61\]; a
committee of a candidate for federal or out‑of‑state office \[62\]; a
national committee \[63\]; or another candidate committee, except for a
pro rata share of operating a headquarters or the expenses of preparing,
printing, and disseminating any political communication on behalf of
that candidate and any other candidate or candidates \[64\]. A candidate
committee may not receive contributions from any national committee or
from a committee of a candidate for federal or out‑of‑state office
\[65\].

**G. Contributions by Individuals.** No individual may make contribute
to, for the benefit of, or pursuant to the authorization or request of a
candidate or a committee supporting or opposing any candidate\'s
campaign for nomination or election for governor in excess of \$2,500
\[66\]; in excess of \$1,500 for lieutenant governor, secretary of
state, treasurer, comptroller, or attorney general \[67\]; in excess of
\$500 for state senator or probate judge \[68\]; or in excess of \$250
for state representative \[69\]. Individuals are limited to \$1,000 in
contributions, under similar restrictions, to candidates for nomination
or election to chief executive of any town, city, or borough \[70\], and
to \$250 to any exploratory committee, or a political committee formed
by a slate of candidates in a primary for the position of delegate to
the same convention \[71\]. These limits are applied separately to
primaries and elections \[72\]. In the case of one or more convention
delegate primaries in which a slate of candidates for the position of
convention delegate are committed to a single candidate for state or
district office who has consented to financing the slate\'s campaign
solely by his or her candidate committee, an individual may make an
additional contribution to the candidate committee not in excess of
\$250 for each delegate primary so financed \[73\].

An individual is limited to an aggregate of \$15,000 of contributions to
candidates covered by the campaign financing provisions for any single
election and preceding primary \[74\], and may not make any contribution
to a candidate or political committee (other than an in-kind
contribution) of more than \$100 except by personal check \[75\].

An individual is not permitted to make contributions in any one calendar
in excess of \$5,000 to the state central committee of any party, or for
the benefit of such a committee pursuant to its authorization or
request; \$1,000 to a town committee of any political party, or for the
benefit of such a committee pursuant to its authorization or request
\[76\]; or \$1,000 to a political committee other than a political
committee formed solely to aid or promote the success or defeat of a
referendum question \[77\]; an exploratory committee \[78\]; a political
committee established by a labor organization, or for the benefit of
such a committee pursuant to its authorization or request \[79\]; or a
political committee formed by a slate of candidates in a primary for the
position of delegate to the same convention \[80\]. An individual may
not make a contribution to a political committee established by an
organization which receives its funds from the organization's treasury
\[81\], or to a candidate committee and a political committee formed
solely to support one candidate, other than an exploratory committee, or
for the benefit of a candidate committee and a political committee
formed solely to support one candidate pursuant to the authorization or
request of any such committee in an aggregate amount in excess of the
maximum which may be contributed to the candidate \[82\].

Campaign contributions of more than \$30 are prohibited from a person 15
years old or younger \[83\].

**H. Individuals Providing Investment Services to the State.** An
individual who is the owner, manager, partner, or employee with
investment responsibilities of a firm that provides investment services
to the state treasurer may not contribute to or solicit contributions on
behalf of the campaign committee or exploratory committee for the state
treasurer during the period of time that the individual is receiving
either compensation from the state treasurer or is under contract to the
state \[84\]. The ban applies for the entire term of office and applies
to contributions to all candidates for treasurer and their exploratory
committees \[85\].

**I. Contributions by Lobbyists and Their Related Political
Committees.** During certain legislative sessions, lobbyists and
political committees established by or on behalf of a lobbyist may not
solicit, make, or offer to make a contribution to, or for the benefit of
any candidate or exploratory committee for any state constitutional
office and the campaign or exploratory or political action committees
the candidates control, or for the office of state senate or state
representative, or any political committee established for a state
assembly or senatorial district, or by a member of the general assembly
or a member\'s agent, or in consultation with, at the request, or
suggestion of any such member or member's agent, or controlled by such
member or member's agent \[86\]. For this purpose, the exclusions to the
term "contribution" do not apply \[87\]. The lobbyist ban is applicable
in each regular session of the general assembly beginning when the
session convenes and ending when the session is adjourned *sine die*,
and also applies in each special session and veto session in the
odd-numbered years \[88\]. The ban does not apply to candidates in a
special election for the office of state senate or state representative,
or to a legislator who has established an exploratory committee for an
office other than general assembly \[89\].

A lobbyist who in good faith makes a contribution to a political
committee which does not appear on a list of prohibited recipients
maintained by the State Elections Enforcement Commission, and any
campaign treasurer of a prohibited committee who in good faith accepts a
contribution from a political committee which does not appear on the
list of political committees established by or on behalf of a lobbyist
maintained by the State Elections Enforcement Commission, has an
absolute defense in any action brought to challenge the making or
acceptance of the contribution \[90\].

**J. Designation of Campaign Treasurer and Depository.** Except with
respect to an individual acting on his or her own, no contributions may
be may be solicited, or received, directly or indirectly, in aid of, or
in opposition to the candidacy for nomination or election of any
individual, or any party or referendum question, unless a campaign
treasurer been properly designated by the candidate or chair of the
committee \[91\], and a single in-state campaign depository has been
properly designated \[92\]; or unless the candidate, or appropriate
group of individuals in the case of a referendum question, has filed a
proper exemption statement \[93\].

While all funds received by a committee must be deposited into the
single checking account, funds may be withdrawn by the campaign
treasurer for redeposit into one or more savings or other investment
accounts in different financial institutions to earn higher interest;
however, no expenditures may be made from such investment accounts
except to redeposit the funds in the single checking account established
within the designated depository \[94\].

A candidate may not serve as his or her own campaign treasurer or deputy
campaign treasurer, except for an exempt candidate who has filed a
certification that he or she is financing his or her own campaign
entirely from his or her personal funds or is not receiving or expending
funds in excess of \$500 \[95\]. A committee may have only one
designated treasurer, who is required to be an elector of the state
\[96\]. The committee may, however, also appoint a deputy campaign
treasurer \[97\].

No contribution in aid of, or in opposition to the candidacy of any
person or persons may be made at any time, except to a properly
designated campaign treasurer, or to a solicitor \[98\], an individual
appointed by a campaign treasurer to receive moneys on the committee\'s
behalf \[99\]. The campaign treasurer is to deposit contributions within
seven days after receipt, in the designated depository \[100\].

**K. Attribution of a Contribution by Check.** A contribution in the
form of a check drawn on a joint bank account is deemed to be a
contribution made solely by the individual who signed the check \[101\].
If a check is signed by more than one individual, the contribution is to
be divided equally among the cosigners \[102\].

**L. Solicitation of a Contribution From a Candidate.** No person may
solicit from any candidate any money, gift, contribution, emolument, or
other valuable thing for the purpose of using the same toward the
support, assistance, benefit, or expenses of any club, company, or
organization, or for the purpose of defraying the cost or expenses of
any political campaign, primary, referendum, or election \[103\].

**M. Solicitation of a Contribution by a State Employee.** No state
department head or deputy department head may solicit a contribution on
behalf of, or for the benefit of, any candidate for state, district, or
municipal office, or any political party \[104\].

**N. Contributions Not Provided to Campaign Treasurer.** No person,
directly or indirectly, may pay, give, contribute, or promise any money
or other valuable thing to defray, or toward defraying the cost or
expenses of any campaign, primary, referendum, or election to any
person, committee, company, club, organization or association, other
than to a campaign treasurer, except for any expenses for postage,
telegrams, telephoning, stationery, express charges, traveling, meals,
lodging, or photocopying incurred by any candidate for office or for
nomination, so far as may be permitted by law \[105\].

**O. Contributions Not in Name of Contributor**. No person, directly or
indirectly, may personally, or through another person, make a payment or
promise of payment to a campaign treasurer in any other name than his or
her own, nor may any campaign treasurer knowingly receive a payment or
promise of payment, or enter, or cause to be entered in the accounts in
any other name than that of the person by whom such payment or promise
of payment is made \[106\]. Each anonymous contribution of \$15 or more
received by a committee must immediately be remitted by the campaign
treasurer to the state treasurer, who deposits the contribution in the
general fund \[107\].

**P. Contributions in Cash.** No person may offer or receive a cash
contribution in excess of \$50 to promote the success or defeat of any
political party, candidate, or referendum question \[108\]. All
contributions over \$100 must be made by personal check \[109\]. A money
order which bears the legible signature of the contributor is considered
to be a check (but not a personal check) for the purposes of the
campaign finance laws, but if the money order does not bear the legible
signature of the contributor on its face, it is considered to be cash
and is treatable as such \[110\]. Similarly, a check made payable to
"cash" is considered to be a cash contribution \[111\].

**Q. Certain Contributions Aggregating in Excess of \$100.** A
contributor of \$100 up to \$1,000 must turn in to the campaign
treasurer the contributor's principal occupation and employer at the
time the contribution is made \[112\]. If a campaign treasurer receives
a contribution from an individual aggregating in excess of \$100 and the
individual has not provided information about the individual's
occupation, the name of the individual's employer, and a statement
indicating whether the individual or a business the individual is
associated with has a contract with the state valued at more than
\$5,000, the campaign treasurer must, within three business days after
receiving the contribution, send a request for such information to the
contributor by certified mail, return receipt requested, and shall not
deposit the contribution until the treasurer obtains the requisite
information from the contributor \[113\]. The campaign treasurer must
return the contribution to the contributor of \$1,000 or more if the
contributor does not provide the required information within 14 days
after the treasurer\'s written request, or at the end of the reporting
period in which the contribution was received, whichever is later
\[114\].

**R. Solicitations and Contributions by a Judge or Judicial Candidate.**
A judge or judicial candidate should not solicit funds for or contribute
funds to a political organization or candidate \[115\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is any purchase,
payment distribution, loan, advance, deposit, or gift of money or
anything of value made for the purpose of influencing the nomination or
election of any person or for the purpose of aiding or promoting the
success or defeat of any referendum question, or on behalf of any
political party \[116\]; or the transfer of funds by a committee to
another committee \[117\].

An expenditure does not include a loan by a bank made in the ordinary
course of business \[118\]; any communication made by any corporation,
labor organization, or association to its members, owners, stockholders,
executive or administrative personnel, or their families \[119\];
nonpartisan voter registration and get‑out‑the‑vote campaign by any
corporation, labor organization, or other association to its members,
owners, stockholders, executive or administration personnel, or their
families \[120\]; uncompensated services provided by individuals
volunteering their time \[121\]; any news story, commentary, editorial
distributed through the facilities of any broadcasting state newspaper,
magazine, or other periodical, unless the facilities are owned
controlled by any political party, committee, or candidate \[122\]; the
use of real or personal property, and the cost of invitations, food, and
beverage voluntarily provided by an individual to a candidate or on
behalf of a state central or town committee, in rendering voluntary
personal services candidate or party‑related activities on the
individual's residential premises, to the extent that the cumulative
value provided on behalf of single candidate for nomination or election
does not exceed \$200 with respect to any single election, and on behalf
of all state central and town committee does not exceed \$400 in a
calendar year \[123\]; and any unreimbursed payment travel expenses made
by an individual volunteering personal services to any single candidate
for nomination or election, to the extent that the cumulative value does
not exceed \$200 with respect to any single election, and on behalf of
all state or town committees does not exceed \$400 in a calendar year
\[124\].

**B. Expenditures by a Business Entity.** No business entity may make
any expenditures to for the benefit of, any candidate\'s campaign for
nomination or election to public office, to promote the defeat of any
candidate for any political office, to promote the success or defeat of
any political party, or expenditures to or on behalf of a committee,
except through a separate political committee established by that entity
\[125\].

**C. Expenditures by an Individual to Promote or Defeat a Ballot
Question.** An individual may make unlimited expenditures to promote the
success or defeat of any referendum question \[126\].

**D. Designation of Campaign Treasurer and Depository.** Other than with
respect to an individual acting on his or her own, no expenditures may
be made, directly or indirectly, in aid of, or in opposition to the
candidacy of individual, a party, or a constitutional amendment,
referendum question, or other question to be voted on at any election
unless a campaign treasurer \[127\] and a campaign depository have been
properly designated \[128\], or unless the candidate, or appropriate
group of individuals in the case of a referendum question, has filed a
proper exemption statement \[129\].

**E. Incurring of Financial Obligations by a Committee.** No financial
obligation may be incurred by a committee unless authorized by the
campaign treasurer \[130\].

**F. Payment of Campaign Workers by Town Political Party Committee.** On
any primary or election day, the campaign treasurer of any town
political party committee may appoint and authorize one individual in
each voting district of the municipality in which the primary or
election is being held to receive a check drawn by the treasurer against
the designated depository account to the order of the individual in an
amount not to exceed \$250, to make cash expenditures on behalf of the
committee in an amount not to exceed an aggregate amount of \$250 for
per diem allotments to campaign workers, or necessary expenses incurred
by the campaign workers that day \[131\].

**G. Payment of Committee Obligations.** No other payments, other than
personal expenses of a candidate, in satisfaction of any
election‑related obligation incurred by a committee may be made by or
accepted from any person other than the campaign treasurer \[132\]. Any
such payment must be by check drawn by the treasurer on the designated
depository \[133\]. Each check issued by the campaign treasurer of a
political committee to a candidate committee, party committee, or
another political committee must have typed, stamped, or printed other
than by hand, on its face, the name and address of the political
committee making the contribution \[134\], and must legibly indicate the
name of the campaign treasurer of the political committee \[135\]. A
treasurer may draw a check of not more than \$100 to establish a petty
cash fund, and may deposit additional funds to maintain the fund at not
more than \$100 \[136\].

**H. Authorized Committee Expenditures.** Any campaign treasurer in
accomplishing the committee\'s lawful purpose may pay expenses of hiring
public halls and music for political meetings, of furnishing music,
uniforms, banners, fireworks for political clubs or public parades
\[137\]; printing and circulating political newspapers, pamphlets, and
books \[138\]; printing and distributing sample ballots or ballot labels
\[139\]; renting rooms or office space, and any ordinary and necessary
equipment or supplier to be used by the committees or their workers
\[140\]; compensating clerks and persons employed in committee rooms and
at the polls, and of furnishing reasonable entertainment to those
persons necessarily employed, and to members of committees \[141\];
travel of candidates and committee workers in connection with any
business which is necessary and proper to accomplish the lawful purposes
of their committees, and public speakers and reasonable compensation to
public speakers \[142\]; necessary postage, telegrams, telephone,
printing, and express charges \[143\]; preparing, circulating, and
filing petitions for nomination \[144\]; transporting electors to the
polls \[145\]; of purchasing radio and television time, advertisements
in newspapers and other communication media \[146\]; necessary fees for
professional services, including but not limited to attorneys,
accountants, public relations specialists, and campaign consultants
\[147\]; conducting polls concerning any political party, issue,
candidate, or individual \[148\]; or any other expense deemed necessary
in accordance with State Elections Enforcement Commission guidelines
\[149\].

**I. Prohibited Committee Expenditures.** No political committee
treasurer may provide an honorarium, compensation, or gift to any
elected public official for speaking or other services for the campaign
except for reimbursement of actual travel expenses or food and beverage
for the personal consumption of the official or his or her immediate
family in connection with services \[150\], or a reported contribution
to the official\'s campaign \[151\].

**J. Independent Expenditures by Individuals.** An individual may,
independent of any other person, make unlimited expenditures for the
benefit of any candidate\'s campaign for nomination or election to any
office, subject to the requirement that contributors of more than
\$1,000 must file campaign finance statements \[152\].

**IV. REPORTING REQUIREMENTS**

**A. General Provisions---Place of Filing.** Each required statement or
report from a party committee; political committee formed to aid or
promote the success or defeat of a referendum question; lobbyist; and a
political or candidate committee formed to promote the success or defeat
of any candidate for governor, lieutenant governor, secretary of state,
treasurer, comptroller, attorney general, judge of probate and members
of the general assembly is to be filed with the office of the Secretary
of State \[153\]. A copy of each statement filed by a town committee
must be filed at the same time with the town clerk of the municipality
in which the committee is situated \[154\]. A political committee formed
for a slate of candidates in a primary for the position of convention
delegate must file statements with both the Secretary of State and the
town clerk of the municipality in which the primary is held \[155\].

Each required statement or report from a political committee formed
solely to aid or promote the success or defeat of a referendum question
to be voted upon by the electors of a single municipality is to be filed
only with the town clerk of the municipality in which the election
referendum is to be held, and in the case of a political committee or
candidate committee formed to aid or promote the success or defeat of
any other candidate for public office other than a state official,
member of the general assembly, or judge of probate, or the position of
town committee member, filing is with the town clerk of the municipality
in which the candidate resides \[156\].

**B. Statement of Organization and Special Certification for a Political
Committee.** Each political committee must file a statement of
organization with the proper authority within 10 days after its
organization, except that if any political committee is organized within
10 days of any primary, election, or referendum in connection with which
it intends to make any contributions or expenditures, it must
immediately file the statement of organization \[157\]. The statement of
organization is required to include the name and address of the
committee \[158\]; a statement of the committee's purpose \[159\]; the
name and address of its campaign treasurer, and deputy campaign
treasurer \[160\]; the name, address, and position of its chairman and
other principal officers, if applicable \[161\]; the name and address of
the designated depository institution \[162\]; the name of each person,
other than an individual, that is a member of the committee, or who has
advanced a security deposit to a telephone company for telephone service
to the committee \[163\]; the name and party affiliation of each
candidate whom the committee is supporting and the office sought by each
candidate \[164\]; if the committee is supporting the entire ticket of
any party, a statement to that effect and the name of the party \[165\];
if the committee is supporting or opposing any referendum question, a
brief statement identifying the substance of each such question \[166\];
if the committee is established by a business entity or labor
organization, the name of that entity or organization \[167\]; if the
committee is established by a labor organization, whether it will
receive funds from the organization\'s treasury or from voluntary
contributions \[168\]; if the committee files reports with the Federal
Election Commission or any out‑of‑state agency, a statement to that
effect, including the name of the agency \[169\]; a statement indicating
whether the committee is established for a single primary, election, or
referendum, or for ongoing political activities \[170\]; a statement
indicating whether the committee is established by or on behalf of a
lobbyist, a statement to that effect, and the name of the lobbyist
\[171\]. Any additions to or changes in information previously submitted
in a statement of organization are to be submitted by the committee
chairman to the proper authority within 10 days of the addition or
change \[172\].

A political committee that wishes to accept lobbyist contributions
during a legislative session must file a special certification with the
Secretary of State upon the registration of the committee, and
biennially thereafter \[173\].

**C. Approval of a Political Committee Supporting a Single Candidate.**
The chair of a political committee formed to support a single candidate
for public office must, not later than seven days after filing a
statement of organization, send the candidate a notice, by certified
mail, of such a filing \[174\]. If the candidate does not disavow the
committee in writing to the proper authority within 14 days after
receiving the notice \[175\], or disavows the committee within the
prescribed period but before the disavowal accepts funds from the
committee for his or her campaign, the committee is deemed to have been
authorized by the candidate and constitutes a candidate committee
\[176\].

**D. Statement of Contributions and Expenditures**

**1. Exemptions.** Statements of contributions and expenditures are not
required if a candidate filed a certification with the proper filing
authority and the candidate is one of a slate of candidates whose
campaigns are funded solely by a party committee or a political
committee formed for a single primary or election and expenditures made
on behalf of the candidate\'s campaign are reported by the committee
sponsoring the candidacy \[177\]; the candidate finances his or her
campaign entirely from personal funds and does not solicit or receive
contributions \[178\]; or the candidate does not receive or expend in
excess of \$500 from other sources \[179\]. The candidate must certify
the exemption no later than the third day following his or her
candidacy, and if the candidate no longer qualifies for the exemption,
the candidate must, within three business days thereafter, provide the
designated campaign treasurer with all information required for
completion of the treasurer\'s statements and filings \[180\].

A group of two or more individuals who have joined solely to promote the
success or defeat of a referendum question are not required to file
statements if the group does not receive or expend in excess of \$500
for the entire campaign, and the agent of the individuals files a
certification with the proper filing authority \[181\]. The
certification must include the name of the group or the names of the
persons who comprise the group, and the name and address of the agent
who will appear on any communication paid for by the group \[182\]. If
the group receives or expends in excess of \$500, the agent must
complete the statement of organization and file as a political committee
within three business days thereafter, with the agent required to
provide the designated campaign treasurer with all information required
for completion of the required statements \[183\]. A certification of a
group of individuals who have joined solely to aid or promote a
referendum question and who are exempt from the filing requirements are
to be filed with the town clerk in each municipality in which the
referendum is to be held \[184\].

**2. Candidate Committees and Political Committees.** Each campaign
treasurer of a candidate committee or political committee must file a
statement of contributions and expenditures on the second Thursday of
January, April, July, and October \[185\]; on the 7th day before each
regular state election, except that in the case of a candidate or
exploratory committee established for an office to be elected at a
municipal election, the statement must be filed on the 7th day before a
regular municipal election in lieu of such date \[186\], and in the case
of a town committee, the statement must be filed on the 7th day before
each municipal election in addition to such date \[187\]; and on the 7th
day before the election, primary, or referendum, if the committee has
made or received a contribution or expenditure in connection with such
an election \[188\]. The statement, sworn under penalty of false
statement, must be filed with the proper authority and be complete as of
seven days immediately preceding the required filing day, covering a
period beginning with the first day not included in the last filed
statement, except that the January statement, when filed by a party
committee or political committee organized for the purpose of ongoing
political activities must cover all contributions made or received and
all expenditures made as of midnight on December 31 of the preceding
calendar year \[189\]. If the filing day is a Saturday, Sunday, or legal
holiday, the statement is to be filed on the next business day, and is
deemed timely filed if it is delivered by hand to the office of the
proper authority before 4:30 p.m. or postmarked by the United States
Postal Service before midnight on the required filing day \[190\].

The statement must include, but not be limited to an itemized accounting
of each contribution, including the full name and complete address of
each contributor and the amount of the contribution \[191\]; the total
amount of anonymous contributions received and the denomination of the
bills \[192\]; and an itemized accounting of each expenditure including
the full name and complete address of each payee, the amount of the
expenditure and the purpose of the expenditure, together with a
statement of the balance on hand or deficit \[193\].

Contributions from a single individual to a campaign treasurer totaling
an aggregate of \$30 or less need not be individually identified, but a
sum representing the total amount of all such contributions made by all
such individuals during the period must be a separate entry, identified
as "total contributions from small contributors" \[194\]. Each report is
to include an itemized accounting of the receipts and expenditures
relative to any testimonial affair or any other fundraising affair
\[195\], including details on a business entity or person who purchases
fundraising program advertising, including the name and address of the
chief executive officer of the entity, and the aggregate amount of the
purchases \[196\]. Each campaign treasurer of a committee must also
include an itemized accounting of each expense incurred but not yet paid
\[197\], and the name and address of any person who is the guarantor of
a loan to, or the cosigner of a note with, the candidate on whose behalf
the committee was formed, or the treasurer in the case of a political
committee \[198\]. The treasurer must also report for each individual
who contributes in excess of \$1,000 in the aggregate, the principal
occupation of the individual, the name of the individual's employer, if
any, and a statement indicating whether the individual or a business
with which he or she is associated has a contract with the state which
is valued at more than \$5,000 \[199\]; for each itemized contribution
made by a lobbyist, or the spouse or dependent child of a lobbyist, a
statement to that effect; and for each individual who contributes \$100
up to \$1,000, the contributor's principal occupation and employer
\[200\].

Within 45 days following any election and within 30 days following any
primary, each campaign treasurer of a candidate committee, and within 45
days after any election or referendum, the campaign treasurer of each
political committee must report the same information to the proper
authorities \[201\].

Within seven days after distribution of surplus funds or after all funds
have been expended in accordance with law, the treasurer is required to
file a sworn supplemental report identifying all further contributions
received since the previous report and stating the manner in which the
surplus has been distributed or expended \[202\]. In the event of a
deficit, the treasurer is to file a supplemental report 90 days after
the election, primary, or referendum, and subsequently on the 7th day of
each month following, if on the last day of the preceding month there
was an increase or decrease in the deficit in excess of \$500 until the
deficit is eliminated \[203\]. If any committee does not have a surplus
or deficit, the report required to be filed within 45 days following any
election or referendum or within 30 days following any primary is the
last required report \[204\]. When a statement is filed, the campaign
treasurer must send a copy of statement to the candidate and chairman of
the committee \[205\].

Statements need not be filed by a candidate committee or political
committee formed for a single primary or election until the committee
receives or expends an amount in excess of \$1,000 for the primary or
election for which the committee was formed \[206\]; and a political
committee formed solely to aid promote the success or defeat of any
referendum question need not file until the committee receives or
expends an amount in excess of \$1,000 \[207\].

**3. Political and Committees Organized for Ongoing Political
Activities.** On the second Thursday in the months of January, April,
July, and October; on the seventh day preceding any state election; and
on the 7th day preceding any election and any primary in connection with
which a party committee or political committee organized for the purpose
of ongoing political activities has made or received a contribution or
expenditure, the campaign treasurer of each such committee must file
with the proper authority a sworn statement of contributions and
expenditures, complete as of seven days preceding the required filing
day and covering a period to begin with the first day included in the
last filed statement, except that the period covered in January report
must include all contributions made or received and all expenditures
made as of midnight, December 31st of the preceding calendar year
\[208\].

In the case of state central committees, on each January 30th, April
10th, July 10th, and on the 12th day preceding any election, the
campaign treasurer of each such committee must file with the proper
authority a sworn statement of contributions and expenditures, complete
as of the last day of month immediately preceding the month in which the
statement is to be filed in the case of statements required to be filed
in January, April, and July, and complete as of the 19th day immediately
preceding an election in the case of the statement required to be filed
on the 12th day preceding an election, and in each case covering a
period to begin with the first day not included in the last filed
statement \[209\].

The statements must include, but are not limited to an itemized
accounting of each contribution, including each contributor's full name
and address and the full amount of the contribution \[210\], the total
amount of anonymous contributions received and the denominations of the
bills \[211\], and an itemized accounting of each expenditure, including
each payee's full name and address and the amount and purpose of each
expenditure, together with a statement of the balance on hand or deficit
\[212\]. Each report is to include an itemized accounting of the
receipts and expenditures relative to any testimonial affair or any
other fundraising affair \[213\]. Each campaign treasurer of a committee
must also include an itemized accounting of each expense incurred but
not yet paid \[214\], and the name and address of any person who is the
guarantor of a loan to, or the cosigner of a note with, the candidate on
whose behalf the committee was formed, or the treasurer in the case of a
political committee \[215\]. The treasurer must also report for each
individual who contributes in excess of \$1,000 in the aggregate, the
principal occupation of the individual, the name of the individual\'s
employer, if any, and a statement indicating whether the individual or a
business with which he or she is associated has a contract with the
state which is valued at more than \$5,000 \[216\]; and for each
itemized contribution made by a lobbyist, or the spouse or dependent
child of a lobbyist, a statement to that effect; and for each individual
who contributes \$100 up to \$1,000, the contributor's principal
occupation and employer \[217\].

Contributions from an individual to a campaign treasurer totaling an
aggregate of \$30 or less need not be individually identified in the
report, but a sum representing the total amount of all such
contributions made by all such individuals during the period to be
covered by the report must be a separate entry, identified as "total
contributions from small contributors" \[218\].

**E. Independent Expenditure Reports.** An individual who, independent
of any other person, makes expenditures of more than \$1,000 for the
benefit of any candidate\'s campaign for nomination or election to any
office \[219\] or for or against any referendum question \[220\] must
file campaign finance statements in the same manner and under the same
schedule as a political committee.

**F. Special Electronic Reporting Requirements.** Candidate committees
formed for the nomination or election to the office of governor,
lieutenant governor, attorney general, state comptroller, state
treasurer, and secretary of state must file statements electronically if
they raise or spend \$250,000 or more \[221\]. Once they reach the
\$250,000 threshold, committees must refile by the next regular
report-filing deadline, any reports previously filed in hard copy using
the computerized format \[222\]. Certain other campaign committees are
also authorized to file their statements electronically, including a
candidate committee for legislator, or judge of probate; a committee
formed for a slate of candidates in a convention delegate primary; a
town committee or state central party committee; and a political action
committee \[223\].

To file in electronic form, a committee must send its campaign finance
report to the appropriate filing officer on disk, tape, or other
electronic storage medium, or transmit the report on-line \[224\].

**G. Reports of Lobbyists.** A lobbyist who is an individual, and, in
conjunction with any spouse or dependent child residing in the lobbyists
household, makes contributions to or purchases from committees exceeding
\$1,000 in the aggregate during the 12-month period beginning July 1,
must file a sworn statement with the Secretary of State on the second
Thursday in July following the end of the 12-month period \[225\]. The
statement must include the name and address of each person on whose
behalf the individual was a lobbyist during the year \[226\], the name
of each committee to which the lobbyist or immediate family member has
made a contribution and the amount and date of each such contribution
\[227\], and the name of each committee from which the lobbyist or a
member of the lobbyist's immediate family member has purchased any
property or advertising space in a program or ticket, and the amount,
date, and description of each such purchase \[228\].

A lobbyist who is an individual, and who in conjunction with any spouse
or dependent child residing in the lobbyists household, does not make
contributions to or purchases from committees exceeding \$1,000 in the
aggregate during the 12-month period, must file a sworn statement so
stating with the Secretary of State on the second Thursday in July
following the end of the 12-month period \[229\].

**H. Reports from Solicitors.** Each properly appointed solicitor is
responsible for submitting to the campaign treasurer a list of all
contributions made or promised to him or her, complete as of 72 hours
immediately preceding midnight of the day before the treasurer is
required to file statements, and to be received by the treasurer not
later than 24 hours immediately before the required filing dates
\[230\].

**I. Report of Goods Contributed by One Committee to Another.** The
campaign treasurer of each political committee or party committee which
makes a contribution of goods to another committee must send a written
notice to the campaign treasurer of the recipient committee before the
close of the reporting period during which the contribution was made,
signed by the campaign treasurer of the committee making the
contribution, and including the committee's full name, the date on which
the contribution was made, a complete description of the contribution,
and the contribution\'s value \[231\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Exploratory Committee.** An exploratory committee that has a
surplus in its account at the time of its dissolution must have that
surplus transferred by the campaign treasurer to the subsequently formed
candidate committee not later than 15 days after the candidate declares
an intention to seek nomination or election to a particular public
office \[232\]. In the event of a deficit, the treasurer must file a
report 30 days after the decision or declaration with the proper
authority and thereafter on the seventh day following a month in which
there was an increase or decrease in the deficit in excess of \$500
until it is eliminated \[233\]. If an exploratory committee does not
have a surplus or deficit, the report required to be filed after the
declaration or decision made by the candidate serves as the final report
\[234\]. If the candidate decides not to seek nomination or election to
a particular public office, the campaign treasurer must, within 15 days
after the decision, distribute any surplus in the manner provided for
political committees established for a single election \[235\]. The
treasurer must also file a statement identifying all contributions
received or expenditures made by the exploratory committee since the
last statement, and the balance on hand or deficit \[236\].

**B. Distribution of Surplus Funds.** In the event of a surplus, the
campaign treasurer of a candidate committee or of a political committee,
other than a political committee formed for ongoing political
activities, must contribute or expend the surplus within 90 days after a
primary that results in the defeat of the candidate or referendum
\[237\].

Each candidate committee, except a candidate committee of a candidate
elected to office, and all political committees other than those formed
for ongoing political activities, must distribute their surplus to a
party committee or a political committee organized for ongoing political
activities, return the surplus to contributors to the committee on a
prorated basis of contribution, or distribute the surplus to a
tax‑exempt charitable organization; however, a candidate committee may
not distribute its surplus to a committee that has been established to
finance future political campaigns of the candidate \[238\]. Each
political committee established by an organization for a single primary
or election is required to return its surplus to its sponsoring
organization \[239\]; each political committee formed solely to aid or
promote the success or defeat of any referendum question which does not
receive contributions from a business entity or organization, is to
distribute its surplus to a party committee, political committee
organized for ongoing political activities, a national party committee,
to all contributors to the committee on a prorated basis of
contribution, to state or municipal governments or agencies, or to
tax‑exempt charitable organizations \[240\]; each political committee
formed solely to aid or promote the success or defeat of any referendum
question which receives contributions from a business entity or
organization, is to distribute its surplus to all contributors to the
committee on a prorated basis of contribution, to state or municipal
governments or agencies, or to tax‑exempt charitable organizations
\[241\]; and the campaign treasurer of the candidate committee of a
candidate who is elected to office may, upon the candidate\'s
authorization, spend surplus campaign funds to pay for the cost of
clerical, secretarial, or other office expenses necessarily incurred by
the candidate in preparation for taking office, but the surplus is not
to be distributed for the personal benefit of an individual or any labor
organization \[242\].

The campaign treasurer of the candidate committee of a candidate who has
withdrawn from a primary or election may, prior to the primary or
election, distribute its surplus to any tax-exempt organization, or
return the surplus to all contributors of the committee on a prorated
basis of contribution \[243\].

**C. Supplemental Reports.** Within seven days after the distribution of
surplus funds or their expenditure on behalf of an incoming
officeholder, the treasurer is to file a sworn supplemental report with
the proper authority identifying all further contributions received
since the previous report and stating how the surplus has been
distributed or expended \[244\]. No surplus may be distributed or
expended until after the primary, election, or referendum \[245\].

In the event of a deficit, the campaign treasurer is to file
supplemental reports with the proper authority 90 days after the
primary, election, or referendum and, thereafter on the seventh day of
each month after any increase or decrease in the deficit in excess of
\$500 has been made, and until it is eliminated \[246\]. If a committee
has surplus or deficit, the report required to be filed within 45 days
following an election or referendum or within 30 days following any
primary serves as the last required report \[247\].

**VI. OFFENSES AND PENALTIES**

**A. Liability for a Debt.** No candidate, campaign treasurer, or
committee is liable for any debt incurred in aid of or in opposition to
any political party, referendum, or the candidacy of any person or
persons for such offices unless the debt was incurred pursuant to
authorization issued by the campaign treasurer \[248\].

**B. Penalty Provisions.** Any person who knowingly and willfully
violates the campaign finance provisions of the law may be fined not
more than \$5,000 or imprisoned for not more than five years, or both
\[249\]. A late filing fee of \$55 may be imposed for reports not filed
on time, with the penalty escalating to a fine of not more than \$1,000
or imprisonment of not more than one year, or both, for a report filed
later then seven days after it is due \[250\].

Violations of contribution and expenditure provisions may also carry a
Commission-imposed civil penalty of not more than \$2,000 or twice the
amount of an improper contribution or expenditure (whichever is greater)
for an offense against any violator after a hearing \[251\]. In the case
of an intentional violation, the Commission is also empowered to remove
a treasurer \[252\] or bar an individual from serving as a treasurer for
not greater than four years \[253\].

The Commission's civil penalty provisions do not apply to impermissible
contributions made by those individuals less than 16 years old \[254\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State and Town Clerk.** The Secretary of State is the
designated filing officer for all party committees, political committees
formed to aid or promote the success or defeat of a statewide
referendum, and those political committees and candidate committees
formed to aid or to promote the success or defeat of any candidate for
statewide elective office, judge of probate, and members of the general
assembly \[255\]. Political committees formed solely to aid or promote
the success or defeat of a question to be voted upon at an election or
referendum by the electors of a single municipality and political
committees or candidate committees formed to aid or promote the defeat
of any candidate other than those who file with the Secretary of State
are to file with the town clerk of the municipality in which the
election or referendum is to be held or in which the candidate resides
\[256\]. Each town clerk not receiving a salary is entitled to receive
10 cents from the town for each report filed \[257\].

In filings directed to the office of the Secretary of State, if any
candidate or lobbyist fails to file a required statement within the
required time, the Secretary of State must immediately notify the
campaign treasurer or lobbyist that, if the statement is not filed
within seven days after the filing deadline, the Secretary of State must
notify the candidate or lobbyist by certified mail that if the statement
is not filed within 21 days after the deadline the candidate or lobbyist
is in violation \[258\]. If the candidate or lobbyist does not file such
statement within 21 days, the Secretary of State will notify the State
Elections Enforcement Commission that the treasurer or lobbyist is in
violation of the law, and, in the case of statements filed with a town
clerk, the town clerk must, after the filing deadline, notify the
candidate or lobbyist by certified mail that if the statement is not
filed within seven days after receiving such notice, the town clerk must
notify the State Elections Enforcement Commission that the candidate or
lobbyist is in violation \[259\].

The Secretary of State is required to create a software program for the
electronic submission of campaign finance statements \[260\], provide
training for its use \[261\], and, prescribe the format and
specifications for vendor-created software programs \[262\], and then
determine compliance for any vendor program before it can be used
\[263\].

The secretary must also convert, to the extent feasible, all statements
filed in hard copy to the computerized format \[264\]. The secretary
must then make the computerized statements available to the public
through computer terminals in the Secretary of State's office \[265\],
on the Internet or other on-line computer network \[266\], and, if
possible, on computer terminals at remote access locations \[267\].

The secretary is required to report to the Government Administration and
Elections Committee on implementation of the computerized campaign
finance reporting system \[268\].

The Secretary of State is also required to provide to the State
Elections Enforcement Commission, on a biennial basis, a political
committee registration report, including a certified copy of each
certification that the committee is not established for an assembly or
senatorial district, and a certified copy of a list of all such
committees filing such a statement, along with the names and addresses
of the committee treasurers \[269\].

**B. State Elections Enforcement Commission.** The five‑member State
Elections Enforcement Commission consists of one member appointed by the
minority leader of the house of representatives, one appointed by the
minority leader of the senate, one appointed by the president pro
tempore of senate, one appointed by the speaker of the house of
representatives, and one appointed by the governor \[270\]. No person
who has served within the previous three years as a public official,
other than a member of the Commission, or who has served within the
previous three years as a political party official, may be appointed to
the Commission \[271\]. No Commissioner may be a candidate in any
primary or general election, hold any elected public office, be a
political party officer, or hold any office of any committee \[272\].

The Commission is to undertake investigations on its own initiative, or
with respect to statements filed with the Commission by the Secretary of
State, any town clerk, or upon written complaint under oath by any
individual with respect to alleged violations of any provision of the
law pertaining to any primary, election, or referendum, and to hold
hearings when necessary to investigate violations \[273\]. The
Commission may administer oaths, examine witnesses, receive oral and
documentary evidence, subpoena witnesses, compel testimony and
attendance, and require the production for examination of any books and
papers that the Commission deems relevant to any matter under
investigation or question \[274\]. In case of a refusal to comply with
any subpoena or testify with respect to any matter upon which that
person may be lawfully interrogated, the superior court for Hartford may
issue an order requiring compliance on application of the Commission
\[275\].

The Commission may also levy a civil penalty of not more than \$2,000 or
twice the amount of an improper contribution or expenditure (whichever
is greater) for an offense against any violator after a hearing \[276\].
If a penalty is not paid within 30 days of proper written notice, the
Commission may apply to superior court for Hartford for enforcement
\[277\]. In the case of an intentional violation, the Commission may
also remove a treasurer \[278\] or bar an individual from serving as a
treasurer for not greater than four years \[279\].

The Commission is also authorized to inspect or audit campaign accounts
upon reasonable notice \[280\]; to attempt to secure voluntary
compliance by informal methods of conference, conciliation, and
persuasion \[281\]; to consult with the Secretary of State, attorney
general, or the chief state's attorney \[282\]; to refer to the chief
state's attorney evidence of certain violations \[283\], and to refer to
the attorney general evidence for injunctive or other ancillary
equitable relief \[284\]; to inspect filed reports and refer evidence of
violations to the chief state\'s attorney \[285\]; and to adopt
regulations, issue advisory opinions, and recommend revisions of the law
to the general assembly \[286\].

The Commission must prepare a list of committees filing certification
statements certified to it by the Secretary of State, and provide a copy
to each of the four legislative leaders prior to the opening of the
general assembly, supplemented as required \[287\].

The Commission has been charged with the responsibility of approving for
legal sufficiency the reporting format and program specifications
prescribed by the Secretary of State, and consulting with the secretary
about the training the secretary's office provides with respect to
electronic filing \[288\].

The Commission also has the power to force the return or escheat to the
state of improper contributions or payments \[289\].

# References

1\. Connecticut General Statutes

Annotated (West) (hereafter

CGSA) § 9‑333b(a)(1)

2\. CGSA § 9‑333b(a)(2)

3\. CGSA § 9‑333b(a)(3)

4\. CGSA § 9‑333b(a)(4)

5\. CGSA § 9‑333b(a)(5)

6\. CGSA § 9‑333b(b)(1); *see*, State Elections

Enforcement Commission, *Treatment of*

*Loans Under Campaign Financing Law*

(March, 1993)

7\. CGSA § 9‑333b(b)(2)

8\. CGSA § 9‑333b(b)(3)

9\. CGSA § 9‑333b(b)(4)

10\. CGSA § 9‑333b(b)(5)

11\. CGSA § 9‑333b(b)(6)

12\. CGSA § 9‑333b(b)(7)

13\. CGSA § 9‑333b(b)(8)

14\. CGSA § 9‑333b(b)(9)

15\. CGSA § 9‑333b(b)(10)

16\. CGSA § 9‑333b(b)(11)

17\. CGSA § 9‑333b(b)(12)

18\. CGSA § 9‑333b(b)(13)

19\. CGSA § 9-333b(b)(14)

20\. CGSA § 9‑333i(j)

21\. CGSA § 9‑333o(a)

22\. CGSA § 9‑333o(c)

23\. CGSA § 9‑333p(a)

24\. CGSA § 9‑333p(a)

25\. CGSA § 9‑333q(a)(1)

26\. CGSA § 9‑333q(a)(2)

27\. CGSA § 9‑333q(a)(3)

28\. CGSA § 9‑333q(a)(4)

29\. CGSA § 9‑333q(a)(5)

30\. CGSA § 9‑333q(c)

31\. CGSA § 9‑333q(b)

32\. CGSA § 9‑333q(c)

33\. CGSA § 9‑333q(c)

34\. CGSA § 9‑333q(d)(1)

35\. CGSA § 9‑333q(d)(2)

36\. CGSA § 9‑333q(d)(3)

37\. CGSA § 9‑333q(d)(3)

38\. CGSA § 9‑333q(e)

39\. CGSA § 9‑333q(e)

40\. CGSA § 9‑333v(c)

41\. Connecticut State Elections

Enforcement Commission *Advisory*

*Opinion* No. 80-3 (hereafter *Advisory*

*Opinion*); Connecticut State Elections

Enforcement Commission, *The*

*Connecticut Campaign Finance Law: A*

*Guide for Political Committees*

*Established by a Business Entity,*

*Organization, or Two or More*

*Individuals for Ongoing Political*

*Activities* (hereafter *Guide2000*)

(June 2000) at 44

42\. *Guide 2002* at 28

43\. CGSA § 9‑333o(d)(1)

44\. CGSA § 9‑333o(d)(2)

45\. CGSA § 9‑333o(d)(3)

46\. CGSA § 9‑333o(d)(4)

47\. CGSA § 9‑333o(d)(5)

48\. CGSA § 9‑333o(d)

49\. CGSA § 9‑333o(e)

50\. CGSA § 9‑333o(d)

51\. CGSA §§ 9‑333s(a)(1);

9‑333t(a)

52\. CGSA §§ 9‑333s(a)(2);

9‑333t(a)

53\. CGSA §§ 9‑333s(a)(5);

9‑333t(a)

54\. CGSA §§ 9‑333s(a)(3);

9‑333t(a)

55\. CGSA §§ 9‑333s(a)(4);

9‑333t(a)

56\. CGSA §§ 9‑333s(b); 9‑333t(b)

57\. CGSA §§ 9‑333s(a); 9‑333t(b)

58\. CGSA § 9‑333t(b)

59\. CGSA § 9-333l(f)

60\. CGSA § 9‑333r(a)(1)

61\. CGSA § 9‑333r(a)(2)

62\. CGSA § 9‑333r(a)(3)

63\. CGSA § 9‑333r(a)(4)

64\. CGSA §§ 9‑333r(a)(5);

9‑333l(b)

65\. CGSA § 9‑333r(b)

66\. CGSA § 9‑333m(a)(1)

67\. CGSA § 9‑333m(a)(2)

68\. CGSA § 9‑333m(a)(4)

69\. CGSA § 9‑333m(a)(5)

70\. CGSA § 9‑333m(a)(3)

71\. CGSA § 9‑333m(c)

72\. CGSA § 9-333m

73\. CGSA § 9-333m(b)

74\. CGSA § 9‑333m(d)

75\. CGSA § 9-333m(e)

76\. CGSA § 9‑333n(a)

77\. CGSA § 9‑333n(a)(1)

78\. CGSA § 9‑333n(a)(2)

79\. CGSA § 9‑333n(a)(3)

80\. CGSA § 9-333n(a)(4)

81\. CGSA § 9‑333n(b)

82\. CGSA §§ 9-333n(f); 9-333o(f)

83\. CGSA § 9-333m(f)

84\. CGSA § 9‑333n(f)

85\. CGSA § 9‑333n(f)*; The Connecticut*

*Campaign Finance Law: A Guide*

*for Candidates for State Office,*

*General Assembly, Sheriff, and Judge of*

*Probate* (July 1997) at 31

86\. CGSA § 9-333l(e)

87\. CGSA § 9-333l(e). The contribution

exclusions outlined in § 9-333b(b) do

not apply for purposes of this section.

88\. CGSA § 9-333l(e)

89\. CGSA § 9‑333l(e)

90\. CGSA § 9‑333l(f)

91\. CGSA § 9‑333d(a), (b)

92\. CGSA § 9‑333d(a)(1)

93\. CGSA § 9‑333d(a)(2), (b)

94\. *Advisory Opinion* No. 75-6

95\. CGSA § 9-333h(d)

96\. CGSA § 9-333h(d)

97\. CGSA § 9-333f(a)

98\. CGSA § 9‑333d(b)

99\. CGSA § 9‑333a(13)

100\. CGSA § 9‑333h(a)

101\. CGSA § 9‑333h(b)

102\. CGSA § 9‑333h(b)

103\. CGSA § 9‑333x(4)

104\. CGSA § 9‑333x(11)

105\. CGSA § 9‑333x(5)

106\. CGSA § 9‑333x(7)

107\. CGSA § 9‑333h(b)

108\. CGSA § 9‑333x(9)

109\. CGSA § 9-333m(e)

110\. *Advisory Opinion* No. 75-5

111\. *Advisory Opinion* No. 75-5

112\. CGSA § 9-333j(c)(1)(C)

113\. *State v. Redente*, 563 A.2d 1365

(Conn. App. 1989)

114\. CGSA §§ 9-333j(c)(1)(G), (c)(2)

115\. Connecticut Code of Judicial Conduct

Canon 7A(1)(c)

116\. CGSA § 9‑333c(a)(1)

117\. CGSA § 9‑333c(a)(2)

118\. CGSA § 9‑333c(b)(1)

119\. CGSA § 9‑333c(b)(2)

120\. CGSA § 9‑333c(b)(3)

121\. CGSA § 9‑333c(b)(4)

122\. CGSA § 9‑333c(b)(5)

123\. CGSA § 9‑333c(6)

124\. CGSA § 9‑333c(7)

125\. CGSA § 9-333o(a),(b)

126\. CGSA §§ 9‑333n(d)

127\. CGSA § 9‑333d(a)(1)

128\. CGSA § 9‑333d(a)(2)

129\. CGSA § 9‑333d(a)(2), (b)

130\. CGSA § 9‑333i(a)

131\. CGSA § 9‑333i(c)

132\. CGSA § 9‑333i(d)

133\. CGSA § 9-333i(e)

134\. CGSA § 9-333i(l)(1)

135\. CGSA § 9-333i(l)(2)

136\. CGSA § 9-333i(e)

137\. CGSA § 9‑333i(g)(1)(A)

138\. CGSA § 9‑333i(g)(1)(B)

139\. CGSA § 9‑333i(g)(1)(C)

140\. CGSA § 9‑333i(g)(1)(D)

141\. CGSA § 9‑333i(g)(1)(E)

142\. CGSA § 9‑333i(g)(1)(F)

143\. CGSA § 9‑333i(g)(1)(G)

144\. CGSA § 9‑333i(g)(1)(H)

145\. CGSA § 9‑333i(g)(1)(I)

146\. CGSA § 9‑333i(g)(1)(J)

147\. CGSA § 9‑333i(g)(1)(K)

148\. CGSA § 9‑333i(g)(1)(L)

149\. CGSA § 9‑333i(g)(2)

150\. CGSA § 9‑333i(h)(1)

151\. CGSA § 9‑333i(h)(2)

152\. CGSA §§ 9‑333n(e); 9-333n(d), (e)

153\. CGSA § 9‑333e(a)

154\. CGSA § 9-333e(a)

155\. CGSA § 9-333e(a)

156\. CGSA § 9‑333e(b)

157\. CGSA § 9‑333g(a)

158\. CGSA § 9‑333g(b)(1)

159\. CGSA § 9‑333g(b)(2)

160\. CGSA § 9‑333g(b)(3)

161\. CGSA § 9‑333g(b)(4)

162\. CGSA § 9‑333g(b)(5)

163\. CGSA § 9‑333g(b)(6)

164\. CGSA § 9‑333g(b)(7)

165\. CGSA § 9‑333g(b)(8)

166\. CGSA § 9‑333g(b)(9)

167\. CGSA § 9‑333g(b)(10)

168\. CGSA § 9‑333g(b)(11)

169\. CGSA § 9‑333g(b)(12)

170\. CGSA § 9‑333g(b)(13)

171\. CGSA § 9‑333g(b)(14)

172\. CGSA § 9‑333g(c)

173\. CGSA § 9-333l(f)

174\. CGSA § 9-333f(c)

175\. CGSA § 9-333f(c)(1)

176\. CGSA § 9-333f(c)(2)

177\. CGSA § 9-333f(b)(1); *see,* State Elections

Enforcement Commission Interpretive

Bulletin (hereafter *Interpretive Bulletin*)

No. 95-01 (January 12, 1995)

178\. CGSA § 9-333f(b)(2); *Interpretive*

*Bulletin* 95-01

179\. CGSA § 9-333f(b)(3); *Interpretive*

*Bulletin* 95-01

180\. CGSA § 9-333f(b); *Interpretive Bulletin*

95-01

181\. CGSA § 9-333g(d)

182\. CGSA § 9-333g(d)

183\. CGSA § 9-333g(d)

184\. CGSA § 9-333e(c)

185\. CGSA § 9‑333j(a)(1)(A)

186\. CGSA § 9-333j(a)(1)(B)(I)

187\. CGSA § 9-333j(a)(1)(B)(ii)

188\. CGSA § 9-333j(a)(1)(C)

189\. CGSA § 9‑333j(a)(1)

190\. CGSA § 9‑333j(d)

191\. CGSA § 9‑333j(c)(1)(A)

192\. CGSA § 9‑333j(c)(1)(B)

193\. CGSA § 9‑333j(c)(1)(C)

194\. CGSA § 9‑333j(c)(3)

195\. CGSA § 9-333j(c)(1)(F)

196\. CGSA § 9-333j(c)(1)(F)

197\. CGSA § 9‑333j(c)(1)(D)

198\. CGSA § 9‑333j(c)(1)(E); *see*, *Advisory*

*Opinion* No. 77-2

199\. CGSA § 9‑333j(c)(G)

200\. CGSA §§ 9‑333j(c)(H); 9‑333j(c)(1)

201\. CGSA § 9‑333j(a)(2)

202\. CGSA § 9‑333j(e)(3)

203\. CGSA § 9‑333j(e)(4)

204\. CGSA § 9‑333j(e)(4)

205\. CGSA § 9‑333j(d)

206\. CGSA § 9‑333j(b)(1)

207\. CGSA § 9‑333j(b)(2)

208\. CGSA § 9‑333j(a)(1)

209\. CGSA § 9‑333j(a)(3)

210\. CGSA § 9‑333j(c)(1)(A)

211\. CGSA § 9‑333j(c)(1)(B)

212\. CGSA § 9‑333j(c)(1)(C)

213\. CGSA § 9‑333j(c)(1)(D)

214\. CGSA § 9‑333j(c)(1)(E)

215\. CGSA § 9‑333j(c)(1)(F)

216\. CGSA § 9‑333j(c)(1)(G)

217\. CGSA § 9‑333j(c)(3);

218\. CGSA § 9-333l(g)

219\. CGSA § 9-333n(e)

220\. CGSA § 9-333n(d)

221\. CGSA § 9-333ee(1)(b)

222\. CGSA § 9-333ee(1)(b)

223\. CGSA § 9-333ee(1)(c)

224\. CGSA § 9-333ee(1)(c)

225\. CGSA § 9-333l(g)(1)

226\. CGSA § 9-333l(g)(2)

227\. CGSA § 9-333l(g)(3)

228\. CGSA § 9-333l(g)

229\. CGSA § 9-333h(c)

230\. CGSA § 9-333h(a)

231\. CGSA § 9‑333j(f)

232\. CGSA § 9‑333j(f)

233\. CGSA § 9‑333j(f)

234\. CGSA § 9‑333j(f)

235\. CGSA § 9-333j(f)

236\. CGSA § 9‑333j(e)(1)

237\. CGSA § 9‑333j(e)(1)(A)

238\. CGSA § 9‑333j(e)(1)(B)

239\. CGSA § 9‑333j(e)(1)(C)(I)

240\. CGSA § 9-333j(e)(1)(C)(ii)

241\. CGSA § 9‑333j(e)(1)(D)

242\. CGSA § 9-333j(e)(2)

243\. CGSA § 9‑333j(e)(2)

244\. CGSA § 9‑333j(e)(2)

245\. CGSA § 9‑333j(e)(3)

246\. CGSA § 9‑333j(e)(3)

247\. CGSA § 9‑333i(b)

248\. CGSA § 9‑333y(a)

249\. CGSA § 9‑333y(b)

250\. CGSA § 9‑333e(a)

251\. CGSA § 9‑7b(2)

252\. CGSA § 9‑7b(3)(b)(i)

253\. CGSA § 9‑7b(3)(b)(ii)

254\. CGSA § 9‑333m(f)

255\. CGSA § 9‑333e(b)

256\. CGSA § 9‑333e(b)

257\. CGSA § 9‑333y(b)

258\. CGSA § 9-333y(b)

259\. CGSA § 9-333y(b)

260\. CGSA § 9-333ee(1)(a)

261\. CGSA § 9-333ee(1)(a)

262\. CGSA § 9-333ee(1)(a)

263\. CGSA § 9-333ee(1)(a)

264\. CGSA § 9-333ff

265\. CGSA § 9-333gg

266\. CGSA §§ 9-333gg; 348gg

267\. CGSA §§ 9-333gg; 348gg

268\. CGSA §§ 9-333gg; 348gg

269\. CGSA § 9-333l(f)

270\. CGSA § 9‑7a(a)

271\. CGSA § 9‑7a(a)

272\. CGSA § 9‑7b(1)

273\. CGSA § 9-7a(e)

274\. CGSA § 9‑7b(1)

275\. CGSA § 9‑7b(1)

276\. CGSA § 9‑7b(2)

277\. CGSA § 9‑7b(2)

278\. CGSA § 9‑7b(3)(b)(i)

279\. CGSA § 9‑7b(3)(b)(ii)

280\. CGSA § 9‑7b(4)

281\. CGSA § 9‑7b(5)

282\. CGSA § 9‑7b(6)

283\. CGSA § 9‑7b(7)

284\. CGSA § 9‑7b(8)

285\. CGSA § 9‑7b(10)

286\. CGSA § 9‑7b(12)

287\. CGSA § 9-333l(f)

288\. CGSA § 9-333ee(1)(a)

289\. CGSA § 9‑7b(3)

**CAMPAIGN FINANCE LAW**

**IN DELAWARE**

**I. INTRODUCTION**

Delaware requires candidates and committees to file information on all
contributions and expenditures twice before each election, once after
the general election, and annually until contributions and expenditures
are balanced and the fund is closed. Contributions are limited to
\$1,200 per statewide candidate per election period and \$600 per
non‑statewide candidate per election by any individual or entity.
Independent expenditures of more than \$100 must be reported, and
special provisions exist for their late reporting. Cash contributions
are limited to \$50, and anonymous contributions are prohibited.
Delaware offers no tax incentives for political contributions nor a
mechanism for state public financing of election campaigns. The State
Election Commissioner is responsible for overseeing the campaign finance
provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is any advance,
deposit, gift, expenditure, or transfer of money or any other thing of
value, to or for the benefit of any candidate or political committee
involved in an election \[1\]. A contribution also includes a
subscription \[2\]; a discount or rebate not available to the general
public (except a party\'s abatement or refund of a filing fee otherwise
required under law) \[3\]; a loan from non-chartered or non-licensed
lender; or one from such an entity that is not made in the ordinary
course of business \[4\]; the purchase of tickets, goods, or services
sold to raise funds for a campaign, whether or not the tickets, goods,
or services are used by the buyer \[5\]; the forgiveness of
indebtedness, or payment of indebtedness by another person \[6\]; and
service or use of property without full payment, under circumstances
except those exempted below \[7\].

Any expenditure made by a political committee on behalf of, or in
connection with, the campaign of any candidate (other than an
independent expenditure) is deemed to be a contribution subject to the
limitations on amounts \[8\]. When such an expenditure by any political
committee benefits more than one candidate, the expenditure is prorated
among the candidates benefitted for the purposes of the limits on
contributions \[9\].

A contribution does not include services provided without compensation
by an individual; or the use of an individual\'s residence, the
contribution of such items as invitations, food, and beverages by an
individual volunteering personal services; or the use of any person\'s
telephone equipment \[10\]. A contribution also does not include a loan
of money by a national or state bank, building and loan association, or
licensed lender made in the ordinary course of business \[11\].

Amounts paid by a political party to compensate individuals working on
behalf of all the candidates of the party, and amounts incurred on
behalf of, or in connection with, five or more candidates are not deemed
to be contributions to the candidates \[12\]. Any reimbursement paid by
one political committee to another political committee for costs
actually incurred by the other political committee on behalf of the
political committee that makes the reimbursement is not deemed to be a
contribution to the other political committee \[13\]. If two or more
candidates share the amount of any permissible expenditure, no
contribution is made, provided the amounts respectively paid by the
respective candidate committees reasonably reflects the amount of use
made by each candidate committee of goods or services for which the
expenditure was made \[14\]. Costs incurred by political parties for
voter registration and get-out-the-vote activities conducted by a
political party are not considered to be contributions to any candidate
\[15\].

**B. Election Periods.** Contributions are limited on the basis of
election periods.

\(1\) Election period for a candidate committee. For a candidate for
re-election to an office to which the candidate was elected in the most
recent election for that office, the period begins on January 1
immediately after the most recent general election, and ends on the
December 31 immediately after the general election at which the
candidate seeks re-election to the office \[16\]. For a candidate for
re-election to an office which the candidate attained since the last
election held for that office, the period begins on the day the
candidate succeeded to, or was appointed to, the office, and ending on
the December 31 immediately after the general election at which the
candidate seeks re-election to the office \[17\]. For a candidate for
election to an office which the candidate does not hold, the period
begins on the day on which the candidate first receives any contribution
from any person (other than from the candidate or the candidate\'s
spouse) in support of the candidacy for office, and ending on the
December 31 immediately after the general election at which the
candidate seeks election to the office \[18\]. For the purposes of
contribution limitations imposed on those other than political parties
and political action committees, for a candidate in a general election
who was nominated for the office in a primary election, the election
period begins on the day of the primary and the next election period
begins on the day after the primary \[19\]. Only when a candidate is the
nominee as the result of the primary does the post-primary election
period, the \`new\' general election period, begin, and contributions
can be accepted \[20\].

\(2\) Election period for a political party and a political action
committee. The election period for a political party and for a political
action committee begins on the January 1 immediately after a general
election, and ends on the December 31 immediately after the next general
election \[21\]. Although a political action committee election period
covers two years, a candidate committee can only accept up to the
maximum contribution as it pertains to the candidate\'s specific
election period \[22\].

\(3\) Election period for a person who does not hold public office and
who has not qualified for nomination or election. The election period
for a candidate committee for a person who does not hold public office
and who has not yet taken action necessary under the law to qualify for
nomination or election begins on the date the first contribution is
received or expenditure is made by the committee, and ends on the fourth
December 31st following that date, unless the person takes the action
necessary to qualify for nomination or election, in which case the
election period is determined on the basis of an active candidate
\[23\].

\(4\) Election period for a person who makes an independent expenditure.
The election period for a person who makes an independent expenditure
begins and ends at the same time as the election period of the candidate
whose election is advocated or opposed by the independent expenditures
\[24\].

**C. Limitations on Amounts of Contributions.** No person may make, and
no candidate, treasurer, or anyone acting on behalf of a candidate or
candidate committee may accept, any contribution that in the aggregate
from any one person exceeds \$1,200 with respect to a single statewide
election during an election period, or \$600 to any other single
candidate during an election period \[25\]. The election period refers
specifically to that which pertains to the candidate \[26\].

A political party may not make, and a candidate, treasurer, or anyone
acting on behalf of a candidate or candidate committee may not accept,
any contribution that in the aggregate exceeds \$75,000 for governor
\[27\], \$25,000 for all other statewide offices \[28\], \$25,000 for
N.C.C. executives \[29\], \$15,000 for N.C.C. president \[30\], \$5,000
for all other county offices \[31\], \$5,000 for state senate \[32\],
\$3,000 for state house of representatives \[33\], and \$3,000 for all
other offices \[34\].

A person is prohibited from making contributions to a political party
that would in the aggregate exceed \$20,000 in an election period, nor
may a treasurer or other person acting on behalf of a political party
accept any such contribution \[35\]. These contribution limits are not
applicable to contributions received by a political party on or on
behalf of any national political party; any other national political
party organization subordinate to the national political party; and any
other national political organization established to support elections
to federal, state, and local offices, including, but not limited to, the
Republican and Democratic senatorial campaign committees, the Republican
and Democratic congressional campaign committees, the Republican and
Democratic victory funds, and the Republican and Democratic governors\'
associations \[36\].

A political party may not make a contribution to a political action
committee \[37\]. An agency of the state, a political subdivision of the
state, an agency of a political subdivision of the state, and an agency
authorized by an act of the general assembly is prohibited from making a
contribution to a political committee or candidate for elective office,
and a candidate, treasurer, or a person acting on behalf of a political
committee may not accept such a contribution \[38\].

A ratable portion of a contribution by a corporation, partnership, or
other entity is deemed to be a contribution to the political committee
by each person who owns a 50 percent or greater interest in the entity,
and is subject to individual contribution limits \[39\].

**D. Limitations on Nature of Contributions.** A person may not make,
and a candidate, treasurer, or anyone acting on behalf of a political
committee may not accept, a contribution in excess of \$50 in currency,
money orders, travelers checks, and other negotiable instruments that do
not disclose on their face the true name of the contributor, to a
political committee during an election period \[40\]. A person may not
make, nor may a candidate, treasurer, or other person acting on behalf
of a candidate or political committee knowingly accept a contribution
made without knowing the donor\'s true name and address, or one that is
made in a fictitious name, or in the name of another person \[41\]. A
contribution by a political action committee must be made through a
check which discloses the full name and address of the political action
committee \[42\].

A person may not, directly or indirectly, solicit or promise any
contract, vote, employment or other service, or any official action or
lack of action, in connection with any contribution \[43\].

All contributions to or on behalf of a candidate must be placed into the
candidate committee \[44\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is any payment made, or
debt incurred by or on behalf of a candidate or political committee, or
to assist in the election of any candidate, or in connection with any
election campaign \[45\].

**B. Limitations on Nature of Expenditures.** An expenditure may be made
only for lawful purposes \[46\]. A lawful expenditure may be made by a
political committee for wages of full- or part-time campaign staff (but
no salary nor wage for a candidate or a candidate\'s spouse) \[47\];
travel expenses of the candidate and campaign staff \[48\]; payment of
fees or charges for placing the candidate on the ballot and for
collecting the returns of the elec­tion \[49\]; costs of telephone and
other communications services \[50\]; costs of postage and other
delivery charges \[51\]; printing and stationery \[52\]; food,
refreshments, and related supplies \[53\]; purchasing and preparing
lists of voters \[54\]; taking polls and making can­vasses of voters
\[55\]; employing election watchers \[56\]; office rent and purchase of
equipment \[57\]; advertising and publicity \[58\]; holding, promoting,
and furnishing meetings, demonstrations, and conventions, and paying
musicians, and others providing services for such events \[59\]; and
employing attorneys, accountants, and other professional advisors
\[60\].

A candidate committee may purchase tickets to permit the candidate\'s
attendance at civic or political events \[61\]. A political action
committee may make contributions within authorized limits to any other
political committee \[62\], and a candidate committee may make
contributions within authorized limits to another candidate committee
\[63\]. A political party or a political action committee may make
contributions within authorized limits to a candidate committee \[64\],
and a political action committee may make contributions to a political
party within the authorized limits \[65\].

All expenditures to or on behalf of a candidate (other than an
independent expenditure) must be made from the candidate committee
\[66\].

**C. Provisions for Independent Expenditures.** An independent
expenditure is any expenditure made by any individual or other person
(other than a candidate committee or a political party) that expressly
advocates the election or defeat of a clearly identified candidate, and
which is made without cooperation or consultation with any candidate, or
committee or agent of the candidate, and which is not made in concert
with, or at the request or suggestion of any candidate, or committee or
agent of the candidate \[67\].

An independent expenditure is considered an expenditure in coordination,
consultation, or concert with a candidate and is not considered to be an
independent expenditure where there is any arrangement, coordination, or
direction with respect to the expenditure between the candidate or the
candidate\'s agent and the person (including any officer, director,
employee, or agent of such person) making the expenditure \[68\]; the
person making the expenditure (including any officer, director,
employee, or agent of such person) has advised or counseled the
candidate or the candidate\'s agents on the candidate\'s plans,
projects, or needs relating to the candidate\'s pursuit of nomination or
election in the same election period, including any advice relating to
the candidate\'s decision to seek office \[69\]; or the expenditure is
based on information provided to the person making the expenditure
directly or indirectly by the candidate or the candidate\'s agents about
the candidate\'s plans, projects, or needs, provided that the candidate
or candidate\'s agent is aware that the other person has made or is
planning to make expenditures advocating the candidate\'s election
\[70\].

All campaign literature, advertising (except items with a surface of
less than nine square inches), or other message paid for by independent
expenditures are required to prominently display a special disclaimer,
and if the independent expenditure is made or reimbursed by a political
action committee or a person other than an individual, the names of the
president or other chief officer, and treasurer of the organization must
also be prominently displayed together with the requisite disclaimer
\[71\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** A candidate must establish a single candidate
committee, which may have subcommittees, and may continue in existence
for more than one election periods and with respect to more than one
election period \[72\]. Each political committee must file a complete
list of its officers and designate an individual as committee treasurer
in writing with the State Election Commissioner no later than seven days
after it first receives any contribution or makes any expenditure
\[73\]. A political committee must also file with the commissioner a
concise statement of its purposes or goals as a political committee
\[74\]. Any changes in committee officers must be reported to the
commissioner within seven days after a change becomes effective \[75\].

A candidate for election to school board or to any other public office
that pays less than \$1,000 per year \[76\] is not required to form a
candidate committee if the candidate signs, under penalty of perjury, a
statement in a form prepared by the commissioner, certifying that the
candidate does not intend nor expect that the candidate\'s campaign will
receive nor expend more than \$2,000 from the date of the first
contribution or expenditure on behalf of the candidate\'s election until
the end of the year in which the election for the office is held \[77\].
Receipts or expenditures of more than \$2,000 (including any
contributions or expenditures by the candidate) triggers a requirement
to register with the commissioner within seven days \[78\].

**B. Reporting by Candidates and Committees.** Each candidate and each
committee treasurer (other than those who are exempted from filing
because they have not reached the threshold level) must file with the
State Election Commissioner reports of contributions and expenditures on
forms prescribed by the commissioner for every reporting period during
which a political committee is in existence \[79\]. A candidate and the
candidate\'s treasurer are jointly responsible for filing the report of
a candidate committee \[80\].

A reporting period begins on the day after the previous reporting period
(except in the case of a newly formed committee, which begins its
reporting period on the date the first contribution is received or
expenditure made by or on behalf of the committee) \[81\] and ends 30
days \[82\] and eight days respectively prior to the date of an election
(except for committees of candidates not on the ballot at such election)
\[83\], and on Decem­ber 31st of every year, before or after an election,
from the time the committee receives its first contribution or makes its
first expenditure, until and including the year in which contributions
and expenditures are balanced and the political committee is terminated
\[84\].

Reports must be filed by the political committee and received by the
commissioner no later than 4:30 p.m. of the 20th day after the end of
the reporting period \[85\], or mailed to the commissioner and
postmarked by the end of the twentieth day after the end of the
reporting period \[86\]. Reports filed which cover the period ending
eight days before an election shall be filed directly with the
Commissioner rather than sent by mail, in order that the reports will be
available prior to the election \[87\]. Photocopied reports must contain
original signatures, and FAX or electronically transmitted reports will
be accepted, but only to establish filing deadlines; the original must
follow within three working days, or the report will be considered
\"unfiled\" \[88\].

Each required report must disclose the cash and other intangible assets
on hand at the beginning of the reporting period \[89\], the full name
and mailing address of each person who has made contributions to the
political committee, including the purchase of tickets for fundraising
events, during the election period in an aggregate amount or value in
excess of \$100, together with the total of all contributions from each
such person, and the amount and date of the contributions \[90\]; the
total of all other contributions not otherwise reported \[91\]; the name
and address of each political committee from which the political
committee received, or to which the political committee made, any
transfer of funds, together with the amounts and dates of all transfers,
regardless of amount \[92\]; the amount of each debt in excess of \$50
owed to or owing by the political committee at the end of the reporting
period, the full names and mailing addresses of any lender, borrower,
and endorser of such debt, the date and interest rate of the loans, and
a description of any security given for them \[93\]; the total proceeds
from the sale of tickets to fundraising events \[94\], collections made
at such events \[95\], and sales of items such as political campaign
pins, buttons, badges, flags, emblems, hats, banners, literature, and
similar material (however, all payments and contributions by any person,
whether as gifts, as purchases of tickets or other goods or services, or
partially as gifts and partially as purchases, by any person during any
election period must be aggregated and reported separately if the
aggregate exceeds \$50) \[96\]; each contribution or other receipt in
excess of \$100 not otherwise listed \[97\]; the total of all receipts
by the political committee or candidate during the reporting period
\[98\]; the full name and mailing address of each person to whom
expenditures have been made by the committee during the reporting period
in an aggregate amount in excess of \$100, the amount, date, and purpose
of each such expenditure, and the name and address of and office sought
by each candidate on whose behalf the expenditure was made \[99\]; the
total sum of expenditures made by the candidate or political committee
in connection with the campaign \[100\]; and a list of all goods and
services that fit within the definition of a contribution and that are
contributed in-kind, at no charge, or at a cost less than fair market
value to the extent that the fair market value, less any amount paid by
the candidate or committee exceeds \$100 \[101\].

Reports are to be cumulative for the election period to which they
relate, but where there has been no change in an item previously
reported, only the amount need be carried forward \[102\]. Each
statement must be accompanied by an affidavit verified by the candidate
or committee treasurer stating, \"I solemnly swear \[or affirm\] that
the foregoing statement is in every respect true and correct, and
discloses all contributions received and expenditures required by me
under Title 15, Chapter 80 of the Delaware\" \[103\].

**C. Reporting by Exempted Candidates.** A candidate who has been
exempted from filing reports must, upon receiving more than \$2,000 in
contributions or expending more than \$2,000 (including any
contributions or expenditures by the candidate) before the end of the
year in which the election for such office is held, file all reports
that would have otherwise been required to filed \[104\].

**D. Reporting of Independent Expenditures.** Any person who makes any
independent expenditures during an election period that aggregate in
excess of \$100 during the election period must file a report with the
commissioner \[105\]. An independent expenditure report is subject to
the same deadlines as regular required reports \[106\], and must contain
the same information required to be disclosed in regular reports
\[107\].

In addition to disclosure of information on the same basis as a
political committee, reports of independent expenditures must contain a
list of every person to whom any disbursement has been made, together
with the date, amount, and purpose of the independent expenditure, and a
statement under penalty of perjury that ascertains whether each such
expenditure was made in cooperation, consultation, or concert with, or
at the request or suggestion of, any candidate or any candidate
committee or agent of either \[108\].

Any person who makes an independent expenditure aggregating more than
\$100 after the 20th day, but more than one day, before any election
must, within 24 hours after the independent expenditure is made, file a
report with the commissioner under oath or affirmation with respect to
the independence of the expenditure as would be required if the
expenditure were covered by a regular report of independent
expenditures, and including the information required in a regular report
\[109\].

A candidate and a treasurer must immediately report to the State
Election Commissioner and the attorney general any attempt to make a
prohibited contribution or demand a prohibited expenditure, where the
attempt is made with the attempt to violate the law \[110\].

**E. Reporting by Corporations, Partnerships, and Other Entities.** A
corporation, partnership, or other entity (other than a political
committee) which makes a contribution to a political committee must
notify the political committee in writing of the names and addresses of
all persons who, directly or otherwise, own a legal or equitable
interest of 50 percent or greater (whether in the form of stock
ownership, percentage of partnership interest, liability for the debts
of the entity, entitlement to the profits from the other entity or other
indicia of interest) in the corporation, partnership, or entity, or that
no such persons exist \[111\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Reports.** Reports of contributions and expenditures
must be filed by December 31st each year until contributions and
expenditures are balanced and the political committee terminates
\[112\].

**B. Disposition of Surplus Funds.** Any surplus in the campaign fund of
any political committee which has completed its activities and paid all
its creditors must be paid to a successor committee or donated to any
religious, charitable, educational, or scientific organization exempt
from Delaware income tax, or to any volunteer fire company, and to no
other person \[113\]. A political committee may contribute surplus funds
to a political party only to the extent that such contributions will not
exceed the \$20,000 aggregate limit per election period \[114\]. A
political committee may contribute surplus funds to a successor
political committee other than a candidate committee formed to promote
the election of the same candidate to a different office than that for
which the candidate\'s original candidate committee was formed, only to
the extent that such contributions will not exceed the aggregate
contribution limit per election period \[115\].

**C. Recordkeeping.** The candidate and political committee treasurer
are each required to keep complete records of all contributions
received, and all expenditures made by, or on behalf of, the political
committee for three full years following the election for which the
contributions and expenditures were made \[116\].

**VI. OFFENSES AND PENALTIES**

**A. Illegal Activities.** No certificate of election is to be granted
to any candidate until the superior court has certified that a candidate
has caused to be filed all of the required pre‑election reports \[117\].

Any person who knowingly violates any of the legal duties of a candidate
or treasurer to register, and maintain records is guilty of a class B
misdemeanor \[118\]. Any person who knowingly accepts or knowingly makes
an unlawful contribution unlawful expenditure is guilty of a class A
misdemeanor \[119\]. Any candidate or committee treasurer who knowingly
files a required report that is false in any material aspect or fails to
file any such report is guilty of a class A misdemeanor \[120\]. Any
person who knowingly violates the provisions against solicitation of or
promises for certain acts in exchange for contributions, or
contributions in the name of another or fictitious names is guilty of a
class G felony \[121\].

The commissioner must levy a fine of \$50 per month (or fraction
thereof) against any candidate, political committee, or other person
that fails to file or deliver to the commissioner any required report
\[122\]. A person against whom such a fine has been assessed has a
30-day period within which to show the commissioner that the tardiness
was due to reasonable cause and not willful neglect \[123\]. A fine
constitutes a debt due and owing the state, assessable by the
commissioner and recoverable against the committee, its treasurer, or,
in the case of an independent expenditure, the person making the
expenditure \[124\].

**B. Excusal of Liability.** A candidate or treasurer who reasonably
relies upon information provided by another person which is inaccurate,
false, or misleading and who has no reason to know that such information
was inaccurate, false, or misleading, is not liable for any inaccurate,
false, or misleading report filed by the candidate or treasurer as a
result of the information, if the candidate or treasurer, within 30 days
after learning that such information was inaccurate, false, or
misleading, files an amended report with the commissioner that corrects
the deficiencies \[125\]. A candidate or treasurer who files an amended
report later than 30 days after learning about such a deficiency is not
liable if the candidate or treasurer is able to show good cause for the
late filing of the amended report \[126\].

A candidate or treasurer who receives a prohibited contribution or makes
a prohibited expenditure without any intention to violate the law, and
who returns the contribution or reimburses the political committee for
the expenditure within seven days after learning that the contribution
or expenditure was prohibited is not liable for a violation \[127\].

A political committee may rely upon the notification of ownership
interest from a corporation, partnership, or other entity, and should
the notification prove to be inaccurate or misleading, the political
committee is not liable \[128\].

Any candidate or treasurer who reasonably and in good faith has relied
upon a ruling requested by that candidate or treasurer from the
commissioner is not liable or subject to penalty with respect to conduct
conforming to the ruling, provided that the commissioner was fully
apprised of all material facts necessary for a ruling \[129\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. State Election Commissioner.** The State Election Commissioner is
the filing officer for all required reports \[130\]. The State Election
Commissioner must mail to every candidate and political committee a copy
of the campaign financing law and a concise explanation of its terms,
responsibilities, and penalties not later than 15 days after the
candidate or political committee files \[131\]. The commissioner must
also send similar documents to the chairs of all legally recognized
political party subdivisions down to the local organizing district level
in January of every election year \[132\].

All reports must be public and, upon filing, be made immediately
available during the customary office hours of the office of the
commissioner for inspection and copying by the public, and the
commissioner\'s office must remain open for a reasonable time after
closing on report filing dates to accommodate those wishing to review
filings \[133\]. The commissioner must retain and permit public
inspection of all reports required to be filed with the commissioner for
ten years after the end of the calendar year to which they pertain
\[134\].

The commissioner is also empowered to make and publish rules and
regulations necessary to implement and enforce the law \[135\]. At the
request of any person, the commissioner may make a written ruling that
applies the campaign finance law to a set of facts specified by the
person, protecting the identity of the requestor (unless otherwise
authorized to disclose it), while making the facts and interpretation
available to the public in summary form \[136\]. Copies of the ruling
must be mailed immediately to the governor, attorney general, and each
major political party chair; within seven days after the ruling is made,
a summary must be mailed by the commissioner to each active candidate
committee, and to all those who have asked for such rulings within the
past 12 months \[137\].

**B. Superior Court.** The superior court has jurisdiction over all
offenses under the campaign finance law \[138\].

**C. Chancellor and Independent Counsel.** Whenever an allegation is
made against a candidate for attorney general regarding a violation of
the campaign finance law, if the chancellor of the state of Delaware
finds that there is probable cause, based upon sworn information, to
believe a violation has occurred, a member of the bar of the supreme
court of Delaware is to be appointed as a independent counsel by the
chancellor \[139\]. The independent counsel has the authority to
prosecute any violation of the law that has been committed by any
candidate for attorney general \[140\].

# References

1\. Delaware Code Annotated

(hereafter DCA) tit. 15, §

8002(6)

2\. DCA tit. 15, § 8002(6)(a)

3\. DCA tit. 15, § 8002(6)(b)

4\. DCA tit. 15, § 8002(6)(c)

5\. DCA tit. 15, § 8002(6)(d)

6\. DCA tit. 15, § 8002(6)(e)

7\. DCA tit. 15, § 8002(6)(f)

8\. DCA tit. 15, § 8012(f)

9\. DCA tit. 15, § 8012(f)

10\. DCA tit. 15, § 8002(6)(f)

11\. DCA tit. 15, § 8002(6)(c)

12\. DCA tit. 15, § 8012(g)(1)

13\. DCA tit. 15, § 8012(g)(2)

14\. DCA tit. 15, § 8012(g)(3)

15\. DCA tit. 15, § 8012(g)(4)

16\. DCA tit. 15, § 8002(8)(a)(1)

17\. DCA tit. 15, § 8002(8)(a)(2)

18\. DCA tit. 15, § 8002(8)(a)(3)

19\. DCA tit. 15, § 8002(8)(a)(4)

20\. Commissioner of Elections, Advisory

Opinion (hereafter AO) No. 91-005,

June 10, 1991; AO No. 91-002, June 10,

1991

21\. DCA tit. 15, § 8002(8)(b)

22\. AO No. 91-001, June 10, 1991

23\. DCA tit. 15, §§ 8002(8)(c); 8002(8)(a)

24\. DCA tit. 15, § 8002(8)(d)

25\. DCA tit. 15, § 8010(a)

26\. AO No. 91-001, June 10, 1991

27\. DCA tit. 15, § 8010(b)(1)

28\. DCA tit. 15, § 8010(b)(2)

29\. DCA tit. 15, § 8010(b)(3)

30\. DCA tit. 15, § 8010(b)(4)

31\. DCA tit. 15, § 8010(b)(5)

32\. DCA tit. 15, § 8010(b)(6)

33\. DCA tit. 15, § 8010(b)(7)

34\. DCA tit. 15, § 8010(b)(8)

35\. DCA tit. 15, § 8011

36\. DCA tit. 15, § 8011

37\. DCA tit. 15, § 8012(b)

38\. DCA tit. 15, § 8012(d)

39\. DCA tit. 15, § 8012(e)

40\. DCA tit. 15, §§ 8012(a), 8002(3)

41\. DCA tit. 15, § 8006(b)

42\. DCA tit. 15, § 8012(c)

43\. DCA tit. 15, § 8006(a)

44\. DCA tit. 15, § 8003(b)

45\. DCA tit. 15, § 8002(9)

46\. DCA tit. 15, § 8020

47\. DCA tit. 15, § 8020(1)

48\. DCA tit. 15, § 8020(2)

49\. DCA tit. 15, § 8020(3)

50\. DCA tit. 15, § 8020(4)

51\. DCA tit. 15, § 8020(5)

52\. DCA tit. 15, § 8020(6)

53\. DCA tit. 15, § 8020(7)

54\. DCA tit. 15, § 8020(8)

55\. DCA tit. 15, § 8020(9)

56\. DCA tit. 15, § 8020(10)

57\. DCA tit. 15, § 8020(11)

58\. DCA tit. 15, § 8020(12)

59\. DCA tit. 15, § 8020(14)

60\. DCA tit. 15, § 8020(15)

61\. DCA tit. 15, § 8020(13)

62\. DCA tit. 15, § 8020(13)

63\. DCA tit. 15, § 8020(16)

64\. DCA tit. 15, § 8020(17)

65\. DCA tit. 15, § 8020(18)

66\. DCA tit. 15, § 8003(b)

67\. DCA tit. 15, § 8002(10)

68\. DCA tit. 15, § 8023(b)(1)

69\. DCA tit. 15, § 8023(b)(2)

70\. DCA tit. 15, § 8023(b)(3)

71\. DCA tit. 15, § 8023(a)

72\. DCA tit. 15, § 8003(a)

73\. DCA tit. 15, § 8005(1)

74\. DCA tit. 15, § 8005(3)

75\. DCA tit. 15, § 8005(1)

76\. AO No. 91-004, June 10, 1991

77\. DCA tit. 15, § 8004(a)

78\. DCA tit. 15, § 8004(a)

79\. DCA tit. 15, § 8030(a)

80\. DCA tit. 15, § 8030(a)

81\. DCA tit. 15, § 8030(b)

82\. DCA tit. 15, § 8030(b)(2)

83\. DCA tit. 15, § 8030(b)(3)

84\. DCA tit. 15, § 8030(b)(1)

85\. DCA tit. 15, § 8030(c)(1)

86\. DCA tit. 15, § 8030(c)(2)

87\. DCA tit 15, § 8030

88\. Commissioner of Elections, *Campaign*

*Financing and Reporting Guide*, Rev.

August 1, 1993, at 3.

89\. DCA tit. 15, § 8030(d)(1)

90\. DCA tit. 15, § 8030(d)(2)

91\. DCA tit. 15, § 8030(d)(3)

92\. DCA tit. 15, § 8030(d)(4)

93\. DCA tit. 15, § 8030(d)(5)

94\. DCA tit. 15, § 8030(d)(6)(a)

95\. DCA tit. 15, § 8030(d)(6)(b)

96\. DCA tit. 15, § 8030(b)(6)(c)

97\. DCA tit. 15, § 8030(b)(7)

98\. DCA tit. 15, § 8030(b)(8)

99\. DCA tit. 15, § 8030(b)(9)

100\. DCA tit. 15, § 8030(b)(10)

101\. DCA tit. 15, § 8030(b)(11)

102\. DCA tit. 15, § 8030(e)

103\. DCA tit. 15, § 8030(f)

104\. DCA tit. 15, § 8004(b)

105\. DCA tit. 15, § 8031(a)

106\. DCA tit. 15, §§ 8031(a), 8030(b), (c)

107\. DCA tit. 15, §§ 8031(a), 8030(d)-(f)

108\. DCA tit. 15, § 8031(a)

109\. DCA tit. 15, §§ 8031(b), 8031(a),

8030(d)-(f)

110\. DCA tit. 15, § 8043(g)

111\. DCA tit. 15, § 8012(e)

112\. DCA tit. 15, § 8030(b)(1)

113\. DCA tit. 15, § 8022; tit. 30,

§ 1902(b)(2)

114\. DCA tit. 15, §§ 8022, 8011

115\. DCA tit. 15, §§ 8022, 8010

116\. DCA tit. 15, § 8005(b)

117\. DCA tit. 15, § 8040

118\. DCA tit. 15, §§ 8043(a), 8003, 8004,

8005

119\. DCA tit. 15, § 8043(b)

120\. DCA tit. 15, § 8043(c)

121\. DCA tit. 15, §§ 8043(d), 8006

122\. DCA tit. 15, § 8044

123\. DCA tit. 15, § 8044

124\. DCA tit. 15, § 8044

125\. DCA tit. 15, § 8043(e)

126\. DCA tit. 15, § 8043(e)

127\. DCA tit. 15, § 8043(h)

128\. DCA tit. 15, § 8012(e)

129\. DCA tit. 15, § 8041(2)

130\. DCA tit. 15, § 8030(a)

131\. DCA tit. 15, § 8041(3)

132\. DCA tit. 15, § 8041(3)

133\. DCA tit. 15, § 8032

134\. DCA tit. 15, § 8041(4)

135\. DCA tit. 15, § 8041(1)

136\. DCA tit. 15, § 8041(2)

137\. DCA tit. 15, § 8041(2)

138\. DCA tit. 15, § 8043(f)

139\. DCA tit. 15, § 8045

140\. DCA tit. 15, § 8045

**CAMPAIGN FINANCE LAW**

**IN THE DISTRICT OF COLUMBIA**

**I. INTRODUCTION**

The District of Columbia requires candidates spending more than \$250 in
any one election, political committees, and persons making independent
expenditures of \$50 or more to file information on all contributions
and expenditures twice annually in non‑election years, six times prior
to the general election, and once following the general election. The
District of Columbia is expected to have an electronic filing and
contribution database system in place in late 2002. Late contributions
of \$200 or more must be reported within 24 hours. Contributions by any
individual or entity are limited to an aggregate of \$8,500 per
election, and certain specified amounts per office. While District
employees may make political contributions, they are not permitted to
solicit or collect them. Cash contributions are limited to under \$25.
The Office of the Director of Campaign Finance and the District's Board
of Elections and Ethics are responsible for overseeing the campaign
finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution includes a gift or
subscription, including any assessment, fee, or membership dues; a loan,
other than one made in the regular course of business by a business
engaged in the value made for the purpose of financing, directly or
indirectly, the election campaign of a candidate, any operations of a
political committee involved in such a campaign, or to obtain signatures
on any initiative, referendum, or recall measure \[1\]; a contract,
promise, or agreement, whether or not legally enforceable, to make a
contribution for any such purpose \[2\]; a transfer of funds between
political committees \[3\]; or the payment, by any person other services
of another person which are rendered to such candidate or committee
without charge, or for less than reasonable value, for any such purpose,
or the furnishing of goods, advertising, or services to a candidate's
campaign without charge or at a rate which is less than the rate
normally charged for such services \[4\].

A contribution does not include services provided without compensation
by individuals, including accountants and attorneys, volunteering a
portion or all of their time to a candidate or political committee
\[5\]; personal services provided without compensation by individuals
volunteering a portion or all of their time to a candidate or political
committee \[6\]; communications by an organization, other than a
political party, solely to its members and their families on any subject
\[7\]; communications, including advertisements, to any person on any
subject by any organization that is organized solely as an
issue‑oriented organization, whose communications neither endorse nor
oppose any candidate for office \[8\]; normal billing credit for a
period not exceeding 30 days \[9\]; services of an informational or
polling nature, and related thereto, designed to seek the opinions of
voter concerning the possible candidacy of qualified electors for public
office, prior to the individual becoming a candidate \[10\]; the use of
real or personal property, and the costs of invitations, food, and
beverages voluntarily provided by an individual to a candidate in
rendering voluntary personal services on the individual's residential
premises for related activities \[11\]; or the sale of any food or
beverage by a vendor for use in a candidate's campaign at a charge less
than the normal comparable charge, if the charge for use in a
candidate's campaign is at least equal to the cost of such food or
beverage to the vendor, and the costs for any food and beverages do not
exceed \$500 each, with respect to any candidate's election \[12\].

**B. Acceptance and Making of Contributions by a Political Committee.**
No contribution may be accepted or made by, or on behalf of, a political
committee at a time when there is a vacancy in the office of treasurer,
and no other person has been designated and has agreed to perform the
functions of treasurer \[13\]. All committees must file a registration
statement or statement of organization designating a treasurer \[14\]. A
contribution received by a committee or candidate must be deposited into
an account designated on the registration statement or statement of
organization \[15\], and may not be commingled with other funds \[16\].

**C. Segregation of Political Committee Funds.** All funds of a
political committee are required to be segregated from, and may not be
commingled with, any personal funds or officers, members, or associates
of the committee \[17\].

**D. Contributions in Cash.** A contribution in legal tender in an
amount of \$25 or more may not be made or received by any person \[18\].

**E. Contribution in the Name of Another.** A person may not make or
knowingly accept a contribution made in the name of another person
\[19\].

**F. Contributions by a Partnership or Through an Intermediary.** All
contributions made by any person, directly or indirectly, to or for the
benefit of a particular candidate; or to or for any particular political
committee formed to advocate the ratification or defeat of any
initiative, referendum, or recall measure, including contributions that
are in any way earmarked, encumbered, or otherwise directed through an
intermediary or conduit to that candidate or political committee, must
be treated as contributions from that person to that candidate or
political committee \[20\]. A contribution by a partnership is
attributed to each partner in direct proportion to his or her share of
the partnership profits, according to instructions which must be
provided by the partnership to the political committee or candidate
\[21\], or by agreement of the partners, as long as only the profits of
the partners to whom the contribution is attributed are reduced (or
losses increased) \[22\], and these partners' profits are reduced (or
losses increased) in proportion to the contribution attributed to each
of them \[23\]. A contribution by a partnership may not exceed the
limits on contributions imposed under the initiative, and no portion of
any such contribution may be from the profits of a corporation that is a
partner \[24\].

**G. Loan From Candidate or Candidate's Family.** No candidate or the
candidate's spouse, and any parent, brother, sister, or child of the
candidate, and the spouse of any such parent, brother, sister, or child,
may make a loan or advance from his or her personal funds for use in
connection with a campaign of that candidate for nomination for
election, or for election to public office, unless that loan or advance
is evidenced by a written instrument fully disclosing the terms,
conditions, and parties to the loan or advance \[25\]. The amount of any
such loan or advance must be included in computing and applying the
contribution limitations only to the extent of the balance of the loan
or advance that is unpaid at the time of determination \[26\].

**H. Limitations on the Amount of Contributions.** No person may make or
receive any contribution from any person that, when aggregated with all
other contributions received from that person relating to a campaign for
nomination as a candidate or election to public office, including both
the primary and general or special elections, exceeds \$2,000 in the
case of a contribution in support of a candidate for mayor or for the
recall of a mayor \[27\]; \$1,500 in support of a candidate for chairman
of the council or for the recall of the chairman of the council \[28\];
\$1,000 in support of a candidate for member of the council elected
at‑large or for the recall of an at‑large council member \[29\]; \$500
in support of a candidate for board of education membership elected
at‑large, for council membership elected from a ward, or for the recall
of an at‑large member of the board of education or for a council member
elected from a ward \[30\]; \$200 in support of a candidate for board of
education membership elected from a ward, or for the recall of a member
of the board of education elected from a ward or for an official of a
political party \[31\]; and \$25 in the case of a contribution in
support of a candidate for a member of an advisory neighborhood
commission \[32\].

A person may not make any contribution in any one election for mayor,
chairman of the council, each member of the council, and each member of
the board of education, including primary, general, and special
elections as appropriate, that, when aggregated with all other
contributions made by that individual in that election, exceeds \$8,500
\[33\]. A person may not make contributions to any one political
committee in any one election (including primary and general elections,
but excluding special elections) that, in the aggregate, exceeds \$5,000
\[34\].

There are no limitations on contributions made to support or oppose
initiative, referendum, or recall measures \[35\].

**I. Prohibition on Contributions by a Life Insurance Company.** A life
insurance company may not directly or indirectly pay or use, or offer,
consent, or agree to pay or use any money or property for or in aid of
any political party, committee, or organization, or for or in aid of any
corporation, joint‑stock, or other association organized or maintained
for political purposes, or for or in aid of any candidate for political
office or for nomination for such office, or for any political purpose
whatsoever, or for the reimbursement or indemnification of any person
for money or property so used \[36\].

**J. Prohibition Against Use of Public Resources in Campaigns.** No
resources of the District of Columbia government, including the
expenditure of funds; the personal services of employees during their
hours of work; and nonpersonal services, including supplies, materials,
equipment, office space, facilities, telephones and other utilities; may
be used to support or oppose any candidate for elected office, partisan
or nonpartisan, or to support or oppose any initiative, referendum, or
recall measure, including a charter amendment referendum \[37\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure includes a purchase,
payment, distribution, loan, advance, deposit, gift of money, or
anything of value made for the purpose of financing, directly or
indirectly, the election campaign of a candidate or any operations of a
political committee involved in such a campaign, to obtain signatures on
any initiative, referendum, or recall petition, or to bring about the
ratification or defeat of any initiative, referendum, or recall measure
\[38\]; a contract, promise, or agreement, whether or not legally
enforceable, to make an expenditure \[39\]; and a transfer of funds
between political committees \[40\].

An expenditure does not include incidental expenses incurred by, or on
behalf of, individuals in the course of volunteering their time on
behalf of a candidate or political committee, or the use of real or
personal property and the cost of any food or beverage voluntarily
provided by an individual to a candidate in rendering voluntary personal
services on the individual's residential premises for candidate‑related
activities if the cumulative value of such activities by the individual
on behalf of any candidate does not exceed \$500 with respect to any
election \[41\].

**B. Limitations on Expenditures by a Candidate or Political
Committee.** No expenditure may be made by, or on behalf of, a political
committee at a time when there is a vacancy in the office of treasurer,
and no other person has been designated and has agreed to perform the
functions of treasurer \[42\]. All committees must file a registrations
statement or statement of organization designating a treasurer \[43\].
No expenditure may be made for, or on behalf of, a political committee
without the authorization of its chairman or treasurer their designated
agents \[44\]. No expenditure may be made by a committee or candidate,
other than petty cash expenditures, except by check drawn payable to the
person to whom the expenditure is being made, and on an account
designated in the required registration statement \[45\].

A political committee or candidate may maintain a petty cash fund out of
which may be made expenditures of \$50 or less to any person in
connection with a single purchase or transaction \[46\]. A record of
petty cash receipts and disbursements must be maintained \[47\].
Payments may be made into the petty cash fund only by check drawn on the
checking account or accounts maintained at a campaign depository of such
political committee or candidate \[48\].

Campaign funds must be used solely for the purpose of financing,
directly or indirectly, the election campaign of a candidate \[49\], and
not for any personal matter not related to the campaign \[50\].

**IV. REPORTING REQUIREMENTS**

**A. Political Committee Statement of Organization.** Each political
committee is required to file a statement of organization with the
Director of Campaign Finance of the District of Columbia Board of
Elections and Ethics within 10 days after its organization \[51\]. The
statement of organization must include the name and address of the
political committee \[52\]; the names, addresses, and relationships of
affiliated or connected organizations \[53\]; the area, scope, or
jurisdiction of the political committee \[54\]; the name, address, and
position of the custodian of the books and accounts \[55\]; the name,
address, and position of other principal officers, including officers
and members of the finance committee, if any \[56\]; the name, address,
office sought, and party affiliation of each candidate whom the
committee is supporting \[57\]; and any other individual, if any, whom
the committee is supporting for nomination for election, or election to
any public office, or if the committee is supporting the entire ticket
of any party, the name of the party, or if the committee is supporting
or opposing any recall measure, the name and office of the public
official whose recall is sought or opposed \[58\].

The statement of organization must also contain a statement whether the
political committee is a continuing one \[59\]; the disposition of
residual funds that will be made in the event of dissolution \[60\]; and
the name and address of the bank or banks designated by the committee as
the campaign depository or depositories, together with the title and
number of each account and safety deposit box used by the committee at
the depository or depositories, and the identification of each
individual authorized to make withdrawals or payments out of each such
account or box \[61\]. Any change in information previously submitted in
a statement of organization must be reported to the director within the
10-day period following the change \[62\].

**B. Candidate Registration Statement.** Each individual must, within
five days of becoming a candidate, or within five days of the day on
which he or she or any person authorized by him or her to do so, has
received a contribution or made an expenditure in connection with his or
her campaign or for the purposes of preparing to undertake his or her
campaign, file a registration statement with the director \[63\]. In
addition, candidates must provide the director the name and address of
the campaign depository or depositories designated by that candidate,
together with the title and number of each account and safety deposit
box used by that candidate at the depository or depositories, and the
identification of each individual authorized to make withdrawals or
payments out of such account or box \[64\].

**C. Reports of Receipts and Expenditures.** Reports of receipts and
expenditures are required of all political committees and candidates,
except for a candidate who anticipates spending less than \$500 in any
one election and who has not designated in principal campaign committee
\[65\]. On the 15th day prior to the date of the election in which such
candidate is entered, and on the 30th day after the date of such
election, such candidate must certify to the director that he or she has
not spent more than \$500 in the election \[66\].

For all other political committees and candidates, the treasurer of each
political committee supporting a candidate, the treasurer of each
political committee engaged in obtaining signatures on any initiative,
referendum, or recall petition, or engaged in promoting or opposing the
notification of any initiative, referendum, or recall measure placed
before the electors of the District of Columbia, and each candidate
required to register, must file with the director, and with the
applicable campaign committee, reports of receipts and expenditures
\[67\]. Reports are to be filed on the 10th day of March, June, August,
October, and December in each year during which there is an election for
the office the candidate is seeking, on the eighth day next preceding
the date on which the election is held, and by January 31st of each year
\[68\]. In addition, such reports must be filed on July 31st of each
year in which there is no such election \[69\]. Each report must be
complete as of not more than five days before the date of filing, except
that any contribution of \$200 or more received after the prescribed
closing date for the last report required to be filed prior to the
election must be reported within 24 hours after its receipt \[70\]. In
the case of reports filed by a committee or committees on behalf of
initiative, referendum, or recall measures, such reports are to be filed
on such dates as the Board of Elections and Ethics may prescribe, but in
no event may more than four separate reports be required during the
consideration of a particular initiative, referendum, or recall measure
by any political committee or committees collecting signatures, or
supporting or opposing such measures \[71\].

Each report must disclose the amount of cash on hand at the beginning of
the reporting period \[72\]; the full name, mailing address, occupation,
and principal place of business, if any, of each person who has made one
or more contributions to or for such committee or candidate, including
the purchase of tickets for events such as dinners, luncheons, rallies,
and similar fundraising events, within the calendar year, in an
aggregate amount or value in excess of \$50 or more, together with the
amount and date of such contributions \[73\]; the total sum of
individual contributions made to or for such committed or candidate
during the reporting period and not reported under the provisions for
reporting contributions aggregating \$50 or more \[74\]; the name and
address of each political committee or candidate from which the
reporting committee or the candidate received, or to which that
committee or candidate made, any transfer of funds, together with the
amounts and dates of all transfers \[75\]; each loan to or from any
person, within the calendar year, in an aggregate amount or value of
\$50 or more, together with the full names, mailing addresses,
occupations, and principal places of business, if any, of the lender and
endorsers, if any, and the date and amount of such loans \[76\]; the net
amount of proceeds from the sale of tickets to each dinner, luncheon,
rally, and other fundraising events organized by the committee \[77\];
mass collections made at such events \[78\]; sales by the committee of
items such as political campaign pins, buttons, badges, flags, emblems,
hats, banners, literature, and similar materials \[79\]; each
contribution, rebate, refund, or other receipt of \$15 or more not
otherwise listed \[80\]; and the total sum of all receipts by or for the
committee or candidate during the reporting period \[81\].

The report must also disclose the full name, mailing address, occupation
and principal place of business, if any, of each person to whom
expenditures have been made by, or on behalf of, the committee or
candidate, within the calendar year, in an aggregate amount or value of
\$10 or more, the amount, date, and purpose of each such expenditure,
and the name and address of, and office sought by each candidate on
whose behalf such expenditure was made \[82\]; the total sum of
expenditures made by the committee or candidate during the calendar year
\[83\]; and the amount and nature of debts and obligations owed by or to
the committee, and a continuous reporting of its debts and obligations
after the election until the debts and obligations are extinguished
\[84\].

In determining aggregate amounts of contributions and expenditures,
amounts are not to be considered for reporting purposes until actual
payment is made \[85\].

The reports are to be cumulative during the calendar year to which they
relate, but where there has been no change in an item reported in a
previous report during the year, only the unchanged amount need be
carried forward \[86\]. If no contributions or expenditures have been
accepted or expended during a calendar year, the treasurer of the
political committee or candidate must file a statement to that effect
\[87\].

**D. Verification of Reports.** A report or statement required to be
filed by a treasurer of a political committee, a candidate, or by any
other person, is required to be verified by the oath or affirmation of
the person filing the report or statement \[88\], and a copy of the
report or statement must be preserved by the person filing it \[89\].

**E. Statement of Contributions and Expenditures by Other Than a
Candidate or Political Committee.** Every person, other than a political
committee or candidate, who makes contributions or expenditures, other
than by contribution to a political committee or candidate in an
aggregate amount of \$50 or more within a calendar year, must file with
the director a statement containing information required of candidates
and political committees \[90\]. Such statements must be filed on the
dates on which reports by political committees are filed, but need not
be cumulative \[91\].

**F. Reporting of Contributions to a Political Committee Treasurer.**
Every person who receives a contribution of \$25 or more for, or on
behalf of, a political committee must, on demand of the treasurer, and
in any event within five days after receipt of such contribution, submit
to the treasurer of the committee a detailed account, including the
amount, the name and address of the person making the contribution,
including the person's occupation and principal place of business, if
any, and the date on which the contribution was received \[92\].

**G. Reporting of Contributions by a Lobbyist.** Each lobbyist must file
a report signed under oath with the Office of Campaign Finance Director
between the July 1 and 10 and January 1 and 10 of each year concerning
the lobbyist's lobbying activities during the previous six‑month period,
including each political expenditure, loan, gift, honorarium, or
contribution of \$50 or more made by the lobbyist or anyone acting on
behalf of the lobbyist to benefit an official in the legislative or
executive branch, a member of his or her staff or household, or a
campaign or testimonial committee established for the benefit of the
official, all itemized by date, beneficiary, amount, and circumstances
of the transaction, including the aggregate of all such expenditures
that are less than \$50 \[93\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Termination of a Political Committee.** Any political committee
which disbands, or determines it will no longer receive contributions or
make expenditures during the calendar year after having filed one or
more statements of organization, must notify the director \[94\].

**B. Disposition of Surplus Funds.** Any surplus, residual, or
unexpended campaign funds received by, or on behalf of, an individual
who seeks nomination for election, or election to office, are required
to be contributed to a political party for political purposes, used to
retire the proper debts of his political committee which received the
funds, or returned to the donors within six months following the
election in the case of an individual defeated in an election \[95\], an
individual elected to office \[96\], or within six months after an
individual, ceasing to be a candidate, terminates his or her candidacy
\[97\].

An individual defeated or elected to office as a member of the board of
education, or a political committee formed to collect signatures or
advocate the ratification or defeat of any initiative, referendum, or
recall measure, are authorized to transfer any surplus, residue, or
unexpended campaign funds to any charitable, scientific, literacy, or
educational organization or organizations which meet the requirements
set forth under law, and an individual elected to a District office and
authorized to establish a program of constituent services is authorized
to transfer any surplus, residue, or unexpended campaign funds to his
program of constituent services \[98\].

**VII. OFFENSES AND PENALTIES**

**A. Civil Penalties.** Any person who violates any provision of the
campaign finance and disclosure laws may be assessed a civil penalty by
the District of Columbia Board of Elections and Ethics for each
violation \[99\]. Each occurrence of a violation, each day of
noncompliance with a disclosure requirement, or an order of the board
constitutes a separate offense \[100\].

The board may issue a schedule of fines to be imposed ministerially by
the Director of Campaign Finance, with the fines not to exceed \$200 or
three times the amount of the unlawful contribution, whichever is
larger, for each violation \[101\] but not totaling more than \$2,000
for each violation \[102\].

A civil penalty must be assessed by the board only after the person
charged with a violation has been given an opportunity for a hearing,
and the board has determined, by decision incorporating its findings of
facts, that a violation did occur, and the amount of the penalty
\[103\]. Any such hearing must be on the record and held in accordance
with the District of Columbia Administrative Procedure Act \[104\].

If the person against whom a civil penalty is assessed fails to pay the
penalty, the board must file a petition for enforcement of its order
assessing the penalty in the superior court of the District of Columbia
\[105\]. The petition must designate the person against whom the order
is sought to be enforced as the respondent \[106\]. A copy of the
petition must be forthwith sent by registered or certified mail to the
respondent and his attorney of record, and if the respondent is a
political committee, to its chair, and the board must certify and file
in the court the record upon which such order sought to be enforced was
issued \[107\]. The court has jurisdiction to enter a judgment
enforcing, modifying, and enforcing as so modified, or setting aside, in
whole or in part, the order and the decision of the board, or it may
remand the proceedings to the board for such further action as it may
direct \[108\]. The court may determine de novo all issues of law, but
the board's findings of fact, if supported by substantial evidence, are
conclusive \[109\].

**B. False or Misleading Reports.** Any person who knowingly files any
false or misleading statement, report, voucher, or other paper, or who
makes any false or misleading statement to the Board of Elections and
Ethics may be fined not more than \$10,000, or may be imprisoned for not
longer than five years, or both \[110\]. Any person or political
committee who violates any other provisions of the campaign disclosure
laws may be fined not more than \$5,000, or may be imprisoned for not
longer than six months, or both \[111\].

The penalty for a false or misleading lobbyist report of contributions
\[112\] is a fine of not more than \$5,000, or imprisonment for not more
than 12 months, or both \[113\], and any lobbyist convicted of a
reporting-related misdemeanor may be prohibited, for a period of three
years from the date of such conviction, from serving as a lobbyist
\[114\].

C. **Contributions by Life Insurance Company**. Any officer, director,
stockholder, attorney, or agent of any company which violates any of the
provisions relating to contributions by a life insurance company, or
participates in, aids, abets, or advises, or consents to any such
violation, and any person who solicits or knowingly receives any money
or property in violation of this section may be found guilty of a
misdemeanor and be punished by imprisonment for not more than one year
and a fine of not more than \$1,000, with any officer aiding or abetting
in any such illegal contribution made liable to the company for the
amount contributed \[115\].

**D. Statute of Limitations.** All actions of the board or of the United
States Attorney for the District of Columbia to enforce the provisions
of the campaign disclosure laws must be initiated within three years of
the actual occurrence of the alleged violation \[116\].

**E. Liability of a Candidate.** No provisions of the law are to be
construed as creating liability on the part of any candidate for any
financial obligation incurred by a political committee \[117\]. Actions
of an agent acting for a candidate are imputed to the candidate,
provided, however, that the actions of the agent may not be imputed to
the candidate in the presence of a provision of law requiring a willful
and knowing violation, unless the agency relationship to engage in such
an act is shown by clear and convincing evidence \[118\]. This section
means that liability does not arise from the fact of candidacy alone,
but it does not by its terms deal with any possible liability of the
candidate if he or she has authorized or ratified a debt \[119\].

**VIII. RESPONSIBLE STATE AGENCIES**

**A. Board of Elections and Ethics.** The Office of Director of the
Office of Campaign Finance of the District of Columbia Board of
Elections and Ethics is primarily responsible for campaign finance and
disclosure regulation. The board is comprised of three members, no more
than two of whom will be members of the same political party, appointed
by the mayor, with the advice and consent of the council \[120\]. The
mayor designates the chairman of the board \[121\]. The Director of
Campaign Finance is appointed by the board to serve at its pleasure, and
to be responsible for the administrative operations of the board
pertaining to campaign finance and disclosure, and other duties, other
than the delegation of making of regulations regarding elections, as may
be delegated or assigned from time to time by the board \[122\].

The board may issue, amend, and rescind rules and regulations related to
the operation of the director, absent recommendation of the director
\[123\]. The board must prepare an annual report of the director's
performance pursuant to his prescribed functions, in addition to those
duties the board may by law assign \[124\].

The office must develop and furnish, upon request, prescribed forms for
the making of required reports and statements \[125\]; develop a filing,
coding, and cross‑indexing system consonant with the purposes of the law
\[126\]; make the reports and statements filed with him or her available
for public inspection and copying, commencing as soon as practicable,
but not later than the end of the second day following the day during
which it was received, and to permit and facilitate copying of any such
report or statement by hand and duplicating machine, as requested by any
person, at reasonable cost \[127\]; preserve such reports and statements
for a period of 10 years from the date of receipt \[128\]; compile and
maintain a current list of all statements or parts of statements on file
pertaining to each candidate \[129\]; prepare and publish such other
reports as he may deem appropriate \[130\]; assure dissemination of
statistics, summaries, and reports prepared under the campaign finance
and disclosure laws \[131\]; and make audits and field investigations
with respect to reports and statements filed, or required reports or
statements not filed \[132\].

The office is also charged with requiring electronic reports \[133\] and
developing and furnishing formats for such reports \[134\].

The Office of Campaign Finance has no jurisdiction relative to the
internal operations of a political committee \[135\].

The director, under regulations of general applicability approved by the
board, has the power to require any person to submit, in writing, such
reports and answers to questions the director may prescribe, relating to
the administration and enforcement of the campaign finance and
disclosure laws, and such submission must be made within such reasonable
period and under oath or otherwise as the director may determine
\[136\]; to administer oaths \[137\]; to require by subpoena the
attendance and testimony of witnesses, and the production of all
documentary evidence relating to the execution of its duties \[138\]; in
any proceeding or investigation to order testimony to be taken by
deposition before any person who is designated by the director and has
the power to administer oaths, and, in such instances, to compel
production of evidence under subpoena \[139\]; to pay witness fees and
mileage \[140\]; to accept gifts \[141\]; and to institute or conduct,
on his or her own motion, an informal hearing on alleged violations of
the reporting requirements \[142\]. Where the director, in his own
discretion, determines that a violation has occurred, the director may
issue an order to the offending party or parties to cease and desist
such violations within the five‑day period immediately following the
issuance of the order \[143\]. Should the offending party or parties
fail to comply with the order, the director must present evidence of
such failure to the board, in an adversary proceeding and an open
hearing, after which the board may refer the matter to the United States
Attorney for the District of Columbia, or may dismiss the action
\[144\]. Subpoenas issued under this section shall be issued by the
director upon the approval of the board \[145\].

The superior court of the District of Columbia may, upon petition by the
board, in case of refusal to obey a subpoena or order of the board,
issue an order requiring compliance, and any failure to obey the order
of the court may be punished as a contempt of court \[146\].

All investigations of alleged violations must be made by the director,
in his own discretion, in accordance with procedures of general
applicability issued by the director, in accordance with the District of
Columbia Administrative Procedure Act \[147\]. All allegations of
violations which are presented to the board, in writing, must be
transmitted to the director without action by the board \[148\]. In a
reasonable time, the director must cause evidence concerning the alleged
violation to be presented to the board, if he or she believes that
sufficient evidence exists constituting an apparent violation \[149\].
Following the presentation of such evidence to the board by the
director, in an adversary proceeding and an open hearing, the board may
refer the matter to the United States Attorney for the District of
Columbia, or may dismiss the action \[150\]. In no case may the board
refer information concerning an alleged violation to the United States
Attorney without the director's presentation \[151\]. Should the
director fail to present a matter or advise the board that insufficient
evidence exists to present such a matter, or that an additional period
of time is needed to investigate the matter further, within 90 days of
its receipt by the board or the director, the board may order the
director to present the matter \[152\].

Where the board, following the presentation by the director of evidence
constituting an apparent violation, makes a finding of an apparent
violation, it must refer the case to the United States Attorney for the
District of Columbia for prosecution, and must make public the fact of
the referral and the basis for the finding \[153\]. In addition, the
board, through its general counsel, must initiate, maintain, defend, or
appeal any civil action in the name of the board relating to the
enforcement of the campaign finance and disclosure laws \[154\]. The
board may, through its general counsel, petition the courts of the
District of Columbia for declaratory or injunctive relief concerning any
actions covered by the provisions of the law \[155\]. The director has
no authority concerning the enforcement of the law, and recommendations
of criminal or civil, or both, violations under the law must be
presented by the general counsel to the board in accordance with the
rules and regulations of general application adopted by the board
\[156\].

Upon application of any individual holding public office, any candidate,
any person who may be a potential registrant, or any political
committee, the board must provide, within a reasonable period of time,
an advisory opinion with respect to any specific transaction or activity
inquired of, as to whether such transaction or activity would constitute
a violation of any provision of the law over which the board has primary
jurisdiction \[157\]. The board must publish a concise statement of each
request for an advisory opinion, without identifying the requestor, in
the District of Columbia Register within 20 days of its receipt by the
board \[158\]. The board will receive comments upon such requested
opinions for at least 15 days following publication in the register
\[159\]. The board may waive the advance notice and public comment
provisions following a finding that the issuance of the advisory opinion
constitutes an emergency necessary for the immediate preservation of the
public peace, health, safety, welfare, or morals \[160\].

An advisory opinion must be published in the District of Columbia
Register within 30 days of its issuance, but the identity of the
requestor must not be disclosed in the register without the requestor's
prior written consent \[161\]. When issued according to the rules of the
board, an advisory opinion must be deemed to be an order of the board,
reviewable in the superior court of the District of Columbia by any
interested person adversely affected by the order \[162\].

**B. United States Attorney for the District of Columbia.** The United
States Attorney for the District of Columbia is responsible for
prosecution of criminal violations of the campaign finance and
disclosure laws upon referral by the board \[163\].

**C. Comptroller General of the United States.** The board and director
may, in the performance of their functions, request the assistance of
the comptroller general of the United States, including such
investigations and audits as the board and director may determine
necessary, and the comptroller general shall provide such assistance,
with or without reimbursement, as the board, director, and comptroller
general may agree \[164\].

#  {#section-3 .unnumbered}

# References

1\. District of Columbia Code Annotated\]

(hereafter DCCA) § 1‑1101.01(6)(A)(i)

2\. DCCA § 1‑1101.01(6)(A)(ii)

3\. DCCA § 1‑1101.01(6)(A)(iii)

4\. DCCA § 1‑1101.01(6)(A)(iv)

5\. DCCA § 1‑1101.01(6)(B)(i)

6\. DCCA § 1‑1101.01(6)(B)(ii)

7\. DCCA § 1‑1101.01(6)(B)(iii)

8\. DCCA § 1‑1101.01(6)(B)(iv)

9\. DCCA § 1‑1101.01(6)(B)(v)

10\. DCCA § 1‑1101.01(6)(B)(vi)

11\. DCCA § 1‑1101.01(6)(B)(vii)

12\. DCCA §§ 1‑1101.01(6)(B)(viii);

1101.01(6)(B)(vii)

13\. DCCA § 1‑1102.01(a)

14\. DCCA §§ 1‑1102.04, 1‑1102.02(b);

1‑1102.05(b)

15\. DCCA § 1‑1102.03(a)

16\. DCCA § 1-1131.03(a)

17\. DCCA § 1‑1131.03(b)

18\. DCCA § 1-1131.01(c)

19\. DCCA § 1‑1131.01(e)

20\. DCCA § 1‑1131.01(g)

21\. DCCA § 1-1131.02(a)(1)

22\. DCCA § 1-1131.02(a)(2)(A)

23\. DCCA § 1-1131.02(a)(2)(B)

24\. DCCA § 1-1131.02(b)

25\. DCCA §§ 1‑1131.01(h)(1), (2)

26\. DCCA § 1‑1131.01(h)(1)

27\. DCCA § 1-1131.01(a)(1)

28\. DCCA § 1‑1131.01(a)(2)

29\. DCCA § 1‑1131.01(a)(3)

30\. DCCA § 1‑1131.01(a)(4)

31\. DCCA § 1‑1131.01(a)(5)

32\. DCCA § 1-1131.01(a)(6)

33\. DCCA § 1‑1131.01(b)(1); *see*, *Nat'l Black*

*Police v. Dist. of Col. Bd. of Elections*,

924 F. Supp. 270 (D.D.C. 1996)

(invalidating prior limits)

34\. DCCA § 1‑1131.01(d)(1)

35\. DCCA § 1‑1131.01(i)

36\. DCCA § 31-4324(a)

37\. DCCA § 1106.51(a)

38\. DCCA § 1‑1101.01(7)(A)

39\. DCCA § 1‑1101.01(7)(B)

40\. DCCA § 1‑1101.01(7)(C)

41\. DCCA § 1‑1101.01(7)(D)

42\. DCCA § 1‑1102.01(a)

43\. DCCA §§ 1‑1102.04; 1‑1102.02(b);

1‑1102.05(b)

44\. DCCA § 1‑1102.01(a)

45\. DCCA §§ 1‑1102.03(a); 1‑1102.04(b)(9);

1‑1102.05(b)

46\. DCCA § 1‑1102.03(b)

47\. DCCA § 1‑1102.03(b)

48\. DCCA § 1‑1102.03(b)

49\. Office of Campaign Finance Regulations,

4/5 DCR 3161, 3175

50\. Office of Campaign Finance Interpretative

Opinion 98‑05 (December 3, 1998)

51\. DCCA § 1‑1102.04(a)

52\. DCCA § 1‑1102.04(b)(1)

53\. DCCA § 1‑1102.04(b)(2)

54\. DCCA § 1‑1102.04(b)(3)

55\. DCCA § 1‑1102.04(b)(4)

56\. DCCA § 1‑1102.04(b)(5)

57\. DCCA § 1‑1102.04(b)(6)(A)

58\. DCCA § 1‑1102.04(b)(6)(B)

59\. DCCA § 1‑1102.04(b)(7)

60\. DCCA § 1‑1102.04(b)(8)

61\. DCCA § 1‑1102.04(b)(9)

62\. DCCA § 1‑1102.04(c)

63\. DCCA § 1‑1102.05(a)

64\. DCCA § 1‑1102.04(b)

65\. DCCA § 1‑1102.09

66\. DCCA § 1‑1102.09

67\. DCCA § 1‑1102.06(a)

68\. DCCA § 1‑1102.06(a)

69\. DCCA § 1‑1102.06(a)

70\. DCCA § 1‑1102.06(a)

71\. DCCA § 1‑1102.06(d)

72\. DCCA § 1‑1102.06(b)(1)

73\. DCCA § 14-1131.03(c); DCCA §

1‑1102.06(b)(2) requires full details on

contributions aggregating \$50 or more

74\. DCCA § 1‑1102.06(b)(3)

75\. DCCA § 1‑1102.06(b)(4)

76\. DCCA § 1‑1102.06(b)(5)

77\. DCCA § 1‑1102.06(b)(6)(A)

78\. DCCA § 1‑1102.06(b)(6)(B)

79\. DCCA § 1‑1102.06(b)(6)(C)

80\. DCCA §1-1131.03(d); DCCA §

1‑1102.06(b)(7) has a threshold of \$50

81\. DCCA § 1‑1102.06(b)(8)

82\. DCCA § 1‑1102.06(b)(9)

83\. DCCA § 1‑1102.06(b)(10)

84\. DCCA § 1‑1102.06(b)(11)

85\. DCCA § 1‑1102.08(c)

86\. DCCA § 1‑1102.06(c)

87\. DCCA § 1‑1102.06(c)

88\. DCCA § 1‑1102.08(a)

89\. DCCA § 1‑1102.08(b)

90\. DCCA §§ 1‑1102.07; 1‑1102.06

91\. DCCA § 1‑1417

92\. DCCA § 1-1131.03(a); DCCA

§ 1‑1102.01(b) contains a \$50 threshold

93\. DCCA § 1‑1105.05(a)(3)

94\. DCCA § 1‑1102.04(d)

95\. DCCA § 1‑1107.02(a)(1)

96\. DCCA § 1‑1107.02(a)(2)

97\. DCCA § 1‑1107.02(a)(3)

98\. DCCA §§ 1‑1107.02(b); 47‑1803.3(a)(8)

99\. DCCA § 1‑1103.05(b)(1)

100\. DCCA § 1‑1103.05(b)(1)

101\. DCCA § 1103.05(b)(1)

102\. DCCA §§ 1‑1103.05(b)(1), (3)

103\. DCCA § 1‑1103.05(b)(2)

104\. DCCA §§ 1‑1103.05(b)(2); 2‑501 *et seq*.

105\. DCCA § 1‑1103.05(b)(4)

106\. DCCA § 1‑1103.05(b)(4)

107\. DCCA § 1‑1103.05(b)(4)

108\. DCCA § 1‑1103.05(b)(4)

109\. DCCA § 1‑1103.05(b)(4)

110\. DCCA § 1‑1107.01(b)

111\. DCCA § 1‑1107.01(a)

112\. DCCA § 1‑1105.06(c)

113\. DCCA § 1‑1105.07(a)

114\. DCCA § 1‑1105.07(b)

115\. DCCA § 31-4324(a)

116\. DCCA § 1‑1107.01(f)

117\. DCCA § 1‑1102.11

118\. DCCA § 1‑1102.11

119\. *W.H. Brewton & Sons v. Kennedy*, 110

Wash. D.L. Rptr. 1681 (D.C. Super. Ct.,

June 11, 1982)

120\. DCCA § 1‑1103.01(a)

121\. DCCA § 1‑1103.01(d)

122\. DCCA § 1‑1103.01(a)

123\. DCCA § 1‑1103.01(b‑1)(1)

124\. DCCA § 1‑1103.01(b‑1)(2)

125\. DCCA § 1‑1103.03(1)

126\. DCCA § 1‑1103.03(2)

127\. DCCA § 1‑1103.03(3)

128\. DCCA § 1‑1103.03(4)

129\. DCCA § 1‑1103.03(5)

130\. DCCA § 1‑1103.03(6)

131\. DCCA § 1‑1103.03(7)

132\. DCCA § 1‑1103.03(8)

133\. DCCA § 1‑1103.02(a)(1)(A-1)

134\. DCCA § 1‑1103.03(1)

135\. Office of Campaign Finance Interpretative Opinion 98‑09 (December
1, 1998)

136\. DCCA § 1‑1103.02(a)(1)(A)

137\. DCCA § 1‑1103.02(a)(1)(B)

138\. DCCA § 1‑1103.02(a)(1)(C)

139\. DCCA § 1‑1103.02(a)(1)(D)

140\. DCCA § 1‑1103.02(a)(1)(E)

141\. DCCA § 1‑1103.02(a)(1)(F)

142\. DCCA § 1‑1103.02(a)(1)(G)

143\. DCCA § 1‑1103.02(a)(1)(G)

144\. DCCA § 1‑1103.02(a)(1)(G); *see*, DCCA

§ 1‑1103.01(c)

145\. DCCA § 1‑1103.02(a)(2)

146\. DCCA § 1‑1103.02(b)

147\. DCCA §§ 1‑1103.02(c); 1‑1501 *et seq.*

148\. DCCA § 1‑1103.02(c)

149\. DCCA § 1‑1103.02(c)

150\. DCCA § 1‑1103.02(c); *see*, § 1‑1103.01(c)

151\. DCCA § 1‑1103.02(c)

152\. DCCA § 1‑1103.02(c)

153\. DCCA § 1‑1103.01(c)

154\. DCCA § 1‑1103.01(c)

155\. DCCA § 1‑1103.01(c)

156\. DCCA § 1‑1103.01(c)

157\. DCCA § 1‑1103.05(c)(1)

158\. DCCA § 1‑1103.05(c)(1)

159\. DCCA § 1‑1103.05(c)(1)

160\. DCCA § 1‑1103.05(c)(1)

161\. DCCA § 1‑1103.05(c)(2)

162\. DCCA § 1‑1103.05æ(c)(2)

163\. DCCA § 1‑1103.01(c)

164\. DCCA § 1‑1103.04

**CAMPAIGN FINANCE LAW**

**IN FLORIDA**

**I. INTRODUCTION**

Florida requires all candidates, political committees, committees of
continuous existence, political party executive committees, and persons
making independent expenditures of \$100 or more to file information on
all contributions and expenditures unless no funds have been received,
contributions made, or reportable funds expended during the reporting
period and the filing officer is so notified. Several pre‑election
reports are required, as is one final post‑election report. A candidate
may spend an unlimited amount in support of election. Contributions are
generally limited to \$500. State employees are generally prohibited
from soliciting contributions, and cash contributions are limited to
\$100. Contributions during session are generally prohibited. Leadership
funds are prohibited. Florida offers no incentives for political
contributions, but has established an election campaign financing trust
fund for candidates for governor/lieutenant governor and members of the
cabinet who meet certain matching thresholds and agree to limit
expenditures \[1\]. The Florida Elections Commission is responsible for
overseeing the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a gift,
subscription, conveyance, deposit, loan, payment, or distribution of
money or anything of value, including contributions in‑kind having an
attributable monetary value in any form, made for the purpose of
influencing the results of an election \[2\]; a transfer of funds
between political committees, between committees of continuous
existence, or between a political committee and a committee of
continuous existence \[3\]; the payment by any person other than a
candidate or political committee of compensation for the personal
services of another person which are rendered to a candidate or
political committee without charge to the candidate or committee \[4\];
or the transfer of funds by a campaign treasurer or deputy campaign
treasurer between a primary depository and a campaign savings account or
certificate of deposit, and any interest earned on the account or
certificate of deposit \[5\].

A contribution does not include services provided without compensation
by individuals volunteering a portion or all of their time on behalf of
a candidate or political committee, legal and accounting services, or an
editorial endorsement \[6\]. The sale of a candidate's real or personal
property is not a contribution from the purchaser if the proceeds are
received by the candidate as part of a legitimate arm's length
transaction and subsequently transferred from the candidate's personal
account to campaign account \[7\]. The receipt of materials from a
public agency which may tend to support or oppose an issue on a
countywide ballot does not constitute a contribution \[8\].

In-kind contributions are anything of value made for the purpose of
influencing the results of an election, other than money \[9\]; personal
services provided without compensation by individual volunteers \[10\],
or independent expenditures \[11\]. Any person making an in-kind
contribution must determine the fair market value of the contribution at
the time the contribution is made \[12\], and advise the recipient of
the fair market value of the contribution at the time of making the
contribution \[13\]. An in-kind contribution of transportation provided
in a private conveyance is valued at the same rate as transportation in
the most comparable commercial conveyance available in that community
\[14\].

**B. Limitations on Nature of Contributions.** A contribution may not be
accepted until the candidate has appointed a campaign treasurer and
designated a campaign depository, and filed this information with the
filing officer \[15\]. For the purposes of appointing a campaign
treasurer and designating a campaign depository, candidates for the
offices of governor and lieutenant governor on the same ticket are
considered to be a single candidate \[16\].

No contribution, including a contribution by a candidate or the
candidate's family, may be directly or indirectly made or received in
furtherance of the candidacy of any person, or on behalf of any
political committee except through the duly appointed campaign treasurer
of the candidate or political committee \[17\]. A group, organization,
association, or other entity involved in making contributions to
candidates organized and operated under a written charter or set of
by‑laws which contain procedures for electing officers and defines
membership, and which has at least 25 percent of its income derived from
regularly‑assessed dues or payments from its members pursuant to the
charter or by‑laws \[18\], may form a committee of continuous existence,
which may contribute to candidates within the statutory limits \[19\].
An individual may make a loan to a committee of continuous existence,
which may then contribute to a political candidate \[20\].

Tickets or advertising to a campaign fundraiser must contain the
statement that "The purchase of a ticket for, or a contribution to, the
campaign fund raiser is a contribution to the campaign of (name of the
candidate for whose benefit the campaign fund raiser is held)" \[21\].
Any person who makes an in‑kind contribution shall, at the time of
making the contribution, place a value on the contribution, which shall
be the fair market value of the contribution \[22\], the cost to the
contributor, if ascertainable, or otherwise, the cost to the ordinary
consumer \[23\].

All funds received by the campaign treasurer of any candidate or
political committee shall, prior to the end of the fifth business day
following the receipt, Sundays and legal holidays excluded, be deposited
in a designated campaign depository in an account designated "(name of
candidate or committee) Campaign Account" \[24\]. All deposits (other
than those to political committees by payroll deduction) must be
accompanied by a bank deposit slip containing the name of each
contributor and the amount contributed by each \[25\].

If a contribution is deposited in a secondary campaign depository, the
depositor must forward the full amount of the deposit, along with a copy
of the deposit slip accompanying the deposit, to the primary campaign
depository prior to the end of the first business day following the
deposit \[26\].

No person may make any contribution in support of or opposition to a
candidate, in support of or opposition to an issue, or to any political
committee through or in the name of another, directly or indirectly, in
any election \[27\]. Use of credit \[28\] or debit cards to make
political campaign contributions is allowed provided that the
contributions meet the disclosure requirements established by law
\[29\]. The solicitation from, and contribution by, candidates,
political committees, and political party executive committees to any
religious, charitable, civic, or other causes or organizations
established primarily for the public good is expressly prohibited
\[30\]. However, a candidate may continue regular personal or business
contributions to religious, civic, or charitable groups of which he or
she is a member or to which he or she has been a regular contributor for
more than six months \[31\].

A candidate may contribute to a political committee, committee of
continuous existence, or another candidate if the candidate does not
make the contribution to aid or promote his or her own nomination or
election and provided that the contribution is not made from campaign
funds \[32\]. No person may make or accept a cash contribution or
contribution by means of a cashier's check in excess of \$100 \[33\].

A judge or candidate for judicial office may not make contributions to
political party funds \[34\]; accept contributions from any political
party \[35\]; solicit contributions from any political party \[36\]; or
make any contribution to any person, group, or organization for its
endorsement to judicial office \[37\]. A judge or a candidate for
judicial office may not solicit funds for, pay an assessment, make a
contribution to a political organization or candidate or purchase
tickets for political party dinners; judges and candidates for judge
subject to public election may not personally solicit campaign funds
\[38\]. A candidate for judicial office in a contested race may accept
contributions as are authorized by law \[39\] through a committee only,
and may not do so earlier than one year before the general election
\[40\]. A political party or partisan organization may not support or
assist any candidate in a campaign for election to judicial office
\[41\]. An employee or court official under the direct control of a
judge may not do what a judge is prohibited from doing with respect to
fundraising \[42\].

A judge or candidate for judge may apparently contribute to the
candidate's own campaign \[43\].

A senator may not accept anything that will improperly influence the
senator's official act, decision, or vote \[44\], and a member of the
House of Representatives may not accept anything which reasonably may be
construed to improperly influence the member's official act, decision,
or vote \[45\].

**C. Limitations on Timing of Contributions.** Any contribution received
by a candidate with opposition in an election, or by the campaign
treasurer or a deputy treasurer of such a candidate, or by the treasurer
or deputy treasurer of a political committee supporting or opposing a
candidate with opposition or supporting or opposing an issue on the
ballot in an election, on the day of the election or less than five days
prior to the day of that election must be returned by him or her to the
contributor and must not be used or expended by or on behalf of the
candidate or political committee \[46\]. Any contribution received after
the candidate withdraws his or her candidacy, or after the date the
candidate is defeated, becomes unopposed, or is elected to office, must
be returned to the person or political committee making the
contribution, and may not be used or expended by or on behalf of the
candidate \[47\].

A legislator may not solicit nor accept any campaign contributions
during the 60-day regular legislative session on the legislator's own
behalf, on behalf of a political party, or on behalf of a candidate for
the House (in the case of a member of the House of Representatives) or
on behalf of a candidate for the Senate (in the case of a senator)
\[48\]. A legislator may, however, contribute to his or her own campaign
\[49\].

**D. Limitations on Solicitations.** A person may not use or promise to
use, directly or indirectly, any official authority or influence,
whether possessed or anticipated, to secure or attempt to secure for any
person an appointment or advantage to a position in the career service,
or an increase in pay or other advantage in employment in any such
position, for the purpose of influencing the vote or political action of
any person or for any consideration \[50\], or to coerce an employee to
make a contribution \[51\]. An officer or employee of any level of
government may not directly or indirectly coerce a contribution from any
other officer or employee \[52\]. Special limitations exist for certain
department of Agriculture employees in soliciting or accepting
contributions from food outlets or convenience stores \[53\]; certain
employees of the Treasurer's Office with respect to soliciting
contributions for the treasurer or a candidate for treasurer from any
insurer, affiliate, or officer of an insurer or affiliate, or any
political committee or committee of continuous existence that represents
the insurer, affiliate, or officer \[54\]; and certain employees of the
Comptroller's Office with respect to soliciting a contributions for the
Comptroller or a candidate for the office from any person who is
licensed or otherwise authorized to do business by the department, or
who has an application pending for such licensure or authorization, or
any director, officer, employee, agent, retained legal counsel,
lobbyist, or partner or affiliate of such a person \[55\].

**E. Limitations on Amounts of Contributions.** A state or county
executive committee of a political party is not limited in the amount
the committee may contribute to a candidate or a political committee,
nor is a candidate limited in the amounts he or she may contribute to
his or her own campaign \[56\], although a corporation which is
majority‑owned by a candidate is limited may not contribute in excess of
the contribution limit established for a person \[57\].

No other person or political committee may, in any election, make
contributions in excess of \$500 to any candidate for election to or
retention in office, or to any political committee supporting or
opposing one or more candidates \[58\]. Candidates for the offices of
governor and lieutenant governor are considered to be a single candidate
for purposes of the contribution limitations \[59\].

An unemancipated child under the age of 18 may not make a contribution
in excess of \$100 to a candidate or political committee supporting one
or more candidates \[60\]. Any person who makes a contribution to an
individual to pay all or part of a loan incurred, in the 12 months
preceding the election, to be used for the individual's campaign, may
not contribute more than \$500 \[61\].

A candidate may not accept contributions from national, state, and
county political party executive committees which in the aggregate
exceed \$50,000, no more than \$25,000 of which may be accepted prior to
the 28-day period immediately preceding the general election \[62\].
Polling services, research services, technical assistance, and voter
mobilization efforts are not contributions counted toward the party
contribution limits, but still must be reported by the candidate or
political party \[63\]. All other items are a contribution in an amount
equal to the fair market value of the item and must be counted toward
the \$50,000 contribution limits \[64\].

No person may make a contribution in excess of \$1,000 to any other
person to be used by the other person to make an independent expenditure
\[65\]. The first primary, second primary, and general elections are
separate elections if the candidate is not unopposed \[66\]. For the
purpose of contribution limits with respect to candidates for retention
as a justice of the supreme court, or judge of a district court of
appeal, there is only one election, the general election, and, with
respect to candidates for circuit judge or county court judge, there are
only two elections, the first primary election and the general election
\[67\].

**F. Special Provisions for Candidates Who Change the Office Sought**.
If a candidate changes the designated office for which he or she is a
candidate, the candidate must notify all contributors in writing of the
candidate's intent to seek a different office---other than a as a result
of a change in numerical designation resulting solely from
redistricting---and offer to return, pro rata, upon their request, those
contributions given in support of the original office sought \[68\]. The
notice must be given within 15 days after filing the change of
designation and include a standard form developed by the Division of
Elections for requesting the return of contributions \[69\]. If, within
30 days after being notified by the candidate of the candidate's intent
to seek a different office, the contributor notifies the candidate in
writing that he or she wishes the contribution to be returned, the
candidate must return the contribution, on a pro rata basis, calculated
as of the date the change of designation is filed \[70\]. Any
contributions not requested to be returned within the 30-day period may
be used by the candidate for the newly designated office \[71\].

**G. Restrictions on Contributions from Certain Entities.** Investment
and law firms and their officers, directors, and employees who make
campaign contributions or are engaged in fundraising activity for the
governor or state-level elected officials in Florida are barred from
competing for certain state business from the Florida Housing Finance
Agency and the State Board of Administration \[72\]. A food outlet or
convenience store business; any director, officer, lobbyist, or
controlling interest of that business; or a political committee or
committee of continuous existence representing the interests of such a
business are prohibited from making or soliciting a contribution in
excess of \$100 for any election to or on behalf of a candidate for
commissioner of agriculture, other than a member of that candidate's
immediate family \[73\]. Similarly, a candidate for commissioner of
agriculture may not solicit or accept such a contribution \[74\].
Certain employees of the department of agriculture are also prohibited
from soliciting contributions from such entities and affiliated
individuals \[75\]; certain employees of the Treasurer's Office are
prohibited from soliciting contributions for the treasurer or a
candidate for treasurer from any insurer, affiliate, or officer of an
insurer or affiliate, or any political committee or committee of
continuous existence that represents the insurer, affiliate, or officer
\[76\]; and certain employees of the Comptroller's Office are prohibited
from soliciting a contributions for the Comptroller or a candidate for
the office from any person who is licensed or otherwise authorized to do
business by the department, or who has an application pending for such
licensure or authorization, or any dircteor, officer, employee, agent,
retained legal counsel, lobbyist, or partner or affiliate of such a
person \[77\].

**H. Restrictions on Contributions from Certain Public Entities.**
Certain entities associated with institutions of higher education in
Florida are prohibited from making contributions unless approved by a
majority roll-call vote of the governing board of the particular entity
as being directly related to the educational mission of the educational
institution. Absent such a vote, university direct-support organization
\[78\]; a community college direct-support organization \[79\]; and a
statewide community college direct-support organization \[80\] may not
give, either directly or indirectly, any gift to a political committee
or committee of continuous existence for any purpose.

**I. Miscellaneous Restrictions**. Campaign contributions may not be
solicited, nor knowingly accepted---received by personal hand delivery
from a contributor or a contributor's agent---in a building owned by a
government entity \[81\]. The restriction does not apply when a
government-owned building or a portion of it is rented for the specific
purpose of holding a campaign fundraiser \[82\].

A campaign fundraiser may only be held if the person for whom the funds
are to be used is a candidate for public office \[83\].

An independent or minor party candidate may not accept contributions
while the candidate's qualification for the ballot is pending
determination \[84\].

A political party may not accept any contribution which has been
specifically designated for the partial or exclusive use of a particular
candidate \[85\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a purchase, payment,
distribution, loan, advance, transfer of funds by a campaign treasurer
or deputy campaign treasurer between a primary depository and a campaign
savings account or certificate of deposit, or gift of money or anything
of value made for the purpose of influencing the results of an election
\[86\]. A payment to an accountant for services rendered to a candidate
in the preparation of the required disclosure statement is an
expenditure \[87\].

An expenditure does not include a purchase, payment, distribution, loan,
advance, or gift of money or anything of value when made by an
organization in existence prior to the time during which a candidate
qualifies or an issue is placed on the ballot for that election, for the
purpose of printing or distributing the organization's newsletter,
containing a statement by such an organization in support of or
opposition to a candidate or issue, which is distributed only to members
of the organization \[88\].

An independent expenditure is an expenditure by a person for the purpose
of advocating the election or defeat of a candidate, or the approval or
rejection of an issue, which is not controlled by, coordinated with, or
made upon consultation with, any political committee, or agent of the
candidate or committee \[89\]. An expenditure for such a purpose by
someone who has a contract with the candidate, political committee, or
agent of such candidate or political committee in a given election
period is not considered to be an independent expenditure \[90\].

An expenditure for the purpose of advocating the election or defeat of a
candidate which is made by the national, state, or county executive
committee of a political party, political committee, committee of
continuous existence, or by any other person is not considered to be an
independent expenditure if the committee or person: (1) communicates
with the candidate, the candidate's campaign, or an agent of the
candidate acting on behalf of the candidate, including any pollster,
media consultant, advertising agency, vendor, advisor, or staff member,
concerning the preparation of,

use of, or payment for, the specific expenditure or advertising campaign
at issue \[91\]; (2) makes a payment in cooperation, consultation, or
concert with, at the request or suggestion of, or pursuant to any
general or particular understanding with the candidate, the candidate's
campaign, a political committee supporting the candidate, or an agent of
the candidate relating to the specific expenditure or advertising
campaign at issue \[92\]; (3) makes a payment for the dissemination,
distribution, or republication, in whole or in part, of any broadcast or
any written, graphic, or other form of campaign material prepared by the
candidate, the candidate's campaign, or an agent of the candidate,
including any pollster, media consultant, advertising agency, vendor,
advisor, or staff member \[93\]; (4) makes a payment based on
information about the candidate's plans, projects, or needs communicated
to a member of the committee or person by the candidate or an agent of
the candidate, provided the committee or person uses the information in
any way, in whole or in part, either directly or indirectly, to design,
prepare, or pay for the specific expenditure or advertising campaign at
issue \[94\]; (5) after the last day of qualifying for statewide or
legislative office, consults about the candidate's plans, projects, or
needs in connection with the candidate's pursuit of election to office
and the information is used in any way to plan, create, design, or
prepare an independent expenditure or advertising campaign, with any
officer, director, employee, or agent of a national, state, or county
executive committee of a political party that has made or intends to
make expenditures in connection with or contributions to the candidate
\[95\], or any person whose professional services have been retained by
a national, state, or county executive committee of a political party
that has made or intends to make expenditures in connection with or
contributions to the candidate \[96\]; (6) after the last day of
qualifying for statewide or legislative office, retains the professional
services of any person also providing those services to the candidate in
connection with the candidate's pursuit of election to office \[97\]; or
(7) arranges, coordinates, or directs the expenditure, in any way, with
the candidate or an agent of the candidate \[98\].

**B. Limitations on Nature of Expenditures.** No person shall make any
expenditure with a view to bringing about his or her nomination,
election, or retention in public office, or authorize another to make an
expenditure on his behalf, unless the person has appointed a registered
voter of the state as campaign treasurer in writing to the filing
officer with the treasurer's name and address and acceptance, and
designated a primary campaign depository \[99\]. Except for an
independent expenditure, no expenditure, including expenditures of a
candidate or the candidate's family, may be directly or indirectly made
in furtherance of the candidacy of any person or on behalf of any
political committee, except through the duly appointed campaign
treasurer of the candidate or political committee \[100\]. However, an
expenditure may be made directly by any political committee or political
party for obtaining time, space, or services in or by any communication
media for the purpose of jointly endorsing three or more candidates, and
any such expenditure is not be considered to be a contribution to or
expenditure on behalf of any such candidate \[101\]. All campaign
expenditures made by an issue campaign must be reported either through
the sponsor or through any person making independent expenditures
\[102\].

Any political advertisement paid for by an independent expenditure must
prominently state "Paid political advertisement paid for by (name of
person or committee paying for advertisement) independently of any
candidate," and must contain the name and address of the person paying
for the political advertisement \[103\].

The campaign treasurer or deputy campaign treasurer of a candidate or
political committee must make expenditures from funds on deposit in a
designated primary or secondary campaign depository only by means of a
bank check drawn upon the campaign account of the candidate or political
committee \[104\]. The checks for the campaign account must contain, at
a minimum, the statement "Campaign Account of (name of candidate or
political committee)" \[105\], the account number and name of the bank
\[106\]; the exact amount of the expenditure \[107\] the signature of
the campaign treasurer or deputy treasure \[108\]; the exact purpose for
which the expenditure is authorized \[109\]; and the name of the payee
\[110\]. The campaign treasurer or deputy campaign treasurer who signs
the check must be responsible for the completeness and accuracy of the
information on each check, and for ensuring that the expenditure is an
authorized expenditure \[111\].

No candidate, campaign manager, treasurer, deputy treasurer, or
political committee or any officer or agent of a political committee, or
any person acting on behalf of any of these persons, may authorize any
expenses, nor may any campaign treasurer or deputy treasurer sign a
check drawn on the primary campaign account for any purpose, unless
there are sufficient funds on deposit in the amount of the authorized
expense, to honor all other outstanding checks drawn on the account, and
to meet all expenses previously authorized, but not yet paid \[112\].
However, an expense may be incurred for the purchase of goods and
services if there are sufficient funds on deposit in the primary
depository account to pay the full amount of the incurred expense, to
honor all outstanding checks drawn on the account, and to meet all other
expenses previously authorized but not yet paid, provided that payment
for these goods and services is made upon final delivery and acceptance
of the goods and services, and an expenditure from petty cash may be
authorized, if there is a sufficient amount in the petty cash fund to
pay for the expenditure \[113\]. An unopposed candidate may not spend
funds from his or her campaign account, nor may another person on his or
her behalf, after the candidate becomes unopposed, except in the first
10 days after the candidate becomes unopposed, the candidate may spend
funds for thank you advertising for up to 75 days after withdrawing,
becoming unopposed, or is eliminated or elected \[114\]. The expenditure
of funds from the campaign account previously obligated or encumbered is
also permitted \[115\], as is payment for expenditures necessary to
close down the campaign office and prepare final campaign reports
\[116\]. Every campaign treasurer is authorized to withdraw from the
primary campaign account, until the close of the last day for qualifying
for office, \$500 per calendar quarter reporting period to provide for a
petty cash fund \[117\]. Between the close of the last day for filing
and until the last election in a given election period in which the
political committee participates, the campaign treasurer of each
political committee is authorized to withdraw \$100 per week from the
primary depository campaign account to provide a petty cash fund for the
political committee, and the campaign treasurer of each candidate is
authorized to withdraw \$500 per week of all candidates for nomination
or election on a statewide basis, or \$100 per week for all other
candidates between the close of the last day for qualifying and the
election at which the candidate is eliminated or elected to office, or
the time at which the candidate becomes unopposed, for a petty cash fund
\[118\]. The petty cash fund must be spent only in amounts less than
\$30, and only for office supplies, transportation expenses, and other
necessities \[119\]. Petty cash must not be used for the purchase of
time, space, or services from communications media \[120\].

Any candidate for statewide office, or any political committee created
to support or oppose any candidate for statewide office, or to support
or oppose any statewide issue may obtain, and use credit cards in making
travel‑related campaign expenditures \[121\], transportation, lodging,
meals, and other expenses incurred in connection with traveling for
campaign purposes \[122\]. Credit cards may be obtained only from the
same bank which has been designated as the candidate's or political
committee's primary campaign depository \[123\], and must be in the name
of the candidate or political committee, and reflect that the account is
a campaign account \[124\]. All credit cards issued to candidates or
political committees must expire no later than midnight of the last day
of the month of the general election \[125\]. Before a credit card may
be used, a copy of the agreement or contract between the candidate or
political committee and the bank, and a list of all persons who have
been authorized to use the card must be filed with the secretary of
state \[126\]. Each statement rendered by the issuer of a credit card
must be paid upon receipt \[127\].

Expenditures may not be made from the campaign account or for purposes
of speculation or investment, or for any purposes other than to
influence the results of an election \[128\], nor may an expenditure be
made from the campaign account to pay a fine for late reporting \[129\].

Authorization for expenditures to public utilities for telephone,
electric, gas, water, and similar services must be made when the bill
for such services is received if the candidate or political committee
receiving the services has deposited an amount with the utility that the
utility estimates as being sufficient to meet all charges for a given
billing period \[130\].

A candidate or the spouse of a candidate may not use funds in a campaign
account to defray normal living expenses for himself or herself or his
or her family, other than expenses actually incurred for transportation,
meals, and lodging by the candidate or a member of his or her family
during travel in the course of the campaign \[131\]. Funds raised for a
candidate for judicial office may not be used for the personal benefit
of the candidate or others \[132\]. This bars the payment of a salary to
the candidate or for payment of normal living expenses, other than
expenses actually incurred for transportation, meals, and lodging for
the candidate and his or her family \[133\].

A person may not pay or give anything of value for the privilege of
speaking at a political meeting in the furtherance of his candidacy, nor
may anyone speaking for such a person pay money or give anything of
value for such privilege \[134\].

No candidate, in the furtherance of his or her candidacy, may use any
state‑owned aircraft or motor vehicle solely for the purpose of
furthering his or her candidacy \[135\]. However, in the event any
candidate uses any state‑owned aircraft or motor vehicle to conduct
official state business, and while on the trip performs any function in
furtherance of his or her candidacy, the candidate must prorate the
expenses incurred, for the use of the state aircraft or motor vehicle
while conducting business in furtherance of his or her candidacy
\[136\]. The reimbursement is to be made from the candidate's own
campaign account \[137\]. No candidate may, in the furtherance of his or
her candidacy, use the services of any officer or employee of the state
during working hours \[138\].

A contribution received by a state or county political committee less
than five days before an election may not be used or expended in behalf
of any candidate, issue, or political party participating in the
election \[139\].

A committee of continuous existence may not expend funds on behalf of a
candidate, except by a contribution made through the duly appointed
campaign treasurer of a candidate \[140\]. No such committee may make
expenditures in support of, or in opposition to, an issue unless the
committee first registers as a political committee, however, such a
committee may make contributions in a total amount not to exceed 25
percent of its aggregate income, as reflected in the annual report filed
for the previous year, to one or more registered political committees
formed to support or oppose issues \[141\].

Candidates may not form a political committee for the purpose of pooling
their campaign funds which, in turn, would be spent by the committee on
behalf of one or more of the candidates \[142\].

**C. Special Provisions for Independent Expenditures.** Any individual,
group, organization, political party, or committee making an independent
expenditure in excess of \$1,000 on behalf of or in opposition to a
candidate must deliver written notice of such an independent
expenditure, including its amount, a general description of the subject
and content of such expenditure, and a detailed description of the media
type or use of the expenditure, within 24 hours after entering into any
agreement to use any funds for such an expenditure \[143\]. The notice
is to specifically state the name of the candidate the independent
expenditure is designed to support or oppose, and must be delivered to
all of the candidates in the affected race and the qualifying officer of
such candidates, with each new expenditure requiring the delivery of an
additional new notice \[144\]. Special requirements for broadcast
advertising, including provision of a copy of the ad and where it is to
be aired must be provided \[145\]. Telephone solicitations require a
copy of the script and the number of intended recipients to be furnished
\[146\].

As a condition of receiving a rebate of filing fees and party assessment
funds, a political party must file an affidavit swearing that it has not
made, directly or indirectly, an independent expenditure in support of
or opposition to a candidate or elected public official in the prior six
months and that it will not do so through and including the upcoming
general election \[147\].

**IV. REPORTING REQUIREMENTS**

**A. Statement of Organization.** Each political committee that
anticipates receiving contributions or making expenditures during a
calendar year in an aggregate amount exceeding \$500, or that seeks the
signatures of registered electors in support of an initiative, must file
a statement of organization within 10 days after its organization, or,
if later, within 10 days after the date on which it has information
which causes the committee to anticipate that it will receive
contributions or make expenditures in excess of \$500, and if a
political committee is organized within 10 days of any election, it must
immediately file the required statement of organization \[148\].

A corporation registered under Florida's corporation laws may contribute
to political candidates or issues from corporate revenues without being
registered as a committee of continuous existence or as a political
committee \[149\].

The statement of organization must include the name and address of the
committee \[150\]; the names, addresses, and relationships of affiliated
or connected organizations \[151\]; the area, scope, or jurisdiction of
the committee \[152\]; the name, address, and position of the custodian
of books and accounts \[153\]; the name, address, and position of other
principal officers, including officers and members of the finance
committee, if any \[154\]; the name, address, office sought, and part
affiliation of each candidate whom the committee is supporting \[155\],
and any other individual, if any, whom the committee is supporting for
nomination for election, or elections, to any public office whatever
\[156\]; any issue or issues the organization is supporting or opposing
\[157\]; if the committee is supporting the entire ticket or any party,
a statement to that effect, and the name of the party \[154\]; a
statement of whether the committee is a continuing one \[159\]; plans
for the disposition of residual funds which will be made in the event of
a dissolution \[160\]; a listing of all banks, safety deposit boxes, or
other depositories used for committee funds \[161\]; and a statement of
the reports required to be filed with federal officials, if any, and the
names, addresses, and positions of these officials \[162\].

A political committee which is organized to support or oppose statewide,
legislative, or multicounty candidates or issues files the statement of
organization with the Division of Elections \[163\]. A political
committee organized to support or oppose only candidates for municipal
office or issues to be voted on in a municipal election or which is
organized to support or oppose candidates or issues to be voted on in a
countywide election, or candidates or issues in any election held on
less than a countywide basis files the statement of organization with
the supervisor of elections of the county in which the election is being
held \[164\].

A petition committee that accepts contributions related to a recall
election during a calendar year in an aggregate amount of \$500 becomes
a political committee, and is required to register \[165\]. Similarly,
persons, groups, or organizations accepting contributions on behalf of
the person to be recalled must also register as a political committee
when the required aggregate amount has been reached \[166\]. The
petition committee and the person to be recalled must comply with the
campaign financing provisions following the announcement of the date the
recall election will be held \[167\]. Any change in information
previously submitted in a statement of organization must be reported to
the agency or officer with whom the committee is required to register
within 10 days following the change \[168\].

A political committee has an obligation to notify the appropriate filing
officer if it disbands or determines that it will no longer receive
contributions or make expenditures during the calendar year in an
aggregate amount exceeding \$500 \[169\].

**B. Reporting by Committees of Continuous Existence.** Each committee
of continuous existence must file an annual report with the Division of
Elections each January \[170\], containing the name and street address
of the principal officer; a copy of the organization's charter or
by‑laws if they have changed; a copy of the organization's dues or
assessment schedule, or formula by which dues or assessments are levied;
and a complete financial statement or annual audit summarizing all
income received, and all expenses incurred, by the organization during
the 12 preceding months \[171\]. In addition to the annual report, each
committee must file regular reports with the Division of Elections at
the same time that reports are required of candidates \[172\].

A report of a committee of continuous existence must be on forms
provided by the Division of Elections, and must contain the full name,
address, and occupation of each person who has made one or more
contributions to the committee during the reporting period, together
with the amounts and dates of the contributions \[173\]. For
corporations, the report must provide as clear a description as
practicable of the principal type of business conducted by the
corporation \[174\]. However, if the contribution is \$100 or less, the
contributor's occupation or principal type of business need not be
listed \[175\]. For any contributions which represent dues payments by
members in a fixed amount pursuant to the schedule on file with the
Division of Elections, only the aggregate amount of such contributions
need be listed, together with the number of members paying such dues and
the amount of the membership dues \[176\]. The name and address of each
political committee or committee of continuous existence from which the
reporting committee received, or to which it made, any transfers of
funds, together with the amounts and dates of all transfers must also be
reported \[177\], as must any other receipt of funds not otherwise
listed, including the sources and amounts of all such funds \[178\]; and
the name, address, and office sought by each candidate to whom the
committee has made a contribution during the reporting period, together
with the amount and date of each contribution \[179\]. The treasurer of
each committee certifies as to the correctness of each report and bears
the responsibility for its accuracy and veracity \[180\].

**C. Reporting by Candidates and Political Committees.** Each campaign
treasurer must file the regular reports of all contributions received,
and all expenditures made by, or on behalf of the candidate or political
committee \[181\].

Reports must be filed on the 10th day following the end of each calendar
quarter from the time the campaign treasurer is appointed \[182\]. The
reports must be filed on the 10th day following the end of each calendar
quarter from the time the campaign treasurer is appointed \[183\], and
on the fourth, 18th, and 32nd days immediately preceding the first and
second primaries, and on the fourth and 18th days immediately preceding
the general election, for a candidate who is opposed in seeking
nomination or election to any office, for a political committee, or for
a committee of continuous existence \[184\]. Following the last day of
qualifying for office, any statewide candidate who has requested to
receive contributions from the election campaign financing trust fund or
any statewide candidate in a race with a candidate who has requested
contributions from the trust fund must file reports with the Division by
5:00 p.m. on the fourth, 11th, 18th, 25th, and 32nd days prior to the
first primary and general elections, and on the fourth, 11th, 18th, and
25th days prior to the second primary \[185\].

All reports required of a candidate must be filed with the officer
before whom the candidate is required by law to qualify \[186\]. Reports
must be filed not later than 5:00 p.m. of the day designated, however,
any report postmarked no later than midnight of the day designated is
deemed to have been filed in a timely manner \[187\]. The law makes
provisions for certain unusual circumstances that might adversely affect
filing \[188\].

Reports must contain information of all previously unreported
contributions received and expenditures made as of the preceding Friday,
except that the report filed on the Friday immediately preceding the
election must contain information of all previously unreported
contributions received and expenditures made as of the day preceding
that designated due date \[189\]. Each candidate for other than a
statewide office who qualifies with the secretary of state must file a
duplicate copy at the same time with the supervisor of elections in the
county in which the candidate resides \[190\]. Reports required of a
political committee are filed with the agency or officer before whom the
committee registers \[191\]. The candidate and his or her campaign
treasurer, in the case of a candidate, or the political committee
chairman and campaign treasurer of the committee, in the case of a
political committee, bear the responsibility for the accuracy and
veracity of each report \[192\]. An unopposed candidate must file a
report within 90 days after the date the candidate became unopposed,
containing all previously unreported contributions and expenditures, and
reflecting the disposition of surplus funds \[193\].

Each report must contain the full name, address, and occupation, if any,
of each person who has made one or more contributions to or for the
committee within the reporting period, together with the amount and date
of the contributions, unless the contribution is \$100 or less, or is
from a relative, provided the relationship is reported, in which case
only the name and address are necessary \[194\]; in the case of a
contribution by a corporation, as clear a description as practicable of
the principal type of business conducted by the corporation \[195\]; the
name and address of each political committee from which the reporting
committee or the candidate received, or to which the reporting committee
or candidate made, any transfer of funds, together with the amounts and
dates of the transfers \[196\]; each loan for campaign purposes to or
from any person or political committee within the reporting period,
together with the full names, addresses, occupations, and principal
places of business, if any, of the lenders and endorsers, if any, and
the date and amount of the loans \[197\]; a statement of each
contribution, rebate, refund, or other receipt not otherwise listed
\[198\]; the total sum of all loans, in‑kind contributions, and other
receipts during the reporting period broken out by category \[199\]; the
full name and address of each person to whom expenditures have been made
by, or on behalf of, the committee or candidate within the reporting
period, and the amount, date, and purpose of each expenditure, and the
name and address of, and office sought by, each candidate on whose
behalf the expenditure was made, other than individual disbursements
from the petty cash fund \[200\]; the full name and address of each
person to whom an expenditure for personal services, salary, or
reimbursed expenses has been made, and which is not otherwise reported,
including the date, and purpose of the expenditure, other than
individual disbursements from the petty cash fund \[201\]; the total
amount withdrawn and the total amount spent during the reporting period
for petty cash purposes \[202\]; the total sum of expenditures made by
the committee or candidate during the reporting period \[203\]; the
amount and nature of debts and obligations owed by or to the committee
or candidate, which relate to the conduct of any political campaign
\[204\]; a copy of each credit card statement \[205\]; and the amount
and nature of any campaign savings accounts or certificates of deposit,
and identification of the financial institution in which the accounts or
certificates of deposit are located \[206\].

In any reporting period during which a candidate, political committee,
or committee of continuous existence has not received funds, made any
contributions, or expended any reportable funds, the filing of the
required report for that period is waived \[207\]. However, the next
report filed must specify that the report covers the entire period
between the last submitted report and the report being filed, and any
candidate, political committee, or committee of continuous existence not
reporting by virtue of such reasons must notify the filing officer on
the prescribed filing date that no report is being filed on that date
\[208\].

A candidate for retention as a justice of the supreme court or as a
judge of a district court of appeal who has not received any
contribution or made any expenditure may file a sworn statement at the
time of qualifying that the candidate does not anticipate receiving
contributions or making expenditures in connection with the retention
candidacy, but a final report is still due from the candidate within 90
days following the general election for which the candidate's name
appeared on the ballot for retention \[209\]. If the candidate for
retention receives a contribution or makes an expenditure in connection
with the candidacy for retention, the candidate must immediately file a
statement to that effect with the qualifying officer and immediately
begin filing reports as an opposed candidate \[210\].

Any candidate required to dispose of surplus campaign funds must, on or
before the date by which the disposition is to have been made, file with
the officer with whom reports are required to be filed, a form
prescribed by the Division of Elections listing the name and address of
each person or unit of government to whom any of the funds were
distributed and the amounts \[211\]; the name and address of each person
to whom an expenditure was made, together with the amount and purpose
\[212\]; and the amount of funds transferred to an office account by the
candidate, together with the name and address of the bank in which the
office account is located \[213\]. The report must be signed by the
candidate and the campaign treasurer, and certified as true and correct
\[214\]. Any candidate who transfers surplus campaign funds into an
office account must file a report on the 10th day following the end of
each calendar quarter until the account is closed \[215\]. The reports
must contain the name and address of each person to whom any
disbursement of funds was made, together with the amount and purpose,
and the name and address of any person from whom the elected candidate
received any refund or reimbursement, and the amount \[216\]. The
reports must be on forms prescribed by the Division of Elections, signed
by the elected candidate, and certified as true and correct \[217\].

**D. Electronic Reporting.** Electronic reports are filed with the
Division of Elections on magnetic diskette in conformance with Division
specifications, along with a hard copy of the report \[218\]. A
committee which is unable to file a report on diskette must file a
statement to that effect with the Division of Elections and may
thereafter file hard copy only \[219\].

**E. Reporting by Others.** Each person who makes an independent
expenditure with respect to any candidate or issue, which, in the
aggregate, amounts to \$100 or more, must file periodic reports of such
expenditures in the same manner, at the same time, and with the same
officer as a political committee supporting or opposing the candidate or
issue \[220\].

Any group, club, association, or other organization, except political
party organizations, which intends to endorse the candidacy of one or
more candidates for public office or which endorses or opposes any
referendum by means of political advertisements must, prior to
publishing, issuing, broadcasting, or otherwise distributing the
advertisement, file a statement with the officer before whom each
candidate that the organization intends to endorse qualified for office
pursuant to law \[221\]. The statements must contain the date the
organization was chartered, the number of members during the most recent
twelve months, and how many of these members, if any, have paid dues
\[222\]; a list of current officers or directors of the organization,
and a statement as to their method of selection \[223\]; a statement of
the procedures used by the organization in determining which candidates
to endorse \[224\]; if political advertisements for endorsement purposes
are to be paid from funds other than the dues of the membership of the
organization, a statement describing the sources of the funds \[225\];
and the amount of funds paid to the organization by candidates for
public office, including payments in the form of dues, and the name of,
and office sought by, each candidate \[226\].

The state executive committee, and each county executive committee of
each political party must file regular reports of all contributions
received and all expenditures made by the committee \[227\]. The reports
of the state committee must be filed with the Division of Elections, and
each county committee must file reports with the supervisor of elections
in the county in which the committee exists \[228\]. The reports must
contain the same information as do reports required of candidates, and
must be filed on the 10th day following the end of each calendar
quarter, except that, during the period from the last day for candidate
qualifying until the general election, the reports must be filed on the
Friday immediately preceding the first primary, the second, primary, and
the general election \[229\].

A person who is elected to office must report to the appropriate filing
officer within 10 days after being elected to office, all loans of more
than \$500 in value, made to the officeholder and used by the
officeholder for campaign purposes, which are made in the 12 months
preceding the officeholder's election \[230\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Eligibility.** Florida provides public financing to qualified
candidates for governor or member of the cabinet in both the primary and
general election \[231\]. Candidates for governor and lieutenant
governor are nominated and elected in team elections and are considered
as one candidate \[232\]. An unopposed candidate is not entitled to
public funds \[233\].

**B. Source of Funding.** The election campaign financing trust fund is
funded from certain candidate filing fees \[234\]; penalties and fines
for violations of the public financing provisions \[235\]; donated
surplus funds by candidates \[236\]; voluntary \$5 contributions from
taxpayers on their annual intangible tax returns \[237\]; voluntary \$5
contributions from applicants for motor vehicle registration \[238\];
voluntary \$5 contributions from applicants for a driver's license or a
duplicate driver's license \[239\]; voluntary \$5 contributions from
applicants for boat registration \[240\]; and voluntary \$5
contributions from those filing an annual corporate report with the
State \[241\]. In the event that such funds are insufficient to fully
fund qualified candidates, each year in which a general election is to
be held for governor and cabinet, additional funds are to be transferred
to the election campaign financing trust fund from general revenue in an
amount sufficient to fund qualifying candidates \[242\].

**C. Conditions.** A candidate who wishes to receive public funds for
his or her gubernatorial campaign must raise \$150,000 in contributions
\[243\]. A candidate who wishes to receive public funds for his or her
campaign for a cabinet office must raise \$100,000 in contributions
\[244\]. In addition, candidates must agree to abide by statutory
expenditure limits \[245\], and limit loans or contributions from their
personal funds to \$25,000 and contributions from national, state, and
county political party executive committees to an aggregate of \$25,000,
none of which qualifies for meeting the threshold contribution amounts
\[246\].

Qualifying contributions are those from an individual of \$250 or less
made after September 1 of the calendar year prior to the election, with
aggregate contributions from an individual in excess of \$250 matched
only up to \$250 \[247\]. A contribution from an individual, if made by
check, must be drawn on the personal bank account of the individual
making the contribution, as opposed to any form of business account,
regardless of whether the business account is for a corporation,
partnership, sole proprietorship, trust, or other form of business
arrangement \[248\]. For contributions made by check from a personal
joint account, the match is only made for the individual who actually
signs the check \[249\].

Contributions from individuals who at the time of contributing are not
state residents may not be used to meet the threshold amounts \[250\].

**D. Public Financing Payments.** The Division of Elections is
responsible for reviewing each request for public funds and
certification of eligibility \[251\]. An adverse decision of the
Division of Elections may be appealed to the Florida Elections
Commission \[252\]. Distribution of public funds is on a one‑to‑one
basis for all qualifying matching contributions \[253\], and on a
two-for-one basis for qualifying matching contributions making up all or
any portion of the threshold amounts \[254\].

Candidates receive their distribution within seven days after the close
of qualifying, and every seven days thereafter \[255\]. The payments are
contingent upon completion and submission of weekly reports \[256\].

**E. Limitations on Expenditures.** Any candidate for
governor/lieutenant governor who receives public financing must limit
total expenditures to \$5 million \[257\]. Any candidate for the cabinet
who receives public financing must limit total expenditures to \$2
million \[258\]. A candidate with primary election opposition only is
limited to 60% of the appropriate expenditure limit \[254\]. The
expenditure limit must be adjusted by the secretary of state each four
years to account for inflation or deflation \[260\]. Expenditures for
purposes of public financing do not include payment of compensation for
legal and accounting services rendered on behalf of a candidate \[261\].

A candidate for governor or member of the cabinet may, not later than
qualifying for office, file an irrevocable statement with the secretary
of state stating that, although the candidate does not wish to accept
public financing, the candidate will voluntarily abide by the applicable
contribution and expenditure limits applicable to a candidate who has
chosen to accept public financing \[262\]. If a nonparticipating
candidate exceeds the expenditure limit after signing the statement, a
candidate signing the statement may, without penalty, exceed the
applicable expenditure limit to the extent that the nonparticipating
candidate exceeds the limit \[263\].

If a candidate for governor or member of the cabinet elects not to
participate in the public financing program and exceeds the applicable
spending limits, all opposing candidates who participate in the public
financing program are released from the expenditure limit to the extent
that the nonparticipating candidate exceeded the limit, are still
eligible for matching contributions up to the limit, and are not
required to reimburse any matching funds \[264\]. In addition, the State
must, within seven days after a request by a participating candidate,
provide the candidate with additional funds from the election campaign
financing trust fund equal to the amount by which the nonparticipating
candidate exceed the expenditure limit, not to exceed twice the amount
of the maximum expenditure limits \[265\].

A candidate who is eligible for a distribution of funds based upon
qualifying matching contributions received and certified to the Division
on the report due the fourth day before the election may obligate funds
not to exceed the amount which the campaign treasurer's report shows the
candidate is eligible to receive from the trust fund, without the funds
actually being on deposit in the campaign account \[266\].

**VI. TAX PROVISIONS**

The annual intangible tax return includes language permitting a
voluntary contribution of \$5 per taxpayer to be transferred into the
election campaign financing trust fund \[267\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Recordkeeping.** Accounts kept by a campaign treasurer of a
candidate must be preserved by the campaign treasurer for a number of
years equal to the term of office, to which the candidate seeks
election, while accounts kept by a campaign treasurer of a political
committee must be preserved by the treasurer for at least two years
after the date of the election to which the accounts refer, or at least
one year after the date of last supplemental statement is filed,
whichever is later \[268\].

**B. Post‑election Expenditures.** Funds remaining in the campaign
treasury following the election day are to be used solely for payment of
remaining financial obligations incurred prior to or on election day,
which are presented for payment \[269\], although expenditures may be
made for expenses incurred in "winding up" the campaign \[270\].

**C. Disposition of Surplus Funds.** Any candidate who withdraws his or
her candidacy must, within 90 days, dispose of the funds on deposit in
his or her campaign account \[271\]. The candidate may not accept any
contributions, nor may any person accept contributions on behalf of the
candidate, after the candidate withdraws as a candidate \[272\]. If a
candidate receives a refund check after all surplus funds have been
disposed of, the check may be endorsed by the candidate and the refund
disposed of under this section, although an amended report must be filed
showing the refund and subsequent disposition \[273\]. Each candidate
who has been eliminated as a candidate, who has become unopposed, or is
elected to office must, within 90 days, dispose of the funds on deposit
in the campaign account \[274\]. The candidate may not accept any
contributions, nor may any person accept contributions on behalf of the
candidate, after the candidate has been eliminated as a candidate,
becomes unopposed, or is elected to office \[275\].

Any candidate required to dispose of surplus funds may, prior to the
disposition, be reimbursed by the campaign, in full or in part, for any
reported contributions by the candidate to the campaign \[276\].

The campaign treasurer of a candidate who withdraws his candidacy, has
been eliminated as a candidate, becomes unopposed or is elected to
office and who has funds on deposit in a campaign savings account or
certificate of deposit must, within seven days after the date of
becoming unopposed, or the date of the withdrawal, elimination, or
election, transfer the funds and any accumulated interest to the
campaign account of the candidate for disposal in accordance with law
\[277\]. Any candidate required to dispose of surplus funds must, at the
candidate's option, either return pro rata to each contributor the funds
which have not been spent, or obligated to be spent, with respect to a
campaign which has been conducted \[278\]; donate the funds to a charity
organization or organizations which meet the qualifications of Internal
Revenue Code section 501(c)(3) \[279\]; give not more than \$10,000 of
the funds to the political party of which the candidate is a registered
member \[280\]; or give the funds, in the case of a candidate for state
office, to the state, to be deposited in the election campaign financing
trust fund or the general revenue fund, as designated by the candidate
\[281\]; or, in the case of a candidate for an office of a political
subdivision, to that political subdivision, to be deposited in its
general fund \[282\].

A candidate elected to office, or a candidate who will be elected to
office by virtue of his being unopposed, may dispose of the funds in the
campaign account by transferring from the campaign account to an office
account used only for legitimate expenses in connection with his public
office any amount of the funds on deposit in the campaign account up to
\$10,000 for a statewide office candidate \[283\]; \$5,000 for a
multicounty office candidate \[284\]; \$2,500 multiplied by the number
of years in the term of office for which a candidate for legislative
office is elected \[285\]; \$1,000 multiplied by the number of years in
the term of office for which elected for any candidate for county
office, or for a candidate in any election conducted on less than a
countywide basis \[286\]; \$6,000 for a candidate for retention as a
justice of the supreme court \[287\]; \$3,000 for a candidate for
retention as a judge of a district court of appeal \[288\]; and \$1,500
for a candidate for county court judge or circuit judge \[289\].

A surplus may be disposed of by any one, or a combination of the above
methods, and must be reported upon to the filing officer \[290\].

**VIII. OFFENSES AND PENALTIES**

Any candidate; campaign manager, treasurer, or deputy treasurer of any
candidate; committee chairman, vice chairman, treasurer, deputy
treasurer, or other officer of any political committee; agent or person
acting on behalf of any candidate or political committee; or other
person who knowingly and willfully \[291\] accepts a contribution in
excess of the prescribed limits \[292\]; fails to report any
contribution required to be reported \[293\]; falsely reports or
deliberately fails to include any required information \[294\]; or makes
or authorizes any prohibited expenditure \[295\], is guilty of a
misdemeanor in the first degree \[296\]. Willfully certifying the
correctness of improper required reports is a misdemeanor of the first
degree \[297\], but may also be a felony, if the reports are incomplete,
incorrect, or false \[298\].

Any person who accepts an excessive contribution, fails to report a
contribution required to be reported, or makes or authorizes a
prohibited expenditure may also be subject to a civil penalty equal to
three times the amount involved in the illegal act, to be paid into the
state general revenue fund \[299\].

A candidate, political committee, or committee of continuous existence
that fails to file a report on the due date is subject to a fine by the
filing officer of \$50 per day for the first three days late, and
thereafter \$500 per day for each late day, not to exceed 25% of the
total receipts or expenditures, whichever is greater, for the period
covered by the late report \[300\]. However, for the reports immediately
preceding each primary and general election, the fine is \$500 for each
late day, not to exceed 25% of the total receipts for the period covered
by the late report \[301\], and based upon the earliest of when the
report is actually received by the officer \[302\]; when the report is
postmarked \[303\]; when the certificate of mailing is dated \[304\];
and when the receipt from an established courier company is dated
\[305\]. A fine imposed upon a candidate must be paid only from the
personal funds of the candidate \[306\]. An officer or member of a
political committee, however, is not personally liable for such a fine
\[307\].

A political party committee failing to file a required report on time is
subject to a fine of \$1,000 (for a state executive committee) and \$50
(for a county executive committee), not to exceed 25% of the total
receipts for the period covered by the late report \[308\]. However, if
a party executive committee fails to file a report on the Friday
immediately preceding the general election, the fine is \$10,000 per day
for a state committee report, and \$500 per day for a county party
report \[309\].

A candidate who receives funds from the election campaign financing
trust fund and illegally exceeds the applicable expenditure limit or
falsely reports qualifying matching contributions and subsequently
receives public financing to which the candidate is not entitled is
subject to a fine equal to three times the amount at issue \[310\]. A
candidate who files a statement of intent to voluntarily abide by
contribution and expenditure limits without accepting public financing
and subsequently exceeds the limits must pay the election campaign
financing trust fund an amount equal to the excess contributions or
expenditures \[311\]. The penalty is not an allowable campaign expense,
and must be paid from the candidate's personal funds \[312\].

The name of a candidate may not be printed on the ballot for an election
if the candidate is convicted of a prohibited contribution or
expenditure violation \[313\]. Any candidate whose name is so removed
from the ballot is disqualified as a candidate for the office \[314\].
If the disqualification of the candidate results in a vacancy in
nomination, the vacancy must be filled by a person, other than that
candidate, in the manner provided by law \[315\]. If a successful
candidate is convicted of such a violation prior to the issuance of his
or her certificate of election, the certificate may not be issued, and a
vacancy must be declared and filled as provided by law \[316\]. If a
successful candidate is convicted of such a violation subsequent to the
issuance of a certificate of election, but prior to taking office, the
certificate must be rescinded by the issuing body and declared void, and
a vacancy in office will exist and be filled as provided by law \[317\].
No certificate of election may be granted to any candidate until all
required pre‑election reports have been filed in accordance with law
\[318\].

Any person who holds a campaign fundraiser, or consents to a campaign
fundraiser being held, in violation of the laws or notice and treatment
of resulting contributions and expenditures, may be found guilty of a
misdemeanor in the first degree \[319\], as may be any person who fails
to include the prescribed disclaimer for an independent expenditure in
any political advertisement which is required to include the disclaimer
\[320\].

Any person who knowingly and willfully makes no more than one
contribution in violation of the limitations on contributions \[321\] in
the name of another \[322\], or to a cause or organization established
primarily for the public good in a nonconforming manner, \[323\]; or any
person who knowingly and willfully fails or refuses to return a
contribution received in the last five days prior to an election
\[324\], may be found guilty of a misdemeanor of the first degree
\[325\]. Any person who knowingly and willfully makes two or more
contributions in violation of the limitations on contributions commits a
felony \[326\]. If any corporation, partnership, or other business
entity is convicted of such a knowing and willful violation, it may be
fined not less than \$1,000 and not more than \$10,000 \[327\]. A
corporation, partnership, or other business entity, or any political
party, political committee, or committee of continuous existence which
is convicted of knowingly and willfully making two or more unlawful
contributions is subject to a fine of not less than \$10,000 and not
greater than \$50,000 \[328\]. If it is a domestic entity, it may be
ordered dissolved by a court of competent jurisdiction; if it is a
foreign or nonresident business entity, its right to do business in
Florida may be forfeited \[329\]. Any officer, partner, agent, attorney,
or other representative of a corporation, partnership, or other business
entity who aids, abets, advises, or participates in such a violation is
guilty of a misdemeanor of the first degree \[330\], or a felony
\[331\]. Any person who knowingly and willfully makes such a violation
must, in addition to any other penalty, pay to the state a sum equal to
twice the amount contributed in violation for deposit in the general
revenue fund \[332\].

Any person who makes or accepts a cash contribution or contribution by
means of a cashier's check in excess of \$100 is guilty of a misdemeanor
of the first degree \[333\].

A willful violation of the prohibition against solicitation or
acceptance of contributions from food outlets or convenience stores by a
candidate for commissioner of agriculture or certain departmental
employees \[334\]; contributions from insurance interests by a candidate
for treasurer or certain departmental employees \[335\]; or
contributions from certain persons licensed or authorized to do business
by the comptroller by a candidate for comptroller or certain
departmental employees constitutes a first degree misdemeanor \[336\].

Any candidate, or any person on behalf of a candidate, who accepts
contributions after the candidate has withdrawn his or her candidacy,
after the candidate has been eliminated as a candidate or elected to
office, is guilty of a misdemeanor of the first degree \[337\], as is
any candidate who fails to dispose of surplus campaign funds as required
by law \[338\].

Any officer, director, or other person acting on behalf of an
organization who willfully violates the provisions of the law governing
endorsements is subject to civil penalty not to exceed \$1,000 per count
\[339\]. Any person violating the provisions against payment for
speaking \[340\]; use of state‑owned aircraft or motor vehicles \[341\]
or services of state employees \[342\]; or acceptance of contributions
in a building owned by a governmental entity \[343\] may be charged with
a misdemeanor of the first degree \[344\].

A violation of the provisions requiring special notice for certain
independent expenditures is punishable by a fine of up to \$5,000 to be
determined by the Florida Elections Commission, or an amount equal to
the expenditure in question, whichever is greater \[345\].

There is no private right of action conferred under the chapter
governing campaign financing \[346\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Division of Elections and Florida Elections Commission.** The
Division of Elections of the Department of State is required to
prescribe forms for statements and other information required by the
campaign financing provisions, and to furnish the forms to persons
required to file with that office \[347\]; prepare and publish manuals
or brochures setting forth recommended uniform methods of bookkeeping
and reporting, and including appropriate portions of the code, for use
by persons required to file statements \[348\]; develop a filing,
coding, and cross‑indexing system consonant with the law \[349\];
preserve required statements and information filed with the Division for
10 years from date of receipt and develop rules and procedures with
respect to dissolving inactive committees \[350\]; prepare and publish
any appropriate reports \[351\]; make timely audits and field
investigation with respect to filed statements and reports, and with
respect to alleged failures to file any required report or statement,
and conduct a post‑election audit of the campaign accounts of candidates
receiving contributions from the election campaign financing trust fund
\[352\]; report to the Florida Elections Commission any failure to file
a report on information required by statute \[353\]; conduct random
audits with respect to required reports and statements filed and not
filed \[354\]; employ necessary personnel or contract for services
\[355\]; prescribe necessary rules and regulations to carry out the
campaign financing provisions \[356\]; and report annually to the
president of the senate and the speaker of the house on the Division's
activities and recommended improvements to the elections code \[357\].
The Commission is also authorized to administratively revoke the
registration of political committees under certain specified criteria
\[358\].

Any report required to be filed with the Division that is incomplete
will be accepted on a conditional basis, and the Division must notify
the campaign treasurer by registered mail as to why the report is
incomplete, affording the treasurer three days from receipt of notice to
file a complete addendum \[359\]. In lieu of registered mail, the
Division may notify the campaign treasurer by telephone that the report
is incomplete, and request the information necessary to complete the
report \[360\]. If, however, the information is not received by the
Division within three days of the telephone request, notice must be sent
by registered mail \[361\].

The Division of Elections must provide advisory opinions when requested
by any supervisor of elections, candidate, local officer having
election‑related duties, political party, political committee, committee
of continuous existence, or other person or organization engaged in
political activity, relating to any provisions or possible violations of
Florida election laws with respect to actions the requesting party has
taken or proposes to take \[362\]. Any person or organization acting in
good faith upon such an advisory opinion may not be subject to any
criminal penalty provided for under the campaign financing provisions
\[363\]. The opinion, until amended or revoked, is binding on any person
or organization who sought the opinion or with reference to whom the
opinion was sought, unless material facts were omitted or misstated in
the request for the advisory opinion \[364\]. All opinions are to be
retained, sequentially numbered, dated, and indexed \[365\].

To carry out its responsibilities, the Division of Elections is
empowered to subpoena and bring before its duly authorized
representatives any person in the state, any person doing business in
the state, or any person who has filed or is required to file any
application, document, papers, or other information with an office or
agency of the state or any of its political subdivisions, and to require
the production of any papers, books, or other records relevant to any
investigation, including the records of any bank or trust company doing
business in the state \[366\]. Duly authorized representatives of the
Division are empowered to administer all oaths and affirmations as
prescribed by law to witnesses appearing before them \[367\]. Should any
witness fail to respond to the Division's lawful subpoena, or having
responded, fail to answer all lawful inquires or to turn over evidence
that has been subpoenaed, the Division may file a complaint before any
circuit court of the state setting up such failure on the part of the
witness \[368\]. On the filing of such a complaint, the court must take
jurisdiction of the witness and the subject matter of the complaint, and
must direct the witness to respond to all lawful questions and to
produce all documentary evidence in his or her possession which is
lawfully demanded \[369\]. The failure of any witness to comply with
such an order of the court constitutes a direct and criminal contempt of
court, with appropriate punishment \[370\]. However, the refusal by a
witness to answer inquires or turn over evidence on the basis that the
testimony or material will tend to incriminate the witness is not deemed
such a refusal to comply \[371\].

Non‑exclusive jurisdiction to investigate and determine violations of
the campaign financing law is vested in the Florida Elections
Commission, housed within the Office of the Attorney General's
Department of Legal Affairs \[372\]. The Commission is a nine‑member
panel appointed by the governor with eight members chosen from names
nominated by the speaker and minority leader of the House of
Representatives, and the president and minority leader of the Senate
(two from each list of six nominees) \[373\]. The governor appoints the
ninth member, who serves as the chair \[374\]. Of the nine members, no
more than five members may be from the same political party at any one
time \[375\], and no member may be a member of any county, state, or
national committee of a political party; be an officer in any partisan
political club or organization; hold or be a candidate for, any other
public office, or have held an elective public office, or office in a
political party within the year immediately preceding appointment
\[376\].

The Commission must investigate all violations of the campaign financing
laws, but only after having received either a sworn complaint or
information reported to it by the Division of Elections \[377\]. Any
person having information pertaining to such violation must file a sworn
complaint with the Commission which must state whether the same
complaint has been made to any state attorney \[378\]. Within five days
after receipt of a sworn complaint, the Commission must transmit a copy
of the complaint to the alleged violator \[379\]. The Division must, by
written report filed with the Commission, find an apparent violation or
no apparent violation of the law, and the Commission must make a
preliminary determination to consider the matter or refer it to the
state attorney for the judicial circuit in which the alleged violation
occurred \[380\]. Confidentiality of sworn complaints and proceedings is
provided for until a probable cause determination unless confidentiality
is waived in writing by the person against whom the complaint has been
filed \[381\]. However, a complainant is not bound by the
confidentiality provisions \[382\]. The Commission's jurisdiction has
been held to be adjudicatory, not investigatory, and thus specific
notice of alleged violations must be provided an alleged offender before
entry of an order relating to such violations \[383\].

The Commission must consider all matters reported to it by the Division
of Elections, or otherwise coming to its attention, and may issue
subpoenas and other necessary process to compel the appearance of
witness before it \[384\]. The chairman or any other Commission member
may administer all oaths and affirmations to witnesses, and the
Commission may also compel by subpoena the production of any books,
letters, or other documentary evidence it requires \[385\]. The county
sheriff is responsible for service and execution of all process or
orders \[386\]. Any person served with a hearing subpoena must also be
served with a general statement informing him or her of the subject
matter of the Commission's investigation or inquiry, and a notice that
he or she may be accompanied at the hearing by counsel of his or her
choosing \[387\]. Should any witness fail to respond to the lawful
subpoena, or having responded, fail to answer all lawful inquiries or to
turn over subpoenaed evidence, the Commission may file a complaint
before any circuit court of the state setting up such failure on the
part of the witness \[388\]. On the filing of such a complaint, the
court must take jurisdiction of the witness and the subject matter of
the complaint, and direct the witness to respond to all lawful questions
and to produce all documentary evidence in his or her possession which
is lawfully demanded \[389\]. Failure to comply with such an order
constitutes a direct and criminal contempt of court, and must be
punished accordingly \[390\].

At the conclusion of its hearings, the Commission immediately begins
deliberations, and determines by an affirmative vote of a majority of
the members present whether a violation has occurred \[391\]. The
determination must promptly be made public, and the order must contain a
finding of a violation or no violation, and the assessment of permitted
civil penalties, if any \[392\]. The Commission is authorized to impose
civil penalties of not more than \$1,000 per count for a violation
\[393\]. In determining the amount of the penalty, the Commission must
consider, among other mitigating and aggravating circumstances, the
gravity of the act or omission \[394\]; any previous history of similar
acts or omissions \[395\]; the appropriateness of the penalty to the
financial resources of the person, political committee, or committee of
continuous existence \[396\]; and whether the offender has shown good
faith in attempting to comply with the law \[397\]. Civil penalties are
to be deposited into the general revenue fund of the state \[398\].

Criminal proceedings for violations may be brought in the appropriate
court of competent jurisdiction, and must be advanced on the docket and
put ahead of all other actions \[399\]. Civil actions may be brought for
relief, including permanent or temporary injunctions, restraining
orders, or any other appropriate order for imposition of civil
penalties, in the appropriate court of competent jurisdiction in the
county in which the alleged violation occurred, or in which the alleged
violator or violators are found, reside, or transact business \[400\].
Upon a proper showing that a person or political committee has engaged,
or is about to engage, in prohibited acts or practices, a permanent or
temporary injunction, restraining order, or other order is to be granted
without bond by the court, and civil penalties imposed as permitted
\[401\]. Civil actions to temporarily enjoin the issuance of
certificates of election to successful candidates who have allegedly
violated the campaign financing provisions may be brought in the circuit
court for the circuit in which the officer before whom the candidate
qualified for office is located, and must issue upon a showing of
probable cause that such a violation has occurred \[402\]. All actions
for violations must be commenced by two years from the date of violation
\[403\].

**B. Supervisor of Elections.** The supervisor of elections in each
county serves as the filing officer for reports and statements of
certain candidates and political committees \[404\]. Any report required
to be filed with the supervisor that is incomplete will be accepted on a
conditional basis, and the supervisor must notify the campaign treasurer
by registered mail as to why the report is incomplete, affording the
treasurer three days from receipt of notice to file a complete addendum
\[405\]. In lieu of registered mail, the supervisor may notify the
campaign treasurer by telephone that the report is incomplete, and
request the information necessary to complete the report \[406\]. If,
however, the information is not received by the supervisor within three
days of the telephone request, notice must be sent by registered mail
\[407\].

**C. Department of Revenue.** If any person, political committee, or
committee of continuous existence fails or refuses to pay a required
civil penalty, the Department of Revenue is responsible for collecting
the civil penalties \[408\].

**D. State Attorney.** The state attorney is required to promptly and
thoroughly investigate a complaint referred by the Commission; to
undertake such criminal or civil actions as are justified by law; and to
report to the Commission the results of the investigation, the action
taken, and the disposition \[409\].

**E. Department of Insurance.** The Department of Insurance is required
to make available by electronic means a list of persons whose names are
filed with the department who are insurers, affiliates, or officers
subject to the campaign contribution ban \[410\].

# References

1\. The trust fund expired November 4, 1996

by operation of Fla. Const. Art. III, S. 19(f),

and was terminated effective November 4,

2000, but was then recreated effective

November 4, 2000 by 2000 Fla. Laws

ch. 94

2\. Florida Statutes Annotated (West)

(hereafter FSA) § 106.011(3)(a); *see,*

*Pasquale v. Fla. Elections Comm'n*, 759

So.2d 23 (Fla.Dist. Ct.App.4 2000)

3\. FSA § 106.011(3)(b)

4\. FSA § 106.011(3)(c)

5\. FSA § 106.011(3)(d)

6\. FSA § 106.011(3)(d)

7\. Opinion of the Division of Elections

(hereafter Op. DE) 78‑37, August 21,

1978; Op. DE 76‑10, August 2, 1976

8\. Op. DE 78‑12, February 27, 1978

9\. Division of Elections - Bureau of

Administrative Code Annotated

(hereafter FACA) § 1S-3.004(1)(a)

10\. FACA § 1S-3.004(1)(b)

11\. FACA § 1S-3.004(1)(c)

12\. FACA § 1S-3.004(2)

13\. FACA § 1S-3.004(2)(b)

14\. FACA § 1S-3.004(3)

15\. FSA § 106.021(1)(a)

16\. FSA § 106.021(5)

17\. FSA § 106.021(3)

18\. FSA § 106.04(1)

19\. Op. DE 78‑40, October 5, 1978

20\. Op. DE 82‑7, May 10, 1982

21\. FSA § 106.025(c)

22\. FSA § 106.055

23\. Op. Att'y Gen. No. 137, 1952

24\. Contributions deposited in a secondary

depository must be forwarded with a

copy of the bank deposit slip to the

primary depository by the end of the

first business day after the deposit

is made. FSA § 106.05.

25\. FSA § 106.05

26\. FSA § 106.05

27\. FSA § 106.08(5); *see,* Op. Att'y Gen.

76‑88, April 19, 1976; *The Florida Bar v.*

*Daryl James Brown*, No. SC96031 (S.Ct.

Fla. July 12, 2001) Corrected Opinion

*per Curiam*

28\. Op. DE 90-40, August 20, 1990; Op.

DE 90-41, August 27, 1990

29\. Op. DE 00-03, February 8, 2000

30\. FSA § 106.08(5); Division of Elections,

*2000 Candidate Handbook on Campaign*

*Financing* (hereafter *Candidate*

*Handbook*) at 18.

31\. FSA § 106.8(5); Op. DE 77‑27,

December 5, 1977; Candidate Handbook

at 18.

32\. Op. DE 83‑16, December 2, 1983

33\. FSA § 106.09(1)

34\. FSA § 105.071(6)

35\. FSA § 105.071(7)

36\. FSA § 105.071(8)

37\. FSA § 105.071(10)

38\. *In re The Florida Bar ‑ Code of Judicial*

*Conduct*, 643 So.2d 1037 (Fla. 1995)

(hereafter Canons); Canons 7(A)(1)(e);

7(C)(1); Judicial Ethics Advisory

Committee, *An Aid to Understanding*

*Canon 7: Guidelines to Assist*

*Judicial Candidates in Campaign and*

*Political Activities* (Sept. 1999)

(hereafter *Guidelines*) at 13. A judge

may maintain membership in an

organization that maintains a PAC

as long as the judge does not personally

participate in the solicitation of funds or

have the judge's name placed on the

letterhead or used in a solicitation letter,

Judicial Ethics Advisory Committee Op.

No. 98-31 (1998)

39\. FSA § 105.08; *see,* Code of Judicial

Conduct, 720 So.2d 1079 (Fla. 1978),

Commentary to Canon 7.

40\. Canons 7(C)(1)

41\. FSA § 105.09(1). The State, however, is

restrained from enforcement of this

provision, *Concerned Democrats v. Reno*,

458 F. Supp. 60 (1978).

42\. Canons 7(A)(3)(b)

43\. Judicial Ethics Advisory Committee Op.

No. 88-23 (1988)

44\. *Florida Senate Rules & Manual 1996 -*

*1998* as adopted November 19, 1996

and subsequently amended March 4,

1997 (hereafter *Senate Rules*), Part

Four---Rule 1.361

45\. *Florida House of Representatives*

*1996/1998 Rules* as adopted March 4,

1997 (hereafter *House Rules*), Part

IV---Rule 30(a)

46\. FSA § 106.08(3)(a); *see,* Op. DE

97-03, June 13, 1997; Op. DE 83‑10,

May 10, 1983; Op. DE 00-01, January 21,

2000

47\. FSA § 106.08(3)(b); Op. DE 78‑45,

October 31, 1978

48\. *House Rules*, Part III---Rule 26(b);

*Senate Rules*, Part IV---Rule 1.361

49\. *House Rules*, Part III---Rule 26(b);

*Senate Rules*, Part IV---Rule 1.361

50\. FSA § 110.233(2)

51\. FSA § 110.233(5)

52\. FSA § 104.31(1)(b)

53\. FSA § 106.082(3)

54\. FSA § 627.0623

55\. FSA § 655.019

56\. FSA § 106.08(1)(b)

57\. Op. DE 86‑15, September 8, 1986

58\. FSA § 106.08(1)(a). *See, Fla. Right to*

*Life, Inc. v. Mortham*, No. 98-770-

CIV-ORL-19A (M.D. Fla. Orlando Div.

Sept. 30, 1998) at 18.

59\. FSA § 106.08(1)(a)

60\. FSA § 106.08(1)(b)2

61\. FSA § 106.075(2)

62\. FSA § 106.08(2)(a); Op. DE 98-01,

February 12, 1998

63\. FSA § 106.08(2)(b)

64\. FSA § 106.08(2)(b)

65\. FSA § 106.071(3)

66\. FSA § 106.08(1)(c)

67\. FSA § 106.08(1)(c); Op. Att'y Gen. No.

74‑380, December 20, 1974

68\. FSA § 106.021(1)(a)

69\. FSA § 106.021(1)(a)

70\. FSA § 106.021(1)(a)

71\. FSA § 106.021(1)(a)

72\. Rules of the Florida Housing Finance

Authority (1991); FACA § 19A-6.004

73\. FSA § 106.082(1)

74\. FSA § 106.082(2). A candidate for

Commissioner of Agriculture, who had

previously withdrawn from the

gubernatorial race in the same election

cycle, could not be forced to return

campaign contributions received in his

campaign for governor from food outlets

or convenience stores to the extent those

contributions exceeded total of \$100 for

entire election year under the statutory

limit for Commissioner of Agriculture

campaign contributions, absent evidence

that any of the contributors to the

candidate's gubernatorial campaign met

those statutory requirements. *Smith v.*

*Crawford,* 645 So.2d 513, (Fla. Dist. Ct.

App. 1 1994)

75\. FSA § 106.082(3)

76\. FSA § 627.0623

77\. FSA § 655.019

78\. FSA § 240.299(4)

79\. FSA § 240.331(4)(d)

80\. FSA § 240.3315(4)(c)

81\. FSA § 106.15(4)

82\. FSA § 106.15(4)

83\. FSA § 106.025(1)(a)

84\. FSA § 106.08(3)(c)

85\. FSA § 106.08(6)

86\. FSA § 106.011(4)

87\. Op. Att'y Gen. No. 74‑252, August 28,

1974

88\. FSA 106.0114); Op. Att'y Gen. No.

74‑252, August 28, 1974

89\. FSA § 106.011(5)(a)

90\. FSA § 106.011(5)(a)

91\. FSA § 106.011(5)(b)1

92\. FSA § 106.011(5)(b)2.

93\. FSA § 106.011(5)(b)3.

94\. FSA § 106.011(5)(b)4.

95\. FSA § 106.011(5)(b)5.a.

96\. FSA § 106.011(5)(b)5.b.

97\. FSA § 106.011(5)(b)6.

98\. FSA § 106.011(5)(b)7

99\. FSA § 106.021(1)(a), (c)

100\. FSA § 106.021(3)

101\. FSA § 106.021(3)

102\. Op. DE 83‑8, May 2, 1983

103\. FSA § 106.071(1); Op. DE 98-04,

April 2, 1998; Op. DE 98-05, April

13, 1998

104\. FSA § 106.11(1)

105\. FSA § 106.11(1)(a)

106\. FSA § 106.11(1)(b)

107\. FSA § 106.11(1)(c)

108\. FSA § 106.11(1)(d)

109\. FSA § 106.11(1)(e)

110\. FSA § 106.11(1)(f)

111\. FSA § 106.11(2)

112\. FSA § 106.11(3); *Johnson v. Harris*,

188 So.2d 888 (Dist. Ct. App. 1966)

(practice of incurring campaign

expenses in excess of unobligated

balance remaining in campaign

treasury should be avoided)

113\. FSA § 106.11(3)

114\. FSA § 106.11(4)(a)

115\. FSA § 106.11(4)(b)

116\. FSA § 106.11(4)(c)

117\. FSA § 106.12(1)

118\. FSA § 106.12(2)

119\. FSA § 106.12(3)

120\. FSA § 106.12(3)

121\. FSA § 106.125; Memorandum from

Dorothy W. Joyce, Director of Division

of Elections, Department of State, to All

Statewide Candidates, February 4, 1994;

Op. DE 00-03, February 8, 2000

122\. FSA § 106.125(6)

123\. FSA § 106.125(1)

124\. FSA § 106.125(2); Op. DE 82‑8, May

24, 1982

125\. FSA § 106.125(4)

126\. FSA § 106.125(3)

127\. FSA § 106.125(5)

128\. Op. DE 77‑19, August 23, 1977

129\. FSA § 106.07(8)(b)

130\. FSA §§ 106.14(1), (2)

131\. FSA § 106.1405

132\. Canons 7(C)(1)

133\. *Guidelines* at 14

134\. FSA § 106.15(1)

135\. FSA § 106.15(2)

136\. FSA § 106.15(2)

137\. FSA § 106.15(2)

138\. FSA § 106.15(3)

139\. FSA § 106.08(3)

140\. FSA § 106.04(5)

141\. FSA § 106.04(5); *see,* *Falzone v. State*,

500 So.2d 1337 (Fla. 1987)

142\. Op. DE 98-07,May 11, 1998

143\. FSA § 106.085(1); this provision was

found to be unconstitutional and the

State was enjoined from its enforcement

in *Fla. Right to Life , Inc. v. Mortham*,

No. 98-770-CIV-ORL-19A (M.D. Fla.

Orlando Div. Sept. 30, 1998)

144\. FSA § 106.085(1); this provision was

found to be unconstitutional and the

State was enjoined from its enforcement

in *Fla. Right to Life , Inc. v. Mortham*,

No. 98-770-CIV-ORL-19A (M.D. Fla.

Orlando Div. Sept. 30, 1998)

145\. FSA §§ 106.085(2)(a), (b); *see also,* FSA

§ 106.143(4) on disclaimers. The

underlying provision was found to be

unconstitutional and the State was

enjoined from its enforcement in *Fla.*

*Right to Life , Inc. v. Mortham*, No. 98-

770-CIV-ORL-19A (M.D. Fla. Orlando

Div. Sept. 30, 1998)

146\. FSA § 106.085(2)(c). The law specifies

that "the number of intended recipients"

be provided. Presumably, but not

definitively, this would mean the total

number of those to be called, and not

the telephone numbers of each. The

underlying provision was found to be

unconstitutional and the State was

enjoined from its enforcement in *Fla.*

*Right to Life , Inc. v. Mortham*, No.

98-770-CIV-ORL-19A (M.D. Fla.

Orlando Div. Sept. 30, 1998)

147\. FSA § 106.087(1)

148\. FSA § 106.03(1)

149\. Op. DE 88‑01, January 8, 1988

150\. FSA § 106.03(2)(a)

151\. FSA § 106.03(2)(b)

152\. FSA § 106.03(2)(c)

153\. FSA § 106.03(2)(d)

154\. FSA § 106.03(2)(e)

155\. FSA § 106.03(2)(f)1.

156\. FSA § 106.03(2)(f)2.

157\. FSA § 106.03(2)(g)

158\. FSA § 106.03(2)(h)

159\. FSA § 106.03(2)(i)

160\. FSA § 106.03(2)(j)

161\. FSA § 106.03(2)(k)

162\. FSA § 106.03(2)(l)

163\. FSA § 106.03(3)(a)

164\. FSA §§ 106.03(3)(b), (c)

165\. FSA §§ 100.361(7); 106.03(1)

166\. Op. DE 81‑6, November 19, 1981

167\. Op. DE 81‑6, November 19, 1981

168\. Op. DE 81‑6, November 19, 1981

169\. FSA § 106.03(5)

170\. FSA § 106.04(4)(a)

171\. FSA § 106.04(4)(a)

172\. FSA § 106.04(4)(b)1.

173\. FSA § 106.04(4)(c)1.

174\. FSA § 106.04(4)(c)1.

175\. FSA § 106.04(4)(c)1.

176\. FSA § 106.04(4)(c)1.

177\. FSA § 106.04(4)(c)2.

178\. FSA § 106.04(4)(c)3.

179\. FSA § 106.04(4)(c)4.

180\. FSA § 106.04(4)(d)

181\. FSA § 106.07(1)

182\. FSA § 106.07(1)(a)

183\. FSA § 106.07(1)(a)

184\. FSA § 106.07(1)(a)

185\. FSA § 106.07(1)(b). Reports may be filed

by electronic transmission, and must also

be filed in hard copy. FACA § 1S-

2.017(5)(a). Electronic filings may

be transmitted to the Division via modem

or on disk, FACA § 1S-2.017(7)(a), but

the format must be preapproved. FACA

§ 1S-2.017(7)(b).

186\. FSA § 106.07(2)(a)

187\. FSA § 106.07(2)(a); *see,* FACA §

2B-1.0052 (2), (3)

188\. FACA § 2B-10055; *Prieguez v. Fla.*

*Elections Comm'n*, 745 So.2d 508

(Fla.Dist. Ct.App.3 1999)

189\. FSA § 106.07(2)(a)

190\. FSA § 106.07(2)(a)

191\. FSA § 106.07(3)

192\. FSA § 106.07(5)

193\. FSA § 106.07(l)(c)

194\. FSA § 106.07(4)(a)1. For more on

this and the following subsections, *see,*

*McArthur v. Smith*, 716 F.Supp. 592

(S.D. Fla. 1989) (First Amendment

allows nondisclosure by Socialist Party

in nonpartisan mayoral election)

195\. FSA § 106.07(4)(a)1.

196\. FSA § 106.07(4)(a)2.

197\. FSA § 106.07(4)(a)3.

198\. FSA § 106.07(4)(a)4.

199\. FSA § 106.07(4)(a)5.

200\. FSA § 106.07(4)(a)6.

201\. FSA § 106.07(4)(a)7.

202\. FSA § 106.07(4)(a)8.

203\. FSA § 106.07(4)(a)9.

204\. FSA § 106.07(4)(a)10.

205\. FSA § 106.07(4)(a)11.

206\. FSA § 106.07(4)(a)12.

207\. FSA § 106.07(7); *see,* *PAC for Equality*

*v. Dep't of State*, 542 So.2d 459 (Fla.

Dist. Ct. App. 2 1989) (no report need

be filed when no funds received or

expended).

208\. FSA § 106.07(7)

209\. FSA § 105.08(2)

210\. FSA § 105.08(2)

211\. FSA § 106.141(7)(a)

212\. FSA § 106.141(7)(b)

213\. FSA § 106.141(7)(c)

214\. FSA § 106.141(7)

215\. FSA § 106.141(8)

216\. FSA § 106.141(8)

217\. FSA § 106.141(8)

218\. Office of the Secretary of State, FACA §1S.017(4);

Division of Elections,

*2000 Handbook for Committees* at 23

219\. FACA § 1S-2.017(4); Division of

Elections, *2000 Handbook for*

*Committees* at 28

220\. FSA § 106.071(1)

221\. FSA § 106.144(1); this provision was

found to be unconstitutional and the

State was enjoined from its enforcement

in *Fla. Right to Life, Inc. v. Mortham*,

No. 98-770-CIV-ORL-19A (M.D. Fla.

Orlando Div. Sept. 30, 1998)

222\. FSA § 106.144(1)(a). The underlying

provision was found to be unconstitutional

and the State was enjoined from its

enforcement in *Fla. Right to Life, Inc.*

*v. Mortham*, No. 98-770-CIV-ORL-19A

(M.D. Fla. Orlando Div. Sept. 30, 1998)

223\. FSA § 106.144(1)(b). The underlying

provision was found to be unconstitutional

and the State was enjoined from its

enforcement in *Fla. Right to Life, Inc.*

*v. Mortham*, No. 98-770-CIV-ORL-19A

(M.D. Fla. Orlando Div. Sept. 30, 1998)

224\. FSA § 106.144(1)(c). The underlying

provision was found to be unconstitutional

and the State was enjoined from its

enforcement in *Fla. Right to Life, Inc.*

*v. Mortham*, No. 98-770-CIV-ORL-19A

(M.D. Fla. Orlando Div. Sept. 30, 1998)

225\. FSA § 106.144(1)(d). The underlying

provision was found to be unconstitutional

and the State was enjoined from its

enforcement in *Fla. Right to Life, Inc.*

*v. Mortham*, No. 98-770-CIV-ORL-19A

(M.D. Fla. Orlando Div. Sept. 30, 1998)

226\. FSA § 106.144(1)(e). The underlying

provision was found to be unconstitutional

and the State was enjoined from its

enforcement in *Fla. Right to Life, Inc.*

*v. Mortham*, No. 98-770-CIV-ORL-19A

(M.D. Fla. Orlando Div. Sept. 30, 1998)

227\. FSA § 106.29(1)

228\. FSA § 106.029(1)

229\. FSA § 106.29(1)

230\. FSA § 106.075(1)

231\. FSA § 106.30, *et seq.*; *see*, *Chiles v. Dep't of State,*

*Div. of Elections*, 711 So.2d 151

(Fla.App. 1 Dist. 1998) (dissolution of

trust fund did not suspend public

financing).

232\. FSA § 106.33

233\. FSA § 106.33

234\. FSA § 106.32(2). The use of candidate

filing fees under FSA §§ 99.061(1),

99.092(1), and 99.103(1), (2) for such

purposes was upheld in *Boudreau v.*

*Winchester*, 642 So.2d 1 (Fla. Dist. Ct.

App. 4 1994)), *reh. and reh. en banc*

*denied* (1994).

235\. FSA §§ 106.353(2); 106.36

236\. FSA § 106.141(4)(a)4.a.

237\. FSA § 199.052(14)

238\. FSA § 320.02(13)

239\. FSA § 322.08(6)(a)

240\. FSA § 328.72(11)

241\. FSA § 607.1622(1)(h)

242\. FSA § 106.32(1); *see also, Republican*

*Party of Florida v. Smith,* 638 So.2d 26

(Fla. 1994) (specific amount not needed

to be specified).

243\. FSA § 106.33(2)(a)1.; Candidate for

governor is eligible for public

financing under the Florida Elections

Campaign Financing Act if the candidate

raises \$150,000 in contributions,

excluding loans or contributions from

the candidate's personal funds and

contributions from political parties.

*Connor v. Division of Elections,* 643

So.2d 75 (Fla. Dist. Ct. App. 1 1994)

244\. FSA § 106.33(2)(a)2.

245\. FSA § 106.33(1)

246\. FSA § 106.33(3); Op. DE 98-01,

February 12, 1998

247\. FSA § 106.35(2)(b)

248\. FSA § 106.35(2)(b)

249\. FSA § 106.35(2)(b)

250\. FSA § 106.33(2)(b). For purposes of the

threshold contributions, any person who is

validly registered to vote in this Florida is

considered to be a state resident.

251\. FSA § 106.35(1)

252\. FSA § 106.35(1)

253\. FSA § 106.35(2)(a)2.

254\. FSA § 106.35(2)(a)1.; contributions to

a candidate for governor which are

eligible for 2:1 matching under Florida

Elections Campaign Financing Act are

not limited to qualified matching

contribution included in initial \$150,000

needed to be eligible for public

financing. *Connor v. Division of*

*Elections,* 643 So.2d 75 (Fla. Dist. Ct.

App. 1 1994).

255\. FSA § 106.35(4)

256\. FSA § 106.35(5)

257\. FSA § 106.34(1)(a)

258\. FSA § 106.34(1)(b)

259\. FSA § 106.34(2)

260\. FSA § 106.34(3)

261\. FSA § 106.34(4)

262\. FSA § 106.353(1)

263\. FSA § 106.353(2)

264\. FSA § 106.355

265\. FSA § 106.355

266\. FSA § 106.35(3)(b)

267\. FSA § 199.052(14)

268\. FSA § 106.06(3)

269\. Op. DE 78‑47, November 3, 1978

270\. Op. DE 78‑28, July 25, 1978

271\. FSA § 106.141(1); *But see*, *Smith v.*

*Crawford,* 645 So.2d 513 (Fla. Dist. Ct.

App. 1 1994) (a candidate for a particular

office may withdraw from that race and

enter a race for newly designated office

regardless of receipt of funds from the

Election Campaign Financing Trust

Fund, and campaign funds received in

connection with the first campaign,

whether private contributions or funds

received from the Fund, and expenditures

in the first campaign, must be kept

separate and accounted for independently

of contributions and expenditures in the

second campaign)

272\. FSA § 106.141(1)

273\. FSA § 106.141(1)

274\. FSA § 106.141(2)

275\. FSA § 106.141(2)

276\. FSA § 106.141(3)

277\. FSA § 106.141(3)

278\. FSA § 106.141(4)(a)(1)

279\. FSA § 106.141(4)(a)(2)

280\. FSA § 106.141(4)(a)(3)

281\. FSA § 106.141(4)(a)(4)(a)

282\. FSA § 106.141(4)(a)(4)(b)

283\. FSA § 106.141(5)(a)

284\. FSA § 106.141(5)(b)

285\. FSA § 106.141(5)(c)

286\. FSA § 106.141(5)(d)

287\. FSA § 106.141(5)(e)

288\. FSA § 106.141(5)(f)

289\. FSA § 106.141(5)(g)

290\. FSA § 106.141(6)

291\. FSA § 106.19(1). Scienter is a

requirement. *Johnson v. Harris*, 188

So.2d 888 (Fla. Dist. Ct. App. 1966).

292\. FSA § 106.19(1)(a)

293\. FSA § 106.19(1)(b)

294\. FSA § 106.19(1)(c)

295\. FSA § 106.19(1)(d)

296\. FSA § 106.19(1)(a)

297\. FSA § 106.07(5)

298\. *State v. Zimmerman*, 370 So.2d 1179

(Dist. Ct. App. 1979)

299\. FSA § 106.19(2)

300\. FSA §§ 106.04(8)(a); 106.07(9)(b); *see*

*also, Kahn v. Fla. Elections Comm'n*,

782 So.2d 1170 (Fla.Dist. Ct.App.3 2001)

301\. FSA §§ 106.04(8)(a); 106.07(9)(b)

302\. FSA § 106.04(8)(b)(1)

303\. FSA § 106.04(8)(b)(2)

304\. FSA § 106.04(8)(b)(3)

305\. FSA § 106.04(8)(b)(4)

306\. FSA § 106.07(8)(b)

307\. FSA § 106.07(8)(b)

308\. FSA § 106.29(3)(b). Op. DE 98-10,

June 12, 1998, provides that automatic

fines are not based on non-Florida

activity conducted outside the state.

309\. FSA § 106.29(3)(b)

310\. FSA § 106.36

311\. FSA § 106.353(2)

312\. FSA § 106.353(2)

313\. FSA § 106.18(1)

314\. FSA § 106.18(2)

315\. FSA § 106.18(2)

316\. FSA § 106.21(1)

317\. FSA § 106.21(2)

318\. FSA § 106.18(3)

319\. FSA § 106.025(1)(d)

320\. FSA § 106.071(2)

321\. FSA § 106.08(1)(a)

322\. FSA § 106.08(5)

323\. FSA § 106.08(5)

324\. FSA § 106.08(7)(a)

325\. FSA § 106.08(7)(a)

326\. FSA § 106.08(7)(b)

327\. FSA § 106.08(7)(a)

328\. FSA § 106.08(7)(b)

329\. FSA § 106.08(7)(a)

330\. FSA § 106.08(6)

331\. FSA § 106.08(7)(b)

332\. FSA § 106.08(8). This provision is

mandatory. *Ferre v. State ex rel Reno*,

478 So.2d 1077 (Fla. Dist. Ct. App. 3

1985), *approved*, 494 So.2d 214 (1985),

*cert. denied*, 481 U.S. 1037, 107 S.Ct.

1973, 95 L.Ed.2d 814 (1986).

333\. FSA § 106.09(2)

334\. FSA § 106.082(4)

335\. FSA § 627.0623

336\. FSA § 655.019

337\. FSA § 106.141(9)

338\. FSA § 106.141(10)

339\. FSA § § 106.144(2); 106.265(1);

*see,* FSA § 106.144(3); *McArthur v.*

*Smith*, 716 F.Supp. 592 (S.D. Fla. 1989)

340\. FSA § 106.15(1)

341\. FSA § 106.15(2)

342\. FSA § 106.15(3)

343\. FSA § 106.15(4)

344\. FSA § 106.15(5)

345\. FSA § 106.085(3)

346\. *Goff v. Ehrlich*, 776 So.2d 1011

(Fla. Dist. Ct. App.5 2001)

347\. FSA § 106.22(1)

348\. FSA § 106.22(2)

349\. FSA § 106.22(3)

350\. FSA § 106.22(4)

351\. FSA § 106.22(5)

352\. FSA § 106.22(6)

353\. FSA § 106.22(7)

354\. FSA § 106.22(12)

355\. FSA § 106.22(8)

356\. FSA § 106.22(9)

357\. FSA § 106.22(10)

358\. FACA § 1S2.021

359\. FSA § 106.07(2)(b)1.

360\. FSA § 106.07(2)(b)2.

361\. FSA § 106.07(2)(b)2.

362\. FSA § 106.23(2)

363\. FSA § 106.23(2)

364\. FSA § 106.23(2)

365\. FSA § 106.23(2); FACA § 1S-6.

366\. FSA § 106.23(1)

367\. FSA § 106.23(1)

368\. FSA § 106.23(1)

369\. FSA § 106.23(1)

370\. FSA § 106.23(1)

371\. FSA § 106.23(1)

372\. FSA § 106.24(1)(a)

373\. FSA § 106.24(1)(b)

374\. FSA § 106.24(1)(b)

375\. FSA § 106.24(1)(e)

376\. FSA § 106.24(2)

377\. FSA § 106.25(2); *see also,* FACA

§ 2B-1.0025

378\. FSA § 106.25(2); FACA § 1D-1.0025.

While sanctions exist for technical

violations of the campaign financing

laws, those sanctions are not designed to

be imposed by a civil cause of action by

an unsuccessful candidate. *Smith v.*

*Tynes*, 412 So.2d 925 (Fla. Dist.

Ct. App. 1982)

379\. FSA § 106.25(2)

380\. FSA § 106.25(6)

381\. FSA § 106.25(7)

382\. FSA § 106.25(7)(c)

383\. *Zimmerman v. Florida Elections*

*Commission*, 373 So.2d 58 (Fla. Dist.

Ct. App. 1979)

384\. FSA § 106.26(1)

385\. FSA § 106.26(1)

386\. FSA § 106.26(1)

387\. FSA § 106.26(1)

388\. FSA § 106.26(1)

389\. FSA § 106.26(1)

390\. FSA § 106.26(1)

391\. FSA § 106.26(11)

392\. FSA § 106.26(11); *Republican Party of*

*Dade County v. Florida Elections*

*Comm'n*, 607 So.2d 507 (Fla. Dist. Ct.

App. 3 1992) (Comm'n has power to

correct undisputed ministerial error in

calculating fine for late report filing).

393\. FSA § 106.265(1); *see,* *McArthur v.*

*Smith*, 716 F.Supp. 592 (S.D. Fla.

1989); Op. DE 00-04, March 23, 2000

394\. FSA § 106.265(1)(a)

395\. FSA § 106.265(1)(b)

396\. FSA § 106.265(1)(c)

397\. FSA § 106.265(1)(a)

398\. FSA § 106.265(3)

399\. FSA § 106.27(1)

400\. FSA § 106.27(2)

401\. FSA § 106.27(2)

402\. FSA § 106.27(3)

403\. FSA § 106.28

404\. FSA § 106.07

405\. FSA § 106.07(2)(a)

406\. FSA § 106.07(2)(b)1.

407\. FSA § 106.07(2)(b)2.

408\. FSA § 106.265(2)

409\. FSA § 106.25(6)

410\. FSA § 627.0623

**CAMPAIGN FINANCE LAW**

**IN GEORGIA**

**I. INTRODUCTION**

Georgia requires candidates and individuals, corporations, partnerships,
labor organizations, or associations accepting or making contributions
or making expenditures on behalf of a candidate, to file information on
all contributions and expenditures. Reports must be made twice before
and once after any primary, and once before a general election (or twice
if there is a run‑off election). A year‑end report is required in an
election year, as is an annual supplemental report for winning
candidates with additional contributions or expenditures since the
post‑election report. Contributions are limited to an aggregate of
\$5,000 per statewide elected office candidate per election year and
\$1,000 per non-election year; candidates for other offices are limited
to \$2,000 per election year and \$1,000 per non-election year.
Contributions by regulated industries to those who regulate them are
generally prohibited. Anonymous contributions are prohibited.
Contributions may not be made to statewide office candidates and members
of the general assembly during legislative sessions. Georgia offers no
tax incentives for political contributions nor a mechanism for public
financing of election campaigns. The State Ethics Commission is
responsible for overseeing the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution includes a gift,
subscription, membership, loan, forgiveness of debt, advance or deposit
of money, or anything of value conveyed or transferred for the purpose
of influencing the nomination or election of any person for office, the
recall of a public official holding elective office; or the influencing
of voter approval or rejection of a proposed constitutional amendment or
referendum, including a candidate's personal funds used to finance his
or her campaign \[1\]. A contribution also includes any other form of
payment made to candidates for office or officeholders, when the
compensation or fees can be reasonably construed as a campaign
contribution designed to encourage or influence the candidate or
officeholder \[2\]. A social function sponsored by a political action
committee may constitute a reportable contribution under the campaign
finance laws, depending upon its purpose \[3\]. A transaction in which a
qualifying fee required of the candidate is furnished or paid for by
anyone other than the candidate is also a contribution \[4\].

A contribution does not include the value of personal services performed
by persons who serve without compensation from any sources and on a
voluntary basis \[5\].

**B. Limitations on Nature of Contributions.** No contributions may be
accepted by or on behalf of a campaign committee when there is a vacancy
in the office of chairman or treasurer, the names and addresses of which
are to be filed with the secretary of state \[6\]. A candidate or a
campaign committee cannot accept contributions without filing a
declaration of intention to accept campaign contributions \[7\].

Corporate contributions are permitted, subject to limits \[8\]. Separate
contributions of less than \$101 knowingly received from members of the
same family, firm, or partnership or employees of the same person are to
be aggregated annually for reporting purposes \[9\]. All contributions
designed to influence a nomination, election, or recall are to be made
directly to a candidate or committee organized under the law for that
purpose \[10\].

All contributions must be deposited in a separate depository not more
than five business days after the date of receiving the contribution
\[11\]. Anonymous contributions of any amount are not permitted to be
made or accepted and, if received by a candidate or campaign committee,
must be transmitted to the director of the fiscal division of the
department of administrative services for deposit in the state treasury
\[12\]. The candidate or campaign committee must also report the
contribution and transmittal to the State Ethics Commission \[13\].

A Georgia Department of Public Safety employee may not, either directly
or indirectly, contribute any money or any other thing of value to any
person, organization, or committee for political campaign or election in
county or state primaries or general elections \[14\].

**C. Limitations on Amounts of Contributions.** A person, corporation,
political committee, or political party may not make, and no candidate
or campaign committee may receive from any such entity, contributions to
any candidate for statewide elected office which in the aggregate for an
election cycle \[15\] exceed \$5,000 for a primary election \[16\];
\$3,000 for a primary run‑off election \[17\]; \$5,000 for a general
election \[18\]; and \$3,000 for a general election runoff \[19\].

A person, corporation, political committee, or political party may not
make, and no candidate or campaign committee may receive from any such
entity, contributions to any candidate for the General Assembly or
public office other than statewide elected office which in the aggregate
for an election cycle exceed \$2,000 for a primary election \[20\];
\$1,000 for a primary run‑off election \[21\]; \$2,000 for a general
election \[22\]; and \$1,000 for a general election runoff \[23\].

Party limits are not subject to contributions or expenditures made by a
party in support of a party ticket or a group of named candidates
\[24\]. A contribution by a partnership is deemed to have been made pro
rata by the partners as individuals for purposes of this limitation, but
at the direction of the partnership, the contribution may be allocated
in any proportion among the partners, including to one or some, but not
all, as indicated on the face of any instrument constituting the
contribution or on an accompanying document referencing the instrument
\[25\].

The total dollar limits for contributions which may be given to any
individual candidate within a calendar year apply regardless of the
number of campaign committees a person may have in existence, or their
purpose \[26\].

Expenditures made independently of a candidate, including expenditures
in favor of or in opposition to a candidate, are not subject to the
contribution limits \[27\].

The individual contribution limits do not apply to loans or
contributions from the candidate or the candidate's immediate family,
which includes the candidate's spouse or the candidate's children
\[28\].

**D. Prohibitions on Contributions During Legislative Sessions.** A
member of the general assembly or a public officer elected statewide,
and the campaign committee for a member of the general assembly or a
public officer elected statewide is not permitted to accept a
contribution during a legislative session \[29\]. The prohibition does
not apply to the receipt of a contribution which is returned with
reasonable promptness to the donor or donor's agent \[30\], or the
receipt and acceptance during a legislative session of a contribution
consisting of proceeds from a dinner, luncheon, rally, or similar
fundraising event held prior to the legislative session \[31\].

**E. Prohibitions on Contributions by Certain Regulated Industries.**
Any person acting on behalf of a public utility corporation that is
regulated by the public service Commission \[32\], except a private
carrier \[33\], is not permitted to directly or indirectly contribute to
a political campaign, and any other regulated entity, and any person or
political action committee acting on their behalf, is prohibited from
making a contribution to a candidate for the office of elected executive
officer regulating such an entity \[34\], and the candidate is
prohibited from accepting such contributions \[35\]. An employee of such
a regulated entity may contribute to the campaign of the office of chief
executive officer regulating that entity from the employee's own
personal funds, and may solicit contributions for such campaigns from
third parties and fellow employees as long as no coercion is used in
making the solicitations \[36\]. Solicitations by full-time lobbyists
employed by such regulated entities may, however, be construed as
contributions by their employers \[37\].

**F. Prohibitions on Contributions by Public Agencies.** A public agency
and any person acting on behalf of a public agency may not make a
contribution to a campaign committee, political action committee, or
political organization, either directly or indirectly \[38\], and a
campaign committee, political action committee, or political
organization is prohibited from accepting such a contribution \[39\].

**G. Special Restrictions for Judges and Judicial Candidates.** A judge
or candidate for judge \[40\] may not solicit funds for, pay an
assessment to, or make a contribution to a political organization, nor
may a judge or candidate for judge purchase tickets for political party
dinners or other functions \[41\], except judges and candidates for
elected judgeships in competing elections may attend such functions
\[42\].

A judge or candidate for judge may not solicit campaign funds or
publicly solicit funds, nor may a judge or candidate for judge be
present at a function while solicitations of campaign funds are made on
the behalf of the judge or candidate \[43\]. A judge or candidate for
judge may, however, establish a committee to solicit "reasonable"
campaign contributions, which may not be used for their own benefit or
that of their family \[44\].

A judge is prohibited from doing, through his or her employees, what is
personally prohibited \[45\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure includes a purchase,
payment, distribution, loan, advance, deposit, or gift of money or
anything of value made for the purpose of influencing the nomination for
election, or election of any person; the recall or opposition to the
recall of a public official holding elective office; or the influencing
of voter approval or rejection of a proposed constitutional amendment or
statewide referendum; and the payment of a qualifying fee for or in
behalf of a candidate \[46\].

An expenditure does not include the value of personal services performed
by persons who serve without compensation from any source and on a
voluntary basis \[47\].

**B. Prohibitions on Nature of Expenditures.** Contributions \[48\] and
interest on contributions are not considered to be personal assets of a
candidate or elective official, and presumably cannot be applied to
their personal use \[49\]. Contributions may only be expended to defray
ordinary and necessary expenses incurred in connection with a campaign
for elective office or officeholder expenses \[50\], or in connection
with a referendum or recall campaign \[51\].

**IV. REPORTING REQUIREMENTS**

**A. General Requirements.** All candidates for state, county, and
municipal office and their campaign committees, and committees formed to
bring about the recall of a public officer or to approve or reject a
ballot question, are required to file campaign financial disclosure
reports \[52\], except candidates for soil and water conservation
district supervisors \[53\].

Candidates for any office except county and municipal offices, and
chairs or treasurers of committees designed to promote or reject local
ballot questions or bring about the recall of any public officer file
their report with the secretary of state \[54\]. Candidates for the
general assembly file their reports with the election superintendent of
the county of the candidate's residence, and must file a copy of the
report with the secretary of state \[55\]. Candidates for county offices
file their reports with the superintendent of elections in the county of
the election \[56\]. Candidates for municipal office \[57\], and
committees supporting or opposing municipal referenda exceeding the
threshold are required to file reports with the municipal clerk in the
municipality of the election or, if there is no clerk, with the chief
executive officer of the municipality \[58\].

Any individual, partnership, committee, association, corporation, labor
organization, or any other organization or group of persons who accepts
contributions for, makes contributions to, or makes expenditures on
behalf of candidates, is subject to the same filing requirements as
candidates and their committees, except that contributions from
individuals made directly to a candidate or his or her campaign
committee, and contributions aggregating \$500 or less, or contributions
of any amount made to only one candidate do not require separate
reporting, and filing with the local election superintendents is waived
\[59\]. The \$500 threshold is for each particular election, regardless
of how many candidates are involved, or how many years the spending
period encompasses \[60\]. Out‑of‑state organizations and political
action committees are required to file reports if contributions are made
to candidates for state or local office in Georgia \[61\].

Expenditures made independently of a candidate, including expenditures
in favor of or in opposition to a candidate, are not subject to the
registration and reporting requirements \[62\].

Reports must include information on the name, mailing address,
occupation and employer, the amount of the contribution, and the date of
receipt of the contribution from any person contributing \$101 or more
\[63\]. This figure includes the purchase of tickets for fundraising
events \[64\]. Information on contributions of more than \$101 or more
must also include the business, occupation, or place of employment of
the contributor, in addition to the contribution amount and the
contributor's name and mailing address \[65\]. Contributions of \$101 or
more must also include the corporate, labor union, or other affiliation
of the political action committee \[66\]. Loans, advances, and
extensions of credit which are contributions are to be reported, along
with the name of the lender, and the names, addresses, occupations, and
places of employment of all persons having any liability for repayment
of the loan, advance, or credit extension \[67\]. If any of these
persons have a fiduciary relationship to the lending institution or the
party making the advance or extension of credit, the report is required
to so specify \[68\]. Expenditures of \$101 or more must be reported,
along with information on the name, mailing address, and occupation or
place of employment of the payee, and the amount and general purpose of
the expenditure \[69\].

Campaign committees accepting contributions or making expenditures
designed to bring about the nomination of a candidate, or have filed a
declaration of intention to accept campaign contributions must file
disclosure reports in each non-election year on June 30 and December 31
\[70\]; in each year in which the candidate qualifies to run for public
office on March 31, June 30, September 30, October 25, and December 31
\[71\] and then six days before any run‑off primary or election in which
the candidate is listed on the ballot \[72\]. During the period of time
between the last report due prior to the date of any statewide primary
or statewide election for which the candidate is qualified and the date
of such primary or election, all contributions of \$1,000 or more must
be reported within 48 hours of receipt to the location where the
original disclosure report for such candidate or committee was filed,
and also reported on the next succeeding regularly scheduled campaign
contribution disclosure report \[73\].

If the candidate is candidate in a special primary or special primary
runoff, a report is due 15 days prior to the special primary and six
days prior to the special primary runoff \[74\]; and if the candidate is
candidate in a special election or special election runoff, a report is
due 15 days prior to the special election and six days prior to the
special election runoff \[75\].

Candidates in either the primary or general election, who are both
unopposed and receive no contributions of \$101 or more, file only the
initial and final reports \[76\].

All persons or entities required to file reports are entitled to a
five-day grace period in filing (except run‑off candidates, who are
afforded a two-day grace period), and no grace period applies to
contributions required to be reported within 48 hours \[77\]. The
mailing of reports by U.S. mail with adequate postage affixed, within
the required filing time as determined by the official postage date
cancellation, is prima‑facie evidence of filing but reports required to
be filed within 48 hours of a contribution must also be reported by
facsimile, electronic transmission, or otherwise within those 48 hours
to the location where the original disclosure report for such candidate
or committee was filed \[78\]. A report or statement required to be
filed other than a report of contributions required to be reported
within 48 hours must be verified by the oath or affirmation of the
person filing such report or statement taken before an officer
authorized to administer oaths. \[79\].

All reports must be cumulative, must be sworn to by the filer, and list
contributions and expenditures received through the date of that report
\[80\].

Committees seeking recalls of public officials are to file their initial
report within 15 days after the date when the official recall petition
forms are issued to the sponsors \[81\]; with a second report filed 45
days after the filling of the initial report \[82\]; a third report
filed within 15 days after the expiration date for acquiring signatures
on the recall petition \[83\]; and a final report filed before December
31st of the year in which the recall election is held \[84\]. Incumbent
public officials seeking to counter a recall are subject to reporting
provisions \[85\].

Committees accepting contributions or making expenditures designed to
bring about the approval or rejection of ballot questions are to file a
disclosure report 15 days before the election, and by December 31st of
the year in which the election is held \[86\].

Independent committees must also register and file reports. An
independent committee is any committee, club, association, partnership,
corporation, labor union, or other group of persons, other than a
campaign committee, political party, or political action committee,
which receives donations during a calendar year from persons who are
members or supporters of the committee, and which expends such funds
either for the purpose of affecting the outcome of an election for any
elected office or to advocate the election or defeat of an particular
candidate \[87\]. Reports must be filed with the secretary of state
\[88\].

Any person who makes contributions to, accepts contributions for, or
makes expenditures on behalf of candidates, and any independent
committee, must file a registration with the secretary of state in the
same manner as is required of campaign committees prior to accepting or
making contributions or expenditures, with such persons, other than
independent committees, also required to file campaign contribution
disclosure reports in the same places and at the same times as required
of the candidates they are supporting \[89\]. Individuals making
aggregate contributions of \$25,000 or less directly to candidates or
the candidates' campaign committees in one calendar year \[90\]; and
persons other than individuals making aggregate contributions and
expenditures to or on behalf of candidates of \$5,000 or less in one
calendar year are exempt from the registration and reporting
requirements \[91\].

An independent committee which accepts contributions or makes
expenditures for the purpose of affecting the outcome of an election or
advocates the election or defeat of any candidate must file disclosure
reports with the Secretary of State on the first day of each of the two
calendar months preceding any such election \[92\]; two weeks prior to
the date of such election \[93\]; and within the two‑week period prior
to the date of such election the independent committee must report
within 48 hours any contributions or expenditure of more than \$1,000
\[94\]. The independent committee must also file a final report prior to
December 31 of the year in which the election is held and shall file
supplemental reports on June 30 and December 31 of each year that such
independent committee continues to accept contributions or make
expenditures \[95\].

Reports filed by independent committees must list the amount and date of
receipt, along with the name, mailing address, occupation, and employer
of any person making a contribution of \$101 or more \[96\]; the name,
mailing address, occupation, and employer of any person to whom an
expenditure or provision of goods or services of the value of \$101 or
more is made, and the amount, date, and general purpose thereof,
including the name of the candidate or candidates, if any, on behalf of
whom, or in support of or in opposition to whom, the expenditure or
provision was made \[97\]; and total expenditures for the applicable
reporting year \[98\].

A copy of the federal campaign finance report may not be filed in lieu
of the Georgia disclosure report; however, a copy of the federal report
may be attached to the state form in lieu of recopying contributions and
expenditures on the state form \[99\].

**B. Report of Financial Interests.** Every candidate for nomination or
election to a statewide office is required to file a disclosure of
financial interests report with the secretary of state containing
information on certain specified ownership interests \[100\].

**C. Special Report of Contributions by Applicant for Rezoning.** An
applicant for a rezoning action who, during the two years immediately
preceding that zoning application, has made a contribution of \$250 or
more to a local government official who will consider that application
must file a special report showing the name and official position of the
local governmental official to whom the contribution was made \[101\],
and the total dollar amount and description of each contribution
\[102\]. The report must be filed with the governing authority of the
local government within 10 days after the application for the rezoning
action is first filed \[103\]. An opponent of a rezoning action must
file the same type of report \[104\], and so at least five calendar days
prior to the first hearing by the local government or any of its
agencies on the rezoning application \[105\].

**D. Electronic Filing Requirements.** Beginning February 1, 2001,
candidates seeking election to constitutional offices, the Supreme
Court, the Court of Appeals, and the Public Service Commission must file
their campaign contribution disclosure reports electronically with the
secretary of state when they have raised or spent a minimum of \$20,000
in an election cycle \[106\]. Beginning January 1, 2003, candidates
seeking election to the General Assembly, superior courts, and the
office of district attorney must file their campaign contribution
disclosure reports electronically with the secretary of state when they
have raised or spent a minimum of \$10,000 in an election cycle, but
contributions and expenditures received or made prior to reaching such
threshold need not be electronically filed if previously reported,
except as cumulative totals \[107\]. Beginning January 1, 2003,
candidates seeking election to county or municipal offices must file
their campaign contribution disclosure reports electronically with the
election superintendent of their county or the municipal clerk or chief
executive officer of their municipality when they have raised or spent a
minimum of \$10,000 in an election cycle, but contributions and
expenditures received or made prior to reaching such threshold need not
be electronically filed if previously reported, except as cumulative
totals \[108\]. Beginning January 1, 2003, political action committees,
independent committees, and any persons otherwise required by this
article to file campaign contribution disclosure reports must file their
campaign contribution disclosure reports electronically with the
secretary of state when they have raised or spent \$5,000 in a calendar
year \[109\]. When campaign contribution disclosure reports are filed
electronically, the original report must be filed at the same location
\[110\]. No funds raised or spent prior to the implementation date of
electronic filing are counted toward the appropriate threshold \[111\].

**V. POST‑ELECTION REQUIREMENTS**

A supplemental campaign financing disclosure report is to be filed by
each person elected to office no later than December 31 of each year
following the year in which the election occurs \[112\]. Records of the
accounts must be retained for three years from the termination date of
the campaign for elective office conducted by the candidate or of the
campaign committee for any candidate, or for three years from the
election in the case of a referendum or recall \[113\].

Excess contributions may only be contributed to a federally‑defined
charitable organization, or educational, eleemosynary, and non‑profit
organizations \[114\]; transferred to any national, state, or local
committee of any political party or candidate \[115\]; repaid to persons
making contributions in an amount not to exceed the contribution
\[116\]; used in future campaigns for only the elective office for which
they were received \[117\]; or used to repay prior campaign obligations
incurred as a candidate \[118\].

A candidate or elective official may provide in his or her will that the
contributions are to be spent in any of the authorized manners upon his
or her death \[119\]. In the absence of such a direction, the funds
remaining after payment of permissible campaign or officeholder expenses
are to be paid to the treasury of the state party with which the
candidate or elective official was affiliated in his or her last
election, although the personal representative or executor of the estate
may be allowed to use or pay out the funds in any manner authorized for
the distribution of surplus funds \[120\].

Any excess contributions in the account of a campaign committee formed
with respect to an issue or recall may be donated to a charitable,
educational, eleemosynary, or non‑profit organization \[121\], or repaid
on a pro rata basis to contributors \[122\].

**VI. OFFENSES AND PENALTIES**

A fee of \$25 is imposed for each report that is filed late, with an
additional fee of \$50

imposed on the 15th day after the due date if the report has still not
been filed, but a 15-day extension period is automatically granted on
the final report \[123\].

Any person who knowingly fails to comply with or knowingly violates any
campaign disclosure provisions may be found guilty of a misdemeanor, or
a felony if a second or subsequent offense, and is subject to
imprisonment for between one and five years, a fine of not more than
\$5,000, or both \[124\]. A person who knowingly violates the
prohibition against contributions on behalf of a public utility
corporation made to a candidate for the Public Service Commission may be
found guilty of a felony, and is to be punished by imprisonment for
between one and five years, a fine of not more than \$5,000, or both
\[125\]. Venue for prosecution of violations is to be the county of
residence of the violator at the time of the alleged violation \[126\].

Attorneys' fees may also be awarded on behalf of the state against an
offender \[127\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. State Ethics Commission.** The five‑member State Ethics Commission
administers the disclosure process \[128\]. Members must be Georgia
residents \[129\], may not have qualified to run for public office
within the previous five years \[130\], may not have held public office
within the previous five years \[131\], and may not serve as an officer
of a political party \[132\]. The Commission elects its own officers
\[133\].

Written, verified complaints may be filed with the Commission by any
person and, if there are reasonable grounds to believe a violation has
occurred, the Commission may investigate \[134\]. The Commission is to
give notice to the alleged violator, and is to conduct a hearing in
accordance with the Georgia Administrative Procedure Act \[135\]. The
Commission may also initiate an investigation on its own with probable
cause \[136\]. Commission deliberations after taking evidence in an
administrative hearing are subject to the requirements of the state open
meetings law \[137\].

The Commission may inspect campaign committee accounts before, during,
or after an election, with such right enforceable by an appropriate writ
issued by any court of competent jurisdiction \[138\]. The Commission
may also issue subpoenas to compel attendance of witnesses and
production of documents \[139\].

The Commission may report suspected violations of law to the appropriate
law enforcement authority \[140\]; direct compliance by a violator,
including use of cease and desist orders \[141\]; direct the violator to
make public corrected statements or reports \[142\]; make public its
conclusions that a violation has occurred \[143\]; order payment of
civil penalties of not more than \$1,000 for each violation or failure
to file a report \[144\]; or, through the attorney general, petition the
superior court in the county of the violator's residence to enforce its
orders or initiate actions to enjoin or restrain any violation or
threatened violation of the Act \[145\].

The Commission also is responsible for prescribing rules, regulations,
and report forms that must be filed by candidates and public officers
under the Act \[146\]. Another Commission responsibility is to issue
advisory opinions to candidates, public officers, organizations, and
others who have questions about how to comply with the Act \[147\].

**B. Secretary of State, Superintendent of Election, and Municipal
Clerks.** The secretary of state serves as filing officer for reports by
statewide candidate, recall, constitutional amendment, or statewide
referenda committees \[148\]; the superintendent of election of the
candidate's county of residence is the filing officer for General
Assembly candidates, with a copy to be sent to the Secretary of State
\[149\]; the superintendent of election in the respective county of
election is the filing officer for county office candidates \[150\]; and
the municipal clerk or chief executive officer of the municipality is
the filing officer for a municipal office candidate \[151\].

Each filing officer must make the campaign contribution disclosure
reports available for public inspection and copying during regular
office hours as soon as practicable after filing, with copying costs not
to exceed the actual costs of the copying \[152\]. Each filing officer
must preserve the reports for a period of five years from the date upon
which they are received \[153\].

Within 10 days after a report is due, each filing officer must also
notify the State Ethics Commission in writing of the names and addresses
of candidates or campaign committees which have not filed required
reports \[154\].

A filing officer must also immediately notify the Commission when the
filing officer receives a complaint against any candidate for office or
campaign committee under the campaign finance laws, and forward the
complaint to the Commission, retaining a copy \[155\]. In the case of a
candidate for county or municipal office, the filing officer must also
forward copies of reports filed by the candidate to the Commission
\[156\]. A filing officer receiving original reports has a duty to
inspect such reports for conformity with the law, and to notify the
candidate or campaign committee immediately if the report does not
conform with the law, is unsigned, or is in technical violation of the
filing requirements \[157\].

**C. Attorney General.** The Attorney General may, on his or her own
initiative, or must, upon the complaint of the Commission, bring an
action in superior court in the Commission's name for civil penalties
assessed against any person violating any provision of the ethics in
government act \[158\].

# References

1\. Official Code of Georgia Annotated

(hereafter OGCA) § 21‑5‑3(6); State

Ethics Commission, *The Georgia Ethics*

*Act as it Applies to Candidates and*

*Public Officers 1987* (hereafter

*Instructions*) iii; *see, Opinion of the*

*Attorney General* (hereafter *OAG*) 92-26

(October 2, 1992) for more detail on

when a loan constitutes a contribution

2\. OGCA § 21‑5‑3(6)

3\. *OAG* 89-47 (September 15, 1989)

4\. OGCA § 21‑5‑3(6)

5\. OGCA § 21‑5‑3(6)

6\. OGCA § 21‑5‑30(b)

7\. OGCA § 21-5-30(g)

8\. State Campaign and Financial

Disclosure Commission Advisory

Opinion (hereafter Adv. Op.) No. 77‑7;

OGCA § 21-5-41

9\. OGCA § 21‑5‑30(d). *But see*, *State*

*Ethics Comm'r v. Moore*, 447 S.E.2d 687

(Ga.App. 1994) (*en banc*), *reh. denied*

(1994), *cert. denied* (1994). This ruling

suggests that the common source rule will

not be strictly applied where a campaign

treasurer is not aware of certain

potentially disqualifying relationships.

10\. OGCA § 21‑5‑30(a)

11\. OGCA § 21‑5‑30(e)

12\. OCGA § 21-5-30(c); *see*, *Begner v. State*

*Ethics Comm'n*, 552 S.E.2d 431 (2001)

13\. OGCA § 21‑5‑30(e)

14\. OCGA § 35‑2‑12; *OAG* 00-7 (June

30, 2000)

15\. *OAG* 01-4 (May 18, 2001)

16\. OGCA § 21-5-41(a)(1)

17\. OGCA § 21-5-41(a)(2)

18\. OGCA § 21-5-41(a)(3)

19\. OGCA § 21-5-41(a)(4)

20\. OGCA § 21-5-41(b)(1)

21\. OGCA § 21-5-41(b)(2)

22\. OGCA § 21-5-41(b)(3)

23\. OGCA § 21-5-41(b)(4)

24\. OGCA § 21-5-43.1(c)

25\. OGCA § 21-5-41(e)

26\. *OAG* 97-8 (March 13, 1997)

27\. *OAG* 95-26 (May 30, 1995)

28\. OGCA § 21-5-41(f); *OAG* 95-42

(October 26, 1995); *Ga. State Conf. of*

*NAACP Branches v. Cox*, 183 F.3d 1259

(11th Cir. 1999) on carryover funds

29\. OGCA § 21-5-35(a). Federal law pre-

empts this ban for federal office

candidates. *Teper v. Miller*, 82 F.2d 989

(11th Cir. 1996); Fed'l Election Comm'n

Advisory Opinion No. 1995-48. While

the Act does not expressly prohibit an

incumbent member of the General

Assembly from soliciting a pledge or

setting goals for contributions during a

legislative session, such acts would be

clearly contrary to the policies and

purposes of the law and should be

avoided. *OAG* U95-27 (December 11,

1995).

30\. OGCA § 21-5-35(b)(1)

31\. OGCA § 21-5-35(b)(2)

32\. OGCA § 21‑5‑30(f)

33\. *OAG* 90-32 (November 1, 1990); *OAG* 94-

20 (July 6, 1994); *OAG* 96-1 (January

23, 1996)

34\. OGCA § 21-5-30.1(5)(b), *see,OAG*

U94-20 (1994); *OAG* 98-11 (June 11,

1998\) (individuals holding licenses

issued by examining boards under the

jurisdiction of the Secretary of State are

permitted to make contributions of personal

funds to Secretary of State or candidates

for that office). Corporations which are not

otherwise engaged in business activities or

professions regulated by the Secretary of

State are not considered regulated entities

for this purpose, but examining boards

connected to the Secretary of State which

issue professional and business licenses are

under the jurisdiction of the Secretary of

State for these purposes. *OAG* 98-4 (March

24, 1998).

35\. OGCA § 21-5-30.1(5)(c)

36\. 21-5-30.1(d); *OAG* U90-19 (August 30,

1990\)

37\. *OAG* U90-19 (August 30, 1990)

38\. OGCA § 21-5-30.2(b)

39\. OGCA § 21-5-30.2(c)

40\. Canons of Judicial Conduct 7A(1)

41\. Canons of Judicial Conduct 7A(1)(c)

42\. Canons of Judicial Conduct 7A(1)(c)(2)

43\. Canons of Judicial Conduct 7B(2)

44\. Canons of Judicial Conduct 7B(2)

45\. Canons of Judicial Conduct 7B(1)(b)

46\. OGCA § 21‑5‑3(9)

47\. OGCA § 21‑5‑3(9)

48\. OGCA § 21-5-33(c)

49\. OGCA § 21-5-33(a)

50\. OGCA § 21-5-33(a)

51\. OGCA § 21-5-33(d)(1)

52\. OGCA § 21‑5‑34(a)(1)

53\. OGCA § 21‑5‑34(k)

54\. OGCA § 21‑5‑34(a)(1)

55\. OGCA § 21-5-34(a)(1)

56\. OGCA § 21‑5‑34(a)(3)

57\. OGCA § 21‑5‑34(a)(4)

58\. OGCA § 21-5-34(a)(2)(B)

59\. OGCA § 21‑5‑31(a); *OAG* 89-47

(September 15, 1989)

60\. Adv. Op. No. 77‑3

61\. Adv. Op. No. 76‑6

62\. *OAG* 95-26 (May 30, 1995)

63\. OGCA § 21‑5‑34(b)(1)(A)

64\. OGCA § 21‑5‑34(b)(1)(A); Adv. Op. No.

77‑6

65\. OGCA § 21-5-34(b)(1)(A)

66\. OGCA § 21-5-34(b)(1)(E)

67\. OGCA § 21‑5‑34(b)(1)(C)

68\. OGCA § 21‑5‑34(b)(1)(C)

69\. OGCA § 21‑5‑34(b)(1)(B)

70\. OGCA § 21‑5‑34(c)(1)

71\. OGCA § 21‑5‑34(c)(2)(A)

72\. OGCA § 21‑5‑34(c)(2)(B)

73\. OGCA § 21‑5‑34(c)(2)(C)

74\. OGCA § 21‑5‑34(c)(3)

75\. OGCA § 21‑5‑34(c)(4)

76\. OGCA § 21‑5‑34(d)

77\. OGCA § 21-5-34(c)

78\. OGCA § 21-5-34(c)

79\. OGCA § 21‑5‑34(c)

80\. State Campaign and Financial Disclosure

Commission, *The Campaign and*

*Financial Disclosure Act* 20 (1982)

(prior law)

81\. OGCA § 21‑5‑34(g)(1)

82\. OGCA § 21‑5‑34(g)(2)

83\. OGCA § 21‑5‑34(g)(3)

84\. OGCA § 21‑5‑34(g)(4)

85\. Adv. Op. No 79‑2

86\. OGCA § 21‑5‑34(h)

87\. OGCA § 21‑5‑3(12.1)

88\. OGCA § 21‑5‑34(a)(1)(B)

89\. OGCA § 21‑5‑34(e)

90\. OGCA § 21‑5‑34(e)(1)

91\. OGCA § 21‑5‑34(e)(2)

92\. OGCA § 21‑5‑34(f)(1)

93\. OGCA § 21‑5‑34(f)(1)(A)

94\. OGCA § 21‑5‑34(f)(1)(B)

95\. OGCA § 21‑5‑34(f)(1)(C)

96\. OGCA § 21‑5‑34(f)(2)(A)

97\. OGCA § 21‑5‑34(f)(2)(B)

98\. OGCA § 21‑5‑34(f)(2)(C)

99\. Adv. Op. No. 79‑2

100\. OGCA §§ 21‑5‑50(a), (c)

101\. OGCA § 36-67A-3(a)(1)

102\. OGCA § 36-67A-3(a)(2)

103\. OGCA § 36-67A-3(b)

104\. OGCA § 36-67A-3(c)

105\. OGCA § 36-67A-3(d)

106\. OGCA § 21‑5‑34.1(a). Under that

threshold, electronic filing is permitted and

encouraged, but not required.

107\. OGCA § 21‑5‑34.1(b). Under that

threshold, electronic filing is permitted and

encouraged, but not required.

108\. OGCA § 21‑5‑34.1(c). Under that

threshold, electronic filing is permitted and

encouraged, but not required.

109\. OGCA § 21‑5‑34.1(d). Under that

threshold, electronic filing is permitted and

encouraged, but not required.

110\. OGCA § 21‑5‑34.1(e)

111\. OGCA § 21‑5‑34.1(f)

112\. OGCA § 21‑5‑34(e)

113\. OGCA § 21-5-32(c)

114\. OGCA § 21‑5‑33(b)(1)(A)

115\. OGCA § 21‑5‑33(b)(1)(B); such a transfer

may not be made for the purpose of

avoiding contribution limits in future

campaigns, *OAG* U92-18 (November 4,

1992\)

116\. OGCA § 21‑5‑33(b)(1)(C)

117\. OGCA § 21‑5‑33(b)(1)(D)

118\. OGCA § 21‑5‑33(b)(1)(E)

119\. OGCA § 21-5-33(b)(2)

120\. OGCA § 21-5-33(b)(2)

121\. OGCA § 21‑5‑33(d)(2)(A)

122\. OGCA § 21‑5‑33(d)(2)(B)

123\. OGCA § 21‑5‑34(l)

124\. OGCA §§ 21‑5‑9(a), (b); OGCA §

36-67A-4

125\. OGCA § 21‑5‑8

126\. OGCA § 21-5-30(f)

127\. *State Ethics Comm'n v. Long*, 478 S.E. 2d

618 (Ga. 1996)

128\. OGCA § 21-5-6

129\. OGCA § 12-5-4(c)

130\. OGCA § 12-5-4(d)(1)

131\. OGCA § 12-5-4(d)(2)

132\. OGCA § 12-5-4(d)(3)

133\. OGCA § 12-5-4(e)

134\. OGCA §§ 21‑5‑6(10)(A); 21-5-7(a)

135\. OGCA § 21‑5‑6(10)(A)

136\. OGCA § 21‑5‑6(9)

137\. *OAG* 89-6 (February 1, 1989)

138\. OGCA § 21-5-32(b)

139\. OGCA § 21-5-6(a)(5)

140\. OGCA § 21‑5‑6(11)

141\. OGCA § 21‑5‑6(14)(A)

142\. OGCA § 21‑5‑6(14)(B)

143\. OGCA § 21‑5‑6(15)

144\. OGCA § 21‑5‑6(14)(c)(i)

145\. OGCA §§ 21‑5‑6(14)(c)(iii), (iv)

146\. *Instructions* 2

147\. *Instructions* 2

148\. OGCA § 21‑5‑34(a)(i)

149\. OGCA § 21‑5‑34(a)(i)

150\. OGCA § 21‑5‑34(3)

151\. OGCA § 21‑5‑34(4)

152\. OGCA § 21-5-36(a)

153\. OGCA § 21-5-36(a)

154\. OGCA § 21-5-36(a)(2)

155\. OGCA § 21-5-36(a)(2)

156\. OGCA § 21-5-36(a)(2)

157\. OGCA § 21-5-36(b)

158\. OGCA §§ 21‑5‑6(14)(c)(iii), (iv)

**CAMPAIGN FINANCE LAW**

**IN GUAM**

**I. INTRODUCTION**

Guam requires all candidates, parties, and political committees to file
information on all contributions and expenditures once before and after
each primary election and general election. Any individual or entity,
other than a bank, corporation, or labor union, may make contributions
of not more than \$1,000 in any calendar year to any one candidate in
any primary election and then again in any general election. Cash,
anonymous, and earmarked contributions are subject to restrictions. A
corporation is limited to certain contributions aggregating no greater
than \$1,000 per candidate per election for fundraising events (with a
per event aggregate limit of \$500). The Guam Election Commission is
responsible for overseeing the campaign finance provisions of the law
with prosecutorial assistance from the Attorney General.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a gift,
subscription, loan, advance, deposit of money or anything of value, or
cancellation of a debt or legal obligation made for the purpose of
influencing the nomination for election, or election, of any person to
office \[1\]; influencing the outcome of any question or issue which
appears or is reasonably certain to appear on the ballot at the next
applicable election \[2\]; or used by any party for such purposes \[3\].

The payment, by any person other than a candidate or committee, or
compensation for the personal services of another person which are
rendered to the candidate or committee without charge or at an
unreasonably low charge, other than volunteer campaign services, also
constitutes a contribution \[4\]. A contract, promise, or agreement to
make a contribution is also contribution \[5\].

A candidate's expenditure of his or her own funds in the candidate's own
campaign is not considered to be a contribution \[6\].

**B. Limitations on Nature of Contributions.** All monetary
contributions must be promptly deposited in a financial depository duly
authorized to do business in the territory, such as a bank, savings and
loan institution, industrial loan company, or similar financial
institution, in the name of the candidate, committee, or political
party, whichever is applicable \[7\].

A candidate, committee, or party may not accept a contribution of more
than \$250 in cash from a single person without issuing a receipt to the
donor and maintaining a record of the transaction \[8\].

A candidate, campaign treasurer, or committee may not receive any
contributions or receive or make any transfer of money or anything else
of value for any purpose other than those directly related to the
candidate's own campaign, in the case of a candidate for office \[9\];
or the question or issue with which they are directly associated in the
case of a non-candidate campaign \[10\].

**C. Limitations on Source of Contributions.**

A bank or labor organization, whether or not authorized to do business
on Guam, and a corporation may not make a contribution in connection
with any candidate convention or caucus, election to any political
office, or in any primary election \[11\].

A justice or judge of any court may not directly or indirectly make any
contribution to any political party or organization \[12\].

An individual, partnership, committee, association, or organization may
not make any contributions of such a person's own money or property or
money of another person to any candidate, political party, or committee
in connection with a nomination for election, or election, in any other
name than the name of the person who owns the money or who supplies the
money or property \[13\]. All contributions made in the name of a person
other than the true or established name of the actual owner of the money
or property escheat to the territory \[14\].

An individual, partnership, committee, association, or organization may
not make an anonymous contribution of such a person's own money or
property or money of another person of more than \$100 to any candidate,
political party, or committee in connection with a nomination for
election, or election \[15\]. Any anonymous contributions received by a
candidate, political party, or committee and not allowed under law may
not be used or expended, but instead returned to the donor, or, if the
donor cannot be identified, the contribution escheats to the territory
\[16\].

A candidate, political party, or committee is prohibited from knowingly
receiving, accepting, or retaining such contributions as anonymous
contributions, or in the name of a person other than that of the person
by whom it was actually furnished \[17\]. The ban on receipt of
anonymous contributions does not apply to amounts that aggregate less
than \$250 when obtained through multiple contributions made by 10 or
more persons at the same event, nor does it apply to money received from
fund raising or testimonial dinners, functions, food sales, raffles, and
fund raising activities, if the ticket or cost for the event is not more
than \$25 per person or ticket \[18\].

**D. Limitations on Amounts of Contributions.** An individual,
partnership, committee, association, or organization may not make
aggregate contributions in excess of \$1,000 for any one candidate in
any calendar year for any primary election, and an individual,
partnership, committee, association, or organization may not make
aggregate contributions in excess of \$1,000 for any one candidate in
any general or special election \[19\].

A corporation, whether or not authorized to do business on Guam, may
purchase no more than \$500 worth of tickets for each fundraising dinner
or function for any political party or candidate, not to exceed \$1,000
in any calendar year for any primary election and not to exceed \$1,000
in any calendar year for any primary elections \[20\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is any purchase or
transfer of money or anything of value or promise or agreement to
purchase or transfer money or anything of value, or payment incurred or
made, or the use or consumption of a nonmonetary contribution for the
purpose of influencing the nomination for election, or election, of any
person seeking nomination for election, or election, to office whether
or not the nomination papers have been filed by the person or on the
person's behalf \[21\]; influencing the outcome of any question or issue
which is to appear on the ballot at the next applicable election \[22\];
or use by any political party for any such purposes \[23\].

An expenditure also includes the payment, by any person other than a
candidate or committee, of compensation for the personal services of
another person which are rendered to the candidate or committee for the
purpose of influencing the nomination for election, or election, of any
person seeking nomination for election, or election, to office whether
or not the nomination papers have been filed by the person or on the
person's behalf \[24\]; influencing the outcome of any question or issue
which is to appear on the ballot at the next applicable election \[25\];
or use by any political party for any such purposes \[26\].

An expenditure also includes the expenditure by a candidate of his or
her own funds for the purpose of influencing the nomination for
election, or election, of any person seeking nomination for election, or
election, to office whether or not the nomination papers have been filed
by the person or on the person's behalf \[27\]; influencing the outcome
of any question or issue which is to appear on the ballot at the next
applicable election \[28\]; or use by any political party for any such
purposes \[29\].

**B. Limitations on Nature of Expenditures.** A candidate, campaign
treasurer, or committee may not make any expenditures, or transfer of
money or anything else of value for any purpose other than those
directly related to a candidate's own campaign, in the case of a
candidate campaign \[30\]; in the case of a campaign treasurer or
committee, to the campaign of the candidate, question, or issue with
which they are directly associated \[31\]; or to campaign against any
other candidate not directly opposing the candidate for whom the funds
were collected or with whom the campaign treasurer or committee is
directly associated \[32\]. However, a candidate, campaign treasurer, or
committee may purchase from its campaign fund not more than two tickets
for each testimonial or fund raising affair held by another candidate,
committee, or political party \[33\].

A political party may support more than one candidate or two or more
candidates seeking election to multiple offices may make a joint
expenditure regardless of whether the expenditures are equally or
unequally incurred among such candidates as long as the allocation of
expenditures between the candidates is based upon reasonable objective
standards \[34\]. The political party or candidates, whichever is
applicable, must make the initial allocation between candidates, and if
the allocation is disallowed by the Guam Election Commission, and the
allocation of expenditures is not corrected as prescribed by the
Election Commission, the allocation is presumed to be a transfer of
funds in violation of the law \[35\].

Any impermissible anonymous contributions received by a candidate,
political party, or committee may not be used or expended, other than in
the return to the donor or escheat to the territory \[36\].

Funds may only be withdrawn or paid from a campaign depository on the
written authorization of the campaign treasurer \[37\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Each candidate, committee, and political party must
file an organizational report with the Guam Election Commission not
later than the earliest of the following applicable days: on or before
the day of filing for nomination or election \[38\]; or by the 10th day
after receiving any contributions for the next campaign in an aggregate
amount of more than \$100,000, or the making or incurring of any
expenditure for the next campaign in excess of \$100,000 \[39\].
Candidate committee organizational reports must be certified as correct
by the candidate, and all organizational reports required to be filed
under by a political party or any other committee must be certified
correct by the party, committee treasurer, deputy treasurer, or chair
thereof, in that order \[40\].

**B. Reports and Reporting Dates.** In addition to the organizational
report, Guam requires one report prior to and following a primary
election, and another prior to and following a general election, and
additional reports in the case of a surplus or deficit in a campaign
account.

Each candidate, authorized person in the case of a political party, or
campaign treasurer in the case of a committee must file a preliminary
report with the Guam Election Commission on forms provided by the
Election Commission not later than the 10th day prior to each election
or primary, as the case may be \[41\]. The report must be certified as
correct by the candidate, and all organizational reports required to be
filed under by a political party or any other committee must be
certified correct by the party, committee treasurer, deputy treasurer,
or chair thereof, in that order \[42\]. The report must be current
through the 15th calendar day prior to the election or primary \[43\].

Each candidate whether or not successful in a primary or special primary
election, authorized person in the case of a party, or campaign
treasurer in the case of a committee must file a final primary report
not later than the 10th day after the primary or special primary
election, certified correct by the party, committee treasurer, deputy
treasurer, or chair thereof, in that order \[44\].

Each candidate or authorized person in the case of a committee, must
file a final general election report with the Election Commission not
later than the 20th day after a general or special election, certified
correct by the party, committee treasurer, deputy treasurer, or chair
thereof, in that order \[45\].

In the event of a deficit, the candidate or authorized person in the
case of a committee must, every three months until the deficit is
eliminated, file a supplemental report, the first of which is due not
later than 60 days following the election \[46\].

In the event of a surplus, the candidate, or authorized person in the
case of a committee, must file supplemental reports every six months,
until the individual becomes a candidate again, with the first report
due not later than 60 days after the election \[47\].

A candidate, party, or committee that receives no contributions or makes
no expenditures is still required to file preliminary, final, and
supplemental reports as required by law \[48\].

**C. Report Contents.** The organizational report must include the name,
address, office sought when known, and party affiliation of each
candidate or individual whom the committee or party is supporting and
the name and address of the committee or party \[49\]; the names and
addresses of the campaign treasurer and deputies \[50\]; the names and
addresses of the campaign chair and deputy campaign chair \[51\]; a list
of all banks, safety deposit boxes, or other depositories used and the
applicable account numbers \[52\]; and the amount and date of deposit of
the contributions and the name and address of each individual donor who
has made a contribution of more than \$100 (except for funds and
contributions which may be reported in the aggregate) \[53\]. In the
case of a report by a committee or party supporting or opposing a ballot
question or issue, all of the information required of a candidate report
must be provided, along with a description of the question or issue
\[54\].

Any change in information submitted in an organizational report other
than contributor and contribution information, must be reported not
later than the 10th day after the change or when the candidate,
committee, party, or campaign treasurer, becomes aware of the change
\[55\].

The preliminary report must be filed with the Election Commission
containing the following information current through the 15th calendar
day prior to the election or primary: the aggregate sum of all
contributions received \[56\]; the amount and date of deposit of the
contribution and the name and address of each donor who contributes an
aggregate of more than \$100 \[57\]; all expenditures made, incurred, or
authorized by or for a candidate including the name and address of each
payee and the amount, date, and purpose of each expenditure \[58\]; and
a current statement of the balance on hand or deficit \[59\].

The final report after each primary, special primary, or general
election must include: a statement of the total contributions received
\[60\]; the amount and date of deposit of the contribution and the name
and address of each donor who contributes more than \$100 \[61\]; and a
statement of all expenditures made or incurred by or for a candidate
including the name of each payee and the amount, date, and purpose of
each expenditure \[62\]. A candidate who is unsuccessful in a primary or
special primary

election is not required to file a final general report \[63\].

Deficit report contents are not specified by law \[64\]. Surplus
supplemental reports must include: a statement of the total
contributions received \[65\]; the amount and date of deposit of the
contribution and the name and address of each donor who contributes more
than \$100 \[66\]; and a statement of all expenditures made or incurred
by or for a candidate including the name of each payee and the amount,
date, and purpose of each expenditure \[67\].

A candidate, party, or committee who receives no contributions or makes
no expenditures is required to file all preliminary, final, and
supplemental reports as required by law \[68\].

Upon dissolution, the candidate or campaign treasurer must file a report
with the Election Commission reporting the amounts distributed and the
manner of disposition \[69\].

**D. Additional Reporting Requirements.** Each candidate, committee, or
political party must establish and maintain an itemized record showing
the amount of each monetary contribution, the description and value of
each nonmonetary contribution, and the name and address of each donor
making a contribution of more than \$100 in value, except funds and
contributions which may be reported in the aggregate \[70\]. Each
candidate and campaign treasurer must also report the amount and date of
each contribution and the name and address of each donor who makes a
contribution or contributions whose value is more than \$100 \[71\].

A candidate must make a detailed accounting of campaign expenditures and
this accounting is required to be made a part of the required reports
\[72\]. The account must state the amount and purpose of the
expenditures and other information required by the Election Commission
and be signed and certified by the campaign treasurer \[73\].

Each candidate and political party must disclose the original source of
all earmarked funds, the ultimate recipient of the earmarked funds, and
the fact that the funds are earmarked \[74\]. Earmarked funds are
defined as contributions received by a committee or party on the
condition that the funds be contributed to or expended only on certain
candidates, issues, or questions \[75\].

All corporate contributions must be reported to the Election Commission
regardless of amount \[76\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Reporting.** In the event of a surplus, the candidate (or
authorized person in the case of a committee) must file supplemental
reports every six months, in the case of a candidate campaign, until the
individual becomes a candidate again, reporting: the total contributions
received \[77\]; the amount and date of deposit of the contribution and
the name and address of each donor who contributes more than \$100
\[78\]; and a statement of all expenditures made or incurred by or for a
candidate including the name of each payee and the amount \[79\]. The
first report is due not later than 60 days after the election \[80\].

In the event of a deficit, the candidate or authorized person in the
case of a committee must file a supplemental report every three months
until the deficit is eliminated, the first of which is due not later
than 60 days following the election \[81\].

Upon dissolution of a committee, the candidate or campaign treasurer
must file a report with the Election Commission reporting the amounts
distributed and the manner of disposition \[82\].

**B. Disposition of Surplus Funds.** All candidates who withdraw or
cease to be candidates, or committees directly associated with these
candidates, or persons who receive contributions but fail to file for
nomination, or committees or parties which discontinue their covered
activities, must return any residual contributions to the political
party of the person or candidate, or to the campaign committee of a
person of the same party who is a candidate for the same office as the
person who has ceased to receive contributions or to be a candidate
\[83\].

**VI. OFFENSES AND PENALTIES**

Any natural person willfully violating any provision of the campaign
finance law is guilty of a misdemeanor and is subject to the penalties
specified for such offenses \[84\]. A corporation, organization, or
association, willfully violating any provision of the campaign finance
law is subject to a fine not exceeding \$l,000 \[85\]. When a
corporation, organization, or association violates the campaign finance
law, the violation is deemed to be also that of the individual
directors, officers, or agents of the corporation, organization, or
association, who have knowingly authorized, ordered, or done any of the
acts constituting the violation \[86\].

A bank, corporation, or labor organization which makes any contribution
in violation of the law shall be fined not more than \$5,000, and every
officer or director of any bank, corporation, or labor organization, and
any person who accepts or receives any contribution in violation of the
law shall be fined not more than \$l,000 or imprisoned no more than one
year, or both \[87\]. Such activity, including the receipt of such a
contribution, also constitutes a misdemeanor \[88\].

In the event an individual is convicted of a campaign finance violation
prior to the election in question, the Election Commission is required
to strike the candidate's name from the ballot \[89\]. In the event the
person is convicted of the violation subsequent to the election in
question and was elected to the office for which he or she was a
candidate, the Attorney General must take whatever civil action is
necessary to effect the candidate's disqualification from office \[90\].

**VII. RESPONSIBLE TERRITORIAL AGENCIES**

**A. Guam Election Commission.** The Guam Election Commission oversees
the regulation of campaign finance in Guam.

The Guam Election Commission consists of seven members, six of whom are
appointed by the governor from recommendations made by the recognized
political parties of the Territory \[91\]. Each of the recognized
political parties recommend an equal number of names to the governor and
the six members appointed by the governor must have equally
representation of the recognized political parties \[92\]. One member is
selected and appointed by at least four of the other six members
appointed by the governor \[93\]. Members serve for a term of two years,
with a vacancy filled for the remainder of the term only, and by the
method originally prescribed for its appointment \[94\]. The Commission
annually elects one of its members as chair \[95\]. Any member may be
removed for misconduct in office by a resolution duly adopted by a vote
of two‑thirds of the members elected to the Legislature \[96\].

The Commission must appoint an executive officer to administer the
election law and perform and discharge all of the powers, duties,
purposes, functions and jurisdiction vested in the Commission, under
rules of the Commission and subject to the right of appeal to the
Commission \[97\].

Complaints of violations of the campaign finance law against any person
must be filed with the Election Commission in writing and signed under
oath by the complainant \[98\]. The Election Commission must give notice
of receipt of the complaint together with a copy of the complaint to the
person cited and afford the respondent an opportunity to explain or
otherwise respond to the complaint \[99\]. The Election Commission may
also open an investigation of the complaint \[100\]. Upon hearing the
response of the person cited, if the person elects to respond to the
complaint, and upon completion of any investigation, the Election
Commission must make a prompt determination as to whether probable cause
exists that a violation has been committed \[101\].

Any person who appears before the Election Commission has all of the
rights, privileges, and responsibilities of a witness appearing before
the courts of the territory \[102\]. The Election Commission must
prepare a record of all proceedings \[103\]. At the conclusion of
proceedings concerning an alleged violation or upon receiving a report
from its investigating officer, the Election Commission must immediately
begin deliberations and then proceed to determine by majority vote of
the members whether probable cause exists that a violation has been
committed \[104\]. Until the determination of probable cause by the
Election Commission, all proceedings, including the filing of the
complaint, investigation, and hearing are confidential unless the person
complained of requests an open session \[105\]. In the event the
Election Commission determines that probable cause does not exist, then
the complaint must be dismissed and the entire records of the
proceedings must be kept confidential at the option of the person
complained of \[106\].

The Election Commission must give written notice to the person
complained of and to the complainant as to whether probable cause of a
violation exists or whether the complaint has been dismissed \[107\]. In
the event a determination is made that probable cause of an
unintentional violation exists, the Election Commission must issue a
confidential order that may require the violator to: temporarily cease
and desist violation \[108\]; or file any report, statement, or other
information as required by law \[109\].

**B. Attorney General**. The office of the Attorney General has
prosecutorial responsibility over violations of the campaign finance law
\[110\]. The court must give priority to the expeditious processing of
such suits \[111\], which must be commenced before one year has elapsed
from the date of the violation or date of filing of the report covering
the period in which the violation occurred, whichever is later \[112\].

# References

1\. Guam Code Annotated

(hereafter GCA)

§19101(f)(1)(i) (1998 -

Guam Code On-line)

2\. GCA §19101(f)(1)(ii)

3\. GCA §19101(f)(1)(iii)

4\. GCA §19101(f)(2)

5\. GCA §19101(f)(3)

6\. GCA §19101(f)(4)

7\. GCA §19107(a)

8\. GCA §19107(d)

9\. GCA §19108(1)(i)

10\. GCA §19108(1)(ii)

11\. GCA §§19111(b);

8131(a) 11.

12\. GCA § 6104

13\. GCA §19110

14\. GCA §19110

15\. GCA §19109(a)

16\. GCA §19109(c)

17\. GCA §19109(a)

18\. GCA §19109(b)

19\. GCA §19111(a)

20\. GCA §§19111(b);

19111(a)

21\. GCA §19101(h)(1)(i)

22\. GCA §19101(h)(1)(ii)

23\. GCA §19101(h)(1)(iii)

24\. GCA §§19101(h)(2);

§19101(h)(1)(i)

25\. GCA §§19101(h)(2);

§19101(h)(1)(ii)

26\. GCA §§19101(h)(2);

§19101(h)(1)(iii)

27\. GCA §§19101(h)(3);

§19101(h)(1)(i)

28\. GCA §§19101(h)(3);

§19101(h)(1)(i)

29\. GCA §§19101(h)(3);

§19101(h)(1)(i)

30\. GCA §19108(a)(1)(i);

*see*, GCA §19112(a)

31\. GCA §19108(a)(1)(ii)

32\. GCA §19108(a)(2)

33\. GCA §19108(a)(2)

34\. GCA §19108(b)

35\. GCA §19108(b)

36\. GCA §19109(c)

37\. GCA §19112(a)

38\. GCA §19104(a)

39\. GCA §19104(b)

40\. GCA §19103

41\. GCA §19113

42\. GCA §§19113; 19103

43\. GCA §19113

44\. GCA §§19115(a);

19103

45\. GCA §§19115(b);

19103

46\. GCA §19115(c)

47\. GCA §19115(d)(2)

48\. GCA §19115(e)

49\. GCA §19105(a)(1)

50\. GCA §19105(a)(2)

51\. GCA §19105(a)(3)

52\. GCA §19105(a)(4)

53\. GCA §§19105(a)(5);

19109(b)

54\. GCA §19105(a)(6)

55\. GCA §19105(b)

56\. GCA §19113(a)

57\. GCA §19113(b)

58\. GCA §19113(c)

59\. GCA §19113(d)

60\. GCA §§19115(a)(1);

19115(b)

61\. GCA §§19115(a)(2);

19115(b)

62\. GCA §§19115(a)(3);

19115(b)

63\. GCA §19115(b)

64\. GCA §19115(c)

65\. GCA §19115(d);

(a)(1)

66\. GCA §§19115(d);

(a)(2)

67\. GCA §§19115(d);

(a)(3)

68\. GCA §19115(e)

69\. GCA §19116(b)

70\. GCA §§19107(b);

19109(b)

71\. GCA §19107(b)

72\. GCA §19112(a)

73\. GCA §19112(a)

74\. GCA §19107(e)

75\. GCA §19107(f)

76\. GCA §19111(b)

77\. GCA §§19115(d)(2);

19115(a)(1)

78\. GCA §§19115(d)(2);

19115(a)(2)

79\. GCA §§19115(d)(2);

19115(a)(3)

80\. GCA §19115(d)(2)

81\. GCA §19115(c)

82\. GCA §19116(b)

83\. GCA §19116(a)

84\. GCA § 19119(a)(1)

85\. GCA § 19119(a)(2)

86\. GCA § 19119(a)(3)

87\. GCA §19111(b)

88\. GCA §8131(b)

89\. GCA §8132

90\. GCA §8132

91\. GCA §2101(a)

92\. GCA §2101(a)

93\. GCA §2101(a)

94\. GCA §2101(a)

95\. GCA §2101(c)

96\. GCA §2101(b)

97\. GCA §2102(a)

98\. GCA §19118(a)

99\. GCA §19118(b)

100\. GCA §19118(b)

101\. GCA §19118(c)

102\. GCA §19118(c)(1)

103\. GCA §19118(c)(2)

104\. GCA §19118(c)(2)

105\. GCA §19118(d)

106\. GCA §19118(d)

107\. GCA §19118(e)

108\. GCA §19118(f)(1)

109\. GCA §19118(f)(2)

110\. GCA §§191120(a);

8132

111\. GCA §191120(b)

112\. GCA §191120(c)

**CAMPAIGN FINANCE LAW**

**IN HAWAII**

**I. INTRODUCTION**

Hawaii requires all candidates, parties, and committees to file
information on all contributions and expenditures in a single report
before and after each election, with supplemental reports required in
the event of a surplus or deficit over \$250. Certain candidates must
file reports electronically. Contributions by any individual or
non‑party entity are limited to an aggregate of \$2,000 for two-year
offices; \$4,000 for four-year offices; and \$6,000 for statewide
offices in any election period, although candidates and their family
members may contribute an aggregate of \$50,000 in any election year.
There is a \$1,000 limit on contributions to independent expenditure
committees. Contributions to political parties are limited to \$25,000
for a two-year election period and \$50,000 from a national party. There
is no limit on contributions to a ballot issue committee. Government
employees may not be solicited for political contributions. Anonymous
contributions are prohibited, and special recordkeeping requirements are
imposed for cash contributions in excess of \$100. The state offers a
unique voluntary expenditure limit for candidates accepting public
financing. Hawaii offers a tax deduction up to \$100 for certain
contributions to candidates or parties. Hawaii also offers a two dollar
tax checkoff (\$4 for a joint return) and additional funds from the
state, which are distributed to candidates for all non‑federal elective
offices. The Campaign Spending Commission is responsible for overseeing
the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a gift,
subscription, deposit of money or anything of value, or cancellation of
a debt or legal obligation, and includes the purchase of tickets to
fundraisers for the purpose of influencing the nomination or election of
any person to office \[1\]; influencing the outcome of any question or
issue which appears or is reasonably certain to appear on the ballot at
the next applicable election \[2\]; or the use by any party for such
purposes \[3\]; the payment, by any person other than a candidate or
committee, of compensation for the personal services of another person
which are rendered to the candidate or committee without charge or at an
unreasonably low charge for such purposes \[4\]; or a contract, promise,
or agreement to make a contribution \[5\]. An expenditure made for the
benefit of a candidate in cooperation, consultation, or concert with, or
at the request or suggestion of someone associated with a candidate's
campaign, is deemed to be a contribution to the campaign, as is the
financing of the dissemination, distribution, or republication of any
part of campaign materials prepared by the candidate, his or her
committee, or agents \[6\].

A contribution does not include a candidate's expenditure of his or her
own funds or the making of a loan or advance to the campaign; however,
these actions are reportable as campaign receipts \[7\].

**B. Limitations on Amounts of Contributions.** While a candidate is
limited to contributions aggregating to \$50,000 in any election year,
including loans made for campaign purposes to the candidate from the
candidate's immediate family \[8\], other persons and entities may not
contribute more than an aggregate of \$2,000 to a candidate for a
two-year office \[9\]; \$4,000 for a four-year office \[10\]; and
\$6,000 for a statewide office per specified election period \[11\]. The
election period begins on the day after the general election, and
continues through the day of the next general election \[12\]. A maximum
of \$2,000 in contributions to a candidate in a special election is
permitted, or \$4,000 for a four-year office \[13\]. The special
election period begins the day after the previous general or special
office for that vacant office and goes until the day of the special
election \[14\]. A person or entity may not make a contribution in
excess of \$250,000 to a political party in any election period, and
national parties may not contribute more than \$50,000 \[15\]. A person
or entity may not make a contribution in excess of \$1,000 to a
noncandidate committee in an election, other than a corporation or
company using funds from its own treasury \[16\].

There is no limit on contributions to a ballot issue committee \[17\].

**C. Limitations Applicable to Foreign Corporations.** Contributions or
expenditures may not be made to or on behalf of a candidate or committee
by a foreign corporation, including a domestic subsidiary of a foreign
corporation; a domestic corporation that is owned by a foreign national;
or a local subsidiary where administrative control is retained by the
foreign corporation \[18\]. A foreign-owned domestic corporation may not
contribute if foreign national individuals participate in such
activities as making contributions or the administration of a political
committee \[19\], or the contributions are not domestically derived
\[20\]. An individual is eligible to make a contribution to a candidate
if the individual has a "green card" indicating that he or she has been
lawfully admitted for permanent residence \[21\].

**D. Limitations on Nature of Contributions.** The amounts of campaign
contributions in excess of the individual and committee limits that are
knowingly received by candidates escheat to the Hawaii election campaign
fund \[22\], or are to be returned to the donor if inadvertently made
\[23\]. Anonymous contributions are prohibited \[24\]. All anonymous
contributions must be returned to the donor, if possible, or deposited
with the Hawaii election campaign fund \[25\]. Contributions aggregating
less than \$500 obtained through multiple contributions made by 10 or
more persons at a single political function are exempt from this
prohibition \[26\]. Contributions in the name of another are also
prohibited, and are subject to escheat to the Hawaii election campaign
fund \[27\]. A contribution by a dependent minor, although reported in
the minor's name, is counted against the contribution limit of the
minor's parent or guardian \[28\].

All contributions are to be recorded as to description and value, and
the name and address of each donor of more than \$25 in value is to be
noted \[29\]. All monetary contributions are to be promptly deposited in
a financial depository authorized to do business in Hawaii, in the name
of the candidate, committee, or party, as appropriate \[30\]. Receipts
are to be issued to any person contributing more than \$100 in cash
\[31\].

Contributions in the form of a purchase by a candidate, treasurer, or
committee of not more than two tickets for each fundraiser held by
another candidate, committee, or party are permitted \[32\]. Parties are
also permitted to support more than one candidate \[33\].

No contributions may be made to a non‑candidate committee from a
corporation or other organization unless the noncandidate committee has
been in existence continuously for at least 12 months prior to the next
primary election \[34\]. However, this provision has been interpreted to
allow corporations to make unlimited contributions to their own
corporate noncandidate committees at any time \[35\].

**E. Limitations on Loans.** A candidate or candidate's committee may
receive and accept loans aggregating not more than \$10,000 during an
election period \[36\]. Once a candidate or candidate's committee has
reached this \$10,000 threshold, the candidate or committee may not
accept any other loans until the \$10,000 is repaid in full by the
candidate or committee \[37\]. If a loan to a candidate is not repaid
within one year of when it was made, the candidate and candidate's
committee may not accept any other loans, and all subsequent
contributions received and any surplus retained must be directed to the
repayment of the outstanding loan, until the loan is repaid in full by
the candidate or candidate's committee \[38\].

A loan is not considered to be a contribution if it is made by a state-
or federally regulated depository institution in the ordinary course of
business and in accordance with applicable law; if it is made by the
candidate from the candidate's own funds; or if it is a loan from
immediate family members of a candidate using the family members' own
funds \[39\].

Loans may not be made or accepted by noncandidate committees \[40\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is the purchase or
transfer of money or anything of value, promise or agreement to purchase
or transfer anything of value payment incurred or made, or the use or
consumption of a non‑monetary contribution for the purpose of
influencing the nomination or election of any person seeking nomination
or election to office, whether or not the person has filed nomination
papers \[41\]; influencing the outcome of any question or issue which
appears, or is reasonably certain to appear, on the ballot at the next
applicable election \[42\]; use by any party for these purposes \[43\];
the payment, by any person other than a candidate or committee, of
compensation for the personal services of another person rendered to the
candidate or committee for such purposes \[44\]; or the expenditure by a
candidate of his or her own funds for such purposes \[45\]. A political
poll is considered to be a campaign expenditure \[46\].

**B. Limitations on Amounts of Expenditures.** Hawaii offers a unique
voluntary expenditure limitation to candidates. Under this provision,
candidates and committees may voluntarily agree to limit campaign
expenditures according to specified formulae by filing a notarized
affidavit to that effect with the Campaign Spending Commission by the
date set for the filing of nominating papers \[47\]. The expenditure
limitation applies from January 1st of the year in which the election is
held, through the day of the special or general election \[48\]. All
authorized expenditures are limited based upon the number of voters in
the preceding general election who were registered to vote for the
respective classes of office \[49\]. Candidates for governor are limited
to \$2.50 multiplied by this number of voters \[50\]; candidates for
lieutenant governor \[51\], state senator, state representative, county
council, and prosecuting attorney are limited to \$1.40 multiplied by
this number of voters \[52\]; candidates for mayor may spend up to
\$2.00 multiplied by this number of voters \[53\]; and candidates for
all other offices may spend up to 20 cents multiplied by this number of
voters \[54\].

**C. Limitations on Nature of Expenditures.** Contributions may not be
received for any purpose other than those directly related to the
campaign with respect to which the contribution was made, or to campaign
against any other candidate not directly opposing the candidate for whom
the funds were collected or with whom the treasurer or committee is
directly associated \[55\]. Contributions may not be used by a state or
local candidate for a campaign for a federal elective office, or for the
transfer of funds for such purposes \[56\].

Expenditures may be made for any ordinary and necessary expenses
incurred in connection with the candidate's duties as a holder of an
elected state or county office \[57\]. A committee may also make
contributions from its campaign fund to any community service,
educational, youth, recreational, charitable, scientific, or literary
organization, to the extent that, in any election cycle, the total
amount of all contributions from campaign funds and surplus funds is no
more than the maximum amount that one person or other entity may
contribute to that candidate \[58\]. Donations by candidates to
community, youth, recreation, or social organizations are presumed to be
campaign expenditures for reporting purposes, unless rebutted by clear
evidence showing otherwise \[59\]. However, a candidate should be able
to directly relate the expenditure to a campaign purpose, and
expenditures may not be used for personal, rather than political
campaign purposes \[60\].

All expenditures are deemed to be for the election following the period
in which the expenditure is reportable, unless the filer furnishes
information justifying an allocation to a later date \[61\].

Only the campaign treasurer and deputy campaign treasurer are authorized
to make expenditures for their principals \[62\], and specific written
authorization of the candidate or the candidate's authorized
representative is necessary for an expenditure to be made or incurred
\[63\]. When an expenditure of funds is made from a campaign depository,
it must be done only with the treasurer's written authorization \[64\].

Joint expenditures require each benefitting candidate to pay for an
appropriate share of all costs \[65\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Each candidate, party, and committee is required to
file an organizational report with the Campaign Spending Commission
within five days after filing nomination papers \[66\], unless the
candidate has already registered 10 days from the date the committee
receives any contribution aggregating more than \$100, or makes any
expenditure \[67\]. In county or city races where the county has fewer
than 200,000 voters, filing may be with either the commission or the
county clerk of the county in which the candidate resides \[68\]. The
clerk is required to send a copy of the report to the commission \[69\].
An original and one copy is to be filed with the commission; if filing
is with a county clerk, an original and two copies are required \[70\].
A committee that forms within 10 days of an election and spend in the
aggregate more than \$1,000 must register and fully disclose such
expenditures by 4:30 p.m. on the last calendar day before the
expenditure \[71\]. Each candidate who is certified to be a write‑in
candidate must file an organizational report within five days of being
certified as a candidate \[72\].

The organizational report must contain the name and address -- including
web site address, if any -- of the entity or individual filing the
report \[73\]; the name, address, office sought, and party affiliation
of those the filer is supporting \[74\]; names and addresses of the
campaign treasurer, chairman, and deputy treasurer and deputy chairman
\[75\]; a list of all banks, safety deposit boxes, or other
depositories, with account numbers \[76\]; and the names and addresses
of each donor contributing an aggregate of more than \$100 since the
last election for that office or ballot question, and the amount and
date of the deposit of the contribution \[77\]. A ballot question
committee must submit the same information and also describe the
question or issue \[78\]. Any change in information (other than that
pertaining to itemized donors) is to be reported by 4:30 p.m. on the
10th calendar day after the change is brought to the attention of the
candidate, committee, party, or campaign treasurer \[79\].

Candidates for statewide or county offices who are supported by more
than one committee, are required to designate a central committee
responsible for aggregating contribution and expenditure information and
filing composite reports \[80\].

**B. Report Contents.** Candidates, committees, and parties must file
preliminary, final, and supplemental reports. Preliminary reports are
filed with the campaign spending commission or the appropriate clerk's
office not later than 4:30 p.m. July 30 prior to the primary election
and the 10th calendar day prior to each election \[81\]. The report,
which must be certified by a person authorized to sign the reports
\[82\], is to contain information on the aggregate amount of all
contributions and campaign receipts; the amount and date of deposit of
the contribution and name and address of each donor contributing an
aggregate of more than \$100 during the period beginning on the day
after the general election of the year preceding the election for that
office; the name and address of each payee, and the amount and purpose
of the expenditure; and the current balance of the committee's accounts
\[83\]. If the reporting entity's contributions or expenditures for the
reporting period are \$2,000 or less, a short form report may be filed
\[84\]. Similarly, if the entity receives no contributions or has
expenditures of \$1,000 or less during the reporting period, or if
aggregate contributions and expenditures for the reporting period total
\$2,000 or less, short form reports may be filed \[85\]. Preliminary
reports cover contributions and expenditures beginning the day after the
general election of the calendar year preceding the primary, special
primary, or special election \[86\].

A report is also to be filed on the 20th day after a primary or special
primary election \[87\] and the 30th day after a general, special
general, or special election \[88\]. An unsuccessful primary candidate
need not file a final primary report \[89\].

Supplemental reports are required every six months, beginning not later
than 4:30 p.m. on the 31st day after the last day of the election year
if a reporting entity has a deficit, until the deficit is eliminated
\[90\]. The first report is also due by 4:30 p.m. on the 30th day after
the last day of the election year, and cumulative reports providing
information as required in final reports must be filed each six months
until an individual becomes a candidate again, or in the case of a party
or committee, until it participates in another election \[91\].
Termination of registration or reregistration with the commission for a
new election period also may end supplemental reporting requirements
\[92\].

**C. Reporting of Large, Late Contributions and Electioneering
Communications.** Contributions aggregating more than \$500 received
within 15 days through four days of an election must be reported by
candidates and committees by 4:30 p.m. three days prior to the election
\[93\]. The report must contain the name, address, occupation, and
employer of the contributor; the name of the candidate, candidate's
committee, or committee receiving the contribution; the amount of the
contribution; the contributor's aggregate contributions to the
candidate, candidate's committee, or committee; and the purpose, if any,
to which the contribution will be applied \[94\].

Any paid advertising \[95\] which refers to a clearly identifiable
candidate and is made within 30 days prior to a primary, or within 60
days of a general election, and results in a disbursement in the
aggregate of \$2,000 must be disclosed by the person making the
disbursement within 24 hours of the expenditure \[96\]. Each statement
must contain the identification of the person making the disbursement,
any entity sharing or exercising discretion or control over such person,
and the custodian of the books and accounts of the person making the
disbursement \[97\]; the state of incorporation and principal place of
business or, for an individual, the address of the person making the
disbursement \[98\]; the amount of each disbursement during the period
covered by the statement and the identification of the person to whom
the disbursement was made \[99\]; the elections to which the
electioneering communications pertain and the names, if known, of the
candidates identified or to be identified \[100\]; if the disbursements
were made by a committee, the names and addresses of all persons who
contributed to the committee for the purpose of publishing or
broadcasting the electioneering communications \[101\]; if the
disbursements were made by an organization other than a committee, the
names and addresses of all persons who contributed to the organization
for the purpose of publishing or broadcasting the electioneering
communications \[102\]; and, whether or not any electioneering
communication is made in coordination, cooperation, or concert with or
at the request or suggestion of any candidate, candidate committee,
political party or agent of any candidate, candidate committee or
political party and, if so, the identification of the candidate,
candidate committee, political party, or agent involved \[103\].

**D. Electronic Reporting.** A candidate for governor, lieutenant
governor, mayor, prosecuting attorney, or county council must file
reports by electronic means \[104\] either via modem or on computer
diskettes \[105\] if they have contributions or expenditures of \$5,000
or more \[106\]. The Campaign Spending Commission also intends to make
electronic filing options available to other candidate committees,
non-candidate committees, and political parties \[107\]. The Hawaii
Electronic Reporting and Tracking System is a customized IBM-compatible
accounting software program using a Windows-based architecture \[108\].

**E. Special Reporting by State Contractors.** A person who has received
\$50,000 or more through contracts from the State of Hawaii (other than
through a grant, subsidy, or certain purchase of service agreements) in
any calendar year and who contributes to any candidate, committee, or
political party must register with and report to the Campaign Spending
Commission within 30 days of the contribution or within 30 days of the
date of the contract \[109\]. The report must include the name and
address of the person making the contribution \[110\]; the name of the
candidate, political committee, or political party receiving the
contribution \[111\]; the amount of money received from the state or
county; the dates; and information identifying the services performed or
goods provided \[112\]; and, if an entity is making the contribution,
the names and business address of the principals, including officers and
directors \[113\].

**V. PUBLIC FINANCING PROVISIONS**

Hawaii provides for public financing of races for any non‑federal,
elective public or constitutional office. The Hawaii election campaign
fund is comprised of appropriated general fund revenues, money paid into
the fund by candidates and committees in circumstances as noted above,
and designation on individual income tax returns \[114\]. Candidates for
governor, lieutenant governor, or mayor may receive public funding in an
amount not greater than 10% of the total expenditure limit set forth
under the voluntary limitations provisions in any election \[115\].
Candidates for the offices of state senator, state representative,
county council member, and prosecuting attorney may receive an amount
not greater than 15% of the total expenditure limit for each office in
any election \[116\]. For the board of education and all other offices,
the maximum amount of public funds available to a candidate may not
exceed \$100 in any election year \[117\].

To receive public financing for any primary or general election, a
candidate must file a voluntary expenditure limitation affidavit
\[118\], and receive qualifying contributions exceeding \$100,000 for
gubernatorial candidates \[119\]; \$50,000 for those running for
lieutenant governor \[120\]; \$50,000 for mayoral candidates in the
County of Honolulu \[121\]; \$15,000 for mayoral candidates in the
County of Hawaii \[122\]; \$10,000 for mayoral candidates in the County
of Maui \[123\]; \$5,000 for mayoral candidates in the County of Kauai
\[124\]; \$30,000 for prosecutorial candidates in the County of Honolulu
\[125\]; \$10,000 for prosecutorial candidates in the County of Hawaii
\[126\]; \$5,000 for prosecutorial candidates in the County of Kauai
\[127\]; \$5,000 in contributions for the office of county council in
the counties of Honolulu and Maui \[128\]; \$3,000 in contributions for
the office of county council in the County of Kauai \[129\]; and \$1,500
in contributions for the office of county council in the County of
Hawaii \[130\]; \$2,500 for the state senate \[131\]; \$1,500 for state
representative \[132\]; and \$500 in contributions for anyone seeking
any other office \[133\].

Qualifying contributions are those which are received by a candidate
after filing a statement of intent to seek qualifying contributions,
aggregate less than \$100 for any one contributor during any matching
payment period, and are detailed in records showing the contribution
date and amount, along with information on the name and mailing address
of the contributor \[134\]. Finally, candidates must agree to keep
detailed records of contributions and expenditures and limit
expenditures \[135\]; agree to audits and examinations by the
commission, and to pay any amounts required to be paid by virtue of an
audit; and qualify to be on the election ballot \[136\].

Payment of public funds is made on the basis of an amount equal to each
qualifying contribution received during the matching payment period
involved \[137\].

Applications for public funding by those receiving the qualifying sum of
contributions may be made after the candidate has become a candidate in
a primary, special primary, special, or general election \[138\]. Funds
are to be disbursed to the candidate within 20 days after the initial
application is made \[139\]. The application must contain detailed
records on qualifying contributions \[140\]. Subsequent funding may be
received by submitting statements to the Commission containing the same
information as required by the initial statement as to donors who have
contributed to the candidate since the most recent filing \[141\].
Funding based on supplemental reports must be made by the commission
within two weeks after receipt of the required information \[142\].

Public campaign funds may only be used on behalf of an eligible
candidate \[143\], and may not be transferred from one election to
another nor transferred to another candidate \[144\]. Public funds must
be deposited in a financial institution authorized to do business in
Hawaii, and all expenditures of public funds must be made by checks
drawn on the account \[145\]. Public funds may only be used by a
candidate for filing fees, media costs, and printing expenses \[146\],
though public funds may be used to repay a loan if the loan proceeds
were used to pay for authorized campaign expenses \[147\].

A candidate or committee which exceeds the aggregate expenditure
limitations set for any respective office must notify all opponents and
the Commission by telephone and in writing the day the expenditure
limits are exceeded \[148\].

A candidate may receive public funding if even if the candidate is
unopposed for the office in the same election \[149\]. If a candidate's
final report shows that he or she has spent less than the maximum amount
of public funds permitted for the office, all unexpended funds are to
revert to the Hawaii election campaign fund \[150\]. Each candidate's
qualifying contributions and campaign expenses are audited by the
commission within 60 days after each general election \[151\]. Any
excess payments which the Commission notifies the candidate of within
two years after payment of such funds must be refunded \[152\]. The
candidate is required to pay to the fund an amount equal to three times
the amount of any public funds found to have been used for any improper
purpose \[153\]. Any recipient of public funds convicted of violating
any of the provisions of the public funding laws is required to
reimburse the full amount of public money received by the candidate to
the campaign fund \[154\].

**VI. TAX PROVISIONS**

Hawaii permits an individual to designate \$2 (or in the case of a
married couple filing jointly, \$2 by each spouse) of tax liability to
the election campaign fund \[155\]. This checkoff does not increase
taxes. Individuals may also choose to receive a tax deduction for up to
\$500 per year for contributions aggregating \$100 or less to any single
candidate \[156\] (candidates must, however, agree to adhere to the
expenditure limits and file the required affidavit before a deduction is
to be permitted) \[157\], or claim a deduction for contributions of not
more than \$100 to a party central or county committee \[158\]. A
receipt or copy of a canceled check must be attached to the tax return
to qualify for a deduction \[159\].

If no designation was made on the original tax return when filed, a
designation may be made by an individual on an amended return filed with
20 months and ten days after the due date for the original return for
the taxable year \[160\]. A designation cannot be revoked once it has
been made \[161\].

**VII. POST‑ELECTION REQUIREMENTS**

Supplemental reports are required every six months, beginning not later
than 4:30 p.m. on the 30th day after the last day of the election year,
if a reporting entity has a deficit, until the deficit is eliminated
\[162\]. The first report is also due by 4:30 p.m. on the 30th day after
the last day of the election year, and cumulative reports providing
information as required in final reports must be filed each six months
until an individual becomes a candidate again, or in the case of a party
or committee, until they participate in another election \[163\].
Termination of registration or reregistration with the commission for a
new election period also may end supplemental reporting requirements
\[164\].

The campaign treasurer for a candidate receiving public funds for his
campaign is required to file a report with the commission not later than
20 days following an election, showing that all public funds paid to the
candidate were properly utilized \[165\]. All candidates who cease to be
candidates, committees directly associated with those candidates,
individuals receiving contributions but not filing for nomination, or
committees or parties discontinuing their activities are required to
return contributions to donors \[166\]. If the donor cannot be found
within four years, or if the contributions were public funds, the
residuals escheat to the Hawaii election campaign fund, or may be
donated to a nonprofit organization of the candidate's choice \[167\].
In the event of a death of a candidate, the candidate's committee, if
any, must return all residual private contributions to the donors, with
any residual contributions not returned to the donors within 60 days of
the candidate's death escheating to the Hawaii election campaign fund or
may be donated to a nonprofit organization of the candidate's choice
\[168\]. After all residual funds have been distributed, the amounts and
manner of the disposition must be reported to the commission by the
candidate or campaign treasurer \[169\]. These requirements do not apply
to elected officials or to candidates who fail to be nominated or
elected, or elected officials who resign their office before the end of
their term yet who fail to file to become a candidate for re-election
within four years after the end of the term from which they resigned
\[170\].

Excess contributions, those received above the expenditure limit for
candidates receiving public financing, may be used after a general or
special election for any fund raising activity, for any other
candidate‑sponsored politically‑related activity \[171\], for any
ordinary and necessary expenses incurred in connection with the
candidate's duties of an elected state office \[172\], or for any
contribution to any community service, educational, youth, recreational,
charitable, scientific, or literary organization, or any other Campaign
Spending Commission-approved organization provided that in any election
cycle, the total amount of all contributions from campaign funds and
surplus funds are no more than the maximum amount that one person or
other entity may contribute to that candidate \[173\].

All records are to be retained by those required to report expenditures
for at least five years after the filing deadline for each report, while
the Campaign Spending Commission may also require candidates who sought
election to a four-year office to maintain records for an additional
five-year period \[174\].

**VIII. OFFENSES AND PENALTIES**

Failure to file or correct a report when due results in a penalty of
\$50, while failure to respond after a newspaper or web site
notification of delinquency results in an additional penalty of \$50 for
each day a report remains overdue or uncorrected \[175\].

Willful violations of the campaign finance laws by any natural person
subjects the individual to penalties specified for misdemeanors, and
conviction disqualifies an individual from holding elective office for
four years \[176\]. A natural person may also be administratively fined
as much as \$1,000 for each occurrence, or an amount equivalent to three
times the amount of an unlawful contribution or expenditure, whichever
is greater \[177\]. Corporations, labor unions, organizations, or
associations violating the campaign finance laws are subject to a fine
of not more than \$1,000 per occurrence \[178\]. An officer, director,
or agent of such an entity who knowingly authorizes, orders, or performs
an act constituting a violation of the act is also individually liable
\[179\]. Any person is eligible to sue for injunctive relief to compel
compliance with the campaign finance laws \[180\]. A five‑year statute
of limitations, beginning on the latter of the date of violation or date
of filing of the report covering the period in which the violation
occurred, is imposed \[181\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Campaign Spending Commission.** The Campaign Spending Commission is
composed of five members selected by the governor from 10 persons,
nominated by the judicial council \[182\]. Members are appointed for
four-year terms \[183\]. Commissioners and staff members are barred from
participation in any political campaign during their terms of office or
employment, including making a financial contribution to a candidate or
political committee \[184\]. The Commission is under the office of the
lieutenant governor for administrative purposes \[185\].

The Commission's principal duty is to supervise campaign contributions
and expenditures \[186\], and is afforded responsibility for prescribing
the form of reports, aiding committees in compliance with the reports,
and monitoring filed reports \[187\], administering and monitoring the
distribution of public funds \[188\], investigating and holding hearings
to receive evidence of violations \[189\], and censuring candidates,
seeking injunctive relief for violations, or request the initiation of
prosecution \[190\]. The Commission is also empowered to issue cease and
desist orders \[191\], and require the filing of required statements or
reports \[192\] and return of contributions or reimbursement of
unauthorized expenditures \[193\].

A complaint must be filed in writing, and signed under oath by the
complainant \[194\]. A complaint initiated by the Commission must be in
writing and signed by the executive director \[195\]. Notice is afforded
the person cited, along with an opportunity to respond \[196\]. The
Commission may investigate the complaint \[197\]. The Commission must,
after an investigation and review of the response of the person cited,
promptly determine whether probable cause exists to believe that a
violation has been committed \[198\]. Witnesses have the same rights and
responsibilities as in court, and those whose names are mentioned in
proceedings and may thus be adversely affected, may appear personally
before the commission or file a written statement for incorporation into
the proceedings \[199\]. After conclusion of proceedings, the Commission
must immediately begin deliberations and determine by majority vote
whether probable cause exists to believe that a violation has occurred
\[200\]. If probable cause is found, the Commission must so notify the
person complained against \[201\]. If the Commission determines that
there has been an unintentional violation, the Commission may order the
violator to temporarily cease and desist violation \[202\], or file any
report, statement, or other information required \[203\]. There is no
prohibition against disclosure of information about an investigation
\[204\].

**B. Attorney General and Prosecuting Attorney.** The attorney general
and prosecuting attorney of the appropriate county have concurrent
jurisdiction for prosecution of violations \[205\]. Prosecution
commences with a written commission request or court order \[206\]. For
state offices, parties, or issues, the attorney general or prosecuting
attorney for the City and County of Honolulu is required to prosecute
the violation \[207\]. In choosing a prosecuting agency, the commission
is to be guided by whether there will be any conflicting interest
between the agency and its appointive authority \[208\]. Expeditious
judicial processing of campaign finance lawsuits is required \[209\].

# References

1\. Hawaii Revised Statutes (hereafter HRS)

§ 11‑191. This definition includes the cost

of an insurance premium paid for by a

motor vehicle dealer to insure against a

hole-in-one at a candidate's golf

tournament in which the prize for such

an event is a new motor vehicle from

the dealer, Advisory Letter No. 98‑04,

May 29, 1998, but does not include certain

free-host web site services, Campaign

Spending Commission Advisory Opinion

No. 00-06, June 13, 2000. *See also*,

Campaign Spending Commission Advisory

Opinion No. 00-04, February 29,2000

2\. HRS § 11‑191

3\. HRS § 11‑191

4\. HRS § 11‑191

5\. HRS § 11‑191

6\. HRS § 11‑207(a)

7\. HRS § 11‑191

8\. HRS § 11‑204(c)

9\. HRS § 11‑204(a)(1)

10\. HRS § 11‑204(a)(3)

11\. HRS § 11‑204(a)(2)

12\. Campaign Spending Commission

Rules and Regulations (hereafter

Rules) § 2‑14.1‑8(c)

13\. Rules § 2‑14.1‑8(d)

14\. Rules § 2‑14.1‑10

15\. HRS § 11-204(l)

16\. HRS § 11-204(b); *see*, Campaign

Spending Commission Advisory Opinions

No. 99-05, September 21, 1999, 99-08,

January 11, 2000

17\. Attorney General Letter Opinion

(hereafter Att. Gen. Ltr. Op.) August 10,

1998; HRS § 11-191

18\. HRS § 11‑204(k)

19\. HRS § 11‑204(k)(1)

20\. HRS § 11‑204(k)(2)

21\. Hawaii Campaign Spending

Commission, *1998 Guidebook*

*for Candidate Committees* (1997) at 1

22\. HRS § 11‑204(e)(1)

23\. HRS § 11‑204(e)(2)

24\. HRS § 11‑201(a)

25\. HRS § 11‑201(b)

26\. HRS § 11‑201(c)

27\. HRS § 11‑202

28\. HRS § 11‑204(d)

29\. HRS § 11‑199(b)

30\. HRS § 11‑199(a)

31\. HRS § 11‑199(d)

32\. HRS § 11‑200(a)

33\. HRS § 11‑200(c)

34\. HRS § 11-204(j)

35\. Campaign Spending Commission

Advisory Opinion No. 98-02,

March 10, 1998

36\. HRS § 11‑205.6(b)

37\. HRS § 11‑205.6(b)

38\. HRS § 11‑205.6(c)

39\. HRS § 11‑205.6(e)

40\. HRS § 11‑205.6(d)

41\. HRS § 11‑191

42\. HRS § 11‑191

43\. HRS § 11‑191

44\. HRS § 11‑191

45\. HRS § 11‑191

46\. Att. Gen. Ltr. Op. January 8, 1974

47\. HRS §§ 11‑208, 11‑194

48\. HRS § 11‑109(a)

49\. HRS § 11‑209(a)

50\. HRS § 11‑209(a)(1)

51\. HRS § 11‑209(a)(2)

52\. HRS § 11‑209(a)(4)

53\. HRS § 11‑209(a)(3)

54\. HRS § 11‑209(a)(5)

55\. HRS § 11‑200(a)(1)-(3)

56\. Campaign Spending Commission

Advisory Opinion No. 97-01,

July 7, 1997

57\. HRS § 11‑200(b)(2); Campaign

Spending Commission Advisory Opinion

No. 99-06, November 9, 1999

58\. HRS § 11‑200(b)(3); Campaign Spending

Commission Advisory Opinion No. 00-02,

February 29,2000

59\. Rules § 2‑14.1‑14(b)

60\. Campaign Spending Commission

*Declaratory Order* No. 76-02; Campaign

Spending Commission Advisory Opinion

No. 01-03, June 5, 2001

61\. Rules § 2‑14.1‑14(d)

62\. HRS § 11‑198(c); *see*, Campaign Spending

Commission Advisory Opinion No. 01-01,

March 13, 2001

63\. HRS § 11‑207(c)

64\. HRS § 11‑207(b)

65\. Campaign Spending Commission

Advisory Opinion No. 98-15,

October 20, 1998

66\. HRS § 11‑194(c)

67\. HRS § 11‑194(a)

68\. HRS § 11‑195(b)

69\. HRS § 11‑195(b)

70\. HRS § 11‑195(b)

71\. HRS § 11‑194(b)

72\. HRS § 11‑194(c)

73\. HRS § 11‑196(a)(1)

74\. HRS § 11‑196(a)(2)

75\. HRS §§ 11‑196(a)(3), (4)

76\. HRS § 11‑196(a)(5)

77\. HRS § 11‑196(a)(6)

78\. HRS § 11‑196(a)(7)

79\. HRS § 11‑196(b)

80\. HRS § 11‑197

81\. HRS § 11‑212(a)

82\. HRS §§ 11‑212(a); 11‑195(a)

83\. HRS §§ 11‑212(a), (b)

84\. HRS § 11‑212(c)

85\. HRS § 11‑213(e)

86\. Rules § 2‑14.1‑3

87\. HRS § 11‑213(a)

88\. HRS § 11‑213(b)

89\. HRS § 11‑213(c)

90\. HRS § 11‑213(e)

91\. HRS § 11‑213(f)(2)

92\. HRS § 11‑213(h)

93\. HRS § 11-207.5(a)

94\. HRS § 11-207.5(b)

95\. HRS § 11-207.6(c)

96\. HRS § 11-207.6(a)

97\. HRS § 11-207.6(b)(1)

98\. HRS § 11-207.6(b)(2)

99\. HRS § 11-207.6(b)(3)

100\. HRS § 11-207.6(b)(4)

101\. HRS § 11-207.6(b)(5)

102\. HRS § 11-207.6(b)(6)

103\. HRS § 11-207.6(b)(7)

104\. HRS § 11‑195(f)

105\. Hawaii Campaign Spending

Commission, *CSC Bulletin Board*,

Vol. 1, No. 1 (June, 1995) 2

106\. HRS § 11-195(f)

107\. Hawaii Campaign Spending

Commission, *CSC Bulletin Board*,

Vol. 1, No. 1 (June, 1995) 2

108\. Hawaii Campaign Spending

Commission, *1998 Guidebook*

*for Candidate Committees* (1997) at 26

109\. HRS § 11‑205.5(a)

110\. HRS § 11‑205.5(b)(1)

111\. HRS § 11‑205.5(b)(2)

112\. HRS § 11‑205.5(b)(3)

113\. HRS § 11‑205.5(b)(4)

114\. HRS § 11‑217

115\. HRS § 11‑218(a); *see,* Campaign

Spending Commission Advisory

Opinion No. 99-03, September

14, 1999

116\. HRS § 11‑218(b)

117\. HRS § 11‑218(c)

118\. HRS § 11‑208

119\. HRS § 11‑219(1)

120\. HRS § 11‑219(2)

121\. HRS § 11‑219(3)(A)

122\. HRS § 11‑219(3)(B)

123\. HRS § 11‑219(3)(C)

124\. HRS § 11‑219(3)(D)

125\. HRS § 11‑219(4)(A)

126\. HRS § 11‑219(4)(B)

127\. HRS § 11‑219(4)(C)

128\. HRS §§ 11-219(5)(A), (C)

129\. HRS § 11-219(5)(D)

130\. HRS § 11-219(5)(B)

131\. HRS § 11‑219(6)

132\. HRS § 11‑219(7)

133\. HRS § 11‑219(8)

134\. HRS § 11‑220

135\. HRS § 11‑209

136\. HRS §§ 11‑220(a), (b)

137\. HRS § 11‑221

138\. HRS § 11‑222(b)

139\. HRS § 11‑222(a)

140\. Rules § 2‑14.1‑19(a)

141\. Rules § 2‑14.1‑19(b)

142\. HRS § 11‑222(c)

143\. HRS § 11‑223(b)(1)

144\. HRS § 11‑223(d)

145\. HRS § 11-223(e)

146\. Rules 2‑14.1‑11(a)

147\. HRS § 11-223(b)(2)

148\. HRS § 11‑209(b)

149\. HRS § 11‑223(c)

150\. HRS § 11‑223(f)

151\. HRS § 11‑225(a)

152\. HRS § 11‑225(c)

153\. HRS § 11‑225(d)

154\. HRS § 11‑225(e)

155\. HRS § 11‑235‑102.5

156\. HRS § 11‑235‑7(g)(2)

157\. HRS § 11‑226(c); Att. Gen. Ltr. Op

August 14, 1980

158\. HRS § 11‑235‑7(g)(1)

159\. HRS § 11‑12‑226(e)

160\. HRS § 11-235-102.5

161\. HRS § 11-235-102.5

162\. HRS § 11‑213(b)

163\. HRS § 11‑213(d)(2)

164\. HRS § 11‑213(f)

165\. HRS § 11‑224

166\. HRS § 11‑214(a)

167\. HRS §§ 11‑214(a), (b)

168\. HRS § 11‑214(a)

169\. HRS § 11‑214(c)

170\. HRS § 11‑214(d)

171\. HRS § 11‑206(c)(1)

172\. HRS § 11‑206(c)(2)

173\. HRS § 11‑206(c)(3)

174\. Rules § 2‑14.1‑6

175\. HRS § 11-193(a)(5)

176\. HRS § 11‑229(a)

177\. HRS § 11‑228(a)(1)

178\. HRS § 11‑228(a)(2)

179\. HRS § 11‑228(a)(3)

180\. HRS § 11‑228(b)

181\. HRS § 11‑229(c)

182\. HRS § 11‑192

183\. HRS § 11‑192.5(a)

184\. HRS § 11‑192

185\. HRS § 11‑192

186\. HRS § 11‑193(b)

187\. HRS §§ 11‑193(a)(1)-(3), (12), (17)

188\. HRS § 11‑193(a)(11)

189\. HRS §§ 11‑193(a)(6), (7)

190\. HRS §§ 11‑193(a) (10), (15), (16); *but see,*

*Ancheta v. Watada*, 135 F.Supp. 1114

(D.Hawaii 2001) at 1123-24

191\. HRS § 11‑216(f)(4)

192\. HRS §§ 11‑216(f)(5); 11-205.5(c)

193\. HRS §§ 11-216(f)(1), (2)

194\. HRS § 11-216(a)

195\. HRS § 11-216(a)

196\. HRS § 11-216(b)

197\. HRS § 11-216(b)

198\. HRS § 11-216(c)

199\. HRS § 11-216(c)(1)

200\. HRS § 11-216(c)(2)

201\. HRS § 11-216(e)

202\. HRS § 11-216(f)(4)

203\. HRS § 11-216(f)(5)

204\. *See*, *Lind v. Grimmer*, 30 F.3d 1115

(9th Cir. 1994)

205\. HRS § 11‑229(a)

206\. HRS § 11‑229(b)(1)

207\. HRS § 11‑229(b)(2)

208\. HRS § 11‑229(b)

209\. HRS § 11‑229(c)

**CAMPAIGN FINANCE LAW**

**IN IDAHO**

**I. INTRODUCTION**

Idaho requires all candidates and political committees to report all
information on all contributions and expenditures. A pre-election and
post-election report is required by those involved in the election. In
addition, an October 10 report is required by those involved in the
general election. Annual reports are required annually in the event of
an unexpended balance. An April 10 and July 10 report are required by
measure-related political committees. Persons making independent
expenditures of more than \$100 must file statements of the expenditure
seven days before an election and not later than 30 days after the
general election. A non-business entity, which makes expenditures
exceeding \$1,000 in a calendar year must file a statement.
Contributions to candidates from individuals, corporations, political
action committees or other recognized legal entities are limited to
\$5,000 each for a primary or general election for statewide office, and
\$1,000 for each election for candidates for legislative, judicial or
auditorium district, county, and city office. A state political party
central committee may contribute \$10,000 to statewide candidates and
\$2,000 to other candidates for each election. Idaho provides a \$1 tax
checkoff, with funds distributed to the political party designated by
the taxpayer. The Secretary of State is responsible for overseeing the
campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution includes any advance,
conveyance, forgiveness of indebtedness, deposit, distribution, loan,
payment, gift, pledge, subscription, or transfer of money or anything of
value, and any contract, agreement, promise, or other obligation to make
a contribution in support of or in opposition to any candidate,
political committee, or measure \[1\]. A contribution also includes
personal funds or other property of a candidate or members of the
candidate's household expended or transferred to cover expenditures
incurred in support of the candidate, and the rendering of personal and
professional services for less than full consideration \[2\]. Services
or property or rights furnished at less than their fair market value for
the purpose of assisting a candidate or political committee are deemed
in-kind contributions \[3\]. Contributions other than money or its
equivalent are deemed to have a monetary value equivalent to the fair
market value of the contribution \[4\].

A contribution does not include personal funds to pay the candidate's
filing fee, ordinary home hospitality, or the rendering of "part‑time"
personal services of the sort commonly performed by volunteer campaign
workers or advisors, or incidental expenses not in excess of \$25
personally paid for by any volunteer campaign worker \[5\].

**B. Limitations on Contributions.** All individuals, corporations,
unions, and other organizations, except certain non‑exempt state
employees \[6\] and officers and employees of the Idaho Department of
Transportation \[7\], may make contributions of money, goods, or
services to a candidate or political committee. Contributions to
candidates from individuals, corporations, political action committees
or other recognized legal entities are limited to an aggregate of
\$5,000 each for a primary or general election for statewide office, and
\$1,000 for each election for candidates for legislative, judicial or
auditorium district, county, and city office \[8\]. A state political
party central committee may contribute \$10,000 to statewide candidates
and \$2,000 to other candidates for each election \[9\]. Loans may not
exceed contribution limits \[10\].

Non‑exempt state employees may not coerce, attempt to coerce, or direct
another such employee to make a political contribution \[11\], although
they personally may make financial contributions \[12\].

Coercion or physical force, the threat of job discrimination or
financial reprisals, and conditioning employment or membership on making
a contribution are tactics that may not be used to obtain contributions
for a political committee \[13\].

If a political committee obtains contributions on an automatic basis,
including through use of a payroll deduction plan, the individual who is
contributing must affirmatively consent in writing to the contribution
at least once every calendar year \[14\].

No contribution may be received by or on behalf of a candidate or
political committee except through the treasurer \[15\], and no
contributions may be received if there is a vacancy in the office of
treasurer \[16\].

The identity of the source of each contribution must not be concealed by
use of a fictitious name, anonymity, or an agent \[17\]. Anonymous
contributions of more than \$50 must be returned to the donor or if this
is not possible, the entire contribution must be immediately transferred
to the state controller for deposit in the public school fund \[18\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure includes any payment,
contribution, subscription, distribution, loan, advance, deposit, or
gift of money or anything of value and includes a contract, promise, or
agreement to make an expenditure \[19\]. An expenditure also includes a
promise to pay, payment or transfer of anything of value in exchange for
goods, services, property, facilities, or anything of value for the
purpose of assisting, benefitting, or honoring any public official or
candidate or assisting in furthering or opposing any election campaign
\[20\].

**B. Definition of Independent Expenditure.** "Independent expenditure"
means any expenditure by a person for a communication expressly
advocating the election, passage or defeat of a clearly identified
candidate or measure that is not made with the cooperation or with the
prior consent of, or in consultation with, or at the consent of, or in
consultation with, or at the request of a suggestion of, a candidate or
any agent or authorized committee of the candidate or political
committee supporting or opposing a measure \[21\]. The phrase "expressly
advocating" means any communication containing a message advocating
election, passage or defeat including, but not limited to, the name of
the candidate or measure, or expression such as "vote for," "elect,"
"support," "cast your ballot for," "vote against," "defeat" or "reject"
\[22\].

**C. Limitations on Nature of Expenditures.** There are no limitations
imposed upon how much money a candidate or political committee may
expend \[23\]. Expenditures may not be made in a way that conceals the
identity of the individual or organization receiving the payment \[24\].

**IV. REPORTING REQUIREMENTS**

**A. Report of Contributions and Expenditures by Candidates, Political
Committees, and Nonbusiness Entities.** All candidates for nomination or
election to state offices---governor, lieutenant governor, secretary of
state, state controller, state treasurer, attorney general,
superintendent of public instruction, justice of the supreme court,
judge of the appellate court, district court judge, state senator, and
state representative---are required to file reports with the Secretary
of State \[25\]. Political committees---groups or organizations that
receive contributions and make expenditures of more than \$500 in a
calendar year in support of or opposition to a state office candidate or
statewide ballot measure or that are specifically designated to support
a candidate or measure (regardless of actual receipts or contributions)
\[26\]---are also required to file reports of contributions and
expenditures \[27\]. An organization becomes a political committee for
reporting purposes if the organization contributes in excess of \$500 to
a political committee that in turn uses the contribution in support of a
candidate or measure \[28\] or if the donor could reasonably expect that
contribution to be used to support or oppose a candidate or measure
\[29\]. A non-business entity, domiciled in the State of Idaho, which
makes expenditures exceeding \$1,000 in any calendar year for the
purpose of supporting or opposing one or more candidates or measures is
also required to report within 30 days after meeting the threshold
\[30\]. Candidates for mayor and council in cities of 16,000 or more in
population are also required to follow reporting requirements, but these
reports are filed with the appropriate city clerk \[31\]. Candidates for
all elected county offices are also covered under the Act, but reports
are filed with the appropriate county clerk \[32\].

While actual reporting is not required of them, every newspaper,
broadcasting station, periodical, direct mailing company printer, and
advertising agency that accepts expenditures from any political
treasurer is required to keep a current public record of the amounts
paid and obligations incurred by the maker \[33\].

State party central committees are required to the same reports required
of other political committees \[34\]. State party central committees
must deposit funds distributed to political parties into the political
party's account established under statute and all such funds must be
reported on the disclosure reports required in that chapter \[35\].

Several different reports must be filed in an election year. The first
report is due between 14 and seven days before a primary and is to be
current to the 15th day before the primary election \[36\]. Candidates
and committees must file a report covering contributions and
encumbrances made between the 15th day prior to the primary to and
including the 10th day following the primary by 30 days after the
primary \[37\]. For general election candidates and committees, three
additional reports are due. Not later than October 10 immediately
preceding a general election, the candidate or political committee must
report all contributions received and all expenditures or encumbrances
made by or on behalf of the candidate or political committee since and
including the 11th day after the date of the primary election, and
including September 30 \[38\]. An additional pre‑general election report
is due between 14 and seven days before the election, covering the
period between the October 1, and to and including the 16th day before
the general election \[39\]. General election candidates and committees
must file not later than 30 days following the election a report of
contributions, expenditures, and encumbrances made by or on their behalf
between the 15th day before the general election up to and including the
10th day after the general election \[40\].

A written notification is also required for certain late contributions.
This notification is required to be filed within 48 hours after a
treasurer for a candidate or committee supporting or opposing a measure
receives any contribution of \$1,000 or more after the 16th day before,
but more than 48 hours before, a primary or general election \[41\]. The
notification must be made even if the late contributions are from the
candidate's own funds \[42\], and includes in-kind contributions made by
a third party \[43\].

A report is required to be filed with the Secretary of State not less
than seven days before the primary election and general election and 30
days after the primary and general election by any person who made
expenditures aggregating more than \$100 in support of or opposition to
any candidate, political committee, or measure other than by a
contribution to a candidate or political committee \[44\]. The report
must include the name and address of any person to whom an expenditure
of more than \$50 has been made, together with the amount, date, and
purpose of each such expenditure \[45\] and the total sum of all
expenditures made \[46\].

The date of a postmark is considered to be the date of receipt of a
report, except for the seven-day pre-election reports which must be
received by the Secretary of State not later than 5:00 p.m. on the
seventh day before the primary election or the general election \[47\].
Reports may be filed through facsimile transmission \[48\], but must be
clear and distinct to provide for a clear copy \[49\]. Computer
printouts may be used in lieu of the state forms, as long as a sample is
first submitted to the Secretary of State's office for approval, and the
secretary determines that they are approximately the same format used in
the state forms; all data are clearly labeled; they are programmed to
ensure a calendar year-to-date entry for each contributor; and the font
used in printing is at least 10-point \[50\].

Required reports must set forth a list of all contributions received,
including funds or property of the candidate used to cover expenditures
\[51\]. The statement must list the full name and complete address of
each person who contributed an aggregate amount of more than \$50 and
the amount contributed by that person \[52\]. The total amount of
contributions of \$50 or less each obtained in a similar fashion may be
listed as a single item \[53\].

Reports are also to list the name and address of each person to whom an
expenditure of \$25 or more was made and the date, amount, and purpose
of each such expenditure \[54\]. Each expenditure of \$25 or more is to
be vouched for by a receipt or canceled check \[55\]. The total amount
of expenditures of less than \$25 may be listed as a single item without
showing the exact amount of or vouching for each such expenditure
\[56\]. Anything of value paid for or contributed by any person must be
listed both as an expenditure and as a contribution \[57\].

Reports of late contributions must include the name of the candidate or
measure, the contributor's name, the date of receipt, and amount of the
contribution \[58\].

Errors may be corrected by filing an amended report \[59\]. If no
contributions are received or expenditures made during the required
reporting period, the report must so state \[60\].

**V. PUBLIC FINANCING**

Idaho provides the checkoff funds to political parties, as designated by
taxpayers. Each party receives all its earmarked funds \[61\], and 90%
of the general campaign fund monies are distributed to all parties
proportionate to their share of the gubernatorial votes cast in the last
election \[62\]. No party may receive more than half of this amount
\[63\]. Any amounts greater than one‑half are then aggregated and
distributed equally among all parties qualifying candidates at the
following general election \[64\]. Funds are distributed on the Tuesday
after the first Monday of August in even‑numbered years \[65\].

**VI. TAX PROVISIONS**

Idaho allows individuals with a state income tax liability of at least
one dollar to direct one dollar of the liability to a political party
fund \[66\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Reports.** If the post‑general election report of
contributions and expenditures shows an unexpended balance of
contributions or an expenditure deficit, the political treasurer for the
candidate or political committee must continue to file annual reports on
January 31st to cover the period since the end of the last report
period, to and including the last day of the month preceding the month
in which the report is filed \[67\]. Such reports are to be filed until
the account shows no unexpended balance or contribution or expenditure
deficit \[68\].

**B. Disposition of Surplus Funds.** Following the general election, a
candidate or political committee may retain any unexpended balances for
a future campaign or dispose of surplus funds, with reporting required
until an account shows a zero balance \[69\].

Surplus funds may only be used for the defrayal of ordinary and
necessary expenses of an officeholder; unlimited transfers to any
national, state, or local party committee; donations to certain
specified tax-exempt charitable organizations; or for any lawful purpose
except for anyone's personal use \[70\]. Personal use is defined as use
of campaign funds for an expense that would exist without respect to the
candidate's campaign or duties as an officeholder \[71\].

**VIII. OFFENSES AND PENALTIES**

Violations of the campaign finance laws are punishable by civil fines of
not more than \$250 (for individuals) or not more than \$2,500 (for
others) \[72\]. However, willful and knowing violations may result in a
misdemeanor conviction, carrying not only fines as set forth for other
campaign finance law violations, but also subjecting the offender to the
possibility of up to six months imprisonment \[73\]. Violations of the
prohibitions on coercing contributions or failing to obtain written
consent for automatic contributions carries the punishment of civil
fines of not more than \$250 (for individuals) or not more than \$2,500
(for others) and the possibility of up to six months imprisonment
\[74\].

There is a two‑year statute of limitations on such violations, beginning
on the date the violation occurred \[75\]. Late reporting is penalized
by a \$50 per day fine paid to the Secretary of State, unless the
secretary impartially determines that the late filing was not willful
and that the purposes of the act would not be best served by imposing
the fine \[76\]. Liability may not, however, be waived if the required
filing is not made within five days after receiving written notice of
the filing requirements from the Secretary of State \[77\]. A willful
violation of provisions relating to political activity by state
employees is a misdemeanor \[78\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State serves as the filing
officer, and is to inspect each statement filed with that office within
two days after filing \[79\]. The Secretary of State is also required to
inspect all filed reports within three months after the election to
determine whether the reports conform to law and may require any person
to answer in writing and under oath concerning the source of any
contribution \[80\]. Written complaints alleging reporting violations
may be filed with the Secretary of State \[81\], who must then conduct
an investigation of the complaint \[82\].

**B. Clerk of Auditorium or Magistrate District.** The clerk of the
appropriate district court \[83\] or auditorium district \[84\] serves
as the filing officer for magistrate retention or auditorium district
elections.

**C. State Board of Examiners.** The State Board of Examiners, an
executive department of state government, has certain oversight
responsibilities. State party central committees are required to deposit
any public funds received into the proper party account, and report them
under law \[85\]. If the board finds that any of the expenditures
reported by the committee are not qualified election expenses, it must
notify the committee of the amount deemed to have been not qualified
\[86\]. The committee is then entitled to a hearing by the board, and,
if the board determines the expenditures not to be qualified, the
committee must pay to the state controller an amount equal to such an
amount to be credited to the public school fund \[87\].

**D. Attorney General and Prosecuting Attorney.** The attorney general
or the appropriate prosecuting attorney is empowered to prosecute any
violations of the Sunshine Law \[88\].

# References

1\. Idaho Code (hereafter IC) § 67‑6602(c)

2\. IC § 67‑6602(c)

3\. IC § 67-6610A(4)

4\. IC § 67-6610A(4)

5\. IC § 67‑6602(c); IC § 67-6610A(4)

6\. IC § 67‑5303

7\. IC § 40-318

8\. IC §§ 67-6610A(1); 4931

9\. IC § 67-6610A(2)

10\. P.T. Cenarrusa, *The 2000 Campaign*

*Finance Disclosure Manual for Candidates*

*and Political Committees* (hereafter

*Disclosure Manual* 2000) at 8

11\. IC § 67‑5311(1)(b)

12\. IC § 67‑5311(2)(h)

13\. IC § 67-6605

14\. IC § 67-6605

15\. IC § 67‑6603(c)(2)

16\. IC § 67‑6603(c)(1)

17\. IC § 67‑6614

18\. IC § 67‑6610(b)

19\. IC § 67‑6602(f)

20\. IC § 67‑6602(f)

21\. IC § 67-6602(g)

22\. IC § 67-6602(g). Some examples of

non-independent expenditures may be

found in coordination with a candidate's

campaign ; the use of common vendors;

solicitations on behalf of a candidate if the

person making the communication collects

and forwards the money to the candidate's

committee; distribution or re-publishing

of candidate-prepared material; and

prior contributions may also affect

independence. P.T. Cenarrusa, *Guidelines*

*Set by Secretary of State for*

*Independent Expenditures* (April 28, 1999).

23\. *Disclosure Manual* 1996 at 10

24.  IC § 67‑6614

25\. IC § 67‑6607

26\. IC § 67‑6602(n). Registration and

reporting requirements do not apply to

those individuals or entities whose

activities in support of or opposition to

a ballot proposition are limited to the costs

of pursuing legal challenges in court.

Opinions of the Idaho Attorney General

(hereafter Op. Att'y Gen.) September 13,

1996\. When a non-business entity spends

more than \$500 in support of a candidate

from its general treasury and the source of

that treasury money is membership dues,

the total amount of the expenditure is a

joint contribution attributable to each

member of the non-business entity. Op.

Att'y Gen. February 14, 1979, at 2.

27\. IC § 67‑6607(a)

28\. Op. Att'y Gen. 77‑29 at 223.

29\. Op. Att'y Gen. 77‑29 at 5

30\. IC § 67-6606

31\. IC § 50‑477

32\. IC § 31-2012

33\. IC § 67‑6613

34\. IC §§ 34‑2505; 67-6607

35\. IC §§ 34-2504; 67-6607

36\. IC § 67‑6607(a)(1)

37\. IC § 67‑6607(a)(2)

38\. IC § 67-6607(a)(4)

39\. IC § 67‑6607(a)(5)

40\. IC § 67‑6607(a)(6)

41\. IC § 67-6607(c)

42\. *Disclosure Manual* 2000 at 11

43\. *State ex rel. Lance v. Bradbury*

*et al.*, No. CV97-00887 (Dist. Ct.

2nd Jud. Dist, Nez Perce, Magistrate Div.)

February 12, 1998. *See*, letter from

Attorney General Alan Lance to Secretary

of State Pete T. Cenarrusa, February 19,

1998\. This does not apply to in-kind

contributions made between the 36th and

17th days before election day, *State ex rel.*

*Lance v. Cook*, 14 P.3d 1069 (Idaho 2000).

44\. IC § 67‑6611(1), (2)

45\. IC § 67-6611(3)(a)

46\. IC § 67-6611(3)(b)

47\. IC § 67-6607(d)

48\. IC § 67-6607(e)

49\. *Disclosure Manual* 2000 at 11

50\. *Disclosure Manual* 2000 at 11

51\. IC § 67‑6612(a)(1)

52\. IC § 67‑6612(a)(1)

53\. IC § 67‑6612(a)(1)

54\. IC § 67‑6612(a)(2)

55\. IC § 67‑6612(a)

56\. IC § 67‑6612(a)

57\. IC § 67‑6612(a)

58\. IC § 67-6607(c)

59\. *Disclosure Manual* 2000 at 11

60\. IC § 67‑6609

61\. IC § 34‑2503(a)

62\. IC § 34‑2503(b)

63\. IC § 34‑2503(b)

64\. IC § 34‑2503(b)

65\. IC § 34‑2503(c)

66\. IC § 63‑3088(a)

67\. IC § 67‑6608(a)

68\. IC § 67‑6608(a)

69\. *Disclosure Manual* 2000 at 11;

Op. Att'y Gen. 77‑29 at 2, 7; *see,* Op.

Att'y Gen. 77-23

70\. IC § 67-6610C

71\. Secretary of State *Campaign Disclosure*

*Workshop* (1997) Example 5.

72\. IC § 67‑6625(a)

73\. IC § 67‑6625(b)

74\. IC §§ 67-6605; 6625(b)

75\. IC § 67‑6625(d)

76\. IC § 67‑6625A

77\. IC § 67‑6625A

78\. IC § 67-5312

79\. IC § 67‑6615

80\. IC § 67‑6616

81\. IC § 67‑6615

82\. IC § 67‑6623

83\. IC § 1-2220A

84\. IC § 67-4931

85\. IC § 34‑2504

86\. IC § 34‑2505

87\. IC § 34‑2505

88\. IC § 67‑6625(c)

**CAMPAIGN FINANCE LAW**

**IN ILLINOIS**

**I. INTRODUCTION**

Illinois requires all political committees and certain nonprofit
organizations to file information on all contributions in a single
report before any election. Information on contributions and
expenditures must be filed in semi-annual reports. There are no limits
on contribution amounts. Illinois offers no tax incentives for political
contributions and no mechanism for public financing of election
campaigns. The City of Chicago, under its powers of home rule, has
enacted a separate campaign finance ordinance applicable to candidates
for any elected office of the government of the City of Chicago (Chapter
2-164 of the Municipal Code of Chicago). The Illinois State Board of
Elections is responsible for overseeing state campaign finance
provisions.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a gift,
subscription, donation, dues, loan, advance, deposit of money, or
anything of value knowingly received in connection with the nomination,
election, or retention of any person to public office, in connection
with the election of any person as ward or township committeeman in
counties of 3 million or more population, or in connection with any
question of public policy \[1\]; the purchase of tickets for fundraising
events, including, but not limited to, dinners, luncheons, cocktail
parties, and rallies made in connection with the nomination for
election, or election, of any person to public office, in connection
with the election of any person as ward or township committeeman in
counties of 3 million or more population, or in connection with any
question of public policy \[2\]; a transfer of funds between political
committees \[3\]; and the services of an employee donated by an
employer, in which case the contribution shall be listed in the name of
the employer \[4\] as an in-kind contribution \[5\].

"Anything of value" includes all things, services or goods, regardless
of whether they may be valued in monetary terms according to
ascertainable market value \[6\].

A contribution does not include individual services provided voluntarily
and without promise or expectation of compensation from any source
\[7\]; the use of real or personal property and the cost of invitations,
food, and beverages, voluntarily provided by an individual in rendering
voluntary personal services on the individual's residential premises for
candidate‑related activities that do not exceed an aggregate of \$150 in
a reporting period \[8\]; or the sale of any food or beverage by a
vendor for use in a candidate's campaign at a charge less than the
normal comparable charge, if the charge for use in a candidate's
campaign is at least equal to the vendor's cost \[9\].

"Anything of value" does not include any unreimbursed payments for
travel or living expenses related to travel made by an individual who
volunteers services on behalf of a candidate or political committee, to
the extent that the cumulative value of the payments does not exceed an
aggregate of \$150 with respect to an annual reporting period \[10\];
any news story, commentary, endorsement, or editorial of any media
outlet \[11\]; any regular publication by a membership organization,
labor union, or corporation to its officers, employees, members, or
stockholders, so long as the membership organization or corporation is
not organized primarily for political purposes \[12\]; or the occasional
use of real property for the purpose of conveying information to
officers, employees, members, or stockholders and their families \[13\].

**B. Limitations on Nature of Contributions.** No contribution may be
accepted or made by, or on behalf of, a political committee when there
is a vacancy in the office of chairman or treasurer \[14\]. All funds of
a political committee must be segregated from, and may not be commingled
with, any personal funds of officers, members, or associates of the
committee \[15\]. No person may make an anonymous contribution or
knowingly accept an anonymous contribution \[16\]. An anonymous
contribution is one for which the contributor is unknown, unnamed, or
the source of origin cannot be determined \[17\]. An anonymous
contribution must escheat to the state, and any political committee that
receives, such a contribution must forward it immediately to the state
treasurer \[18\]. Escheat is considered to be penal in nature \[19\]. No
person may make a contribution in the name of another, and no person
shall knowingly accept a contribution made by one person in the name of
another person \[20\]. There is no statutory remedy for contributions
made by one person in the name of another \[21\].

Every person who receives a contribution in excess of \$20 for a
political committee must, on demand of the treasurer, and in any event
within five days after receipt of the contribution, render to the
treasurer a detailed account, including the amount, name, and address of
the person making the contribution, and the date on which it was
received \[22\].

Raffles are a legal means of fundraising for political committees
\[23\]. A license is required and may be obtained by making an
application to the State Board of Elections \[24\]. The license
application must include certain specific information such as when and
where chances will be sold and when and where the drawing will be held
\[25\]. Among the criteria to be met to be eligible for a license is
that a political committee must have been in existence for at least one
year \[26\].

Any political committee which solicits or receives contributions on
behalf of any candidate that is not authorized, in writing, by the
candidate to do so must include a notice on the face or front page of
all literature and advertisements published, and following all
commercials broadcast, in connection with the candidate's campaign by
the committee or on its behalf, stating that the committee is not
authorized by the candidate and the candidate is not responsible for the
activities of the committee \[27\].

**C. Limitations on Fundraising During Legislative Sessions.** An
executive branch constitutional officer, a candidate for an executive
branch constitutional office, a member of the General Assembly, a
candidate for the General Assembly, a political caucus of the General
Assembly, or a political committee on behalf of any of the foregoing may
not hold a fundraising function in or within 50 miles of Springfield on

any day the legislature is in session during the period beginning 90
days before the later of the dates scheduled by either house of the
General Assembly for the adjournment of the Spring session and ending on
the later of the actual adjournment dates of either house of the Spring
session \[28\]; and during the Fall veto session \[29\]. For purposes of
this section, the legislature is not considered to be in session on a
day

that is solely a perfunctory session day or on a day when only a
committee is meeting \[30\].

This fundraising restriction does not apply to members and political
committees of members of the General Assembly whose districts are
located, in whole or in part, in or within 50 miles of Springfield and
candidates and political committees of candidates for the General
Assembly from districts located, in whole or in part, in or within 50
miles of Springfield, provided that the fundraising function takes place
within the member's or candidate's district \[31\].

**D. Limitations Pertaining to Government Entities and Employees.** No
public funds may be used for or against a candidate or proposition, nor
appropriated for political or campaign purposes to a candidate or
political organization \[32\].

No contributions may be knowingly offered or accepted on a face‑to‑face
basis by public officials or employees or by candidates on State
property except at a fundraising event for which the State property is
leased or rented \[33\].Contributions and solicitations in park district
buildings are also prohibited \[34\].

A state employee under the control of the governor may not solicit
contributions for the governor's political committee, and state
employees are encouraged not to make contributions to the governor's
political committee \[35\].

No person may solicit, orally or by letter, or be in any manner
concerned in soliciting any assessment, contribution, or payment for any
party or any political purpose from any officer or employee of the state
university civil service \[36\], and no person may, in any room or
building occupied for the discharge of official duties by any officer or
employee of the university civil service, solicit orally or by written
communication delivered in the public offices, or in any other manner,
or receive any contribution of money or other thing of value for any
party or political purpose from any university civil service office or
employee \[37\]. No officer, agent, clerk, or state employee who has
charge or control of any government building, office, or room may permit
any person to enter the premises to solicit or deliver written
solicitations, or to receive from, or give notice to, any university
civil service officer or employee \[38\].

An officer or employee of the state may not discharge, degrade, promote,
or in any other manner change the official rank or compensation of any
university civil service officer or employee, or threaten to do so, for
giving or withholding or neglecting to make any contribution of money or
other valuable thing for any party or political purpose \[39\]. An
applicant for appointment to the university civil service may not pay or
promise to pay, directly or indirectly, any money or other valuable
thing for an appointment, proposed appointment, promotion, or proposed
promotion \[40\].

All state merit employees are prohibited, during regular working hours,
from soliciting money from any person for any political purpose \[41\];
selling tickets for political meetings \[42\]; using or threatening to
use the influence or authority of the employee's position to coerce or
persuade any person to follow any course of political action \[43\]; or
making any contributions of money in behalf of any candidate for office
or for any public or political issue \[44\]. Employees whose salaries
are paid, in whole or in part, by federal funds and whose employment is
subject to the federal standards for a merit system of personnel
administration applicable to grant‑in‑aid programs may not engage in the
prohibited political activities at any time, whether during or outside
of regular working hours \[45\]. No state merit employee is required, as
a condition of employment or tenure, to make contributions in behalf of
any political party or any candidate for political office \[46\].

An officer or employee of the Chicago Sanitary District may not solicit,
orally or by letter, or give, receive, or be in any manner concerned in
soliciting, giving, or receiving any assessment, subscription, or
contribution from any member of the classified civil service for any
party or political purpose \[47\]. The same prohibition applies to park
district employees \[48\], and to employees of the park employees' and
retirement board employees' annuity and benefit fund \[49\]. No person
may solicit, orally or by letter, or be in any manner concerned in
soliciting any assessment, contribution, or payment for any party or
political purpose from any officer or employee of the Chicago Sanitary
District in the classified political service \[50\]. The same
prohibition applies to park district employees \[51\], and those of the
park employees' and retirement board employees' annuity and benefit fund
\[52\].

No person, may in any room or building occupied for the discharge of
official duties by any officer or employee in the sanitary district,
solicit orally or by written communication delivered in the public
office, or in any other manner, or receive any contribution of money or
other thing of value, for any party or political purpose, from any
member of the classified civil service; and no officer, agent, clerk, or
employee of the sanitary district who has charge or control of any
sanitary district building, office, or room may permit any person to
enter for the purpose of soliciting or delivering written solicitations
for, receiving from, or giving notice to any member of the classified
civil service of any political assessments \[53\]. The same prohibition
applies to park districts \[54\], and the park employees' and retirement
board employees' annuity and benefit fund \[55\].

An officer or employee of the sanitary district may not, directly or
indirectly, give or hand over to any officer or employee in the
classified civil service, or to any senator, representative, alderman,
councilman, or trustee any money or other valuable thing on account of,
or to be applied to, the promotion of any party or political object
\[56\].

An officer or employee of the park district may not, directly or
indirectly, give or hand over to any senator, representative, alderman,
councilman, or park commissioner any money or other valuable thing on
account of, or to be applied to, the promotion of any party or political
object \[57\]. No officer or employee of the park employees' and
retirement board employees' annuity and benefit fund may directly or
indirectly, give or hand over to any officer in the classified civil
service, senator, representative, alderman, councilman, park
commissioner, or trustee any money or valuable thing on account of, or
to be applied to, the promotion of any party or political object \[58\].

A state mine inspector may not take contributions from a mine operator
or agent, coal sales companies or agent, or miner, local union, or union
official \[59\]. An official or employee of the Department of Natural
Resources may not solicit contributions or require a state mine
inspector to solicit contributions \[60\].

A person responsible for public aid eligibility determinations may not
solicit contributions from anyone \[61\].

A civil service officer or employee in Cook County, certain assessor
employees, and mental health clinic employees may not solicit or accept
contributions \[62\].

Candidates for the Citizens Utility Board may not accept contributions
greater than \$200 from a person or political committee from one year
before the election through the election \[63\].

**E. Limitations on Contributions by Judges and Judicial Employees.** A
judge may not make contributions except when a candidate for office or
retention \[64\]. A candidate for judge may not personally solicit
campaign funds \[65\]. A judge may not let public officials or employees
subject to the judge's direction and control do what the judge is
personally prohibited from doing \[66\]. A campaign committee
established to receive and expend contributions on behalf of a judicial
candidate may solicit not earlier than 90 days before filing nominating
petitions or an official declaration of intent to be retained, but not
later than 90 days after the last election in which the candidate
participates during the year \[67\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a payment,
distribution, purchase, loan, advance, deposit, gift of money, or
anything of value in connection with the nomination for election,
election, or retention of any person to public office; the election of
any person as ward or township committeeman in counties of 3 million or
more population; or in connection with a question of public policy
\[68\]. An expenditure includes a transfer of funds between political
committees \[69\].

An expenditure does not include the use of real or personal property and
the cost of invitations, food, and beverages, voluntarily provided by an
individual in rendering voluntary personal services on the individual's
residential premises for candidate‑related activities that do not exceed
an aggregate of \$150 in a reporting period \[70\], or the sale of any
food or beverage by a vendor for use in a candidate's campaign at a
charge less than the normal comparable charge, if the charge for use in
a candidate's campaign is at least equal to the vendor's cost \[71\].

"Anything of value" does not include any unreimbursed payments for
travel or living expenses related to travel made by an individual who
volunteers services on behalf of a candidate or political committee, to
the extent that the cumulative value of the payments does not exceed an
aggregate of \$150 with respect to an annual reporting period \[72\];
any news story, commentary, endorsement, or editorial of any media
outlet \[73\]; any regular publication by a membership organization,
labor union, or corporation to its officers, employees, members, or
stockholders, so long as the membership organization or corporation is
not organized primarily for political purposes \[74\]; or the occasional
use of real property for the purpose of conveying information to
officers, employees, members, or stockholders and their families \[75\].

**B. Limitations on Amount of Expenditures.** A candidate for the
Citizens Utility Board who spends more than \$2,500 from the time the
candidate begins circulating petitions for ballot access or four months
before the election (whichever is earlier) through the election is not
eligible for a State-sponsored candidate informational mailing \[76\].

**C. Limitations on Nature of Expenditures.** No expenditure may be made
by, or on behalf of, a political committee at a time when there is a
vacancy in the office of chair or treasurer \[77\]. No expenditure may
be made for, or on behalf of, a political committee without the
authorization of its chair or treasurer or their designated agents
\[78\].

Any political committee which makes an expenditure on behalf of any
candidate that is not authorized, in writing, by the candidate is to
include a notice on the face or front page of all literature and
advertisements published, and following all commercials broadcast, in
connection with the candidate's campaign by the committee or on its
behalf, stating that the committee is not authorized by the candidate
and the candidate is not responsible for the committee's activities
\[79\].

No public funds appropriated by the general assembly, or by any
subdivision of the state \[80\], may be used to urge any voter to vote
for, or against, any candidate or proposition, or to be appropriated for
political or campaign purposes to any candidate or political
organization \[81\].

**D. Special Limitations on Personal Use of Campaign Funds.** A
political committee, or organization subject to the campaign finance
laws may not make expenditures in violation of any law of the State of
Illinois or the United States \[82\]; clearly in excess of the fair
market value of the services, materials, facilities, or other things of
value received in exchange \[83\]; for satisfaction or repayment of any
debts other than loans made to the committee or to the public official
or candidate on behalf of the committee or repayment of goods and
services purchased by the committee under a credit agreement \[84\].

Nothing in the law authorizes the use of campaign funds to repay
personal loans, which repayments must be made by check written to the
person who made the loan or credit agreement, with the terms and
conditions of any loan or credit agreement to a committee be set forth
in a written agreement (including, but not limited to, the method and
amount of repayment), executed by the chair or treasurer of the
committee at the time of the loan or credit agreement \[85\]. The loan
or agreement must also set forth the rate of interest for the loan, if
any, which may not substantially exceed the prevailing market interest
rate at the time the agreement is executed \[86\].

Campaign funds may not be used for the satisfaction or repayment of any
debts, for the payment of any expenses relating to a personal residence,
or as collateral for home mortgages \[87\]. They also may not be used
for clothing or personal laundry expenses, except clothing items rented
by the public official or candidate for his or her own use exclusively
for a specific campaign‑related event, although committees may purchase
costumes, novelty items, or other accessories worn primarily to
advertise the candidacy \[88\].

Campaign funds may not be used for the travel expenses of any person
unless the travel is necessary for fulfillment of political,
governmental, or public policy duties, activities, or purposes \[89\].

Campaign funds may not be used for membership or club dues charged by
organizations, clubs, or facilities that are primarily engaged in
providing health, exercise, or recreational services, although funds may
be used to rent the clubs or facilities for a specific campaign‑related
event \[90\].

Campaign funds may not be used to pay for anything of value or for
reimbursement of any expenditure for which any person has been
reimbursed by the State or any person \[91\].

Campaign funds may not be used for the purchase of or installment
payment for a motor vehicle unless the political committee can
demonstrate that purchase of a motor vehicle is more cost‑effective than
leasing a motor vehicle as otherwise permitted under the law \[92\].

A political committee may lease or purchase and insure, maintain, and
repair a motor vehicle if the vehicle will be used primarily for
campaign purposes or for the performance of governmental duties, but may
not make expenditures for use of the vehicle for non‑campaign or
non‑governmental purposes \[93\]. Persons using vehicles not purchased
or leased by a political committee may be reimbursed for actual mileage
for the use of the vehicle for campaign purposes or for the performance
of governmental duties at a rate not to exceed the standard mileage rate
method for computation of business expenses under the Internal Revenue
Code \[94\].

Campaign funds may not be used directly for an individual's tuition or
other educational expenses, except for governmental or political
purposes directly related to a candidate's or public official's duties
and responsibilities \[95\].

Campaign funds may also not be used for payments to a public official or
candidate or his or her family member unless for compensation for
services actually rendered by that person \[96\]. These provisions
covering payments to a public official or candidate or his or her family
member do not apply to expenditures by a political committee in an
aggregate amount not exceeding the amount of funds reported to and
certified by the State Board of Elections or county clerk as available
as of June 30, 1998, in the semi‑annual report of contributions and
expenditures filed by the political committee for the period concluding
June 30, 1998 \[97\].

**IV. REPORTING REQUIREMENTS**

**A. Committees Required to Report.** Reports are required of all local
political committees, state political committees, and other political
committees.

A local political committee is a candidate or any individual, trust,
partnership, committee, association, corporation, or group of persons
which accepts contributions or grants, or makes expenditures during any
12‑month period in an aggregate amount exceeding \$3,000 on behalf of,
or in opposition to, a candidate or candidates for public office who are
required by the Illinois Governmental Ethics Act to file statements of
economic interests with the county clerk, or on behalf of or in
opposition to a candidate or candidates for election to the office of
ward or township committeeman in counties of 3 million or more
population \[98\]; accepts contributions or makes expenditures during
any 12‑month period in an aggregate amount exceeding \$3,000 in support
of, or in opposition to, any question of public policy to be submitted
to the electors of not more than one county \[99\]; or accepts
contributions or makes expenditures during any 12‑month period in an
aggregate amount exceeding \$3,000 and has as its primary purpose the
furtherance of governmental, political, or social values, is organized
on a not‑for‑profit basis, and which publicly endorses or opposes a
candidate or candidates for public office who are required to file
statements of economic interest with the county clerk, or on behalf of
or in opposition to a candidate or candidates for election to the office
of ward or township committeeman in counties of 3 million or more
population \[100\].

A state political committee has the same characteristics, except it
covers candidates who must file statements of economic interest with the
secretary of state \[101\], and the support of, or in opposition to, any
question of public policy that is to be submitted to the electors of an
area encompassing more than one county \[102\].

A political committee includes state and county political party central
committees, and also includes state and local political committees, but
does not include any candidate who does not accept contributions or make
expenditures during any 12‑month period in an aggregate amount exceeding
\$3,000, nor does it include, with the exception of state and county
political party central committees, any individual, trust, partnership,
committee, association, corporation, or any other organization or group
of persons which does not accept contributions or make expenditures
during a 12‑month period in an aggregate amount exceeding \$3,000 on
behalf of, or in opposition to, a candidate or candidates, or to any
question of public policy to be submitted to the electors of an area
encompassing no more than one county (or \$3,000 in support of, or in
opposition to, any question of public policy to be submitted to the
electors of an area encompassing more than one county), and such
candidates and persons are not required to comply with any filing
provision \[103\].

**B. Registration.** Every state political committee and every local
political committee must file with the State Board of Elections, and
every local political committee must file with the county clerk, a
statement of organization within 10 business days of the creation of the
committee, except a political committee created within the 30 days
before an election must file its statement of organization within five
business days \[104\].

A political committee that acts as both a state political committee and
a local political committee must file a copy of each statement of
organization with the State Board of Elections and the county clerk
\[105\].

The statement of organization must include the political committee's
name and address \[106\]; the scope, area of activity, party
affiliation, candidate affiliation, candidate's county of residence, and
the committee's purposes \[107\]; the names, addresses, and positions of
each custodian of the committee's books and accounts \[108\]; the names,
addresses, and positions of the committee's principal officers,
including the chairman, treasurer, and officers and members of the
finance committee, if any \[109\]; a statement of what specific
disposition of residual funds will be made in the event of the
dissolution or termination of the committee \[110\]; a listing of all
banks or other financial institutions, safety deposit boxes, and any
other repositories or custodians of funds used by the committee \[111\];
and the amount of funds available for campaign expenditures as of the
filing date of the statement \[112\]. The statement is to be signed and
verified by either the treasurer or the candidate \[113\]. Any change in
information must be reported within 10 days following the change
\[114\].

**C. Required Reports.** The treasurer of every state political
committee and the treasurer of every local political committee must file
with the State Board of Elections, and the treasurer of every local
political committee must file with the county clerk, reports of campaign
contributions, and semi-annual reports of campaign contributions and
expenditures on forms to be prescribed or approved by the board, unless
they meet the requirements for non-reporting \[115\]. The treasurer of
every political committee that acts as both a state political committee
and a local political committee shall file a copy of each report with
the State Board of Elections and the county clerk \[116\].

Reports of campaign contributions must be filed no later than the 15th
day before each election, including a primary election, in connection
with which the political committee has accepted or is accepting
contributions, or has made or is making expenditures \[117\]. The report
must be complete as of the 30th day before each primary or general
election \[118\], except that any contribution of \$500 or more received
between the last date of the period covered by the last report filed
before the election and the date of the election must be reported within
two business days after its receipt, and may be reported by FAX
transmission \[119\].

In addition to such reports, the treasurer of every political committee
shall file semi-annual reports of campaign contributions and
expenditures no later than July 31st, covering the period from January 1
through June 30 immediately preceding, and no later than January 31st,
covering the period from July 1 through December 31 of the preceding
calendar year, even if no contributions or expenditures may have been
received during the period \[120\].

**D. Contents of Reports.** Each report of campaign contributions must
disclose the name and address of the political committee \[121\]; the
amount of funds on hand at the beginning of the reporting period
\[122\]; the full name and mailing address of each person who has made
one or more contributions to or for the committee during the reporting
period in an aggregate amount or value in excess of \$150, together with
the amount and date of the contributions, and the occupation and
employer of any individual who contributed more than \$500 \[123\]; the
total sum of other individual contributions made to or for the committee
during the reporting period \[124\]; the name and address of each
political committee from which the reporting committee received, or to
which that committee made, any transfer of funds, together with the
amounts and dates of all transfers \[125\]; the total sum of transfers
made to or from the committee during the reporting period and not
reported previously \[126\]; each loan to or from any person during the
reporting period by or to the committee in an aggregate amount or value
in excess of \$150, together with the full names and mailing addresses
of any lender and endorsers, and the date and amount of the loans, and
the occupation and employer of any individual who loaned or endorsed a
loan of more than \$500 \[127\]; the total amount of proceeds received
by the committee from the sale of tickets to fundraising events \[128\],
mass collections made at such events \[129\], and sales of
paraphernalia, such as political campaign pins, buttons, badges, flags,
emblems, hats, banners, literature, and similar items \[130\]; each
contribution, rebate, refund, or other receipt in excess of \$150 not
otherwise reported, and the occupation and employer of any individual
who contributed more than \$500 \[131\] and the total sum of all
receipts by or for the committee or candidate during the reporting
period \[132\]. Each report must be verified, dated, and signed by
either the treasurer of the political committee making the report or the
candidate on whose behalf the report is made \[133\].

Each semi-annual report of campaign contributions and expenditures must
disclose the same information required to be disclosed in a report of
campaign contributions \[134\], and must also include the full name and
mailing address of each person to whom expenditures have been made by
the committee or candidate within the reporting period in an aggregate
amount or value in excess of \$150, the amount, date, and purpose of
each expenditure, and the public policy question or name and address of,
and office sought by, each candidate on whose behalf the expenditure was
made \[135\]; the full name and mailing address of each person to whom
an expenditure for personal services, salaries, and reimbursed expenses
in excess of \$150 has been made, and which is not otherwise reported,
including the amount, date, and purpose of the expenditure \[136\]; the
total sum of expenditures made by the committee during the reporting
period \[137\]; and the full name and mailing address of each person to
whom the committee owes debts or obligations in excess of \$150, the
amount of the debts or obligations, and committee investments and assets
\[138\]. Each report must be verified, dated, and signed by either the
treasurer of the political committee making the report or the candidate
on whose behalf the report is made \[139\].

**E. Report of Those Making Expenditures on Behalf of a Candidate or
Political Committee.** A person or political committee which makes an
expenditure of more than \$20 on behalf of a candidate or political
committee must notify the treasurer of the political committee within
five business days after making the contribution \[140\]. The
notification must include the name and address of the person or
political committee making the expenditure, the name and address of the
entity to whom the expenditure was made, the amount of ascertainable
market value of the expenditure (if in-kind), a description of the goods
and services, and the date the expenditure was made \[141\].

**F. Special Reporting by a Nonprofit Organization.** A nonprofit
organization, other than a labor union, which is registered under the
Lobbyist Registration Act and which does not have a political committee,
must register with the State Board of Elections if it accepts
contributions or makes expenditures during any 12-month period in an
aggregate amount exceeding \$5,000 on behalf of or in opposition to
public officials, candidates for public office, or a question of public
policy \[142\]. The registration form requires the registrant's name,
address, and purpose \[143\]; the name, address, and position of each
custodian of the registrant's financial books, accounts, and records
\[144\]; and the name, address, and position of each of the registrant's
principal officers \[145\].

Reports are also required to be filed with the State Board of Elections
\[146\]. The report must include the organization's name, address, and
purpose \[147\]; the amount of funds on hand at the beginning of the
reporting period \[148\]; the full name and address of each person who
has made one or more contributions to or for the organization during the
reporting period in an aggregate amount or value in excess of \$150,
together with the amount and date of the contributions, and the
occupation and employer of each individual contributor of more than
\$500 \[149\]; the total sum of other individual contributions made to
or for the organization during the reporting period \[150\]; the name
and address of each organization and political committee from which the
reporting organization received, or to which that organization made, any
transfer of funds in an aggregate amount or value in excess of \$150,
together with the amounts and dates of the transfers \[151\]; the total
sum of transfers made to or from the organization during the reporting
period and not reported previously \[152\]; each loan to or from any
person during the reporting period by or to the organization in an
aggregate amount or value in excess of \$150, together with the full
names and mailing addresses of any lender and endorsers, and the date
and amount of the loans, and the occupation and employer of any
individual who loaned or endorsed a loan of more than \$500 \[153\]; the
total amount of proceeds received by the organization from the sale of
tickets to fundraising events \[154\], mass collections made at such
events \[155\], and sales of paraphernalia, such as political campaign
pins, buttons, badges, flags, emblems, hats, banners, literature, and
similar items \[156\]; each contribution, rebate, refund, or other
receipt in excess of \$150 not otherwise reported, and the occupation
and employer of each individual contributor of more than \$500 \[157\];
the total sum of all receipts by or for the organization during the
reporting period \[158\]; the full name and mailing address of each
person to whom the organization has made other expenditures during the
reporting period in an aggregate amount or value in excess of \$150,
including the amount, date, and purpose of the expenditure (and the
public policy question on behalf of which the expenditure was made)
\[159\]; the full name and mailing address of each person to whom the
organization has made an expenditure for personal services, salaries,
and reimbursed expenses in excess of \$150 and which is not otherwise
reported, including the amount, date, and purpose of the expenditure
\[160\]; the total sum of all expenditures by or for the organization
during the reporting period \[161\]; and the full name and mailing
address of each person to whom the organization owes debts or
obligations in excess of \$150 and the amounts of the debts or
obligations \[162\]. Each report must be filed at the same times and for
the same reporting periods as reports of campaign contributions and
expenditures required of political committees \[163\].

**G. Miscellaneous Reporting Requirements.** "Anything of value" which
does not have an ascertainable market value may be reported by
describing the thing, services, or goods contributed \[164\].Within five
business days of contributing goods or services of more than \$50 value
to a political committee, the contributor must certify the value of the
contribution to the political committee on state-prescribed forms
\[165\]. The forms must include the name and address of the contributor,
a description and market value of the goods or services, and the date on
which the contribution was made \[166\].

The recording and disclosure provisions \[167\] cannot be enforced
against a committee where evidence clearly establishes a pattern of
harassment and threats directed against supporters of the party by
government and private individuals \[168\].

Any political committee which, after having filed a statement of
organization, dissolves as a political committee or determines that it
will no longer receive any campaign contributions nor make any campaign
expenditures must notify the appropriate filing authority or authorities
of that fact, and file a final report with respect to its contributions
and expenditures, including the final disposition of its funds and
assets \[169\].

**H. Electronic Filing.** The State Board of Elections must provide by
rule for the optional electronic filing of contribution and expenditure
reports \[170\].

Electronic filing is required for all political committees that during
the reporting period: had at any time a balance or an accumulation of
contributions of \$25,000 or more \[171\]; made aggregate expenditures
of \$25,000 or more \[172\]; or received loans of an aggregate of
\$25,000 or more \[173\].

Beginning July 1, 2003, electronic filing is required for all political
committees that during the reporting period had at any time a balance or
an accumulation of contributions of \$10,000 or more \[174\]; made
aggregate expenditures of \$10,000 or more \[175\]; or received loans of
an aggregate of \$10,000 or more \[176\].

Once a committee has filed electronically, all subsequent reports must
be made electronically \[177\].

The Board may provide by rule for the optional electronic filing of
expenditure and contribution reports for all other political committees
\[178\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Disposition of Surplus Funds.** Any political committee which
dissolves must refund all contributions in its possession, after payment
of the committee's outstanding liabilities, including staff salaries, to
contributors in amounts not exceeding their individual contribution(s),
or transfer the funds to other political organizations consistent with
the positions of the committee or the candidates it represented, or to
charitable organizations \[179\]. In no case are these funds to be used
for the personal aggrandizement of any committee member or campaign
worker \[180\].

**B. Reporting.** A final report showing with respect to contributions
and expenditures and final disposition of funds and assets is required
upon either dissolution or a determination by the committee that it will
no longer accept contributions or make expenditures \[181\].

**C. Recordkeeping.** The treasurer must preserve all records and
accounts required for a period of two years, and if the committee fails
to do so, it may be required to reconstruct such records and accounts
and pay for all costs associated with the reconstruction \[182\].

**VI. OFFENSES AND PENALTIES**

The State Board of Elections will view any attempt to circumvent the
clear intentions of the campaign financing act by means of subterfuge as
a violation of the act itself \[183\].

Willful failure to file or willful filing of false or incomplete
required information constitutes a class B misdemeanor \[184\], with a
fine not to exceed \$5,000 or imprisonment in a penal institution, other
than a penitentiary, for not more than six months, or both fine and
imprisonment \[185\].

A violation of the pre-election or semi-annual reporting deadlines is
punishable by a civil penalty of not more than \$5,000, or not more than
\$10,000 in the case of state officers and candidates and committees
formed for statewide office \[186\]. The fine, however, may not exceed
\$500 for a first filing violation for filing less than 10 days after
the deadline, and no fine may be imposed if the report is mailed and
postmarked at least 72 hours prior to the filing deadline \[187\].

Failure to timely file a report of large, late contributions is
punishable by a fine of \$100 per business day for the first violation,
\$200 per business day for the second violation, and \$300 per business
day for the third and subsequent violations in the case of a political
committee or other reporting entity whose total receipts, total
expenditures, and balance were each \$5,000 or less at the end of the
last reporting period \[188\]; or \$200 per business day for the first
violation, \$400 per business day for the second violation, and \$600
per business day for the third and subsequent violations in the case of
a political committee or other reporting entity whose total receipts,
total expenditures, and balance were greater than \$5,000 at the end of
the last reporting period \[189\]. Failure to report each contribution
constitutes a separate violation \[190\].

False or incomplete reporting is a business offense subject to a fine of
up to \$5,000 \[191\].

Willful filing of a false complaint also constitutes a class B
misdemeanor \[192\]. Any person who alters or falsifies information on a
copy of a statement or report obtained from the board or county clerk,
and publishes, circulates, or distributes this information with the
intent to misrepresent contributions received or expenditures made by a
candidate or political committee is guilty of a class B misdemeanor
\[193\].

Failure to comply with a board order may result in a civil fine of not
more than \$5,000, or not more than \$10,000 in the case of state
officers, candidates for statewide office, and certain political
committees \[194\]. The name of a person who has not paid a civil
penalty imposed against him or her for such failure to comply may not
appear on any ballot for any office in any election while the penalty is
unpaid \[195\].

A prosecution for any violation of the provisions governing disclosure
of campaign contributions and expenditures must be commenced no later
than 18 months after the commission of the offense \[196\].

The State Board of Elections may levy a fine on any person who knowingly
makes expenditures in violation of the provisions governing personal or
improper use of campaign funds and on any person who knowingly makes a
malicious and false accusation of such a violation, but only upon the
affirmative vote of at least five of its members \[197\]. The fine may
not exceed \$500 for each expenditure of \$500 or less and may not
exceed the amount of the expenditure plus \$500 for each expenditure
greater than \$500 \[198\].

The first time any person violates any provision of the law against use
of public funds for political purposes, that person is guilty of a class
B misdemeanor \[199\]. Upon the second or subsequent violation, the
offender is guilty of a class A misdemeanor \[200\].

A violation of the gubernatorial executive order against state employees
under the control of the governor soliciting for or contributing to the
governor's political committee subjects an employee to suspension or
discharge \[201\].

A violation of the prohibitions against political activity by state
employees during working hours subjects the employee to discharge
\[202\].

A violation of the prohibition against contribution laws with respect to
mine inspectors and Department of Natural Resources employees is a class
4 felony \[203\].A violation of laws related to park district employee
contributions and contribution or solicitation in park buildings is a
class b misdemeanor that may also subject an individual to removal from
office \[204\].

Anyone who knowingly offers or accepts contributions on State property
in violation of the law is guilty of a business offense subject to a
fine of \$5,000, except that for contributions offered or accepted for
governor, lieutenant governor, attorney general, secretary of state,
comptroller, and treasurer, and political committees formed for such
offices, the fine may not exceed \$10,000 \[205\].

If a political committee lends or donates funds to a second political
committee while the lending or donating committee owes the State Board
of Elections a civil penalty, the officers of the lending committee are
jointly and severally liable for payment of the civil penalty to the
extent of the funds loaned or given \[206\].

The board has also prescribed payment mechanisms for committees that go
out of existence while owing a penalty \[207\], or which seek to go out
of existence under such a cloud \[208\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. State Board of Elections.** The State Board of Elections, an
eight‑member body \[209\] appointed by the governor \[210\] and subject
to the advice and consent of the state senate \[211\], has the authority
to generally supervise the election laws \[212\]. Provisions are made
for appointing members from opposite political parties and from
geographically diverse parts of the state \[213\].

The board is required to develop the prescribed forms for notice to
political committees of their obligations, and to supply the forms to
the appropriate persons (typically within two business days) and
election authorities \[214\]; to prepare, publish, and furnish to the
appropriate persons and election authorities, a manual of instructions
setting forth recommended uniform methods of bookkeeping and reporting
\[215\]; to prescribe and publish necessary rules and regulations
\[216\]; and to send by first class mail to certain committee chairman
notice of their obligations under the law \[217\]. The board is to make
all reports and statements filed with it available for public inspection
and copying, commencing as soon as practicable, but not later than the
end of the second day following the day during which it was received, by
hand or at cost by duplicating machine, at the request and expense of
any person wishing to examine or copy reports \[218\].

The board is required to provide necessary filing software to filers,
including technical assistance, and to promptly make all campaign
finance reports publicly available by means of a searchable database
that is accessible through the Internet \[219\].

The board is also required to preserve all reports and statements for
two years from receipt \[220\]; develop an appropriate filing, coding,
and cross‑indexing system \[221\]; compile and maintain a current list
of all statements or parts of statements pertaining to each candidate
\[222\]; prepare and publish such reports as appropriate \[223\]; and
report apparent violations of law to the appropriate law enforcement
authorities \[224\]. A receipt is required, and must be kept by the
board for two years from the date it was received \[225\]. At least 30
days before each filing date for reports of campaign contributions and
for semi-annual reports of campaign contributions and expenditures, the
board must send a notice of obligations and appropriate forms by first
class mail to each political committee that has filed a statement of
organization with the board \[226\]. The notice must contain a statement
that the manual of instructions is available upon request \[227\].

The board may issue binding advisory opinions to various persons under
certain defined conditions \[228\].

The board may hold investigations, inquiries, and hearings concerning
any matter involving the disclosure of campaign contributions and
expenditures \[229\]. In the process of holding such investigations,
inquiries, and hearings, the board may administer oaths and
affirmations, certify to all official acts, issue subpoenas on a vote of
five members of the board, compel the attendance and testimony of
witnesses, and the production of papers, books, accounts, and documents
\[230\]. Hearings are to be open to the public \[231\]. The board may
hire investigators, examiners, and hearing examiners, and may delegate
any of its functions to such persons, except that judgments and orders
must be issued only by the board, and reports of violations must be made
only by the board \[232\].

Any person who believes a violation of the campaign contribution and
expenditure provisions has occurred may file a verified complaint with
the board, directed to a candidate or the chairman or treasurer of a
political committee, and must be in writing \[233\]; state the name of
the candidate, chairman, or treasurer of a political committee against
whom the complaint is directed \[234\]; state the statutory provisions
alleged to have been violated \[235\]; and state the time, place, and
nature of the alleged offense \[236\].

Upon receipt of a properly verified complaint, the board must hold a
closed preliminary hearing to determine whether the complaint appears to
have been filed on justifiable grounds \[237\]. For a complaint to be
filed on justifiable grounds, there must be some preliminary showing
that the complaint was based on reasonable grounds, and that the
violations alleged were within the ambit of cognizance of the State
Board of Elections \[238\]. The plaintiff must make allegations with
some degree of substance that acts were performed which constituted
violations \[239\]. The preliminary hearing must be held as soon as
practicable after affording reasonable notice, a copy of the complaint,
and an opportunity to testify to both the person making the complaint
and the person against whom the complaint is directed \[240\]. If the
board determines that the complaint has not been filed on justifiable
grounds, it must dismiss the complaint without further hearing \[241\].

The board must render final judgment within 60 days of the date the
complaint is filed \[242\]. However, during the 60 days preceding the
date of the election in question, the board must render a final judgment
within seven days of when the complaint was filed, and if the complaint
is filed during the last seven days before the election, the board is to
render judgment before the election, if possible \[243\]. Parties may
also dispose of the complaint by written stipulation, effective only
upon board approval \[244\].

Judicial review is available to any person adversely affected by a
judgment of the board \[245\]. Judicial review must be afforded directly
in the appellate court for the district in which the cause of action
arose \[246\], and must be obtained by filing a petition for review
within seven days after entry of the order or other action complained of
\[247\].

The time limit for filing the petition for review may be waived with the
consent of all parties \[248\], and if the petition for review is
appealing an order of the board, the effect of the board must not be
stayed unless the appellate court so orders upon the motion of the
petitioner and prior notice to the board \[249\]. Findings of the State
Board of Elections on questions of fact are *prima facie* true and
correct, with review limited to a determination of whether the findings
are against the manifest weight of the evidence \[250\].

Whenever the board has issued an order directing a person determined to
be in violation of the law or any regulation to cease or correct the
violation or otherwise comply, and the person fails or refuses to comply
within the time specified by the board, the board, in rendering its
final judgment may report the violation to the attorney general and the
appropriate state's attorney \[251\], impose a civil penalty on such
persons of not more than \$5,000, or \$10,000 in the case of state
officers, candidates for statewide office, and certain political
committees \[252\], or both \[253\].

The board may also petition the circuit court to issue an order
compelling compliance with a board order, or to restrain or prohibit
violations \[254\]. If the court finds that it has jurisdiction over the
person, and that a violation has occurred, or is occurring by reason of
the acts or practices of the person, the court must issue the
appropriate order \[255\].

**B. County Clerk.** The respective county clerks are to make the
reports and statements filed with them available for public inspection
and copying as soon as practicable, but not later than the end of the
second day following the day during which it was received, and to permit
copying by hand or at cost by duplicating machine at the requesting
person's expense \[256\].

The clerk is also required to preserve all reports and statements for
two years from receipt \[257\]; develop an appropriate filing, coding,
and cross‑indexing system \[258\]; compile and maintain a current list
of all statements or parts of statements pertaining to each candidate
\[259\]; prepare and publish appropriate reports \[260\]; report
apparent violations of law to the appropriate law enforcement
authorities \[261\]; and provide each candidate, at the time of filing
nomination papers, a notice of obligations, manual of instructions, and
a sufficient supply of forms for the statements and reports required to
be filed \[262\]. A receipt is required, and must be kept by the clerk
for two years from the date it was received \[263\].

**C. Attorney General or State's Attorney.** The appropriate state's
attorney or the attorney general must bring actions for willful failure
to file or filing of false or incomplete information in the name of the
people of the State of Illinois \[264\].

**References**

1\. 10 Illinois Compiled Statutes (hereafter

ILCS) 5/9‑1.4(1)

2\. 10 ILCS 5/9‑1.4(2)

3\. 10 ILCS 5/9-1.4(3)

4\. 10 ILCS 5/9-1.4(4)

5\. Illinois State Board of Elections, *A*

*Guide to Campaign Disclosure* 20

\(1998\)

6\. 10 ILCS 5/9-1.12; 26 Illinois Administrative

Code (hereafter IAC) § 100.10(d)(2)

7\. 10 ILCS 5/9-1.4(4)

8\. 10 ILCS 5/9-1.4(5)(a)

9\. 10 ILCS 5/9-1.4(5)(b)

10\. 26 IAC § 100.010(d)(4)(A)

11\. 26 IAC § 100.010(d)(4)(B)

12\. 26 IAC § 100.010(d)(4)(C)

13\. 26 IAC § 100.010(d)(4)(D)

14\. 10 ILCS 5/9‑2

15\. 10 ILCS 5/9‑6(c)

16\. 10 ILCS 5/9‑25

17\. *Illinois State Bd. of Elections v.*

*deGrazia*, 434 N.E.2d 543 (Ill. App.

1982\)

18\. 10 ILCS 5/9‑25

19\. *Illinois State Bd. of Elections v.*

*deGrazia*, 434 N.E.2d 543 (Ill. App.

1982\)

20\. 10 ILCS 5/9‑25

21\. *Illinois State Bd. of Elections v.*

*deGrazia*, 434 N.E.2d 543 (Ill. App.

1982\)

22\. 10 ILCS 5/9‑6

23\. Illinois State Bd. of Elections, *A Guide*

*for Fundraisers* (1991)

24\. 26 IAC ch. 1, § 210.10(a)

25\. 26 IAC ch. 1, § 210.10(d); Illinois

State Board of Elections Form DR,

"License Application to Conduct a

Raffle"

26\. 26 IAC ch. 1, §§ 210.10(f), (g)

27\. 10 ILCS 5/9‑8

28\. 10 ILCS 5-9-27.5(i); 26 IAC § 100.140(c)

29\. 10 ILCS 5-9-27.5(ii)

30\. 10 ILCS 5-9-27.5

31\. 10 ILCS 5-9-27.5

32\. 10 ILCS 5/9-25.1(b)

33\. 10 ILCS 5/9-8.15; 26 IAC § 100.140 (a);

*see also*, 55 ILCS 5/3 (14035) on the

delivery of contributions in Cook County

public buildings

34\. 70 ILCS 1210/22

35\. Executive Order of the Governor No. 2

(February 1, 1999); other state officers

have adopted the same criteria

(lieutenant governor and attorney general),

while others have also adopted internal

policies that differ slightly (comptroller

and secretary of state will accept

contributions from their employees, but not

solicit them)

36\. 110 ILCS 70/39

37\. 110 ILCS 70/40

38\. 110 ILCS 70/40

39\. 110 ILCS 70/41

40\. 110 ILCS 70/42

41\. 5 ILCS 320/2(b)

42\. 5 ILCS 320/2(c)

43\. 5 ILCS 320/2(e)

44\. 5 ILCS 320/2(g)

45\. 5 ILCS 320/2

46\. 5 ILCS 320/3

47\. 70 ILCS 2605/4.22

48\. 70 ILCS 1210/20

49\. 70 ILCS 1215/22

50\. 70 ILCS 2605/4.23

51\. 70 ILCS 1210/21

52\. 65 ILCS 5/136

53\. 70 ILCS 605/323.24

54\. 70 ILCS 1210/22

55\. 70 ILCS 1215/24

56\. 70 ILCS 605/323.25

57\. 70 ILCS 1210/23

58\. 70 ILCS 1215/25

59\. 225 ILCS 705/4.20

60\. 225 ILCS 705/4.21

61\. 305 ILCS 5/12-21.7

62\. 55ILCS 5/3 (14033), (14022)

63\. 220 ILCS 10/12(5)(a)

64\. Supreme Court Rule 67, Code of

Judicial Conduct Canon (hereafter

Canon) 7A(2)

65\. Canon 7B(2)

66\. Canon 7B(1)(b)

67\. Canon 7(B)(2)

68\. 10 ILCS 5/9‑1.5(1)

69\. 10 ILCS 5/9‑1.5(2)

70\. 10 ILCS 5/9‑1.5(1)(a)

71\. 10 ILCS 5/9‑1.5(1)(b)

72\. 26 IAC § 100.010(d)(4)(A)

73\. 26 IAC § 100.010(d)(4)(B)

74\. 26 IAC § 100.010(d)(4)(C)

75\. 26 IAC § 100.010(d)(4)(D)

76\. 220 ILCS 10/12(c)

77\. 10 ILCS 5/9‑2

78\. 10 ILCS 5/9-2

79\. 10 ILCS 5/9‑8

80\. 10 ILCS 5/9-102; Const. Art. VIII, § 1

81\. 10 ILCS 5/103

82\. 10 ILCS 5/9-8.10(a)(1)

83\. 10 ILCS 5/9-8.10(a)(2)

84\. 10 ILCS 5/9-8.10(a)(3)

85\. 10 ILCS 5/9-8.10(a)(3)

86\. 10 ILCS 5/9-8.10(a)(3)

87\. 10 ILCS 5/9-8.10(a)(4)

88\. 10 ILCS 5/9-8.10(a)(5)

89\. 10 ILCS 5/9-8.10(a)(6)

90\. 10 ILCS 5/9-8.10(a)(7)

91\. 10 ILCS 5/9-8.10(a)(8); a *per diem*

allowance is not a reimbursement

92\. 10 ILCS 5/9-8.10(a)(9)

93\. 10 ILCS 5/9-8.10(a)(9)

94\. 10 ILCS 5/9-8.10(a)(9)

95\. 10 ILCS 5/9-8.10(a)(10)

96\. 10 ILCS 5/9-8.10(a)(11)

97\. 10 ILCS 5/9-8.10(a)(11)

98\. 10 ILCS 5/9‑1.7(a)

99\. 10 ILCS 5/9‑1.7(b)

100\. 10 ILCS 5/9‑1.7(c)

101\. 10 ILCS §5/9‑1.8(a), (c)

102\. 10 ILCS §5/9‑1.8(b), (c)

103\. 10 ILCS 5/9‑1.9

104\. 10 ILCS 5/9‑3

105\. 10 ILCS 5/9‑3

106\. 10 ILCS 5/9‑3(a)

107\. 10 ILCS 5/9‑3(b)

108\. 10 ILCS 5/9‑3(c)

109\. 10 ILCS 5/9‑3(d)

110\. 10 ILCS 5/9‑3(f)

111\. 10 ILCS 5/9‑3(g)

112\. 10 ILCS 5/9‑3(h)

113\. 10 ILCS 5/9‑4

114\. 10 ILCS 5/9‑5

115\. 10 ILCS 5/9‑10 (a); *see* Illinois State Board

of Elections, *Committee Treasurers*

*Duties and Responsibilities Under the*

*Illinois Campaign Financing Act*

4 (1993). Reports may not be required of

some committees with no activity. 26 IAC

§ 100.70(e)(3)

116\. 10 ILCS 5/9‑10(b)

117\. 10 ILCS 5/9‑10(b)

118\. 10 ILCS 5/9-10(b)

119\. 10 ILCS 5/9‑10(b-5)

120\. 10 ILCS 5/9‑10(c)

121\. 10 ILCS 5/9‑11(1)

122\. 10 ILCS 5/9‑11(3)

123\. 10 ILCS 5/9‑11(4)

124\. 10 ILCS 5/9‑11(5)

125\. 10 ILCS 5/9‑11(6)

126\. 10 ILCS 5/9-11(7)

127\. 10 ILCS 5/9‑11(8)

128\. 10 ILCS 5/9‑11(9)(a)

129\. 10 ILCS 5/9‑11(9)(b)

130\. 10 ILCS 5/9‑11(9)(c)

131\. 10 ILCS 5/9‑11(10)

132\. 10 ILCS 5/9‑11(11)

133\. 10 ILCS 5/9‑12

134\. 10 ILCS 5/9‑13(1)‑(10); 9‑11(1)‑(10)

135\. 10 ILCS 5/9‑13(12)

136\. 10 ILCS 5/9‑13(13)

137\. 10 ILCS 5/9‑13(14)

138\. 10 ILCS 5/9‑13(15); 5/9-5; 26 IAC §

100.10(a)

139\. 10 ILCS 5/9‑14

140\. 26 IAC § 100.120(a)

141\. 26 IAC § 100.120(a)

142\. 10 ILCS 5/9-7.5(a)

143\. 10 ILCS 5/9-7.5(a)(1)

144\. 10 ILCS 5/9-7.5(a)(2)

145\. 10 ILCS 5/9-7.5(a)(3)

146\. 10 ILCS 5/9-7.5(b)

147\. 10 ILCS 5/9-7.5(b)(1)

148\. 10 ILCS 5/9-7.5(b)(2)

149\. 10 ILCS 5/9-7.5(b)(3)

150\. 10 ILCS 5/9-7.5(b)(4)

151\. 10 ILCS 5/9-7.5(b)(5)

152\. 10 ILCS 5/9-7.5(b)(6)

153\. 10 ILCS 5/9-7.5(b)(7)

154\. 10 ILCS 5/9-7.5(b)(8)(i)

155\. 10 ILCS 5/9-7.5(b)(8)(ii)

156\. 10 ILCS 5/9-7.5(b)(8)(iii)

157\. 10 ILCS 5/9-7.5(b)(9)

158\. 10 ILCS 5/9-7.5(b)(10)

159\. 10 ILCS 5/9-7.5(b)(11)

160\. 10 ILCS 5/9-7.5(b)(12)

161\. 10 ILCS 5/9-7.5(b)(13)

162\. 10 ILCS 5/9-7.5(b)(14)

163\. 10 ILCS 5/9-7.5(c); 5/9-10

164\. 10 ILCS 6/9-6(a); 26 IAC § 100.10(d)(3)

165\. 10 ILCS 6/9-6(b)

166\. 10 ILCS 6/9-6(b)

167\. 10 ILCS 5/9‑7;5/9‑10; 5/9‑11; 5/9‑13;

5/9‑26

168\. *1980 Illinois Socialist Workers*

*Campaign v. Ill.State Bd. of Elections*,

531 F.Supp. 915 (N.D.Ill. 1981)

169\. 10 ILCS 5/9‑5

170\. 10 ILCS 5/9-28

171\. 10 ILCS 5/9‑28(i)

172\. 10 ILCS 5/9‑28(ii)

173\. 10 ILCS 5/9‑28(iii)

174\. 10 ILCS 5/9‑28(i)

175\. 10 ILCS 5/9‑28(ii)

176\. 10 ILCS 5/9‑28(iii)

177\. State Bd. of Elections, *A Guide*

*to Campaign Disclosure* 1 (1999); 26

IAC § 100.150 (b)

178\. 10 ILCS 5/9‑28

179\. 10 ILCS 5/9‑5

180\. 10 ILCS 5/9‑5

181\. 10 ILCS 5/9-5

182\. 10 ILCS 5/9‑7; 26 IAC § 100.40(h);

*Walker v. State Bd. of Elections*, 391

N.E.2d 507 (Ill. App. 1979)

183\. 26 IAC § 100.90 (b)

184\. 10 ILCS 5/9‑26

185\. 10 ILCS 5/9‑4; 9‑12; 9‑14

186\. ILCS 5/9-10(b), (c)

187\. ILCS 5/9-10(b), (c)

188\. ILCS 5/9-10(b-5)(1)

189\. ILCS 5/9-10(b-5)(2)

190\. ILCS 5/9-10(b-5)

191\. 10 ILCS 5/9-26; *see,* ILCS 5/9-13 and

ILCS 5/9-14

192\. 10 ILCS 5/9‑26

193\. 10 ILCS 5/9‑17

194\. 10 ILCS 5/9‑23

195\. 10 ILCS 5/9‑23

196\. 10 ILCS 5/9‑26

197\. 10 ILCS 5/9-8.10(b)

198\. 10 ILCS 5/9-8.10(b)

199\. 70 ILCS 1210/25

200\. 70 ILCS 1210/254; 26 IAC §

125.425 (e)

201\. Executive Order of the Governor No. 2

(February 1, 1999)

202\. 5 ILCS 320/2

203\. 225 ILCS 705/4.22

204\. 70 ILCS 120/30

205\. 10 ILCS 5/9-8.15

206\. 26 IAC ch. 1, § 100.10(a)

207\. 26 IAC ch. 1, § 100.10(b)

208\. 26 IAC ch. 1, § 100.10(c), (d)

209\. 10 ILCS 5/1A‑2

210\. 10 ILCS 5/1A‑3

211\. 10 ILCS 5/1A‑4

212\. 10 ILCS 5/1A‑4

213\. 10 ILCS 5/1A‑2

214\. 10 ILCS 5/9‑15(1); Illinois State Bd.

of Elections, *A Guide to Campaign*

*Disclosure* 2 (1993)

215\. 10 ILCS 5/9‑11(1)

216\. 10 ILCS 5/9‑15(3)

217\. 10 ILCS 5/9‑15(4)

218\. 10 ILCS 5/9‑16(1)

219\. 10 ILCS 5/9-28

220\. 10 ILCS 5/9‑16(2)

221\. 10 ILCS 5/9‑16(3)

222\. 10 ILCS 5/9‑16(4)

223\. 10 ILCS 5/9‑16(5)

224\. 10 ILCS 5/9‑16(6)

225\. 10 ILCS 5/9‑16(7)

226\. 10 ILCS 5/9‑16

227\. 10 ILCS 5/9‑16(7)

228\. 26 IAC § 125.710

229\. 10 ILCS 5/9‑18

230\. 10 ILCS 5/9‑18

231\. 10 ILCS 5/9‑18

232\. 10 ILCS 5/9‑19

233\. 10 ILCS 5/9‑20(1)

234\. 10 ILCS 5/9‑20(2)

235\. 10 ILCS 5/9‑20(3)

236\. 10 ILCS 5/9‑20(4)

237\. 10 ILCS 5/9‑21; *see*, *Ill. Republican*

*Party v. State Bd. of Elections*,

691 N.E.2d 169 (Ill. App. 4 Dist. 1998),

*appeal den.*; *judgment vacated*,

700 N.E.2d 687 (1998).

238\. *Troy v. State Bd. of Elections*,

406 N.E.2d 562 (Ill. App. 1980)

239\. *Troy v. State Bd. of Elections*,

406 N.E.2d 562 (Ill. App. 1980)

240\. 10 ILCS 5/9‑21

241\. 10 ILCS 5/9‑21

242\. 10 ILCS 5/9‑21

243\. 10 ILCS 5/9‑21

244\. 10 ILCS 5/9‑21

245\. 10 ILCS 5/9‑22

246\. 10 ILCS 5/9‑22(1)

247\. 10 ILCS 5/9‑22(2)

248\. 10 ILCS 5/9‑22(3)

249\. 10 ILCS 5/9‑22(4)

250\. *Walker v. State Bd. of Elections*,

391 N.E.2d 507 (Ill. App. 1979)

251\. 10 ILCS 5/9‑23

252\. 10 ILCS 5/9‑23

253\. 10 ILCS 5/9‑23

254\. 10 ILCS 5/9‑24

255\. 10 ILCS 5/9‑24

256\. 10 ILCS 5/9‑16(1)

257\. 10 ILCS 5/9‑16(2)

258\. 10 ILCS 5/9‑16(3)

259\. 10 ILCS 5/9‑16(4)

260\. 10 ILCS 5/9‑16(5)

261\. 10 ILCS 5/9‑16(6)

262\. 10 ILCS 5/9‑16(7)

263\. 10 ILCS 5/9‑16(7)

264\. 10 ILCS 5/9‑26

**CAMPAIGN FINANCE LAW**

**IN INDIANA**

**I. INTRODUCTION**

Indiana requires all political committees and any person making an
independent expenditure to file information on all contributions and
expenditures at least once annually, once before any election, and (if a
state convention candidate) once after a convention. Any individual or
entity, other than a corporation or labor union, may make unlimited
contributions. A corporation or labor union is limited to contributions
aggregating \$5,000 for statewide candidates, \$5,000 for state party
central committees, \$2,000 for house legislative caucuses, \$2,000 for
senate legislative caucuses, \$2,000 for all house candidates, \$2,000
for all senate candidates, \$2,000 for school board and local office
candidates, and \$2,000 for non-state party committees. Government
employees may not solicit or receive contributions during business
hours, and certain state employees may not be forced to make or solicit
contributions. Major lottery vendors; riverboat casino license holders
and those holding licenses to supply the casinos; and pari-mutuel
horse-racing license holders and certain officers and related entities
of these businesses may not make contributions to certain candidates or
committees. Candidates for the General Assembly, their committees, and
legislative caucus committees may not conduct fundraising activities
during the odd-numbered year legislative sessions. Certain House of
Representatives party caucus fundraisers are prohibited during periods
surrounding sessions of the General Assembly. Indiana offers no tax
incentives for political contributions, but offers a mechanism for
financing political parties through personalized license plate revenues.
The Indiana Election Commission and the Election Division of the Office
of the Secretary of State are responsible for overseeing the campaign
finance provisions of the law. An attempt to regulate contributions and
expenditures by a local unit of government is not permitted, absent
specific statutory authority \[1\].

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a donation, whether
characterized as an advance, gift, subscription, loan, or a contract or
promise to make a donation of property for the purpose of influencing
the nomination or election to office of a candidate \[2\], the outcome
of a public question \[3\], or the election of delegates to a
constitutional convention \[4\] which is accepted by a candidate \[5\],
a candidate's committee \[6\], a regular party committee \[7\], or a
political action committee \[8\]. Funds received by a political
committee which are transferred to that committee from another political
committee are considered to be a contribution to the accepting committee
\[9\]. Whenever a candidate or committee accepts the personal services
of a person whose compensation is being paid by a third person, the
candidate or committee is considered to be receiving a contribution from
the third person in the amount of the compensation paid \[10\]. A
candidate or committee other than a political action committee which
accepts a donation of rent, office expenses, management fees, costs of
solicitations of contributions, or other administrative costs is not
considered to have accepted a contribution \[11\].

A contribution does not include personal services provided without
compensation by individuals volunteering their time on behalf of a
candidate or committee \[12\].

A contribution is considered to be "made" for campaign finance reporting
purposes when a person makes a contribution during the calendar year in
which the person relinquishes control over the contribution by
depositing the contribution in the United States mail \[13\]; or
transferring the contribution to any other person who has been directed
to convey the contribution to the person intended to be the recipient of
the contribution \[14\]. A contribution is considered to be "received"
and "accepted" for campaign finance reporting purposes when any member
of the committee has physical possession of the contribution and
manifests an intent to keep the contribution by depositing, rather than
returning, the contribution \[15\].

**B. Limitations on Nature of Contributions.** All contributions are
required to be made through the committee treasurer \[16\], and a
committee cannot receive contributions without a duly appointed
treasurer \[17\], who may be the candidate \[18\]. The treasurer is
required to keep detailed records of all contributions \[19\], including
names and addresses of those making aggregate contributions of more than
\$25 and the date and amount of such contributions \[20\].

Money received by a candidate's committee as a contribution may be used
only to defray any expense reasonably related to the person's campaign
for federal, state, legislative, or local office \[21\]; continuing
political activity \[22\]; activity related to service in an elected
office \[23\]; or to make an expenditure to any national, state, or
local committee of any political party or another candidate's committee
\[24\]. Money received by a candidate's committee as a contribution may
not be used for primarily personal purposes by the candidate or by any
other person except as specified by law \[25\].

A person, group, or committee may not recklessly make \[26\] or
knowingly accept a contribution made by a person, group, or committee in
the name of another \[27\].

**C. Limitations on Source of Contributions.** A foreign national may
not make a contribution connected with an election, convention, or
caucus in Indiana \[28\].

Contractors for major procurements or auditing services \[29\] or
contractors for ticket printing, certain on-line services, consulting
services, and security \[30\] with the Indiana State Lottery Commission
or its director (or an officer or political action committee of the
contractor) may not make a contribution to: (1) a candidate for state
office; or (2) a candidate's committee, a regular party committee, or a
state legislative caucus committee while a contract is in effect and
during the three years following the expiration of the contract \[31\].

A person holding a permit from the Indiana Horse Racing Commission
\[32\] or a person who holds at least a one percent interest in the
permit holder \[33\]; an officer of the permit holder \[34\]; an officer
of a person that holds at least a one percent interest in the permit
holder \[35\]; or a political action committee of the permit holder
\[36\] may not make a contribution to a candidate for state office,
state legislative office, or a local office \[37\]; or a candidate's
committee, a regular party committee, or a state legislative caucus
committee \[38\] while the permit holder holds the permit \[39\] or
during the three years after the final expiration or termination of the
permit \[40\]; and may not give any property \[41\] to a member of a
precinct committee to induce the member of the precinct committee to do
any act or refrain from doing any act with respect to the approval of a
local public question concerning pari‑mutuel horse racing or the
operation of satellite facilities in the county \[42\].

A person holding an owner's license \[43\] or certain types of a
supplier's license under the riverboat gambling law \[44\]; a person who
holds at least a one percent interest in the license holder \[45\]; an
officer of the license holder \[46\]; an officer of a person that holds
at least a one percent interest in the license holder \[47\]; or a
political action committee of the license holder \[48\] may not make a
contribution to a candidate for state office, state legislative office,
or a local office \[49\]; or a candidate's committee, a regular party
committee, or a state legislative caucus committee \[50\] while the
license holder holds the license \[51\] or during the three years after
the final expiration or termination of the license \[52\]; and may not
give any property \[53\] to a member of a precinct committee to induce
the member of the precinct committee to do any act or refrain from doing
any act or refrain from doing any act with respect to the approval of a
local public question concerning riverboat gaming in the county \[54\].

A public utility (or any officer of a political subdivision constituting
a public utility) may not offer or give to any candidate or political
committee, any frank, privilege, or property not available to any other
person for a product or service, nor may a candidate or political
committee seek such a gratuity \[55\].

**D. Limitations on Amounts of Contributions.** Corporations and labor
organizations are limited to total political contributions, in any
calendar year, of an aggregate of \$5,000 apportioned in any manner
among all candidates for state offices (including a judge of the court
of appeals whose retention in office is voted on by a district that does
not include all of the state) \[56\]; an aggregate of \$5,000
apportioned in any manner for the political party state committees
\[57\]; an aggregate of \$2,000 apportioned in any manner for all
candidates for state senate \[58\]; an aggregate of \$2,000 apportioned
in any manner for all candidates for state house \[59\]; an aggregate of
\$2,000 apportioned in any manner among regular party committees
organized by a legislative caucus of the state senate \[60\]; an
aggregate of \$2,000 apportioned in any manner among regular party
committees organized by a legislative caucus of the state house of
representatives \[61\]; and an aggregate of \$2,000 apportioned in any
manner for all candidates for school board offices and local offices
\[62\]; and an aggregate of \$2,000 apportioned in any manner among all
central committees other than state committees \[63\].

A corporation or labor union may thus contribute a total of \$22,000 per
calendar year to political committees, including contributions made to a
political action committee sponsored by the corporation or labor union
\[64\]. These are the only corporate or labor organization contributions
authorized by law, and these limits cannot be evaded by giving to a
committee, nominally in one category, funds designated for another
category, but contributions by political action committees associated
with these entities are not limited, nor is the amount of administrative
funding provided by a corporation or labor organization to its own
political action committee limited under the contribution provisions
\[65\]. The limitations do not apply to nonpartisan voter registration
and get‑out‑the‑vote campaigns by a corporation aimed at its
stockholders and employees \[66\], or by a trade association or labor
organization aimed at its members \[67\].

The contribution limits do not apply to a contribution or transfer by an
incorporated nonpartisan political action committee to any other
committee \[68\] or to a contribution supporting or opposing the
approval of a public question submitted to the electorate of the entire
state or a local public question \[69\].

Contributions by national party or national party congressional
committees to state, district, county, city, or town political party
committees are also specifically permitted \[70\].

**E. Limitations on Timing of Contributions.** A member of the General
Assembly (or a candidate for the General Assembly) may not solicit or
accept campaign contributions, or conduct other fundraising activities
during the period beginning when the General Assembly convenes in
January of each odd-numbered year and ending when that session adjourns
*sine die* \[71\]. This limitation does not apply to a member of the
General Assembly (or the candidate's committee of the member) if the
member is seeking election to an office other than that of a state
legislator \[72\].

A House of Representatives legislative caucus party committee may not
intentionally solicit contributions from a lobbyist or political action
committee during the period from the day before through the day after
the day in November of each year that the General Assembly convenes
\[73\], or during the period from the first day in January each year
through the adjournment *sine die* of a regular session of the General
Assembly \[74\].

**F. Limitations Pertaining to Government Employees.** An Indiana state
police employee, a police officer, or a firefighter (including a special
duty, auxiliary, or volunteer police officer or firefighter of a
political subdivision) may not recklessly solicit campaign funds \[75\]
while wearing any identifying insignia or article of clothing that is
part of an official uniform, or while on duty \[76\].

No member of the Indiana State Library and Historical Board nor any
director or other employee of the department shall directly or
indirectly solicit subscription or contribution for any political party
or political purpose, or be forced in any way to make such contribution,
or be required to participate in any form of political activity \[77\].

An employee of the Indiana State Historical Bureau may not directly or
indirectly solicit subscription or contribution for any political party
or political purpose, or be forced in any way to make such contribution,
or be required to participate in any form of political activity \[78\].

An employee of the Indiana Department of Transportation whose duties
require specialized knowledge or skill, acquired by professional or
technical education, training, and experience may not solicit or receive
political contributions \[79\], and may not be required to make
contributions for or participate in political activities \[80\].

An employee of the Department of Natural Resources designated by the
state personnel department as professional or technical may not solicit
or receive money for political purposes \[81\], or be required to make
contributions for or participate in political activities \[82\]. A
Department of Natural Resources property manager may not solicit or
receive money for political purposes \[83\].

An individual may not solicit or receive a contribution if it would
violate the provisions relating to contributions by those affiliated
with the Indiana Library and Historical Department; the Indiana State
Library; the Indiana Historical Bureau; and the Indiana Department of
Transportation \[84\].

A state employee is prohibited from soliciting political contributions
from another employee or any other person when on duty or acting in an
official capacity \[85\]. A state employee is free, however to engage in
such activity when not on duty \[86\]; however, a state employee is
prohibited from soliciting contributions at any time from persons whom
the employee knows to have a business relationship with the employee's
agency \[87\], or state employees directly supervised by the employee
\[88\].

A judge should not solicit funds for or pay an assessment or make a
contribution to a political organization or candidate, or purchase
tickets for political party dinners \[89\]. A candidate, including an
incumbent judge, for a judicial office that is filled by public election
between competing candidates should not personally solicit or accept
campaign funds, but may establish committees of responsible persons to
secure and manage the expenditure of funds for the campaign \[90\]. Such
committees may solicit campaign contributions from lawyers \[91\]. A
candidate's committee may solicit funds for the campaign no earlier than
120 days before a primary election, and no later than 90 days after the
last election in which the candidate participates during the election
year \[92\]. A judge is not permitted to use or permit the use of
campaign contributions for the private benefit of the judge or members
of the judge's family \[93\]. An incumbent judge engaged in a retention
election that has drawn active opposition may raise campaign funds in a
similar manner \[94\].

Employees and officials subject to a judge's direction and control are
subject to the same restrictions on political activity as the judge
\[95\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a disbursement
(whether characterized as an advance, deposit, distribution, gift, loan
payment, purchase or contract or promise to make a disbursement) of
property made for the purpose of influencing the nomination or election
to office of a candidate, the outcome of a public question, or the
election of delegates to a state constitutional convention \[96\] made
by an individual (except that a contribution made by an individual is
not considered to be an expenditure), a candidate's committee, a regular
party committee, or a political action committee \[97\]. Whenever funds
are transferred from one committee to another, the disbursing committee
is considered to be making an expenditure in the amount of the funds
transferred \[98\].

An expenditure is considered to be on behalf of a candidate if: (1) the
expenditure is made in support of the candidate who is specifically
identifiable \[99\]; or, (2) the expenditure is made in opposition to an
opponent of the candidate \[100\] who is specifically identifiable
\[101\]. An expenditure is not considered to be made on behalf of a
candidate if the expenditure is made to inform the members of the
organization or for the development of the committee's political party
\[102\].

**B. Limitations on Nature of Expenditures.** The treasurer is the only
person permitted by law to disburse money received by the committee
\[103\], and the committee may not make expenditures in the absence of a
treasurer \[104\]. The treasurer may not expend or disburse money or
other property or incur any liability except by the authority and
subject to the direction of the committee the treasurer is serving
\[105\]. The treasurer must keep a detailed accounting of all
information required to be reported under the campaign finance law
\[106\]. Proof of payment and a record of particulars must also be
maintained by the treasurer for all committee expenditures in excess of
\$25, or, if aggregate payments to the same person exceeds \$25 in a
calendar year, any expenditures \[107\]. Records must be maintained for
three years \[108\] or for one year after the date of dissolution of the
committee, whichever occurs first \[109\].

Money received by a candidate's committee or other political committee
as a contribution may be used only to defray any expense reasonably
related to the person's campaign for federal, state, legislative, or
local office \[110\]; continuing political activity \[111\]; or activity
related to service in an elected office \[112\]. Funds may also be used
to make an expenditure to any national, state, or local committee of any
political party or another candidate's committee \[113\].

**C. Special Provisions Related to Personal Use of Campaign Funds.**
Money received by a candidate's committee or other political committee
as a contribution may not be used for primarily personal purposes by the
candidate or by any other person except as just noted \[114\]. However,
the law has been interpreted to allow the payment of a salary to the
candidate or a member of the candidate's household by the candidate's
campaign committee, and to permit the reimbursement of a candidate for
lost wages \[115\].

A candidate and a candidate's campaign committee may execute a written
contract providing that the committee will pay a salary to the candidate
or a member of the candidate's household \[116\]. The contract must
state the obligations of the candidate and committee regarding the
services to be rendered by the candidate or other individual \[117\];
state the basis for computation of the compensation for the candidate's
or individual's services (meaning an hourly, daily, monthly, or other
basis for the computation) \[118\]; and be filed with each office in
which the committee is required to file a campaign finance report before
any payment is made under the contract \[119\].

A candidate and a candidate's campaign committee may execute a written
contract providing that the committee will reimburse the candidate for
lost wages or salary payments from other employment incurred by the
candidate as a result of services provided to the committee \[120\]. The
contract must state the employer and job position of the candidate
subject to the reimbursement for lost wages or salary payments \[121\];
state the basis for computation of the compensation for the candidate's
lost wages or salary payments (meaning an hourly, daily, monthly, or
other basis for the computation) \[122\]; and be filed with each office
in which the committee is required to file a campaign finance report
before any payment is made under the contract \[123\]. Reimbursement may
not exceed the actual wages or salaries that would have been earned by
the candidate in the candidate's regular employment \[124\].

A candidate and a candidate's campaign committee may not pay a salary or
reimbursement in an amount that exceeds the amount specified under the
contract unless the candidate first files a written amendment to the
contract permitting the additional payment, and doing so in the same
office in which the original contract was filed \[125\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** A candidate must file a declaration of candidacy
form, which must state if the candidate has filed all annual campaign
finance reports from any previous campaigns \[126\]; has filed or is
aware of the requirement to file a statement of organization within the
requisite time frame \[127\]; is aware of the state laws concerning
campaign finance and the reporting of campaign finance contributions and
expenditures \[128\]; and agrees to comply with the campaign finance
laws \[129\].

Every political committee must file a statement of organization no later
than noon 10 days after its organization or after it becomes a committee
\[130\], which includes the committee's name, address \[131\], and
purpose, if not a candidate committee \[132\]; the names and addresses
of the committee's chairman and treasurer \[133\]; a listing of all
banks, safety deposit boxes, and other depositories used \[134\]; and,
if applicable, a listing of the name, address, office sought, and party
of each candidate supported \[135\]; the party name, if the committee is
supporting an entire ticket \[136\]; and a brief statement of any
questions supported or opposed, if applicable \[137\].

A political committee which is engaged solely in issue advocacy and
which does not advocate the election or defeat of a clearly identified
candidate, or advocate the passage or defeat of a public question is not
required to register and report \[138\].

Changes in information contained in statements of organizations must be
reported to the Election Division within 10 days after the change
\[139\].

No later than noon 10 days after becoming a candidate, or noon seven
days after the deadline for filing as a candidate, whichever comes first
(but not later than the date a candidate is required to file the
candidate's first campaign finance report), each candidate must file a
statement naming a principal committee, campaign chair, and treasurer
\[140\]. Failure to file the statement results in a committee name being
designated by statute, with the candidate serving as chair and treasurer
\[141\].

**B. Candidates, Committees, Individuals, Corporations, and Labor
Organizations Required to Report and Filing Officer.** All candidates,
candidates for state office and their candidate's committees \[142\],
state central and congressional district central committees \[143\],
other regular party committees that propose to influence the election of
a candidate for state or legislative office, or the outcome of a
statewide public question \[144\], certain individuals or political
action committees that propose to influence the election of a candidate
for state or legislative office, or the outcome of a statewide public
question \[145\], and a corporation or labor organization which makes an
independent expenditure of more than \$100 in a year to influence the
outcome of a riverboat gambling public question are required to file
reports with the Election Division or a county election board \[146\]. A
candidate for legislative office and the candidate's committee file a
duplicate copy of each required report with the county election board of
the county in which the candidate resides \[147\].

Each local candidate for local office and his or her candidate's
committee \[148\], regular party committees that are not required to
file with the Election Division \[149\], and political action committees
that are not required to file with the Election Division file reports
with the county election board of each county comprising part of the
affected election district \[150\].

A public utility regulated by the Indiana Utility Regulatory Commission
must file an annual report of contributions to office seekers and/or
political committees with that entity \[151\].

A candidate who holds one office and files a statement of organization
for an exploratory committee without indicating that the individual is a
candidate for a specific office is required to file a supplemental
campaign finance report if the candidate's committee for the office the
candidate currently holds spends, transfers in, or transfers out at
least \$10,000 before a primary or general election \[152\].

The treasurer of a campaign finance committee (or an organization) who
receives a contribution on behalf of a candidate or makes an expenditure
on behalf of a candidate must report to the candidate's committee all
information about a contribution received or an expenditure made on
behalf of a candidate that the treasurer of the candidate's committee
would be required to report if the candidate's committee had received
the contribution or made the expenditure \[153\].

Reports indicating whether or not a committee has received large, late
contributions are also required from all committees. This supplemental
report must indicate whether a committee has received a contribution of
at least \$1,000 not more than 25 days before an election and not less
than five days before a primary or general election or nominating
convention, and include the information required of such a contribution
as in any other report \[154\].

**C. Reporting Dates.** Each candidate's committee, legislative caucus
committee, or political action committee is required to file an annual
report, due by the third Wednesday in January of each year current
through December 31st of the previous year, covering the period since
the last report \[155\]. Annual reports of political party committees
are not due until March 1st but still must be current through December
31st of the previous year, covering the period since the last report
\[156\].

All committees must also file reports with the appropriate office
current and dated as of 25 days before a primary election or nominating
convention \[157\], and 25 days before a general election \[158\]. In
the case of a candidate for nomination at a convention who becomes a
candidate less than 25 days before a convention, a report must be filed
no later than noon 20 days after the state convention \[159\].

Hand-delivered reports must be received not later than noon seven days
after the date of the report \[160\]. Reports that are mailed must be
filed not later than noon seven days after the date of the report
\[161\]. If the appropriate office has the capacity to receive reports
via electronic mail, reports delivered by electronic mail must be
received by the appropriate office not later than noon seven days after
the date of the report \[162\].

The campaign finance reporting period for a candidate selected to fill a
vacancy on the general election ballot begins on the date the individual
became a candidate and ends 25 days before the general election \[163\].

A supplemental report of large contributions must be filed not later
than noon five days before the election \[164\], if such contributions
were received \[165\].

A legislative caucus committee is not required to file a pre-primary or
pre-general election campaign finance report during an odd-numbered
year, but rather must only file an annual report during the following
January reporting its activity during the entire odd-numbered year
\[166\].

The Election Division permits the electronic submission of campaign
finance reports of candidates for statewide and state legislative office
\[167\]. An electronic submission must be in a format previously
approved by the Indiana Election Commission that permits the Election
Division to print out a hard copy of the report upon the receipt of the
electronic submission from the candidate \[168\]. Filing of a report
occurs when the hard copy is printed out and the filing office records
the date and time of the printout on the hard copy, and if a discrepancy
exists between the text of the electronic submission and the printed
report, the text of the printed report prevails until an amendment is
filed to correct the discrepancy \[169\].

A campaign finance report may be submitted by e-mail if the filing
office has the ability to receive it and print out a hard copy of the
report immediately upon its receipt \[170\]. Filing of a report occurs
when the hard copy is printed out and the office records the date and
time of the printout on the hard copy, and if a discrepancy exists
between the text of the electronic submission and the printed report,
the text of the printed report prevails until an amendment is filed to
correct the discrepancy \[171\].

An e-mail report must be filed no later than noon seven days after the
date of the report \[172\].

Filing may be made by FAX if the filing office has previously approved
such filing \[173\].

**D. Report Contents.** Each report is filed by the committee treasurer,
and must include information on the cash on hand at the beginning of the
reporting period \[174\]; the sum of individual contributions, including
transfers-in, accepted by the committee during its reporting period
\[175\]; names and addresses of those making aggregate contributions
within the year exceeding \$100 in the case of a candidate's committee
or a political action committee \[176\] or in the aggregate exceeding
\$200 for contributions to regular party committees, along with dates
and amounts \[177\]; the name and address of each committee from which
the reporting committee received, or to which that committee made, a
transfer of funds, along with the dates and amounts \[178\]; loan
amounts and dates, along with names and addresses of the lender and any
endorsers \[179\]; the total sum of all receipts of the committee during
the reporting period \[180\]; the name, address, occupation, and
principal place of business of each person other than a committee to
whom any expenditure was made by the committee aggregating in excess of
\$100 in the case of a candidate's committee or political action
committee \[181\], or aggregating in excess of \$200 in the case of a
regular party committee \[182\]; along with the amount, date, and
purpose of each expenditure, the name and address of, and question or
office sought by each candidate on whose behalf the expenditure was made
\[183\]; the name, address, occupation, and principal place of business
of each person receiving an aggregate amount more than \$100, in the
case of a candidate's committee or political action committee \[184\],
or in excess of an aggregate of \$200 for regular party committees for
personal services, salaries, or unreimbursed expenses, along with a
notation of the date, amount, and purpose of the expenditure \[185\];
the total sum of expenditures made by the committee during the reporting
period \[186\]; and the amount and nature of debts and obligations owed
by or to the committee, until the debts or obligations are extinguished
\[187\].

If a person contributed or loaned at least \$1,000 in a calendar year,
the contributor's occupation must also be disclosed \[188\].

Candidate's committee reports are cumulative during the calendar year
\[189\]. If no contributions were received or expenditures made by a
candidate's committee during the year, a statement to that effect must
be filed \[190\].

A supplemental report of large contributions must include: (1) the name
and address of the person making the large contribution \[191\]; (2) the
person's occupation, if the person is an individual \[192\]; (3) the
amount of the contribution \[193\]; and, (4) the date the contribution
was received \[194\].

A person may file duplicates of the reports required to be filed under
the Federal Election Campaign Act \[195\] to comply with the Indiana
reporting requirements \[196\]. Such a duplicate must cover all activity
of the committee, and the committee must file a supplementary report as
directed by the Election Division to provide any information required by
state law that is not included in the federal report \[197\].

An annual report of a public utility filed with the Indiana Utility
Regulatory Commission must contain the names of candidates or political
committees to which contributions were made, the amounts, and whether
the candidate or committee is registered at the federal or state level
\[198\].

**V. PUBLIC FINANCING**

Indiana has a unique statutory scheme for distributing the revenues from
personalized license plates to political parties. Of the requisite
license plate fees, a specified amount after the deduction of normal
registration costs is deposited by the state treasurer in a special
fund, distributed on a quarterly basis by the state auditor \[199\]. The
state auditor distributes funds from this account to any political party
having at least five percent but less than one‑third of the total vote
of the state of all political parties in the last preceding general
election for governor to the political party treasurers \[200\]. The
balance of the monies is distributed quarterly by the auditor in equal
amounts to the treasurers of the state central committees of the two
political parties casting the largest and next largest number of votes
statewide for governor \[201\]. Within 30 days of receiving these funds,
the state party treasurer must distribute to the treasurer of each
county central committee of their party an amount equal to one‑half of
the second‑tier, equal amount distributions to the two political parties
collected from that county in that quarter \[202\].

**VI. POST‑ELECTION REQUIREMENTS**

**A. Administrative Dissolution.** The appropriate filing office is
empowered to disband certain defunct committees by administrative action
after an annual review that must take place no later than the final
Friday of each year \[203\] if the filing office determines that a
committee has not filed any report of expenditures during the previous
three calendar years \[204\]; owes no debts to any person other than a
civil penalty assessed by the commission or board \[205\]; or to an
individual who was a candidate and also serves as the chairman or
treasurer of the candidate's committee \[206\]; and last reported cash
on hand in an amount that does not exceed \$1,000 \[207\].

The filing office must provide notice of the proceeding by certified
mail to the last known address of the chair and treasurer of the
committee \[208\]. The filing office may issue an order administratively
dissolving the committee and waiving any outstanding civil penalty
previously imposed by the filing office, if the appropriate office finds
that there is no evidence that the committee continues to receive
contributions, make expenditures, or otherwise function as a committee
\[209\]; the prudent use of public resources makes further efforts to
collect any outstanding civil penalty imposed against the committee
wasteful or unjust \[210\]; and, according to the best evidence
available to the filing office, the dissolution of the committee will
not impair any contract or impede the collection of a debt or judgment
by any person \[211\].

The Election Division shall arrange for the publication in the *Indiana
Register* of an order administratively disbanding a committee, while a
county election board shall publish a notice under regular state laws
governing publication of legal notices \[212\] stating that the entity
has disbanded a committee, including in the notice the date of the order
and the name of the committee \[213\].

Such an order takes effect immediately upon its adoption, unless
otherwise specified in the order \[214\].

Except with respect to the waiver of certain civil penalties, a
dissolution or transfer of funds does not relieve the committee or the
committee's members from civil or criminal liability \[215\].

**B. Recordkeeping.** The committee treasurer must preserve all required
receipted bills and accounts for at least three years \[216\], or for
one year from the date of dissolution of the committee \[217\].

**C. Reporting.** Not later than noon 30 days after a political
committee is disbanded, the last person to be treasurer must file a
final report complete as of the last day the committee existed, covering
the period since the most recent report \[218\].

Not later than noon 30 days after leaving the office, the outgoing
treasurer of a continuing committee must file a final report complete as
of the last day he or she was treasurer, covering the period since the
most recent report \[219\].

**D. Disposition of Surplus Funds.** A political committee, upon
disbanding, may transfer any surplus of contributions less expenditures
to any one or a combination of the following: one or more regular party
committees \[220\], one or more candidate's committees \[221\], the
Election Division \[222\], an organization exempt from federal income
taxation under the Internal Revenue Code \[223\], contributors to the
committee, on a pro rata basis \[224\], and a candidate committee may
also use the surplus to defray any expense reasonably related to the
person's continuing political activity \[225\] or activity related to
service in an elected office \[226\].

**VII. OFFENSES AND PENALTIES**

A person who knowingly or intentionally violates the campaign
contribution restrictions commits a class A infraction \[227\].

The reckless collection, receipt, or disbursement of money or property
by a committee without appointment of a treasurer \[228\]; reckless
exceeding of contribution limits by a corporation or labor organization
\[229\]; reckless making \[230\] or knowing acceptance of a contribution
made in the name of another person \[231\]; failure to file a required
report \[232\] or reckless commingling of campaign funds \[233\]; is a
class B misdemeanor, which carries a \$1,000 penalty \[234\].

A person who knowingly or intentionally violates the provisions
applicable to prohibited contributions by a person associated with the
state lottery, riverboat casinos, or pari-mutuel horse-racing commits a
class D felony, and may be subject to additional discipline by the
appropriate regulatory entity \[235\].

A person who violates the stautory prohibitions related to fundraising
during a legislative session is subject to a civil penalty equal to the
greater of: (1) twice the amount of the contribution received; or, (3)
\$1,000; as well as any investigative costs incurred and documented by
the Election Division \[236\].

A person who knowingly files a false required report commits a class D
felony \[237\].

A candidate who fails to file a required campaign finance report or a
statement of organization may be fined \$50 per day the report is late,
to a maximum of \$1,000 plus documented investigative costs \[238\].

A candidate who fails to correct a deficient required campaign finance
report or a statement of organization after proper notice may be fined
\$10 per day that the report is late (after the requisite five-day
notice period has run), to a maximum of \$100 plus documented
investigative costs \[239\].

A candidate who has been fined for a campaign finance violation and who
is subsequently elected to office is subject to the withholding of the
civil penalty from the person's salary as an officeholder \[240\].

Excess labor and corporate contributions are subject to civil penalties
\[241\].

**VIII. RESPONSIBLE STATE AGENCIES**

**A. Indiana Election Commission and the Election Division of the Office
of the Secretary of State.** The Indiana Election Commission oversees
the regulation of campaign finance in Indiana, while the Election
Division of the Office of the Secretary of State is responsible for the
implementation of the law.

The governing body of the Indiana Election Commission has four members,
all appointed by the governor \[242\], with two members being appointed
after nomination by the state chair of each major political party
\[243\]. When filling a seat on the Commission, the appropriate state
chair nominates two registered voters to fill the seat, and the governor
then selects one of the two individuals to appoint to the seat \[244\].
A Commission member serves a two-year term, beginning July 1 following
appointment and qualification \[245\]. Special procedures for
appointment exist if the appropriate state party chair fails to make a
timely nomination to fill a Commission seat \[246\].

The governor appoints a member of the Indiana Election Commission who is
of the same political party as the Secretary of State to serve as chair
\[247\]. The person appointed as chair serves until the person's term as
a commission member expires \[248\].

The Election Division is part of the Office of the Secretary of State
\[249\]. The Election Division is headed by two co‑directors, appointed
by the governor \[250\], who serve for a term of four years each
\[251\]. The co‑directors, who may not be members of the same political
party \[252\], have equal authority and responsibilities \[253\], share
the same employment classification for state personnel purposes \[254\],
and receive the same compensation, except for differences due to years
of service \[255\]. If a vacancy in the office of co‑director occurs,
the state chair of the appropriate party submits two names to the
governor within thirty days after receiving notice of the vacancy, and
the governor then appoints one of the two nominees as a co‑director
\[256\]. If the state chair fails to make a timely nomination, the
governor may then appoint a person of the appropriate political party as
a co‑director, subject to disapproval within seven days by the state
chair \[257\].

The Election Division develops and furnishes necessary forms \[258\];
notifies candidates and committees by mail 21 days before a report is
due that a given report is due on a particular date \[259\]; publishes
an information manual \[260\]; provides training to candidates with
respect to electronic filing of campaign finance reports \[261\];
implements a filing, coding, and cross‑indexing system for reports
\[262\]; makes reports available for public inspection and copying at
cost, as soon as practicable, but not later than the end of the second
business day following the day received \[263\]; preserves reports for a
period of four years from December 1st following the election to which
they pertain, unless the records are in litigation \[264\]; and
publishes annual reports and annual compilations of contributions and
expenditures \[265\]. The Commission is also empowered to promulgate
necessary regulations \[266\].

The Election Division is also charged with developing and maintaining a
computer system to store campaign finance reports from candidates,
political action committees, and regular party committees that are filed
with the Election Division \[267\]. This computer system must enable the
Election Division to identify all candidates or committees that received
contributions from a contributor during the past three years \[268\],
and all contributors to a candidate or committee over the past three
years \[269\]. The Election Division must make campaign finance reports
stored on this computer system available through an on-line service
\[270\].

The Election Division is also empowered to make audits and field
investigations, and may request the assistance of the State Board of
Accounts \[271\] and the state police department and state police
officers \[272\]. An audit or investigation authorized by the Commission
must be conducted by at least two state employees divided equally
between the two major political parties of the state \[273\].

The Election Division is required to notify delinquent entities to file
a statement of organization or campaign finance report immediately upon
receipt of the division's notice, with the delinquency notice rendered
not later than 30 days after the date the item was required to be filed
\[274\]. The Election Division may also give notice to delinquent filers
at other times \[275\]. The Election Division is required to notify
those who file defective statements or reports and give them five days
from receipt of the notice to remedy the deficient filing \[276\]. The
Election Division must publicly post a list of delinquent filers
\[277\].

The Election Division is empowered to disband certain defunct committees
by administrative action after an annual review and special findings
\[278\].

The Election Division maintains the Campaign Finance Enforcement
Account, a non‑reverting account within the state General Fund \[279\].

If the Commission determines that there is substantial reason to believe
that a violation has occurred, it is required to expeditiously
investigate \[280\]. The Commission is to report violations of the law
to the appropriate prosecuting attorney for criminal prosecution
\[281\], and to the attorney general for civil prosecution \[282\] or
injunction after due notice and hearing to restrain any violation of the
campaign finance laws \[283\]. Upon showing of cause, the injunction
must be granted by the circuit or superior court \[284\].

The Commission has subpoena power \[285\]. However, only the entire
Commission has the power to issue a subpoena, and the affirmative vote
of at least three Commission members is required for the commission to
take official action \[286\].

**B. County Election Board.** The county election board in each county
serves as the filing entity for local office candidates and their
candidate's committees \[287\], regular party committees that are not
required to file with the Election Division \[288\], and political
action committees that are not required to file with the Election
Division \[289\]. The boards make the reports filed available for public
inspection and copying at cost, as soon as practicable, but not later
than the second day after the day received \[290\], and must preserve
the reports for four years from December 1st following the election to
which they pertain, unless the records are in litigation \[291\]. An
index of statements is to be maintained \[292\]. A county election board
may sends forms and notice of reports due to candidates for local
office, but is not required to do so \[293\].

The county election boards are to make necessary field audits and
investigations \[294\]. The boards are to ascertain whether reports have
been properly filed \[295\]; notify delinquent filers to correct defects
within five calendar days after notice \[296\]; and publicly list all
delinquent filers \[297\]. County election boards also have the
authority to fine candidates for delinquent reports \[298\].

The county election board is empowered to disband certain defunct
committees by administrative action after an annual review and special
findings \[299\].

**C. Secretary of State**. The Secretary of State submits biennial
budget estimates for the Election Division. \[300\].

**D. State Treasurer and State Auditor.** The state treasurer and the
state auditor are respectively responsible for the maintenance and
distribution of funds to the political parties from the personalized
license plate revenue fund \[301\]. The state treasurer also is required
to maintain the campaign finance enforcement account, consisting of
fines paid for delinquent reports \[302\]. The state auditor is
authorized to withhold money from an elected official's paycheck to
collect a fine for failure to file a required annual report if the
candidate runs and wins the subsequent election \[303\].

**E. Attorney General and Prosecuting Attorney.** The attorney general
and appropriate prosecuting attorneys have the respective responsibility
of instituting, on behalf of the state, a civil action or criminal
action for relief, including a permanent or temporary injunction,
restraining order, or other appropriate order upon the referral of a
matter by the Indiana Election Commission \[304\].

**F. Indiana Horse Racing Commission.** If the Indiana Horse Racing
Commission or its executive director determines that a permit holder may
have violated the rule relating to contributions by those with an
interest in a permit, the executive director or the Commission may
initiate an investigation, a disciplinary action, or both \[305\].

# References

1\. Opinion of the Indiana Attorney

General No. 83-7 (1983)

2\. Indiana Code (hereafter IC)

§ 3‑5‑2‑15(a)(1)(A)

3\. IC § 3‑5‑2‑15(a)(1)(C)

4\. IC § 3‑5‑2‑15(a)(1)(B)

5\. IC § 3‑5‑2‑15(a)(2)(A)

6\. IC § 3‑5‑2‑15(a)(2)(B)

7\. IC § 3‑5‑2‑15(a)(2)(C)

8\. IC § 3‑5‑2‑15(a)(2)(D)

9\. IC § 3‑5‑2‑15(b)

10\. IC § 3‑5‑2‑15(c)

11\. IC § 3‑5‑2‑15(f)

12\. IC § 3‑5‑2‑15(d)

13\. IC § 3-9-25.5(1)

14\. IC § 3-9-25.5(2)

15\. IC § 3-9-1-25

16\. IC § 3‑9‑1‑20

17\. IC § 3‑9‑1‑2

18\. IC § 3‑9‑1‑7

19\. IC § 3‑9‑1‑23(1)

20\. IC § 3‑9‑1‑23(2)

21\. IC § 3‑9‑3‑4(a)(1)(A)

22\. IC § 3‑9‑3‑4(a)(1)(B)

23\. IC § 3‑9‑3‑4(a)(1)(C)

24\. IC § 3‑9‑3‑4(a)(2)

25\. IC § 3‑9‑3‑4(b)

26\. IC § 3‑14‑1‑11(1)

27\. IC § 3‑14‑1(11)(2)

28\. IC 3-9-2-11

29\. IC § 4-30-3-19.5(e). *See,* Fed'l

Election Comm'n Advisory Opinion

No. 1989-12.

30\. IC § 4-30-3-19.7(e)

31\. IC §§ 4-30-3-19.5; 19.7

32\. IC § 4-31‑13‑3.5(h). A permit holder

must file a quarterly report of

interest in a permit holder with the

Indiana Horse Racing Commission

and the Indiana Election

Commission. 71 IAC 11-1-22.

33\. IC § 4-31‑13‑3.5(f)(1)

34\. IC § 4-31‑13‑3.5(f)(2)

35\. IC § 4-31‑13‑3.5(f)(3)

36\. IC § 4-31‑13‑3.5(f)(4)

37\. IC § 4-31‑13‑3.5(c)

38\. IC § 4-31‑13‑3.5(d)

39\. IC § 4-31‑13‑3.5(h)(1)

40\. IC § 4-31‑13‑3.5(h)(2)

41\. IC § 35‑41‑1‑23

42\. IC § 4-31‑13‑9(e)

43\. IC § 4-33-10-2.1(e)(1). A license

holder must file a quarterly report of

interest in a permit holder with the

Indiana Gaming Commission and the

Indiana Election Commission.

68 IAC 1-13-1.

44\. IC § 4-33-10-2.1(e)(2). A license

holder must file a quarterly report of

interest in a permit holder with the

Indiana Gaming Commission and

the Indiana Election Commission.

68 IAC 1-13-1.

45\. IC § 4-33-10-2.1(h)(1)

46\. IC § 4-33-10-2.1(h)(2)

47\. IC § 4-33-10-2.1(h)(3)

48\. IC § 4-33-10-2.1(h)(4)

49\. IC § 4-33-10-2.1(c)

50\. IC § 4-33-10-2.1(d)

51\. IC § 4-33-10-2.1(j)(1)

52\. IC § 4-33-10-2.1(j)(2)

53\. IC § 35-41-1-23

54\. IC § 4-33-10-2.1(g)

55\. IC § 8-1-2-102

56\. IC § 3‑9‑2‑4(1)

57\. IC § 3‑9‑2‑4(2)

58\. IC § 3-9-2-4(3)

59\. IC § 3-9-2-4(4)

60\. IC § 3-9-2-4(5)

61\. IC § 3-9-2-4(6)

62\. IC § 3‑9‑2‑4(7)

63\. IC § 3‑9‑2‑4(8)

64\. State Election Commission,

*Instruction Manual for the Indiana*

*Campaign Finance Act, 1996 Edition*

(hereafter *Manual*) at 9

65\. Opinion of the Indiana Attorney

General No. 82‑11; *see*,

IC § 3-9-2-5

66\. IC § 3‑9‑2‑6(1)(a)

67\. IC § 3‑9‑2‑6(1)(b)

68\. IC § 3-9-2-6(2)

69\. IC § 3-9-2-6(3)

70\. IC § 3‑9‑2‑8

71\. IC § 3-9-2-12(b) - (d)

72\. IC § 3-9-2-12(a)

73\. House of Representatives *Rules for*

*the Government of the House* (1999

(hereafter *1999House Rules*),

Code of Ethics at 91, 92

74\. *1999 House Rules*, Code of Ethics at 92

75\. IC § 3-14-1-6(1)

76\. IC § 3-14-1-6(3)

77\. IC § 4‑23‑7‑3.5

78\. IC § 4‑23‑7.2‑17(e)

79\. IC § 8‑23‑2‑3(b)(5)

80\. IC § 8‑23‑2‑3(b)(6)

81\. IC § 14‑9‑7‑1(c)(2)

82\. IC § 14‑9‑7‑1(c)(3)

83\. IC § 14‑10‑3‑10(2)

84\. IC § 3-9-2-13

85\. 40 Indiana Administrative Code

(hereafter IAC) § 2-1-7.1(a)

86\. 40 IAC § 2-1-7.1(b)

87\. 40 IAC § 2-1-7.1(c)(1). The Indiana

State Teachers' Retirement Fund has

a policy that considers it "inappropriate

and improper for members of the Board

to solicit contributions or support of \...

candidates from any investment

managers, consultants or staff." Indiana

State Teachers Retirement Fund

Investment Policy Statement (1997)

at 11.

88\. 40 IAC § 2-1-7.1(c)(2)

89\. Indiana Code of Judicial Conduct

(hereafter *Conduct Code)*, Canon

7(A)(1)(c)

90\. *Conduct Code*, Canon 7(B)(2)

91\. *Conduct Code*, Canon 7(B)(2)

92\. *Conduct Code*, Canon 7(B)(2)

93\. *Conduct Code*, Canon 7(B)(2)

94\. *Conduct Code*, Canon 7(B)(3)

95\. *Conduct Code*, Canon 5(D); Indiana

Judicial Qualifications Commission,

*Advisory Opinion 1-93*, 1993

96\. IC § 3‑5‑2‑23(a)(1)

97\. IC § 3‑5‑2‑23(a)(2)

98\. IC § 3‑5‑2‑23(b)

99\. IC § 3-9-15(b)(1)

100\. IC § 3-9-15(b)(2)(A)

101\. IC § 3-9-15(b)(2)(B)

102\. IC § 3-9-15(b)

103\. IC § 3‑9‑1‑20

104\. IC § 3‑9‑1‑2

105\. IC § 3‑9‑1‑21

106\. IC § 3-9-1-23

107\. IC §§ 3‑9‑1‑24(a)(1), (2)

108\. IC § 3‑9‑1‑24(b)(1)

109\. IC § 3‑9‑1‑24(b)(2)

110\. IC § 3-9-3-4(a)(1)(A). However,

insofar as the provisions apply to

federal office, they are superseded

or preempted by the Federal

Election Campaign Act, 2 U.S.C. §

431 *et seq.* Opinion of the Indiana

Attorney General No. 90-19 (1990)

111\. IC § 3-9-3-4(a)(1)(B)

112\. IC § 3-9-3-4(a)(1)(C)

113\. IC § 3-9-3-4(a)(2)

114\. IC § 3-9-3-4(b); *Wurster, et al. v. State*,

No. 49A02‑9802‑CR‑126 (Ct. App.

Ind. March 29, 1999), aff'd, *Wurster,*

*et al. v. State*, No. 49S02‑9907‑CR‑404

(Sup. Ct. Ind. July 28, 1999)

(summarily affirming Court of

Appeals judgment upholding

constitutionality and interpretation

of the law)

115\. Indiana Election Commission

Advisory Opinion No. 1999-01

(hereafter Adv. Op. 1999-01)

116\. Adv. Op. 1999-01 § 2

117\. Adv. Op. 1999-01 § 3(1)

118\. Adv. Op. 1999-01 § 3(2)

119\. Adv. Op. 1999-01 § 3(3)

120\. Adv. Op. 1999-01 § 4

121\. Adv. Op. 1999-01 § 4(1)

122\. Adv. Op. 1999-01 § 4(2)

123\. Adv. Op. 1999-01 § 4(3)

124\. Adv. Op. 1999-01 § 5

125\. Adv. Op. 1999-01 § 6

126\. IC § 3-8-2-2.5

127\. IC § 3-8-2-2.7(9)

128\. IC § 3-8-2-7(A)

129\. IC § 3-8-2-7(B)

130\. IC § 3‑9‑1‑3

131\. IC § 3‑9‑1‑4(1)

132\. IC § 3‑9‑1‑4(2)

133\. IC § 3‑9‑1‑4(3)

134\. IC § 3‑9‑1‑4(7)

135\. IC § 3‑9‑1‑4(4)

136\. IC § 3‑9‑1‑4(5)

137\. IC § 3‑9‑1‑4(6)

138\. *Brownsburg Area Patrons Affecting*

*Change v. Baldwin*, 943 F. Supp.

975, 985 (S.D. Ind. 1996), *as*

*corrected* November 21, 1996 *nunc*

*pro tunc*. A political action committee

"should be narrowly construed to

encompass 'only those organizations

which make contributions or

expenditures for communications

that in express terms advocate the

election or defeat of a clearly

identified candidate for office or the

victory or defeat of a public

question.' " *Brownsburg Area*

*Patrons Affecting Change v. Baldwin*,

No. 94S00‑9803‑CQ‑144 (Ind. June

23, 1999), *citing Brownsburg Area*

*Patrons Affecting Change v. Baldwin*,

137 F.3d 503, 510 (7^th^ Cir. 1998)

139\. IC § 3‑9‑1‑10

140\. IC § 3‑9‑1‑5

141\. IC § 3‑9‑1‑6

142\. IC § 3‑9‑5‑2(1)

143\. IC § 3‑9‑5‑2(2)

144\. IC § 3‑9‑5‑2(3)

145\. IC § 3‑9‑5‑2(5)

146\. Indiana Gaming Comm'n Res. No.

1993-6; *Manual 1996* at 4, 16

147\. IC § 3‑9‑5‑3

148\. IC § 3‑9‑5‑4(1)

149\. IC § 3‑9‑5‑4(2)

150\. IC § 3‑9‑5‑4(3)

151\. IC § 8-1-2-26(3); *see* Indiana Utility

Regulatory Comm'n, Form JA1

152\. IC § 3-9-5-7

153\. IC § 3-9-5-15(c)

154\. IC § 3-9-5-20(a) - (c)

155\. IC § 3‑9‑5‑10(1)

156\. IC § 3‑9‑5‑10(2)

157\. IC § 3-9-5-6(a)(1)

158\. IC § 3-9-5-6(a)(2)

159\. IC § 3-9-5-8(a)(2)

160\. IC § 3-9-5-7(b)(1)

161\. IC 3-9-5-7(b)(3)

162\. IC § 3-9-5-7(b)(2)

163\. IC § 3-9-5-8.5

164\. IC § 3-9-5-20.1(d)

165\. IC § 3-9-5-20.1(a), (c)

166\. IC § 3-9-5-21

167\. IC § 3-9-4-4(b)(3)

168\. IC § 3-9-4-4(c)

169\. IC § 3-9-4-4(c)

170\. IC § 3-9-5-7(a) (3)

171\. IC § 3-9-5-7(c)

172\. IC § 3-9-5-7(c)

173\. IC § 3-9-5-7(d)

174\. IC § 3‑9‑5‑14(a)(1)

175\. IC § 3‑9‑5‑14(a)(2)

176\. IC § 3‑9‑5‑14(a)(3)(A)

177\. IC § 3‑9‑5‑14(a)(3)(B)

178\. IC § 3‑9‑5‑14(a)(4)

179\. IC § 3‑9‑5‑14(a)(5)

180\. IC § 3‑9‑5‑14(a)(6)

181\. IC § 3‑9‑5‑14(a)(7)(A)

182\. IC § 3‑9‑5‑14(7)(B)

183\. IC § 3‑9‑5‑14(a)(8)

184\. IC § 3‑9‑5‑14(a)(9)(A)

185\. IC § 3‑9‑5‑14(a)(9)(B)

186\. IC § 3‑9‑5‑14(a)(10)

187\. IC § 3‑9‑5‑14(a)(11)

188\. IC §§ 3-9-5-14(b)(3)(C); (b)(6)(B)

189\. IC § 3‑9‑5‑16

190\. IC § 3‑9‑5‑16

191\. IC § 3-9-5-20.1(e)(1), (2)

192\. IC § 3-9-5-20.1(e)(3)

193\. IC § 3-9-5-20.1(e)(4)

194\. IC § 3-9-5-20.1(e)(5)

195\. 2 U.S.C. § 431 *et seq.*

196\. IC § 3‑9‑5‑13. *See,* Federal Election

Comm'n Advisory Opinion No.

1991-16

197\. IC § 3‑9‑5‑13

198\. IC § 8-1-2-26(3); *see,* Indiana Utility

Regulatory Comm'n, Form JA1

199\. IC § 9‑7‑5.5‑8(a)

200\. IC § 9‑7‑5.5‑8(a)(1). *See*,

*Libertarian Party v. Packard*, 741

F.2d 981 (7th Cir. 1984).

201\. IC § 9‑7‑5.5‑8(a)(2)

202\. IC § 9‑7‑5.5‑8(c)

203\. IC § 3-9-1-12(e)(1)

204\. IC § 3-9-1-12(e)(2)(A)

205\. IC § 3-9-1-12(e)(2)(B)(i)

206\. IC § 3-9-1-12(e)(2)(B)(ii)

207\. IC § 3-9-1-12(e)(2)(C)

208\. IC § 3-9-1-12(e)(3)

209\. IC § 3-9-1-12(e)(4)(A)

210\. IC § 3-9-1-12(e)(4)(B)

211\. IC § 3-9-1-12(e)(4)(C)

212\. IC § 5‑3‑1

213\. IC § 3-9-1-12(e)(5)

214\. IC § 3-9-1-12(e)(6)

215\. IC § 3-9-1-12(g)

216\. IC § 3‑9‑1‑24(b)(1)

217\. IC § 3‑9‑1‑24(b)(2)

218\. IC § 3‑9‑5‑11

219\. IC §§ 3‑9‑5‑12; 3-9-1-19

220\. IC § 3‑9‑1‑12(1)(A)

221\. IC § 3‑9‑1‑12(1)(B)

222\. IC § 3‑9‑1‑12(1)(C)

223\. IC § 3‑9‑1‑12(1)(D)

224\. IC § 3‑9‑1‑12(1)(E)

225\. IC §§ 3‑9‑1‑12(2); 3-9-3-4(1)(B)

226\. IC §§ 3‑9‑1‑12(2); 3-9-3-4(1)(B)

227\. IC § 3‑14‑1‑16

228\. IC § 3‑14‑1‑7

229\. IC § 3‑14‑1‑10

230\. IC § 3‑14‑1‑11(1)

231\. IC § 3‑14‑1‑11(2)

232\. IC § 3‑14‑1‑14

233\. IC § 3‑14‑1‑14.5

234\. IC § 3‑14‑1‑15

235\. IC § 4-30-3-19; *see* *e.g.*,

71 IAC 11-1-22 (g)

236\. IC § 3-9-4-16

237\. IC § 3‑14‑1‑13

238\. IC § 3-9-4-16(a)

239\. IC § 3-9-4-16(b)

240\. IC § 3-9-4-18(e)

241\. IC § 3-9-4-17(a)(5)

242\. IC § 3-6-4.1-2

243\. IC § 3-6-4.1-4(a)

244\. IC §§ 3-6-4.1-4(a) - (c)

245\. IC § 3-6-4.1-3

246\. IC §§ 3‑6‑4.1-4(d) - (f)

247\. IC § 3‑6‑4.1‑6(a)

248\. IC § 3‑6‑4.1‑6(b)

249\. IC § 3-6-4-2.1

250\. IC § 3-6-4.2-3(a)

251\. IC § 3-6-4.2-3.2

252\. IC § 3-6-4.2-3(b)

253\. IC § 3-6-4.2-3(c)

254\. IC § 3-6-4.2-3(d)(1)

255\. IC § 3-6-4.2-3(d)(2)

256\. IC § 3-6-4-2.8

257\. IC § 3-6-4-2.8(c)

258\. IC § 3‑9‑4‑2

259\. IC § 3-9-4-14(a)(3)

260\. IC § 3‑9‑4‑3

261\. IC § 3-9-4-4(b)(3)

262\. IC § 3‑9‑4‑4

263\. IC § 3‑9‑4‑5

264\. IC § 3‑9‑4‑6

265\. IC §§ 3‑9‑4‑8, 9

266\. IC § 3-6-4.1-14(a)(2)

267\. IC § 3-9-4-4(b)

268\. IC § 3-9-4-4(b)(1)

269\. IC § 3-9-4-4(b)(2)

270\. IC § 3-9-4-4(c)

271\. IC § 3‑9‑4‑13

272\. IC § 3‑6‑4.1-23; 3-6-4.2-13

273\. IC § 3‑6‑4.2‑10(a)

274\. IC § 3-9-4-14(a)(2)(A)

275\. IC § 3-9-4-14(a)(2)(A)

276\. IC § 3-9-14(a)(2)(B)

277\. IC § 3-9-4-14(a)(3)

278\. IC § 3-9-1-12

279\. IC § 3‑6‑4.1‑24

280\. IC § 3‑6‑4.1‑21(b)

281\. IC § 3‑6‑4.1‑21(c)(2)

282\. IC § 3‑6‑4.1‑21(c)(1)

283\. IC § 3‑6‑4.1-22(a)

284\. IC § 3‑6‑4.1-22(c)

285\. IC § 3-6-4.1-19

286\. IC §§ 3‑6‑4.1-10; 3-6-4.1-19

287\. IC § 3‑9‑5‑4(1)

288\. IC § 3‑9‑5‑4(2)

289\. IC § 3‑9‑5‑4(3)

290\. IC § 3‑9‑4‑5

291\. IC § 3‑9‑4‑6

292\. IC § 3‑9‑4‑7

293\. IC § 3-9-4-14(b)

294\. IC § 3‑9‑4‑13

295\. IC § 3‑9‑4‑14(1)

296\. IC § 3‑9‑4‑14(2)

297\. IC § 3‑9‑4‑14(3)

298\. IC § 3-9-4-14(a)(3)

299\. IC § 3-9-1-12

300\. IC § 3‑6‑4.2-9

301\. IC § 9‑7‑5.5‑8(a)

302\. IC § 3-9-4-16(c)

303\. IC § 3-9-4-18(f)

304\. IC §§ 3‑6‑4.1‑21, 22

305\. 71 IAC 11-1-22(g)

**CAMPAIGN FINANCE LAW**

**IN IOWA**

**I. INTRODUCTION**

Iowa requires candidates and committees receiving contributions or
making expenditures in excess of \$500 or incurring debt in excess of
\$500 to file information on all contributions and expenditures once
annually in non‑election years, and four to six times during an election
year, with some lesser offices and political party committees subjected
to different schedules. Reporting may be made electronically at the
committee's option. Contributions are unlimited for all individuals and
non‑corporate entities; corporate contributions and anonymous
contributions are prohibited. Iowa offers a \$1.50 tax checkoff (\$3 for
a joint return), with funds distributed to the political party
designated by the taxpayer. The Iowa Ethics and Campaign Disclosure
Board is responsible for overseeing both the campaign finance and income
tax checkoff provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution includes a gift, loan,
advance, deposit, rebate, refund, or transfer of money or gift in‑kind
\[1\], and the payment, by any person other than a candidate or
political committee, of compensation for the personal services of
another person which are rendered to a candidate or political committee
for any such purpose \[2\].

A contribution does not include services provided without compensation
by individuals volunteering their time on behalf of a candidate's
committee, political committee, or a state or county statutory political
committee, except when organized or provided on a collective basis by a
business, trade association, labor union, or any other organized group
or association \[3\]. A contribution does not include refreshments, not
exceeding \$50 in value, served at a campaign function or transportation
provided to a candidate, as long as its value (computed at a rate of 20
cents per mile) does not exceed \$100 in value, in any one reporting
period \[4\].

A contribution does not include the purchase of certain goods and
services from a corporation under certain defined circumstances if the
candidate or committee adheres to state rules and reimbursement is made
at the state-specified rates \[5\].

**B. Limitations on Nature of Contributions.** Iowa law prohibits a
person from making a contribution or expenditure in the name of another
person, and a person must not knowingly accept a contribution or
expenditure made by one person in the name of another \[6\].

Persons under 18 years of age may make contributions to a candidate or
political committee if all of the following conditions are satisfied:
(1) the decision to contribute is made knowingly and voluntarily by the
minor; (2) the funds, goods, or services contributed are owned or
controlled exclusively by the minor; and (3) the contribution is not
made from the proceeds of a gift, the purpose of which was to provide
funds to be contributed, or is not in any way controlled by another
person, other than a trust for which the minor is the beneficiary \[7\].

Any funds from an unknown or unidentifiable source received by a
candidate or committee must escheat to the state \[8\]. Any candidate or
committee receiving such contributions must remit such contributions to
the state comptroller for deposit in the general fund of the state
\[9\]. The good faith collection of donations voluntarily made to a
candidate or committee, such as a "pass the hat" or "can collection," is
not construed as an anonymous donation if, attached to each collection
container or prominently displayed in the immediate vicinity, there is a
written statement to the effect that a contribution in excess of \$10 is
illegal unless the contributor provides his or her name, address, and
the amount of the contribution \[10\], and the name of the person
organizing or coordinating the freewill donation, and the name, date,
and location of the event are recorded \[11\]. If the total amount
collected exceeds the reporting amount specified for each candidate,
committee, or issue, the freewill donation organizer or coordinator must
be identified by name or address on the appropriate report \[12\].

An individual may receive contributions without the prior authorization
of the chair or candidate if the individual turns the contribution in to
the treasurer within 15 days of receipt, or deposits the contribution in
the campaign account within seven days \[13\]. Campaign funds
contributed to a candidate or candidate's committee are required to be
deposited in a separate campaign account \[14\] in an Iowa bank \[15\].

Before an Iowa committee accepts a contribution from a committee outside
of Iowa, the Iowa committee must contact the Iowa Ethics and Campaign
Disclosure Board to determine if the out‑of‑state committee has
submitted a statement of organization and appropriate disclosure reports
to the commission \[16\]. An Iowa committee may not accept a
contribution from an out‑of‑state committee which has not filed a
statement of organization and appropriate disclosure reports with the
Board, or which has not filed a verified statement of registration
disclosing the amount of the contribution and the identification of the
jurisdiction in which the out-of-state committee is filing disclosure
reports which substantially comply with Iowa's filing requirements
\[17\].

A candidate's committee may not make to, nor accept transfers of funds
from, candidate's committees other than those established for the same
candidate \[18\].

A judge or candidate for judicial office should not contribute to a
political organization or candidate \[19\]. An individual subject to the
direction and control of the judge or judicial candidate is subject to
the same restrictions \[20\].

**C. Contributions and Solicitations by Certain Regulated Industries and
Corporations.** An insurance company, savings and loan association,
bank, credit union, and any for‑profit or not‑for‑profit corporation,
and their officers, agents, and representatives, may use the money,
property, labor, or any other thing of value of the entity, for the
purposes of soliciting its stockholders, administrative officers, and
members for contributions to a committee sponsored by the entity, and of
financing the administration of a committee sponsored by that entity
\[21\]. The entity's other employees may voluntarily contribute to such
a committee, but may not be solicited for contributions \[22\]. A member
of a committee, committee employee, committee representative, or a
candidate for office or the candidate's representative may lawfully
solicit, request, and receive money, property, and other things of value
from a lawfully‑organized committee sponsored by an insurance company,
savings and loan association, bank, credit union, or corporation \[23\].

An insurance company, savings and loan association, bank, credit union,
or corporation, or an officer, agent, or representative acting for such
an entity, may not contribute any money, property, labor, or thing of
value, directly or indirectly, to a committee, or for the purpose of
influencing the vote of an elector, except in connection with a utility
franchise election or a ballot issue \[24\].

A member of a committee, or its employees or representatives, except a
ballot issue candidate, a candidate for office, or a representative of
the candidate, may not solicit, request, or knowingly receive from an
insurance company, savings and loan association, bank, credit union, or
corporation, or its officers, agents, or representatives, any money,
property, or thing of value belonging to the entity for the purpose of
influencing the vote of an elector \[25\]. This restriction does not
restrain or abridge the freedom of the press, nor prohibit the
consideration or discussion in the press of candidacies, nominations,
public officers, or public questions \[26\].

The restrictions on an insurance company, savings and loan association,
bank, credit union, or corporation relative to making, soliciting, or
receiving contributions does not apply to a not‑for‑profit corporation
or organization which uses those contributions to encourage registration
of voters and participation in the political process, or to publicize
public issues, or both, but does not use any part of those contributions
to endorse or oppose any candidate for public office, or expressly
advocating for or against ballot issues \[27\].

A qualified sponsoring organization (a not-for-profit organization
involved in a riverboat gambling enterprise) may not contribute to a
candidate, political committee, candidate committee, state statutory
political committee, national political party, or a political fundraiser
\[28\].

**D. Limitations on Solicitations by Government Employees.** No public
officer or employee, or any person acting under color of such office or
employment, may demand that any public employee contribute or pay
anything of value, either directly or indirectly, to any person,
organization, or fund, or in any way coerce or attempt to coerce any
public employee to make any such contributions or payments, except where
such contributions or payments are expressly required by law \[29\]. A
judge or judicial candidate should not solicit contributions for a
candidate or political committee \[30\], and an individual under the
judge or judicial candidate's direction and control should be held to
the same restriction \[31\].

**E. Limitations on Solicitations of Government Employees.** Person or
political organization may not, either directly or indirectly, solicit
or demand from any employee of any commission, board, or agency created
by state statute, any contribution of money or any other thing of value
for election purposes, or for the purpose of paying expenses of any
political organization or any person seeking election to any public
office \[32\].

**F. Limitations on Contributions During Legislative Sessions.** No
contributions---monetary or in-kind---may be accepted by a legislator,
elected state official, or candidate for state office, during a
legislative session, unless the person has filed nominating papers for a
special election during the legislative session, or is a candidate for
federal elective office \[33\]. A statewide elected official may not
solicit contributions from a lobbyist or political committee, other than
a party committee, during a legislative session for a candidate in a
special election \[34\].

The limitation on contributions during a legislative session does not
extend to a special session of the General Assembly \[35\].

**G. Special Provisions Relating to Independent Expenditures.** Action
which is taken by any person, candidate's committee or political
committee on behalf of a candidate, if known and approved by the
candidate, is deemed action by the candidate and reported by the
candidate's committee \[36\]. There is a presumption that a candidate
approves the action if the candidate had knowledge of it and failed to
file a statement of disavowal with the commissioner or board and take
corrective action within 72 hours of the action \[37\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditures.** Iowa law does not explicitly define
an expenditure.

**B. Limitations on Nature of Expenditures.** Each committee is required
to appoint a treasurer and chairperson, each who must be an Iowa
resident at least 18 years old \[38\]. The treasurer must be a resident
of Iowa, or all of the accounts of the committee must be maintained in a
financial institution in Iowa \[39\]. An expenditure may not be made by
the treasurer or treasurer's designee for, or on behalf of, a committee
without the approval of the chairman of the committee or the candidate
\[40\].

All expenditures must be remitted to the designated recipient within 15
days of the date of the issuance of the payment \[41\].

**C. Permissible Expenditures by Candidates and Committees Receiving
Public Funds.** Any statutory political committee receiving income tax
checkoff funds, is subject to restrictions on types of expenditures
\[42\]. Any expenditure from the Iowa election campaign fund must be for
legitimate campaign expenses \[43\]. Legitimate expenses include radio,
television, and newspaper advertising for the party or a general
election candidate \[44\]; leaflets, fliers, buttons, and stickers for
the party or a general election candidate \[45\]; party staff and
general election campaign staff salaries, fringe benefits, and
applicable payroll taxes \[46\]; travel, lodging, and food expenses for
party staff and a general election campaign candidate and staff \[47\];
travel, lodging, food, and expenses for a public official who promotes
party activities or travels with a general election candidate to a
campaign activity, provided that the expenses are not intended to
promote the primary election candidacy of any person or persons seeking
public office \[48\]; a direct or in‑kind contribution to the political
committee of a state political party or general election candidate
\[49\]; building costs, utilities, and maintenance for the office
locations of a state political party or a general election candidate
\[50\]; expenses of the office operations of the political parties,
including printing and copying charges, postage costs, telephone
charges, computer services, bank charges, election records, parking
costs, and miscellaneous office supplies, provided that the expenses are
not intended to promote the primary election candidacy of any person or
persons seeking public office \[51\]; payment for contract services for
projects of the political parties, if the project is for general
election purposes \[52\]; party expenses for the initial recruitment of
candidates for public office by the political parties \[53\]; and
expenses for volunteer activities, meeting costs, and fundraising costs,
provided that the expenses are not intended to promote the primary
election candidacy of any person or persons \[54\].

**D. Other Permissible Expenditures**. A candidate's committee may
transfer funds in one or more of the following ways: (1) contributions
to charitable organizations \[55\]; (2) contributions to national,
state, or local party central committees, or partisan political
committees organized to represent persons within the boundaries of a
congressional district \[56\]; transfers to the treasurer of the state
for deposit in the general fund of the state, or to an appropriate
treasurer for deposit in the general fund of a political subdivision of
the state \[57\]; or return of contributions to contributors on a pro
rata basis, with contributors of \$5 or less not required to be included
in the distribution \[58\]. A candidate or candidate's committee making
such transfers may not place any requirements or conditions on the use
of the campaign funds transferred \[59\], and a candidate or candidate's
committee is not permitted to transfer campaign funds with the intent of
circumventing the prohibitions on transfers \[60\].

**E. Prohibited Expenditures by Committees Receiving Public Funds.**
Iowa election campaign funds distributed to a statutory political
committee may not be used to expressly advocate for or against the
nomination of any candidate \[61\].

An expenditure from the Iowa election campaign fund which is intended to
promote the primary election candidacy of a person or persons seeking
public office is prohibited \[62\]. Use of the Iowa election campaign
fund to pay indebtedness of any party, incurred to promote the primary
election candidacy of a person or persons seeking public office, is also
prohibited \[63\]. However, Iowa election campaign funds may be used by
a statutory committee to pay expenses incurred in arranging and holding
a nominating convention \[64\]. The Iowa campaign fund may not be used
to purchase any item the use of which, or benefit derived therefrom,
extends beyond the time within which those funds may be spent \[65\].
Any leased item may not be paid for with Iowa election campaign funds
after the time limit for spending those funds has expired \[66\]. Any
item purchased or acquired by a prepaid lease which extends beyond the
time limits for spending Iowa election campaign funds are considered to
be unspent funds, and must revert to the general fund \[67\]. All
expenditures of Iowa election campaign funds by political parties and
candidates, between the day following a general election and the date on
which the funds revert to the general fund, must be for encumbrances
that existed on election day \[68\].

**F. Prohibited Expenditures by Any Candidates or Candidate
Committees.** A candidate and a candidate committee are permitted to use
campaign funds only for campaign purposes, educational and other
expenses associated with the duties of office, or constituency services,
and are not permitted to use campaign funds for personal expenses
\[69\].

Campaign funds may not be used for any of the following purposes: (1)
payment of civil or criminal penalties, except for payment of civil
penalties relating to campaign finance and disclosure requirements
\[70\]; (2) satisfaction of personal debts \[71\]; (3) personal
services, including the services of attorneys, accountants, physicians
and other professionals, with the exception of payment for personal
services directly related to campaign activities \[72\]; (4) clothing or
laundry expense of a candidate or members of the candidate's family,
including formal wear rental \[73\]; (5) mortgage payments, rental
payments, furnishings, or renovation or improvement expenses for a
permanent residence of a candidate or family member, including a
residence in the state capital during a term of office or legislative
session \[74\]; (6) membership in professional organizations \[75\]; (7)
membership in service organizations, with the exception of those
organizations which the candidate joins solely for the purpose of
enhancing the candidacy \[76\]; (8) meals, groceries, or other food
expense, except for tickets to meals the candidate attends solely for
the purpose of enhancing the candidacy, or the candidacy of another
person, except for payment for food and drink purchased for
campaign-related purposes and for entertainment of campaign volunteers
\[77\]. A candidate or candidate's committee may not use campaign funds
to make payments clearly in excess of the fair market value of the item
or service purchased \[78\].

A candidate may not make a loan to his or her own candidate committee
with an interest charge on the loan of greater than five percent, lest
it be considered an impermissible "personal benefit" to the candidate
\[79\].

Campaign funds may also not be used for the purchase of or installment
payments for a motor vehicle \[80\]. However, a candidate may lease a
motor vehicle during the duration of the campaign if the vehicle will be
used for campaign purposes, detailed records are kept on the use of the
vehicle, and the cost of noncampaign usage is not paid for from campaign
funds \[81\].

Campaign funds may be used for the subscription price of newspapers from
or which circulate within the area represented by the office which a
candidate is seeking or holds \[82\].

**G. Prohibited Expenditures by Government Entities.** The state and
governing body of a city, county, or other political subdivision of the
state are prohibited from expending or allowing the expenditure of
public monies for political purposes, including support of or opposition
to a ballot issue \[83\]. This prohibition does not extend to conduct or
activities undertaken using public resources to advocate for or against
an issue which has not yet been approved to be placed on the ballot, or
which is not otherwise required to be placed on the ballot \[84\].

**IV. REPORTING REQUIREMENTS**

All required statements and reports must be either typewritten or
printed legibly in ink \[85\].

**A. Registration.** A statement of organization is to be filed by every
committee, other than a candidate's committee, which accepts
contributions of more than \$500, makes expenditures of more than \$500,
or incurs indebtedness in the aggregate of more than \$500 in any one
calendar year, for the purpose of supporting or opposing a candidate for
public office or ballot issue, or an association, lodge, society,
cooperative, union, fraternity, sorority, educational institution, civic
organization, labor organization, religious organization, or
professional association which makes contributions in the aggregate of
\$500 in any one calendar year, for the purpose of supporting or
opposing a candidate for public office \[86\], and includes a Native
American tribe \[87\]. A candidate's committee which receives
contributions, expends funds, or incurs indebtedness in excess of \$500,
in any calendar year, on behalf of the candidate must also file a
statement of organization \[88\], or in the case of a candidate for city
or school office, when the candidate receives contributions, makes
expenditures, or incurs indebtedness in excess of \$500 in a calendar
year \[89\]. Unless formal organization has previously occurred, a
committee is deemed to have organized as of the date committee
transactions exceed the financial activity threshold established by
statute \[90\].

A committee organized under Iowa law which is not registered and filing
full disclosure reports of all financial activities with the Federal
Election Commission or another state's disclosure commission must
register and file full disclosure reports with the Board on forms
prescribed by the Board and must either appoint a eligible Iowa voter as
campaign treasurer or maintain all committee funds in an account in a
financial institution located in Iowa \[91\]. A committee not organized
in Iowa which is registered and filing full disclosure reports of all
financial activities with the Federal Election Commission or another
state's disclosure commission under requirements which are substantially
similar to Iowa's requirements must register and either file full
disclosure reports with the Board on forms prescribed by the Board
\[92\]. The forms must also contain a verified statement that must
attest that the committee is filing reports with the Federal Election
Commission or in another jurisdiction with reporting requirements that
are substantially similar to Iowa, indicating the amount of the
contribution and the jurisdiction where the full report is made, and
that the contribution is made from an account which does not accept
contributions which would be in violation of Iowa law \[93\].

A communication regarding any subject by a non-profit permanent
organization (an organization which is continuing, stable, and enduring,
and which was originally organized for purposes other than engaging in
election activities) to its dues-paying members is not political
activity requiring organization of a political committee, reporting, or
disclosure \[94\].

The statement of organization must include the committee's name (which
must include the name of the candidate in the committee name) \[95\],
mailing address, and telephone number \[96\]; the name, mailing address,
and position of the committee officers \[97\], and their telephone
numbers \[98\]; the name, address, office sought, and the party
affiliation of all candidates whom the committee is supporting, and, if
the committee is supporting, and, if the committee is supporting the
entire ticket of any party, the name of the party \[99\]; the
disposition of funds that will be made in the event of dissolution of
the committee, if the committee is not a statutory committee \[100\];
the identification of any parent entity or other affiliates or sponsors
\[101\]; and the name of the financial institution in which the
committee receipts will be deposited \[102\]. The committee name must
not duplicate the name of another committee already organized \[103\].
The treasurer must also sign a statement affirming an understanding of
the threshold filing requirements as part of the statement of
organization \[104\]. Any change in information previously submitted in
a statement of organization or notice in case of dissolution of the
committee, must be reported to the Ethics and Campaign Disclosure Board
or appropriate county auditor/election commissioner not more than 30
days from the date of the change or dissolution \[105\].

Records of the candidate's committee or political committee must be kept
for a period of five years, commencing with the due date of the
disclosure report covering the activity documented in the records,
unless the committee dissolves, in which case records must be retained
for at least three years after the certified dissolution date \[106\].

**B. Place of Filing.** All statements and reports for a state office
are to be filed with the Board \[107\]. All statements and reports for a
county, city, or school office are to be filed with the county
auditor/county election commissioner \[108\]. A statement or report on a
ballot issue must be filed with the county auditor/county election
commissioner responsible for conducting the election at which the issue
is voted upon, except that a statement or report on a statewide ballot
issue must be filed with the Board \[109\]. A state statutory political
committee must file all statements and reports with the Board, while all
other statutory political committees must file the statements and
reports with the county auditor/county election commissioner, with a
copy sent to the Board \[110\]. A political committee supporting or
opposing candidates, for both federal office and any elected office
created by law or the constitution of the state of Iowa, must file
statements and reports with the Board in addition to any federal reports
required to be filed with the Board \[111\]. A political committee which
is registered and filing full disclosure reports of all financial
activities with the Federal Election Commission may file verified
statements \[112\]. A political committee supporting or opposing
candidates or ballot issues for statewide elections and for county,
municipal, or school elections may file all activity on one report with
the Board, and must send a copy to the county auditor/county election
commissioner responsible for conducting the election \[113\].

**C. Filing Deadline.** The treasurer of each committee, except those
committees for municipal and school elective offices and for local
ballot issues, must file four required disclosure reports by May 19,
July 19, October 19, and January 19 annually \[114\]. A candidate's
committee, other than a committee for a municipal or school elective
officer, is not required to file the May, July, and October reports in a
year in which the candidate is not standing for election \[115\]. A
candidate, state, county, or city statutory political committee is not
required to file the May and July reports for a year in which no primary
or general election is held at the respective state, county or city
level \[116\]. The January report serves as the annual report covering
activity through December 31 of the preceding year, while the other
reports must be current as of five days prior to the filing deadline
\[117\].

A report is timely if it is received on the due date, which is extended
to the next working day if it falls on a weekend or holiday, or if
mailed and bears a U.S. Postal Service postmark dated on or before the
respective due date \[118\]. Private postage meters are not permitted by
law as proof of timely filing \[119\]. If a committee submits a report
by mailing a diskette, the diskette must be received by the Board or
mailed with a U.S. Postal Service postmark on or before the required
date, and where the committee files via the Internet or by e‑mail, the
report must be received by the Board's computer network on or before
11:59 p.m. of the required due date to be considered timely filed
\[120\].

A supplemental disclosure report must be filed in a year in which a
primary, general, or special election is held, if the committee of a
candidate for governor receives \$10,000 or more, the committee for a
statewide candidate receives \$5,000 or more, or if the committee for a
general assembly candidate receives \$1,000 or more after the close of
the last disclosure report filed prior to that primary, general, or
special election \[121\]. The amount of contributions triggering a
supplemental report to be filed must include loans, cash contributions,
and the estimated fair market value of in‑kind contributions \[122\].
These supplemental reports must be filed by the Friday immediately
preceding the respective election, and be current through the Tuesday
immediately preceding that election \[123\].

A candidate's committee for a candidate for the general assembly at a
special election must file a disclosure report by the 14th day prior to
the special election, which is current through the 19th day prior to the
special election \[124\]. The committee will file subsequent disclosure
reports on dates applicable to other general assembly candidates'
committees \[125\].

A committee for a municipal or school elective office, or any group of
citizens or entity that takes a position on a question placed before the
voters, must file its first report five days prior to any election in
which the name of the candidate or the local ballot issue which it
supports or opposes appears on the printed ballot, and must file its
next report on the first day of the month following the final election
in a calendar year in which the candidate's name or ballot issue appears
on the ballot \[126\]. A disclosure report is required on January 19 and
October 19 in nonelection years until the committee is dissolved
\[127\]. Reports must be current to five days prior to the filing
deadline \[128\].

A state statutory political committee and congressional district
committees authorized by the constitution of the state statutory
political committee are not subject to the reporting requirements if the
state statutory political committee and congressional district political
committees file copies of campaign disclosure reports as required by
federal law with the Ethics and Campaign Disclosure Board at the times
the reports are required to be filed under federal law, provided that
the federal reports contain all the information required by the
reporting requirements \[129\]. A committee of a national political
party is not required to file a disclosure report with the Board if it
is required by law to file a report with a federal agency \[130\].

**D. Contents of Reports.** Each report must disclose the amount of cash
on hand at the beginning of the reporting period \[131\]; and the name
and mailing address of each person who has made one or more
contributions of money to the committee when the aggregate amount, in a
calendar year, exceeds \$200 for any committee of a national political
party or state statutory political committee \[132\]; \$100 for any
candidate for congress \[133\]; \$50 for any county statutory political
committee \[134\]; and \$25 for any candidate for school or township
office \[135\], city office \[136\], county office \[137\], general
assembly \[138\], statewide office \[139\], any ballot issue \[140\]; or
any other political committee \[141\].

A contribution which is made via credit card and for which a transaction
fee is subtracted by the service vendor should be reported as a
contribution in the entire amount of the contributor's contribution,
with the service fees grouped together and reported as an expenditure to
the service vendor in the aggregate amount \[142\].

A contribution or sale at a fundraising event, which involves the sale
of a product acquired at less than market value and sold for an amount
in excess of the threshold for reporting the name and address of the
contributor, is not considered as a contribution by the contributor for
such threshold purposes, but rather must be designated separately
\[143\]. The total amount of contributions made to the political
committee during the reporting period, and not reported under the
threshold provisions, must also be disclosed \[144\]. The name and
mailing address of each person who has made one or more in‑kind
contributions to the committee, when the aggregate market value of the
in‑kind contribution in a calendar year exceeds the designated
threshold, must be reported \[145\]. An in‑kind contribution must be
designated on a schedule separate from schedules showing contributions
of money, and must identify the nature of the contribution and provide
its estimated fair market value \[146\]. Each loan to any person or
committee within the calendar year, in an aggregate amount in excess of
the threshold amounts, must be disclosed, together with the name and
mailing address of the leader and endorsers, the date and amount of each
loan received, and the date and amount of each loan repayment \[147\].
Loans received and loan repayments must be reported on a separate
schedule \[148\].

The name and mailing address of each person to whom a disbursement or
loan repayment has been made by the committee from contributions during
the reporting period, and the amount, purpose, and date of each
disbursement must also be disclosed, except that a disbursement of less
than \$5 may be shown as a miscellaneous disbursement, if the aggregate
miscellaneous disbursements, to any one person during a calendar year do
not exceed \$100 \[149\]. If disbursements are made to a consultant, the
consultant must provide the committee with a statement of disbursements
made by the consultant during the reporting period showing the amount,
purpose, and date to the same extent as if made by the candidate, and
this statement must be included in the committee's report \[150\].

The amount and nature of debts and obligations owed in excess of the
threshold amounts must also be disclosed, although a loan made to a
committee in excess of the threshold amount that is reported, is not
considered a debt or obligation in this context \[151\]. A loan made by
a committee to any person is considered a disbursement \[152\].

If a person related to the candidate within the third degree of
consanguinity is listed on the reports as making a contribution or loan
to the candidate, the existence of the person's family relationship must
be indicated on the report \[153\]. The name and mailing address of each
person with whom a candidate's committee has entered into a contract
during the reporting period for future or continuing performance and the
nature of the performance, period of performance, and total, anticipated
compensation for performance \[154\]. For supplementary reports, this
includes the reporting of estimates of performance which the candidate's
committee reasonably expects to contract for during the balance of the
period running until 30 days after the election \[155\].

If the report is the first report filed by the committee, the report
shall include all information required by statute covering the period
from the beginning of the committee's financial activity, even if a
different calendar year, through the end of the current reporting period
\[156\]. If no contributions have been accepted, no disbursements made,
or no indebtedness incurred during the reporting period, the treasurer
of the committee must file a disclosure statement which shows only the
amount of cash on hand at the beginning of the reporting period \[157\].

If any committee, after having filed a statement of organization or one
or more disclosure reports, dissolves or determines that it shall no
longer receive contributions or make disbursements, the treasurer of the
committee must notify the Board or appropriate county auditor/county
election commissioner within 30 days following such dissolution by
filing a dissolution report \[158\]. Moneys refunded in accordance with
a dissolution statement must be considered a disbursement or expense,
but the names of persons receiving refunds need not be released or
reported, unless the contributors' names were required to be reported
when the contribution was received \[159\].

Upon dissolution of a candidate's committee, a report accounting for the
disposition of all items of campaign property having a residual value of
\$25 or more must be filed with the Board \[160\].

A report or statement required to be filed by a treasurer of a political
committee, a candidate, or by any other person, must be signed by the
person filing the report \[161\], and a copy preserved by the person
filing it, or that person's successor, for at least three years
following the filing or date of the committee's dissolution \[162\].

**E. Electronic Reporting by Candidates' Committees and Other Political
Committees.** Iowa candidates' committees and other political committees
required to Iowa Code Chapter 56 to register and file disclosure reports
may satisfy this statutory obligation by using computer software
developed for this purpose by the Ethics and Campaign Disclosure Board
\[163\]. The Ethics and Campaign Disclosure Board has not promulgated
specific rules governing electronic reporting, but has set forth some
general information regarding electronic reporting \[164\].

Filing by electronic facsimile is acceptable, but facsimile reports must
be replaced as soon as possible with original forms \[165\].
Computer-generated disclosure reports are acceptable, subject to prior
Board approval \[166\].

**F. Financial Statement Required of Candidates.** Candidates for
statewide office, and the general assembly are required to file a
financial statement on forms prescribed by the appropriate filing entity
\[167\]. Candidates for statewide office file with the Ethics and
Campaign Disclosure Board, candidates for the house of representatives
file with the chief clerk of the house, and candidates for the Senate
file with the secretary of the senate \[168\]. All such statements must
generally be filed no later than 30 days after the deadline for filing
nominating papers \[169\].

**G. Reporting by a General Assembly Lobbyist**. A legislative lobbyist
must file a report with the general assembly disclosing contributions
made to candidates for state office by the lobbyist during the months
comprising the reporting period when the legislature is not in session
\[170\], including the recipient of the campaign contributions \[171\].
General reporting by lobbyists is due not later than 25 days after any
month in which the legislature is in session, and on or before July 31,
October 31, and January 31 \[172\].

**H. Reporting by an Executive Branch Lobbyist**. An executive branch
lobbyist must file a report with the Ethics and Campaign Disclosure
Board disclosing contributions made to candidates for state office by
the lobbyist during the months comprising the reporting period when the
legislature is not in session, including the recipient of the campaign
contributions \[173\]. General reporting by executive branch on or
before April 30, July 31, October 31, and January 31 for the preceding
calendar quarter \[174\].

**I. Special Provisions Regarding Independent Expenditures.** A person,
candidate's committee or political committee taking action independently
of that candidate's committee must notify that candidate's committee in
writing within 24 hours of taking the action, and provide that
candidate's committee with the cost of the promotion at fair market
value \[175\]. A copy of the notification shall be sent to the board
\[176\].

Any person who makes expenditures or incurs indebtedness, other than
incidental expenses incurred in performing volunteer work, in support or
opposition of a candidate for public office, must notify the appropriate
committee and provide necessary information for disclosure reports
\[177\].

A person, other than a political committee, who makes one or more
expenditures in excess of \$500 in the aggregate, or incurs indebtedness
in excess of \$500 in the aggregate, in any one calendar year for
purposes of supporting or opposing a ballot issue, must file a statement
of activity within 10 days of taking the action exceeding the threshold
\[178\]. The statement must contain information identifying the person
filing the statement, identifying the ballot issue, and indicating the
position urged by the person with regard to the ballot issue \[179\].
The person must file reports indicating the dates on which the
expenditures or incurrence of indebtedness took place; a description of
the nature of the action taken which resulted in the expenditures or
debt; and the cost of the promotion at fair market value \[180\].

For a local ballot issue, the reports are filed five days prior to any
election in which the ballot issue appears and on the first day of the
month following the election, as well as on the 19th day of January,
May, and July of each year in which the ballot issue appears on the
ballot and on the 19th day of January and October of each year in which
the ballot issue does not appear on the ballot \[181\]. For a statewide
ballot issue, reports are filed on the 19th day of January, May, and
July of each year \[182\].

The reports must be current to five days prior to the filing deadline,
and are considered timely filed if mailed bearing a United States postal
service postmark on or before the due date \[183\]. Filing obligations
shall cease when the person files a statement of discontinuation
indicating that the person's financial activity in support of or in
opposition to the ballot issue has ceased \[184\]. Statements and
reports are filed with the commissioner responsible for conducting the
election at which the issue is voted upon, except that reports on a
statewide ballot issue are filed with the board \[185\].

A person taking action involving the making of an expenditure or
incurrence of indebtedness in support or opposition to a ballot issue
independently of a political committee must, within 72 hours of taking
the action, notify in writing any political committee which advocates
the same position with regard to the ballot issue as the person taking
the action \[186\]. The notification must provide the political
committee with the cost of the promotion at fair market value, and a
copy of the notification must also be sent to the board. There is a
presumption that a benefitted committee approves the action if the
committee fails to file a statement of disavowal with the commissioner
or board and takes corrective action within 10 days of the action
\[187\]. Action approved by a committee must be reported as a
contribution by the committee \[188\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Operation of the Iowa Election Campaign Fund.** Iowa has an
election campaign fund within the office of the treasurer of the state
\[189\]. The treasurer maintains a separate account for each qualified
political party, and the director of revenue remits funds collected to
the treasurer for deposit in the appropriate account \[190\]. Interest
income received by the treasurer from investment of moneys in the fund
is deposited in the Iowa election campaign fund \[191\].

Upon the comptroller's receipt of the party's application for funds, the
party may request the transfer of all, or any part, of the election
campaign funds to which it is presently entitled \[192\]. However, the
last claim voucher for a year in which a general election occurs should
be submitted to the comptroller no later than November 25 \[193\]. The
last warrant written by the comptroller in a general election should be
issued to the political party no later than December 1 \[194\]. Money in
the Iowa election campaign fund must be remitted to the party on the
first business day of each month, by warrant of the state comptroller,
drawn upon the fund in favor of the state chairperson of that party
\[195\]. After making the last payment, the comptroller must accumulate
any additional funds received by that officer from the department of
revenue, and must hold them for distribution for the next succeeding
election \[196\].

**B. Eligibility for Funding and Limitations on Expenditures.** The
money received by each political party must be used as directed by the
party's state statutory committee \[197\]. A candidate for non‑federal
public office may receive campaign funds from the Iowa election campaign
fund through the state central committee of the candidate's political
party \[198\]. A candidate for federal office and his candidate's
committee may be eligible for money from the Iowa election campaign fund
only if matching funds to pay a portion of their campaign expenses are
not available to such candidates or their committees from the federal
government \[199\]. All funds on account for the campaign expenses of
any designated political party, which are not utilized by that political
party by January 1st of the year following a general election, must
revert to the general fund of the state \[200\].

The chairperson of the state statutory political committee must produce
evidence to the state comptroller and Ethics and Campaign Disclosure
Board, not later than January 25 of each year, that all Iowa election
campaign funds have been utilized exclusively for (legitimate) campaign
expenses \[201\]. The chairperson of each political party receiving
funds from the election campaign fund must provide invoices, canceled
checks, or cash receipts for all state moneys used in the campaign
\[202\]. All such funds must be maintained in a separate account
\[203\].

Any statutory political committee or eligible candidate for partisan
public office receiving income tax checkoff funds is subject to
restrictions on types of expenditures \[204\]. Any expenditure from the
Iowa election campaign fund must be for legitimate campaign expenses
\[205\]. Legitimate expenses include radio, television, and newspaper
advertising for the party or a general election candidate \[206\];
leaflets, fliers, buttons, and stickers for the party or a general
election candidate \[207\]; party staff and general election campaign
staff salaries, fringe benefits, and applicable payroll taxes \[208\];
travel, lodging, and food expenses for party staff and a general
election campaign candidate and staff \[209\]; travel lodging, and food
expenses for a public official who promotes party activities or travels
with a general election candidate to a campaign activity, provided that
the expenses are not intended to promote the primary election candidacy
of any person or persons seeking public office \[210\]; a direct or
in‑kind contribution to the political committee of a state political
party or general election candidate \[211\]; building costs, utilities,
and maintenance for the office locations of a state political party or a
general election candidate \[212\]; expenses of the office operations of
the political parties, including printing and copying charges, postage
costs, telephone charges, computer services, bank charges, election
records, parking costs, and miscellaneous office supplies, provided that
expenses are not intended to promote the primary election candidacy of
any person or persons seeking public office \[213\]; payment for
contract services for projects of the political parties, if the project
is for general election purposes \[214\]; party expenses for the
political parties \[215\]; and expenses for volunteer activities,
meeting costs, and fundraising costs, provided that the expenses are not
intended to promote the primary election candidacy of any person or
persons \[216\].

Iowa election campaign funds distributed to a statutory political
committee may not be used to expressly advocate for or against the
nomination of any candidate \[217\]. An expenditure from the Iowa
election campaign fund which is intended to promote the primary election
candidacy of a person or persons seeking public office is prohibited
\[218\]. Use of the Iowa election campaign fund to pay indebtedness of
any party, incurred to promote the primary election candidacy of a
person or persons seeking public office, is also prohibited \[219\].
However, Iowa election campaign funds may be used by a statutory
committee to pay expenses incurred in arranging and holding a nominating
convention \[220\]. The Iowa campaign fund may not be used to purchase
any item the use of which, or benefit derived therefrom, extends beyond
the time within which those funds may be spent \[221\]. Any leased item
may not be paid for with Iowa election campaign funds after the time
limit for spending those funds has expired \[222\]. Any item purchased
or acquired by a prepaid lease, which extends beyond the time limits for
spending Iowa election campaign funds, must be considered to be unspent
funds, and revert to the general fund \[223\]. All expenditures of Iowa
election campaign funds by political parties and candidates, between the
day following a general election and the date on which the funds revert
to the general fund, must be for encumbrances that existed on election
day \[224\].

Should the Ethics and Campaign Disclosure Board and the state
comptroller determine that any part of the funds have been used for
noncampaign or improper expenses, they may order the political party or
the candidate to return all, or any part, of the total funds paid to
that political party for that election \[225\]. When such funds are
returned, they must be deposited in the general fund of the state
\[226\].

**VI. TAX PROVISIONS**

Iowa funds its election campaign fund through voluntary taxpayer
checkoffs on state income tax returns \[227\].

Any person whose state income tax liability for any taxable year is
\$1.50 or more may direct that \$1.50 of such liability to be paid over
to the Iowa election campaign fund when submitting his or her state
income tax return to the department of revenue \[228\]. In the case of a
joint return of a married couple having a state income tax liability of
\$3 or more, each spouse may direct that \$1.50 be paid to the fund
\[229\]. Any contribution directed to the Iowa election campaign fund by
a taxpayer who does not designate any one political party to receive the
contribution is to be divided, by the director of revenue, equally among
each account currently maintained in the fund \[230\]. However, at any
time when more than two accounts are being maintained within the fund,
contributions to the fund by taxpayers who do not designate any one
political party to receive their contributions is to be divided among
the accounts in the same proportion as the number of qualified electors
declaring affiliation with each political party for which an account is
maintained bears to the total number of qualified electors who have
declared an affiliation with a political party \[231\].

A checkoff action taken by a person is irrevocable \[232\], and cannot
be changed \[233\]. A checkoff once certified must not be rescinded if a
taxpayer later amends his or her return to reduce his or her tax
liability to zero \[234\].

A tax return which contains a political checkoff must be filed within 12
months after the close of the taxpayer's tax year for the checkoff to be
counted \[235\].

**VII. POST‑ELECTION REQUIREMENTS**

A committee may not dissolve until all loans, debts, and obligations are
paid, forgiven, or transferred and the remaining money in the account is
distributed according to the organization statement \[236\]. Each item
of campaign property having an initial value of \$500 or more and a
residual value of \$100 or more must be disposed of either through the
sale of the property at fair market value, in which case the proceeds
are to be treated the same as other campaign funds \[237\]. Surplus
funds are disposed of through contributions to charitable organizations
\[238\]; transfer to national, state, or local political party central
committees, or to partisan political committees organized to represent
persons within the boundaries of a congressional district \[239\];
transfer to another candidate's committee when the candidate for whom
both committees are formed is the same person \[240\]; transfer to the
treasurer of the state for deposit in the general fund of the state, or
to the appropriate treasurer for deposit in the general fund of a
political subdivision of the state \[241\]; or by return on a pro rata
basis to contributors, with those who contributed \$5 or less permitted
to be excluded from the distribution \[242\].

If a loan is transferred or forgiven, the amount of the transferred or
forgiven loan must be reported as an in‑kind contribution and deducted
from the loans payable balance on the disclosure form \[243\]. A
statutory political committee granted inactive status must not solicit
or expend funds in its name until the committee reorganizes and fulfills
the requirements of a political committee \[244\]. When a permanent
organization temporarily engages in an activity which would qualify it
as a political committee and then ceases to be involved in the political
activity, it must dissolve the political committee that it has organized
\[245\].

Committees are required to preserve campaign records for five years
except where a notice of dissolution has been filed \[246\]. Upon
dissolution, committees are required to preserve campaign records for
only three years \[247\]. In both instances, the due date of the
disclosure report begins the time period in question \[248\].

In the case of Iowa election campaign funds, any funds on account for
the campaign expenses of a designated party which are not used by that
political party by January 1st of the year following a general election
must revert to the general fund of the state \[249\].

Non-consumable campaign property with a value of \$500 or more the time
it is acquired by a committee must be separately disclosed as inventory
on required reports until it is disposed of, or its residual value drops
below \$100 \[250\].

**VIII. OFFENSES AND PENALTIES**

Any person who willfully violates any provisions of the Campaign Finance
Disclosure Act will, upon conviction, be guilty of a serious misdemeanor
\[251\].

Late filing of reports is a violation for which routine resolution is
sought through the assessment of a civil penalty \[252\]. A first time
delinquency, filed one through 14 consecutive days late, results in a
\$20 fine for a county or local committee \[253\], and \$50 for a state
committee \[254\], while a subsequent delinquency by the same treasurer
of a committee, within a 12‑month period, results in a fine of \$50
\[255\] or \$100, respectively \[256\]. A first‑time delinquency of 15
through 30 consecutive days delinquent will invoke a \$50 fine for
county or local committees \[257\] and \$100 for state committees, which
is doubled to \$100 for a repeat delinquency by a county committee
\[258\] and \$200 for a state committee \[259\]. A first‑time
delinquency of 31 through 45 consecutive days late results in a \$100
fine for a county committee, doubled to \$200 if it is a repeat
delinquency \[260\], and \$200 for a state committee, increased to \$300
if it is a repeat delinquency \[261\]. Required supplemental reports
filed by general assembly candidates' committees are subject to a \$200
civil penalty for delinquent reports, but the penalty rises to \$400 for
a repeat delinquency by the same treasurer within a 12-month period
\[262\]. Required supplemental reports filed by statewide candidates'
committees are subject to a \$400 civil penalty for delinquent reports,
but the penalty increases to \$800 for a repeat delinquency by the same
treasurer within a 12-month period \[263\].

A report more than 45 days late, or a third time or more delinquency,
are considered "extreme delinquencies," and are subject to review of the
Board at a scheduled meeting \[264\]. The Board may determine that the
extreme delinquency constitutes an intentional violation, and may impose
a more serious sanction \[265\].

A penalty must be paid to the Iowa Ethics and Campaign Disclosure Board
for deposit in the general fund of the state \[266\]. Payment may be
made from the funds of the delinquent committee, from the personal funds
of an officer of the committee, or in the case of a candidate, from the
candidate's personal funds, but fine payments from certain corporate
entities are prohibited \[267\]. The Board may waive a penalty for late
filing if there are mitigating circumstances, and a committee requests a
waiver in writing \[268\]. A committee may also request a contested case
hearing with respect to the penalty \[269\].

Sanctions resulting from a contested case proceeding before the Board
may include issuance of a cease and desist order \[270\]; an order
requiring the violator to take appropriate remedial action \[271\]; an
order requiring material to be filed with the Board \[272\]; a public
reprimand \[273\] a written recommendation to the violator's appointing
authority that the violator be removed or suspended from office,
including the length of a proposed suspension \[274\]; a written
recommendation to the attorney general or appropriate county attorney
that removal from office proceedings be initiated where an official is
an elected official other than one who can be removed through
impeachment \[275\]; an order requiring payment of a civil penalty of
not more than \$2,000 for each violation \[276\]; or referral for
prosecution \[277\]. Failure of any person to comply with a Board
sanction may permit the Board to petition an appropriate district court
to enforce the order \[278\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Iowa Ethics and Campaign Disclosure Board.** The Iowa Ethics and
Campaign Disclosure Board appointed by the governor and subject to
confirmation by the state senate, oversees the Campaign Finance
Disclosure Act \[279\]. The Board consists of six members, not more than
three of whom may be from the same political party \[280\]. Members
serve six-year staggered terms, with reappointment authorized \[281\].
The members of the Board choose their own chair and vice chair \[282\].
A full‑time executive director serves as the chief administrative
officer \[283\].

The Board jointly administers the income tax check‑off with the state
comptroller and the director of the department of revenue \[284\]. The
Board is authorized to adopt rules and conduct hearings \[285\], and to
develop, prescribe, furnish, and distribute necessary statement and
report forms \[286\]. The Board is required to review the contents of
all disclosure reports, and other statements filed with the Board, and
promptly advise each committee of errors found \[287\]. The Board may
verify information contained in the reports with other parties to assure
accurate disclosure \[288\]. The Board may, upon its own motion,
initiate action and conduct a hearing \[289\]. The Board may require the
county commissioner of elections to file summary reports with it
periodically \[290\].

The Board also must prepare and publish a manual, setting forth examples
of approved uniform systems of accounts for use by persons required to
file statements and reports \[291\]; assure that the statements and
reports which have been filed are available for public inspection and
copying during the regular office hours of the Board and county election
commissioners \[292\]; and determine, in the case of dispute, at what
time a person has become a candidate \[293\]. Reports and statements are
to be retained by the Board for five years \[294\]. The Board is
empowered to issue formal and informal Board opinions \[295\].

The Board may, on its own motion, initiate an investigation \[296\]. In
the alternative, any person may file a complaint, on a form prescribed
and provided by the Board, alleging that a candidate or committee or
other person has committed a violation of the law or a regulation
\[297\]. A complaint must include the name and address of the
complainant, a statement of the facts believed to be true that form the
basis of the complaint, including the sources of information and
approximate dates of the acts alleged, and a certification by the
complainant, under penalty of perjury, that the facts stated to be true
are true to the best of the complainant's knowledge \[298\]. Persons may
also informally provide information to the Board for possible
Board-initiated investigation \[299\].

A complaint is generally a public record, but some or all of its
contents may be treated as confidential \[300\]. If a complainant,
someone who provides information to the Board, or the subject of a
complaint discloses the existence of an investigation, the Board may
publicly disclose the existence of the complaint or investigation
\[301\].

The Board staff must review a complaint to determine if conforms to
form, and, if insufficient, must be returned to the complainant with a
statement of the deficiency and an explanation describing how the
problem may be resolved \[302\]. If the complaint is sufficient with
respect to its form, it is referred for legal review \[303\]. Unless the
Board chair concludes that immediate notification would prejudice a
preliminary investigation or subject the complainant to an unreasonable
risk, the Board must mail a copy of the complaint to the subject of the
complaint within three working days of the acceptance of the complaint
\[304\]. Should the chair decide not to mail the complaint within that
period of time, the Board must approve the time and conditions under
which subject will be notified \[305\].

The Board's legal counsel advises the Board chair as to whether the
complaint contains legally sufficient allegations \[306\]. A legally
sufficient complaint must allege all of the following: facts that would
establish a violation of the law or Board rules \[307\]; facts that
would establish that the conduct underlying the complaint occurred
within three years of the complaint \[308\]; and facts that would
establish that the subject of the complaint is subject to the Board's
jurisdiction \[309\]. The Board chair then refers the complaint to the
Board for a formal determination of the legal sufficiency of the
allegations \[310\]. If the Board determines that none of the
allegations are legally sufficient, it must dismiss the complaint
\[311\]. If the Board determines that the allegations are legally
sufficient, the complaint is referred to staff for investigation
\[312\].

The Board determines whether there is probable cause to believe that a
violation has occurred \[313\]. The Board is empowered to issue and seek
enforcement of subpoenas requiring the attendance and testimony of
witnesses and subpoenas requiring the production of books, papers,
records, and other real evidence relating to the matter under
investigation \[314\]. The Board may request the appropriate county
attorney or the attorney general to assist the staff in its
investigation \[315\].

If the Board determines on the basis of a staff investigation that there
is no probable cause to believe the existence of facts that would
establish a violation of the law or Board rules, the Board must close
its investigation and dismiss the complaint \[316\]. If the Board
determines there is probable cause to believe the existence of facts
that would establish a violation of the law or Board rules, it may issue
a statement of charges and notice of a contested case proceeding to the
complainant and subject of the complaint \[317\].

At any point during the investigation or after initiation of a contested
case proceeding, the Board may approve a settlement regarding an alleged
violation if it is in the public interest and consistent with the law
\[318\]. Informal voluntary compliance in routine matters may also be
authorized by the Board \[319\].

Contested case proceedings are handled under Iowa's laws regarding
administrative adjudication \[320\]. The evidentiary standard applicable
is the preponderance of the evidence \[321\]. A person making a
complaint is not a party to contested case proceedings \[322\]. Hearings
are before a quorum of the Board, a designated Board member, or an
administrative law judge \[323\]. Upon a finding that a violation has
occurred, the Board may impose a penalty as prescribed under statute
\[324\]. A final decision by the Board that a violation did not occur
will result in dismissal of the complaint \[325\].

Judicial review from a Board decision is available under law \[326\].

**B. Attorney General or County Attorney.** At the Board's request, the
attorney general may represent the Board in an enforcement proceeding
\[327\]. The Board may also request the appropriate county attorney or
the attorney general to assist the staff in an investigation \[328\].
Either official may commence and maintain a district court prosecution
for criminal violations of the campaign disclosure law \[329\].

**C. State Treasurer, Comptroller, Department of State Management, and
Director of Revenue and Finance.** The state treasurer maintains the
separate political party accounts within the Iowa election campaign fund
\[330\]. The treasurer receives and deposits funds collected from the
tax checkoff by the director of revenue \[331\]. The state director of
revenue and finance is responsible for dividing undesignated checkoff
funds between the parties, and for administering the checkoff \[332\].
The comptroller is required to draw warrants on the funds in favor of a
political party upon application \[333\]. The state director of revenue
and finance, in cooperation with the state department of management and
the Ethics and Campaign Disclosure Board, is responsible for
administering the provisions of the fund, and for promulgation of all
rules necessary to implement the Iowa election campaign fund \[334\].

**D. County Auditor/County Election Commissioner.** Each county
auditor/county election commissioner must file a summary report of all
candidates and all committees who have filed disclosure reports,
statements of organization, or notices of dissolution \[335\]. Such
summary reports must be mailed to the Board no later than the 15th day
after each reporting period \[336\].

The county auditor/election commissioner must also provide the
commission with information about the delinquent filings, when
requested, so that the Board may make appropriate contacts with the
committees to obtain reports and assess civil penalties \[337\].

Each time a commissioner prints a ballot for an election, the
commissioner must either submit to the commission a copy of the sample
ballot, if it includes all candidates and ballot issues to be considered
by the electorate in that particular election \[338\]; submit a list of
all candidates and offices sought and ballot issues to be considered by
the electorate in that particular election \[339\]; or submit a copy of
the ballot and election information as published by the commissioner
\[340\].

# References

1\. Code of Iowa (hereafter IC)

§ 56.2(4)(a)

2\. IC § 56.2(4)(b)

3\. IC § 56.2(4)

4\. IC § 56.2(4)

5\. Iowa Ethics and Campaign Disclosure

Board Administrative Rules (hereafter Rules) § 351-4.83

6\. IC § 56.12; *see, State v. Azneer,* 526

N.W. 2d 298 (Iowa 1995) (making

campaign contributions in the name of

another is *malum prohibitum*, and

therefore those who wilfully violate the

prohibition are guilty of a serious

misdemeanor under the statute)

7\. Rules § 351---4.7(56)

8\. IC § 56.27

9\. IC § 56.27

10\. Rules § 351---4.15(56)(1)

11\. Rules § 351---4.15(56)(2)

12\. Rules § 351---4.15(56)(2)

13\. IC § 56.3(2)

14\. IC § 56.40

15\. IC § 56.3(3)

16\. Rules § 351---4.16(56)

17\. Rules § 351---4.16(56); *see*, IC § 56.5(5)

18\. IC §§ 56.40; 56.42(6); Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory* *Opinion* 2000-26 (September 21

2000\)

19\. *Code of Judicial Conduct* (hereafter

CJC), Canon 7.A(1)(c)

20\. CJC, Canon 7.B(1)(b)

21\. IC § 56.15(3); Iowa Ethics and Campaign

Disclosure Board, *Formal Advisory*

*Opinion* 2000-02 (April 20, 2000)

22\. IC § 56.15(3)

23\. IC § 56.15(3)

24\. IC § 56.15(2)

25\. IC § 56.15(3)

26\. IC § 56.15(3)

27\. IC § 56.15(4)

28\. IC § 99F.6(4)

29\. IC § 721.2(7)

30\. CJC, Canon 7.A(1)(c)

31\. CJC, Canon 7.B(1)(b)

32\. IC § 721.3

33\. IC § 56.15A; *see,* Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory Opinion* 5 (October 29, 1993)

34\. IC § 56.15B

35\. Iowa Ethics and Campaign Disclosure

Board, *Formal Advisory* *Opinion* 2001-01

(April 5, 2001)

36\. IC § 56.13(1)

37\. IC § 56.13(1)

38\. IC § 56.3(1); ; Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory* *Opinion* 2000-36 (October 19,

2000\)

39\. IC § 56.3(1)

40\. IC § 56.3(1)

41\. IC § 56.3(1)

42\. IC § 56.23

43\. Rules § 351---2.6(56)

44\. Rules § 351---2.6(56)(1)

45\. Rules § 351---2.6(56)(2)

46\. Rules § 351---2.6(56)(3)

47\. Rules § 351---2.6(56)(4)

48\. Rules § 351---2.6(56)(5)

49\. Rules § 351---2.6(56)(6)

50\. Rules § 351---2.6(56)(7)

51\. Rules § 351---2.6(56)(8)

52\. Rules § 351---2.6(56)(9)

53\. Rules § 351---2.6(56)(10)

54\. Rules § 351---2.6(56)(11)

55\. IC § 56.42(1)(a)

56\. IC § 56.42(1)(b)

57\. IC § 56.42(1)(c)

58\. IC § 56.42(1)(d)

59\. IC § 56.42(3)

60\. IC §§ 56.42(5), (6)

61\. IC § 56.22(2)

62\. Rules § 351---2.4(56)

63\. Rules § 351---2.4(56)

64\. IC § 56.22(2)

65\. Rules § 351---2.8(56)

66\. Rules § 351---2.8(56)

67\. Rules § 351---2.8(56)

68\. Rules § 351---2.8(56)

69\. IC § 56.41(1); *see,* Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory Opinion* 3 (July 22, 1994); Iowa

Ethics and Campaign Disclosure Board,

*Formal Advisory* *Opinion* 2001-03

(April 5, 2001)

70\. IC § 56.41(2)(a)

71\. IC § 56.41(2)(b)

72\. IC § 56.41(2)(c)

73\. IC § 56.41(2)(d); Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory* *Opinion* 2000-04 (April 20,

2000\)

74\. IC § 56.41(2)(f)

75\. IC § 56.41(2)(g); Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory* *Opinion* 2000-07 (May 18, 2000)

76\. IC § 56.41(2)(h)

77\. IC § 56.41(2)(I)

78\. IC § 56.41(2)(j); ; Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory* *Opinion* 2000-10 (July 20, 2000)

79\. Iowa Ethics and Campaign Disclosure

Board, *Formal Advisory* *Opinion* 2000-16

(August 17, 2000)

80\. IC § 56.41(2)(e)

81\. IC § 56.41(2)(e)

82\. IC § 56.41(1)

83\. IC § 56.12A; Rules § 351---4.42(1)(s); *see*

*generally,* Iowa Ethics and Campaign

Disclosure Board, *1997 Guide of*

*Prohibitions of Use of Public Funds for*

*Political Purposes* (1997); Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory* *Opinion* 2000-03 (April 20,

2000\)

84\. Iowa Ethics and Campaign Disclosure

Board, *Formal Advisory* *Opinion* 2000-11

(July 20, 2000); *Formal Advisory*

*Opinion* 2001-16 (October 18, 2001)

85\. Rules § 351---4.2(56)

86\. IC §§ 56.5(1); 56.2(6). A political

committee generally may not be

established to expressly advocate for or

against only one candidate for office.

IC § 56.5A. A trust may be subject to the

requirements, Iowa Ethics and Campaign

Disclosure Board, *Formal Advisory*

*Opinion* 2001-11 (October 18, 2001), but

a married couple contributing more than

\$500 from a joint account is generally not

considered to be a political committee. Iowa

Ethics and Campaign Disclosure Board,

*Formal Advisory* *Opinion* 2000-06 (May

24, 2001)

87\. Iowa Ethics and Campaign Disclosure

Board, *Formal Advisory* *Opinion* 2001-14

(October 17, 2001)

88\. IC §§ 56.5(1); 56.2(13)

89\. IC § 56.5A

90\. IC §§ 56.5(1); 56.2(5), (15)

91\. IC § 56.5(5)

92\. IC § 56.5(5)

93\. IC § 56.5(5)

94\. IC § 56.6(6)

95\. IC § 56.5(2)(a)

96\. IC § 56.5(2)(a)

97\. IC § 56.5(2)(b)

98\. Rules § 351---4.4(56)

99\. IC § 56.5(2)(c)

100\. IC § 56.5(2)(d)

101\. IC § 56.5(2)(g)

102\. IC § 56.5(2)(a)

103\. IC § 56.5(2)(h)

104\. IC § 56.5(2)(f)

105\. IC § 56.5(3)

106\. IC § 56.3(4)

107\. IC § 56.4

108\. IC § 56.4

109\. IC § 56.4

110\. IC § 56.4

111\. IC § 56.4

112\. IC § 56.4

113\. IC § 56.4

114\. IC § 56.4

115\. IC § 56.6(1)(a)

116\. IC § 56.6(1)(a)

117\. IC § 56.6(1)(a)

118\. IC § 56.6(1)(d)

119\. Iowa Ethics and Campaign Disclosure

Board, *A 1997-1998 Guide for PACs*

*and Their Committee Officers*

(hereafter *PAC Guide*) 1

120\. Iowa Ethics and Campaign Disclosure

Board, *Formal Advisory* *Opinion* 2000-39

(November 16, 2000)

121\. IC § 56.6(1)(b)

122\. IC § 56.6(1)(b)

123\. IC § 56.6(1)(b)

124\. IC § 56.6(1)(c)

125\. Iowa Ethics and Campaign Disclosure

Board, *A 1997 Guide for General*

*Assembly Candidates and Their*

*Committee Officers* 1 (1997)

126\. IC § 56.6(1)(c); Campaign Finance

Disclosure Commission, *A 1997 Guide*

*for Local Ballot Issue Committees and*

*Their Officers* (hereafter *Issues Guide*)

1 (1997)

127\. IC § 56.6(1)(d); *Issues Guide* 1

128\. IC § 56.6(1)(d); *Issues Guide* 1

129\. IC § 56.6(1)(e)

130\. IC § 56.6(1)(e)

131\. IC § 56.6(3)(a)

132\. IC §§ 56.6(3)(b)(7), (8)

133\. IC § 56.6(3)(b)(5)

134\. IC § 56.6(3)(b)(9)

135\. IC § 56.6(3)(b)(1)

136\. IC § 56.6(3)(b)(2)

137\. IC § 56.6(3)(b)(3)

138\. IC § 56.6(3)(b)(4)

139\. IC § 56.6(3)(b)(6)

140\. IC § 56.6(3)(b)(11)

141\. IC § 56.6(3)(b)(10)

142\. Iowa Ethics and Campaign Disclosure

Board, *Formal Advisory* *Opinion*

2000-38 (October 19, 2000)

143\. IC § 56.6(3)(f)

144\. IC § 56.6(3)(c)

145\. IC § 56.6(3)(d)

146\. IC § 56.6(3)(d)

147\. IC § 56.6(3)(e)

148\. IC § 56.6(3)(e)

149\. IC § 56.6(3)(g)

150\. IC § 56.6(3)(g)

151\. IC § 56.6(3)(h)

152\. IC § 56.6(3)(h)

153\. IC § 56.6(3)(j); Rules § 351---4.1(4)

154\. IC § 56.6(3)(k)

155\. IC § 56.6(3)(k)

156\. IC § 56.6(4); Rules 351---4.9(56)

157\. IC § 56.6(4); Rules 351---4.9(56)

158\. IC § 56.6(2)

159\. IC § 56.6(2)

160\. IC § 56.43(2)

161\. IC § 56.7(1)

162\. IC § 56.7(2)

163\. "Electronic Reporting Software:

General Information," Iowa Ethics

and Campaign Disclosure Board (1997)

164\. "Electronic Reporting Software:

General Information," Iowa Ethics

and Campaign Disclosure Board (1997)

165\. Rules § 351---4.2(56)

166\. Rules § 351---4.2(56)

167\. IC § 68B.35(5)

168\. IC § 68B.35(5)

169\. IC § 68B.35(5)

170\. IC § 68B.37(1)(b)

171\. IC § 68B.37(1)(c)

172\. IC § 68B.37(3)

173\. IC §§ 68B.37(2); 68B.37(1)

174\. IC § 68B.37(3)

175\. IC § 56.13(1); *see, Iowa Right to*

*Life Comm., Inc. v. Williams*, No. 98-4078

(Ct. App. 8^th^ Cir. August 13, 1999)

(invalidating prior construction)

176\. IC § 56.13(1); *see, Iowa Right to*

*Life Comm., Inc. v. Williams*, No. 98-4078

(Ct. App. 8^th^ Cir. August 13, 1999)

(invalidating prior construction)

177\. IC § 56.13(1); *see, Iowa Right to*

*Life Comm., Inc. v. Williams*, No. 98-4078

(Ct. App. 8th Cir. August 13, 1999)

(invalidating prior construction)

178\. IC § 56.13(2)

179\. IC § 56.13(2)

180\. IC § 56.13(2)

181\. IC § 56.13(2)

182\. IC § 56.13(2)

183\. IC § 56.13(2)

184\. IC § 56.13(2)

185\. IC § 56.13(2)

186\. IC § 56.13(3)

187\. IC § 56.13(3)

188\. IC § 56.13(3)

189\. IC § 56.19

190\. IC §§ 43.2; 56.19

191\. IC § 56.19

192\. Rules § 351---2.3(56)(1)

193\. Rules § 351---2.3(56)(1)

194\. Rules § 351---2.3(56)(1)

195\. IC § 56.22(1)

196\. Rules § 351---2.3(56)(2)

197\. IC § 56.22(1)

198\. IC § 56.21

199\. IC § 56.17(2)

200\. IC § 56.24

201\. IC § 56.23

202\. Rules § 351---2.5(56)

203\. Rules § 351---2.5(56)

204\. IC § 56.23

205\. Rules § 351---2.6(56)

206\. Rules § 351---2.6(56)(1)

207\. Rules § 351---2.6(56)(2)

208\. Rules § 351---2.6(56)(3)

209\. Rules § 351---2.6(56)(4)

210\. Rules § 351---2.6(56)(5)

211\. Rules § 351---2.6(56)(6)

212\. Rules § 351---2.6(56)(7)

213\. Rules § 351---2.6(56)(8)

214\. Rules § 351---2.6(56)(9)

215\. Rules § 351---2.6(56)(10)

216\. Rules § 351---2.6(56)(11)

217\. IC § 56.22(2)

218\. Rules § 351---2.4(56)

219\. Rules § 351---2.4(56)

220\. IC § 56.22(2)

221\. Rules § 351---2.8(56)

222\. Rules § 351---2.8(56)

223\. Rules § 351---2.8(56)

224\. Rules § 351---2.8(56)

225\. IC § 56.23

226\. IC § 56.23

227\. IC §§ 56.18; 56.19

228\. IC § 56.18

229\. IC § 56.18

230\. IC § 56.19

231\. IC § 56.19

232\. IC § 56.18

233\. Rules § 351---2.9(56)

234\. Rules § 351---2.10(56)

235\. Rules § 351---2.11(56)

236\. IC §§ 56.6(5); 56.43(2)(a), (b)

237\. IC § 56.43(2)

238\. IC § 56.42(1)(a)

239\. IC § 56.42(1)(e)

240\. IC § 56.42(1)(b)

241\. IC § 56.42(1)(c)

242\. IC § 56.42(1)(d)

243\. IC § 56.6(5)

244\. IC § 56.6(5)

245\. IC § 56.6(6)

246\. IC § 56.3(4)

247\. IC § 56.3(4); Iowa Ethics and Campaign

Disclosure Board, *Formal Advisory*

*Opinion* 2001-19 (November 29, 2001)

248\. Iowa Ethics and Campaign Disclosure

Board, *Formal Advisory Opinion* 2001-19

(November 29, 2001)

249\. IC § 56.24

250\. IC § 56.43(1)

251\. IC § 56.16; *see, State v. Azneer,* 526

N.W. 2d 298 (Iowa 1995) (making

campaign contributions in the name of

another is *malum prohibitum*, and

therefore those who wilfully violate the

prohibition are guilty of a serious

misdemeanor under the statute)

252\. Rules § 351---6.2(56)(1); Iowa Ethics and

Campaign Disclosure Board, *Formal*

*Advisory* *Opinion* 2000-18 (August 17,

2000\)

253\. Rules § 351---6.2(56)(2)

254\. Rules § 351---6.2(56)(3)(a)

255\. Rules § 351---6.2(56)(2)

256\. Rules § 351---6.2(56)(3)(a)

257\. Rules § 351---6.2(56)(2)

258\. Rules § 351---6.2(56)(3)(a)

259\. Rules § 351---6.2(56)(2)

260\. Rules § 351---6.2(56)(3)(a)

261\. Rules § 351---6.2(56)(2)

262\. Rules § 351---6.2(56)(3)(a)

263\. Rules § 351---6.2(56)(3)(b)

264\. Rules § 351---6.2(56)(4)

265\. Rules § 351---6.2(56)(4)

266\. IC § 68B.32A(8); Rules § 351---6.4(56)

267\. Rules § 351---6.4(56)

268\. Rules § 351---6.2(56)(6)

269\. Rules § 351---6.2(56)(7.1 *et seq.*)

270\. IC § 68B.32D(1)(a)

271\. IC § 68B.32D(1)(b)

272\. IC § 68B.32D(1)(c)

273\. IC § 68B.32D(1)(d)

274\. IC § 68B.32D(1)(e)

275\. IC § 68B.32D(1)(f)

276\. IC § 68B.32D(1)(h)

277\. IC § 68B.32D(1)(i)

278\. IC § 68B.32D(3)

279\. IC § 68B.32(1)

280\. IC § 68B.32(1)

281\. IC § 68B.32(2)

282\. IC § 68B.32(3)

283\. IC § 68B.32(5)

284\. Rules § 351---5.1(56)

285\. IC § 68B.32A(1)

286\. IC § 68B.32A(2)

287\. IC § 68B.32A(3)

288\. IC § 68B.32A(3)

289\. IC § 68B.32A(3)

290\. IC § 68B.32A(3)

291\. IC § 68B.32A(5)

292\. IC § 68B.32A(5)

293\. IC § 68B.32A(9)

294\. IC § 68B.32A(10)

295\. IC § 68B.32A(11)

296\. IC § 68B.32B(7)

297\. IC § 68B.32B(1)

298\. IC § 68B.32B(1)

299\. IC § 68B.32B(7)

300\. IC § 68B.32C(11)

301\. IC § 68B.32C(11)

302\. IC § 68B.32B(2)

303\. IC § 68B.32B(2)

304\. IC § 68B.32B(3)

305\. IC § 68B.32B(3)

306\. IC § 68B.32B(4)

307\. IC § 68B.32B(4)(a)

308\. IC § 68B.32B(4)(b)

309\. IC § 68B.32B(4)(c)

310\. IC § 68B.32B(5)

311\. IC § 68B.32B(6)

312\. IC § 68B.32B(6)

313\. IC § 68B.32B(8)

314\. IC § 68B.32B(8)

315\. IC § 68B.32B(8)

316\. IC § 68B.32B(9)

317\. IC § 68B.32B(9)

318\. IC § 68B.32B(10)

319\. IC § 68B.32B(10)

320\. IC §§ 68B.32C(1); 17A *et seq.*

321\. IC § 68B.32C(1)

322\. IC § 68B.32C(1)

323\. IC § 68B.32C(2)

324\. IC §§ 68B.32C(3); 68B.32D

325\. IC § 68B.32C(3)

326\. IC §§ 68B.33; 17A

327\. IC § 68B.32(5)

328\. IC § 68B.32B(8)

329\. IC § 68B.32C(4)

330\. IC § 56.19

331\. IC § 56.19

332\. IC §§ 56.19; 56.25

333\. IC §§ 56.21; 56.22

334\. IC § 56.20

335\. Rules § 351---3.1(56)

336\. Rules § 351---3.1(56)

337\. Rules § 351---3.1(56)

338\. Rules § 351---3.4(56)(1)

339\. Rules § 351---3.4(56)(2)

340\. Rules § 351---3.4(56)(3)

**CAMPAIGN FINANCE LAW**

**IN KANSAS**

**I. INTRODUCTION**

Kansas requires all candidates, political committees, party committees,
and persons making independent expenditures of \$100 or more to file
information on all contributions and expenditures once before each
election and on January 10th of each year. Contributor information is
available on-line. Committees active with respect to constitutional
amendments have different filing deadlines. Contributions by any
individual or non‑party entity are limited to \$2,000 per statewide
candidate per election, \$1,000 per candidate for state senate per
election, and \$500 per candidate per election for other offices.
Political parties may contribute an unlimited amount in an uncontested
primary or general election. Contributions may not be made by a lobbyist
or political committee to a statewide officeholders, legislators, or
statewide or legislative candidates or their committees between January
1 and May 15 each year, nor during any other time the legislature is in
session. Anonymous contributions must be \$10 or less, cash
contributions per contributor are limited to \$100 for any one primary
or general election, and there are limits on the aggregate amount of
anonymous contributions that may be accepted. Kansas offers no tax
incentives for political contributions nor a mechanism for public
financing of election campaigns. The Kansas Governmental Ethics
Commission is responsible for overseeing the campaign finance provisions
of the law.

**II. Contribution and Solicitation Limitations**

**A. Definition of Contribution.** A contribution includes any advance,
deposit, distribution, gift, loan, payment of money, or any other thing
of value made for the express purpose of nominating, electing, or
defeating a clearly identified candidate for state or local office
\[1\]; a transfer of funds between any two or more candidate committees,
party committees, or political committees \[2\]; the payment, by any
person other than a candidate, candidate committee, party committee, or
political committee, of compensation to an individual for the personal
services rendered without charge to or for any such committee \[3\]; and
the purchase of tickets or admissions to, or advertisements in journals
or programs for, testimonial events \[4\].

A contribution does not include the value of volunteer services provided
without compensation \[5\]; costs to a volunteer related to the
rendering of volunteer services not exceeding a fair market value of
\$50 during an allocable election period \[6\]; payment by a candidate
or candidate's spouse for personal meals, lodging, and travel by
personal automobile of the candidate or candidate's spouse while
campaigning \[7\]; and the value of goods donated to events such as
testimonial events, bake sales, garage sales, and auctions by any person
not exceeding a fair market value of \$50 per event \[8\].

A transfer of goods and services, forgiving of a debt, or rendering of a
discount is not a contribution, if made in the ordinary course of
business and not done with the purpose of expressly advocating the
election or defeat of a candidate for state or local office \[9\].
Similarly, a sale of goods and services by a committee, or a commission
paid to a committee on the same terms as offered to non-political
entities does not result in a contribution if the sale or commission is
for a reasonable amount \[10\]. A carryover of funds or inventory from
one election period to another, or their transfer to a bona fide
successor committee or candidacy is also not a contribution \[11\].
Other transfers between committees and candidates are contributions,
however \[12\]. A candidate's transfer of personal funds to the campaign
treasurer for use in the campaign constitutes a contribution \[13\].

An in‑kind contribution is to be valued by the donor at the fair market
value, with revaluing by the treasurer appropriate if the donor's value
appears unreasonable \[14\]. Transfer of anything of value by a
candidate to his campaign without charge, or at a charge less than the
fair market value, constitutes an in‑kind contribution, with the
exception of payment by a candidate or the candidate's spouse for
personal meals, lodging, and travel by personal automobile of the
candidate or candidate's spouse while campaigning \[15\].

Unreimbursed volunteer service, such as that provided by the candidate
and campaign workers, is considered an in‑kind contribution if the value
of the service exceeds \$50 in an allocable election period \[16\].
Party committee overhead, salaries, supplies, and expenditures intended
to accrue to the equal benefit of its candidates are not reportable
in‑kind contributions \[17\]. To the extent, however, that specific
advice or services are provided to a specific candidate in an amount
exceeding \$50, the contribution becomes a reportable in‑kind amount
\[18\]. News endorsements, nonpartisan voter registration drives, and
costs associated with organization‑internal communications, which merely
endorse a candidate, are not in‑kind contributions \[19\].

**B. Allocation of Contributions.** All contributions, received from and
including January 1st following a general election year until and
including the next primary election date, are to be allocated to that
primary election \[20\]. Similarly, all contributions received from
midnight on the date of a primary election through and including
December 31st following the next general election are to be allocated to
that general election \[21\].

**C. Limitations on Amounts of Contributions.** The aggregate amount
contributed to a candidate, the candidate's committee, and all party and
political committees dedicated to the candidate's campaign by any
individual, committee, corporation, partnership, trust, organization, or
association other than a party committee, the candidate, or the
candidate's spouse, is limited to \$2,000 per election for each primary
and general election for statewide officers \[22\], \$1,000 per election
for each primary and general election for state senate candidates
\[23\], and to \$500 per election for each primary and general election
for state house of representatives, district judge, district magistrate
judge, district attorney, member of the state board of education, or a
candidate for local office \[24\]. A contribution by an unemancipated
child under the age of 18 is considered to be a contribution by the
child's parents, with the total attributed to a single custodial parent,
or 50 percent to each of two parents \[25\].

When during an election period a candidate decides to seek state or
local office other than that originally anticipated or sought in the
preceding election, all contributions received during the election
period are to be attributed to the individual's contribution limit for
the office ultimately sought \[26\]. In the situation where an
individual is a candidate with a deficit from a prior election year and
during the primary election period decides to seek a state office with a
lower contribution limitation, the candidate may accept contributions up
to the higher contribution limitation until the earlier debts are paid
off, but is prohibited from accepting any further contributions from any
person which exceed the lower contribution limitation for the office
finally sought \[27\].

The amount contributed by each individual party committee of the same
political party other than a national party committee to any candidate
in a contested primary election may not exceed \$2,000 for a primary
election for a pair of candidates for governor and lieutenant governor
and other state officers elected statewide \[28\]; \$1,000 for each
primary election for state senate candidates \[29\], and to \$500 for
each primary election for state house of representatives, district
judge, district magistrate judge, district attorney, member of the state
board of education, or a candidate for local office \[30\].

The aggregate limit on contributions by a person other than a national
party or a political committee to a state party committee is \$15,000
for each calendar year; and the aggregate limit for contributions to any
other party committee by a person other than a national party committee
or political committee is \$5,000 for each calendar year \[31\]. The
aggregate limit on contributions by a national party committee to a
state party committee is \$25,000 in any calendar year, and the
aggregate limit on contributions by a national party committee to any
other party committee is \$10,000 in any calendar year \[32\]. The
aggregate amount contributed to a party committee by a political
committee may not exceed \$5,000 in any calendar year \[33\].

Where a loan is involved, the loan's face value at the end of the period
allocated to the respective election is the amount subject to limitation
\[34\]. Thus, a loan in excess of the contribution limits may be made
during the allocation period if the loan is reduced to the permissible
level, when combined with all other contributions from the person making
the loan, at the end of the allocation period \[35\].

**D. Limitations on Nature of Contributions.** The making or knowing
acceptance of a contribution in the name of another person is prohibited
\[36\], as is making or accepting any contribution of more than \$10
unless the contributor's name and address is known to the individual
receiving the contribution \[37\]. No contributions may be made or
accepted in the form of cash aggregating more than \$100 for any one
primary or general election \[38\]. The aggregate of contributions for
which the name and address of the contributor is not reported is not to
exceed one-half the amount that an individual other than the candidate
and his or her spouse are permitted to contribute to or for a
candidate's campaign \[39\]. Thus, such contributions may not exceed an
aggregate of \$1,000 per election for a statewide candidate, \$500 per
election for a senate candidate, and \$250 per election for all other
candidates running for a state or local office \[40\].

Contributions may not be accepted by a committee until a treasurer is
appointed and reported to the appropriate filing officer \[41\].

Candidates, their committees, party committees, and political committees
are prohibited from receiving any contribution or other receipt from a
political committee unless the contribution is accompanied by the full
name of the organization with which the political committee is connected
or affiliated with, name or description sufficiently describing the
affiliation, or, if the political committee is not connected or
affiliated with any one organization, the trade, profession, or primary
interest of contributors of the political committee \[42\].

A candidate or candidate's committee may not contribute to or accept
money from any other candidate or candidate's committee that was
originally received as a campaign contribution for a candidate for
federal, state, or local office \[43\].

A party or political committee may not accept a contribution from an
out-of-state political action committee unless it has registered as a
political action committee with the Secretary of State, or submits a
verified statement under law on the required date with the Secretary of
State \[44\].

All contributions must be recorded with a description of the
contribution noted as cash, check in‑kind, or loan (including the rate
of interest, term, guarantor, and endorser) \[45\].

**E. Limitations on Contributions During Legislative Sessions.** A
registered lobbyist, political committee, or any person other than an
individual, may not make a contribution to a legislator, candidate for
the legislature, or a candidate committee for either a legislator,
statewide officeholder, or legislative or statewide candidate after
January 1 of each year and prior to adjournment *sine die* of the
regular session of the legislature or at any other time in which the
legislature is in session, nor may any legislator, statewide
officeholder, legislative candidate, or candidate committee for any such
individual \[46\] nor may any such contribution be accepted \[47\].

**F. Limitations on Solicitations.** A legislator, statewide
officeholder, legislative candidate, or candidate committee for any such
individual may not solicit a contribution from a registered lobbyist,
political committee, or any person other than an individual, after
January 1 of each year and prior to adjournment *sine die* of the
regular session of the legislature or at any other time in which the
legislature is in session \[48\].

An officer, agent, clerk, or employee of state government is prohibited
from directly or indirectly using his or her authority or official
influence to compel any officer or employee in the unclassified or
classified services to pay or promise to pay any assessment,
subscription, or contribution, or take part in any political activity
\[49\].

An employee engaged in the administration of the employment security law
is prohibited from soliciting or receiving assistance, a subscription,
or a contribution for any political party or political purpose, other
than soliciting and receiving contributions for the person's personal
campaign as a candidate for nonpartisan public office, and a person is
prohibited from soliciting or receiving assistance, a subscription, or a
contribution for any political party or political purpose from such an
employee \[50\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure means any purchase,
payment, distribution, loan, advance, deposit, gift of money, or any
other thing of value made for the express purpose of nominating,
electing, or defeating a clearly identified candidate to state or local
office \[51\]; any contract to make an expenditure \[52\]; a transfer of
funds between any two or more candidate committees, party committees, or
political committees \[53\]; or the payment of a candidate's filing fees
\[54\]. Compliance costs and payment of qualifying fees constitute
expenditures \[55\].

An expenditure does not include the value of volunteer services provided
without compensation \[56\]; costs to a volunteer incidental to the
rendering of volunteer services not exceeding a fair market value of
\$50 during an allocable period \[57\]; payment by a candidate or
candidate's spouse for personal meals, lodging, and travel by personal
automobile to the candidate or candidate's spouse while campaigning, or
payment of such costs by the treasurer of a candidate or candidate
committee \[58\]; the value of goods donated to events such as
testimonial events, bake sales, garage sales, and auctions by any person
not exceeding a fair market value of \$50 per event \[59\]; and any
communication by an incumbent elected state officer with one or more
individuals, unless the primary purpose of the communication is to
influence the candidate's nomination or election \[60\].

The carryover or transfer of funds from one election period to another,
or to a successor committee or candidacy, is not an expenditure \[61\].
Communications by incumbent elected state officers with one or more of
that officer's constituents are not considered to be expenditures,
unless the primary purpose of the activity is to influence the
candidate's nomination or election \[62\]. Costs which relate to
communications occurring within 45 days after the adjournment, *sine
die*, of the legislature in an election year in which the state officer
is seeking office are presumed to be for the primary purpose of
influencing the candidate's election, with the exception of costs
related to a response by an incumbent official to public inquiries about
official matters before the incumbent \[63\].

**B. Limitations on the Nature of Expenditures.** All expenditures must
be made by and through the treasurer \[64\]. State campaign funds may
not be used in or for the campaign of a candidate for federal elective
office \[65\].

Contributions may only be used for legitimate campaign expenses and for
expenses of holding office; this does not include mounting a legal
defense for an officeholder's or candidate's illegal actions \[66\] but
may be used to defray legal expenses incurred in defending against a
civil ouster proceeding \[67\] or a recall election \[68\]. No
contributions may be used or made available for the personal use of the
candidate, including expenses to defray normal living expenses for the
candidate or the candidate's family, and for the personal benefit of the
candidate having no direct connection with or effect on the campaign of
the candidate or the holding of public office \[69\]. Candidates may
contribute to the party committee of the political party the candidate
is a member of \[70\].

No officer or employee of the state, county, unified school district of
35,000 or more pupils, any city of the first class, or the board of
public utilities of Kansas City, may use or authorize the use of public
funds or public vehicles, machinery, equipment, or supplies of any such
governmental agency or the time of any officer or employee of any such
governmental agency, for which the officer or employee is compensated by
the governmental agency, to expressly advocate the nomination, election,
or defeat of a clearly identified candidate to state or local office
\[71\]. The provisions related to the use of time of any officer or
employee do not apply to an incumbent officer campaigning for nomination
or re-election to a succeeding term to such office or to members of the
personal staff of any elected officer \[72\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Each candidate for nomination or election to state
office, and each party and political committee which anticipates
receiving contributions or making expenditures, or if it supports or
opposes candidates for state office, is required to appoint a
chairperson and treasurer within ten days after becoming a candidate or
establishing the committee, respectively, and must provide the Secretary
of State, or, in the case of state officers running on less than a
statewide basis, the appropriate county election officer with the names
and addresses of these officials \[73\]. A candidate may serve as
treasurer of his or her own committee, but a lobbyist may not serve as a
treasurer \[74\]. A political committee must include in its statement of
organization the full name of the organization with which the committee
is connected or affiliated with, the name or description sufficiently
describing the affiliation, or, if the committee is not connected or
affiliated with any one organization, the trade, profession, or primary
interest of the contributors of the political committee \[75\]. Every
person, other than a candidate or candidate committee, party committee,
or political committee, who makes contributions or expenditures
expressly advocating the election or defeat of a clearly identified
candidate without the cooperation of the candidate or committee intended
to be benefitted, is also required to file reports with the appropriate
filing officer if the contributions or expenditures aggregate more than
\$100 in a calendar year \[76\]. Any combination of three or more
individuals, or any individual, association, committee, party or
political committee in Kansas is subject to special reporting
requirements \[77\].

A political committee which anticipates receiving contributions must
register annually with the Commission by July 1 \[78\]. If the committee
expects to receive \$2,501 or more in contributions in any calendar
year, the committee must pay a fee of \$240 \[79\]; a political
committee anticipating the receipt of more than \$500 but less than
\$2,501 in any calendar year must pay \$35 \[80\]; those committees
anticipating the receipt of \$500 or less pay \$20 \[81\]. If a
committee paying the lesser fee receives \$2,501 or more in
contributions in any calendar year, it must, within three days of
receiving such an amount, remit the additional amount to the Commission
\[82\].

**B. Filing Deadlines and Filing Officer.** Three reports are to be
filed each election year \[83\]. Statewide office candidates \[84\] and
each political committee or political party committee whose primary
purpose is the nomination or election of candidates to state office
files with the Secretary of State \[85\]. Candidates for state office on
less than a statewide basis file with the Secretary of State and the
county election officer of their county of residence, and local
candidates file with the county election officer in the county of their
residence \[86\]. Each political committee or political party committee
whose primary purpose is the nomination or election of candidates to
local office files with the county election officer \[87\].

Reports must be filed so that they are received by the eighth day
preceding the primary election, including the period from January 1st of
the election year for the office the candidate is seeking through the
12th day before the primary \[88\]; the 11th day preceding a general
election through the 12th day before the general election \[89\]; and
January 10th of the year after the election, for the period beginning 11
days before the general election and running through December 31st
\[90\]. A treasurer must file a report each January 10 so long as any
residual funds or outstanding debts or obligations exist \[91\]. A
person who engages in activity promoting or opposing adoption or repeal
of a constitutional provision must file an annual report by February 15,
a preliminary report 15 days before each election at which a proposed
constitutional amendment is submitted, and a supplemental report within
15 days after such an election \[92\]. If a report is sent to the filing
officer by certified or registered mail on or before the day it is due,
the mailing serves as notice of receipt by the office \[93\].

**C. Contents of Reports.** Each entity is responsible for filing a
verified report with the Secretary of State that lists several items.
Each report must detail the cash on hand on the first day of the
reporting period \[94\]; the name and address of each person
contributing an aggregate amount or value of more than \$50 during the
election period, along with the amount and date of the contributions,
and the name, address, and occupation for individuals giving more than
\$150 (or occupation of the contributor's spouse, if the contributor is
not employed for compensation) and for every lender, guarantor, and
endorser when a contribution is in the form of a loan or an advance
\[95\]; the aggregate amount received from sales of political materials
\[96\]; the aggregate amount of contributions for which the
contributors' names and addresses are unknown \[97\]; each contribution,
rebate, refund, or other receipt not otherwise listed \[98\]; the total
of all receipts \[99\]; the names and addresses of those to whom
expenditures have been made aggregating more than \$50, along with the
amount, date, and purpose of each, and the names and addresses of all
those to whom loans or advances have been made \[100\]. When
expenditures are made by payment to an advertising agency, public
relations firm, or political consultants for distribution to vendors,
the report of the expenditure is to show, in detail, the name of each
vendor, and the amount, date, and purpose of the payments to each
\[101\]. For each in‑kind contribution received in excess of \$50 the
treasurer must report the name and address of the donor, and the amount,
date, and purpose of the contribution \[102\].

For reporting purposes, contributions received and expenditures made
from January 1 following one general election until and including the
day of the primary election are allocated to the primary, while those
contributions and expenditures received or made from midnight on the day
of the primary election until and including December 31 after the next
following general election are allocated to the next general election
\[103\].

Similar reporting is required where anyone has paid for personal
services provided, without charge, to a candidate or committee in excess
of \$50 \[104\]. The aggregate of all other expenditures not otherwise
reported \[105\], and the total of all expenditures must also be
reported \[106\]. Purchases of tickets or admissions to testimonial
events are to be reported in an aggregating more than \$50 per event, or
at a cost exceeding \$25 per ticket or admission \[107\].

Out‑of‑state committees are subject to somewhat different reporting
requirements. Such entities may elect to be considered a political
committee and file the required statement of organization, and file the
reports required of a Kansas political committee, provided that it
establishes a separate fund for Kansas state office contributions and
expenditures \[108\], or prepare a verified statement containing the
names and addresses of the responsible individuals \[109\]; the names
and addresses of those making contributions (including in‑kind
contributions) to an out‑of‑state combination of individuals, or person
other than an individual, in an aggregate amount of more than \$50
within the preceding year, along with the amount and date of the
contributions \[110\]. This report is to include the names and addresses
of contributors who are residents of Kansas, non‑residents with jobs in
Kansas, and those making contributions earmarked for use in Kansas
\[111\]. All other contributions are permitted to be aggregated \[112\].
The verified statement, current through the date of the contribution, is
to be submitted to the Secretary of State \[113\]. In any election year
in which the treasurer's candidate is not seeking election, the
treasurer need only file a report on January 10th \[114\]. A termination
report must be filed by the treasurer prior to dissolving a committee or
terminating a treasurer's involvement, provided that all residual funds
have been disbursed and all remaining debts and obligations have been
discharged \[115\].

Reports prepared on computer are acceptable if all required information
is provided in a black-on-white, legible 8½\" x 11\" form, with each
page numbered, and type not smaller than 10 characters per inch \[116\].

**D. Other Required Reports.** All treasurers or committees that
maintain a payroll deduction, dues, checkoff, or comparable system for
political contributions are required to keep sufficient supporting
documentation to fully substantiate each contribution or transfer to the
committee \[117\].

Whenever a treasurer makes a disbursement made up in whole or part of
dedicated funds which constitutes a contribution to another candidate or
committee, the treasurer must disclose the names and addresses of those
persons dedicating the funds, and, in transferring any of these
contributions, the treasurer must report the same information to the
recipient \[118\].

**E. Exemptions from Reporting.** Candidates for state office and their
treasurers, who intend to expend or have expended on their behalf an
aggregate amount or value of less than \$500 and who intend to receive
or have received on their behalf contributions aggregating less than
\$500 per election for each primary and general election, are to file an
affidavit of such intent with the Secretary of State prior to the date
of the first required report for that year in lieu of the other required
reports \[119\]. If such a candidate exceeds the \$500 amount in any
election, within three days after the date of exceeding the limit, all
past due reports are to be filed and future reporting is triggered
\[120\].

Similarly, treasurers of party and political committees who intend to
receive less than \$500 in total contributions or make less than \$500
in total expenditures in any calendar year, and who do not intend to
receive more than \$50 from any one contributor, are required to file an
affidavit of such intent with the Secretary of State at any time prior
to the date that the first report for that year is required to be filed
\[121\]. This exempts the committee from regular reporting requirements
\[122\], unless the committee receives or spends more than \$500, or
receives more than \$50 from a single contributor during the year for
which the affidavit is filed \[123\]. Within three days after the
contributions or expenditures exceed the specified amounts, all past due
reports must be filed, and the committee is subject to future reporting
requirements \[124\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Reports.** A treasurer must continue to file all
required reports so long as any residual funds or outstanding debts or
obligations remain \[125\]. In any election year in which the candidate
is not seeking election, the treasurer need only file a report on
January 10th following the election year \[126\].

**B. Termination Reports.** Before any committee may be dissolved or the
position of treasurer terminated, a termination report shall be filed
with the appropriate filing officer \[127\]. A termination report may
not be filed until the disbursement of all residual funds and the
discharge of all remaining debts and obligations \[128\].

**C. Disposition of Surplus Funds.** Residual campaign funds may be
contributed to a charitable organization; contributed to a party
committee; refunded in whole or pro rata to any contributor or
contributors from whom contributions were received; or paid to the state
general fund \[129\].

**D. Recordkeeping.** All records of committees and candidates for
offices with a four‑year term must be kept for six years, and for
offices with a two‑year term, records must be retained for a four‑year
term from the closing date of the reporting period for which the account
is kept by the treasurer \[130\].

**VI. OFFENSES AND PENALTIES**

Failure to file any required report or amendment in a timely manner
\[131\]; fraudulently reporting any campaign finance report item
\[132\]; intentionally making or intentionally accepting any excessive
campaign contribution \[133\]; or intentionally violating any other
provision of the campaign finance laws is a class A misdemeanor \[134\].
The intentional failure of any person required to submit a statement to
the treasurer to submit the same is also a class A misdemeanor \[135\].
Further, any violations of the Campaign Finance Act by a member of the
state senate or house of representatives are to be considered by the
respective body \[136\], which may impose censure or disqualification,
or decide that neither is necessary \[137\]. Officers subject to
impeachment are to be reported by the Commission to the house of
representatives for their consideration \[138\]. If the violator is a
judicial officer not subject to impeachment, the Commission is to notify
the Kansas supreme court \[139\], for violations by other officers the
attorney general is to be notified for a possible ouster action \[140\].
Use of authority or official influence to obtain contributions from
those in the state classified service is a class C misdemeanor \[141\].

If a required report is late, the Commission must send notice by
registered or certified mail to the recalcitrant filer \[142\]. If the
requirements are not complied with within fifteen days from the date of
notice, a civil penalty of \$10 per day for each day the report remains
unfiled, up to a maximum amount of \$300 \[143\]. Civil penalties may be
waived by the Commission for good cause \[144\].

An individual who fails to pay a civil penalty or fine assessed, or a
required report, is not eligible to become a candidate for state or
local office until the fine is paid, the report has been filed, or both
\[145\].

The Commission may assess a civil fine, after proper notice and an
opportunity to be heard, against any candidate who accepts, or whose
candidate committee accepts, contributions in excess of the limits
\[146\]. The amount of the penalty is equal to one-half of the amount
which is in excess of the authorized contribution amount, not to exceed
\$100 \[147\]. This penalty may be imposed without proof of intent to
violate the provisions, and the commission may waive, for good cause,
payment of any such civil fine \[148\].

In addition to any other penalties, the Commission may impose a civil
fine of \$5,000 for the first violation, \$10,000 for the second
violation, and \$15,000 for the third and subsequent violations of the
Campaign Finance Act \[149\].

A person who violates the provisions regarding solicitation and receipt
of contributions by an employee engaged in the administration of the
employment security law may be fined up to \$1,000, imprisoned in county
jail for not more than six months, or both \[150\]. A person who
violates the provisions on use of authority or official influence to
compel a contribution from a state officer or employee may be found
guilty of a class C misdemeanor, and is automatically separated from
government service \[151\]. A person who violates the provisions on
misuse of public funds or equipment may be found guilty of a class C
misdemeanor \[152\].

A member of the Commission who violates confidentiality provisions may
be removed from membership; a Commission employee who violates the
confidentiality provisions may be discharged from service \[153\]. A
Commission member or Commission employee convicted of violating
confidentiality provisions is prohibited from entering into a contract
with, or becoming employed by the state or political or taxing
subdivision for five years after the date of conviction \[154\].
Intentional violations of the confidentiality provisions may also be
punishable as a class A misdemeanor \[155\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State and County Election Officers.** The Secretary of
State and county election officers are the filing repositories for
statements and reports, and are required to furnish the requisite forms
\[156\], and make the reports and statements filed with that office
available for public inspection and copying during regular office hours
\[157\].

**B. Kansas Governmental Ethics Commission.** The Kansas Governmental
Ethics Commission, a nine‑member body appointed as follows: two by the
governor from different political parties, one by the president of the
senate, one by the speaker of the house of representatives, one by the
minority leader of the house of representatives, one by the minority
leader of the senate, one by the chief justice of the supreme court, one
by the attorney general, and one by the Secretary of State, with not
more than five members being of the same political party, is responsible
for administering and investigating violations of the Act \[158\]. The
governor must designate on of the gubernatorial appointees to serve as
chair \[159\]. Membership is for a term of two years beginning on
February 1 \[160\].

No person may serve on the Commission who has served as a chair, vice
chair, or treasurer of any county, district, or state political party
committee; or who has been a candidate for or has held a partisan
political office within five years before the date of appointment; or
who has, within three years before appointment, held an elective state
office, held the office of secretary of any department of state
government, been a lobbyist, or been an officer or employee who directly
participated in the making of a contract on behalf of a vendor or goods
and services with the State or Kansas or any agency \[161\].

A member may not be an individual subject to the provisions of the
campaign finance law; serve as chair or treasurer for a candidate or
committee subject to the provisions of the campaign finance law;
actively solicit contributions subject to the provisions of the campaign
finance law; be a lobbyist; been an officer or employee who directly
participated in the making of a contract on behalf of a vendor or goods
and services with the State or Kansas or any agency; be a candidate for
or hold a partisan political office; be chair, vice chair, or treasurer
of any county, district, or state political party committee; directly or
indirectly solicit contributions for any partisan political party or
organization, or a candidate for partisan political office, or endorse a
candidate for partisan political office subject to the provisions of the
campaign finance law \[162\].

The Commission is authorized to adopt necessary rules and regulations
\[163\], and may provide, at a reasonable fee, copies of opinions,
informational materials compiled and published by the Commission, and
public records filed with the Commission to those requesting such
records \[164\]. The Commission is required to submit an annual report
and recommendations to the governor and the legislative coordinating
council before December 1 each year \[165\].

The Commission is empowered to conduct investigations both on the basis
of a verified written complaint and on its own initiative \[166\]. If a
complaint is filed and the Commission determines that the complaint does
not allege facts, directly or upon information and belief, sufficient to
constitute a violation of the campaign finance act, the Commission must
dismiss the complaint and so notify the complainant and respondent
\[167\]. Complaints are confidential as to their filing and allegations,
and are not to be disclosed except as permitted by law \[168\]. If a
complaint is filed and the Commission determines that the complaint does
allege facts, directly or upon information and belief, sufficient to
constitute a violation of any provisions of the campaign finance act,
the Commission must promptly investigate the alleged violation \[169\].

After a preliminary investigation of any matter reported to the
Commission and upon written findings by the Commission that there is a
reasonable suspicion that a violation of the campaign finance act has
occurred, the Commission or any designated officer may administer oaths
and affirmations, subpoena witnesses, compel their attendance, take
evidence, and require the production of any books, papers,
correspondence, memoranda, agreements, or other documents or records
which the Commission deems relevant or material to the investigation
\[170\]. The Commission is required to reimburse the reasonable costs of
production of documents subject to subpoena \[171\]. Subpoenas must be
authorized by the affirmative vote of not fewer than three-fourths of
the members of the Commission \[172\]. Failure to obey a subpoena may be
rectified by application to the district court of Shawnee county for
enforcement, with failure to obey the court order punishable by contempt
\[173\].

If after the investigation, the Commission finds that probable cause
does not exist for believing the allegations of the complaint, the
Commission must dismiss the complaint \[174\]. If after the
investigation the Commission finds that probable cause does exist for
believing the allegations of the complaint, the complaint is no longer
considered confidential and may be disclosed \[175\]. Upon making such a
finding, the Commission must fix a time for a hearing of the matter not
more than 30 days after the finding, and notify the complainant and
respondent of the determination \[176\].

The Commission may assess a civil fine, after proper notice and an
opportunity to be heard, against any person for a violation of the
campaign finance act in an amount not to exceed \$5,000 for the first
violation, \$10,000 for the second violation, and \$15,000 for the third
and subsequent violations \[177\]. All fines and fees collected must be
remitted promptly to the state treasurer \[178\]. An aggrieved person
may appeal an action \[179\].

The Commission may also issue a cease and desist order, or require
affirmative action to rectify a problem \[180\]. Emergency cease and
desist orders may be issued under certain conditions \[181\]. The
Commission is required to notify the attorney general of any apparent
violation of criminal law or other laws not administered by the
Commission which may be discovered in the course of a Commission
investigation \[182\].

The Commission is also responsible for sending notice to those who have
failed to file required reports for persons engaged in activity
promoting or opposing adoption or repeal of constitutional provisions
\[183\].

The Commission must remit political committee fees to the state
treasurer on a monthly basis \[184\].

**C. State Treasurer.** The state treasurer is required to deposit
immediately in the state treasury any fines assessed against a person
for violation of the Campaign Finance Act and credit the amount to the
Kansas Governmental Ethics Commission fee fund \[185\]. The state
treasurer must also credit political committee and other fees received
to the Kansas Governmental Ethics Commission fee fund \[186\].

# References

1\. Kansas Statutes Annotated (hereafter KSA)

§ 25‑4143(e)(1)(A). The express advocacy

must contain the statutory "buzz" words to

trigger application of the statute. *Kansans*

*for Life, Inc. v. Gaede*, 38 F. Supp.2d 928

(D.Kan. 1999) (finding unconstitutional

Opinion of the Kansas Gov'tl Ethics

Comm'n 1998-22). *See,* § 4143(h)(1) - (9)

2\. KSA § 25‑4143(e)(1)(B)

3\. KSA § 25‑4143(e)(1)(C)

4\. KSA § 25‑4143(e)(1)(D)

5\. KSA § 25‑4143(e)(2)(A)

6\. KSA § 25‑4143(e)(2)(B)

7\. KSA § 25‑4143(e)(2)(C)

8\. KSA § 25‑4143(e)(2)(D); Kansas

Commission on Gov'tl Standards

and Conduct, *A Candidate's Guide for*

*Fundraising Events 1998*

9\. Kansas Commission on Gov'tl Standards

and Conduct, Rules and Regulations

(hereafter Rules) § 19‑22‑1(a). The

express advocacy must contain the statutory

"buzz" words to trigger application of the

statute. *Kansans for Life, Inc. v. Gaede*,

38 F. Supp.2d 928 (D.Kan. 1999) (finding

unconstitutional Opinion of the Kansas

Gov'tl Ethics Comm'n 1998-22).

10\. Opinion of the Attorney General No.

89-18 (1989); Opinion of the Kansas

Comm'n on Gov'tl Standards and

Conduct (hereafter *Commission Opinion*)

No. 94-6 (March 31, 1994); *see*,

*Commission Opinion* No. 95-3 (February

16, 1995)

11\. Rules § 19‑22‑1(a)

12\. Rules § 19‑22‑1(b)

13\. Rules § 19‑22‑1(c)

14\. Rules §§ 19-20-2(b); 19‑24‑1

15\. Rules §§ 19-20-2(b); 19‑24‑1. This

includes expenditures made directly to a

vendor from the candidate's personal

funds. Kansas Commission on Gov'tl

Standards and Conduct, "Receipts and

Expenditures Report of a Candidate

for State Office, Schedule B: In-Kind

Contributions"

16\. Rules §§ 19‑24‑4, 5

17\. Rules § 19‑24‑6

18\. Rules § 19‑24‑6

19\. Rules § 19‑24‑3

20\. KSA § 25‑4149(a)

21\. KSA § 25‑4149(a)

22\. KSA § 25‑4153(a)(1)

23\. KSA § 25-4153(a)(3)

24\. KSA § 25‑4153(a)(2)

25\. KSA § 25-4153(c)

26\. Rules § 19-30-4

27\. Rules § 19-30-4

28\. KSA § 25-4153(g)(1)

29\. KSA § 25-4153(g)(3)

30\. KSA § 25-4153(g)(2)

31\. KSA § 25-4153(d)

32\. KSA § 25-4153(d)

33\. KSA § 25‑4153(b)

34\. KSA § 25-4253(d)

35\. KSA § 25‑4153(b)

36\. KSA § 25‑4154(a); *Commission Opinion*

*No. 97-45* (September 11, 1997)

37\. KSA § 25‑4154(b)

38\. KSA § 25-4153(i)

39\. KSA § 25‑4154(c);

40\. Kansas Comm'n on Gov'tl Standards

and Conduct, *A Candidate's Guide*

*for Fundraising Events 1998*

41\. KSA §§ 25-4146(b)(1), (c)(1)

42\. KSA § 4147(f)

43\. KSA § 25-4157a(b); Kansas Comm'n

on Gov'tl Standards and Conduct,

*Campaign Finance Handbook for*

*Candidates 1998* at 5; *Commission*

*Opinion* No. 93-01 (February 11, 1993)

44\. KSA § 4150; Kansas Comm'n on Gov'tl

Standards and Conduct, *Campaign*

*Finance Handbook for Party and*

*Political Action Committees 1994* at 3

45\. Rules § 19‑27‑2(a)(1)(B)

46\. KSA § 4153a(a); Rules § 19-20-2(c),

however, define the regular "session"

as the time period commencing January

2 through final adjournment. The term

'individual' means a 'natural person'

as opposed to an 'artificial person'. Thus,

a partner in a professional firm or a

shareholder in a corporation or limited

liability company would be an 'individual'.

*Commission Opinion No. 1997-32* (July

8, 1997).

47\. KSA § 25-4153a(b)

48\. KSA § 4153a(b)

49\. KSA § 25‑4143(g)(1)(A)

50\. KSA § 75-2953(a)

51\. KSA § 44-714(c)(2). The express advocacy

must contain the statutory "buzz" words to

trigger application of the statute. *Kansans*

*for Life, Inc. v. Gaede*, 38 F. Supp.2d 928

(D.Kan. 1999) (finding unconstitutional

Opinion of the Kansas Gov'tl Ethics

Comm'n 1998-22).

52\. KSA § 25‑4143(g)(1)(B)

53\. KSA § 25‑4143(g)(1)(C)

54\. KSA § 25‑4143(g)(1)(D)

55\. Rules §§ 19‑23‑1(c), (d)

56\. KSA § 25‑4143(g)(2)(A)

57\. KSA § 25‑4143(g)(2)(B)

58\. KSA § 25‑4143(g)(2)(C)

59\. KSA § 25‑4143(g)(2)(D)

60\. KSA § 25‑4143(g)(2)(E)

61\. Rules § 19‑23‑1(a)

62\. Rules § 19‑23‑1(a)

63\. Rules § 19‑23‑1(a)

64\. KSA §§ 25-4146(b)(2), (c)(2)

65\. KSA § 25-4153(f)

66\. KSA § 25-4157a(a); *Commission Opinion*

Nos. 96-16 (May 22, 1996), 94-19 (June

2, 1994)

67\. *Commission Opinion* No. 00-03 (February

17, 2000)

68\. *Commission Opinion* No. 99-13 (April 15,

1999\)

69\. KSA § 25-4157a(a); Campaign funds may,

however, be used to purchase media to

further the purpose of "holding political

office," including, *e.g.,* the governor

using her campaign funds to promote the

governor's legislative agenda. *Commission*

*Opinion* No. 93-39 (December 2, 1993);

Commission Opinion No. 00-27 (June 21,

2000\)

70\. KSA § 25-4157a(a); *Commission Opinion*

No. 93-08 (March 11, 1993)

71\. KSA § 25-4169a(b); this prohibition does

not prohibit use of municipal video

equipment and a city's governmental

access cable channel for political debate

purposes if all candidates are invited to

the debate. *Commission Opinion* No.

94-30 (September 22, 1994), nor does it

prohibit public vehicles and equipment

being used for the sole purpose of

protecting public officials at political

events under statutory duties. *Commission*

*Opinion No. 97-35* (August 12, 1997). The

express advocacy must contain the statutory

"buzz" words to trigger application of the

statute. *Kansans for Life, Inc. v. Gaede*,

38 F. Supp.2d 928 (D.Kan. 1999) (finding

unconstitutional Opinion of the Kansas

Gov'tl Ethics Comm'n 1998-22).

72\. KSA § 25-4169a(b)

73\. KSA §§ 25‑4144; 25‑4145

74\. KSA § 25-4144; Rules § 19-21-1(b)

75\. KSA § 25‑4145(b)(4)

76\. KSA § 24-5150; Rules § 19‑21‑5.

The express advocacy must contain the

statutory "buzz" words to trigger

application of the statute. *Kansans for Life,*

*Inc. v. Gaede*, 38 F. Supp.2d 928

(D.Kan. 1999) (finding unconstitutional

Opinion of the Kansas Gov'tl Ethics

Comm'n 1998-22).

77\. Rules § 19‑21‑6

78\. KSA § 25-4145(d)

79\. KSA § 25-4145(d)(2)

80\. KSA § 25-4145(d)(3)

81\. KSA § 25-4145(d)(4)

82\. KSA § 25-4145(d)(5), (6)

83\. KSA § 25‑4148(a)

84\. KSA §4148(a)

85\. Rules § 19-29-1a(a)(1)

86\. KSA § 4148(a)

87\. Rules § 19-29-1a(a)(2)

88\. KSA § 25‑4148(a)(1)

89\. KSA § 25‑4148(a)(2)

90\. KSA § 25‑4148(a)(3)

91\. Rules §19-29-4(c)

92\. KSA § 25-4180(a)

93\. KSA § 25‑4148(g)

94\. KSA § 25‑4148(b)(1)

95\. KSA §§ 25‑4148(a), (b)(2); [see,]{.underline} KSA §

25-4180; Rules § 19-29-2(b)(5)(B)

96\. KSA § 25‑4148(b)(3)

97\. KSA § 25‑4148(b)(4)

98\. KSA § 25‑4148(b)(5)

99\. KSA § 25‑4148(b)(6)

100\. KSA § 25‑4148(b)(7); *see,* KSA §

25-4180

101\. KSA § 25‑4148(b)(7)

102\. KSA § 25‑4148(b)(8)

103\. KSA § 25-4149

104\. KSA § 25‑4148(b)(8)

105\. KSA § 25‑4148(b)(9)

106\. KSA § 25‑4148(b)(10)

107\. KSA § 25‑4148(c)

108\. Rules § 19‑21‑6(a)

109\. KSA § 25-4172; Rules § 19‑21‑6(b)(1)

110\. Rules § 19‑21‑6(b)(3)

111\. Rules § 19‑21‑6(b)(3)

112\. Rules § 19‑21‑6(b)(3)

113\. Rules § 19‑21‑6(b)(3)

114\. Rules § 19‑29‑4(c)

115\. KSA § 25‑4147; Rules § 19‑29‑4(a)

116\. Rules § 19-29-5

117\. Rules § 19-27-2(e)

118\. Rules § 19-29-2(b)(4)(C)

119\. KSA § 25‑4173

120\. KSA § 25‑4174

121\. KSA § 25‑4175

122\. KSA § 25‑4175

123\. KSA § 25‑4176

124\. KSA § 25‑4176

125\. Rules § 19‑24(c)

126\. Rules § 19‑24(c)

127\. KSA § 25-4157; Rules § 19‑24(a)

128\. KSA § 25-4157; Rules § 19‑24(a)

129\. KSA §25-4157a(c); *Commission Opinion*

No.99-33 (July 15, 1999)

130\. Rules § 19‑27‑4(b)

131\. KSA § 25‑4167

132\. KSA § 25‑4168

133\. KSA § 25‑4170

134 KSA § 25‑4171(a)

135\. KSA §§ 25‑4167, 4180(c); *State v.*

*Doyen*, 580 P.2d 1351 (Kansas 1978);

Commission Opinion No. 96-5 (January

23, 1996)

136\. KSA § 25‑4166(b)

137\. KSA § 25‑4166(d)

138\. KSA §§ 25‑4166(b), (d)

139\. KSA §§ 25‑4166(b), (d)

140\. KSA §§ 25‑4166(b), (d)

141\. KSA § 75‑2953(1)

142\. KSA § 25‑4152(a)

143\. KSA §§ 25‑4152(a); 4180(b)(1)

144\. KSA § 25‑4152(a)

145\. KSA § 25-4181(c)

146\. KSA §§ 25-4181(b); 25‑4153(a), (d), (g),

(i); 25‑4153a

147\. KSA § 25-4181(b)

148\. KSA § 25-4181(b)

149\. KSA § 25-4181(a)

150\. KSA § 44-714(c)(2)

151\. KSA § 75-2953(a)

152\. KSA § 25-4169a(b)

153\. KSA § 25-4171(b)

154\. KSA § 25-4171(b)

155\. KSA § 25-4171(a)

156\. KSA §§ 25‑4158(a)(1), (b)(1)

157\. KSA §§ 25‑4158(a)(2), (b)(2)

158\. KSA § 25‑4119a(a)

159\. KSA § 25-4119a(b)

160\. KSA § 25-4119a(b)

161\. KSA § 25-4119d(a)

162\. KSA § 25-4119d(b)

163\. KSA § 25-4119a(c)

164\. KSA § 25-4119a(d)

165\. KSA § 25-4119a(e)

166\. KSA §§ 25‑4158(c); 25‑4160

167\. KSA § 25-4161(a)

168\. KSA § 25-4161(b)

169\. KSA § 25-4161(c)

170\. KSA § 25-4158(d)(1)

171\. KSA § 25-4158(d)(1)

172\. KSA § 25-4158(d)(1)

173\. KSA § 25-4158(d)(2)

174\. KSA § 25-4161(a)

175\. KSA § 25-4161(e)

176\. KSA § 25-4161(e)

177\. KSA § 25-4181(a)

178\. KSA §§ 25-4181(a); 4180(b)(1)

179\. KSA § 5-4185; *Nichols v. Kansas*

*Gov'tl Ethics Comm'n*, 18 P.3d 270

(Kan.App. 2001) holds that an

unsuccessful candidate is an "aggrieved

person" and may appeal

180\. KSA § 25-4182(a)

181\. KSA § 25-4182(b)

182\. KSA § 25-4161(d). The Act does not create

a private cause of action. *Nichols v. Kansas*

*Gov'tl Ethics Comm'n*, 11 P.3d1134 (Kan.

2000\)

183\. KSA § 25-4180(b)(1)

184\. KSA §§ 25-4145(d); 4119f

185\. KSA § 25-4181(a)

186\. KSA §§ 25-4145(d); 4119a(d)

**CAMPAIGN FINANCE LAW**

**IN KENTUCKY**

**I. INTRODUCTION**

­Candidates, campaign committees, political party executive committees,
permanent committees, and issue committees and inaugural committees are
required to file information on all contributions and expenditures.
Candidates and campaign committees file two pre-election and one
post-election reports; political party executive committees file a
single, post-election report; and permanent committees file quarterly
reports. Supplemental reports are required from candidates until a fund
shows no unexpended balance, continuing debts and obligations,
expenditures, or deficit. Direct corporate contributions are prohibited,
and individuals, other than a candidate contributing to his or her own
campaign, are limited to \$1,000 in contributions per candidate per
election. A person may give no more than \$1,500 to all permanent
committees and contributing organizations in any one year. A person may
not contribute more than \$2,500 to a political party state executive
committee or its subdivisions in a year. Candidates for a statewide
elective office may not accept contributions from permanent committees
which exceed an aggregate of 50% of the total contributions accepted by
the candidate in any one election cycle, or \$10,000 in any one
election, whichever is greater. A candidate for governor may not make a
loan to his or her campaign in excess of \$50,000; other candidates for
statewide office may not lend their own campaigns more than \$25,000,
and all other candidates are limited to \$10,000 in personal loans to
their campaigns. Cash contributions must be \$50 or less (and are
prohibited in gubernatorial races); anonymous contributions may not
exceed \$50 nor an aggregate of \$1,000. A person less than 18 years of
age can contribute no more than \$100 to a candidate. Public financing
is available to slates of candidates for governor and lieutenant
governor in the form of matching contributions, with attendant
expenditure limitations, and a requirement that candidates participate
in statewide televised debates on the state educational television
network. Kentucky offers a \$2 tax checkoff (\$4 for a joint return),
with funds distributed to the political party designated by the taxpayer
for party activities and distribution to general election candidates.
The Kentucky Registry of Election Finance is responsible for overseeing
the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a payment,
distribution, loan, deposit, gift of money, or other thing of value to a
candidate or a candidate's agent, a slate of candidates or a slate's
agent, a committee, or a contribution organization \[1\]; payment by a
person other than the candidate or the candidate's authorized treasurer,
or a slate of candidates or the slate's authorized treasurer, a
committee, or a contributing organization, of compensation for the
personal services of another person which are rendered to a candidate,
slate, committee or contributing organization \[2\]; goods, advertising,
or services with an aggregate value of greater than \$100 in any one
election furnished to a candidate or the candidate's authorized
treasurer, a slate of candidates or the slate's authorized treasurer, a
committee, or a contributing organization without charge, or at a rate
less than that normally charged for the goods or services \[3\]; payment
by any person other than the candidate or the candidate's authorized
treasurer, a slate of candidates or the slate's authorized treasurer, a
committee, or a contributing organization for any good or services with
an aggregate value of greater than \$100 in any one election utilized by
a candidate, slate of candidates, committee, or contributing
organization or for inauguration activities \[4\].

­Similar definitions of a contribution are in effect for slates of
candidates for governor and lieutenant governor qualifying for public
funding \[5\].

­A contribution does not include services provided, without compensation,
by an individual volunteering time on behalf of a candidate, committee,
or contributing organization \[6\]; or a loan of money made by any
financial institution doing business in Kentucky, made in accordance
with applicable banking laws and regulation, and in the ordinary course
of business \[7\]. A contribution also does not include an independent
expenditure by any individual or permanent committee \[8\].

­**B. Limitations on Corporate Contributions.** A corporation, and an
officer or agent of a corporation on its behalf, may not contribute,
directly or indirectly, any money, service, or other thing of value
toward the nomination or election of any state, county, city, or
district officer, or pay, promise, loan, or become pecuniarily liable,
in any way, for any money or other valuable thing on behalf of any
candidate for office at any election, primary, or nominating convention
held in the state \[9\], nor may a candidate, committee (except for a
political issues committee), or contributing organization nor anyone on
his or her behalf knowingly accept a contribution from a corporation,
directly or indirectly \[10\]. An attorney or other person may not
accept employment and compensation from a corporation with the
understanding or agreement, either direct or implied, that he or she
will contribute to any candidate, or on the candidate's behalf, any part
or all of the compensation toward the nomination or election of the
candidate \[11\]. An educational program in which all candidates are
invited to appear on a corporation's premises, with equal treatment, is
permissible \[12\].

­A corporation organized or authorized to do business in Kentucky may
not, by itself or through an officer, agent, attorney, or employee
subscribe, give, procure, furnish, or afterward reimburse or compensate,
in any way, a person who has subscribed, given, procured, or furnished
any money, privilege, favor, or other thing of value to any political or
quasi-political organization, or an officer of member of such an
organization, to be used by the organization to aid, assist, or advance
any candidate for public office in any way whatever \[13\]. This
section, and particularly the phrase "political or quasi-political
organization," was intended to refer only to those organizations
organized on behalf of political parties and the candidates of those
parties seeking election to public office, and thus has no application
to corporations and independent organizations organized for the purpose
of favoring or opposing a public question, constitutional amendment, or
issue of public importance, nor to a not-for-profit corporation which
does not derive a substantial portion of its revenue from other
not-for-profit corporations, making independent expenditures \[14\].

­No officer, agent, attorney, employee of any corporation organized or
authorized to do business in Kentucky, or person acting for or
representing any such corporation may disburse, distribute, pay out, or
in any way handle any money, funds, or other things of value that
belongs to, or has been or is being furnished by, any corporation or any
officer, agent, attorney, or employee of such a corporation to be used
or employed, in any way, to aid, assist, or advance any candidate for
public office \[15\].

­A person, partnership, unincorporated association, corporation, or other
business entity selected to provide auditing services or a major
procurement item to the Kentucky lottery corporation, and the officers
or political action committee of such an entity may not make a
contribution that does not comply with the Public Financing Act \[16\].

­**C. Limitations on Fundraising Activities and Contributions by
Lobbyists.** A registered lobbyist may not serve as a fundraiser for, or
make a contribution to a member of, or candidate for, the General
Assembly, or a campaign committee for such an individual \[17\], nor may
a member of, or candidate for, the General Assembly, or a campaign
committee for such an individual accept a contribution from a registered
lobbyist \[18\]. Such a contribution, if received unknowingly from a
lobbyist, must be returned to the contributor within 14 days after
receipt, and the name of the contributor, amount of the contribution,
and the date of the return are reported to the legislative ethics
commission \[19\]. A lobbyist may not exercise control over a campaign
contribution from a political action committee and directing it to a
specific state legislator, candidate, or committee, nor serve as an
officer of a committee that makes contributions to state legislators,
candidates, or committees \[20\]. A lobbyist may volunteer for a wide
range of campaign activities on behalf of legislative candidates so long
as they are not directed in this activity by an "employer" and do not
engage in any fundraising activity, and a lobbyist may also place
campaign material on his or her property, automobile, or person \[21\].
Spouses or immediate family members of lobbyists are not prohibited from
campaign work, including making a campaign contribution so long as a
lobbyist is not seeking to accomplish through them a prohibited activity
\[22\].

A lobbyist should not physically deliver political action committee
contributions to a legislator, candidate, or committee \[23\]. A
lobbyist may, however, contribute up to \$2,500 per calendar year to a
political party executive committee if the contribution is not specified
to be received by a particular candidate \[24\].

­**D. Limitations on Contributions by Certain Other Persons.** A person
and an agent of such person on the person's behalf may not contribute,
directly or indirectly, any money, service, or other thing of value
toward the nomination or election of any state, county, city, or
district officer who, in his or her official capacity, is required by
law to perform any duties peculiar to the person not common to the
general public; to supervise, regulate, or control in any manner the
affairs of such person; or to perform any duty in assessing the property
of the person for taxation \[25\]. No person, and no agent of such
person on the person's behalf, may pay, promise, loan, or become
pecuniarily liable, in any way, for any money or other valuable thing on
behalf of any candidate for office at any election, primary, or
nominating convention held in Kentucky \[26\]. An attorney or other
person may not accept employment and compensation from any such person
with the understanding or agreement, either direct or implied, that he
or she will contribute to any candidate for any such office, or on the
candidate's behalf, any part or all the compensation, toward the
nomination or election of the candidate \[27\]. Under this provision, an
employee of a municipal housing committee is prohibited from
contributing to his or her employer's candidacy \[28\], but an employee
of the county government, a department head in county government, an
attorney who practices before the fiscal court, or a citizen of the
county whose affairs are supervised, regulated, or controlled may
contribute to the campaign of a candidate for county commissioner, since
county officers any employees would not be under the candidate's
personal or individual direction or control because he or she is but one
of four voting members of the fiscal court \[29\], and a trial
commissioner may contribute to the campaign of a county judge seeking
re-election to the office of county judge/executive because trial
commissioners are appointed by the district judge \[30\].

­School district employees may not contribute to school board candidates
from that same district \[31\]. A teacher's union and its political
action committee whose members are local school employees may not
contribute to candidates for school board \[32\].

­

**E. Limitations on Contributions Relating to Lottery Corporation.** The
Kentucky lottery corporation is prohibited from directly or indirectly
organizing, participating in, or contributing to a political action
committee \[33\].

­A person, partnership, unincorporated association, corporation, or other
business entity providing auditing services or a major procurement item
to the Kentucky lottery, and the officers and a political action
committee of such, or to which the person or organization contributed,
is prohibited from contributing to any candidate for statewide office in
the state, or to any candidate for the general assembly for three years
before the contract award, during the period of the contract, and for
three years after the contract \[34\].

­**F. Limitations on Solicitations.** A candidate for nomination or
election to any state, county, city, or district office may not expend,
pay, promise, loan, or become pecuniarily liable, in any way, for money
or other things of value, directly or indirectly, to any person in
consideration for that person's financial support, and no candidate may
promise, agree, or make a contract with any person to vote for or
support any particular individual, thing, or measure in consideration
for that person's financial support in any election, primary, or
nominating convention, and no person may require that any candidate make
such a promise \[35\].

­No person may obtain, or attempt to obtain, money by assessment or
coercion from any state or federal employee with the purpose of using
the money to promote or aid the candidacy of any person, any political
party, any question to be voted upon by the voters of the state or any
subdivision, or in securing delegates where nominations are to be made
by convention \[36\]. Assessment means the fixing of any amount from a
person so assessed \[37\]. Coercion means the threat of discharging any
employee for failure to contribute money for campaigning or political
purposes by any influence, or discharging, demoting, or reducing salary
or wages of any employee for failure to contribute portions of his or
her salary or wages, or by putting the employee in fear in any manner
\[38\].

­Solicitation from and contributions by campaign committees, political
issues committees, permanent committees, and party executive committees
to any religious, charitable, civic, or other causes or organizations
established primarily for the public good is expressly prohibited, but a
candidate may make personal contributions to religious, civic, or
charitable groups \[39\].

­A reverse check-off procedure whereby a political action committee
deducts contributions from the paychecks of members of its affiliate
group unless the member took affirmative steps to decline making a
contribution is permissible \[40\].

­A candidate, slate of candidates, their campaign committees, or anyone
acting on behalf of any such individual or entity, is prohibited from
soliciting or accepting contributions after a election \[41\].

­A candidate, slate of candidates, their campaign committees, or anyone
acting on behalf of any such individual or entity, may not solicit a
contribution of money or services from a state employee, but this
restriction does not apply to a solicitation directed to a state
employee as a registered voter in an identified precinct as part of an
overall plan to contact voters not identified as state employees \[42\].

­A judge should not solicit funds for nor pay an assessment to a
political organization or candidate \[43\]. Public officials or
employees subject to the judge's direction or control are held to the
same standard \[44\]. A candidate for judge (including an incumbent) in
a race between competing candidates should not personally solicit funds,
but may establish a separate campaign committee to accept funds, which
may come from lawyers \[45\]. A candidate's committee may solicit funds
for the campaign no earlier than 120 days before a primary election, and
no later than 120 days after the last election in which the candidate
participates during the election year \[46\].

­**G. Limitations on Nature of Contributions.** An anonymous campaign
contribution in excess of \$50 may not be accepted, and must be returned
to the donor if the donor's identity is known, and if the donor is
cannot be determined or is not found, the contribution escheats to the
state for the use of the election campaign fund \[47\].

Anonymous contributions aggregating in excess of \$1,000 in any one
election also escheat to the state for the fund \[48\]. No person may
make a contribution in the name of another person, and no person may
knowingly accept a contribution made by one person in the name of
another person \[49\]. No candidate, committee, or contributing
organization may accept a cash contribution in excess of \$50 \[50\],
and cash contributions are entirely prohibited with respect to slates of
candidates \[51\]. Cash contributions greater than \$50 must be returned
to the donor, if the donor's identity can be determined, or they escheat
to the state treasury \[52\]. A cashier's check is considered a cash
contribution if a substantial nexus cannot be established between the
individual contributor and the check \[53\]. A candidate, slate of
candidates, committee, contributing organization, and anyone acting on
their behalf may not accept a contribution in excess of \$100 from any
person who will not be 18 years old on or before the day of the next
general election \[54\].

­A slate of candidates may not accept a contribution during the 28 days
immediately preceding a primary or general election other than a public
financing payment \[55\].

­Before receiving any contributions, each candidate or slate of
candidates and each committee must designate a primary campaign
depository for the deposit of all contributions received \[56\]. The
Registry does not consider a violation to have occurred if a candidate
uses his or her personal bank account if contributions do not exceed
\$1,000 provided the candidate (1) acts as his or her own treasurer, and
(2) signs a statement authorizing the Registry to audit the candidate's
personal bank account \[57\]. Only a financial institution authorized to
transact business in Kentucky may be designated as a campaign depository
\[58\]. All funds received by the campaign treasurer or deputy campaign
treasurer of any candidate or committee must be deposited in the
designated campaign depository in an account designated "Campaign Fund
of (name of candidate or committee)," and a statement showing the full
name, address, and occupation and employer of each contributor, and the
contributor's spouse (if the contribution is for a statewide candidate)
for those contributions of more than \$100, and the amount received must
be retained by the treasurer \[59\].

­A permanent committee may not contribute funds to another permanent
committee for the purpose of circumventing the contribution limits
\[60\].

­**H. Limitations on Amounts of Contributions.** A person (interpreted as
referring to a human being, and does not include an unincorporated
association) \[61\], permanent committee, or contributing organization
may not contribute more than \$1,000 to any one candidate and slates,
campaign committee, or political issues committee in any one election
\[62\]. Candidates for school board may not accept more than \$100 in
the form of contributions from any person, nor more than \$200 from any
permanent committee or contributing organization in any one election
(nor may such contributions be made) \[63\]. No person may contribute
more than \$1,500 to all permanent committees and contributing
organizations in any one year \[64\]. No person may contribute more than
\$2,500 to the state party executive committee and its subdivisions and
affiliates in any one year \[65\]. A candidate, slate of candidates,
committee, or contributing organization is prohibited from accepting any
contribution in excess of \$100 from any person who will not be 18 years
of age on or before the day of the next general election \[66\].

There is no limit on the amount of funds a political party executive
committee can transfer between the state party committee and local party
committee, as long as the funds are non-federal and non-corporate funds,
and the same criterion and prohibition apply when a national political
party is transferring funds to the state party executive committee
\[67\].

­Candidates running as a slate for governor and lieutenant governor may
not lend their campaign more than a combined total of \$50,000 in any
one election; other candidates for statewide office may not lend their
campaigns more than \$25,000 in any one election; and all other
candidates are limited to personal loans of \$10,000 per election
\[68\].

­Candidates (other than statewide candidates who intends to receive
public financing) may not accept contributions from permanent committees
which exceed an aggregate of 50 percent of the total contributions
accepted by the candidate in any one election cycle, or \$10,000 in any
one election, whichever is greater \[69\]. Limitations on receipt of
aggregate contributions from permanent committees in any one election
also apply separately to receipt of aggregate contributions from
executive committees of an county, district, state, or federal political
party in any one election \[70\]. Funds in a candidate's account which
are carried over from one election cycle to another are not considered
in calculating the acceptable percentage or dollar amount of
contributions that may be accepted from a permanent committee \[71\]. A
candidate may, without penalty, contribute funds to his or her campaign
account no later than 20 days following the election cycle so as to not
exceed the permitted percentage, or the candidate may, within 20 days
after the election cycle ends, refund any excess permanent committee
contributions on a pro rata basis to permanent committees whose
contributions are accepted after the aggregate limit is reached \[72\].

­**I. Post-election Limitations.** A candidate for nomination to a state,
county, city, or district office, and a committee for such a candidate,
and anyone acting on behalf of such a candidate, is prohibited from
soliciting or accepting contributions for primary election expenditures
after the date of the primary election \[73\], nor may anyone solicit or
accept contributions for general election expenditures after the date of
the general election \[74\]. Similar restrictions are also in place for
runoff primary elections \[76\] and special elections \[75\]. The
Kentucky Registry of Election Finance has determined the effective time
of this ban to begin at 12:00 a.m. \[77\]. No person other than the
candidate may contribute for such expenditures after this point \[78\].

A sole exception to the post-election solicitation and contribution ban
is to defray necessary expenses that arise after the date of the
election associated with election contests, recounts, and canvasses of a
specific election, complaints regarding alleged campaign finance
violations that are filed with the Registry pertaining to a specific
election, or other legal actions pertaining to a specific election to
which a candidate, slate of candidates, or campaign committee is a party
\[79\].

A slate of candidates for governor and lieutenant governor may not
receive more than \$50,000 back from any personal loan that they have
made to the campaign \[80\].

­A person who has contributed more than \$1,000 to a successful
gubernatorial candidate may not accept a job or appointment made by the
governor \[81\], and may not hold a substantial interest in a no-bid
contract from state government during that administration \[82\]. This
provision may also include contributions made by family members \[83\].

**III. EXPENDITURE LIMITATIONS**

**­ A. Definition of Expenditure.** Kentucky's campaign finance
regulation provisions do not explicitly define an expenditure. An
independent expenditure is defined as an expenditure of money or other
things of value which expressly advocates the election or defeat of a
clearly identified candidate or slate of candidates, and which is made
without any coordination, consent, or cooperation with and candidate or
slate of candidates, campaign committee, or any authorized person acting
on behalf of any of them, and which is not made in concert with, or at
the request or suggestion of any candidate or slate of candidates,
campaign committee, or any authorized person acting on behalf of any of
them \[84\].

­**B. Limitations on Nature of Expenditures.** Before expending any
money, each candidate and committee must designate a primary campaign
depository for disbursing all expenditures made by the candidate or
committee \[85\]. The campaign treasurer is to make or authorize all
expenditures on behalf of a candidate \[86\]. No expenditure of money or
other thing of value may be made or incurred, other than an independent
expenditure, except through the duly appointed campaign manager or
campaign treasurer of the candidate or registered committee \[87\]. Each
expenditure of more than \$25 must be made by check \[88\]. Expenditures
may be made from a secondary campaign depository only if the money was
first deposited in the primary campaign depository \[89\].

­A candidate for nomination or election to any state, county, city, or
district office may not expend, pay, provide, loan, or become
pecuniarily liable, in any way, for money or other things of value,
directly or indirectly, to any person in consideration of that person's
vote or financial or moral support \[90\].

­Political parties receiving income tax designated moneys may use these
funds only to support their party's candidate in a general election and
for the administrative costs of maintaining a political party
headquarters \[91\]. Contributions a person makes to a political party
in excess of \$1,000 in any one year are deposited in a separate
account, and the state party executive committee may only use those
funds to pay administrative costs that the party may incur \[92\].

­Expenditures by a candidate, committee, or contributing organization may
only permit funds to be expended for allowable campaign expenditures;
expenditures including reimbursement for actual expenses made directly
and primarily in support of or opposition to a candidate, constitutional
amendment, or public question which will appear on a ballot; and
includes, but is not limited to expenditures for staff salaries,
advertising, office space, necessary travel, campaign paraphernalia,
communications with prospective voters, polling and consulting,
printing, graphic arts, or advertising services, postage, office
supplies, stationery, newsletters, and equipment which is used primarily
in the administration of the campaign \[93\].

­Allowable campaign expenditures do not include expenditures of funds in
a campaign account for any purpose unlawful under state law, or which
would bestow a private pecuniary benefit, except for payment of the
reasonable value of goods and services provided upon a candidate, member
of the candidate's family, committee, or contributing organization, or
any of their employees, paid or unpaid, including tickets to an event
unrelated to a political campaign or candidacy; items of personal
property for distribution to prospective voters except items bearing the
name, likeness, or logo of a candidate or a campaign-related
communication; expenditures to promote or oppose a candidacy for a
leadership position in a governmental, professional, or political
organization, or other entity, and equipment or appliances the primary
use of which is for purposes outside of the campaign \[94\].

­No candidate or committee may use, or permit the use of, funds solicited
or received for such person to further the person's candidacy for
another office \[95\]. Any funds or contributions solicited or received
by, or on behalf of, a candidate, slate of candidates, or any committee
which has been organized, in whole or in part, to further any candidacy
for the same person may be deemed to have been solicited or received for
the current candidacy or for the election \[96\].

­A candidate for judge should not use or permit the use of campaign
contributions for the private benefit of the candidate or the
candidate's family \[97\].

**IV. REPORTING REQUIREMENTS**

**­ A. Registration.** Each candidate must designate a campaign treasurer
at the time, and at the office with which he or she files as a candidate
\[98\]. The campaign chair and the treasurer must be different people
\[99\]. A judicial candidate cannot serve as his or her own campaign
treasurer \[100\].

A campaign committee does not include an entity established solely by a
candidate which is managed solely by a candidate and a campaign
treasurer, and whose name is generic in nature (*e.g.,* "Friends of
\[name of candidate\]"), and does not reflect that others have
structured themselves as a committee, designated officers of the
committee, and assigned responsibilities and duties to officers with the
purpose of managing a campaign to support or oppose a candidate in an
election \[101\].

­Before receiving any contributions or expending any money, each
candidate and committee must designate a financial institution
authorized to do business in Kentucky as a primary campaign depository
for the deposit of all contributions received and disbursement of all
expenditures \[102\]. A secondary depository may also be designated in
each county in which an election is held in which the candidate or
committee participates \[103\].

­Any committee organized under Kentucky's campaign financing provisions
must file an official notice of intention with the Registry of Election
Finance at the time of organization, listing the names, addresses, and
positions of the organization's officers, and designating the candidate,
candidates, or question it is organized to support or oppose \[104\].
The chairman and campaign treasurer must be separate persons \[105\].
Names of political action committees must reasonably identify the
group's sponsorship and purpose \[106\]. The forms filed with the
Registry must clearly identify the specific purpose, sponsorship, and
source from which the committee originates, and the no committee may
file until this requirement has been satisfied \[107\].

­A member of the General Assembly may not organize, form, or register a
permanent committee \[108\].

­Federally registered out-of-state permanent committees may file their
federal registration with the Registry in lieu of the state form
\[109\].

­Any person who acts as a fundraiser by directly soliciting and receiving
contributions for a candidate's (or a slate of candidates') election
campaign must register with the Registry when the fundraiser raises in
excess of \$3,000 in any one election for the campaign committee
\[110\]. This official notice must give the fundraiser's name, address,
occupation, employer or, if the fundraiser is self-employed, the name
under which the fundraiser is doing business, and all candidates or
slates of candidates for whom the fundraiser intends to solicit funds
\[111\].

­Not later than the deadline for filing of nomination papers, each slate
of candidates for governor and lieutenant governor must file with the
Registry a statement of intent to accept or reject a transfer from the
election campaign fund \[112\].

­**B. Reporting by Candidates, Fundraisers, and Political Issues
Committees.** Each campaign treasurer of a candidate, campaign
committee, or political issues committee, and each fundraiser required
to register, must make a full report to the Registry of all money,
loans, or other things of value received from any source during the
reporting period, including the full name, and business address of the
permanent committee, the amount contributed, and a description of the
major business, social, or political interest represented by the
permanent committee, and the name and address of each contributor, the
age if less than the legal voting age, and occupation and employer (in
the case of statewide candidates only, to include spouse employment
information, and the name business is conducted under for self-employed
contributors), of each person or group contributing in excess of \$100,
the amount contributed by each, and the date of the contribution, and a
complete statement of all expenditures, other than independent
expenditures, authorized, incurred, or made, including the name,
address, and occupation of each person to whom an expenditure was made
in excess of \$25, and the amount, date, and purpose of each expenditure
\[113\]. Occupations must be specific, with a general classification
such as "businessman" serving as insufficient \[114\]. Cash
contributions must be detailed, and separately broken out \[115\]. In
making the reports, proceeds from the sale of tickets for fundraising
events, mass collections made a such events, and sales of items, such as
campaign pins, buttons, hats, ties, literature, and similar materials,
and the total gross receipts from each category must be listed \[116\].
When any individual purchase or the aggregate purchases of any item
exceeds \$100, the purchaser's name, address, and occupation and the
amount purchased must be reported to the Registry \[117\]. Cash
contributions must be noted, and the total amount of cash contributions
separately reported \[118\].

­Any person who has received contributions or made expenditures, has
appointed a campaign treasurer, or has given consent for any other
person to receive contributions or make expenditures with a view to
bringing about his or her nomination or election to public office
\[119\], and campaign committees which register in the year before the
year in election in which the person or persons supported are to be
candidates occurs, must file financial reports with the Registry at the
end of the first calendar quarter after the person becomes a candidate,
or following registration of the committee, and each subsequent calendar
quarter, ending with the last calendar quarter of that year \[120\].

­All candidates and their campaign committees must make reports on the
32nd day preceding an election, including all contributions and
expenditures \[121\], on the 15th day preceding the election \[122\],
and 30 days after the election \[123\]. Candidates have five days from
each filing deadline in which to get their reports postmarked, or to the
Registry \[124\]. An on-line report is deemed to be filed on the date it
is received by the Registry of Election Finance \[125\].

­**C. Reporting by Permanent Committees and Certain Individuals.** Each
permanent committee, a group of individuals, including an association,
committee, or organization, other than a campaign committee or party
executive committee, which is established as, or intended to be, a
permanent organization having as a primary purpose political activity
and which functions on a regular basis throughout the year \[126\], must
report to the Registry on the last day of the first calendar quarter
following the registration of the committee, and on the last day of each
subsequent quarter until the committee terminates, with a five-day grace
period \[127\]. The report must contain information on all money, loans,
or other things of value received from any source during the reporting
period, and must include the name and business address of the permanent
committee, the amount contributed, and a description of the major
business, social, or political interest represented by the permanent
committee for each contribution made by a permanent committee; and the
name, address, and occupation of each person or group contributing in
excess of \$100 (and the age of any person under the legal voting age
contributing), the amount contributed by each, the date of the
contribution, and a complete statement of all expenditures authorized,
incurred, or made, including independent expenditures \[128\]. Federally
registered committees file a copy of their Federal Election Commission
contribution report with the Registry when contributions are made to a
Kentucky candidate \[129\].

­**D. Reporting by Those Making Independent Expenditures.** Any person
making an independent expenditure, a communication which expressly
advocates the election or defeat of a clearly identified candidate or
slate of candidates, or the passage or defeat of constitutional
amendment or public question which will appear on the ballot, and which
is not made with any direct or indirect cooperation, consent, request,
suggestion, or consultation involving a candidate, slate of candidates,
campaign committee, political issues committee, or agent must report
these expenditures when the expenditures exceed \$500 in the aggregate
in any one election \[130\].

­**E. Reporting by Political Parties.** Each state, county, and
Congressional district political party executive committee must report
to the Registry within 30 days after the regular primary and general
elections \[131\]. The report must contain information on all money,
loans, or other things of value received from any source during the
reporting period, and must include the name and business address of the
permanent committee, the amount contributed, and a description of the
major business, social, or political interest represented by the
permanent committee for each contribution made by a permanent committee;
the name and address of each contributor, the age if less than voting
age; the employer of each contributor (or business name, if
self-employed); the spouse of each contributor (only with respect to
statewide candidates); and occupation of each person or group
contributing in excess of \$100, the amount contributed by each, the
date of the contribution, and a complete statement of all expenditure
authorized, incurred, or made \[132\]. Total cash contributions must be
broken out separately \[133\]. The statement of expenditures must
include the name and address of each person to whom an expenditure was
made in excess of \$25 and the amount, date, and purpose of each
expenditure \[134\]. If an individual gives a reportable contribution to
a state or county political party executive committee with the intention
that the contribution, or a portion of the contribution, is to go to a
candidate, the name of the contributor and the sum are to be indicated
on the committee report \[135\].

­The designated official of each state or local governing authority of a
political party to which tax designations are remitted must forward to
the Registry, within 30 days after each general election, a report of
the unexpended and unobligated balance of the funds \[136\], and an
itemized listing of each expenditure authorized, incurred, or made from
the funds, including the amount, date, and purpose of each expenditure,
regardless of the amount, and the name, address, and occupation of each
person to whom an expenditure of \$50 or more was made during the
reporting period \[137\].

­**F. Special Reporting by Slates of Candidates.** All slated candidates'
campaign committees, including those of slates of candidates rejecting
expenditure limitations, and registered fundraisers for slated
candidates, must report contributions and expenditures to the Registry
not less than every 30 days following the registration of the committee
or fundraiser, and not less than three days after the 56th, 42nd, 28th,
and 14th days before the applicable primary or general election, in lieu
of otherwise required reports \[138\]. These reports must include all
contributions received by the slate regardless of whether they have been
deposited \[139\]. Slated candidates and their fundraisers participating
in a runoff primary must report all contributions and expenditures 14
days before the runoff primary \[140\]. All slated candidates and
registered fundraisers must also report to the Registry not later than
30 days following any election in which they participate, and again each
30 days thereafter until all financial obligations have been fulfilled
and the candidate campaign account is closed \[141\].

A slate of candidates or a campaign committee organized to support a
slate of candidates that files its intent to accept or reject public
fund transfers and accept or reject the expenditure limits must report
certain transactions to the Registry within 24 hours after the
transaction is made, if made during the 28 days immediately before a
primary or regular election, and if made during the 14 days immediately
preceding a runoff primary \[142\]. These transactions include a
contribution received from the personal funds of a member of the slate
\[143\]; a deposit of funds to the slate's candidate campaign account
that may be attributed to the personal funds of a member of the slate
\[144\]; and any expenditure authorized, incurred, committed to,
reserved for or made by an authorized agent of a slate of candidates for
the purchase of advertising, including the reservation of time or space
for the purchase of advertising, from a newspaper, magazine, owner or
lessor of billboards, radio or television station or network, direct
mail vendor or other business organization offering communications or
advertising services for hire \[145\].

­**G. Reports by News Media.** A publisher of newspapers or magazines,
owner or lessor of billboards, a radio or television station or network,
or any other person, company, corporation, or business organization
offering its communications or advertising services for hire to the
public who receives funds for the purchase of advertising services or
material to support or oppose a slate of candidates for governor and
lieutenant governor must file with the Registry a copy of the material
or communication purchased by any person to support or oppose any slate
of candidates or committee, and a copy of the receipt for the funds
paid, and must identify for the Registry the person purchasing the
services or material, and the source of the funds used to make the
purchase, if different than the purchaser \[146\]. The information must
be reported to the Registry not later than the 30th day after the
primary, runoff primary, and general elections subsequent to the date
the broadcasting or printing of the advertisement occurs \[147\].

­**H. Supplemental Reports by Candidates.** If a final statement shows an
unexpended balance of contributions, continuing debts and obligations,
or an expenditure deficit, the campaign treasurer must file with the
Registry a supplemental statement of contributions and expenditures not
more than 30 days after the deadline for filing the final statement
\[148\]. Subsequent supplemental statements must be filed annually, due
to the Registry or postmarked not later than 10 days after November 1 of
each year, until the account shows no unexpended balance, continuing
debts and obligations, expenditures, or deficit \[149\].

­**I. Exemptions from Reporting.** A candidate or slate of candidates is
personally relieved of the reporting and recordkeeping requirements if
the candidate states, in writing to the Registry, that within five days
after personally receiving any contributions, he or she will surrender
possession of the entire contribution or contributions to the treasurer
of the principal campaign committee without expending any of the
proceeds, or commingling the contributions with the candidate's personal
funds or accounts \[150\]. Contributions received by check, money order,
or other written instruments must be endorsed directly to the campaign
committee, and may not be cashed or deposited by the candidate \[151\].
The candidate must also not have any unreimbursed expenditures for his
or her campaign, except for a candidate's expenditure from his or her
personal funds to the candidate's designated principal campaign
committee, which is to be reported by the committee as a contribution
received \[152\]. The waiver continues in effect as long as the
candidate complies with the conditions under which it was granted
\[152\].

­A candidate, slate of candidates, campaign treasurer, or political
committee is exempt from filing pre-election campaign finance reports if
the candidate files a written form with the Registry stating that
contributions will not be accepted or expended in excess of \$3,000 in
any one election or the candidacy, a constitutional amendment, or public
question which will appear on the ballot, with a separate form required
to be filed for each applicable election \[154\]. A candidate, slate of
candidates, campaign treasurer, or political committee is exempt from
filing other campaign finance reports if the candidate files a written
form with the Registry stating that contributions will not be accepted
or expended in excess of \$1,000 in any one election or the candidacy or
oppose a constitutional amendment or public question which will appear
on the ballot, with a separate form required to be filed for each
applicable election unless requested otherwise \[155\].

**V. PUBLIC FINANCING PROVISIONS**

­**A. Funds Provided to Political Parties.** Funds generated from the
designation by individuals of a portion of their tax liability are
remitted to political parties for use in supporting the parties'
candidates in general election and for the administrative costs of
maintaining a political party headquarters \[156\]. Fifty cents of each
\$2 designation is remitted to the appropriate official of the local
governing authority of the designated political party within the
taxpayer's resident county, and the remainder is remitted to the
appropriate official of the state governing authority of the designated
political party \[157\]. Funds are remitted annually, on January 1st
\[158\]. An annual report is required from the designated official of
each state or local governing authority of a political party to which
funds are remitted \[159\]. An annual audit of these accounts and
records is required to be undertaken by the Registry \[160\].

­**B. Funds Provided to Slates of Candidates for Governor and Lieutenant
Governor.** The election campaign fund is a special account in the state
treasury that may be drawn upon by the Registry \[161\] for distribution
of transfers for the matching of qualifying contributions to qualifying
slate of candidates for governor and lieutenant governor \[162\]. A
qualifying slate of candidates that intends to accept a transfer must
swear that the slate and the slate's authorized agents have complied
with and will continue to comply with all applicable contribution and
expenditure limits \[163\]. Acceptance or rejection of limits for the
primary election may not subsequently be changed for the general
election \[164\], and rescission is permitted only under extremely
limited circumstances early in the process \[165\].

­To be eligible for public funds on two-for-one matching ratio, a slate
of candidates must raise a threshold qualifying amount in individual
qualifying funds, with a minimum of \$300,000 and a maximum of \$600,000
in a regular or primary election \[166\]. No more than 50% of a
threshold qualifying amount may be received from residents of the same
congressional district \[167\]. Threshold qualifying amounts are
adjusted in each gubernatorial election year to account for changes in
the consumer price index \[168\].

If no other slate of candidates raises the minimum threshold qualifying
amount, a slate may raise and spend funds that exceed the maximum
threshold qualifying amount as long as it does not exceed the spending
limit \[169\].

­An additional prerequisite to receipt of a transfer from the election
campaign fund is an agreement by the qualifying slate to participate in
a reasonable number of televised debates (not more than six before a
primary, one before a runoff primary, or six before a regular election)
managed and designed by the Kentucky Authority for Educational
Television in a manner to ensure participation by all slates of
candidates \[170\].

**C. Exploratory Committees.** One or more persons may form an
exploratory committee to determine the feasibility of forming a slate of
candidates for governor and lieutenant governor prior to filing the
requisite joint notification and declaration as a slate of candidates
\[171\]. An exploratory committee may not be established earlier than
the year before the year in which the slate seeks to be elected \[172\].
An exploratory committee must register with the Registry before making
contributions or expenditures, and must designate officers and a bank
account \[173\]. An exploratory committee terminates when it files a
joint notification and declaration as a slate of candidates, or upon a
determination that a slate will not be formed as a result of the
exploratory efforts \[174\].

Exploratory committees are limited to receiving and expending no more
than an aggregate of \$90,000 \[175\]. contributions must comply with
other provisions of the law \[176\]. A contribution a person makes to an
exploratory committee is not counted toward the limit on contributions a
person may make to a slate of candidates formed as a result of the
exploratory effort, and funds spent are not counted toward the spending
limits should a slate be formed from the effort \[177\].

Activities that may be financed with contributions accepted by an
exploratory committee include polling, traveling, making telephone
calls, and other activities conducted solely for the purpose of
determining whether a slate should be formed \[178\]. Expenditures may
not be made for general political advertising to publicize an intention
to run as a slate \[179\]; making or authorizing others to make written
or oral statements that refer to the persons as a slate \[180\]; making
expenditures or contracting to make expenditures that would further a
candidacy should the determination be made to form a slate, such as
expenditures for advertising, campaign equipment or supplies, or office
space which would be used after the termination of the exploratory
committee \[181\]; or conducting further activities after the persons on
whose behalf the exploratory committee was established have filed a
joint notification and declaration as a slate \[182\].

Exploratory committee assets, including funds, may not be transferred to
the campaign account established by the slate of candidates for whom the
exploratory committee was established, but instead escheat to the state
\[183\].

Recordkeeping and reporting requirements are essentially the same for an
exploratory committee and a slate committee \[184\]. However, reports
are filed on a different schedule \[185\]. Reports are due not later
than five days after the last day of the calendar month the exploratory
committee files with the Registry, not later than five days after the
last day of each subsequent month in which the committee remains
registered, and not later than 30 days after the exploratory committee
terminates its registration \[186\].

­**D. Restrictions on Contributions.** A slate of candidates that intends
to accept transfers from the fund and abide by expenditure limits may
not knowingly accept a contribution from a natural person, permanent
committee, state or county political party executive committee, or
contributing organization of more than \$1,000 in any one election
\[187\]. Except for independent expenditures, no natural person,
permanent committee, state or county political party executive
committee, or contributing organization may knowingly contribute more
than \$1,000 in any one election to a slate of candidates that has filed
the public funding statement \[188\].

­­A slate of candidates abiding by the expenditure limitations may receive
contributions from permanent committees which do not exceed in aggregate
25% of the qualifying contributions the slate receives in any one
election \[189\]. No threshold qualifying amount is required for a slate
of candidates running in a runoff primary \[190\].

A slate of candidates abiding by the public funding provisions may not
accept any campaign contribution other than public funding during the 28
days immediately preceding a primary or general election \[191\], and
during the 14 days immediately preceding a runoff primary unless
released from expenditure limitations by the Registry \[192\] or the
matching ratio of fund transfers is reduced by the Registry \[193\].

­A qualifying slate of candidates seeking its party's nomination may
receive a transfer from the election campaign fund if at least one
additional slate of candidates seeking the same or an opposing party's
nomination has received and deposited in its candidate campaign account
not less than the minimum threshold qualifying amount for a primary
election \[194\]. A qualifying slate of candidates seeking election in a
primary or regular election may not receive a transfer from the election
campaign fund unless at least one opposing slate of candidates has
received and deposited in its candidate campaign account not less than
the minimum threshold qualifying amount for the election \[195\].

­Cash contributions may not be knowingly made to, or accepted by, a slate
of candidates \[196\].

A campaign's voluntary refund to a contributor of the contributor's
qualifying contribution triggers a requirement for a refund to the
election campaign fund of the matching funds received pursuant to law
\[197\] unless it is being returned because it was in excess of the
maximum threshold qualifying amount \[198\].

­**E. Restrictions on Expenditures.** A slate of candidates that intends
to accept transfers from the fund and abide by expenditure limits may
make campaign expenditures which, in the aggregate, do not exceed \$1.8
million in connection with a primary election campaign, \$300,000 in
connection with a runoff primary campaign, and \$1.8 million in
connection with a regular election campaign \[199\]. These expenditure
limits are to be adjusted in each gubernatorial election year to account
for changes in the consumer price index \[200\].

**VI. TAX PROVISIONS**

­Every individual whose income tax liability for the taxable year is at
least \$2 may designate that \$2 be paid to a political party \[201\].
In the case of a joint return, each spouse may designate that two
dollars be paid to a political party, if the joint tax liability is at
least as great as the amount jointly designated \[202\]. The designation
may not increase or decrease the income tax liability of any taxpayer,
nor may it reduce the overpayment of any taxpayer \[203\].

­The commissioner of revenue must annually certify, by December first,
the designated amounts to be paid by the state treasurer, and the
treasurer must annually remit the funds by the following January 1st to
the appropriate official of the state and local governing authorities of
the designated political party \[204\].

**VII. POST-ELECTION REQUIREMENTS**

­**A. Reporting.** Supplemental reports are required if a final statement
shows an unexpended balance of contributions, continuing debts and
obligations, or an expenditure deficit \[205\]. If a final statement
shows an unexpended balance of contributions, continuing debts and
obligations, or an expenditure deficit, the campaign treasurer must file
with the Registry a supplemental statement of contributions and
expenditures not more than 30 days after the deadline for filing the
final statement \[206\]. Subsequent supplemental statements must be
filed annually, due to the Registry or postmarked not later than 10 days
after November 1 of each year, until the account shows no unexpended
balance, continuing debts and obligations, expenditures, or deficit
\[207\].

**B. Restrictions on Further Uses of Surplus Funds.** An elected
official may only retain unspent campaign funds if those funds
eventually further the official's re-election effort \[208\]. A
candidate or committee may not use, or permit the use of, contributions
or funds solicited or received for the candidate or committee to further
the candidacy of the candidate for a different public office \[209\].
Any funds or contributions solicited or received by, or on behalf of, a
candidate; slate of candidates; or any committee which has been
organized, in whole or in part, to further any candidacy for the same
person, or to support or oppose the same public issue; are deemed to
have been solicited or received for the current candidacy or for the
election on the public issue if the funds or contributions solicited or
received at any time prior to the regular election for which the
candidate, slate of candidates or public issue is on the ballot \[210\].

**C. Disposition of Surplus Funds.** Any unexpended balance of funds not
otherwise obligated for the payment of expenses incurred to further the
individual's candidacy may, at the option of the candidate or committee,
be returned pro rata to all contributors, or be transferred to the
executive committee of the political party of which the candidate is a
member, except that a candidate, committee, or official may retain the
funds to seek election to the same office \[211\]. Surplus campaign
funds may also be donated to a charitable, non-profit, or educational
institution recognized as a §501(c)(3) organization under the Internal
Revenue Code \[212\], but cannot be awarded to a campaign worker as a
bonus unless the worker is a paid employee, and a written contract with
the worker exists \[213\].

**D. Special Provisions for Publicly-Financed Candidates.** A slate of
candidates seeking nomination or election to the offices of governor and
lieutenant governor must dispose of qualifying contributions received in
excess of the maximum threshold qualifying amount by either returning
the excess contributions to the contributors \[214\], or by depositing
all such checks into the campaign account, and executing a single check
to the state treasurer in the amount of total excess contributions for
deposit in the election campaign fund \[215\].

A slate of candidates which did not receive matching public dollars from
the election campaign fund is not obligated to return its unexpended
balance to the Registry for deposit in the election campaign fund
\[216\].

­**E. Prohibition on Raising Additional Funds.** A candidate for
nomination to a state, county, city or district office, and a committee
for such a candidate, and anyone acting on behalf of such a candidate,
is prohibited from soliciting or accepting contributions for primary
election expenditures after the date of the primary election \[217\],
nor may anyone solicit or accept contributions for general election
expenditures after the date of the general election \[218\]. The
Kentucky Registry of Election Finance has determined the effective time
of this ban to begin at 12:00 a.m. local time \[219\]. No person other
than the candidate may contribute for primary election expenditures
after the date of the primary election \[220\], or for general election
expenditures after the date of the general election \[221\].

A candidate for governor may not receive more than \$50,000 back from
any personal loan that he or she has made to the campaign \[222\].

­**F. Other Post-Election Activities.** An elected official and the
officials appointees may not knowingly award a non-bid contract to any
entity whose officers or employees, or their spouses contributed in
excess of \$5,000 in the aggregate in any one election to the election
campaign of the elected official during the term of office following the
election campaign in which the contributions were made \[223\], nor may
any entity knowingly receive such a contract \[224\]. An elected
official and the officials appointees may not knowingly award a non-bid
contract, lease, or appointment to any board with the governing
authority which the elected official serves to any person who has acted
as a fundraiser by directly soliciting contributions to the election
campaign of the elected official who secured in excess of \$30,000 in
the aggregate in any one election for the election campaign, or to the
fundraiser's immediate family, employer, or employee, during the term of
office following the election campaign in which the contributions were
made \[225\], nor may any fundraiser knowingly receive such an emolument
\[226\]. No award of a non-bid contract or lease with the governing
authority may knowingly be made to the entity in which a fundraiser has
an interest during the term of office following the election campaign in
which the contributions were made \[227\].

**VIII. OFFENSES AND PENALTIES**

­Any corporation, any officer or agent of such a corporation, or attorney
or other person employed by such a corporation, who knowingly violates
any of the provisions against corporate contributions to candidates may
be fined not more than \$10,000, and in the case of individuals, may be
found guilty of a class D felony and be imprisoned in the county jail
for not less than 30 days nor more than one year \[228\]. Any person who
knowingly violates the prohibition against concealed corporate
contributions to candidates may be found guilty of a class D felony, and
the corporate charter may be revoked \[229\].

­Any person who knowingly violates the prohibition against contributions
to candidates for office with special regulatory powers over the person
may be found guilty of a class D felony \[230\].

­Any person who conspires to violate the provisions against giving state
jobs, appointments, or no-bid contracts to those who have made maximum
contributions is guilty of a class D felony, and offices and benefits
received may be forfeited, along with future restrictions on receipt of
additional contracts \[231\].

­A person who violates the provisions related to contributions to school
board candidates may be found guilty of a class A misdemeanor, and
disqualified from service \[232\].

­A final judicial determination of guilt on the part of any candidate or
slate of candidates who knowingly violate provisions related to loans,
contribution limits, reports, and depositories, as well as guilt of a
campaign treasurer, voids the nomination for or election to office, and
forfeiture of all benefits \[233\].

­Any person who knowingly violates any of the registration,
recordkeeping, or reporting provisions may be found guilty of a class D
felony \[234\], and failure to pay a required civil fine may result in
disqualification from filing for public office \[235\].

­Any candidate who knowingly violates any of the registration,
recordkeeping, and reporting provisions, or whose campaign treasurer
does so with the candidate's knowledge, may have the candidate's
nomination for, or election to, an office voided, and the office or
candidacy filled, as provided by law for the filling of a vacancy
\[236\].

­Any person who knowingly violates the provisions governing assessments
of state or federal employees for political purposes may be found guilty
of a Class D felony \[237\].

­In lieu of other penalty provisions for violations of the law relating
to allowable campaign expenditures, the Registry may, for a violation
which was not committed knowingly, order the violator to repay the
amount of campaign funds improperly expended, and, if not repaid within
30 days, may impose a fine of up to \$100 for each day the amount is not
repaid, up to a maximum fine of \$1,000 \[238\]. For a violation which
was committed knowingly, in addition to referring the matter for
criminal prosecution, the Registry may order the violator to repay the
amount of campaign funds improperly expended, and, if not repaid within
30 days, may impose a fine of up to \$100 for each day the amount is not
repaid, up to a maximum fine of \$1,000 \[239\].

­A candidate with an unpaid civil penalty assessed by the Kentucky
Registry of Election Finance shall be disqualified from running for
office until the penalty has been paid or the Registry rules that
settlement has otherwise been made \[240\].

­Any slate of candidates, authorized treasurer, or any other individual
who knowingly violates the public financing contribution or expenditure
limitations; knowingly misuses any transfers from the fund; or knowingly
falsifies any record required to be submitted or retained by the slate
may be found guilty of a class D felony, and disqualified from being
appointed to or holding public office for a period of five years from
the date of final judicial determination of guilt \[241\]. Additional
sanctions include automatic forfeiture of the nomination or election and
forfeiture of all benefits which the candidates would have been entitled
to receive had they continued to serve \[242\].

­In the event of a violation of the public financing provisions, a judge
must also order the immediate refund of all fund transfers to the
election campaign fund, and enter a judgment lien against the slate and
its campaign committee for that purpose \[243\].

­An appointed or elected state officeholder or any other person who
knowingly violates the provisions related to the televised debates may
be found guilty of a class D felony, and if a late of candidates has
already assumed offices, upon a final judicial determination of guilt,
their offices must be declared vacant, and they forfeit all benefits
which they would have been entitled to receive had they continued to
serve \[244\].

**IX. RESPONSIBLE STATE AGENCIES.**

­**A. Kentucky Registry of Election Finance.** The Kentucky Registry of
Election Finance oversees campaign finance regulation in the
commonwealth. The Registry is a seven-member independent agency, with
two members appointed by the governor from lists submitted by the state
central committees of the two political parties that polled the largest
vote in the last preceding gubernatorial election; two members of
different political parties selected by the governor with due
consideration after soliciting nominations from at lest two
organizations which have demonstrated a nonpartisan interest in fair
elections and informed voting, one member each selected by the auditor
of public accounts, attorney general, and secretary of state, also
soliciting the input of the nonpartisan organizations \[245\]. The
nominee of the auditor of public accounts may be a member of either of
the two political parties that polled the largest vote in the last
preceding gubernatorial election; the attorney general's nominee is from
the opposite political party of the auditor of public accounts's
nominee; and the secretary of state's nomination is without regard to
political affiliation \[246\]. The Registry elects its chair for a
one-year term from among its membership, with succession permitted
\[247\].

­The Registry may appoint a full-time executive director, legal counsel,
and an accountant for auditing purposes, and other employees as
necessary \[248\]. The Registry is empowered to adopt necessary
regulations, official forms, and perform appropriate tasks to implement
the law, and must develop prescribed forms for the required reports
\[249\]; prepare and publish a manual for all candidates and committees,
describing the requirements of the law, including uniform methods of
bookkeeping and reporting \[250\]; develop a filing, coding, and
cross-indexing system \[251\]; make each report filed available for
public inspection and copying during regular office hours, at the
expense of any person requesting copies \[252\]; preserve all reports
for at least six years from receipt \[253\]; prepare and make available
for public inspection a summary of all reports, grouped according to
candidates, slates of candidates, committees, contributing
organizations, and parties, containing the total receipts and
expenditures, and the date, name and business address of the permanent
committee, the amount contributed, and a description of the major
business, social, or political interest represented by the permanent
committee for each contribution of any amount made by a permanent
committee, and the date, name, address, occupation and employer of each
contributor and each contributor's spouse, and amount contributed by
each contributor, listed alphabetically, for those contributions in
excess of \$100 to candidates and slates of candidates \[254\]; prepare
and publish an annual report with cumulative compilations of the
summaries \[255\]; distribute upon request, for a nominal fee, copies of
all summaries and reports \[256\]; and determine whether the required
reports have been filed and, if so, whether they conform to the law;
give notice to delinquent filers to correct or explain deficiencies;
issue an order, if appropriate, and make public the fact and nature of a
violation \[257\].

With respect to electronic filing of reports, the Registry is required
to develop or acquire an appropriate system using a nonproprietary
standardized format or formats \[258\]; work with filers on test files
to ensure compliance, \[259\] including training \[260\]; and make all
reports public via the Internet using an easily understood format
allowing browsing by categories \[261\]. All data must be available on
the Internet within 10 days after receipt \[262\], and must be
maintained on-line for 20 years after filing, and then archive it
\[263\].

­The Registry is authorized to conduct random audits of contributions and
expenditures \[264\]. The Registry is also required to conduct audits of
receipts and expenditures of all candidates running for statewide
\[265\], and random audits of candidates running for city, county,
urban-county government, and district offices \[266\].

­The Registry is responsible for certification of qualification of slates
of candidates to receive a transfer from the election campaign fund
\[267\], for drawing warrants upon the election campaign fund in the
state treasury \[268\], reporting to the general assembly within three
months after a gubernatorial election the total amount of the transfers
from the fund to each qualifying slate of candidates \[269\], and
preserving all receipted bills and accounts required by the public
funding provisions \[270\]. After each primary, runoff primary, and each
regular election in a year in which a governor and lieutenant governor
are elected, the Registry must conduct a thorough examination and audit
of the contributions and expenditures of each slate's campaign
committee, must conduct a continuing audit of all slates which qualify
for transfers from the fund \[271\], and issue a report on each campaign
committee \[272\]. The Registry must also adjust the campaign
expenditure limits \[273\] and the threshold qualifying limits in each
gubernatorial election year in accordance with the consumer price index
for urban workers \[274\].

­Within three days after receiving a report by a campaign committee of a
slate of candidates that the slate has or may have received
contributions or made expenditures in excess of the statutory limits
\[275\], or a report by a slate of candidates that another slate of
candidates has or may have received contributions in excess of the
statutory limits, the Registry must conduct a public hearing \[276\],
and issue a ruling within seven days after the hearing \[277\].

­If the Registry determines that probable cause exists to believe that a
violation of the public financing provisions has knowingly occurred, it
must immediately transmit its determination to the appropriate
commonwealth's attorney and the attorney general \[278\].

­Any person who believes a violation of any campaign finance statute or
administrative regulation has occurred may file a sworn, written
complaint with the general counsel for the Registry \[279\]. A complaint
must contain the full name and address of the complainant; the name and
address of the person, persons or organization against whom the
complaint is made; and should contain the date or dates and time of the
alleged violation \[280\]. The contents of the complaint must contain a
clear and concise recitation of the facts supporting the allegation,
along with any available documentation, and be made under penalty of
perjury; sworn to; signed in the presence of a notary public; and be
notarized \[281\].

­Not later than five days after the Registry receives a sworn complaint,
or files a complaint on its own, it must give notice to the person
complained against, and the respondent has 15 days after receipt to
respond \[282\]. Following receipt of the response, the general counsel
determines whether there is reason to believe a violation has occurred,
and conduct an investigation \[283\].

­­Whenever it is deemed necessary to compel the attendance of witnesses,
or the production for examination of any books, payrolls, personnel
records, correspondence, documents, papers, or other evidence relating
to any matter under investigation or in question before the Registry,
the chair may issue a subpoena or subpoena *duces tecum* for such access
\[284\].

Under an agreement with the Registry, the attorney general will jointly
investigate alleged violations with the Registry responsible for
pursuing civil violations \[285\].

­

­If the Registry concludes that there is probable cause to believe that a
law has been knowingly violated, it must refer the violation to the
attorney general or commonwealth's attorney for prosecution \[286\]. The
attorney general may request the Registry's attorney or the appropriate
county or commonwealth's attorney to prosecute the matter \[287\]. In
the event the attorney general or the appropriate local prosecutor fails
to prosecute in a timely fashion, the Registry may petition the court to
appoint the Registry's attorney to prosecute, and, upon such motion for
good cause shown, the court must enter a motion to that effect \[288\].

­**B. Attorney General and Local Prosecutors.** The attorney general or
the appropriate local prosecutor may be referred apparent violations of
the law by the Registry \[289\]. The attorney general or the appropriate
local prosecutor who has the responsibility for prosecutions under the
law may request from the Registry all evidence collected in its
investigation \[290\].

Under an agreement with the Registry, the attorney general will jointly
investigate alleged violations and be responsible for prosecution or
referrals to local prosecutors of knowing violations \[291\].

­**C. Commissioner of Revenue and State Treasurer.** By December first of
each year, the commissioner of revenue is required to certify the amount
of funds designated to political parties from income tax returns, and
the treasurer is to annually remit those funds by the following January
1st to the appropriate official of the state and local governing
authorities of the designated party \[292\].

The state treasurer must also forward excess contribution checks
received from publicly financed candidates to the Registry for deposit
in the election campaign fund \[293\].

­**D. Secretary of State and County Clerk.** The appointment of treasurer
form shall be filed with the Secretary of State or the county clerk at
the time of filing for office \[294\].

**­ E. Legislative Ethics Commission.** The Legislative Ethics Commission
is the entity that receives reports of returned contributions from
lobbyists to legislators, and issues advisory opinions regarding such
contributions and returns \[295\].

**F. Franklin County Circuit Court.** Prosecutions involving campaign
finance law violations in which the reports are required to be filed in
Frankfort may be conducted in Franklin circuit court \[296\].

­Any person directly involved or affected by a Registry action, other
than the referral of a violation to the attorney general for
prosecution, may seek judicial review of the action within 30 days after
the date of the action \[297\].

If judicial review is sought of any Registry action relating to a
pending election, the matter shall be advanced on the court docket
\[298\].

# References

1\. Kentucky Revised Statutes (Michie)

(hereafter KRS) § 121.015(6)(a)

2\. KRS § 121.015(6)(b)

3\. KRS § 121.015(6)(c); Advisory Opinion

of the Kentucky Registry of Election

Finance (hereafter Adv. Op.) No.

94-006 (June 10, 1994) (elected

officials may contribute personal funds

toward production of a radio show,

and campaign funds if the contribution

has advertising value for the

candidacy). Partnership contributions

are attributed to the partner named or

divided among the partners, and they

count against the individual limits. A

partnership does not have a limit

separate from its individual members.

Adv. Op. No. 94-007 (June 11,1994).

4\. KRS § 121.015(6)(d)

5\. KRS § 121A.010(11)(a)

6\. KRS § 121.015(7)(a); *see, Kentucky*

*Registry of Election Finance v. Studio*

*Arts, Inc.*, KREF 93-105; Adv. Ops.

Nos. 93-025, 93-026 (November

10, 1993)

7\. KRS § 121.015(7)(b)

8\. KRS § 121.015(7)(c); *see, Comm. v.*

*Martin*, \_\_\_ S.W.3d \_\_\_ (Ky. Ct. App.

November 9, 2000)

9\. KRS § 121.025; *Kentucky Right to Life,*

*Inc. v. Terry*, 108 F.3d 637 (6th Cir.

1997). A political party wishing to

accept corporate funds must

designate such funds to a separate

administrative account only to be used

for party administrative expenses, and

not for candidate support. Adv. Op.

No. 93-023 (1993). An individual

partner, however, may make a

contribution from his or her personal

funds up to the statutory limit of

\$500 per election. Adv. Op. No.

94-007 (June 11, 1994).

10\. KRS § 121.150(21); *Kentucky Right to*

*Life, Inc. v. Terry*, 108 F.3d 637

(6th Cir. 1997). Adv. Op. No.

95-011 (June 21, 1995) (National

political party executive committee

may not make contributions to

Kentucky non-federal candidates from

any account it possesses, regardless if

the account is designated for "non-

federal" candidacies).

11\. KRS § 121.025

12\. Opinion of the Kentucky Attorney

General (hereafter Op. Att'y Gen.)

No. 80-522 (1980)

13\. KRS § 121.035

14\. KRS § 121.035(3). *See*, Op. Att'y Gen.

No. 76-406 (1976)

15\. KRS § 121.035(2)

16\. KRS § 154A.160(2)

17\. KRS § 6.811(6); *see*, KRS

§ 121.170(2). This prohibition does not

extend to lobbyist contributions to a

state legislator's campaign for a

federal office. Kentucky Legislative

Ethics Comm'n Opinion No. 95-15

(October 24, 1995).

18\. KRS § 6.767; Kentucky Legislative

Ethics Comm'n Opinion Nos. 93-54,

93-55

19\. KRS § 6.767; Kentucky Legislative

Ethics Comm'n Opinion No.

93-55

20\. Kentucky Legislative Ethics Comm'n

Opinion No. 93-44

21\. Kentucky Legislative Ethics Comm'n

Opinion Nos. 93-67, 94-41, 95-8

22\. Kentucky Legislative Ethics Comm'n

Opinion No. 93-67

23\. Kentucky Legislative Ethics Comm'n

Opinion No. 93-44

24\. Adv. Op. No. 94-019 (October 19,

1994\)

25\. KRS § 121.045. *But see*, *Lee v.*

*Commonwealth*, 565 S.W.2d 634 (Ky.

App. 1978) (prohibition on donations

to election campaigns of candidates

for the office of property assessor by

persons whose property the assessor

may assess is unconstitutional)

26\. KRS § 121.045

27\. KRS § 121.045

28\. Op. Att'y Gen. No. 75-101 (1975)

29\. Op. Att'y Gen. No. 77-40 (1977)

30\. Op. Att'y Gen. No. 77-598 (1977)

31\. KRS § 161.164(2); *see, State Board for*

*Elementary and Secondary Education*

*v. Howard,* 834 S.W.2d 657 (Ky.

1992\)

32\. Op. Att'y Gen. No. 92-145 (1992)

33\. KRS § 154A.022

34\. KRS § 154A.160(2). The "statewide"

application is most likely inapplicable

to candidates to the U.S. Senate. *See,*

Federal Election Commission

Advisory Opinion No. 1989-12

(construing similar statute from

Indiana).

35\. KRS § 121.055

36\. KRS § 121.320(1)

37\. KRS § 121.320(2)

38\. KRS § 121.320(3)

39\. KRS § 121.150(2)

40*. Kentucky Educators Pub. Affairs*

*Council v. Kentucky Registry of*

*Election Finance,* 677 F.2d 1125

(6th Cir. 1982); *see also,* Adv. Op.

No. 98-015 (January 6, 1999),

recommending adherence to *Toledo Area*

*AFL‑CIO Council v. Pizza*, 154 F.3d 307

(6th Cir. 1998)

41\. KRS §§ 121.150(14)-(17); *but see,* KRS §

121.150(20)

42\. KRS § 121.150(25)

43\. *Rules of the Supreme Court,* S.C.R.

4.300-Code of Judicial Conduct

(hereafter S.R.C.), Canon 7.A.(1)(c)

44\. S.C.R. Canon 7.B.(1)(b)

45\. S.C.R. Canon 7.B(2)

46\. S.C.R. Canon 7.B(2)

47\. KRS § 121.150(3)

48\. KRS § 121.150(3)

49\. KRS § 121.150(12); ; *see, Comm'nwlth v.*

*Martin, et al.*, Nos. 98-CR-00136-001, -004

(Franklin Co. Cir. Ct. June 4, 1999)

(overbroad and vague) *appeal pending*

50\. KRS § 121.150(4). Credit cards may be

used to make contributions to an

individual candidate, Adv. Op. No. 95-006

(April 6, 1995), even via the Internet, Adv.

Op. No. 2000-03 (April 26, 2000).

51\. KRS § 121 A.050(2)

52\. KRS § 121.150(3), (4); 32 Kentucky

Administrative Regulations (hereafter

KAR) 1:140E(1) requires an attendant

sworn statement attesting to the

circumstances surrounding the

contribution.

53\. Op. Att'y Gen. No. 75-159 (1975); *see*,

*Lane v. Railey,* 133 S.W.2d 74 (1939)

54\. KRS § 121.150(5)

55\. KRS §§ 121.150(24); 121.030(5); 32 KAR

1:180 (relating to 24-hour reporting of

certain contributions made during the last

28 days before an election); *see also,*

*Gable v. Patton*, 142 F.3d 940 (6th Cir.

1998), *aff'g* No. CA-95-12 (E.D. Ky.

1997), *cert. denied*, \_\_\_ U.S. \_\_\_ (1999).

56\. KRS § 121.220(1)

57\. *Instructions* at 2

58\. KRS § 121.220(1)

59\. KRS § 121.220(2)

60\. KRS § 121.150(8)

61\. Op. Att'y Gen. No. 75-590 (1975)

62\. KRS § 121.150(6); *Kentucky Right to*

*Life, Inc., v. Terry*, 108 F.3rd 637

(6th Cir. 1997); Adv. Op. No.

94-026 (January 12, 1995). National

political party executive committees

and state political party executive

committees may each give the

maximum of \$500 per election.

63\. KRS § 121.150(6)

64\. KRS § 121.150(10); *Kentucky Right to*

*Life, Inc., v. Terry*, 108 F.3rd 637

(6th Cir. 1997)

65\. KRS § 121.150(11)

66\. KRS § 121.150(5)

67\. Adv. Op. No. 93-020

(October 27, 1993)

68\. KRS § 121.150(13); *Wilkinson v. Jones*,

876 F. Supp. 916 (W.D. Ky. 1995);

*Anderson, et al., v. Spear, et al.*, CA

No. 99-189 (E.D. Ky. October 15, 1999)

*Conclusions Regarding Temporary*

*Restraining Order* at 6-8, *appeal pending*

69\. KRS § 121.150(26)(a); Att'y Gen. No.

96‑25 (June 13, 1996); *Wilkinson v.*

*Jones*, 876 F. Supp. 916 (W.D. Ky.

1995\)

70\. KRS § 121.150(26)(b)

71\. KRS § 121.150(26)

72\. KRS § 121.150(26)

73\. KRS § 121.150(14)

74\. KRS § 121.150(16)

75\. KRS § 121.150(15)

76\. KRS § 121.150(17)

77\. *Instructions* at 3

78\. KRS § 121.150(14)-(17)

79\. KRS § 121.150(20)

80\. KRS § 121.150(21); *Wilkinson v. Jones*,

876 F. Supp. 916 (W.D. Ky. 1995);

*Anderson, et al., v. Spear, et al.*, CA No.

99-189 (E.D. Ky. October 15, 1999)

*Conclusions Regarding Temporary*

*Restraining Order* at 5-6, *appeal*

*pending*

81\. KRS § 121.056(1); *see,* *Comm. v.*

*Martin*, \_\_\_ S.W.3d \_\_\_ (Ky. Ct. App.

November 9, 2000)

82\. KRS § 121.056(2)

83\. KRS § 121.056(3)

84\. KRS §§ 121.015(12); 121A.010(13); *see,*

Adv. Op. No. 95-012 (July 28, 1995)

85\. KRS § 121.220(1)

86\. KRS § 121.160(2)(c)

87\. KRS § 121.150(1); *see, Comm. v.*

*Martin*, \_\_\_ S.W.3d \_\_\_ (Ky. Ct. App.

November 9, 2000)

88\. KRS § 121.160(2)(c)

89\. KRS § 121.220(1)

90\. KRS § 121.055; *Ellis v. Meeks*, 957

S.W.2d 213 (Ky. 1997); *Brown v.*

*Hartlage,* 454 U.S. 936 (1982);

Op. Att'y Gen. No. 83-435 (1983)

91\. KRS § 121.230(1)

92\. KRS § 121.150(11)

93\. KRS § 121.175; 32 KAR 2:200; Ky.

Registry of Election Finance, *Candidate*

*Guide to Campaign Finance* (1997 ed.)

at 31; *see,* *U.S. v. Blandford*, 33 F.3d 685

(6th Cir. 1994), *cert. denied,* 115 S.Ct.

1821 (1995).

94\. KRS § 121.175; Ky. Registry of Election

Finance, *Candidate Guide to Campaign*

*Finance* (1997 ed.) at 32

95\. KRS § 121.180(10)

96\. KRS § 121.180(10)

97\. S.C.R. Canon 7.B.(2)

98\. KRS § 121.160(1)

99\. KRS § 121.170(4)

100\. Judicial Ethics Opinion JE.55

101\. KRS § 121.015(3)(a)

102\. KRS § 121.220(1)

103\. KRS § 121.220(1)

104\. KRS § 121.170(1)

105\. KRS § 121.170(4)

106\. KRS § 121.170(1)

107\. KRS § 121.170(1)

108\. KRS § 121.170(7)

109\. KRS § 121.170(5)(a). *See*, Op. Att'y

Gen. No. 92-\_\_ (August 31, 1992)

110\. KRS § 121.170(2)

111\. KRS § 121.170(2); Kentucky Registry

of Election Finance form KREF

92-019, "Fundraiser Registration"

112\. KRS § 121A.040(1)

113\. KRS § 121.160(2)(b)

114\. KRS § 121.160(2)(b)

115\. KRS § 121.180(3)(a)(4)

116\. KRS § 121.180(5)

117\. KRS § 121.180(2)

118\. KRS § 121.180(3)(a)(4)

119\. KRS § 121.105(8)

120\. KRS § 121.180(3)(6)(1)

121\. KRS § 121.180(3)(6)(2). A statement

of intent may exempt them from such

requirements. *See,* KRS § 121.180;

*infra*, notes 142-43.

122\. KRS § 121.180(3)(6)(3)

123\. KRS § 121.180(4)

124\. KRS § 121.180(3)(6)(4)

125\. KRS § 121.180(15)

126\. KRS § 121.105(3)(c)

127\. KRS § 121.180(6)(d)

128\. KRS § 121.180(6)

129\. KRS § 121.170(5)(b).

130\. KRS § 121.150(1). *See also,* Adv. Op.

No. 93-029 (December 20, 1993)

(candidate making an independent

expenditure must report expenditure

even if the ad for which the money

was used for does not literally

denounce the candidacies of those

mentioned in the ads, citing *Buckley*

*v. Valeo,* 424 U.S. 1 (1976)).

131\. KRS § 121.180(2); congressional

district party committees may file

their report under the report filed by

the state executive committee. Adv.

Op. No. 94-013 (September

20, 1994).

132\. KRS § 121.180(2)(a)

133\. KRS § 121.180(2)(c)

134\. KRS § 121.180(2)(d)

135\. KRS § 121.180(2)(d)

136\. KRS § 121.230(3)(a)

137\. KRS § 121.230(3)(b)

138\. KRS § 121A.020(5)

139\. KRS § 121A.020(5)

140\. KRS § 121A.020(5)

141\. KRS § 121A.020(5)

142\. KAR 1:180(1)

143\. KAR 1:180(1)1

144\. KAR 1:180(1)2

145\. KAR 1:180 (1)3

146\. KRS § 121.180(11); *Adventure*

*Communications, Inc., et al. v. Ky.*

*Registry of Election Finance*, No.

CA-98-2278 (4^th^ Cir. September 9,

1999), *rev'g* No. CA-96-0938-3 (S.D.

W.Va. 1998)

147\. KRS § 121.180(11)

148\. KRS § 121.180(7)

149\. KRS § 121.180(7)

150\. KRS § 121.180(9)(a)

151\. KRS § 121.180(9)(a)

152\. KRS § 121.180(9)(b)

153\. KRS § 121.180(9)(c)

154\. KRS § 121.180(1)(a)

155\. KRS § 121.180(1)(b)

156\. KRS §§ 141.071; 121.230(1)

157\. KRS § 141.072

158\. KRS § 141.072

159\. KRS § 121.230(2)

160\. KRS § 121.230(5)

161\. KRS § 121A.020(1)

162\. KRS § 121A.020(2)

163\. KRS § 121A.040(2)

164\. KRS § 121A.040(3)

165\. KRS § 121A.040(4)

166\. KRS § 121A.060(1)

167\. KRS § 121A.060(1)

168\. KRS § 121A.060(1)

169\. Adv. Op. No. 99-08 (June 25, 1999)

170\. KRS § 121A.100(1)

171\. KRS § 121A.015(1)

172\. KRS § 121A.015(1)

173\. KRS § 121A.015(1)

174\. KRS § 121A.015(1)

175\. KRS § 121A.015(3); Adv. Op. No. 01-005

(August 27, 2001)

176\. KRS §§ 121A.015(3); 121.150

177\. KRS § 121A.015(3)

178\. KRS § 121A.015(2)

179\. KRS § 121A.015(2)(a)

180\. KRS § 121A.015(2)(b)

181\. KRS § 121A.015(2)(c)

182\. KRS § 121A.015(2)(d)

183\. KRS § 121A.015(5); *see,* Adv. Op. No.

98-017 (January 29, 1999)

184\. KRS § 121A.015(4)

185\. KRS §§ 121A.015(4); 121.180(3)(b)

186\. KRS § 121A.015(4)

187\. KRS § 121A.050(1)

188\. KRS § 121A.050(1)

189\. KRS § 121A.030(4)

190\. KRS § 121A.060(12)

191\. KRS § 121A.030(5)(a); *Gable v. Patton,*

142 F.3d 940 (6th Cir. 1998), *cert. denied,*

\_\_\_ U.S. \_\_\_ (1999); Adv. Op. No.

1999-010 (September 24, 1999)

192\. KRS § 121A.030(5)(b); *Gable v. Patton,*

142 F.3d 940 (6th Cir. 1998), *cert.*

*denied,* \_\_\_ U.S. \_\_\_ (1999); Adv. Op. No.

1999-010 (September 24, 1999)

193\. KRS § 121A.060(13)

194\. Adv. Op. No. 98-016 (January 6, 1999)

195\. KRS § 121A.060(13)

196\. KRS § 121A.050(2); *Anderson, et al., v.*

*Spear, et al.*, CA No. 99-189 (E.D. Ky.

October 15, 1999) *Conclusions Regarding*

*Temporary Restraining Order* at 4-5,

*appeal pending*; *Galbraith, et al., v.*

*Gorman*, CA No. 94-CI01781 (Franklin

Co. Cir. Ct. February 6, 1995)

197\. Adv. Op. No. 95-010 (May 15, 1995)

198\. KRS § 121A.060(1)

199\. KRS § 121A.030(1)

200\. KRS § 121A.030(2)

201\. KRS § 141.071(2)

202\. KRS § 141.071(2)

203\. KRS § 141.072(2)

204\. KRS § 141.072

205\. KRS § 121.180(6)

206\. KRS § 121.180(7)

207\. KRS § 121.180(7)

208\. *U.S. v. Blandford*, 33 F.3d 685

(6th Cir. 1994), *cert. denied,*

115 S.Ct. 1821 (1995)

209\. KRS § 121.180(10)

210\. KRS § 121.180(10)

211\. KRS § 121.180(10); Adv. Op. No.

93-031 (January 14, 1994) (partial

charitable contributions may not be

made from surplus funds unless it is

done at the end of the election as a

means of terminating the account); *see*

Adv. Op. No. 00-010 (December 29, 2000)

212\. KRS § 121.180(10)

213\. Op. Att'y Gen. No. 93-029 (1993)

214\. 32 KAR 1:110E §1(1)

215\. KRS § 121A.080(6); 32 KAR 1:110E 1(2);

*Gable v. Jones*, CA No. 95-12 (E.D. Ky.

1996); *see,* Adv. Op. No. 99-011 (October

1, 1999)

216\. Adv. Op. No. 99-011 (October 1, 1999)

217\. KRS § 121.150(14)

218\. KRS § 121.150(16); *but see,* KRS §

121.150(20)

219\. *Instructions* at 3

220\. KRS § 121.150(14)

221\. KRS § 121.150(16)

222\. KRS § 121.150(13); *Wilkinson v. Jones*,

876 F. Supp. 916 (W.D. Ky. 1995);

*Anderson, et al., v. Spear, et al.*, CA No.

99-189 (E.D. Ky. October 15, 1999)

*Conclusions Regarding Temporary*

*Restraining Order* at 5-7, *appeal*

*pending*

223\. KRS § 121.330(1). A key element

appears to revolve around the

exclusive rights to provide services.

*See,* Adv. Op. No. 95-013 (August

18, 1995).

224\. KRS § 121.330(2)

225\. KRS § 121.330(3)

226\. KRS § 121.330(4)

227\. KRS § 121.330(3)

228\. KRS § 121.990(1)

229\. KRS § 121.990(3)

230\. KRS § 121.990(3)

231\. KRS §§ 121.990(7)-(11),(14)-(17)

232\. KRS § 161.990(1)

233\. KRS §§ 121.990(4); 121A.015(4); *see*,

*Ellis v. Meeks*, 957 S.W.2d 213

(Ky. 1997)

234\. KRS § 121.990(3)(a)

235\. KRS § 121.990(13)

236\. KRS § 121.990(10); *Kentucky Registry*

*of Election Finance v. Jordan,* 583

S.W.2d 90 (Ky. App. 1979)

237\. KRS §§ 121.320; 121.990(3)

238\. KRS § 121.175(3)(a)

239\. KRS § 121.175(3)(b)

240\. KRS § 121.990(13)

241\. KRS § 121A.990(1)(a)

242\. KRS § 121A.990(1)(b)

243\. KRS § 121A.990(1)(c)

244\. KRS § 121A.990(2)

245\. KRS § 121.110(1), (2)

246\. KRS § 121.110(2)(d)

247\. KRS § 121.110(3)

248\. KRS § 121.120(3)

249\. KRS § 121.120(4)(a)

250\. KRS § 121.120(4)(b)

251\. KRS § 121.120(4)(c)

252\. KRS § 121.120(4)(d)

253\. KRS § 121.120(4)(e)

254\. KRS § 121.120(4)(f)

255\. KRS § 121.120(4)(g)

256\. KRS § 121.120(4)(h)

257\. KRS § 121.120(4)(i)

258\. KRS § 121.120(6)(a)

259\. KRS § 121.120(6)(b)

260\. KRS § 121.120(6)(e)

261\. KRS § 121.120(6)(c)

262\. KRS § 121.120(6)(d)

263\. KRS § 121.120(6)(g)

264\. KRS § 121.120(1)(j)

265\. KRS § 121.120(4)(k)

266\. KRS § 121.120(4)(j)

267\. KRS §§ 121A.060; 121A.060(2)-(11);

121A.080

268\. KRS § 121A.020(1), (2)

269\. KRS § 121A.020(3)

270\. KRS § 121A.020(4)

271\. KRS §§ 121A.020(6); 121.230(5)

272\. KRS § 121A.020(6)

273\. KRS § 121A.030(2)

274\. KRS § 121A.060(1)

275\. KRS § 121A.080(4)(b)

276\. KRS § 121A.080(4)(b)

277\. KRS § 121A.080(4)(b), (c)

278\. KRS § 121A.990(4); *see, Gen'l Drivers,*

*Warehouseman & Helpers Local Union*

*No. 89 v. Chandler*, 968 S.W.2d 680

(Ct. App. Ky.1998); *Democratic Party*

*of Ky. v. Graham*, 976 S.W.2d 423 (Sup.

Ct. Ky. 1998) *as modified* October

15, 1998

279\. 32 KAR 2:030 §1(1); *see*, *Kentucky*

*Right to Life, Inc., v. Terry*, 108

F.3rd 637 (6th Cir. 1997).

280\. 32 KAR 2:030 §1(3)(a-g)

281\. 32 KAR 2:030 §1(3)(b), (c)

282\. 32 KAR 2:030 §§2(1), 3(1)

283\. 32 KAR 2:030 §§4,5

284\. 32 KAR 2:040 §4(1)

285\. KRS § 121.120(5); *Gen'l Drivers,*

*Warehouseman & Helpers Local Union*

*No. 89 v. Chandler*, 968 S.W.2d 680, 681

(Ct. App. Ky.1998)

286\. KRS § 121.140(5); *Democratic Party v.*

*Graham*, 976 S.W.2d 423 (Ky. 1998)

287\. KRS § 121.140(5)

288\. KRS § 121.140(5)

289\. KRS § 121.140(5)

290\. KRS § 121.140(5)

291\. KRS § 121.120(5); *Gen'l Drivers,*

*Warehouseman & Helpers Local Union*

*No. 89 v. Chandler*, 968 S.W.2d 680, 681

(Ct. App. Ky.1998)

292\. KRS § 141.072

293\. 32 KAR 1:110E §1(2)

294\. 801 KAR §1.005(1)

295\. KRS § 6.651 *et seq*.

296\. KRS § 121.140(5)

297\. KRS § 121.140(6); *see, Lee v. Ky. Registry*

*of Election Finance*, No. 94-CI-00337

(Franklin Co. Cir. Ct. December 9,

1994\) (standing to pursue a matter)

298\. KRS § 121.140(7)

**CAMPAIGN FINANCE LAW**

**IN LOUISIANA**

**I. INTRODUCTION**

Louisiana requires candidates, political committees, and any
non‑candidate persons receiving contributions or making independent
expenditures to file information on all contributions and expenditures
in four pre‑primary reports and in one report before and another after a
general election. Special reports of late contributions are required if
they exceed \$500 or \$250, depending upon the level of the candidate,
and reports of certain late expenditures are also necessary. An annual
report must also be filed until a deficit has been paid or if the
candidate or committee has received contributions or made expenditures
during the year. Electronic filing for statewide candidates with more
than \$50,000 in receipts or loans is required. Contributions are
limited, and cash contributions are subject to special restrictions.
Anonymous contributions are generally prohibited, and government
employees may not be solicited. There are special restrictions
pertaining to contributions to legislators during legislative sessions,
and most of those associated with the gaming industry. Louisiana offers
no tax incentives for political contributions nor a mechanism for public
financing of election campaigns. The Supervisory Committee on Campaign
Finance Disclosure is responsible for overseeing the campaign finance
provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a gift, conveyance,
payment, deposit of money or anything of value, or the forgiveness of a
loan or debt made for the purpose of supporting, opposing, or otherwise
influencing the nomination or election of a person to public office, for
a recall election, or for the purpose of supporting or opposing a
proposition or question submitted to the voters, whether made before or
after the election \[1\]. A contribution also includes contributions
in‑kind with an attributable monetary value in excess of \$25, including
the donation by any person, other than a candidate or political
committee, of the services of paid employees, the value of which exceeds
\$25; the donation of or the donation of the right to use any item of
tangible property if used or consumed and not exchanged or converted to
cash \[2\]; a promissory note or written contract to make a contribution
\[3\]; a payment to purchase campaign paraphernalia other than
expenditures by a candidate or political committee to purchase its own
paraphernalia \[4\]; or a payment for tickets to a fundraising event
\[5\]. Donations to assist in the payment of expenses of the operation
of an office holder's district offices are considered contributions
\[6\].

A contribution does not include personal services provided voluntarily
by any person without compensation or by any person employed for
purposes other than solely campaign purposes by the reporting candidate,
by a partnership of which he or she is a member, or by a corporation of
which he or she owns a majority of the stock \[7\]; a transfer of funds
between political committees \[8\]; or a loan \[9\]. Dues or membership
fees of any membership organization or corporation paid by its members
or stockholders are also not a contribution if the membership
organization or corporation is not organized primarily for the purpose
of supporting, opposing, or otherwise influencing the nomination or
election of any person to public office \[10\].

A contribution of anything of value other than money or an in‑kind
contribution is considered as a contribution of money in the amount of
the fair market value \[11\].

**B. Limitations on Nature of Contributions.** A contribution of any
kind in the name of another is prohibited \[12\], and candidates,
political committees, and others required to file disclosure reports are
to pay to the state any anonymous contributions that may be received
\[13\]. Single transactions for the sale of political material that do
not exceed \$25 are not considered to be anonymous contributions \[14\],
but successive single transactions related to these items in amounts
below the recordkeeping threshold are considered to be subterfuge and
are punishable at law \[15\].

Cash contributions that exceed \$100 in the aggregate during any
calendar year may not be made by a person nor received by a candidate or
committee \[16\]. All contributions above the \$100 amount that are not
in‑kind are to be made by an instrument containing the names of the
donor and donee \[17\]. A receipt must be provided for cash
contributions \[18\]. All contributions must be deposited in a
designated national or state bank; state or federally chartered savings
and loan association or savings bank; state or federally chartered
credit union; or invested in a money market mutual fund \[19\].

Candidates and principal campaign committees of candidates may conduct
fundraising activity involving the sale of tickets for a door prize,
raffle, or similar gift or prize \[20\].

Contributions or loans may not be received in the aggregate of more than
\$500 during a calendar year unless the committee has filed the required
annual statement of organization \[21\], nor may any candidate make a
contribution to any committee that has not filed such a statement
\[22\].

Foreign nationals may not contribute to any campaign, and contributions
may not be solicited or accepted from foreign nationals \[23\].
Contributions received in violation of the provision escheat to the
state \[24\].

A credit card contribution may be accepted as long as there is a written
instrument containing the name of the candidate and the name of the
contributor to evidence the credit card transaction, and the name and
address of all contributors, including credit card contributors, must be
timely and accurately reported by the recipient candidate \[25\].

**C. Limitations on Amounts of Contributions.** Contributions to
candidates are subject to the following limits: \$5,000 to a candidate
for major office, which includes offices elected statewide \[26\];
\$2,500 to a candidate for district office, which includes a member of
the Louisiana legislature \[27\]; and \$1,000 to a candidate for any
other office \[28\]. Limits are per candidate, per election, with the
primary and general elections considered to be two separate elections
\[29\]. Contributions and loans must be aggregated to determine whether
the contribution limits have been exceeded \[30\]. A corporation and
political committee are considered to be two separate persons for
purposes of the contribution limits \[31\].

Limits do not apply to the candidate's use of his or her own personal
funds \[32\], nor do they apply to contributions made by recognized
political parties or their committees \[33\]. The limits also do not
apply to a candidate raising funds to satisfy a debt incurred before
June 1, 1988 \[34\]. A husband and wife may be considered separate
sources of contributions when there are separate checks signed by each
spouse individually \[35\]. If a check is written on a joint account and
is signed by one spouse only, absent an affidavit to the contrary from
the non-signatory spouse, indicating an intent to share, the
contribution will be treated as from the signatory spouse \[36\].

Political committees with more than 250 members who contributed at least
\$50 to the committee during the preceding calendar year are subject to
the following limits when contributing to candidates: \$10,000 to a
major office candidate \[37\]; \$5,000 to a district office candidate
\[38\]; and \$2,000 to a candidate for any other office \[39\].

During any four-year calendar period, a person may not contribute more
than \$100,000 to any political committees or subsidiary committee of a
political committee other than the principal or any subsidiary committee
of a candidate \[40\]. The limits do not apply to contributions from a
national party committee to an affiliated regional or state committee
\[41\]. When a committee receiving the contribution supports candidates
for offices of different levels, the highest applicable level applies
\[42\]. Transfers between committees are subject to the same limits that
apply to contributions to candidates \[43\].

Candidates and their committees are subject to a limit on the amount of
funds that they may accept from all political committees combined for
the primary and general elections \[44\]. The amounts received may not
exceed the following aggregate limits: \$80,000 for a major office
candidate \[45\]; \$60,000 for a district office candidate \[46\]; and
\$20,000 for a candidate for any other office \[47\].

**D. Limitations on Nature of Contributions by Corporations, Labor
Organizations, and Associations.** Business and labor organizations are
limited in their political undertakings. All corporations, labor
organizations, and trade, business, and professional associations are
prohibited from making any campaign contribution unless specifically
authorized to do so by either the board of directors of the corporation
or the executive board of the labor organization or the trade, business,
or professional association at a regular or special meeting; by the
president, vice president, secretary, or treasurer of a corporation whom
the board has specifically empowered to authorize such contributions; or
by a vote of the membership of the labor organization \[48\].
Contributions other than in‑kind made by profit or nonprofit
corporations, labor organizations, or trade, business, or professional
associations are to be made by check \[49\].

**E. Limitations on Contributions to Legislators by Lobbyists During
Legislative Sessions.** A fundraiser may not be held for or by a
legislator during a legislative session unless written notice has been
provided to the board of ethics not less than 30 days before the event
\[50\]. No such notice is required for fundraising during an
extraordinary, emergency, or veto session \[51\]. No contributions or
loans may be made by a lobbyist or the lobbyist's principal to a
legislator unless these provisions are complied with \[52\], nor may a
legislator solicit or receive such contributions or loans unless the
written notice has been made \[53\]. A fundraising function may not be
held for or by a legislator during any extraordinary session of the
legislature unless notice of the function has been filed with the board
within two business days after the issuance of the proclamation stating
the objects of the session \[54\].

**F. Limitations on Contributions by Those Associated with Gaming.** A
member of the gaming control board, riverboat gaming commission, the
supervisor of the gaming enforcement division of the department of
public safety and corrections \[55\], the president of the Louisiana
economic development and gaming commission \[56\], and any such
individual's spouse or minor children may not contribute to a candidate,
political organization, political party, or political action committee.
Anyone associated with any such entity may not use his or her official
authority to solicit contributions \[57\].

The following also face restrictions on contributions: any person who
holds a license or permit as a distributor of gaming devices, who holds
a license or permit as a manufacturer of gaming devices, who holds a
license or permit as a device service entity, and any person who owns a
truck stop or a licensed pari‑mutuel or off‑track wagering facility
which is a licensed device establishment, all pursuant to the Video Draw
Poker Devices Control Law \[58\]; any person who holds a license to
conduct gaming activities on a riverboat, who holds a license or permit
as a distributor or supplier of gaming devices or gaming equipment
including slot machines, or who holds a license or permit as a
manufacturer of gaming devices or gaming equipment including slot
machines issued pursuant to the Louisiana Riverboat Economic Development
and Gaming Control Act, and any person who owns a riverboat upon which
gaming activities are licensed to be conducted \[59\]; any person who
holds a license or entered into a contract for the conduct of casino
gaming operations, who holds a license or permit as a distributor of
gaming devices or gaming equipment including slot machines, or who holds
a license or permit as a manufacturer of gaming devices or gaming
equipment including slot machines issued pursuant to the Louisiana
Economic Development and Gaming Corporation Act, and any person who owns
a casino where such gaming operations are licensed \[60\]; any person
who has an 10% or greater interest, directly or indirectly, in any such
legal entity \[61\]; any holding, intermediary, or subsidiary company of
any such person, and any officer, director, trustee, or partner \[62\];
any officer, director, trustee, partner, or senior management level
employee or key employee \[63\]; and their spouses \[64\].

Such persons substantially interested in the gaming industry may not
make a contribution, loan, or transfer of funds, including but not
limited to any in‑kind contribution, to any candidate, any political
committee of any such candidate, or to any other political committee
which supports or opposes any candidate \[65\].

The Louisiana gaming control board may not enact more restrictive rules
regarding campaign contributions \[66\].

**G. Limitations on Solicitations and Contributions in Judicial
Campaigns.** A judge or candidate for judge may not solicit
contributions for, pay an assessment to, or make a contribution to a
political organization or candidate or purchase tickets for political
campaign fundraisers \[67\]. A judge or candidate for judge may not
personally solicit or accept contributions \[68\], may not apply
pressure or use coercion in soliciting contributions \[69\], and may not
solicit or accept contributions earlier than two years before the
election in question, nor later than two years after the last election
or retirement of all debts \[70\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a purchase, payment,
advance, deposit, or gift of money or anything of value made for the
purpose of supporting, opposing, or otherwise influencing the nomination
or election of a person to public office, or for the purpose of
supporting or opposing a proposition or question submitted to the
voters, or for the purpose of supporting or opposing the recall of a
public officer, whether made before or after an election \[71\]. An
expenditure also includes a promissory note or written contract to make
an expenditure \[72\]; expenditures in‑kind that have an attributable
monetary value in excess of \$25 and other expenditures in‑kind, if the
expenditure is the donation by any person, candidate, or political
committee of the services of paid employees, the value of whose services
exceeds \$25; and the donation of, or the donation of the right to use,
any item of tangible property if used or consumed and not exchanged or
converted to cash \[73\].

An expenditure does not include personal services provided voluntarily
by any person without compensation or by any person employed for
purposes other than solely campaign purposes by the reporting candidate,
by a partnership of which he or she is a member, or by a corporation of
which he or she owns a majority of the stock \[74\]; a transfer of funds
between political committees \[75\]; or a loan \[76\]. Any communication
by any membership organization or corporation to its employees, members,
or stockholders is also not an expenditure if the membership
organization or corporation is not organized primarily for the purpose
of supporting, opposing, or otherwise influencing the nomination or
election of any person to public office, or supporting or opposing a
proposition or question to be submitted to the voters \[77\].

An expenditure of anything of value other than money or an in‑kind
expenditure must be considered as an expenditure of money in the amount
of the fair market value \[78\].

**B. Limitations on Nature of Expenditures.** Expenditures made in the
name of another are implicitly prohibited \[79\]. Those subject to the
campaign disclosure provisions are also forbidden from making any
expenditures from funds received from an anonymous source \[80\]. All
expenditures by candidates and committees are to be made by checks drawn
on one of the designated depositories, are to be made payable to a
specific person, and must indicate the object or services for which the
check is drawn \[81\].

The sole exception to this provision involves the petty cash fund
allowed under the law, which may have money transferred to it by a check
payable to petty cash \[82\], and amounts of not more than \$100 in cash
may be dispensed from the fund, as long as a complete record is
maintained and no expenditures are made for personal services (except
for gratuities paid for food or beverage services) or in any way
subsidizing the transportation of voters to vote \[83\]. Such
transportation costs may be paid, however, by check, but only to a bona
fide bus, taxi, or transportation service which holds a license or
permit duly issued by the appropriate governmental entity \[84\].

Committees are not permitted to make loans or expenditures to other
committees that total more than \$500 in any calendar year until the
committee making the expenditure has filed the requisite statement of
organization \[85\].

Contributions by a candidate to a committee are considered expenditures
by the candidate \[86\], as are expenditures by a public relations firm,
advertising agency, or agent for a candidate \[87\].

Campaign funds may not be used, loaned, or pledged by any person for any
personal use unrelated to a political campaign or holding of office or a
public position with the exception of operating costs for a campaign
committee \[88\]. Expenses reimbursed to a candidate for campaign or
office expenses may not be personal, but payment from campaign funds is
not considered to be for personal use if the payments are made to
replace lost, stolen, or damaged articles in connection with a campaign
\[89\]. Interpretations of the law have held that donations to
charitable-type fundraising events from campaign funds are appropriate
expenditures provided they are reasonable and customary; various types
of telephone equipment may be paid for by the campaign provided that the
primary purpose of the equipment is to facilitate the campaign or the
holding of public office; campaign funds may be used to pay membership
dues in certain groups and organizations to stay in touch with a
candidate's constituency or enhance the candidate's professional
standing; rental and non-salary expenses of operating a district office
may be paid from campaign funds; expenses associated with the holding of
a legislator's public office (such as transportation, meals, and
lodging) are permissibly paid with campaign funds to the extent that
they are not otherwise reimbursed through the legislature; and campaign
funds may be used to extend such courtesies as providing flowers for
funerals of deceased constituents, or graduation gifts to young people
in the candidate's district \[90\]. Particular specialized types of
clothing expenses may appropriately be paid using campaign funds, but
generally not ordinary clothing expenses \[91\]. Certain childcare
expenses related to campaigning may also be permissible \[92\].

Interest payments to a candidate from the candidate's campaign on a loan
made by the candidate to the campaign or political committee do not
constitute personal use expenditures \[93\]. When interest is charged on
a personal loan made by a candidate to a campaign, the payment of that
interest with campaign contributions constitutes a conversion of those
contributions to the candidate's personal use \[94\].

Payments made by a candidate with his personal funds for campaign
specific items, such as a computerized list of names, constitute
reportable expenditures pursuant to the Campaign Finance Disclosure Act,
regardless of whether the computerized list is ever used by the
candidate or the candidate\'s committee \[95\].

A candidate or political committee is not permitted to make an
expenditure to a person for that person's support or endorsement, or to
secure the person's opposition to another candidate \[96\].

A judge or candidate for judge may not use or permit campaign funds to
be used for any purpose excluded by law \[97\].

Campaign funds may not be invested in the stock market \[98\], but may
be invested in certificates of deposit or certificate of deposit mutual
funds \[99\].

**C. Limitations on Expenditures by Corporations, Labor Organizations,
and Associations.** Expenditures by corporations, labor organizations,
and trade, business, or professional associations are prohibited unless
specific authorization is granted by the appropriate officials or
membership in the manner described for contributions \[100\].
Expenditures by these entities must be made by check \[101\].

**D. Limitations on Expenditures by Public Entities.** No public funds
may be used to urge any elector to vote for or against any candidate or
proposition, or appropriated to a candidate or political organization
\[102\]. Public funds may not be spent to manipulate public opinion,
unless expressly authorized by the legislature \[103\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Committees anticipating receiving or spending more
than \$500 during the calendar year must file a statement of
organization annually between January 1st and January 31st with the
supervisory committee on campaign finance disclosure \[104\]. A
committee formed after January 31st or any other committee anticipating
contributions or expenditures in excess of \$500 during the calendar
year is to file a statement of organization within 10 days after the
date it discovers or anticipates spending or receiving more than \$500
\[105\]. If the committee is organized within 10 days prior to an
election and anticipates spending or receiving more than \$500, the
statement of organization is due by the third day after organization
\[106\]. A \$100 filing fee must be submitted with each statement of
organization \[107\], in the form of a check drawn on the committee
account and payable to "Campaign Finance" \[108\].

The statement of organization is a prerequisite to making any
transactions aggregating in excess of \$500 \[109\]. The statement,
which must be submitted on a form provided by the Supervisory Committee
\[110\], requires the committee's name and address, and a statement as
to whether the committee is a principal or subsidiary campaign committee
\[111\]. The names and addresses of the chairman, treasurer, and other
committee officers are also required, along with a listing of all banks,
safety deposit boxes, or other depositories used for committee funds
\[112\].

An entity that supports candidates in states other than Louisiana,
receives less than one-half of its receipts during a calendar year from
persons in Louisiana, and expends less than one-half of its
disbursements during a calendar year, but not more than \$20,000, to
support or oppose Louisiana candidates is exempted from registering and
reporting in Louisiana \[113\].

**B. Reporting.** Each candidate for "major office": governor,
lieutenant governor, secretary of state, attorney general, state
treasurer, commissioner of agriculture, commissioner of insurance,
commissioner of elections, public service commissioner, justice of the
supreme court, and all other elected offices with an election district
containing in excess of 250,000 persons in the most recent decennial
federal census \[114\]; candidates for "district office": member of the
legislature, all parishwide elected offices, all public offices elected
in more than one parish, all other public offices elected in any
election district with a population of more than 35,000, and all public
offices elected in any city or parish containing a municipality with a
population of 450,000 or more \[115\]; candidates for all non‑federal
public offices that are neither "major" or "district" offices \[116\];
and any person who receives and accepts contributions or makes
expenditures in support or opposition of a recall election or a
proposition or question submitted to the voters \[117\] is required to
file reports of contributions and expenditures if the person receives or
spends \$200 or more during the reporting period \[118\].

Statewide committees and those receiving contributions or loans in
excess of \$50,000 in the aggregate during a reporting period file
electronically \[119\].

A political committee is also required to report under specified
circumstances. A political committee is two or more persons, other than
husband and wife, and any corporation which supports or opposes a
candidate, proposition, recall of a public officer, or political party,
and which accepts direct payments for personal services related to an
election or a campaign in the committee's name in an aggregate amount in
excess of \$500 within any calendar year \[120\]. An entity that during
the reporting period has supported candidates in states other than
Louisiana, has received less than half of its total receipts during the
period from Louisiana candidates or committees, and has spent less than
half, but not more than \$20,000, of its total disbursements during the
reporting period on Louisiana candidates is not subject to the reporting
requirements \[121\]. Labor unions, banks, churches, and other entities
not established for the primary purpose of supporting political
candidates are not political committees, although they may organize a
separate political committee \[122\]. Disclosure reports are required
from each candidate for major or district office, each candidate for any
other public office who makes expenditures of more than \$5,000 or
receives contributions of more than \$200 in the aggregate for the
aggregating period \[123\], each political committee \[124\], and any
noncandidate who makes expenditures or accepts contributions other than
to or from a candidate or committee in excess of an aggregate of \$500
\[125\], and any person who accepts contributions or makes expenditures
in support of or opposition to a proposition exceeding \$200 in the
aggregating period \[126\].

Political committees and candidates for major or district office that
did not receive contributions from one source in excess of \$200 and who
did not make expenditures of more than \$5,000 are permitted to file an
affidavit so stating in lieu of each report that would otherwise be due
\[127\]. Candidates for any other office are not required to file any
reports unless that candidate spent more than \$5,000 or received
contributions from one source in excess of \$200 \[128\].

Reports must be certified and filed with the Supervisory Committee on
Campaign Finance Disclosure \[129\]. All transactions must be itemized,
regardless of amount \[130\]. An out-of-state committee may file its
Federal Election Commission-required report with the Supervisory
Committee in lieu of a state report not later than 10 days after the
report is filed with the FEC, together with the name of an in-state
agent \[131\].

Any person who solicits or receives any contribution or makes any
expenditure in support of or opposition to a proposition or question
submitted to the voters is required to file reports if the aggregate
amount of contributions or expenditures equals or exceeds \$200 at any
time during the aggregating period \[132\].

**C. Contents of Reports.** Reports of political committees must contain
certain information about the committee, its officers, and the
candidates whom the committee is supporting \[133\]. The report also
must contain information about the amount of cash and cash investments
on hand at the end of the prior reporting period \[134\] and the total
of all contributions received and accepted by the committee during both
the reporting period \[135\]. Cash income from investments received
during both the reporting and aggregating periods must also be reported
\[136\].

Political committees must also report the full name and address of each
person who has made contributions received and accepted by the committee
during the reporting period, and note the date and amount of the
contributions \[137\]. A brief description of in‑kind contributions,
their valuation, and the date of the contributions is also required
\[138\]. The aggregate amount of contributions from each contributor
during the reporting period must also be reported \[139\]. For a
political committee that supports or opposes only one candidate, the
aggregating period begins at the time the committee first participates
in the election and runs through the completion date of the current
report \[140\]. For a political committee supporting or opposing more
than one candidate, the aggregating period begins on January 1 of the
calendar year and runs through December 31 of the same calendar year
\[141\]. A political committee supporting more than one candidate which
receives over 10,000 contributions through a payroll deduction or dues
checkoff system in which no single contributor contributes in excess of
\$24 in the aggregate in a calendar year may report the names and
addresses of its contributors on a annual basis \[142\].

The gross proceeds received and accepted by the political committee
during the reporting period from the sale of political items and
materials and tickets to fundraising events are to be reported \[143\].
While purchases of political items by the same person that aggregate
more than \$25 must be reported as any other contribution, single
transactions for these materials not exceeding \$25 need only be
reported in gross \[144\]. Proceeds from ticket sales are reported as
any other contribution \[145\].

Political committees must also report transfers of funds from other
political committees within the reporting period, including the name and
address of the other committee and the amount of each transfer \[146\];
the nature and source of other cash receipts received during the
reporting period from any source, along with an explanation \[147\]; the
total of all receipts for the reporting period \[148\]; and the date and
amount of each loan for campaign purposes made or received during the
reporting period, together with the name and address of the lender,
recipient of the proceeds, and any person who makes any type of security
agreement directly or indirectly binding himself or herself or his or
her property for the loan's repayment \[149\]. The total of all loans
made and received and all expenditures made by the committee during the
reporting period are also to be reported \[150\].

All expenditures must be aggregated and reported, along with the amount,
purpose, and date of each such expenditure and the name and address of
each person to whom the committee makes any expenditure during the
reporting period \[151\]. In‑kind valuations must be made and the
in‑kind expenditure described \[152\]. The amount and nature of debts
and obligations owed by or to the political committee related to the
conduct of any political campaign during the reporting period are to be
reported \[153\], as are all payments made during the reporting period
to repay loans and the amount, date, and source \[154\].

The name and address of each candidate, committee, or person required to
file campaign disclosure reports and who makes endorsements, to whom the
committee makes any expenditure during the reporting period, along with
the amount, date, and purpose of each such expenditure and a brief
description and valuation of an in‑kind expenditure must be reported
\[155\]. The name and address of each political committee to which a
transfer of funds was made during the reporting period, and the date and
amount of each transfer is also to be reported \[156\].

The total amount of disbursements from the petty cash fund during the
reporting period \[157\], the date and amount of each anonymous
contribution received and the day each was transmitted under law to the
state during the reporting period \[158\], the total amount of anonymous
contributions received and transmitted during the reporting period
\[159\], the amount of cash and cash investments on hand at the end of
the reporting period \[160\], and all other non‑expenditure
disbursements made during the reporting period and their nature, the
recipient, and an explanation of the disbursements must also be reported
\[161\].

Expenditures by a public relations firm, advertising agency, or agent
for a political committee are considered reportable expenditures of the
political committee \[162\].

Candidates are required to file reports that are substantively similar
in content to those required of committees \[163\]. Candidates must
specify the total amount of monetary expenditures made by the candidate
from his or her own funds during the reporting period \[164\].

**D. Filing Deadlines.** Several campaign disclosure reports are
required during an election period. Each candidate or committee that is
participating in a race for major office is required to file a report by
the 180th day before the primary election, complete through the 190th
day before that election \[165\], and another report by the 90th day
before the primary election, complete through the 100th day before the
primary election \[166\]. A third report from major office seekers and
their supporters must also be filed by the 30th day before the primary
election, complete through the 40th day before the primary election
\[167\]; this report is also required of all other office seekers and
supporting committees \[168\]. The final preliminary report required of
all candidates and committees participating in the primary is to be
filed by the 10th day before the primary and is to be complete through
the 20th day before the primary \[169\].

Each candidate and committee is also required to file a report not later
than the 10th day before a general election, complete through the 20th
day before the election \[170\]. This report serves as a final report
for the election for any candidate or committee not participating in the
general election, unless supplemental reports are required \[171\]. An
additional report is required of candidates and committees not later
than the 40th day after the general election, complete through the 30th
day after the general election \[172\]. This report serves as a final
report for general election participants, unless they are required to
file supplemental reports \[173\].

A political committee other than a principal or subsidiary campaign
committee of a candidate may file monthly reports due no later than the
10th day of the month following a month in which the committee accepts a
contribution or some other receipt or makes an expenditure or some other
disbursement rather than file the reports otherwise required \[174\].
Such monthly reports must include all of the information required to be
included in a regular report \[175\]. A political committee wishing to
file monthly reports may do so upon written notification to the
supervisory committee of its intention to do so delivered to the
supervisory committee no less than 45 days prior to the due date for the
next report the committee would otherwise be required to file. The
committee files its first monthly report no later than the month
following the month in which such notification is delivered, with the
report including all information required for reports for the period
since the committee's last report \[176\].

A required statement or report is deemed to be filed when it is received
in the office of the Supervisory Committee in Baton Rouge physically or
electronically, or at the time it is postmarked by the United States
Postal Service or is receipted on a return receipt requested form, if it
is subsequently received in the office of the Supervisory Committee in
Baton Rouge \[177\]. If the date on which a report is required to be
filed occurs on a weekend or holiday, the report shall be filed no later
than the first working day after the date it would otherwise be due
\[178\].

The final report of a candidate who either withdraws from a race or is
unopposed, as well as the final report of a committee that supports or
opposes only one candidate who withdraws or is unopposed, is the next
report that would ordinarily be due as of the date of withdrawal or
ascertainment of the lack of opposition, unless supplemental reports are
necessary \[179\].

A special 48‑hour report may also be required before either the primary
or general election from candidates or political committees \[180\]. If
the candidate or committee receives contributions, loans, or transfers
of funds from the same source between midnight of the 20th day before
any election and midnight of election day, in an amount in excess of
\$500 for major office candidates and committees supporting such
candidates, and \$250 for all others, a special report must be filed
within 48 hours of that receipt and contain the same information that
would ordinarily be disclosed for a reportable amount contribution
\[181\]. A similar procedure is to be followed for any expenditures over
\$200 within this same period to any candidate, committee, or person
required to file disclosure reports who makes endorsements \[182\], even
though no endorsement is obtained \[183\].

The special 48‑hour report is to be filed within 48 hours after the time
the contribution or loan is received or expenditure made \[184\]. If
this time falls at other than working hours, the report must be filed as
soon as possible after the supervisory committee opens its offices on
the next working day after the time the report is due \[185\]. The
supervisory committee is not authorized to grant extensions of time for
filing any reports \[186\].

Each political committee must also file an annual report by February
15th of each year, complete through December 31st of the previous year,
unless the committee has filed another required report between December
10th and before February 15th, or if the committee has made no transfers
of funds or expenditures or received no contributions, loans, or
transfers during the reporting period, which begins at the close of the
last report filed and ends at midnight December 31st \[187\]. Each
candidate who has received and accepted a contribution or made an
expenditure with a view to influencing his or her nomination or election
to office, must also file an annual report by February 15th of each year
unless he or she has filed another report after December 10th and before
February 15th, or has received no contributions, made no expenditures,
and received or made no loans during the reporting period \[188\].

Any person required to file reports on proposition or ballot question
contributions and expenditures files a report on the 30th day prior to
the election, another on the 10th day before an election, the 40th day
after an election, and further reports as necessary due 48 hours after
the time a contribution in excess of \$200 or more is received, or an
expenditure in excess of \$200 is made, or, if the time falls outside of
regular working hours, on the next working day after the report is
otherwise due \[189\].

In addition to other required reports, not later than 10 days after an
election is completed, each candidate, political committee, and other
person required to file reports must file a report listing the
expenditures made on or for election day services or advertising,
including a listing of the names and addresses of all recipients of
those expenditures \[190\].

The reporting period for all required candidate reports, except the
first report for an election, starts at the closing date of the last
report filed, and ends at midnight of the date that the required report
is to be completed \[191\]. The reporting period for the candidate's
first report for an election begins when the candidate first becomes a
candidate and ends at midnight of the date that the required report is
to be completed \[192\]. If the candidate has filed an annual report or
if the last filed report shows a deficit, the reporting period for the
first report for the election begins at the completion date of the
earlier report \[193\]. Reporting periods for political committees begin
at the close of the previous report and run through the date the current
report is to be completed \[194\], except for the first report, for
which the reporting period begins when the committee is organized and
runs through the date when the current report is to be completed
\[195\].

**E. Electronic Reporting.** Candidates for statewide office and each
principal campaign committee of such a candidate that receives
contributions or loans in excess of \$50,000 in the aggregate during the
aggregating period must electronically file the committee's reports
though the Supervisory Committee's Computerized Data Management System
\[196\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Reports.** Supplemental reports are required of all
candidates and political committees whose final reports show a deficit
or a surplus \[197\]. The supplemental reports must contain the same
information that is to appear in the regular reports and must be filed
on an annual basis by February 15th, complete through the preceding
December 31st each year for five years, or until a report is filed
showing no deficit or surplus \[198\]. No report is necessary of a
political committee that is dissolved or disbanded and the deficit is
less than \$2,500 \[199\]. No report is necessary if a candidate
committee is not one of an elected official and the balance is less than
\$2,500 \[200\].

If, after five years, a political committee with a deficit receives a
contribution, or if any repayment occurs on an outstanding debt or loan,
the committee must file a supplemental report by the following February
15^th^ complete through the preceding December 31 \[201\]. If the
political committee has surplus funds, a report need not be filed if the
political committee files a regular annual report which includes those
surplus funds \[202\].

**B. Disposition of Surplus Funds.** Campaign funds received after July
15, 1988 may be returned pro rata to contributors, given to a charitable
organization, spent for or against a proposition or political party, or
used in future campaigns or activity related to future candidacy for
office \[203\].

Judges and judicial candidates have special requirements applicable to
them. They are permitted to retain only a specific limited amount of
money in their respective campaign funds \[204\]. Candidates is election
districts of less than 25,000 in population may retain \$25,000;
candidates in districts of 25,000 - 100,000 in population may retain
\$50,000; candidates in districts of 25,000 - 100,000 in population may
retain \$50,000; candidates in districts of 100,001 - 200,000 in
population may retain \$75,000; candidates in districts of 200,001 -
300,000 in population may retain \$100,000; candidates in districts of
300,001 - 400,000 in population may retain \$125,000; and candidates in
districts of greater than 400,000 in population may retain \$150,000
\[205\]. Not later than six months after the judicial election, funds in
excess of these amounts must be returned pro rata to contributors or
donated to a charitable organization \[206\].

**C. Recordkeeping.** A campaign treasurer of a committee that supports
only one candidate is required to preserve records for two years after
the final report, including any required supplemental report, is filed
\[207\]. Other treasurers are required to retain records for six years
\[208\].

**VI. OFFENSES AND PENALTIES**

Civil penalties may be imposed on anyone who knowingly and willfully
fails to file or timely file a required report \[209\] or who knowingly
and willfully fails to disclose or fails to accurately disclose any
information required to be disclosed in the reports \[210\]. Civil
penalties for each day until the report is filed or properly disclosed
by amendment are \$100 per day to a maximum of \$2,500, for major office
candidate committees \[211\]; \$60 per day to a maximum of \$2,000, for
district office candidate committees \[212\]; and \$40 per day to a
maximum of \$1,000, for other candidates and their committees \[213\].
Fines for committees supporting or opposing ballot questions and recalls
are liable for late filing fees of \$40 per day to a maximum of \$1,000
\[214\]. Political committees supporting or opposing a candidate which
are not a candidate's principal or subsidiary campaign committee are
liable for late filing fees of \$200 per day to a maximum of \$3,000
\[215\]. Late filing penalties for large, last-minute contribution
reports may not exceed twice those otherwise applicable \[216\]. If a
treasurer or chairman of a committee or person required to file is
supporting or opposing candidates with different penalty levels, the
penalty is the highest penalty for such candidates \[217\]. Late filing
fees are assessed at the discretion of the Board \[218\] with the late
filer given the opportunity to request a waiver of the late fees for
'good cause' shown \[219\].

Special election late filing fees may not exceed the lesser of the total
of the expenditures made for the purpose of supporting or opposing, or
otherwise influencing the nomination of an election or the otherwise
applicable maximums \[220\].

Contributions or other campaign funds from a candidate's campaign
committee may not be used to pay any fine, fee, or penalty, civil or
criminal, assessed for a filing violation \[221\].

Criminal penalties for not filing in a timely manner will result in a
sentence upon conviction of six months at a parish jail, a fine of not
more than \$500, or both \[222\], while intentionally false filings will
bring a sentence upon conviction of not more than six months in the
parish jail, a fine of not more than \$500, or both \[223\]. A violation
of the provisions relating to proper expenditures and surplus funds is
punishable by a fine of \$5,000 or 100 percent of the amount involved in
the violation, while a knowing and willful violation of the same
provisions may result in a doubling of the penalties \[224\]. A
violations of the provisions relating to expenditures by public entities
and expenditures for support or endorsement is punishable by a fine of
not more than \$500 or six months in jail or both \[225\], while a
knowing and willful violation of the same provisions can result in a
doubling of the penalties \[226\]. A candidate, treasurer, or chair of a
political committee who violates the contribution limit provisions is
subject to a fine of the greater of \$5,000 or the amount of the
violation, or \$10,000 or 200 percent of the violation for conduct which
could have been avoided through exercise of due diligence \[227\]. A
violation of the law pertaining to legislative fundraisers and
contributions to legislators while the legislature is in session may
result in a civil penalty of as much as \$10,000 \[228\].

Knowing and willful violations of the other provisions of the law
subject violators to civil fines of not more than \$500 for major
offices \[229\], \$300 for district offices \[230\], and \$100 for other
offices, ballot questions, and recall elections \[231\]. Other
committees are subject to civil penalties of \$1,000 \[232\] for each
violation, with each day of violation, if applicable, constituting a
separate offense \[233\]. Criminal sanctions for knowingly, willfully,
and fraudulently violating other provisions will result in a sentence
upon conviction of not more than six months in jail, a fine of not more
than \$500, or both \[234\].

A candidate or his or her principal or subsidiary campaign committee may
not make any expenditure of funds derived from contributions for any
purpose so long as the candidate owes a fine, fee, or penalty imposed by
a final order of a court or the supervisory committee, and against which
all appeal delays have lapsed \[235\]. Any person who makes such an
expenditure may be assessed a civil penalty not to exceed 200% of the
expenditure or \$1,000, whichever is greater \[236\].

Any elected official who fails to comply with a final order of a court
or the supervisory committee, which imposes a fine, fee, or penalty and
against which all appeal delays have lapsed is subject to forfeiture of
the non‑exempt portion of his or her public salary until compliance with
the order \[237\]. The forfeiture shall take effect no less than 20 days
after notice is sent to the elected official \[238\], and all sums
recovered are to be treated as payments by the elected official of the
outstanding fines, fees, or penalties \[239\].

Actions for violation of the campaign finance law must be commenced
within one year after the filing of the relevant report, or within three
years after the occurrence of the violation \[240\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Supervisory Committee on Campaign Finance Disclosure.** The
campaign finance process is overseen by the members of the Louisiana
Board of Ethics, who serve as the Supervisory Committee on Campaign
Finance Disclosure \[241\]. The Supervisory Committee is empowered to
investigate any apparent or alleged campaign finance violations under
the law either at the initiative of two-thirds of the members of the
committee when, as a result of a review of reports filed with it a
violation is apparent, or upon receipt of a sworn complaint filed with
the Supervisory Committee by any person who believes a violation has
occurred \[242\]. The Supervisory Committee may examine or audit records
and reports filed under the campaign finance disclosure law \[243\],
hold hearings, subpoena witnesses, compel the production of necessary
documents, require sworn depositions to be taken, and use other
"necessary" powers \[244\]. Provisions are made in the law to petition
any district court to alter proceedings as required by justice to
protect persons from annoyance, embarrassment, oppression, or undue
burden or expense \[245\]. Compliance orders may be obtained from a
district court to enforce a Supervisory Committee order or subpoena
\[246\].

Civil proceedings to collect civil penalties may be filed in district
court by the Supervisory Committee \[247\]. Criteria to be taken into
consideration by the court in determining the amount of the civil
penalty are set forth \[248\]. Judgments of the district court may be
appealed suspensively to the appropriate court of appeal \[249\].

The Supervisory Committee is also required to prepare all required
reporting forms and copy and print enough forms to furnish to clerks
\[250\], and, not later than the Friday before the opening of the
qualifying period for any primary election, the Supervisory Committee
must deliver a sufficient number of informational packets containing
reporting forms and instructions to all officials with whom candidates
will qualify for such primary election \[251\].

The Supervisory Committee is also authorized to issue advisory opinions
\[252\].

**B. Attorney General and District Attorney.** Information obtained by
the Supervisory Committee regarding any criminal violation is to be
forwarded to the district attorney of the judicial district in which the
alleged violation occurred \[253\], unless the alleged violation
involved a race for that particular office, in which case the violation
is to be referred to the attorney general \[254\]. Only the district
attorney or attorney general is permitted to initiate criminal action
under the campaign finance disclosure provisions \[255\].

C. **Secretary of State and Clerks of the Court.** Informational packets
prepared by the Supervisory Committee must be distributed to each
candidate upon receipt of the candidate's notice of candidacy by the
official with whom the candidate qualifies for office \[256\].

**References**

1\. West's Louisiana Revised Statutes

Annotated (hereafter LRSA)

§18:1483(6)(a)

2\. LRSA § 18:1483(6)(b)(i)

3\. LRSA § 18:1483(6)(b)(ii)

4\. LRSA § 18:1483(6)(b)(iii)

5\. LRSA § 18:1483(6)(b)(iv)

6\. Louisiana Bd. of Ethics Advisory Opinion

Docket No. 01‑017 (February 15, 2001)

7\. LRSA § 18:1483(6)(c)(i)

8\. LRSA § 18:1483(6)(c)(iii)

9\. LRSA § 18:1483(6)(c)(iv)

10\. LRSA § 18:1483(6)(c)(ii)

11\. LRSA § 18:1483(6)(d)

12\. LRSA § 18:1505.2A

13\. LRSA § 18:1505.2B

14\. LRSA § 18:1505.2B. As to the

requirement with respect to political

paraphernalia, the details of the

transaction may be dispositive, and the

courts have taken a dim view of

unstructured and unsupervised

transactions. *State through Bd.*

*of Ethics for Elected Officials as*

*Supervisory Committee on Campaign*

*Finance Disclosure v. Duke*, 658 So.2d

1276 (La.App. 1st Cir. 1995), *amended*

*on reh.* (hereafter *Duke*)

15\. LRSA § 18:1505.3C

16\. LRSA § 18:1505.2C

17\. LRSA § 18:1505.2C; *see*, *Duke*.

18\. LRSA § 18.1505.2C(2); *see*, *Duke*.

19\. LRSA §§ 18:1495.2D; 18:1491.4D

20\. LRSA § 4:734

21\. LRSA § 18:1505.2G

22\. LRSA § 18:1505.2G

23\. LRSA § 18:1505.2M

24\. LRSA § 18:1505.2M

25\. Louisiana Bd. of Ethics Advisory Opinion

Docket No. 99‑341 (June 21, 1999)

26\. LRSA § 18:1505.2H(1)(a)(i)

27\. LRSA § 18:1505.2H(1)(a)(ii)

28\. LRSA § 18:1505.2H(1)(a)(iii)

29\. LRSA § 18:1505.2H(3)(a)

30\. LRSA § 18:1505.2H(3)(b)

31\. LRSA § 18:1505.2H(5)

32\. Louisiana Bd. of Ethics Advisory Opinion

Docket No. 98‑727 (November 16, 1998)

33\. LRSA §§ 18:1505.2H(7)(b);

1505.2H(1)(b); 18:1505.2H(2)(d)

34\. Act No. 994 § 4, Reg. Sess. 1988

35\. Louisiana Board of Ethics for Elected

Officials, Supervisory Committee on

Campaign Finance Disclosure (hereafter

Board) Advisory Opinion No. 87-94,

September 23, 1987 at 2; Louisiana Board

of Ethics, Supervisory Committee on

Campaign Finance Disclosure (hereafter

Ethics Board) Advisory Opinion No.

92-170, January 28, 1993 at 2

36\. Ethics Board Advisory Opinion No.

92-170, January 28, 1993 at 2

37\. LRSA § 18:1505.2H(2)(b)(i)

38\. LRSA § 18:1505.2H(2)(b)(ii); *Mintz v.*

*Barthelemy*, 722 F.Supp. 273 (E.D.La.

1989), *aff'd.*, 891 F.2d 520 (5th Cir.

1990), *reh. denied*.

39\. LRSA § 18:1505.2H(2)(b)(iii)

40\. LRSA § 18:1505.2K(1); *see*, Louisiana

Bd. of Ethics, Ethics Board Docket No.

97‑897 (December 19, 1997)

41\. LRSA § 18:1505.2K(1)

42\. Board Advisory Opinion No. 88-100,

March 27, 1989

43\. LRSA § 18:1505.2H(3)(c)

44\. LRSA § 18:1505.2H(7)(a)

45\. LRSA § 18:1505.2H(7)(a)(i)

46\. LRSA § 18:1505.2H(7)(a)(ii)

47\. LRSA § 18:1505.2H(7)(a)(iii)

48\. LRSA § 18:1505.2F

49\. LRSA § 18:1505.2F

50\. LRSA § 24:56.A

51\. LRSA § 18:1495.7A

52\. LRSA § 24:56.B

53\. LRSA § 24:56.C

54\. LRSA § 18:1495.7B

55\. LRSA § 27:63.C(4)

56\. LRSA § 27:226.C(4)

57\. LRSA §§ 27:13C(6); 27:63; 27:226;

27:13(C)(5)

58\. LRSA § 1505.2L(3)(a)(i). These restrictions,

as applicable to truck stop casino owners

and video draw poker licensees have been

found unconstitutional. *Penn v. State ex rel.*

*Foster* , 751 So.2d 823 (La. 1999),

*rehearing denied*, *cert. denied* 529 U.S.

1109 (May 15, 2000)

59\. LRSA § 1505.2L(3)(a)(ii)

60\. LRSA § 1505.2L(3)(a)(iii); Louisiana Bd.

of Ethics Advisory Opinion Docket No.

00‑582 (August 24, 2000) (related to

contributions to a political action

committee)

61\. LRSA § 1505.2L(3)(b)(i) These restrictions,

as applicable to truck stop casino owners

and video draw poker licensees have been

found unconstitutional. *Penn v. State ex rel.*

*Foster* , 751 So.2d 823 (La. 1999),

*rehearing denied*, *cert. denied* 529 U.S.

1109 (May 15, 2000)

62\. LRSA § 1505.2L(3)(b)(ii); these restrictions,

as applicable to truck stop casino owners

and video draw poker licensees have been

found unconstitutional. *Penn v. State ex rel.*

*Foster* , 751 So.2d 823 (La. 1999),

*rehearing denied*, *cert. denied* 529 U.S.

1109 (May 15 2000)

63\. LRSA § 1505.2L(3)(c)

64\. LRSA § 1505.2L(3)(e)

65\. LRSA § 1505:2L(2). This does not apply

to contributions by gaming interests in

support of or opposition to ballot

measures. *Brown v. State through*

*Dep't of Public Safety*, 680 So.2d

1179 (La. 1996); Louisiana Bd. of Ethics,

Ethics Board Docket No. 97‑648

(August 29, 1997). *See also,* Louisiana Bd.

of Ethics Advisory Opinion Docket No.

99‑378 (June 18, 1999) (contributions

through a political committee permitted);

Docket No. 99‑424 (July 16, 1999).

66\. LRSA § 27:24D

67\. Louisiana Code of Judicial Conduct

(hereafter CJC) Canon 7A(1)(d)

68\. CJC Canon 7D(1)

69\. CJC Canon 7D(2)

70\. CJC Canon 7D(3)

71\. LRSA § 18:1483(9)(a)

72\. LRSA § 18:1483(9)(b)(i)

73\. LRSA § 18:1483(9)(b)(ii)

74\. LRSA § 18:1483(9)(d)(i)

75\. LRSA § 18:1483(9)(d)(iii)

76\. LRSA § 18:1483(9)(d)(iv)

77\. LRSA § 18:1483(9)(d)(ii)

78\. LRSA § 18:1483(9)(e)

79\. LRSA § 18:1505.2A

80\. LRSA § 18:1505.2B

81\. LRSA §§ 18:1491.4D; 18:1495.2D

82\. LRSA §§ 18:1491.4D; 18:1495.2D;

18:1491.4E; 18:1495.2E

83\. LRSA §§ 18:1491.4E; 18:1495.2E;

18:1505.2E; 1531

84\. LRSA § 18:1531D(2)

85\. LRSA § 18:1505.2G

86\. LRSA § 18:1505.2C(1)

87\. LRSA § 18:1495.3H

88\. LRSA § 18:1505.2I(1); Louisiana Bd. of

Ethics, Ethics Board Docket No. 97‑814

(December 19, 1997) (hearing aid

purchase is personal expense for

Public Service Commission member

whose partial hearing loss presents

difficulty hearing the testimony of

witnesses appearing before the

commission); Louisiana Bd. of Ethics,

Ethics Board Docket No. 97‑845

(December 19, 1997) (propriety of

use of campaign funds to attend a

function or fundraiser of another

legislator is permissible); Louisiana Bd.

of Ethics Advisory Opinion Docket No.

01‑030 (February 15, 2001) (vehicle used

for transportation while carrying out

official duties)

89\. LRSA § 18:1505.2I(1)

90\. Board Advisory Opinion No. 91-050,

June 18, 1991; Louisiana Bd. of Ethics,

Ethics Board Docket No. 97‑607

(August 29, 1997).

91\. Board Advisory Opinion No. 92-020,

March 11, 1992; Louisiana Bd. of Ethics,

Ethics Board Docket No. 97‑070

(February 27, 1997) (using campaign

funds to purchase clothing for an

underprivileged minor child not

related to candidate is impermissible);

Louisiana Bd. of Ethics Advisory Opinion

Docket No. 98‑745 (November 17, 1998)

92\. Louisiana Bd. of Ethics Advisory Opinion

Docket No. 00‑437 (June 19, 2000)

93\. LRSA § 18:1505.2N

94\. Ethics Board Advisory Opinion No.

97‑374, May 16, 1997.

95\. Louisiana Bd. of Ethics Advisory Opinion

No. 99-360, August 19, 1999

96\. LRSA § 18:1468A

97\. CJC Canon 7D(4); *see*, Louisiana Bd. of

Ethics, Ethics Board Docket No. 97‑356

(May 23, 1997).

98\. Louisiana Bd. of Ethics Advisory Opinion

Docket No. 99‑891 (December 17, 1999)

99\. Louisiana Bd. of Ethics Advisory Opinion

Docket No. 00‑493 (July 18, 2000)

100\. LRSA § 18:1505.2F

101\. LRSA § 18:1505.2F

102\. LRSA §§ 18:1465A; 43:31.D

103\. Opinion of the Attorney General No.

90-126A (April 4, 1990), *see,* 43:31.D

(normal dissemination of factual

information relative to a proposition on

an election ballot or proposition or matter

having the effect of law being considered

by legislature or a local governing

authority is permitted).

104\. LRSA § 18:1491.1A

105\. LRSA § 18:1491.1A

106\. LRSA § 18:1491.1A

107\. LRSA § 18:1491.1E; Louisiana Bd. of

Ethics Rule § 1603A

108\. Louisiana Supervisory Committee on

Campaign Disclosure, *Summary of the*

*Campaign Finance Disclosure Act for*

*PACs*, July 1997 (hereafter *PAC*

*Guide*) at 2.

109\. LRSA § 18:1491.1D

110\. *PAC Guide* at 2

111\. LRSA § 18:1491.1B

112\. LRSA § 18:1491.1B

113\. LRSA § 18:1843(14); *PAC Guide* at 2

114\. LRSA § 18:1483(11)

115\. LRSA § 18:1483(7)

116\. LRSA § 18:1484(2)

117\. LRSA § 18:1486

118\. LRSA § 18:1486A(1)

119\. LRSA § 18:1485C

120\. LRSA § 18:1483(14)

121\. LRSA § 18:1483(14)

122\. LRSA § 18:1483(14)

123\. LRSA § 18:1484(1)

124\. LRSA § 18:1484(2)

125\. LRSA § 18:1484(3)

126\. LRSA §§ 18:1501.1; 18:1484(4)

127\. LRSA § 18:1486

128\. LRSA §§ 18:1491.8; 18:1495.6

129\. LRSA § 18:1484(2)

130\. LRSA §§ 18:1491.6A; 1495.4A;

1511.3A

131\. LRSA § 1491.9

132\. LRSA § 18:1486

133\. LRSA § 18:1491.7A

134\. LRSA § 18:1491.7B(1)

135\. LRSA § 18:1491.7B(2)

136\. LRSA § 18:1491.7B(3)

137\. LRSA § 18:1491.7B(4); 1487; *State*

*through Bd. of Ethics for Elected*

*Officials as Supervisory Committee*

*on Campaign Finance Disclosure v.*

*Duke*, 658 So.2d 1276 (La. App. 1 Cir.

1995), *amended on reh.*

138\. LRSA § 18:1491.7B(4)(a)

139\. LRSA § 18:1491.7B(4)(a)

140\. LRSA § 18:1483(2)(c)

141\. LRSA § 18:1483(2)(a)

142\. LRSA § 18:1491.7B(4)(a)

143\. LRSA §§ 18:1491.7B(5), (6)

144\. LRSA § 18:1491.7B(5)

145\. LRSA § 18:1491.7B(6)

146\. LRSA § 18:1491.7B(7)

147\. LRSA § 18:1491.7B(8)

148\. LRSA § 18:1491.7B(9)

149\. LRSA § 18:1491.7B(10)

150\. LRSA §§ 18:1491.7B(11)‑(12)

151\. LRSA § 18:1491.7B(13). Louisiana Bd.

of Ethics, Ethics Board Docket No.

97‑901 (January 23, 1998) (accounting

for subsequent expenditures by entity to

whom expenditures were made).

152\. LRSA § 18:1491.7B(13)

153\. LRSA § 18:1491.7B(14)

154\. LRSA § 18:1491.7B(15)

155\. LRSA §§ 18:1491.7B(13); 1487; *State*

*through Bd. of Ethics for Elected*

*Officials as Supervisory Committee*

*on Campaign Finance Disclosure v.*

*Duke*, 658 So.2d 1276 (La. App. 1 Cir.

1995), *amended on reh.*

156\. LRSA § 18:1491.7B(18)

157\. LRSA § 18:1491.7B(17)

158\. LRSA § 18:1491.7B(19)

159\. LRSA § 18:1491.7B(19)

160\. LRSA § 18:1491.7B(20)

161\. LRSA § 18:1491.7B(21)

162\. LRSA § 18:1491.7C; *see,* Advisory

Opinion No. 87-99, September 15, 1987

163\. LRSA §§ 18:1495.5A‑C

164\. LRSA § 18:1495.5B(13)

165\. LRSA §§ 18:1491.6B(1); 18:1495.4B(1)

166\. LRSA §§ 18:1491.6B(2); 18:1495.4B(2)

167\. LRSA §§ 18:1491.6B(3); 18:1495.4B(3)

168\. LRSA §§ 18:1491.6B(3); 18:1495.4B(3)

169\. LRSA §§ 18:1491.6B(4); 18:1495.4B(4)

170\. LRSA §§ 18:1491.6B(5); 18:1495.4B(5)

171\. LRSA §§ 18:1491.6B(5); 18:1495.4B(5)

172\. LRSA §§ 18:1491.6B(6); 18:1495.4B(6)

173\. LRSA §§ 18:1491.6B(6); 18:1495.4B(6)

174\. LRSA § 18:1491.7.I.(1)

175\. LRSA § 18:1491.7.I.(2)

176\. LRSA § 18:1491.7.I.(3)

177\. LRSA § 18:1485.A

188\. LRSA § 18:1485.B

199\. LRSA §§ 18:1491.6B(7); 18:1495.4B(7)

180\. LRSA §§ 18:1491.6C; 18:1495.4C

181\. LRSA §§ 18:1491.6C; 18:1495.4C

182\. LRSA §§ 18:1491.6C; 18:1495.4C

183\. LRSA §§ 18:1491.6C; 18:1495.4C;

18:1468

184\. LRSA §§ 18:1491.6C(3); 18:1495.4C(3)

185\. LRSA §§ 18:1491.6C(3); 18:1495.4C(3) 186. LRSA §§ 18:1491.6;
18:1495.4

187\. LRSA § 18:1491.6E

188\. LRSA § 18:1495.4E

189\. LRSA § 18:1486C

190\. LRSA § 18:1532(B)

191\. LRSA § 18:1495.4G

192\. LRSA § 18:1495.4G

193\. LRSA § 18:1495.4G

194\. LRSA § 18:1491.6G

195\. LRSA § 18:1491.6G

196\. LRSA §§ 18:1491.6D; 18:1495.4D

197\. LRSA §§ 42-2258; 2485.C

198\. LRSA §§ 18:1491.6D; 18:1495.4D

199\. LRSA § 18:1491.6D

200\. LRSA § 18:1491.6D

201\. LRSA § 18:1491.6D(3)(b)

202\. LRSA § 18:1491.6D(3)(c)

203\. LRSA § 18:1505.2(I)(1)

204\. CJC Canon 7E

205\. CJC Canon 7E

206\. CJC Canon 7E

207\. LRSA §§ 18:1491.5I; 18:1495.3I

208\. LRSA §§ 18:1491.5I; 18:1495.3I

209\. LRSA § 18:1505.4A

210\. LRSA § 18:1505.4B

211\. LRSA § 18:1505.4A(2)(a)(i)

212\. LRSA § 18:1505.4A(2)(a)(ii)

213\. LRSA §§ 18:1505.4(2)(a)(iii)

214\. LRSA § 18:1505.4A(2)(a)(iv)

215\. LRSA § 18:1505.4A(2)(a)(v)

216\. LRSA § 18:1505.4A(2)(b)

217\. LRSA § 18:1505.4A(3)(b)

218\. LRSA § 42:1157

219\. LRSA § 42:1157.2

220\. LRSA § 18:1505.4C

221\. LRSA § 18:1505.2O; a separate Act

enacted during the same session suggests

that this provision is discretionary, and

that the supervisory committee may do so

"upon a finding that the violation was

intentional or egregious." LRSA §

18:1505.2(O).

222\. LRSA § 18:1505.6A

223\. LRSA § 18:1505.6B

224\. LRSA § 18:1505.2(J)(1)

225\. LRSA §§ 18:1468C; 18:1465B(1)

226\. LRSA § 18:1465B(2)

227\. LRSA § 18:1505.2J(1)

228\. LRSA §§ 56:58C; 42:1153A

229\. LRSA § 1505.5B(1)

230\. LRSA § 1505.5B(2)

231\. LRSA §§ 1505.5B(3), (4)

232\. LRSA § 1505.5B(5)

233\. LRSA § 18:1505.5

234\. LRSA § 18:1505.6C; *see*, *Duke* on

standards for knowing and willful

behavior.

235\. LRSA § 18:1505.2I(3)(a)

236\. LRSA § 18:1505.2I(3)(b)

237\. LRSA § 18:1505.4D(1)

238\. LRSA § 18:1505.4D(1)

239\. LRSA § 18:1505.4D(4)

240\. LRSA § 18:1511.11

241\. LRSA § 18:1511.1A

242\. LRSA § 18:1511.4A

243\. LRSA § 18:1511.4B

244\. LRSA § 18:1511.4C

245\. LRSA § 18:1511.4C(2)

246\. LRSA § 18:1511.4D

247\. LRSA § 18:1511.5A; *State ex rel. Bd. of*

*Ethics for Elected Officials v. Green*,

566 So.2d 623 (La. Sup. 1990), *reh.*

*denied*.

248\. LRSA § 18:1511.5B

249\. LRSA § 18:1511.5C

250\. LRSA § 18:1511.3A

251\. LRSA § 18:463.D

252\. LRSA § 18:1511.2B; Opinion of the

Attorney General No. 99-130 (April 14,

1999\)

253\. LRSA § 18:1511.6A

254\. LRSA § 18:1511.6A

255\. LRSA § 18:1511.6B

256\. LRSA § 18:463.D

**CAMPAIGN FINANCE LAW**

**IN MAINE**

**I. INTRODUCTION**

Maine requires candidates, political committees, political action
committees, and persons making independent expenditures of more than
\$50 to file information on all contributions and expenditures once
before and after each election. Gubernatorial candidates are required to
file additional reports. State and county party committees file reports
semiannually in January and July before each general election. Late
contributions to, or expenditures by, candidates of \$1,000 or more must
be reported within 48 hours. Supplemental reports of the disposition of
surplus funds in excess of \$50 must also be made semi-annually.
Individual contributions are limited to an aggregate of \$25,000 in a
calendar year and \$1,000 per candidate per election, but a candidate
and the candidate's spouse are not limited in the amount they may
contribute to the candidate's own campaign. Contributions by political
committees, other committees, corporations, and associations are limited
to \$5,000 per candidate per election. Individuals, political
committees, other committees, corporations, and associations are limited
to contributions not exceeding \$500 per gubernatorial candidate per
election, and \$250 for any other candidates per election, with the
\$25,000 calendar year aggregate also applying. Maine offers a taxpayer
the opportunity to add \$1 or more to the taxpayer's liability, with
funds distributed to a designated political party, or with an
opportunity to direct a portion of tax liability to the Maine Clean
Election Fund. The state offers public financing to candidates in
primary and general election campaigns for governor, state senate, and
house of representatives if they meet appropriate requirements for
raising qualifying contributions. The Commission on Governmental Ethics
and Election Practices is responsible for overseeing the campaign
finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution, as it applies to
campaigns for public offices, but not to reports by political action
committees, is a gift, subscription, loan, advance, deposit of money, or
anything of value made for the purpose of influencing the nomination or
election of any person to state or county office, or for the purpose of
liquidating any campaign deficit of a candidate, except that a loan of
money to a candidate by a financial institution in Maine made in
accordance with applicable banking laws and regulations and in the
ordinary course of business is not included \[1\]; a contract, promise,
or agreement, expressed or implied, whether or not legally enforceable,
to make a contribution for such purposes \[2\]; funds received by a
candidate or a political committee which are transferred to the
candidate or committee from another political committee or other source
\[3\]; and the payment by any person other than a candidate or a
political committee of compensation for the personal services of other
persons which are provided to the candidate or political committee
without charge for any such purpose \[4\].

A contribution does not include the value of services provided, without
compensation, by individuals who volunteer a portion or all of their
time on behalf of a candidate or political committee \[5\]; the use of
real or personal property, and the cost of invitations, food, and
beverages voluntarily provided by an individual to a candidate in
rendering voluntary personal services for candidate‑related activities,
if the cumulative value of these activities by the individual on behalf
of any candidate does not exceed \$50, with respect to any election
\[6\]; the sale of any food or beverage by a vendor for use in a
candidate's campaign at a charge less than the normal comparable charge,
if the charge to the candidate is at least equal to the cost of the food
or beverage to the vendor and if the cumulative value of the food and
beverages does not exceed \$50, with respect to any election \[7\];
unreimbursed payment for travel expenses incurred and paid for by an
individual who volunteers his or her personal services to a candidate,
if the cumulative amount of these expenses does not exceed \$50 with
respect to any election \[8\]; or the payment by a state, district,
county, or municipal party committee of the costs of preparation,
display, mailing, or other distribution incurred by the committee with
respect to a printed slate card, sample ballot, or other printed listing
of three or more candidates for any political office \[9\].

A contribution also does not include documents, in printed or electronic
form, including party platforms, single copies of issue papers,
information pertaining to the requirements of the campaign finance law
and lists of registered voters, created or maintained by a political
party for the general purpose of party-building and provided to a
candidate who is a member of that party \[10\]; compensation paid by a
political party to an employee of that party for providing advice to any
one candidate for a period of no more than 20 hours in any election
\[11\], recruiting and overseeing volunteers for campaign activities
involving three or more candidates \[12\], or coordinating campaign
events involving three or more candidates \[13\]; campaign training
sessions provided to three or more candidates \[14\]; the use of
offices, telephones, computers and similar equipment when that use does
not result in additional cost to the provider \[15\]; or activity or
communication designed to encourage individuals to register to vote or
to vote if that activity or communication does not mention a clearly
identified candidate \[16\].

A contribution received by a candidate that is later sold at auction is
subject to special valuation provisions. If the contribution is sold at
auction before the commencement of the appropriate reporting period, or
during that period, the value of the contribution is deemed to be the
amount of the purchase price paid at auction \[17\]. If the contribution
is sold after the termination of the appropriate reporting period, the
value of the contribution is deemed to be the difference between the
value of the contribution as originally reported by the candidate and
the amount of the purchase price paid at auction \[18\].

With respect to reports by political action committees, a contribution
includes a gift, subscription, loan, advance, or deposit of money or
anything of value made to a political action committee, except that a
loan of money by a financial institution made in accordance with
applicable banking laws and regulations and in the ordinary course of
business is not included \[19\]; a contract, promise, or agreement
expressed or implied, whether or not legally enforceable, to make a
contribution to a political action committee \[20\]; any funds received
by a political action committee which are to be transferred to any
candidate, committee, campaign, or organization for the purpose of
promoting, defeating. or initiating a candidate, referendum, political
party, or initiative in Maine \[21\]; and the payment, by any person or
organization, of compensation for the personal services of other persons
provided to a political action committee to promote, defeat, or initiate
a candidate, campaign political party, referendum, or initiated petition
in Maine \[22\].

**B. Limitations on Contribution Amounts and Aggregate Contributions.**
An individual, other than a candidate in making a contribution to
himself or herself or a candidate's spouse in making a contribution to
that candidate, may not make contributions to a gubernatorial candidate
aggregating more than \$500 in any election, and \$250 in any election
for any other candidate \[23\]. A political committee, other committee,
corporation, or association may not make contributions to a
gubernatorial candidate aggregating more than \$500 in any election, and
\$250 in any election for any other candidate \[24\]. An individual,
other than a candidate in making a contribution to himself or a
candidate's spouse in making a contribution to that candidate, may not
make contributions to candidates aggregating more than \$25,000 in any
calendar year \[25\].

**C. Contributions Considered to Be a Contribution to a Candidate.** For
the purpose of the limitations in subsection B above, a contribution
made to any political committee authorized by a candidate to accept
contributions on the candidate's behalf is considered to be a
contribution made to the candidate, and all contributions made by a
person, directly or indirectly, on behalf of a particular candidate,
including contributions which are earmarked or directed through an
intermediary or conduit, are to be treated as contributions from the
person to the candidate \[26\].

An expenditure made by any person in cooperation, consultation, or
concert with, or at the request or suggestion of a candidate, a
candidate's political committee, or their agents is considered to be a
contribution to such candidate, and the financing by any person of the
dissemination, distribution, or republication, in whole or in part, of
any broadcast or any written or other campaign materials prepared by the
candidate, the candidate's political committee or committees, or their
authorized agents is also considered to be a contribution to that
candidate \[27\].

**D. Acceptance of Contributions by a Candidate or Political
Committee.** A candidate may accept contributions personally as long as
the candidate reports all contributions to the treasurer \[28\]. No
later than 10 days after appointing a political committee, and before
accepting any contributions, a candidate must appoint a treasurer of the
political committee \[29\].

**E. Commingling of Political Committee Funds.** Funds of a political
committee and campaign funds of a candidate must be segregated from, and
may not be commingled with, any personal funds of the candidate,
officers, members, or associates of the committee \[30\].

**F. Special Provisions Related to Judges and Judicial Candidates.** A
judge or candidate for judge may not pay an assessment or a contribution
to a political organization or candidate \[31\]. A judge or candidate
for judge may not personally solicit nor accept contributions, but may
accept contributions in a reasonable amount via a committee \[32\].
Contributions may not be received more than one year before an election
and not more than 90 days after the last election during the election
year in which the judge or judicial candidate is running \[33\].
Contributions may not be used for the judge or candidate's personal use
or for the personal use of others \[34\].

**G. Solicitations and Contributions by State Classified Service
Personnel.** An officer or employee in the classified service or an
employee from the executive branch in the unclassified service of the
State may not give or offer to give a political contribution to an
individual to vote or refrain from voting or to vote for or against any
candidate or measure in any partisan election \[35\]; solicit, accept,
or receive a political contribution to vote or refrain from voting or to
vote for or against any candidate or measure in any partisan election
\[36\]; knowingly give or hand over a political contribution to a
superior of the employee \[37\]; knowingly solicit, accept, or receive
or be in any manner concerned with soliciting, accepting or receiving a
political contribution from another employee or a member of another
employee\'s immediate family who is a subordinate of the employee
\[38\]; or knowingly solicit, accept, or receive a political
contribution from or give a political contribution to any person who has
or is seeking to obtain contractual or other business or financial
relations with the agency in which the employee is employed \[39\];
conducts operations or activities that are regulated by that agency
\[40\]; or has interests that may be substantially affected by the
performance or nonperformance of the employee's official duties \[41\].

**H. Anonymous Contributions and Contributions Made in the Name of
Another.** Anonymous contributions of more than \$10 may not be
accepted, and a candidate or treasurer receiving an anonymous
contribution in excess of \$10 should promptly dispose of the amount
over \$10, using any lawful purpose unrelated to any state election,
campaign, or candidate \[42\].

A person may not make a contribution in the name of another person or
knowingly permit his or her name to be used to effect such a
contribution, and no person may knowingly accept a contribution made by
one person in the name of another person \[43\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure, as it applies to
campaigns for public offices, but not to reports by political action
committees, is a purchase, payment, distribution, loan, advance, deposit
or gift of money, or anything of value made for the purpose of
influencing the nomination or election of any person to political
office, except that a loan of money to a candidate by a financial
institution in the state, made in accordance with applicable banking
laws and regulations, and in the ordinary course of business, is not
included \[44\].

With respect to political action committees only, an expenditure
includes a purchase, payment, distribution, loan, advance, deposit or
gift of money, or anything of value made for the purpose of influencing
the nomination or election of any person to political office; or for the
initiation, support, or defeat of a campaign, referendum, or initiative
in Maine \[45\].

As it applies to both campaigns for public offices and to political
action committees, the term expenditure includes a contract, promise, or
agreement, expressed or implied, whether or not legally enforceable, to
make any expenditure \[46\].

With respect to campaigns for public offices only, an expenditure
includes the transfer of funds by a candidate or a political committee
to another candidate or political committee \[47\].

With respect to political action committees only, an expenditure
includes the transfer of funds by a political action committee to
another candidate or political committee \[48\].

With respect to both campaigns for public offices and to political
action committees, the term expenditure does not include any news story,
commentary, or editorial distributed through the facilities of any
broadcasting station, newspaper, magazine, or other periodical, unless
the facilities are owned or controlled by any political party, political
committee, or candidate \[49\]; voter registration or get‑out‑the‑vote
activity that does not mention a clearly identified candidate \[50\];
any communication by a membership organization or corporation to its
members or stockholders, if the entity is not organized primarily to
influence the nomination or election of any person to state or county
office \[51\]; the use of real or personal property, and the cost of
invitations, food and beverages, voluntarily provided by an individual
or political action committee to a candidate in rendering voluntary
personal services for candidate‑related activities, if the cumulative
value of these activities does not exceed \$50 with respect to any
election \[52\]; any unreimbursed travel expenses incurred and paid for
by an individual or political action committee volunteering personal
services to a candidate, on the individual or political action
committee's own behalf, to a candidate or for campaign‑related
activities, if the cumulative amount of these services does not exceed
\$50 with respect to any election \[53\]; or any communication by any
person which is not made for the purpose of influencing the nomination
or election of any person to state or county office \[54\].

With respect to campaigns for public offices only, the term expenditure
does not include the payment by a party's state, district, county, or
municipal committee of the costs incurred in preparation, display,
mailing, or other distribution of a printed slate card, or sample
ballot, or other printed listing of three or more candidates for any
political office for which an election is held \[55\]; or the use or
distribution of any certain communication prepared for a previous
election, and fully paid for during that election campaign, but not used
or distributed in that previous election \[56\].

An expenditure also does not include documents, in printed or electronic
form, including party platforms, single copies of issue papers,
information pertaining to the requirements of the campaign finance law
and lists of registered voters, created or maintained by a political
party for the general purpose of party-building and provided to a
candidate who is a member of that party \[57\]; compensation paid by a
political party to an employee of that party for providing advice to any
one candidate for a period of no more than 20 hours in any election
\[58\], recruiting and overseeing volunteers for campaign activities
involving three or more candidates \[59\], or coordinating campaign
events involving three or more candidates \[60\]; campaign training
sessions provided to three or more candidates \[61\]; or the use of
offices, telephones, computers and similar equipment when that use does
not result in additional cost to the provider \[62\].

**B. Expenditure by a Candidate or Political Committee.** A candidate
may authorize expenditures personally, but the candidate must first
appoint a treasurer, and the candidate must report all expenditures to
the treasurer \[63\]. Each political committee authorized by a candidate
must appoint a treasurer before making any expenditures \[64\], as must
any political action committee \[65\].

No later than 10 days after becoming a candidate, a candidate for the
office of state house of representatives or senate shall file in writing
a statement declaring that either the candidate agrees to accept
voluntary limits on political expenditures by that candidate or that
candidate's political committee or committees, or that the candidate
does not agree to accept voluntary limits on expenditures \[66\].

If the candidate agrees not to accept voluntary limits, he or she must
also state in writing that he or she will not condone and will not
solicit any independent expenditures to be made on the candidate's
behalf \[67\].

If the candidate does accept the voluntary limits, the limits on total
expenditures for a single election by the candidate, his or her
political committee, the candidate's party or his or her immediate
family are \$25,000 for a state senate race and \$5,000 for a state
house of representatives race \[68\]. Expenditure limits may not be
carried forward from election to election \[69\].

**C. Expenditures Considered to Be a Contribution to a Candidate.** An
expenditure made by a person in cooperation, consultation, or concert
with, or at the request or suggestion of, a candidate, a candidate's
political committee, or their agents is considered to be a contribution
to the candidate, as is the financing by any person of the
dissemination, distribution, or reproduction, in whole or in part, of
any broadcast or any written or other campaign materials prepared by the
candidate, the candidate's political committee or committees, or their
authorized agents \[70\].

**D. Expenditure for Liquor on Election Day.** A candidate, a political
committee, party, party committee, political action committee, or other
persons required to file reports of campaign finances or their
authorized agents are not permitted to make any expenditure for liquor
to be distributed or consumed by voters while the polls are open on
election day \[71\].

**E. Maximum Aggregate Expenditures by a Political Committee.** No
political action committee may make aggregate expenditures exceeding
\$50 in any calendar year without properly registering \[72\]. A
political action committee is limited to aggregate expenditures of
\$5,000 in support of or in opposition to, the candidacy of one person
or to a political committee in any election \[73\].

**IV. REPORTING REQUIREMENTS**

**A. Registration by Candidates.** A candidate is required to register
with the Commission on Governmental Ethics and Election Practices at
least once in each legislative biennium (the term of office for which a
person is elected to serve in the legislature) \[74\].

**B. Registration by Candidates' Treasurers.** No later than 10 days
after becoming a candidate, and before accepting contributions, making
expenditures, or incurring obligations, a candidate for state, county,
or municipal office must appoint a single campaign treasurer, and
register the treasurer's name and address, and the name and address of
the candidate, no later than 10 days after the appointment of the
treasurer \[75\].

**C. Registration of Authorized Political Committees.** A candidate may
authorize one political committee to promote that candidate's election
\[76\]. No later than 10 days after appointing the committee, and before
accepting any contributions, making expenditures, or incurring
obligations, the candidate must appoint a treasurer of the committee if
no treasurer was previously appointed \[77\].

The treasurer is responsible for filing campaign finance reports \[78\].
No later than 10 days after appointing the committee, the candidate must
register the name of the committee \[79\]; the name and address of the
committee's treasurer \[80\]; the name of the candidate who authorized
the committee \[81\], and the names and addresses of all of the
committee's officers \[82\].

**D. Registration of Party Committee Principals.** The state, district,
and county committees of parties must submit to the commission the names
and addresses of all their officers and treasurers, and the name and
address of the principal paid employee, if any, within 30 days after the
appointment, election, or hiring or such persons. Municipal committees
must file the same information with the commission and the municipal
clerk \[83\]. No later than the second Monday in April of each general
election year, the state committee of a party must submit a consolidated
report, including the information required for the district, county, and
municipal party committees \[84\].

**E. Registration of Political Action Committees.** Every political
action committee which makes expenditures in excess of \$50 in any
single calendar year to initiate, support, defeat, or influence in any
way a campaign, referendum, initiated petition, candidate, political
committee, or another political action committee must register with the
commission \[85\]. The registration form must include the names and
mailing addresses of the committee, treasurer, principal officers, and
the identity of any candidate for any constitutional office, or who is
registered as a candidate and who is involved in decision making for a
political action committee organized to advance the election of that
candidate \[86\]; a statement whether the political action committee is
a continuing one \[87\]; the names and addresses of the depositories in
which committee funds are kept and the account numbers of each
depository account \[88\]; the committee's date of origin or
incorporation and the form or structure of the organization \[89\]; an
itemized accounting of the committee's total assets at the time of
registration in Maine \[90\]; and a statement indicating the committee's
support or opposition with respect to a candidate, political committee,
referendum, initiated petition, or campaign, if known at the time of
registration \[91\]. If a committee has no position on a candidate,
campaign, or issue at the time of registration, the committee must
inform the commission as soon as the committee knows this information
\[92\]. The registration form must also include the names and mailing
addresses of contributors who donate in excess of \$50 each year to the
committee, with the amount or value of each contribution at the time of
registration, including payments made on an installment basis \[93\].

**F. Reporting of Contributions and Expenditures**

**1. Party Committees.** A party committee must report all contributions
in cash or in-kind from an individual contributor that in the aggregate
in a campaign total more than \$200 if they raise or spend \$1,500 or
more in a calendar year \[94\].

The party committee must report the name, mailing address, occupation,
and place of business of each contributor \[95\]. Contributions of \$200
or less must be reported, but may be reported as a lump sum \[96\]. A
party committee must report all expenditures in cash or in-kind of the
committee made on behalf of a candidate, political committee, political
action committee, or party committee \[97\]. The committee must report
the name and address of each candidate and the identity and address of a
campaign or committee \[98\]; the office sought by a candidate and the
district that the candidate seeks to represent \[99\]; and the date and
amount of each expenditure \[100\]. Operational expenses and other
expenditures in cash or in-kind of the party committee that are not made
on behalf of a candidate, committee, or campaign must be reported, with
itemization of the name and address of each recipient, the reason for
the expenditures, and the date and amount of each expenditure \[101\].

Any contribution or expenditure of \$1,000 or more made after the 12th
day before any election must be reported within 48 hours of that
contribution or expenditure, or by noon of the first business day after
the contribution or expenditure, whichever is later \[102\].

When a state, district, or county committee of a party makes
contributions or expenditures in an aggregate amount in excess of \$50
in an election other than by contributions to a candidate or a
candidate's authorized political committee (independent expenditures),
and expressly advocating the election or defeat of a candidate or
candidates, the committee must file a report with the Commission
containing an itemized account of each expenditure of an aggregate
amount in excess of \$50, the date and purpose of each, and the name of
each payee or creditor \[103\]. Municipal committees must file copies of
the same information with the Commission and the municipal clerk
\[104\]. The report must also contain an itemized account of each
contribution and expenditure in any election of an aggregate amount in
excess of \$50 received, the name of the contributor \[105\]. Total
contributions or expenditures of less than \$500 in any election need
not be itemized \[106\].

**2. Federal Filers.** The state committee of each party, and the
treasurer of each candidate for federal office must file a copy of the
required federal reports with the Commission on the same day that the
reports are required to be filed under federal law \[107\].

**3. Candidates for Governor and Their Committees.** In any calendar
year, other than a gubernatorial election year, in which the candidate
or the candidate's political committee received contributions in excess
of \$1,000 or made or authorized expenditures in excess of \$1,000, the
treasurer of the candidate must file reports not later than 5:00 p.m. on
July 15 of that year, and January 15 of the following calendar year,
with the first report including all contributions made to, and all
expenditures made by, the candidate or political committee as of the end
of the preceding month, except those covered by a previous report
\[108\]. A report must also be filed not later than 5:00 p.m. on the
42nd day before an election is held and be complete as of the 49th day
before that date, and, if no July 15 or January 15 report was filed,
this report must include all contributions received and expenditures
made through the completion date \[109\].

An additional report is to be filed not later than 5:00 p.m. on the 6th
day before the election is held and must be complete as of the 12th day
before that date \[110\]. Any contribution or expenditure of \$1,000 or
more, made after the 12th day and more than 48 hours before any
election, must be reported within 48 hours of the contribution or
expenditure, or by noon of the first business day after the transaction,
whichever is later \[111\]. A post‑election report is due not later than
5:00 p.m. on the 42nd day after the election and must be complete for
the filing period as of the 35th day after the election \[112\].

Unless any other reports are filed in relation to a later election in
the same calendar year, the disposition of any surplus or deficit in
excess of \$50 must be reported to the Commission semi-annually within
15 days after the end of the second and fourth quarters of the state's
fiscal year, until the surplus is disposed of or the deficit is
liquidated \[113\]. The first report is not due until the 15th day of
the period beginning at least 90 days after the election \[114\]. The
reports may either be filed in‑person or postmarked by the due date, and
must set forth any contribution for the purpose of liquidating a deficit
in the same manner as other contributions are to be reported \[115\].

**4. State, County, or Municipal Office Candidates (Other Than for
Governor).** In any calendar year in which an election for the
candidate's particular office is not scheduled, when any candidate or
candidate's political committee has received contributions in excess of
\$500 or made or authorized expenditures in excess of \$500, the
treasurer of the candidate must file reports no later than 5:00 p.m. on
July 15 of that year and January 15th of the following calendar year,
with the first report including all contributions made to, and all
expenditures made by, the candidate or political committee as of the end
of the preceding month, except those covered by a previous report
\[116\]. Reports must be filed no later than 5:00 p.m. on the sixth day
before the date in which an election is held, and must be complete as of
the 12th day before that date \[117\]. If no previous report was filed,
this report must cover all contributions and expenditures through the
completion date \[118\]. Any contribution or expenditure of \$1,000 or
more, made after the 12th day and more than 48 hours before any
election, must be reported within 48 hours, or by noon of the first
business day after the transaction, whichever is later \[119\]. A
post‑election report is to be filed not later than 5:00 p.m. on the 42nd
day after an election, complete for the filing period as of the 35th day
after that date \[120\].

Unless any other reports are filed in relation to a later election in
the same calendar year, the disposition of any surplus or deficit in
excess of \$50 must be reported semi-annually to the commission within
15 days after the end of the second and fourth quarters of the state's
fiscal year until the surplus is disposed of or the deficit is
liquidated \[121\]. The first report is not required until the 15th day
of the period beginning at least 90 days after the election \[122\]. The
reports may either be filed in‑person or postmarked by the due date, and
must set forth any contributions for the purpose of liquidating a
deficit in the same manner as other contributions are to be reported
\[123\].

A candidate for a municipal office may seek an exemption from the
reporting requirements by notifying the municipal clerk in writing that
he or she will not accept contributions, make expenditures, or incur
financial obligations associated with that person's candidacy \[124\].
This notice may be later revoked by written notice to the clerk \[125\].
Acceptance of contributions, making of expenditures or incurring of
financial obligations without revoking the notice of exemption may be
assessed a penalty of \$10 per day for each day that the revocation is
late, up to maximum of \$500 \[126\].

**5. Contents of a Report of Contributions and Expenditures.** A
required report must contain the itemized accounts of contributions
received; the date a contribution was received; the name, address,
occupation, and principal place of business, if any, and the amount of
each contribution of each person who has made a contribution of an
aggregate amount in excess of \$50 for that report filing period, and
itemized expenditures made or authorized; the purpose of each
expenditure; and the name of each payee and creditor \[127\]. Total
contributions with respect to an election of less than \$500 need not be
itemized \[128\]. The report must contain a statement of any loan of
money to a candidate by a financial institution made during the period
covered by the report, whether or not the loan is a contribution
\[129\].

**6. Report of a Contribution to a Treasurer or Candidate.** Every
person who receives a contribution in excess of \$10 for a candidate or
a political committee, on demand of the treasurer or candidate and, in
any event, within five days after receipt of such contribution, must
render to the treasurer or candidate a detailed account of the
contribution, including the amount of the contribution, identification
of the person making the contribution, and the date it was received
\[130\].

**7. Exemption from Reporting.** A candidate may, at the time the
candidate registers, notify the commission that the candidate and the
candidate's agents, if any, will not personally accept contributions,
make expenditures or incur obligations associated with that candidate's
candidacy \[131\]. This notification must be sworn and notarized
\[132\]. A candidate who provides this notice to the commission is not
required to appoint a campaign treasurer or be subject to the filing
requirements for that office \[133\].

The notice stating that the candidate will not accept contributions,
make expenditures or incur obligations may later be revoked by the
candidate \[134\]. Prior to revocation, the candidate must appoint a
campaign treasurer, and cannot accept contributions, make expenditures
or incur obligations before the appointment is made \[135\]. A
revocation notice must be in the form of an amended registration and
must be filed with the Commission no later than 10 days after the
appointment of the treasurer \[136\].

The candidate or the campaign treasurer may begin receiving
contributions, making expenditures and incurring obligations as of the
date of filing the notice of revocation with the Commission \[137\]. Any
candidate who fails to fie a timely revocation notice is subject to
penalty up to a fine of \$5,000 \[138\].

**8. Report of Independent Expenditures.** Each person other than a
candidate or a candidate's authorized political committee, who makes
contributions or expenditures other than by contribution to a candidate
or a candidate's authorized political committee, in an aggregate amount
in excess of \$50 with respect to an election, and expressly advocating
the election or defeat of a clearly identified candidate, must file a
report with the commission \[139\]. In the case of a municipal election,
a copy of the same information must be filed with the clerk in that
candidate's municipality \[140\]. Each report must contain an itemized
account of expenditures, in any election, of an aggregate, and the name
of each payee or creditor and an itemized account of each contribution,
in any election, of an aggregate amount in excess of \$50 received, the
name and address of the contributor, and the occupation and principal
place of business, if any, of the contributor, but total contributions
or expenditures of less than \$500 in any election need not be itemized
\[141\]. The report must state whether the contribution or expenditure
is in support of or in opposition to the candidate and include, under
penalty of perjury, a statement, under oath or affirmation, whether the
expenditure is made in cooperation, consultation, or concert with or at
the request or suggestion of any candidate, any authorized committee, or
any agent of the candidate \[142\].

Any membership organization or corporation that makes a communication to
its members or stockholders expressly advocating the election or defeat
of a clearly identified candidate must report any expenditures, in an
aggregate amount in excess of \$50, for such a communication in an any
election, whether or not the communication is defined as an expenditure
\[143\].

**9. Reports by Political Action Committees.** A political action
committee that expends more than \$50 in any one calendar year on any
one or more campaigns for the office of governor, for state or county
office, or for the support or defeat of a referendum or initiated
petition, must file quarterly and election year reports with the
Commission, while an out-of-state political action committee files
reports with the clerk of the subject municipality in the case of
municipal elections and referenda \[144\]. A political action committee
required to report is to file a report for each filing period, whether
or not the expenditures are in excess of \$50 in any one period \[145\].

**a. Filing Deadlines for Political Action Committee Reports.** Reports
are to be filed on January 15th, complete as of January 5th, \[146\]; on
April 10th, complete as of March 31st \[147\]; on July 15th, complete as
of July 5th \[148\]; and on October 10th, complete as of September 30th
\[149\]. General and primary election reports must be filed on the sixth
day before the date on which the election is held, complete as of the
12th day before that date \[150\], and on the 42nd day after the
election, complete as of the 35th day after the election \[151\].
Reports of political action committee spending to influence special
elections, referenda, initiative, bond issue, or constitutional
amendment elections must also be filed on the sixth day before the date
on which the election is held, complete as of the 12th day before that
date \[152\], and on the 42nd day after the election, complete as of the
35th day after the election \[153\]. A committee that files a pre- or
post-election report is not required to file a quarterly report when the
deadline for that quarterly report falls within 10 days of the filing
deadline established for the election report \[154\].

Reports are not timely filed unless a properly signed copy of the report
is received by the commission before 5:00 p.m. on the due it is due
\[155\].

When a political action committee makes an expenditure of \$500 or more
after the 11th day and more than 48 hours before any election, the
committee must report that expenditure within 48 hours or by noon of the
first business day after the expenditure, whichever is later \[156\].

**b. Contents of Political Action Committee Reports.** Reports are to
contain the names and mailing addresses of any candidate whom the
committee supports, intends to support, or seeks to defeat \[157\]. The
report must indicate the office that the candidate is seeking, the
candidate's party, and the date and nature of the election \[158\]. The
names and mailing addresses of any political committee, or political
party supported in any way by the registrant \[159\], and the referendum
or initiated petition that the committee supports or opposes, and names
and mailing addresses of the organizations to which expenditures were
made, must also be included \[160\]. An itemization must be made of each
expenditure in support or opposition to, any candidate, campaign,
political committee, political action committee, political party, or
initiated petition and the date of the expenditure \[161\], and the
aggregate of these and all other expenditures must be disclosed \[162\].
The names and mailing addresses of contributors of more than \$50 to the
committee must also be included, along with the amount contributed by
each donor and the date of the contribution \[163\]. Operational
expenses and other expenditures in cash or in-kind that are not made on
behalf of a candidate, committee, or campaign must also be reported
\[164\].

The Commission may accept computer printout sheets that contained the
required information \[165\].

**c. Termination Reports for Political Action Committees.** Whenever any
political action committee disbands or determines that obligations will
no longer be incurred, and no expenditures will be made to any
candidate, political committee, or political party, or to initiate,
support, defeat, or influence in any way the outcome of a referendum,
initiated petition, election, or primary, and the committee has no
outstanding obligations, it must file a termination report with the
Secretary of State \[166\]. If a termination report is not filed, the
committee must continue to file periodic reports as required \[167\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Political Party Financing.** Tax return designations are paid over
to the political party specified on the income tax return \[168\].

**B. Candidate Public Financing.**

**1. Maine Clean Election Fund.** The Maine Clean Election Fund is
funded by general fund appropriations, tax checkoffs, unspent candidate
distributions, voluntary donations, fines, interest, and certain seed
money contributions and is a special, dedicated, nonlapsing fund
administered by the Commission on Governmental Ethics and election
Practices \[169\].

**2. Declaration of Intent and Qualifying Period.** Beginning with
elections to be held in 2000, candidates for governor, state senator,
and state representative have an alternative campaign financing option
available to them \[170\]. A candidate who wishes to receive public
financing must file a declaration of intent to seek certification as a
Maine Clean Election Act candidate and agree to comply with all
requirements before receiving any qualifying contributions \[171\]. The
declaration of intent must be filed with the Commission prior to or
during the qualifying period \[172\]. The qualifying period for a
gubernatorial candidate begins November 1 immediately preceding the
election year and ends at 5:00 p.m. on April 15 of the election year,
unless the candidate is not enrolled in a party, in which case the
period ends at 5:00 p.m. on June 2 of the election year \[173\]. The
qualifying period for legislative candidates begins January 1 of the
election year and ends at 5:00 p.m. on April 15 of the election year,
unless the candidate is not enrolled in a party, in which case the
period ends at 5:00 p.m. on June 2 of the election year \[174\].

**3. Contributions and Seed Money for Participating Candidates.**
Subsequent to becoming a candidate and prior to certification, a
participating candidate may not accept contributions, except for seed
money contributions \[175\]. A seed money contribution is a contribution
of no more than \$100 per individual made to a candidate, including a
contribution from the candidate or the candidate's family \[176\]. A
candidate seeking public financing must limit seed money contributions
to \$50,000 for a gubernatorial candidate \[177\]; \$1,500 for a
candidate for the state senate \[178\]; or \$500 for a candidate for the
house of representatives \[179\]. The Commission may, by rule, revise
these amounts to ensure the effective implementation of the Act \[180\].

A gubernatorial candidate must obtain qualifying contributions of \$5 or
more made by cash or money order by a registered voter within the state
\[181\] during the qualifying period from at least 2,500 verified
registered voters \[182\]. Such contributions for state senate
candidates must come from at least 150 verified registered voters from
the district \[183\], while a candidate for the house of representatives
must receive such contributions from at least 50 verified registered
voters from the district \[184\].

A payment, gift or anything of value may not be given in exchange for a
qualifying contribution \[185\]. A candidate may pay the fee for a money
order in the amount of \$5, which is a qualifying contribution, as long
as the donor making the qualifying contribution pays the \$5 amount
reflected on the money order \[186\].

A participating candidate must submit qualifying contributions to the
Commission during the qualifying period as prescribed by the Commission
\[187\]. Upon receipt of a final submittal of qualifying contributions
by a participating candidate, the Commission must determine whether or
not the candidate has met the requirements for participation in the
program \[188\]. The Commission must certify a candidate complying with
the requirements as soon as possible and no later than three days after
final submittal of qualifying contributions \[189\].

**4. Distribution and Requirements for Certified Candidates.** Upon
certification as eligible for public funds, a candidate must transfer to
the fund any unspent seed money contributions \[190\]. After
certification, a candidate must limit the candidate's campaign
expenditures and obligations, including outstanding obligations, to the
revenues distributed to the candidate from the fund and may not accept
any contributions unless specifically authorized by the Commission
\[191\]. All revenues distributed to certified candidates from the fund
must be used for campaign‑related purposes \[192\].

Within three days after certification, for candidates certified prior to
March 15th of the election year, revenues from the fund must be
distributed as if the candidates are in an uncontested primary election
\[193\]. Within three days for all candidates certified between March
15th and April 15th of the election year, revenues from the fund must be
distributed according to whether the candidate is in a contested or
uncontested primary election \[194\]. For candidates in contested
primary elections receiving a distribution, additional revenues from the
fund must be distributed within three days of March 15th of the election
year \[195\].Within three days after the primary election results are
certified, for general election certified candidates, revenues from the
fund must be distributed according to whether the candidate is in a
contested or uncontested general election \[196\]. At least every four
years July 1, 1999, the Commission must determine the amount of funds to
be distributed to participating candidates based on the type of election
and office \[197\]. For contested primary elections, the amount of
revenues to be distributed is the average amount of campaign
expenditures made by each candidate during all contested primary
election races for the immediately preceding two primary elections as
reported in the initial filing period subsequent to the primary election
for the respective offices \[198\]. For uncontested primary elections,
the amount of revenues distributed is the average amount of campaign
expenditures made by each candidate during all uncontested primary
election races, or for contested races if that amount is lower, for the
immediately preceding two primary elections as reported in the initial
filing period subsequent to the primary election for the respective
offices \[199\]. For contested general elections, the amount of revenues
distributed is the average amount of campaign expenditures made by each
candidate during all contested general election races for the
immediately preceding two general elections as reported in the initial
filing period subsequent to the general election for the respective
offices \[200\]. Revenues may not be distributed for uncontested general
elections \[201\]. If the immediately preceding two election cycles do
not contain sufficient electoral data, the Commission is to use
information from the most recent applicable elections \[202\]. For only
the initial computations that are conducted by July 1, 1999, the
Commission must reduce the amounts to be distributed by 25 percent
\[203\].

An unenrolled candidate certified by April 15 preceding the primary
election is eligible for revenues from the fund in the same amounts and
at the same time as an uncontested primary election candidate and a
general election candidate \[204\]. For an unenrolled candidate not
certified by April 15 at 5:00 p.m. the deadline for filing qualifying
contributions is 5:00 p.m. on June 2 preceding the general election
\[205\]. An unenrolled candidate certified after April 15 at 5:00 p.m.
is eligible for revenues from the fund in the same amounts as a general
election candidate \[206\].

Upon the filing of a final report for any primary election in which the
candidate was

defeated and for all general elections that candidate shall return all
unspent fund revenues to the Commission \[207\].

The Commission may not distribute revenues to certified candidates in
excess of the total amount of money deposited in the fund, and if the
Commission determines that the revenues in the fund are insufficient to
meet distributions it may permit certified candidates to accept and
spend contributions, reduced by any seed money contributions,
aggregating no more than \$500 per donor per election for gubernatorial
candidates and \$250 per donor per election for senate and house
candidates, up to the applicable amounts \[208\].

**5. Independent Expenditures.** When any report shows that the sum of a
candidate's expenditures or obligations, or funds raised or borrowed,
whichever is greater, alone or in conjunction with independent
expenditures reported under section 1019, exceeds the distribution
amount for the candidate, the Commission must issue immediately to any
opposing Maine Clean Election Act candidate an additional amount
equivalent to the reported excess \[209\]. Matching funds are limited to
two times the amount originally distributed \[210\].

**6. Appeals.** A candidate who has been denied certification as a Maine
Clean Election Act candidate or the opponent of a candidate who has been
granted certification as a Maine Clean Election Act candidate may
challenge a certification decision by the Commission in a written appeal
to the full Commission within three days of the certification decision.
setting forth the reasons for the appeal \[211\]. Within five days after
an appeal is properly made and after notice is given to the challenger
and any opponent, the Commission must hold a hearing, with the appellant
having the burden of providing evidence to demonstrate that the
Commission decision was improper \[212\]. The Commission must rule on
the appeal within three days after the completion of the hearing
\[213\]. A challenger may appeal the decision of the Commission in an
action in Superior Court \[214\]. A candidate whose certification by the
Commission as a Maine Clean Election Act candidate is revoked on appeal
must return to the Commission any unspent revenues distributed from the
fund \[215\]. If the Commission or court find that an appeal was made
frivolously or to cause delay or hardship, the Commission or court may
require the moving party to pay costs of the Commission, court and
opposing parties, if any \[216\].

**VI. TAX PROVISIONS**

**A. Tax Return Designation to Political Party.** Every individual
resident who is entitled to an income tax refund may designate that \$1,
\$5, \$10, or another dollar amount of the refund be paid over to any
specified political party \[217\]. An individual resident who is not
entitled to a refund may add to his or her tax liability for the same
purpose \[218\].

**B. Tax Return Designation to Maine Clean Election Fund.** Resident
taxpayers may designate that \$3 of their taxes be deposited in the
Maine Clean Election Fund \[219\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Post‑Election Reports.** Certain post‑election reports
must be filed by candidates, political party committees, political
committees, and political action committees, and have been detailed
above.

**B. Disposition of Surplus Funds.** A candidate may only dispose of
surplus funds exceeding \$50 by pro rata distribution to the candidate's
or candidate's authorized political committee's contributors; a gift to
a qualified political party in Maine; an unrestricted gift to the state;
carrying forward the surplus balance to a political committee
established to promote the same candidate for a subsequent election;
transferring the surplus balance to one or more registered candidates,
or their political committees, within the contribution limits; or
repaying any loans or retiring any other debts incurred to defray
campaign expenses of the candidate; paying for any expense incurred in
the proper performance of the office to which the candidate is elected,
as long as each expenditure is itemized on expenditure reports; and a
gift to a charitable or educational organization that is not prohibited,
for tax reasons, from receiving such a gift \[220\].

Property and equipment that is not exclusive to use in a campaign (e.g.,
computers and associated equipment, etc.) that has been purchased with
Maine Clean Election Act funds loses its campaign-related purpose
following the election, and must be liquidated at its fair market value
and the proceeds reimbursed to the Maine Clean Election Fund as unspent
fund revenues \[221\].

**C. Record Retention.** The treasurer of a political committee or
candidate is required to preserve all receipted bills and accounts, to
be kept under the provisions for campaign reports and finances for two
years following the final report required to be filed for the election
to which they pertain, unless otherwise ordered by the commission or a
court \[222\]. The treasurer of a political action committee is required
to retain all receipts of expenditures made for a candidate, committee,
or campaign in Maine for a four‑year period \[223\], and retain other
records until 10 days after the next election following the election to
which the records pertain \[224\].

**VIII. OFFENSES AND PENALTIES**

**A. Civil Penalties.** A penalty of \$10 may be imposed for late
candidate, treasurer or political committee registrations \[225\]. A
penalty of \$250 may be imposed for late political action committee
registrations \[226\].

If a required candidate or political committee report is late, a fine of
one percent of the total contributions or expenditures for the filing
period, whichever is greater, multiplied by the number of calendar days
late, will be levied on the first offense; three percent for the second
offense; and five percent for the third and subsequent violations
\[227\], to a maximum of \$5,000 for gubernatorial candidates,
candidates for state and county offices and political committees;
\$1,000 for certain contribution and filing or nominations by petition,
and certain actions by state party committees; and \$500 for certain
filings for municipal, district and county offices \[228\]. Violations
accumulate on reports with filing deadlines in a two-year period that
begins on January 1st of each even numbered year \[229\]. A report
required to be filed that is sent by certified or registered United
States mail and postmarked at least two days before the deadline is not
subject to penalty \[230\]. Reports may also be transmitted by FAX so
long as an original of the same report is received by the commission
within five calendar days \[231\]. A candidate or treasurer who fails to
file a report as required within 30 days of the filing deadline is
guilty of a Class E crime \[232\]. There is a policy for a commission
determination to be requested by a candidate found to be late in filing
his or her report \[233\].

If a required political action committee report is late, a fine of one
percent of the total contributions or expenditures for the filing
period, whichever is greater, multiplied by the number of calendar days
late, will be levied on the first offense; three percent for the second
offense; and five percent for the third and subsequent violations
\[234\], to a maximum of \$5,000 for gubernatorial candidates,
candidates for state and county offices and political committees;
\$1,000 for certain contribution and filing or nominations by petition,
and certain actions by state party committees; and \$500 for certain
filings for municipal, district and county offices \[235\]. Violations
accumulate on reports with filing deadlines in a two-year period that
begins on January 1st of each even numbered year \[236\].

A report required to be filed that is sent by certified or registered
U.S. mail and postmarked at least two days before the deadline is not
subject to penalty \[237\]. Reports may also be sent by FAX if an
original of the same report is received by the Commission within five
calendar days \[238\]. A candidate or treasurer who fails to file a
report as required within 30 days of the filing deadline is guilty of a
Class E crime \[239\]. There is a policy for a Commission determination
to be requested by a candidate found to be late in filing his or her
report \[240\].

An expenditure, communication, or broadcast made within 10 days before
the election to which it relates that results in a violation of the
campaign finance provisions may result in a civil penalty of no more
than \$200 \[241\]. An expenditure, communication, or broadcast made
more than 10 days before the election to which it relates that results
in a violation of the campaign finance provisions may result in a civil
penalty of no more than \$100 if the violation is not corrected within
10 days after the candidate receives notification of the violation from
the commission \[242\].

In addition to any other penalties that may be applicable, a person who
violates any provision of the Maine Clean Election Act is subject to a
civil penalty not to exceed \$10,000 per violation payable to the fund,
recoverable in a civil action \[243\]. In addition to any fine, for good
cause shown, a candidate found in violation of the Act may be required
to return to the fund all amounts distributed to the candidate from the
fund \[244\]. If the Commission makes a determination that a violation
of this chapter has occurred, the Commission shall assess a fine or
transmit the finding to the Attorney General for prosecution \[245\].
Fines paid under this section must be deposited in the fund. In
determining whether or not a candidate is in violation of the
expenditure limits of this chapter, the Commission may consider as a
mitigating factor any circumstances out of the candidate's control
\[246\].

**B. Criminal Penalties.** The violation of any of the following is a
class E crime \[247\]: a person, candidate, treasurer, political
committee, or political action committee knowingly making or accepting a
contribution or making an expenditure in violation of chapter 13, the
campaign report and finance law \[285\]; a person, candidate, treasurer,
or political action committee making a false statement in any report
required by the campaign report and finance law \[249\]; a person making
a contribution in the name of another person, knowingly permitting his
or her name to be used to accomplish such a contribution, or knowingly
accepting a contribution made by a person in the name of another person
\[250\]; operation of a political action committee required to be
registered in Maine unless it is so registered \[251\].

A person who willfully or knowingly violates the Clean Election Act or
related rules of the Commission, or who willfully or knowingly makes a
false statement in any report required by this chapter commits a Class E
crime and, if certified as a Maine Clean Election Act candidate, must
return to the fund all amounts distributed to the candidate \[252\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Commission on Governmental Ethics and Election Practices.** The
Commission on Governmental Ethics and Election Practices consists of
five members appointed by governor, the governor after a nomination
period during which members of the public, groups and organizations may
nominate qualified individuals to the governor for appointment to the
Commission subject to review by the joint standing committee of the
legislature \[253\]. No more than two Commission members may be enrolled
in the same political party \[254\]. After initial staggered
appointments, members are appointed to serve four‑year terms, and a
person may not serve more than two terms \[255\]. The Commission members
elect one member to serve as chair for at least a two‑year term \[256\].

The members of the Commission are to be persons of recognized judgment,
probity, and objectivity, and a person may not be appointed who is a
member of the current or previous legislature, or who was a declared
candidate for an elective county, state, or federal office within two
years prior to the appointment, or who now holds an elective county,
state or federal office, or who is an officer of a political committee,
party committee or political action committee \[257\].

The Commission has several duties related to the Maine Clean Election
Act. Upon receipt of a final submittal of qualifying contributions by a
participating candidate, the Commission must determine whether or not
the candidate has met the requirements for participation in the program
\[258\]. The Commission must certify a candidate complying with the
requirements as soon as possible and no later than three days after
final submittal of qualifying contributions \[259\]. The Commission must
publish guidelines outlining permissible campaign‑related expenditures
\[260\]. The Commission must hear appeals on funding decisions \[261\].
The Commission is also required to report for the legislature by January
30, 2002, and every four years after that date, documenting, evaluating,
and making recommendations related to the administration,
implementation, and enforcement of the Maine Clean Election Act and the
Maine Clean Election Fund \[262\].

The Commission is to determine whether a required report received after
the deadline is late and if so the number of days of lateness \[263\],
and has the responsibility for collecting the full amount of any
penalty, reporting delinquencies to the attorney general \[264\]. The
Commission also prescribes and mails forms for required reports to
candidates and committees at least seven days prior to the filing date
for the report \[265\]. The Commission also publishes a list of
candidate for state representative and state senator who voluntarily
agree to limit campaign expenditures under law \[266\].

The Commission is empowered to administer and investigate any violations
of the requirements for campaign reports and campaign financing \[264\],
and may, in the performance of its duties, call for the aid of, or
assistance by, the attorney general, Secretary of State, or state
auditor \[268\].

The Commission is empowered to investigate to determine the facts
concerning contributions to, and expenditures by, any person, candidate,
or political action committee, and may subpoena witnesses and record and
take evidence under oath \[269\]. Any person may make written
application to the Commission requesting an investigation concerning the
contributions and expenditures, and the Commission must review the
application and make the investigation if the reasons stated for the
request show sufficient grounds for believing that a violation may have
occurred \[270\].

**B. Secretary of State.** The Secretary of State is also responsible
for assisting the Commission in making investigations and in other
phases of the Commission's duties, as requested by the Commission, and
has all necessary powers to carry out these responsibilities \[271\].

**C. Attorney General.** Upon receiving notice from the Secretary of
State that a person has failed to pay the full amount of a late filing
penalty, the attorney general must enforce the violation in a civil
action to collect the full amount outstanding in the superior court for
the county of Kennebec or the district court, seventh district, division
of Southern Kennebec \[272\].

The attorney general is required to prosecute any class E crime
committed under the campaign reporting and finance provisions \[273\].
The attorney general also serves as counsel for the Commission any may
examine any witnesses before the Commission \[274\].

**D. State Auditor and State Tax Assessor.** The state auditor is to
assist the Commission in making investigations and in other phases of
the Commission's duties, and has all necessary powers to carry out such
responsibilities \[275\]. The state tax assessor must transfer funds
from the General Fund to candidates as provided by law \[276\].

# References

1\. Maine Revised Statutes Annotated

(hereafter MRSA) tit. 21‑A § 1012(2)(A)(1).

Noncommercial loans are considered to be

contributions to the candidate and the

lender is subject to the contribution

limitations. However, this limitation does

not apply to loans by a candidate or the

candidate's spouse. Maine Comm'n on

Gov'tl Ethics and Election Practices,

*A Candidate's Guide to Campaign*

*Finance Reporting* ( November 17, 1999)

2\. MRSA tit. 21‑A § 1012(2)(A)(2)

3\. MRSA tit. 21‑A § 1012(2)(A)(3)

4\. MRSA tit. 21‑A § 1012(2)(A)(4)

5\. MRSA tit. 21‑A § 1012(2)(B)(1)

6\. MRSA tit. 21‑A § 1012(2)(B)(2)

7\. MRSA tit. 21‑A § 1012(2)(B)(3)

8\. MRSA tit. 21‑A § 1012(2)(B)(4)

9\. MRSA tit. 21‑A § 1012(2)(B)(5)

10\. MRSA tit. 21‑A § 1012(2)(B)(6)

11\. MRSA tit. 21‑A § 1012(2)(B)(7)

12\. MRSA tit. 21‑A § 1012(2)(B)(7)(a)

13\. MRSA tit. 21‑A § 1012(2)(B)(7)(b)

14\. MRSA tit. 21‑A § 1012(2)(B)(7)(c)

15\. MRSA tit. 21‑A § 1012(2)(B)(9)

16\. MRSA tit. 21‑A § 1012(2)(B)(10)

17\. MRSA tit. 21‑A § 1017(5-A)(A)

18\. MRSA tit. 21‑A § 1017(5-A)(B)

19\. MRSA tit. 21-A § 1052(3)(A)

20\. MRSA tit. 21-A § 1052(3)(B)

21\. MRSA tit. 21-A § 1052(3)(C)

22\. MRSA tit. 21-A § 1052(3)(D)

23\. MRSA tit. 21-A § 1015(1)

24\. MRSA tit. 21-A § 1015(2)

25\. MRSA tit. 21‑A § 1015(3)

26\. MRSA tit. 21‑A § 1015(4)

27\. MRSA tit. 21‑A § 1015(5)

28\. MRSA tit. 21‑A § 1013-A(1)(A)

29\. MRSA tit. 21‑A § 1013-A(1)(B)

30\. MRSA tit. 21‑A § 1016(1)

31\. Maine Canons of Judicial Conduct

(hereafter Canons) 5A(1)(e)

32\. Canons 5C(3)

33\. Canons 5C(3)

34\. Canons 5C(3)

35\. MRSA tit. 21‑A § 7056-A(2)(A)

36\. MRSA tit. 21‑A § 7056-A(2)(B)

37\. MRSA tit. 21‑A § 7056-A(2)(C)

38\. MRSA tit. 21‑A § 7056-A(2)(D)

39\. MRSA tit. 21‑A § 7056-A(2)(E)(1)

40\. MRSA tit. 21‑A § 7056-A(2)(E)(2)

41\. MRSA tit. 21‑A § 7056-A(2)(E)(3)

42\. Maine Comm'n on Gov'tl Ethics and

Election Practices, *A Candidate's Guide to*

*Campaign Finance Reporting* ( November

17, 1999)

43\. MRSA tit. 21‑A § 1004(3)

44\. MRSA tit. 21‑A § 1012(3)(A)(1)

45\. MRSA tit. 21‑A § 1052(4)(A)(1)

46\. MRSA tit. 21‑A §§ 1012(3)(A)(2);

1052(4)(A)(2)

47\. MRSA tit. 21‑A § 1012(3)(A)(3)

48\. MRSA tit. 21‑A § 1052(4)(A)(3)

49\. MRSA tit. 21‑A §§1012(3)(B)(1);

1052(4)(B)(1)

50\. MRSA tit. 21‑A §§ 1012(3)(B)(2);

1052(4)(B)(2)

51\. MRSA tit. 21‑A §§ 1012(3)(B)(3);

1052(4)(B)(3)

52\. MRSA tit. 21‑A §§ 1012(3)(B)(4);

1052(4)(B)(4)

53\. MRSA tit. 21‑A §§ 1012(3)(B)(5);

1052(4)(B)(5)

54\. MRSA tit. 21‑A §§ 1012(3)(B)(6);

1052(4)(B)(6)

55\. MRSA tit. 21‑A § 1012(3)(B)(7)

56\. MRSA tit. 21‑A § 1012(3)(B)(8)

57\. MRSA tit. 21‑A § 1012(3)(B)(9)

58\. MRSA tit. 21‑A § 1012(3)(B)(10)(a)

59\. MRSA tit. 21‑A § 1012(3)(B)(10)(b)

60\. MRSA tit. 21‑A § 1012(3)(B)(10)(c)

61\. MRSA tit. 21‑A § 1012(3)(B)(11)

62\. MRSA tit. 21‑A § 1012(3)(B)(12)

63\. MRSA tit. 21‑A § 1013-A(1)(A)

64\. MRSA tit. 21‑A § 1013-A(1)(B)

65\. MRSA tit. 21‑A § 1054

66\. MRSA tit. 21-A § 1013-A(1)(C)

67\. MRSA tit. 21-A § 1013-A(1)(C)

68\. MRSA tit. 21-A §§ 1015(8)(A)(B);

1015(9)

69\. MRSA tit. 21-A § 1015(8)

70\. MRSA tit. 21‑A § 1015(5)

71\. MRSA tit. 21‑A §§ 1015(6); 1056(2)

72\. MRSA tit. 21‑A § 1053

73\. MRSA tit. 21‑A § 1056(1)

74\. MRSA tit. 21‑A § 1013-A(1)

75\. MRSA tit. 21‑A § 1013-A(1)(A)

76\. MRSA tit. 21‑A § 1013-A(1)(B)

77\. MRSA tit. 21‑A § 1013-A(1)(B)

78\. MRSA tit. 21‑A § 1013-A(1)(B)

79\. MRSA tit. 21-A § 1013-A(1)(B)(1)

80\. MRSA tit. 21-A § 1013-A(1)(B)(2)

81\. MRSA tit. 21-A § 1013-A(1)(B)(3)

82\. MRSA tit. 21-A § 1013-A(1)(B)(4)

83\. MRSA tit. 21-A § 1013-A(3)

84\. MRSA tit. 21-A § 1013-A(3)

85\. MRSA tit. 21-A § 1053. *But see, Volle et al.*

*v. Webster, et al.,* 69 F. Supp.2d 171 (D.Me.

1999).) (certain individuals and entities

cannot be forced to form a PAC and report

contributions and expenditures if they do

not exist primarily to support or oppose

ballot questions).

86\. MRSA tit. 21-A § 1053(1)

87\. MRSA tit. 21-A § 1053(2)

88\. MRSA tit. 21-A § 1053(3)

89\. MRSA tit. 21‑A § 1053(4)

90\. MRSA tit. 21‑A § 1053(5)

91\. MRSA tit. 21‑A § 1053(6)

92\. MRSA tit. 21‑A § 1053(6)

93\. MRSA tit. 21‑A § 1053(7)

94\. MRSA tit. 21‑A § 1017-A(1)

95\. MRSA tit. 21‑A § 1017-A(1)

96\. MRSA tit. 21‑A § 1017-A(1)

97\. MRSA tit. 21‑A § 1017-A(2)

98\. MRSA tit. 21‑A § 1017-A(2)(A)

99\. MRSA tit. 21‑A § 1017-A(2)(B)

100\. MRSA tit. 21‑A § 1017-A(2)(C)

101\. MRSA tit. 21‑A § 1017-A(3)

102\. MRSA tit. 21‑A § 1017-A(4)(C)

103\. MRSA tit. 21‑A § 1018(2). *See*, *Daggett,*

*et al. v. Webster, et al.*,190 F.R.D. 12

(D.Me. 1999, *aff'd*, 205 F.3d 445

(Ct. App. 1 2000)

104\. MRSA tit. 21-A § 1018(2)

105\. MRSA tit. 21-A § 1018(2)

106\. MRSA tit. 21‑A § 1018(2)(B)

107\. MRSA tit. 21‑A §§ 1017(1); 1018(1)

108\. MRSA tit. 21-A § 1017(2)(A)

109\. MRSA tit. 21-A § 1017(2)(B)

110\. MRSA tit. 21-A § 1017(2)(C)

111\. MRSA tit. 21-A § 1017(2)(D)

112\. MRSA tit. 21‑A § 1017(2)(E)

113\. MRSA tit. 21‑A § 1017(2)(F)

114\. MRSA tit. 21‑A § 1017(2)(F)

115\. MRSA tit. 21‑A § 1017(2)(F)

116\. MRSA tit. 21‑A § 1017(3-A)(A)

117\. MRSA tit. 21-A § 1017(3-A)(B)

118\. MRSA tit. 21-A § 1017(3-A)(B)

119\. MRSA tit. 21-A § 1017(3-A)(C)

120\. MRSA tit. 21-A § 1017(3-A)(D)

121\. MRSA tit. 21-A § 1017(3-A)(E)

122\. MRSA tit. 21‑A § 1017(3-A)(E)

123\. MRSA tit. 21‑A § 1017(3-A)(E)

124\. MRSA tit. 21-A § 1011(2)(A)

125\. MRSA tit. 21-A § 1011(2)(B)

126\. MRSA tit. 21-A § 1011(2)(B)

127\. MRSA tit. 21‑A § 1017(5)

128\. MRSA tit. 21-A § 1017(5)

129\. MRSA tit. 21‑A § 1017(5)

130\. MRSA tit. 21‑A § 1016(2)

131\. MRSA tit. 21-A § 1017(7-A)(A)

132\. MRSA tit. 21-A § 1017(7-A)(A)

133\. MRSA tit. 21-A § 1017(7-A)(A)

134\. MRSA tit. 21-A § 1017(7-A)(B)

135\. MRSA tit. 21-A § 1017(7-A)(B)

136\. MRSA tit. 21-A § 1017(7-A)(B)

137\. MRSA tit. 21-A § 1017(7-A)(B)

138\. MRSA tit. 21-A § 1017(7-A)(B)

139\. MRSA tit. 21-A § 1019. *See*, *Daggett, et*

*al. v. Webster, et al.*,190 F.R.D. 12

(D.Me. 1999, *aff'd*, 205 F.3d 445 (Ct.

App. 1 2000)

140\. MRSA tit. 21-A § 1019

141\. MRSA tit. 21‑A § 1019(2)

142\. MRSA tit. 21‑A § 1019(2)

143\. MRSA tit. 21‑A § 1019(2)

144\. MRSA tit. 21‑A § 1058

145\. MRSA tit. 21-A § 1058

146\. MRSA tit. 21-A § 1059(2)(A)(1)

147\. MRSA tit. 21-A § 1059(2)(A)(2)

148\. MRSA tit. 21-A § 1059(2)(A)(3)

149\. MRSA tit. 21-A § 1059(2)(A)(4)

150\. MRSA tit. 21-A § 1059(2)(B)(1)

151\. MRSA tit. 21-A § 1059(2)(B)(2)

152\. MRSA tit. 21-A § 1059(2)(C)(1)

153\. MRSA tit. 21-A § 1059(2)(C)(2)

154\. MRSA tit. 21-A § 1059(2)(D)

155\. MRSA tit. 21-A § 1062-A(2)

156\. MRSA tit. 21-A § 1059(2)(E)

157\. MRSA tit. 21-A § 1060(1)

158\. MRSA tit. 21-A § 1060(1)

159\. MRSA tit. 21-A § 1060(2)

160\. MRSA tit. 21-A § 1060(3)

161\. MRSA tit. 21-A § 1060(4)

162\. MRSA tit. 21-A § 1060(5)

163\. MRSA tit. 21‑A § 1060(6)

164\. MRSA tit. 21‑A § 1060(7)

165\. MRSA tit. 21-A § 1059(1)

166\. MRSA tit. 21-A § 1061

167\. MRSA tit. 21-A § 1061

168\. MRSA tit. 36 § 5283

169\. MRSA tit. 21-A § 1124

170\. MRSA tit. 21-A § 1123. *See*, *Daggett, et*

*al. v. Webster, et al.*,190 F.R.D. 12

(D.Me. 1999, *aff'd*, 205 F.3d 445 (Ct.

App. 1 2000)

171\. MRSA tit. 21-A § 1125(1)

172\. MRSA tit. 21-A § 1125(1)

173\. MRSA tit. 21-A §§ 1122(8)(A); 1125(11)

174\. MRSA tit. 21-A §§ 1122(8)(B); 1125(11)

175\. MRSA tit. 21-A §§ 1125(2); 1122(9)

176\. MRSA tit. 21-A § 1122(9)

177\. MRSA tit. 21-A § 1125(2)(A)

178\. MRSA tit. 21-A § 1125(2)(B)

179\. MRSA tit. 21-A § 1125(2)(C)

180\. MRSA tit. 21-A § 1125(2)

181\. MRSA tit. 21-A § 1122(7)

182\. MRSA tit. 21-A § 1125(3)(A)

183\. MRSA tit. 21-A § 1125(3)(B)

184\. MRSA tit. 21-A § 1125(3)(C)

185\. MRSA tit. 21-A § 1125(3)

186\. MRSA tit. 21-A § 1125(3)

187\. MRSA tit. 21-A § 1125(4)

188\. MRSA tit. 21-A § 1125(5)

189\. MRSA tit. 21-A § 1125(5)

190\. MRSA tit. 21-A § 1125(5)

191\. MRSA tit. 21-A § 1125(6)

192\. MRSA tit. 21-A § 1125(6)

193\. MRSA tit. 21-A § 1125(7)(A)

194\. MRSA tit. 21-A § 1125(7)(B)

195\. MRSA tit. 21-A § 1125(7)(B-1)

196\. MRSA tit. 21-A § 1125(7)(C); *Daggett v.*

*Comm'n on Gov'tl Ethics & Election*

*Practices*, 205 F.3d 445 (Ct. App. 1

Me. 2000)

197\. MRSA tit. 21-A § 1125(8)

198\. MRSA tit. 21-A § 1125(8)(A)

199\. MRSA tit. 21-A § 1125(8)(B)

200\. MRSA tit. 21-A § 1125(8)(C)

201\. MRSA tit. 21-A § 1125(8)(D)

202\. MRSA tit. 21-A § 1125(8)

203\. MRSA tit. 21-A § 1125(8)

204\. MRSA tit. 21-A § 1125(10)

205\. MRSA tit. 21-A § 1125(10)

206\. MRSA tit. 21-A § 1125(10)

207\. MRSA tit. 21-A § 1125(12)

208\. MRSA tit. 21-A § 1125(13)

209\. MRSA tit. 21-A § 1125(9). *Daggett, et al.*

*v. Webster, et al.*,190 F.R.D. 12 (D.Me.

1999, *aff'd*, 205 F3.d 445 (1st Cir. 2000);

*New Hampshire Right to Life PAC v.*

*Gardner*, 99 F.3d 8, 19-20 (Ct. App. 1

1996).

210\. MRSA tit. 21-A § 1125(9)

211\. MRSA tit. 21-A § 1125(14)(A)

212\. MRSA tit. 21-A § 1125(14)(B)

213\. MRSA tit. 21-A § 1125(14)(B)

214\. MRSA tit. 21-A § 1125(14)(C)

215\. MRSA tit. 21-A § 1125(14)(D)

216\. MRSA tit. 21-A § 1125(14)(D)

217\. MRSA tit. 36 § 5283

218\. MRSA tit. 36 § 5283

219\. MRSA tit. 36 § 5286(1)

220\. MRSA tit. 21-A § 1017(8)

221\. Maine Comm'n on Gov'tl Ethics and

Election Practices, Commission Rules,

§ 7(2)(C)

222\. MRSA tit. 21‑A § 1016

223\. MRSA tit. 21-A § 1054

224\. MRSA tit. 21‑A § 1057

225\. MRSA tit. 21‑A § 1020-A(1)

226\. MRSA tit. 21‑A § 1062-A(1)

227\. MRSA tit. 21-A § 1020-A(4)(A)(B)(C)

228\. MRSA tit. 21‑A § 1020-A(4)(A)(B)(C)

229\. MRSA tit. 21‑A § 1020-A(4)

230\. MRSA tit. 21‑A § 1020-A(4)

231\. MRSA tit. 21‑A § 1020-A(4)

232\. MRSA tit. 21‑A § 1020-A(8)

233\. MRSA tit. 21-A § 1020-A(6)

234\. MRSA tit. 21-A § 1062-A(4)(A)(B)(C)

235\. MRSA tit. 21‑A § 1062-A(4)(A)(B)(C)

236\. MRSA tit. 21‑A § 1062-A(4)

237\. MRSA tit. 21‑A § 1062-A(4)

238\. MRSA tit. 21‑A § 1062-A(4)

239\. MRSA tit. 21‑A § 1062-A(8)

240\. MRSA tit. 21-A § 1062-A(6)

241\. MRSA tit. 21-A § 1014(4)

242\. MRSA tit. 21-A § 1014(4)

243\. MRSA tit. 21-A § 1127(1)

244\. MRSA tit. 21-A § 1127(1)

245\. MRSA tit. 21-A § 1127(1)

246\. MRSA tit. 21-A § 1127(1)

247\. MRSA tit. 21-A § 1004

248\. MRSA tit. 21-A § 1004(1)

249\. MRSA tit. 21-A § 1004(2)

250\. MRSA tit. 21‑A § 1004(3)

251\. MRSA tit. 21‑A § 1004(4)

252\. MRSA tit. 21‑A § 1127(2)

253\. MRSA tit. 1 §§ 1002(1)(A), (B)

254\. MRSA tit. 1 § 1002(1)(B)

255\. MRSA tit. 1 § 1002(1)(C)

256\. MRSA tit. 1 § 1002(1)(D)

257\. MRSA tit. 1 § 1002(2)

258\. MRSA tit. 21-A § 1125(5)

259\. MRSA tit. 21-A § 1125(5)

260\. MRSA tit. 21-A § 1125(6)

261\. MRSA tit. 21-A § 1125

262\. MRSA tit. 21-A § 1128

263\. MRSA tit. 21‑A §§ 1020-A; 1062-A

264\. MRSA tit. 21‑A §§ 1020-A; 1062-A

265\. MRSA tit. 21‑A §§ 1017(6); 1018(2)(C);

1019(3)

266\. MRSA tit. 21-A § 1015(9)

267\. MRSA tit. 1 § 1008(2)

268\. MRSA tit. 21‑A § 1003(3)(4)

269\. MRSA tit. 21‑A §§ 1003(1), (2)

270\. MRSA tit. 21‑A § 1003(2)

271\. MRSA tit. 21-A § 1003(3)

272\. MRSA tit. 21-A § 1020-A; 1062-A

273\. MRSA tit. 21-A § 1003(4); *see, Daggett,*

*et al. v. Webster, et al.*,190 F.R.D. 12

(D.Me. 1999, *aff'd*, 205 F3.d 445 (Ct.

App. 1 2000)

274\. MRSA tit. 21-A § 1003(4)

275\. MRSA tit. 21-A § 1003(3)

276\. MRSA tit. 36 § 5286(3)

**CAMPAIGN FINANCE LAW**

**IN MARYLAND**

**I. INTRODUCTION**

Maryland requires all candidates receiving contributions of, or spending
\$300 or more, and all registered political committees to make periodic
campaign reports. Supplemental reports of the disposition of a surplus
or deficit are also required. An individual or non‑party entity is
limited to an aggregate of \$4,000 in contributions per candidate per
election, with an overall limit of \$10,000 in contributions in any
four-year election cycle, although a political committee may contribute
as much as \$6,000 to the a candidate committee or other political
committee during the four-year election cycle. A candidate and the
candidate's spouse are not limited in the amount they may contribute to
the candidate's own campaign, and political party contributions are not
limited. Cash contributions must be \$100 or less, and anonymous
contributions are prohibited. Lobbyists have significant restrictions in
soliciting or transmitting contributions for the benefit of statewide
officials and members of the general assembly, or candidates for such
offices. Maryland offers no tax incentives for political contributions
but provides for public funding of election campaigns for the offices of
governor and lieutenant governor only. Special provisions apply to
candidates for local office in Prince George's, Howard, and Montgomery
counties. The State Board of Elections is responsible for overseeing the
campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is the gift, transfer,
or promise of a gift or transfer of money or other thing of value to any
candidate or his or her representative or to a representative of any
political party to promote, or assist in the promotion of, the success
or defeat of any candidate, political party, principle, or proposition
submitted to a vote at any election \[1\].

A contribution includes proceeds from the sale of tickets to a campaign
fundraising event \[2\].

A loan to a candidate or political committee is considered to be a
contribution in the amount of the outstanding principal balance of the
loan unless the loan is from a financial institution or other entity in
the business of making loans \[3\]; or the loan is to a candidate or a
candidate's campaign committee, its repayment is personally guaranteed
by the candidate, and the loan is repaid by the end of the next election
cycle \[4\]. If interest on a loan is not charged, or is charged at a
rate less than the prime rate on the day that the loan is made, the
amount of the interest computed at the prime rate less the interest
actually charged constitutes a reportable contribution subject to the
limits \[5\].

The personal expenses of the candidate for filing fees, telegrams,
telephone, travel, and board are not considered to be contributions if
paid for by the candidate or the candidate's spouse \[6\].

**B. Limitations on Nature of Contributions.** All contributions
designed to aid or promote the success or defeat of any political party,
principle, proposition, or candidate are to be made to the candidate's
treasurer or subtreasurer or treasurer of a political committee in their
official capacity \[7\]. Contributions may be made directly to a
candidate as long as the candidate reports the contribution to his or
her treasurer \[8\]. A contribution intended to conceal the true
identity of the actual contributor or the identity of the intended
recipient is prohibited \[9\]. No loans may be made to the campaign of a
candidate or accepted on behalf of the campaign without the candidate's
express written consent, which is to be furnished to the lender at the
time of the loan and attached to the appropriate campaign fund report
\[10\], and must include the lender's name and signature \[11\], the
schedule for repayment \[12\], and the interest rate \[13\]. An
anonymous contribution must be disbursed by the recipient to the state
treasurer \[14\]. Certain contributors must be issued "campaign
contribution receipts" \[15\]. State and local government employees are
not obligated to contribute or render political service \[16\].

**C. Limitations on Amounts of Contributions.** Contributions from any
individual, association, unincorporated association, corporation, or any
other entity to any candidate are limited to \$4,000 in any four-year
election cycle, with total contributions from a contributor limited to
\$10,000 in any four-year election cycle \[17\], except those
contributions or loans from a candidate or the candidate's spouse
\[18\]. A contribution of \$4,000 each to a candidate for governor and a
candidate for lieutenant governor, running on the same ticket in each
election, is presumably permitted \[19\]. Contributions of more than
\$100 must be made by check; contributions up to \$100 can be made by
credit card \[20\]. A contribution made by a corporation and any wholly
owned subsidiary of the corporation or two or more corporations owned by
the same stockholder are considered as being made by one contributor
\[21\].

During a four-year election cycle, the limit on contributions by the
governing body for a political party is not more than \$1 for every two
registered voters in the State, regardless of party affiliation, as of
January 1 following the preceding gubernatorial election \[22\]; for the
governing body of a local central committee for a political party, not
more than \$1 for every two registered voters in the county, regardless
of party affiliation, as of January 1 following the preceding
gubernatorial election \[23\].

During a four-year election cycle, the treasurer of a political
committee or the treasurer of a candidate may not transfer any money
greater than \$6,000 to the treasurer of a political committee of a
candidate or any other political committee \[24\]. These limitations may
not apply to transfers between and among political committees that are
state or local committees of the same political party \[25\]; transfers
between and among a slate and its candidate members \[26\]; and
transfers between a campaign committee authorized by a candidate and
that candidate's treasurer \[27\]. All affiliated committees---those
organized and operated in coordination and cooperation with each other,
or otherwise conduct their operations and make their contribution
decisions under the control of the same individual or entity---are
treated as a single transferor \[28\].

The limits on contributions and transfers do not apply to a contribution
or transfer made by a person to a ballot issue committee \[29\].

In‑kind contributions of time, personal vehicles, or monetary
expenditures for legal expenses associated with maintaining or
contesting the result of the election are not limited \[30\].

**D. Limitations on Lobbyist Contributions and Fundraising Activity.** A
lobbyist, or a person acting on behalf of a lobbyist, may not organize
or establish a political committee for the purpose of soliciting or
transferring contributions, or transfer from any person to a the
governor, lieutenant governor, attorney general, comptroller, or
candidate for any of these offices, or to a member of or candidate for
election to the general assembly \[31\]. A lobbyist may, however, make a
personal contribution within Article 33 limits \[32\].

Beginning with the starting date on the lobbying registration form and
extending through the end of the calendar year in which the registration
period ends, a lobbyist, or a person acting on behalf of a lobbyist, who
lobbies the executive or legislative branch may not (1) solicit or
transmit a contribution from any person, including a political
committee, for the benefit of the governor, lieutenant governor,
attorney general, comptroller, or candidate for such an office, or a
member of or candidate for election to the general assembly \[30\]; (2)
serve on a fundraising committee of, or a political committee for the
benefit of, such a person \[34\]; or (3) act as a treasurer or chair of
a political committee for the benefit of such a person \[35\].

A lobbyist may, however, inform a lobbyist's employer or others of the
positions taken by a particular candidate for office \[36\], and if a
political action committee asks a lobbyist who to make contributions to,
the lobbyist may respond \[37\]. If a political action committee
purchases tickets to a candidate's fundraiser, the committee may give
the tickets to their lobbyists so they may attend the event, but only if
the lobbyist neither solicited nor transmitted the ticket payment
\[38\].

**E. Limitations on Contributions During Legislative Session.** During a
regular session of the general assembly, the governor, the lieutenant
governor, the attorney general, the comptroller, a member of the general
assembly, or a person acting on behalf of any of these officeholders may
not receive a contribution for any candidate for federal, state, or
local office, any authorized campaign committee, or for any central
committee, or political committee operated in coordination with a
candidate \[39\]; conduct a fundraising event in order to receive a
contribution for any such candidate or entity \[40\]; solicit or sell a
ticket to a fundraising event for any such candidate or entity \[41\];
or deposit any contribution received before the convening of the regular
session for any such candidate or entity \[42\].

The governor, the lieutenant governor, the attorney general, the
comptroller, or a member of the general assembly who has properly filed
as a candidate for an elective federal or local government office
\[43\], or a person acting on behalf of any of these officeholders
\[44\], may accept and deposit a contribution solely for purposes
relating to the election of the individual to a federal or local
government office \[45\]; conduct a fundraising event in order to
receive a contribution solely for a purpose relating to the election of
the individual to a federal or local government office \[46\]; or
solicit or sell a ticket to a fundraising event solely for a purpose
relating to the election of the individual to a federal or local
government office \[47\].

**F. Limitations on Contributions by Certain Publicly Funded Entities.**
An association, unincorporated association, corporation, or any other
entity that receives the majority of its operating funds from state
funding may not make a contribution to a candidate or political
committee \[48\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is any gift, transfer,
disbursement, or promise of money or valuable thing by any candidate,
treasurer, or other agent of a candidate, or political party to promote,
or assist in the promotion of, the success or defeat of any candidate,
political party, principle, or proposition submitted to a vote at any
election \[495\], or payment for the expenses of a legislative
newsletter \[50\].

An independent expenditure is an expenditure by a person or political
committee to aid or promote the success or defeat of any candidate that
is not made in coordination with, or at the request or suggestion of, a
candidate or authorized committee, or agent of the candidate \[51\].

**B. Limitation on Nature of Expenditures.** All expenditures must be
disbursed by or through the treasurer \[52\], must be made by check from
a designated campaign depository \[53\], and must be supported by a
retained receipt \[54\]. A candidate, campaign treasurer, or
subtreasurer, or a person authorized by a candidate, campaign treasurer,
or subtreasurer, may pay an expense of the candidate or campaign entity
from funds other than a campaign account if the expenditure is supported
by a receipt that is retained by the treasurer or subtreasurer of the
campaign entity \[55\], and the treasurer or subtreasurer reimburses the
person who paid the expense by check from the campaign account and
reports the nature of the expenditure and the amount of the
reimbursement as an expenditure in accordance with reporting
requirements \[56\].

A petty cash fund of up to \$250 which may be maintained and supported
by vouchers \[57\]. No more than an aggregate amount in \$25 may be
disbursed from the petty cash fund to a single recipient in any primary
or general election \[58\]. Records must be retained for two years after
the filing of the final report that show the names and addresses of
those to whom expenditures were made and the dates, amounts, and
purposes of the expenditures \[59\].

Candidates, states, political committees, or parties, and those
operating on behalf of any of these entities, are prohibited from
directly or indirectly paying anything of value in return for a
political endorsement, "walk‑around services," or any other services as
a poll worker or distributor of sample ballots on election day \[60\].

**C. Limitation on Expenditures by Publicly‑Financed Candidates.** A
public contribution may be expended only with the authority of the
candidate or his treasurer \[61\] to further the candidate's nomination
or election \[62\], for expenses incurred not later than 30 days after
the election for which they were made \[63\], and for purposes that are
not violative of state law \[64\]. A candidate may not expend a public
contribution for real or personal property retained later than 30 days
after either the primary election by a candidate who has received a
public contribution in the primary election \[65\], or the general
election by a candidate who has received a public contribution in the
general election or both the primary and the general election \[66\].

The treasurer of a candidate who applies for and accepts public
contributions from the fair campaign financing fund may not spend in
excess of 30 cents multiplied by the population of the state adjusted
annually, beginning January 1, 1997, in accordance with the Consumer
Price Index \[67\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Each candidate for nomination or election to public
or party office in Maryland is required to designate one campaign
treasurer with the appropriate county board of supervisors of elections
or the State Board of Elections, depending upon which entity the
candidate is required to file a certificate of candidacy with prior to
qualifying as a candidate \[68\]. Every local or statewide party
governing body or central committee \[69\]; all partisan organizations
which are combinations of two or more persons formed to promote the
success or defeat of any candidate, political party, principle, or
proposition to be voted upon \[70\]; and all political committees, which
are combinations of two or more persons appointed by a candidate or any
other person, or formed in any other manner that promotes the success or
defeat of any candidate, political party, principle, or proposition to
be voted upon \[71\], must also designate a treasurer (and chairman),
who must be a registered voter of the state, and notify the entity with
which it is to file reports of contributions and expenditures \[72\].

Each political committee is required to file, with the appropriate
filing officer, a statement of purpose, which contains the political
committee's name \[73\] and affiliation with candidates \[74\] or other
entities or groups \[75\]. The statement of purpose must also contain
the name of the candidate or ballot question, if any, that the committee
was formed to promote or defeat \[76\], and the identity of the special
interests, including business or occupation, if any, that the members
of, or contributors to, the committee have in common \[77\].

All candidates for nomination or election to public or party office,
including write‑in candidates, and their treasurers are to file a report
with the Board at which the candidate filed his certificate of candidacy
containing information about all contributions received or expenditures
made in furtherance of a candidate's nomination by the candidate
personally or, with the knowledge of the candidate, by any other person
or group of persons \[78\]. The chairman and treasurer of any central
committee or political committee are also required to file such reports
with the State Board of Elections \[79\].

Reports filed with the State Board of Elections must be filed in an
electronic storage format in a format specified by the Board \[80\].

If any committee or political club directly or indirectly expends \$51
or more to aid or oppose any candidate, regardless of the purpose for
which the committee is formed, the treasurer of the committee is
required to make a statement of contributions and expenditures to the
treasurer of the candidate \[81\], and if a political club is involved,
an officer of the club is only required to report to the candidate's
treasurer that amount that is actually contributed \[82\]. These
provisions are to apply to committees located outside of Maryland with
respect to any expenditure of funds within the state \[83\].

After filing a certificate of candidacy, and candidate is permitted to
join a group, combination, or organization of candidates, or late, and
notify the Board with which filing was made of this fact \[84\]. The
treasurer of the slate then reports in the same manner as a political
committee is required to report \[85\].

**B. Place of Filing.** The chairs and treasurers of all committees,
other than central or political committees, must file reports with the
local board of the county, or Baltimore city, at which a candidate
supported or opposed by the committee filed for candidacy \[86\]; the
local board of the county, or Baltimore city, in which the committee has
promoted the success or defeat of a local principle or local proposition
\[87\]; the State Board of Elections if a candidate supported or opposed
by the committee has filed for candidacy with that Board \[88\], or if
the committee has promoted the success or defeat of a political party,
statewide principle or proposition, or another principle or proposition
submitted to a vote in more than one county \[89\]; and the local and
state boards if the committee supports or opposes both a local and a
statewide principle or proposition \[90\].

All reports are to be filed in duplicate \[91\].

**C. Filing Deadlines.** Each report is to be complete through the
seventh day before the report is to be filed \[92\]. The initial report
is to contain all contributions received and expenditures made since the
last preceding election to fill the office which the individual is
seeking \[93\]. Subsequent reports are to cover activities since the end
of the period for which the last preceding report is filed \[94\]. Even
if no contributions were received or expenditures made during the
reporting period, a report must be filed \[95\]. No other reporting
periods are specified for committees, so it must be assumed that their
reporting periods are to be aligned with those of the candidates,
principles, and propositions that they support or oppose. All candidates
and committees must file consecutive reports, the first not later than
the fourth Tuesday before the primary election \[96\]; another not later
than the second Friday before and election, to be complete through and
including the preceding Sunday \[97\]; and another not later than the
third Tuesday after the general election \[98\]. Additional reports from
candidates and non‑continuing committees only are also required six
months after the last general election \[99\]; one year after the
general election \[100\]; and annually on the anniversary of the general
election, if a cash balance exists or if any unpaid bills or deficits
remain at the end of the reporting period \[101\]. If all such items
have been eliminated, a final report is to be filed on or before the due
date of the next report showing all transactions since the most recent
report \[102\].

Filing is considered to be on time if the report is mailed and
postmarked by the United States Postal Service on or before the filing
deadline, and the report is received within three days after the filing
deadline \[103\].

**D. Special Disclosure by Those Doing Public Business.** Certain
businesses with state contracts are required to file special
contribution reports \[104\]. Businesses which are engaged in a business
relationship with the state, a county, or an incorporated municipality
involving consideration of \$100,000 or more on a cumulative basis
entered into during the 12 months immediately preceding the end of the
reporting period \[105\] are required to report all contributions to an
incumbent officeholder or a political committee for a candidate \[106\]
in excess of \$500, including the purchase of tickets, or payment for
admission to a dinner, barbecue, fish fry, or similar event, except for
a bona fide gift by a spouse or relative within the third degree of
consanguinity, or honorary memberships in a social, service, or
fraternal organization presented as a courtesy by the organization
\[107\].

Top officials of business entities who make such contributions must
report them to the chief executive officer of the business entity
\[108\] as must each employee who makes contributions at the suggestion
or direction of the business entity \[109\].

Reports must be filed with the State Board of Elections prior to the
completion of any sale, purchase, lease, or contract by the state, a
county, or an incorporated municipality covering the preceding two years
\[110\]. If the contribution is made after the completion of a covered
sale, purchase, lease, or contract, reporting is semi-annual on February
5 (covering the six-month period ending January 31 \[111\], and August 5
(covering the six-month period ending July 31 \[112\].

The report must be under oath \[113\] and contain the names of all
candidates to whom a contribution was made or caused to be made during
the reporting period, and, if not reported previously, during the
preceding reporting period, and the office for which the candidate
sought election \[114\]; and the aggregate amount of contributions made
to each candidate \[115\]. The report must also include the name of each
agency with which the person did business during the reporting period,
and the nature of business done with each agency, although the attorney
general is authorized to waive this disclosure under certain
circumstances \[116\]. If the business was done or the contribution was
made by another person and is attributed to the person filing the
statement, the name of the person who did the business or made the
contribution, and the relationship of that person to the person filing
the statement must also be disclosed \[117\].

State and local government procurement contracts must include a clause
outlining the reporting obligations \[118\].

**E. Electronic Filing.** All campaign accounts that are filed with the
State Board of Elections are required to file campaign reports
electronically in a media approved by the Board \[119\]. The State Board
will provide free software to each campaign account for the purpose of
electronic filing \[120\]. Campaigns also have the option of using their
own software or software created by a private vendor, provided that the
software meets the exact data structure requirements established by the
State Board \[121\].

**E. Exemptions from Reporting.** If a candidate does not intend to
receive contributions or make expenditures of \$1,000 or more, exclusive
of the filing fee, the candidate and treasurer are permitted to file an
affidavit to that effect with the appropriate board, in lieu of other
required reports \[122\]. If, however, the cumulative contributions to
or expenditures by the candidate equal or exceed \$1,000, the candidate
and treasurer are to file all subsequent required reports \[123\].
Campaign accounts that have minimal financial transactions may be able
to obtain a waiver of the electronic filing requirements from the State
Board \[124\].

**V. PUBLIC FINANCING PROVISIONS**

**A. General Provisions.** Maryland has established a fair campaign
financing fund administered by the comptroller, and allocated by the
State Board of Elections \[125\]. Public financing is available to
candidates for a governor ‑ lieutenant governor unit in primary and
general elections \[126\]. The fund is to be distributed with 50 percent
allocated to eligible candidates in the primary election and 50 percent
to eligible candidates in the general election \[127\]. If the State
Board determines that there is not, or may not be sufficient money in
the fund to provide a full public contributions to all eligible
candidates, the Board must then allocate a pro rata share of the full
public contribution to which they would otherwise be entitled \[128\].

The system is funded by fines related to the public financing law
\[129\]; tax add-ons that allow contributions to the fund by those other
than non-resident aliens who choose to contribute not more than \$500
\[130\]; and returns on the investment of funds \[131\].

**B. Qualifying for Public Contributions.** In an election a candidate
is entitled to receive a matching public contribution if the candidate
lawfully raises private campaign contributions from individuals that is
10% of the maximum campaign expenditure limit for an election in
contributions of not more than \$250 from an individual \[132\]; the
private contributions received are only refundable in the event of the
withdrawal of the candidate's name from the ballot \[133\]; and on
certification by the treasurer on prescribed forms that the seed money
raised was raised in accordance with the law, and received subsequent to
March 1st of the year immediately preceding the election \[134\].

During the year of the election only, an eligible candidate may accept
an eligible private contribution and any disbursement of funds by the
state that are based on the eligible private contributions \[135\].

**C. Determination of Amount of Funding.** A qualified unit of
candidates for governor and lieutenant governor is entitled to receive
one dollar in public contributions for each one dollar of eligible
private contributions if they are opposed in the primary \[136\], or one
dollar in public contributions for each three dollars of eligible
private contributions if they are unopposed in the primary \[137\]. In
the general election, all eligible candidates who are nominees receive
equal shares of the fund \[138\], while if a candidate is unopposed on
the general election ballot, the candidate is not entitled to any public
contributions \[139\].

A candidate who is not affiliated with a principal political party
\[140\] or a write‑in candidate may receive a public contribution if the
candidate meets the requirements of the law and regulations \[141\].

While an eligible candidate may not include an in‑kind contribution in
seed money \[142\], an eligible candidate must include an in‑kind
contribution of \$51 or more in meeting the expenditure limit
established by the law \[143\].

**VI. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Reports.** Certain supplemental reports of
contributions and expenditures are required six months after the general
election, if any cash balance exists or if any unpaid bills or deficits
remain to be paid as of the last pre‑election report \[144\]; one year
after the general election for a balance, deficit, or any unpaid bills
showing on the post‑election report \[145\]; and annually on the
anniversary of the general election until resolved \[146\].

**B. Disposition of Surplus Funds.** Any surplus funds that remain after
paying all campaign expenditures are to be either returned on a pro rata
basis to contributors; paid to the local or state central committee of
the candidate's party or the party for which the political committee is
acting, provided that the central committee is located in a county in
which the candidate resides or seeks to represent; paid to the local
board of education or a recognized nonprofit education organization;
paid to a charitable organization or an organization exempt under the
Maryland Charitable Solicitations Act before the final report is
required to be filed; or paid to any state-certified public or private
institution of higher education in Maryland, to be used by that
institution to award scholarships, grants, or loans to students
attending that institution \[147\].

Carryover funds in the campaign account of an individual or political
committee as of January 1, 1999 must be closed out by December 31, 2006
\[148\].

**C. Disposition of Unspent Public Contribution.** Any unspent portion
of a public contribution must be repaid to the comptroller for redeposit
in the fair campaign financing fund not later than 60 days following the
election for which the public contribution was granted \[149\]. When
computing whether there is an unspent portion of a public contribution,
all private contributions to the candidate are presumed as spent prior
to any expenditure of the public contribution \[150\].

**D. Closure by State Board of Elections**. The State Board may close a
campaign account upon a determination that good cause exists and that an
officer affiliated with the campaign account would be able to close the
campaign account except for outstanding obligations that are more than
five years old \[151\]; there are no current officers appointed and
serving in connection with the campaign account \[152\]; or other
extenuating circumstances exist to justify closing the account \[153\].
The closing of a campaign account by action of the State Board does not
limit the right of the State Board or the State Prosecutor to pursue
enforcement action against former officers or the candidate affiliated
with the campaign account \[154\], or a creditor to bring an action
against a former officer or the candidate affiliated with the campaign
account \[155\].

**E. Disposition of Books and Records.** Books and records may be
destroyed or discarded at any time after two years from the date of
filing the final required report unless a court of competent
jurisdiction orders their retention for a longer period \[156\]. A
continuing committee must retain all books and records pertaining to
transactions involving an election for at least two years after the
filing of a report reflecting the last transactions concerning that
election \[157\].

**VII. OFFENSES AND PENALTIES**

Late filing fees for reports are fixed at \$20 for each working day or
part of a day that pre‑election reports are overdue, to a maximum of
\$250; late filing fees for post‑election reports are \$10 per day to a
maximum of \$250 \[158\]. Late filing fees may not be directly or
indirectly paid from contributions to the candidate or committee and,
when paid, do not constitute either a contribution or an expenditure
\[159\]. When a report is overdue for more than 30 days, the State Board
of Elections is to issue the treasurer and chairman of a political
committee, or a treasurer and candidate a "show cause" notice, asking
why the appropriate state's attorney should not be requested to
prosecute \[160\].

Alate fee is the personal liability of the candidate and treasurer if
the report is for a personal treasurer account; and the chair and
treasurer if the report is for a committee \[161\]. Late fees may not be
paid directly or indirectly from campaign funds, and a report is not
considered officially filed until all late fees associated with that
report have been paid \[162\].

Failure to file and pay late fees within 30 days after service of this
notice means that candidates, treasurers, and chairmen may be found
guilty of a misdemeanor and subject to a fine of not more than \$1,000,
one year's imprisonment, or both, at the discretion of the court
\[163\]. Similar sanctions apply for incomplete or deficient filing not
corrected within 30 days after service of notice \[164\]. Successful
candidates may not be deemed elected, or be sworn into office, until all
reports have been filed \[165\]. Incumbents who fail to pay necessary
late filing fees will have portions of their salary withheld; their
entire salary may be withheld until all reports have been filed \[166\].
The late filing fee may be waived for cause \[167\].

False, fraudulent, or misleading statements or entries willfully made in
any statement or account, under oath, constitute perjury \[168\].
Certain prohibited practices, such as participation in bribery \[169\],
making contributions other than to treasurers \[170\], making
contributions in the name of another \[171\], employers coercing
employers to influence their political actions or opinions \[172\], or
violating other contribution or expenditure provisions, subjects a
violator to a fine of not more than \$1,000, imprisonment of not more
than one year, and ineligibility for any party or public office for four
years from the commission of the offense \[173\]. The appropriate
state's attorney is responsible for enforcing this provision \[174\].

The Secretary of State may seek an immediate injunction against any
violation of the fair election practices provisions \[175\]. Violations
of an injunction are punishable as criminal contempt and, upon
conviction, offenders are to be sentenced to not more than 30 days in
jail and fined not more than \$250 \[176\].

The penalty for violating a provision of the fair campaign financing act
is a fine of not more than \$5,000 or imprisonment for not more than one
year, or both for each violation \[177\]. Upon conviction, a person
shall be prohibited from holding public office for a period of five
years \[178\]. Violations based upon eligible private contributions may
be punished by a civil penalty of \$1,000 and refund of the contribution
\[179\].

**VIII. RESPONSIBLE STATE AGENCIES**

**A. State Board of Elections .** The State Board of Elections
administers the fair election practices process. The Board is
responsible for summarizing and distributing copies of the election laws
and specimen forms to candidates and specimen forms to county boards of
supervisors of elections \[180\]. The Board is the filing entity for
registration of candidates, political committees, and those who must
file statements of business activity with the state or its political
subdivisions \[181\]. The Board must certify all reports and statements
of successful candidates and is responsible for enforcing the filing
requirements \[182\], including exemption of filers with *de minimis*
activity from electronic filing requirements \[183\].

Beginning with the report due in November 1999, the Board is required to
maintain the reports in an electronic storage format \[184\] and make it
available in a format widely and easily accessible to the public
\[185\]. The Board must also, supply the appropriate software and disks
to filers upon request \[186\].

The Board is also responsible for allocating and distributing funds from
the fair campaign financing fund \[187\]. The Board may call upon the
comptroller for assistance in the administration of the fund \[188\].
The State Board has the sole right and responsibility for ordering a
disbursement from the fund \[189\].

**B. Secretary of State.** The Secretary of State is authorized to seek
an immediate injunction against any violation of the fair election
practices provisions \[190\].

**C. Comptroller.** The state comptroller of the treasury is responsible
for the administration of the fair campaign financing fund \[191\]. The
comptroller is required to submit a statement of the fund's balance to
the State Board at the State Board's request, and on May 15 of each year
\[192\]. The comptroller disburses the authorized public contribution to
the candidate's designated depository \[193\].

**D. State Archives.** The state archives is responsible for the
preservation of reports, statements, and accounts transferred to it by
the filing authorities after the statutory period for their retention
with the appropriate filing officer expires \[194\].

# References

1\. Maryland Election Code Annotated

Article 33 (hereafter MECA) § 1‑1(5)(i);

63 Opinions of the Maryland Attorney

General (hereafter Op. Att'y Gen.) 263

\(1978\) (recurring administrative and

compliance costs incurred by corporate

political action committee not

contributions)

2\. MECA § 1-1(5)(ii)

3\. MECA § 26-8(c)(1)

4\. MECA § 26-8(b)(1)

5\. MECA § 26‑8(a); State Bd. of Elections,

*Summary Guide to Maryland Candidacy*

*and Campaign Finance Laws*, Sept. 2001

at 9.3

6\. MECA § 26‑8(a)(2)

7\. MECA § 26‑9(a); *but see,* Op. Att'y

Gen. December 28, 1983

8\. MECA § 26‑9(b)(1)

9\. MECA § 26‑9(e)(6)

10\. MECA § 26‑8(b); *see,* Op. Att'y Gen.

385 (1977) (loan does not become a

contribution unless the creditor intends

it to become a contribution)

11\. MECA § 26-8(b)(2)(ii)

12\. MECA § 26-8(b)(2)(iii)

13\. MECA § 26-8(b)(2)(iv)

14\. MECA § 26‑7(c)

15\. MECA § 26‑7(b)

16\. MECA § 28‑1(c)

17\. MECA § 26‑9(d)(1); *see,* Op. Att'y Gen.

004 (2000); MECA § 26-9

18\. MECA § 26‑8(a)

19\. Op. Att'y Gen. July 14, 1978

(interpreting prior law)

20\. MECA § 26-9(a)(i)

21\. MECA § 26-9(g)

22\. MECA § 26-9(a)(2)(i)

23\. MECA § 26-9(a)(2)(ii)

24\. MECA § 26-9(a)(2)

25\. MECA § 26-9(a)(3)(i)

26\. MECA § 26-9(a)(3)(ii)

27\. MECA § 26-9(a)(3)(iii)

28\. MECA § 26-9(b)

29\. MECA § 26-9(e-1)

30\. MECA § 26‑9(e)

31\. MECA § 26-3(a)(4)(i)(2); *see*, *Md.*

*Right to Life v. Weathersbee*,

975 F. Supp. 791 (1997) (upholding

the statute; plaintiffs filed an appeal

in the Fourth Circuit, but voluntarily

dismissed it for their own reasons)

32\. MECA § 26-3(a)(4)(ii)(2)

33\. Maryland State Government Code

(hereafter MSGC) § 15-707(d)(1)(i)

34\. MSGC § 15-707(d)(1)(ii)

35\. MSGC § 15-707(d)(1)(iii)

36\. MSGC § 15-707(d)(2)

37\. *Maryland Report*, December 23, 1991,

at 3

38\. *Maryland Report*, December 23, 1991,

at 3

39\. MECA § 26-10(a)(1)

40\. MECA § 26-10(a)(2)

41\. MECA § 26-10(a)(3)

42\. MECA § 26-10(a)(4)

43\. MECA § 26-10(b)(1)(i)

44\. MECA § 26-10(b)(1)(ii)

45\. MECA § 26-10(b)(1)(ii)(1)

46\. MECA § 26-10(b)(1)(ii)(2)

47\. MECA § 26-10(b)(1)(ii)(3)

48\. MECA § 26-9(c)

49\. MECA § 1‑1(7)(i)

50\. MECA § 1-1(7)(ii)

51\. MECA § 1-1(8C); MECA § 26-9.2;

80 Op. Att'y Gen. --- (May 16,

1995\) (constitutionality of independent

expenditure disclaimer requirements)

52\. MECA § 26‑2(a)

53\. MECA § 26‑5(b)

54\. MECA § 26‑7(a)(1)

55\. MECA § 26‑5(b)(2)(i)

56\. MECA § 26‑5(b)(2)(ii)

57\. MECA § 26‑5(c)

58\. MECA § 26‑5(c)

59\. MECA § 26‑7(a)

60\. MECA § 26‑9.1(a)

61\. MECA § 31‑6(a)(1)

62\. MECA § 31‑6(a)(2)

63\. MECA § 31‑6(a)(3)

64\. MECA § 31‑6(a)(4)

65\. Regulations of the State Administrative

Board of Election Laws (hereafter

Regulations) § 14.02.13.10(B)(2)(a)

66\. Regulations § 14.02.13.10(B)(2)(b)

67\. MECA § 31‑3(a)

68\. MECA §§ 26‑3(a)(1); 26‑3(c); 76 Op.

Att'y Gen. ---, July 26, 1991 (covering

responsibilities of treasurer; duty

generally non-delegable)

69\. MECA § 1‑1(a)(4a)

70\. MECA § 1‑1(12)

71\. MECA § 1‑1(14)

72\. MECA § 26‑4(a); *Dixon v. State*

*Administrative Board of Election Laws*,

686 F.Supp. 539 (D.Md. 1988)

73\. MECA § 26-4(c)(1)(i)

74\. MECA § 26-4(c)(2)(ii)

75\. MECA § 26-4(c)(2)(iii)

76\. MECA § 26-4(c)(3)(i)

77\. MECA § 26-4(c)(3)(ii)

78\. MECA § 26‑22(a)

76\. MECA § 26‑11(c)(1)

79\. MECA § 26-12(d)(1)(ii)

80\. MECA § 26-12(d)(2)(i)

81\. MECA § 26‑4(b)

82\. MECA § 26‑4(b)

83\. MECA § 26‑4(b)

84\. MECA § 26‑3(e)

85\. MECA § 26‑3(e)

86\. MECA § 26‑11(d)(1)

87\. MECA § 26‑11(d)(2)

88\. MECA § 26‑11(d)(3)

89\. MECA § 26‑11(d)(4)

90\. MECA § 26‑11(d)

91\. MECA § 26‑11(d)

92\. MECA § 26‑11(a)

93\. MECA § 26‑11(a)

94\. MECA § 26‑11(a)

95\. MECA § 26‑11(a)

96\. MECA § 26‑11(a)(1)

97\. MECA § 26‑11(a)(2)

98\. MECA § 26‑11(a)(3)

99\. MECA § 26‑11(a)(4)

100\. MECA § 26‑11(a)(5)

101\. MECA § 26‑11(a)(6)

102\. MECA § 26‑11(a)(7); *see also,*

MECA § 26-11(a-1)

103\. MECA § 26‑11(g). For more on

establishing timeliness of filing, *see,*

State Administrative Board of Election

Laws, "Accepting and Processing

Campaign Fund Report or Affidavit,"

internal guidelines (August 2, 1994).

104\. MECA § 30-1 *et seq.*

105\. MECA §§ 30-1(b), (c); *see also,*

MECA § 15-849 on contributions to

candidates

106\. MECA § 30-1(d)

107\. MECA § 30-1(e)

108\. MECA § 30-3(a)

109\. MECA § 30-3(c)

110\. MECA § 30-2(a)(1)

111\. MECA § 30-2(a)(2)(i)

112\. MECA § 30-2(a)(2)(ii)

113\. MECA §§ 30-2(b), (c)

114\. MECA § 30-2(c)(1)

115\. MECA § 30-2(c)(2)

116\. MECA §§ 30-2(c)(3), (4)

117\. MECA § 30-2(c)(5)

118\. Maryland State Finance and

Procurement Code §§ 13-218; 17-402

119\. MECA § 26-9.2(d)

120\. MECA § 26-9.2(d)

121\. MECA § 26-9.2(d)

122\. MECA § 26‑11(a)(8)

123\. MECA § 26‑11(a)(8)

124\. State Bd. of Elections, *Candidate Info &*

*Campaign Finance*, Chapter 10 --

Campaign Fund Reports (1999)

125\. MECA § 31‑4(a)

126\. MECA § 31‑3(a)

127\. MECA § 31‑4(b)

128\. MECA § 31‑4(c)(4); Regulations

§ 14.02.13.09(B)(2)(b)

129\. MECA § 31-4(a)(1)

130\. MECA § 31-9(a)(1)

131\. MECA § 31-9(b)

132\. MECA § 31‑5(a)(1); *see,*

§§ 31‑2(e), (h); a write-in candidate

who raises at least \$149,670 in seed

money (10% of the maximum

campaign expenditures) by

September 28, 1994, and meets all

other statutory and regulatory

requirements may obtain a share of the

money remaining in the Fair Campaign

Financing Fund after the primary

election equal to the share of any other

candidate. Op. Att'y Gen., July 29,

1994\. There is no requirement that

seed money be raised in increments of

\$250 or less from individual

contributors; if a contribution exceeds

\$250, the excess is simply disregarded

when seed money is calculated. Op.

Att'y Gen., May 5,1994.

133\. MECA § 31‑5(a)(2)

134\. MECA § 31‑5(a)(3)

135\. MECA § 26‑10(b)(2)(ii)

136\. MECA § 31‑5(b)(2)

137\. MECA § 31‑5(b)(3)

138\. MECA § 31‑5(c)(2)

139\. MECA § 31‑5(c)(3)

140\. Regulations § 14.02.13.08(B)

141\. Regulations § 14.02.13.08(C)

142\. Regulations § 14.02.13.07(A)

143\. Regulations § 14.02.13.07(B)

144\. MECA § 26‑11(a)(4)

145\. MECA § 26‑11(a)(5)

146\. MECA § 26‑11(a)(6)

147\. MECA § 26‑7(d); *see, Cicoria v. State*,

629 A.2d 742 (Md. Ct. App. 1993)

(personal use of surplus contributions

is not an option under statute); 63 Op.

Att'y Gen. 273 (no distribution to

continuing committee)

148\. Ch. 286 § 2 Acts 1998

149\. MECA § 31‑6(b)

150\. MECA § 31‑6(b)

151\. MECA § 26‑11(a-2)(1)(i)

152\. MECA § 26‑11(a-2)(1)(ii)

153\. MECA § 26‑11(a-2)(1)(iii)

154\. MECA § 26‑11(a-2)(2)(i)

155\. MECA § 26‑11(a-2)(2)(ii)

156\. MECA § 26‑7(a)

157\. Letter of Advice from Office of the

Attorney General to State

Administrative Board of Election Laws,

September 23, 1985.

158\. MECA § 26‑13(a)

159\. MECA § 26‑13(a)

160\. MECA § 26‑13(c)

161\. State Bd. of Elections, *Candidate Info &*

*Campaign Finance*, Chapter 10 --

Campaign Fund Reports (1999)

162\. State Bd. of Elections, *Candidate Info &*

*Campaign Finance*, Chapter 10 --

Campaign Fund Reports (1999)

163\. MECA §§ 26‑13(c); 26‑20

164\. MECA § 26‑13(d)

165\. MECA § 26‑13(e)

166\. MECA § 26‑13(f)

167\. MECA § 26‑13(h)

168\. MECA § 26‑15

169\. MECA §§ 26‑16(a)(1)‑(3)

170\. MECA § 26‑16(a)(4)

171\. MECA § 26‑16(a)(5)

172\. MECA § 26‑16(a)(6)

173\. MECA § 26‑16(b)

174\. MECA § 26‑16(c)

175\. MECA § 26‑16

176\. MECA § 26‑16

177\. MECA § 31‑7. The election code does

not serve to pre-empt potential

criminal charges. *Cicoria v. State*, 629

A.2d 742 (Md. Ct. App. 1993)

178\. MECA § 31‑8

179\. MECA §§ 26-10(c)(2), (3)

180\. MECA § 26‑2

181\. MECA §§ 26‑3, 4; 30-2(d)

182\. MECA § 26‑13(e)

183\. MECA § 26-12(e)(2)

184\. MECA § 26-12(d)(1)

185\. MECA § 26-12(d)(3)

186\. MECA § 26-12(d)(2)

187\. MECA § 31‑4(a)

188\. MECA § 31‑4(e)(1)

189\. MECA § 31‑4(f)(2)

190\. MECA § 26‑21

191\. MECA §§ 31‑4(a); 31-9

192\. MECA § 31‑4(e)(2)

193\. MECA § 31‑4(f)(1)

194\. MECA § 26‑14

**CAMPAIGN FINANCE LAW**

**IN MASSACHUSETTS**

**I. INTRODUCTION**

Massachusetts requires all candidates and political committees to file
information on all contributions and expenditures. Candidates for the
general assembly file a report before each primary and general election
and an annual report. Individuals other than candidates contributing to
their own campaign are limited to contributing \$500 per candidate per
year (\$12,500 in the aggregate), and minors are limited to \$25 per
year. Corporate contributions to campaigns other than those involving
referenda are prohibited, and political action committee and labor union
contributions are limited. Cash contributions must be \$50 or less.
Massachusetts offers a taxpayer the opportunity to designate one dollar
(two dollars for a joint return) without taxpayer tax liability to a
"Clean Elections Fund." These funds will be distributed, beginning in
the 2002 election, to certified candidates for state offices who raise
specified amounts of qualifying contributions between \$5 and \$100, and
observe expenditure limitations in both the primary and general
elections. The Director of Campaign and Political Finance is responsible
for overseeing the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** In general, if an expense is incurred
primarily to promote the candidacy of someone other than the payor, it
is a "contribution" \[1\].

A contribution is a contribution of money or anything of value to an
individual, candidate, political committee, or person acting on behalf
of said individual, candidate or political committee, for the purpose of
influencing the nomination or election of said individual or candidate,
or for the purpose of supporting or opposing a political party
committee, or for the purpose of promoting or opposing a charter change,
referendum question, constitutional amendment, or other question
submitted to the voters, and includes any: (1) gift, subscription, loan,
advance, deposit of money, or thing of value, except a loan of money to
a candidate by a national or state bank made in accordance with the
applicable banking laws and regulations and in the ordinary course of
business; (2) transfer of money or anything of value between political
committees; (3) payment, by any person other than a candidate or
political committee, or compensation for the personal services of
another person which are rendered to such candidate or committee; (4)
purchase from an individual, candidate, or political committee, or
person acting on behalf of said individual, candidate, or political
committee, whether through the device of tickets, advertisements, or
otherwise, for fund‑raising activities, including testimonials, held on
behalf of said individual, candidate or political committee, to the
extent that the purchase price exceeds the actual cost of the goods sold
or services rendered; (5) discount or rebate not available to other
candidates for the same office and to the general public; and (6)
forgiveness of indebtedness or payment of indebtedness by another person
\[2\].

Any receipt of any money or anything of value by an individual, or
person acting on behalf of the individual which is not otherwise a
contribution, resulting from any purchases from the individual, or any
person acting on behalf of the individual, whether through the device of
tickets, advertisements, or otherwise, for any fundraising activity
including a testimonial held on behalf of the individual, regardless of
the purpose of the activity is deemed to be a contribution if the
individual is a candidate for nomination or election to public office by
virtue of official action to qualify, receipt of contributions or making
of expenditures (or consenting thereto on his or her behalf) for the
purpose of influencing his or her nomination or election; holds elective
public office, whether elected or appointed at the time of the receipt;
or becomes a candidate subsequent to the receipt \[3\].

A contribution does not include the rendering of services by speakers,
editors, writers, poll watchers, poll checkers, or others, nor the
payment by those rendering incidental services of such personal
expenses, or the exercise of ordinary hospitality; nor does a
contribution include a transfer of funds or payments by a depository
candidate or his or her committee to the political committee of a party
for goods or services provided to a candidate and his or her committee
by the political party or any transfer, payment or advance or any other
thing of value from the national committee of a political party to the
state committee of a political party, to be used for administrative,
overhead, or party-building activities, but not including any direct
contributions or services to candidates \[4\].

A contribution received by a candidate or committee which is returned to
the contributor in its original form is deemed to have not been accepted
\[5\]. An anonymous unsolicited gift to a candidate is not deemed a
contribution and is therefore not subject to the campaign finance law
\[6\].

**B. Limitations on Nature of Contributions.** A political committee may
accept a contribution of common stock provided that the stock
certificate is liquidated within five business days so as not to violate
the restrictions against certain investments by political committees
\[7\]. The value of the contribution must be determined at the time of
the redemption of the stock certificate, and may not exceed the
contribution limitations \[8\]. The stock must clearly be owned by
individuals, and may not be stock issued from the corporate treasury or
stock directed to be given by the corporate board of directors \[9\].

No check reflecting the name of a business corporation may be accepted
by a candidate or political committee, other than a political committee
organized to influence the vote on a ballot question, which may only
contribute to another similar ballot question committee \[10\]. A
contribution check drawn on a partnership account may only be accepted
if attributable to individual partners \[11\].

Anonymous contributions may not be accepted \[12\], and contributions
which are received from ticket sellers must be disclosed as
contributions from the original and true contributors in the amount
given by them \[13\]. A corporation or other entity which is prohibited
from making a particular contribution may not reimburse an individual
for any such contribution made by that individual \[14\].

Credit card contributions may be accepted as long as there a paper
record signed by the cardholder or, in the case of such contribution
made over the Internet, an electronic record created and transmitted by
the cardholder \[15\]. Credit card contributions by telephone are
generally prohibited \[16\]. The financial agreement between the
committee and vendor must be consistent with usual and customary
business practices \[17\]; the vendor may not provide any discount not
ordinarily available to other customers \[18\]; and the committee must
pay any applicable transaction fees \[19\]. The vendor is responsible
for certain compliance and screening \[20\].

No person acting under the authority of, or on behalf of, any political
committee may receive any money or anything of value without a qualified
treasurer being appointed, or without the name and address of any of the
committee's officers or members being filed in accordance with the law
\[21\]. All funds of a political committee must be kept separate from
any personal funds of officers, members, or associates of the committee
\[22\], but a candidate may obtain a personal loan from a national or
state bank in accordance with applicable banking laws and regulations
and in the ordinary course of business, and then make a loan to his or
her political committee to defray permissible campaign expenditures,
with the political committee permitted to use public financing funds to
repay the candidate directly \[23\]. If the candidate borrows money with
interest from a banking institution in the ordinary course of business,
and if the candidate lends those same funds to the candidate's political
committee, the candidate may charge the committee the exact terms being
charged by the banking institution on the exact amount the candidate has
loaned to the committee from the banking institution's loaned funds
\[24\]. If a candidate makes a loan to the candidate's political
committee from the candidate's personal funds without having secured a
bank loan, the candidate may not charge the committee interest or any
other costs \[25\]. Contributions may be placed in a savings account or
money market to earn interest, but may not be otherwise invested \[26\],
although the office of campaign and political finance has approved
investments in repurchase agreements \[27\].

Contributions arranged by a lobbyist, lobbying organization, PAC, or
pooled corporate contributions are treated as contributions from both
the lobbyist, lobbying organization, PAC, or other regulated
intermediary, as well as the original source of the contribution \[28\].
If the contribution is received from a non-regulated intermediary or
conduit, the contribution is deemed received from that source only
\[29\]. This "bundling" of contributions does not apply if all
contributions are \$123 or less \[30\].

A candidate or candidate's committee may not accept a contribution from
any federal political committee \[31\].

**C. Limitations on Contributions by Candidate Committees.** A political
committee organized or operating on behalf of a candidate for governor,
lieutenant governor, attorney general, state secretary, treasurer,
receiver general, or auditor may not contribute to any other political
committee or to the campaign fund of any other candidate, except such
candidates may contribute up to \$100 per year to the political
committee of a political party, provided the aggregate of all such
contributions does not exceed \$1,500 per year \[32\]. The state
committee of a political party may, however, make such contributions
\[33\], and expenses incurred by campaign committees for candidates
running jointly for governor and lieutenant governor for joint purchases
of campaign buttons, bumper stickers, and signs bearing both candidates'
names are not prohibited "contributions" within the scope of the
statutory bans \[34\]. Any other duly organized political committee may
contribute to other political committees, and may contribute to the
campaign fund of a candidate if the aggregate of all such contributions
made by a candidate committee to another candidate committee does not
exceed \$100 in any one calendar year, and the aggregate of all such
contributions made by a candidate committee to other candidate
committees does not exceed \$1,500 in any calendar year \[35\]. A
political committee organized on behalf on a Massachusetts candidate may
not receive a contribution from a political committee organized to
comply with the provisions of the Federal Election Campaign Act \[36\].

**D. Limitations on Contributions by Corporations and Political Action
Committees.** Massachusetts law prohibits any business corporation or
professional corporation contribution of any thing of value to promote
or oppose a candidate for state, county, or local office, but a
corporation may make contributions to referenda committees \[37\].
Contributions by a limited liability company are not subject to the
prohibition on contributions by a business corporation but are treated
as a contribution from a partnership \[38\].

A political action committee may contribute to the campaign fund of a
particular candidate or his or her political committee in an amount not
to exceed \$500 in any one calendar year \[39\], but a federal political
action committee may not contribute to a Massachusetts political
committee \[40\]. A political action committee may accept contributions
of money via wire transfer or other electronic means, provided that the
contributor provides the political action committee with a true copy of
the signed authorization card provided by the contributor to the
contributor's bank or other financial institution \[41\].

**E. Limitations on Amounts of Contributions by Individuals.** Campaign
contributions by individuals to candidates and candidate committees are
limited to an aggregate of \$500 in any one calendar year for the
benefit of any one candidate and the candidate's committee; an amount
not to exceed \$5,000 in any one calendar year for the benefit of
elected political committees or non‑elected political committees of a
political party; no more than \$500 in any one calendar year to other
political committees (other than ballot question committees, to which
contributions are unlimited \[42\]. Contributions are subject to an
aggregate limit of \$12,500 from any one individual to all candidates
and candidate's committees \[43\].

An individual less than 18 years of age may not make campaign
contributions in excess of \$25 in the aggregate during any one calendar
year \[44\].

An individual may use his or her unincorporated business to make
individual campaign contributions if the contributions are attributed to
an individual and/or proprietor in that business, and is applied to the
individual's \$500 individual contribution limit \[45\].

**F. Limitations on Loans by a Candidate to the Candidate's Committee.**
A candidate may not loan more than \$200,000 to his or her own committee
for governor or lieutenant governor; \$50,000 for secretary of state,
treasurer, auditor, attorney general, or state senate; or \$30,000 for
state representative \[46\].

**G. Limitations on Contributions by Lobbyists.** The aggregate of all
contributions made by a lobbyist for the benefit of any one candidate
and the candidate's committee may not exceed \$200 in any one calendar
year, nor may a lobbyist exceed \$200 in aggregate contributions to any
other political committee, except a ballot question committee, in any
one calendar year \[47\]. These limitations do not apply to
contributions made to the federal account of a state political party or
to any other federal political committee \[48\].

**H. Limitations on Solicitations.** No person, political committee, or
person acting under the authority of a political committee or on its
behalf, may demand, solicit, ask, or invite from a candidate for
nomination or election to public office, or a person occupying an
elective office, any payment of gift of money or other valuable thing,
or promise of payment or gift of money or other valuable thing, or
promise or payment or gift of money or other valuable thing for
advertising, gratuities, donations, tickets, programs, or any other
purpose, and no such candidate for nomination or election, and no one
occupying an elective public office may make any such payment or gift,
or promise to make any such payment of gift, to any person, political
committee, or any person acting under authority of a political
committee, if the person or political committee had demanded, solicited,
asked, or invited from his any such payment, gift, or promise of payment
of gift \[49\]. This section does not apply to the soliciting or making
in good faith of gifts for charitable or religious purposes \[50\].

No political committee, and no person acting under its authority or in
its behalf, may demand or solicit from any candidate for nomination, or
from one acting in the candidate's behalf, a payment of money as a
prerequisite to his or her obtaining from the committee or its agent
required nomination papers \[51\].

**I. Limitations on Contributions by and Solicitations of and by
Government Officials, Employees, and Contractors.** No person employed
for compensation, other than an elected officer, by the commonwealth or
any county, city, or town may serve as the treasurer of a political
committee, or may directly or indirectly solicit or receive any gift,
payment, contribution, assessment, subscription or promise of money or
other thing of value for the political campaign purposes of any
candidate for public office of any political committee, or for any
political purpose, but such persons may become members of political
organizations or committees \[52\]. The soliciting or receiving of any
gift, payment, contribution, assessment, subscription, or promise of
money or other thing of value by a non‑elected political committee
organized to promote the candidacy for public office of a person so
employed for compensation by the commonwealth or any county, city, or
town, is not deemed to be a direct or indirect solicitation or receipt
of such contribution by that person; provided, however, that no such
gift, payment, contribution, assessment, subscription or promise of
money or other thing of value may be solicited or received on behalf of
such a person from any person or combination of persons if the person so
employed knows or has reason to know that the person or combination of
persons has an interest in any particular matter in which the person so
employed participates or has participated in the course of such
employment or which is the subject of his or her official responsibility
\[53\]. Solicitation of political contributions in public buildings is
also forbidden \[54\].

No officer, clerk or other person in the service of the commonwealth or
of any county, city, or town may, directly or indirectly, give or
deliver to an officer, clerk or person in government service or to any
councilor, member of the general court, alderman, councilman, or
commissioner, any money or other valuable thing on account of, or to be
applied to, the promotion of any political object whatever, however a
person holding elective public office may contribute to a candidate or
to an elected or non‑elected political committee, and an officer, clerk,
or other person in the service of the commonwealth or of any county,
city, or town may contribute to a candidate or to an elected or
non-elected political committee \[55\]. No person in the public service
may, for that reason, be under obligation to contribute to any political
fund, or to render any political service, and may not be removed or
otherwise prejudiced for refusing to do so \[56\]. No officer or
employee of the commonwealth or of any county, city, or town may
discharge, promote, or degrade an officer of employee, or change his or
her official rank or compensation, or promise or threaten to do so, for
giving, withholding, or neglecting to make a contribution of money or
other valuable thing for a political purpose \[57\].

An individual who is an elected official in one municipality and a
non‑elected employee of another municipality may not solicit or receive
anything of value for any political purpose \[58\]. No such person may
be compelled to solicit for any political purpose, and may not
discharge, promote, degrade, or threaten in any manner to do so, any
officer or employee he or she supervises for failure to render political
service \[59\].

An officer or employee of the classified service of the state may make
contributions to a political party, organization, or candidate, but may
not solicit any assessment, subscription, or contribution from any
person for any political purpose in connection with any election for
federal, state, or county office \[60\].

No person doing business with the commonwealth may be placed under
obligation to contribute to any political fund, or to render any
political service, and is prohibited being otherwise prejudiced for
doing so \[61\].

No person employed for compensation may be obligated to contribute or
render any service to any candidate or political committee on account of
or in consequence of his or her employment or be removed or otherwise
prejudiced for failing to do so \[62\].

A judge should not solicit contributions for or contribute to a
political organization or candidate \[63\].

**J. Procedures Attendant to Contributions.** Every candidate and the
treasurer of every committee required to designate a depository must, by
the end of the seventh business day after receipt of any contribution
deposit it in the form received in the designated depository \[64\]. A
deposit may not be made or received to the credit of any account unless
the deposit is accompanied by a deposit slip containing for each
contribution in excess of the sum of \$50 the name and address of the
contributor in the case of an individual or political committee and in
addition in the case of a trust, foundation, or other association the
names and addresses of its principal officers \[65\]. Such information
must also be listed for each contribution of less than the sum if the
aggregate of all contributions deposited from such contributor during
the reporting period is \$50 or more \[66\]. If any deposits represent
the proceeds of borrowings, the deposit slip must indicate the names and
addresses of the lender, those persons liable either primarily or
secondarily for any portion and those persons providing collateral, if
any, for such borrowings \[67\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is any expenditure of
money, or anything of value, by an individual, candidate, or political
committee, or a person acting on behalf of the individual, candidate, or
political committee, for the purpose of influencing the nomination or
election of the individual or candidate, or of presidential and vice
presidential electors, or for the purpose of promoting or opposing a
charter change, referendum question, constitutional amendment, or other
question submitted to the voters \[68\]. An expenditure includes any
purchase, payment, distribution, loan, advance, deposit, or gift of
money or anything of value, and transfer of money or anything of value
between political committees \[69\].

**B. Limitations on Nature of Expenditures.** In general, if an expense
is incurred to promote the candidacy of the payor, it is an
"expenditure" \[70\].

A political committee organized or operating on behalf of a candidate
for the office of governor, lieutenant governor, attorney general, state
secretary, treasurer and receiver general, or auditor may expend money
or other things of value for reasonable and necessary expenses directly
related to the campaign of the candidate but may not make any
expenditure that is primarily for the candidate's or any other person's
personal use \[71\]. Such a political committee may also not contribute
to any political action committee or to the campaign fund of any other
candidate \[72\]. Such a committee may contribute to a political party
committee up to \$100 per committee and \$1,500 in total per calendar
year \[73\]. Any other political committee, duly organized, may receive,
pay and expend money or other things of value for the enhancement of the
political future of the candidate or the principle, for which the
committee was organized if the expenditure is not primarily for the
candidate's or any other person's personal use \[74\]. A political
action committee may make an independent expenditure \[75\].

Examples of permissible expenditures include postage incurred for
mailing campaign literature and for conducting relevant campaign
business; television and radio and newspaper, billboard, and magazine
advertising; printing; computer use; polling voters; reasonable public
relations expenses; campaign staff and consultants; rental of facilities
for political activities; expenses for fundraising; obtaining votes, and
similar activities; bumper stickers, signs, placards, brochures,
leaflets, and other such campaign items; delivery, telegraph, and
express mail services; paper supplies; newspapers and magazines,
literature, and clipping services; inaugural expenses; taxes; proper
charitable expenditures; and repayment of loans \[76\]. Expenditures may
also be made for reasonable expenses for campaign-related travel, for
candidates and committee agents to attend certain conferences and
seminars, and for travel related to obtaining permissible services
\[77\]. Expenses may also be incurred for the reasonable and necessary
costs incurred in connection with the operation of a campaign office or
offices, including telephones, furniture, office rent, office equipment,
and utilities \[78\]. Campaign funds may be used to pay certain
officeholder expenses \[79\], including inaugural events \[80\].

A candidate or candidate's committee may not make an expenditure of, or
transfer, funds or assets that were transferred on or after November 25,
1998 from a federal political committee \[81\].

Credit cards obtained in accordance with applicable banking laws and in
the ordinary course of business may be used to make expenditures in the
name of the political committee for the purpose of obtaining goods and
services, but not to obtain a cash advance or loan of money \[82\].
Credit card payments must be made by a check drawn on the depository
bank account \[83\].

Public financing payments may be used only to defray campaign
expenditures in the primary or general election the funds were for, or
to repay loans which were used to defray campaign expenditures in that
campaign \[84\].

A political committee may make expenditures for the purpose of
influencing the vote on a ballot question even if the question has not
yet been legally certified as appearing on the ballot, if the
expenditures are in anticipation of the question being placed on the
ballot and the expenditures are restricted to influencing the vote of
the public \[85\]. A ballot question committee may make expenditures
only for the principle for which it is organized and no other \[86\].

No corporation carrying on the business of a bank, trust, surety,
indemnity, safe deposit, insurance, railroad, street railway, telegraph,
telephone, gas, electric light, heat, power, canal, aqueduct, or water
company, no company having the right to take land by eminent domain or
to exercise franchises in public ways, granted by the Commonwealth or by
any county, city or town, no trustee or trustees owning or holding the
majority of stock of such a corporation, no business corporation
incorporated under laws of or doing business in the Commonwealth, and no
officer or agent acting in behalf of any such corporation may directly
or indirectly expend, or promise to expend, any money or other valuable
thing for the purpose of aiding, promoting or preventing the nomination
or election of any person to public office, or aiding, promoting or
antagonizing the interest of any political party \[87\]. No person or
persons, no political committee, and no person acting under the
authority of a political committee, and no person acting under the
authority of a political committee, or in its behalf, may solicit or
receive from such a corporation or holders of stock any expenditure, or
promise to expend for any such purpose \[88\]. No person acting under
the authority of, or on behalf of, any political committee, may expend
or disburse any money or anything of value while it has no qualified
treasurer, or while the name and address of any of its officers or
member has not been properly filed, nor may any expenditure be made for,
or on behalf of a political committee, without the authorization of the
chairman or treasurer, or their authorized agents \[89\].

A governmental entity may not appropriate or expend funds to influence a
ballot question \[90\].

**C. Procedures Attendant to Expenditures.** Any candidate required to
designate a depository for campaign funds, and any person acting for a
candidate or political committee must pay for services rendered or goods
sold in excess of the sum of \$50 only through check drawn upon that
depository and bearing the legend "Campaign Account -- (name of
candidate or political committee)" and must secure the signature of the
person receiving such check to the following certificate to be printed
on all such checks: "The undersigned affirms under the penalties of
perjury that he is the named payee of this check or an authorized
officer thereof, that he or it performed the services or delivered the
goods indicated herein, that the payment is for the sole purpose of
paying for such goods or service, and that no person other than the
named payee has any interest, direct or indirect, in this payment"
\[91\].

All payments for campaign purposes made by or for the benefit of a
candidate or by the treasurer of a committee required to designate a
depository after the date such depository is required to be designated
which are in excess of \$50 shall be made only from funds on deposit in
the depository through checks drawn on the depository and indicating
that such checks are drawn on the campaign account of the candidate or
the political committee involved \[92\]. All checks payable to the
candidate or treasurer for each reporting period may not exceed \$500,
and must contain a printed statement of purposes as follows:

PURPOSES OF PAYMENT

(Check One and Fill in Specific Purpose)

TV, Radio\...\...\...\...Printing\...\...\...\...\...Signs or
Displays\...\...Newspaper\...\...\...\...Office\...\...\...\...\.....

Transfer of
Fund\...\...Meetings\...\...\...\....Travel\...\...\...\...\.....Other\...\...\...\...\...\.....

Specific
Purpose\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....\[93\].

The candidate or treasurer's statement of a specific purpose should be
sufficiently detailed on its face to indicate with reasonable
particularity that the purpose of a particular expenditure is consistent
with the requirement of the law or regulation \[94\]. The checks must
also contain the "Campaign Account" legend for signature by the named
payee \[95\].

No candidate or committee treasurer required to designate a depository
for campaign funds may authorize the incurring of any expenditure in
behalf of the candidate or a committee unless there are sufficient funds
on deposit to pay the expenditures authorized, together with all other
expenditures previously authorized and still outstanding, or unless such
candidate or treasurer files with the director on the fifth day of each
month a complete statement of all unpaid obligations then outstanding,
the terms of payment, purpose of the expenditure by which the obligation
was created, and the name and address of the person holding the
obligation \[96\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Each political committee must file a statement of
organization with the Director of Campaign and Political Finance, except
for a political committee organized for the purpose of a city of town
election only, for which the statement is filed with the city or town
clerk \[97\].

The statement of organization must include the name of the political
committee which, if organized on behalf of a candidate, is to include
the name of the candidate; the address of the political committee; a
statement of the purpose for which the political committee is organized;
the name and residential address of the chairman and the treasurer; the
name, residential address, and position of other principal officers
including officers and members of the finance committee, if any; and the
name and address, if known, and party affiliation of each candidate the
political committee is supporting; however, if a candidate is nominated
without reference to a political party, the name of his or her political
party is not required \[98\]. Any change in information previously
submitted in a statement of organization must be reported to the
director, or if organized for the purpose of a city or town election
only, to the city or town clerk within 10 days following the change
\[99\].

Candidates for nomination or election to the offices of governor;
lieutenant governor; secretary of state; attorney general: state
treasurer and receiver general; auditor; governor's councilor; district
attorney; clerk of court; register of probate; register of deeds; county
commissioner; county treasurer; sheriff; mayor; or other citywide office
(except school committee) in a city with a population of 100,000 or
more; and the treasurer or each state political party committee must,
upon the organization of a political committee or upon becoming a
candidate, designate as a campaign funds depository a a state-chartered
trust company, or a national bank, a federal savings bank, federal
savings and loan institution, federal credit union, trust companies,
credit unions, or cooperative banks, as long as the institutions are
authorized to transact business in the commonwealth \[100\]. Each
candidate and the treasurer of each political committee must file with
the director, no later than the third business day following the
designation of such depository, a certificate of appointment containing
the name of the designated bank or trust company and the name of the
candidate of political committee, and authorize the designated bank or
trust company to submit the required reports \[101\].

**B. Reporting Deadlines.** Each candidate and each treasurer of a
political committee must file with the director or, if the candidate
seeks public office at a city or town election, or if the committee is
organized for the purpose of a city or town election, with the city or
town clerk, reports of contributions received and expenditures made
\[102\]. A committee organized to favor or oppose a question appearing
on a ballot at a state election must file its reports with the director,
or with the city or town clerk if the question appears on ballots at a
city or town election \[103\].

Reports by each candidate for nomination or election to the state senate
or house of representatives, and by the non‑elected political committee
organized on behalf of each candidate, are to be filed on or before the
eighth day preceding a primary, the eighth day preceding a biennial
state election, and a final report is due by January 20th in the
following year complete as of December 31 of the prior year; the eighth
day preceding a special primary, including a convention or a caucus, the
eighth day preceding a special election, the 30th day following a
special election, and a final special election report is due on January
20th, in the following year complete as of December 31 of the prior year
\[104\].

Reports by each candidate for nomination or election to city or town
office, and by the non‑elected political committee organized on behalf
of such candidate, except a candidate seeking election as member of a
representative town meeting or of a town or city ward committee, and any
non‑elected political committee organized on behalf of such candidate
must be filed on or before the eighth day preceding a city or town
preliminary or primary, including a caucus, the eighth day preceding a
city or town election, and if a city election, a final report is due by
January 20th in the following year complete as of December 31 of the
prior year, and if a town election, a final report is due by the 30th
day following the election, the eighth day preceding a special primary,
including a caucus, the eighth day preceding a special election, and as
a final report, the 30th day following a special election \[105\].

Reports by each candidate and each non‑elected political committee
required to designate a depository must be filed on or before the third
business day following the designation of the depository, and, as a
final report, January 20th of the year following the election, complete
as of December 31 of the prior year \[106\]. The reporting period of the
initial report begins on the day following the preceding election for
the office sought by the candidate, or on the day following the end of
the reporting period of the last report filed, if any, whichever period
is shorter, and ends on the day the depository is designated \[107\].
The reporting period of the second report begins on the day following
the designation of the depository and ends as of December 31 of the year
of the election \[108\].

Reports by the treasurer of each state committee required to designate a
depository must be filed on or before the third business day following
the designation of such depository, and as a final report, January 20th
of the year following the election complete as to December 31 of the
prior year \[109\]. The reporting period of the initial report begins on
the day following the preceding biennial state election, or on the day
following the end of the reporting period of the last report filed, if
any, whichever period is shorter, and ends on the day the depository is
designated \[110\]. The reporting period of the second report begins on
the day following the designation of the depository and ends as of
December 31 of the year of the election \[111\]. All other non‑elected
and elected political committees file reports on or before the same days
and in accordance with the same schedule as set forth for state senate
and house of representatives candidates, if the political committee is
aiding or promoting the success or defeat of one or more candidates, or
is favoring or opposing a question submitted to the voters, in a state
primary, special, or general election; or the same days and in
accordance with the same schedule as city or town office candidates, if
the political committee is aiding or promoting the success or defeat of
one or more candidates, or is favoring or opposing a question submitted
to the voters, in a city or town preliminary, primary, special, or
general election \[112\].

Reports by each political committee organized to favor or oppose a
question submitted to the voters, if the question appears on the ballot
at the state election, are to be filed on the day of the organization;
and the 60th day prior to the election, complete as of the preceding
fifth day; on or before the fifth and 20th day of each month complete as
of the preceding first and 15th day of the month, until the election;
November 20; and thereafter on the 20th day of January until all
declared liabilities of the committee have been discharged \[113\]. The
reporting period of the initial report begins on the day following the
preceding biennial state election, or on the day following the end of
the reporting period of the last report filed, if any, whichever period
is shorter, and ends on the day of organization \[114\]. The reporting
period of the initial report begins on the day following the day of
organization and ends on the 60th day prior to the election \[115\]. The
reporting period for all subsequent reports begins on the day following
the end of the reporting period of the last report filed and must end as
of the first or 15th day of each month, as appropriate \[116\].

Reports must be filed by all candidates and all political committees,
except those candidates seeking election as members of a representative
town meeting, or of a city, ward, or town committee, and non‑elected
political committees organized on behalf of such candidates, on or
before the 20th day of January in each year in which they are not
otherwise required to file a report on or before January 20th \[117\].
For candidates and non‑elected political committees organized on behalf
of such candidates for whom this report would be an initial report, the
reporting period begins on the day following the preceding election for
the office sought by such candidate and ends as of December 31 of the
year prior to the last day for filing; and for all other political
committees for which the report would be an initial report, the
reporting period begins on the day following the appropriate preceding
state, city, or town election, and ends as of December 31 of the year
prior to the last day for filing the report \[118\]. For all candidates
and all political committees, if the report is not an initial report,
the reporting period of such reports required to be filed on or before
January 20th in each year begins on the first day of January of the
prior year, or on the day following the end of the reporting period of
the last report filed, if any, whichever period is shorter, and ends as
of December 31 of the prior year \[119\].

An additional report is required for any contribution received after the
end of the reporting period of a final report by candidates or political
committees supporting candidates if the contribution was intended to
apply to the preceding election \[120\]. This report must be filed on or
before January 20th following the last day for filing the final report,
and must be complete as of December 31st of the prior year \[121\]. The
reporting period for this report begins on the day following the end of
the reporting period of the last report, or final report required to be
filed \[122\].

**C. Reports of Independent Expenditures.** Every individual, group, or
association not defined as a political committee, who makes an
independent expenditure or expenditures in an aggregate amount exceeding
\$100 during any calendar year for the purpose of promoting the election
or defeat of any candidate or candidates must file with the director (or
with the city or town clerk, if the candidate or candidates seek public
office at a city or town election), within seven business days after
making the independent expenditure or expenditures, a report stating the
name and address of the individual, group, or association making the
expenditure or expenditures, the name of the candidate or candidates
whose election or defeat the expenditure promoted, the name and address
of the person or persons to whom the expenditure or expenditures were
made, and the total amount or value, the purpose, and the date of the
expenditure or expenditures \[123\].

**D. Contents of Reports.** Each candidate and the non‑elected political
committee organized on behalf of each candidate, upon the filing of the
initial report, must include all contributions received and expenditures
made since the end of the reporting period of the last report filed, if
any, whichever reporting period is shorter, and all other political
committees, upon the filing of their initial report, must include all
contributions received and expenditures made since the day of the
preceding biennial state election, or the end of the reporting period of
the last report filed, if any, whichever period is shorter, if the
political committee is either aiding or promoting the success or defeat
of one or more candidate, or is favoring or opposing the adoption or
rejection of a question submitted to the voters, at a state primary or
election; or the day of the preceding city or town election, or the end
of the reporting period of the last report filed, if any, whichever
period is shorter, if the political committee is either aiding or
promoting the success or defeat of one or one more candidates, or is
favoring or opposing the adoption or rejection of a question submitted
to the voters, at a city or town preliminary, primary, or general
election \[124\].

Each report must disclose the amount of money on hand at the beginning
of the reporting period; the full name and residential address, listed
alphabetically, of each person who has made a contribution (except for
loans and contributions from other candidates and political committees)
in an amount or value in excess of \$50, during the reporting period,
and such information for each contribution of less than or equal to
\$50, if the aggregate of all contributions received from such
contributor within the reporting period is in excess of \$50, the
occupation and employer of each person who has made a contribution in
excess of \$200 within any one calendar year, and the amount or value
and date of the contribution and the total of all contributions listed;
however, any contributions resulting from any purchases from an
individual, candidate or political committee, or from a person acting on
behalf of said individual, candidate, or political committee, or from a
person acting on behalf of the individual, candidate or political
committee, whether through the device of tickets, advertisements, or
otherwise, for any fundraising activities, including testimonials, held
on behalf of the individual, candidate, or political committee, are
reported separately: for those contributions resulting from such
purchases, the full name and residential address, listed alphabetically,
of each person who has made such purchases if the amount or value paid
is in the aggregate in excess of \$50 in the reporting period; the total
amount or value of contributions made in the reporting period, except
for those contributions resulting from fundraising purchases not
otherwise reported; the name and address, listed alphabetically, of each
candidate or political committee from which was received, or to which
was made, and transfer of money or anything of value, in the reporting
period, together with the amount or value and date of such transfer; the
amount or value and date of each loan to or from any person, in the
reporting period, together with the name and residential address of the
lender and endorser, if any, listed alphabetically, and the amount or
value and date of each loan; the total amount or value paid for those
purchases in the reporting period, and not otherwise reported; the gross
proceeds from such amounts or value paid for such purchases; the full
name and address, listed alphabetically, of each person to whom an
expenditure is made in the reporting period, in an amount or value in
excess of \$50, the amount or value, date and purpose of each such
expenditure and the total of all such expenditures listed; however, any
expenditures resulting from fundraising purchases must be reported
separately; for those expenditures resulting from other purchases, the
full name and address, listed alphabetically of each person to whom an
expenditure in excess of \$50 is made during the reporting period, the
amount or value, date and purpose of each such expenditure and the total
of all such expenditures listed; the total amount or value of such
expenditures resulting from such purchases in the reporting period, and
not reported otherwise; the total amount or value of expenditures made
in the reporting period, except those in excess of \$50, and not
otherwise reported; the total sum of expenditures made, in the reporting
period; the amount and date of each then existing liability remaining
unfulfilled and in force when the report is made, the name and address
of the person to whom the liability exists, and a clear statement of the
purpose for which it was incurred; a listing of all banks or other
financial institutions used; and, in the event of the dissolution of a
political committee, a statement of dissolution detailing the intended
or actual disposition of any residual funds \[125\].

Each report must also contain the name, residential address, and amount
contributed in that reporting period of each person whose contributions
in the aggregate exceed more than \$50 in the calendar year, for those
contributions where the information does not otherwise appear on the
reports \[126\].

The report required to be filed on or before January 20th must also
contain a statement detailing the intended or actual disposition of any
residual funds \[127\].

**E. Exemptions from Reporting for Candidates.** The provision requiring
candidates to file reports does not apply to candidates who during any
reporting period have not received contributions, incurred any
liabilities, nor made expenditures on their own behalf independent from
the political committee organized on their behalf \[128\]. Such
candidates must sign an affidavit under the pains and penalties of
perjury that they have not received any contributions, incurred and
liabilities, nor made any expenditures on their own behalf during that
reporting period \[129\]. The affidavit is executed on the report filed
by the candidate's political committee for that reporting period
\[130\].

Candidates who have no political committee organized on their behalf and
who have not received any campaign contributions, incurred any
liabilities, nor expended money on their behalf during any reporting
period need only sign an affidavit on a form provided by the director
stating that they have not received a campaign contribution, incurred
any liabilities, nor made any expenditure on their own behalf \[131\].
The statement must be signed under the pains and penalties of perjury
\[132\].

**F. Reporting by a Candidate Accepting Public Funding**. When applying
for certification for public funding, a candidate must file an update
report. For a participant running for state senator or state
representative, the update report must cover contributions and
expenditures during the period from January 1 of the election year
through the third day before application for certification, and have the
content and format of reports required for all other candidates \[133\].
For a participant running for other state office, the update report must
cover contributions and expenditures during the period from the last
depository report filed through the third day before application is made
for certification, and have the content and format of reports required
for all other candidates \[134\]. A candidate's application to become a
certified candidate must be on a form prescribed by the director and
must be signed by the candidate and the candidate's campaign treasurer
\[135\].

A report of a non‑participating candidate is required when expenses
exceed the respective election expenditure limit, and must be filed
within seven days with the director \[136\]. After the first excess
expense report, a non‑participating candidate shall file an excess
expense report every seven days until 14 days before the respective
election, after which a report must be filed every two business days
until the day of the primary election \[137\].

**G. Reporting by Depository.** The cashier or treasurer of the bank
selected by any candidate or political committee as a depository must
file with the director during the last six months of an election year by
the fifth and 20th days of each month while the account is in existence,
and during the first six months of an election year and during a
non-election year by the fifth day of each month while the account
continues to exist, a statement of the balance as of the preceding first
and 15th of the month (or as of the last report, whichever is
applicable), together with a summary of all of the deposit slips
presented to the bank since the last such statement with any deposit of
moneys to the campaign account of such candidate or committee, listing
the names alphabetically and other data as to all donors as it appeared
on the deposit slip, and a list of all the checks presented to the bank
since the last statement upon which any fund were withdrawn from any
such account with the names and addresses of the payees and the amount
of each check, and the purposes for which the money was paid as thereon
indicated \[138\]. Such accounts remain in existence until the election
and thereafter as long as a candidate or political committee has unpaid
obligations \[139\]. A candidate or the treasurer of a political
committee which has such obligations must file with the director by the
fifth of each month a summary of all campaign contributions (including
campaign contributions in the form of forgiveness of indebtedness)
received during the preceding month together with the name and address
and all other data as to each such contributor, such as the name and
address of principal officers of a contributor \[140\].

**H. Reporting by Other Entities.** The treasurer of any corporation,
association, or organization which has given, paid, expended, or
contributed money or any valuable thing to influence or affect the vote
on a ballot question submitted to the voters must file reports with the
director, with copies to the city or town affected, if a city or town
ballot question, setting forth the amount or value of every gift,
payment, expenditure or contribution, or promise to give, pay, expend,
or contribution, together with the date, purpose, and full name and
address of the person to whom it was made \[141\]. For municipal ballot
questions, reports are filed on or before the eighth day preceding a
city or town preliminary or primary, including a caucus, the eighth day
preceding a city or town election, and if a city election, a final
report is due by January 20th in the following year complete as of
December 31 of the prior year, and if a town election, a final report is
due by the 30th day following the election, the eighth day preceding a
special primary, including a caucus, the eighth day preceding a special
election, and as a final report, the 30th day following a special
election \[142\]. For state ballot questions, corporate reports are to
be filed on the 60th day prior to the election, complete as of the
preceding fifth day; on or before the fifth and 20th day of each month
complete as of the preceding first and 15th day of the month, until the
election; and, thereafter, on the fifth day of each month until all
declared liabilities have been discharged \[143\].

The treasurer of any city, town, or other governmental unit which has
given, paid, expended, or contributed, or promised to give, pay, expend,
or contribute any money or any valuable thing in order to influence of
affect the vote on any question submitted to the voters of the
commonwealth must file reports with the director setting forth the
amount or value of every gift, payment, expenditure, or contribution, or
promise of give, pay, expend, or contribute, together with the date,
purpose, and full name and address of the person to whom it was made
\[144\]. The treasurer of any city, town, or other governmental unit
which has given, paid, expended, or contributed, or promised to give,
pay, expend, or contribute any money or any valuable thing in order to
influence or affect the vote on any other question submitted to the
voters of any city or town or any part of any city or town, files
reports with the clerk of the city or town setting forth the amount of
value of every gift, payment, expenditure, or contribution, or promise
to give, pay, expend, or contribute, together with the date, purpose,
and full name and address of the person to whom it was made \[145\].
Reports by governmental entities must be filed on the 60th day prior to
the election; on or before the fifth and 20th day of each month complete
as of the preceding first and 15th day of the month, until the election;
and, thereafter, on the fifth day of each month until all declared
liabilities have been discharged \[146\].

Anyone under authority or on behalf of a political committee who
receives any money or its equivalent, or promise of the same, or expends
or incurs any liability to pay the same, must, on demand, and in any
event within three business days after such receipt, expenditure,
promise or liability, give to the treasurer a detailed account of the
same, with all required vouchers which are to be part of the accounts
and files of the treasurer \[147\].

**I. Disclosure of Assets Statement.** Each political committee which
files with the Director of Campaign and Political Finance must file a
disclosure of assets statement with every campaign finance statement due
on January 10 of each year, and with the dissolution report of a
political committee \[148\]. The statement must contain information on
all assets acquired or disposed of by the committee during the period
since the end of the period covered by the last disclosure of assets
statement \[149\]. An asset is any one item that has a useful life of
more than one year, would be depreciable in a normal business
environment, and has a cost or value of \$1,000 or more at the time of
acquisition \[150\].

**J. Electronic Reporting.** Certain individuals and political
committees are required to file electronically by modem or via computer
terminals provided or approved by the

Director of Campaign and Political Finance: each candidate or
candidate's committee that, during an election cycle, has raised or
spent more than 10% of the applicable clean elections expenditure limit
for governor, lieutenant governor, state secretary, attorney general,
state treasurer and receiver general, auditor, councillor, state senator
and state representative \[151\]; each ballot question committee that,
since December 21 following the last state election, has raised or spent
more than \$25,000 \[152\]; any other political committee, other than a
candidate's committee or a ballot question committee, if such political
committee is aiding or promoting the success or defeat of one or more
candidates for a state office and has, since December 31 following the
last state election, raised or spent more than \$10,000 \[153\].

The dates for filing and the contents of the electronic filing are the
same as that required for a candidate or political committee under other
circumstances, and electronic filers must continue to file all
paper‑generated reports as a form of backup until such time as the
director determines that the electronic filing system meets all
pertinent filing and disclosure requirements \[154\].

Electronic filing begins January 1, 2002 for state office candidates,
and for all other political committees on January 1, 2004, with
voluntary electronic filing before the mandatory date permitted \[155\].

**V. PUBLIC FINANCING PROVISIONS**

Massachusetts provides for voluntary public financing for candidates for
state office who agree to set contribution and expenditure limits,
starting with the 2002 election.

**A. Clean Elections Fund.** The Clean Elections Fund serves to finance
candidates using amounts voluntarily contributed through the checkoff on
the state income tax return, any amounts appropriated by the
legislature, and any money in the existing state election campaign fund
\[156\].

**B. Qualification.** To participate in the new system, a candidate must
raise a minimum number of contributions from registered voters in the
relevant district: Governor, 6,000; Lieutenant Governor, Attorney
General, or Treasurer, 3,000; Secretary of State or Auditor, 2,000;
Executive Councillor, 400; State Senator, 450; and State Representative,
200 \[157\]. Qualifying contributions must be raised in amounts between
\$5 and \$100 \[158\] and be collected during a limited period: for
statewide candidates beginning on August 1 of the year before the
election, for other candidates beginning on January 1 of the election
year, and for all candidates ending on the last day to file nomination
papers with the Secretary of State \[159\]. For any election, a
participating candidate may not accept contributions of more than \$100
from any person or political committee and may not raise or spend any
money other than these contributions and public funds \[160\].

**C. Candidate Funding.** Candidates meeting all of the qualifying
requirements would, subject to appropriation by the legislature, receive
public funding in the primary and general elections in the following
amounts: Governor, \$1,622,100 in public funds for the primary with a
\$1,944,100 spending limit, and \$1,135,500 in public funds for the
general election with a \$1,300,100 spending limit; for Lieutenant
Governor, the primary election figures are \$414,200 and \$486,700, and
for the general election \$275,800 and \$324,400; for Attorney General
or Treasurer, the primary election figures are \$389,300 and \$486,600,
and for the general election \$259,500 and \$324,400; for Secretary of
State or Auditor the primary election figures are \$129,800 and
\$162,300, and for the general election \$86,500 and \$108,100; for
Councillor, the primary election figures are \$20,500 and \$25,900 and
for the general election \$14,100 and \$17,400; for Senator, the primary
election figures are \$46,500 and \$58,400, and for the general
election, \$31,400 and \$39,000; and for Representative, the primary
election figures are \$16,200 and \$19,500, and for the general election
\$9,700 and \$12,900 \[161\].

A participating candidate running unopposed would receive only one-half
the listed amount of public funds and could spend correspondingly less
than a candidate with an opponent \[162\]. A participating candidate
running against a nonparticipating opponent may receive up to twice the
spending limit in public funds \[163\].

**D. Distributions.** Distributions from the Massachusetts Clean
Elections Fund to certified candidates are made as follows: within five
business days after certification, 50% of the applicable amount \[164\];
within five business days after the end of the qualifying period, for
certified candidates in a primary with an opponent who will appear on
the ballot in the primary, 50% of the applicable amount \[165\]; within
five business days after the primary election, for certified candidates
in the general election with an opponent who will appear on the ballot
in the general election, the applicable amount \[166\]; within five
business days after the primary election, for certified candidates in a
general election without an opponent in the general election, 50% of the
applicable amount \[167\]; within two business days of the filing of an
excess expense report, or within two days of the director's
determination of any excess expenses by a non‑participating candidate,
whichever is earlier, any matching funds related to excess or
non-participating candidate expenditures \[168\].

**E. Restrictions.** A participant may accept in‑kind contributions only
from political committees and individuals \[169\]. In any election
cycle, the total value of all in‑kind contributions accepted by a
participant for the following offices may not exceed the following:
Governor \$35,000; Lieutenant Governor \$20,000; Attorney General
\$20,000; Treasurer and Receiver General \$20,000; State Secretary
\$15,000; Auditor \$15,000; Councillor \$3,000; State Senator \$6,000;
and State Representative \$3,000 \[170\]. In any election cycle, a
candidate may not accept in‑kind contributions from an individual or
political committee totaling more than \$500 in the aggregate, provided,
however, that in any election cycle, a candidate running for statewide
office may accept in‑kind contributions totaling not more than \$3,000
in the aggregate from a political party committee, and provided further
that a participant running for any other state office may accept in‑kind
contributions totaling not more than \$1,000 in the aggregate from a
political party committee \[171\].

A candidate may pay and expend allowable contributions and clean
election funds received only for reasonable and necessary expenses
directly related to the campaign of such participant and may not make
any expenditure that is primarily for the participant's or any other
person's personal use \[172\].

**F. Oversight.** The expenditure, contribution, and public funding
limits will be adjusted every two years for inflation \[173\]. A special
commission (including elected officials and private citizens) is
established to meet every two years to review the system and recommend
any needed changes \[174\]. The state Director of Campaign Finance is
empowered to issue regulations to interpret and enforce the law \[175\].

**VI. TAX PROVISIONS**

Every individual who files a separate return may voluntarily contribute
one dollar to be paid over to the Clean Elections Fund, and, in the case
of a joint return of a husband and wife, each spouse may voluntarily
contribute one dollar to the fund \[176\]. A credit in the full amount
of the contribution is permitted, not to exceed the income tax liability
for the taxable year \[177\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Remaining a Candidate.** An individual who leaves elected office
does not have to dissolve his or her campaign committee if the
individual remains a candidate \[178\], anticipating that he or she may
run for public in the foreseeable future \[179\]. Under such
circumstances, the individual may raise and spend funds in a manner
otherwise consistent with the campaign finance law \[180\].

**B. Recordkeeping Requirements.** A candidate is required to preserve
all receipted bills and accounts mandated by the campaign disclosure
requirements for six years after the date of the election \[181\]. All
depository accounts must remain in existence until the election and so
long thereafter as a candidate or political fund has unpaid obligations
\[182\].

**C. Disposition of Assets.** Assets may be sold to generate cash,
including sale to the candidate, but the sale must be for the fair
market value of the assets \[183\]. Sales of assets to individuals other
than the candidate must also be sold at fair market value, and may not
exceed the amount an individual may contribute to the particular
political committee in a calendar year \[184\]. Assets may also be sold
at fair market value to a company in the business of buying or selling
the particular asset being sold if done in the ordinary course of
business, and in a manner consistent with the company's usual and
customary business practices \[185\]. A transfer of assets to another
political committee triggers additional reporting obligations \[186\].
Assets may be donated to a charitable entity designated by Massachusetts
law \[187\], a religious or charitable organization \[188\]; or a
non-profit corporation incorporated under commonwealth law \[189\].
However, donations of such property may not be made to an organization
in which the candidate, treasurer, nor any official of the political
committee is a trustee an officer, a principal, or beneficiary, or
involved in any manner in the operations of the entity receiving the
donation \[190\]; and neither the candidate, treasurer, nor any official
of the political committee is related by blood or marriage with any
trustee an officer, a principal, or beneficiary of the entity receiving
the donation \[191\].

**D. Disposition of Surplus Funds.** Residual funds may not be converted
to the personal use of the candidate or any other person, but are to be
donated to the local aid fund or categorical grants fund \[192\], a
not-for-profit entity that is not or will not become affiliated with the
candidate or an official of the committee for a period of 10 years
\[193\], a scholarship fund that the candidate, a committee official, or
a relative of either, may benefit from personally, nor one which will
allow them to designate the beneficiary \[194\], or the general fund of
any city or town in the commonwealth \[195\].

**E. Settlement of Debts.** A candidate or committee may enter into an
agreement with a corporation to settle outstanding debts for less than
the amount owed if a properly completed statement of settlement is filed
with the office of campaign and political finance within 30 days of such
a settlement \[196\]. Corporate debts may only be settled for an amount
less than that owed if both parties to the transaction treat the debt in
a commercially reasonable manner \[197\]. Such a settlement is not an
appropriate means of resolving a dispute between a political committee
and a creditor involving questions of satisfactory delivery of goods or
services, or the amount owed \[198\]. In order for a settlement of such
a debt to occur, all of the following requirements must be met: credit
was extended in the ordinary course of business similar to terms granted
to other political and non-political debtors \[199\]; the committee has
made commercially reasonable efforts to satisfy the debt \[200\]; the
creditor has pursued remedies to seek payment in the same manner it
normally takes against debtors in a financial condition similar to the
committee \[201\]; the settlement is similar to others the creditor has
made with other debtors, and is similar to settlements the committee has
proposed to its other creditors \[202\]; the length of time prior to
settlement is consistent with normal business and trade practice
\[203\]; and the candidate or political committee files a proper
statement of settlement within 30 days of the settlement signed by the
treasurer and candidate of the political committee, and a duly
authorized agent of the corporation \[204\].

A candidate or committee may enter into an agreement with a
non-corporate creditor to settle outstanding debts for less than the
amount owed \[205\]. To do so, the same procedures may be followed as if
the debt were a corporate debt \[206\], or by meeting the following two
requirements: the amount forgiven, when aggregated with the amounts
contributed from the same individual, is no more than the amount the
individual may contribute under law \[207\]; an the political committee
reports any debt which is forgiven as an in-kind contribution \[208\].

**F. Special Provisions for Publicly Financed Candidates.** Within 14
business days after the primary election, a certified candidate must
return all unexpended clean primary election funds to the Massachusetts
Clean Elections Fund \[209\]. Within forty‑five days after the general
election, a certified candidate shall return all clean election funds
that were not expended or obligated to be spent during the election
cycle to Massachusetts Clean Elections Fund \[210\].

**G. Special Reporting by Political Action Committees.** A political
action committee which is dissolving must file a statement with the
office of campaign and political finance relative to direct deposit
contributions \[211\].

**VIII. OFFENSES AND PENALTIES**

A violation of the law pertaining to a statement of organization,
disbursement of funds, or payments by a political committee is
punishable by imprisonment of not more than one year, or by a fine of
not more than \$1,000 \[212\]. A violation of the contribution and
expenditure provisions is punishable by imprisonment of not more than
six months, or by a fine of not more than \$500 \[213\]. A violation of
the prohibitions against cash contributions in excess of \$50, payments
made or knowingly received in a name other than that of the true donor,
or soliciting from a candidate, carries a penalty of imprisonment for
not more than one year of by a fine of not more than \$1,000, or in the
case of an impermissible cash contribution, both \[214\].

A corporation violating the provisions of the law governing political
contributions may be fined not more than \$50,000, and any officer,
director, or agent of the corporation violating any provision or author
of any such a violation, or any person who violates or in any way
knowingly aids or abets such a violation may be punished by a fine of
not more than \$10,000, or by imprisonment for not more than one year,
or both \[215\].

A \$10 per day civil penalty is to be assessed by the director of
campaign finance for any report, statement, or affidavit required to be
filed with the office of political and campaign finance or with any city
or town clerk, to a maximum of \$2,500 for any one delinquent item
\[216\]. In the case of a delinquent filing by a candidate or
candidate's committee, the fine is assessed against the candidate, while
in all other cases it is assessed against the treasurer of the committee
\[217\]. A waiver may be granted if the findings are made in writing
\[218\]. A waiver made be made for good cause \[219\]. Good cause does
not include postal delay, a change of treasurer, non-receipt of
reporting forms, a candidate or treasurer's change of address if the
office of campaign and political finance is not notified, ignorance of a
filing requirement, or lack of access to campaign records \[220\].
Examples of good cause may include situations involving a death,
incapacitating illness, or hospitalization of the candidate, treasurer,
or other person assessed a penalty (or in the immediate family of such a
person); serious accident involving the candidate, treasurer, or other
person assessed a penalty; or unforeseen weather conditions such as a
hurricane or major snowstorm \[221\].

A violation of any provision relating to public employee solicitation of
political contributions and solicitation of political contributions in
public buildings is punishable by a fine of not more than \$1,000
\[222\]. A violation of the provisions against punishing a public
employee for rendering a political service or failing to contribute is
punishable by a fine of not less than \$100, nor more than \$1,000
\[223\].

A violation of any provision of the law pertaining to required reporting
and disposition of non‑publicly‑financed residual funds is punishable by
imprisonment for not more than one year, or by a fine of not more than
\$1,000 or both \[224\], but any corporation violating the laws relating
to reporting of corporate contributions may be punished by a fine of not
more than \$50,000, and any officer, director, or agent of the
corporation violating any provision or authorizing such a violation is
punishable by a fine of not more than \$10,000, or by imprisonment of
not more than one year, or both \[225\]. A violation of the law on
furnishing accounts and vouchers to the treasurer by persons acting for
a committee is punishable by imprisonment for not more than one year, or
by a fine of not more than \$1,000 \[226\].

A corrupt practice---a candidate forcing or permitting any person or
non‑elected political committee authorized by him or her to make a false
return in any required statement \[227\]---is punishable by declaring
the offender's election to office void, ousting and excluding the
offender from office, and declaring the office vacant \[228\]. A person
convicted of a corrupt practice is to be stricken from the roll of
registered voters for three years \[229\].

A violation of the secrecy of a private hearing called under the
authority of the Director of Campaign and Political Finance is
punishable by a fine of up to \$1,000 and imprisonment for not more than
one year, or both \[230\]. Upon conviction for any such violation, the
director must be removed and the office deemed vacant \[231\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Director of Campaign and Political Finance.** The state chairman of
each of the two leading political parties, the state secretary, and a
dean of a law school located in the commonwealth appointed by the
governor serve as a commission to select the Director of Campaign and
Political Finance \[232\]. The director must be a resident of the
commonwealth, and selection is to be by unanimous vote \[233\]. The
director serves for a term of six years \[234\].

The director must make available to investigative, accounting, and law
enforcement agencies of the commonwealth all information necessary or
available to fulfill their duties under the disclosure law \[235\]. The
director must also, as necessary or advisable, periodically issue rules
and regulations and issue interpretative bulletins and respond with
reasonable promptness to requests for information, interpretations, and
advice presented by candidates, state committees, political committees,
and members of the public \[236\]. All acts, decisions, and rulings of
the director are subject to judicial review upon the application of any
interested person \[237\].

The director has the power and authority to investigate the legality,
validity, completeness, and accuracy of all reports and actions required
to be filed and taken by candidates, treasurers, political committees,
and any other person pursuant to laws of the commonwealth pertaining to
campaign contributions and expenditures \[238\].

The director may require, by summons, the attendance and testimony under
oath of witnesses and the production of books and papers relating to any
matter being investigated by the director \[239\]. Such summons must be
served in the same manner as summonses for witnesses in criminal cases
issued on behalf of the commonwealth and all provisions of law relative
to summonses issued in such cases applies to summonses issued so far as
applicable \[240\]. Any justice of the supreme judicial court or of the
superior court may, upon application by the director, compel the
attendance of witnesses summoned and giving of testimony under oath in
furtherance of any investigation in the same manner and to the same
extent as before the courts \[241\].

The director must inform any person or committee under investigation by
registered mail, return receipt requested, of the director's intention
to present to the attorney general evidence of any alleged violation
\[242\]. Within 10 days of receipt of notice, the alleged violator may
request a hearing before the director to present evidence to the
contrary, and the director may not present evidence of such alleged
violation to the attorney general until after this hearing \[243\]. A
hearing is to be conducted in accordance with provisions of secrecy
applicable to grand jury proceedings, and all witnesses shall be heard
only at private hearings \[244\]. Witnesses have the right to be
represented at a hearing by counsel \[245\]. Witnesses retain the right
to refuse to answer questions on the grounds of self-incrimination
\[246\].

The director may, in his or her discretion, dispose of any matter before
the director through administrative disposition \[247\]. Administrative
disposition may include entering into disposition agreements with
candidates, treasurers, and any other person who is the subject of a
review or investigation \[248\].

Evidence of any violation which has come to the director's attention may
be presented to the attorney general only after the relevant election
involved, but within two years after the election \[249\]. The referral
may not be made until after the director has notified the alleged
violator of such an intent by registered mail, return receipt requested
\[260\]. Within ten days after receiving such a notice, the alleged
violator may request a hearing before the director for the purpose of
presenting any evidence to the contrary \[251\]. The director may not
make the referral until after the hearing, if requested, is held
\[252\].

Whenever a statement of organization of a political committee is filed
on behalf of a candidate who become a candidate after the deadline for
filing nomination papers, the director must, at the time of the filing,
notify the candidate or his representative of necessary requirements and
also forward the name and address of the candidate to the state ethics
commission within three days after the filing of a political committee
with the director's office \[253\].

The director must retain all statements and reports filed with the
office under law until the term of the office the candidate is seeking
has ended, provided that the ending balance on that candidate's most
recent statement shows no residual funds and no remaining deficit
\[254\]. In the case of a candidate or authorized campaign committee
which reports an ending balance of other than zero, the director must
retain all statements and reports and require additional annual reports
to be filed on January 20th until the candidate or authorized campaign
committee reports an ending balance of zero \[255\]. In the case of
committees other than those authorized by a candidate, the director must
make all reports required to be filed with him or her available for
convenient public inspection and reproduction by a copying machine at
commercially reasonable fees as soon as the statements and reports are
filed \[256\].

The director must furnish to city and town clerks, at the expense of the
commonwealth, blanks and forms approved by the director and by the
attorney general, suitable for the submission of required statements and
reports \[257\]. The director must transmit the blanks to all candidates
for nomination to state or county office who are known to the director,
and to all political committees required to file with him or her
\[258\]. The blanks must be furnished upon request to any person or
political committee required to file a statement or report \[259\].

The director must also provide to all candidates and political
committees required to file with him a summary of laws of the
commonwealth relating to contributions and expenditures, and must
furnish to city and town clerks, at the expense of the commonwealth,
sufficient copies of the summary so that they may provide the summary of
all candidates and political committees required to file with them
\[260\].

The director must inspect all statements and reports of candidates, or
non‑elected political committees supporting such candidates, within 30
days of the required reporting, and all other statements and reports
within 60 days of the required reporting dates \[261\]. If upon
examination of the records it appears that any candidate or political
committee has failed to file a statement or report as required by law,
or if it appears to the director that any statement or report filed with
him or her does not conform to law, upon written complaint by five
registered voters that a statement or report does not conform to law, or
that any candidate or political committee has failed to file a statement
or report required by law, the director must, in writing, notify the
delinquent person \[262\]. The complaint must state in detail the
grounds of objection, must be sworn to by one of the subscribers, and
must be filed with the director within 10 days after the required date
for filing a statement or report, or within 10 days after the actual
filing of a statement or report, or an amended statement or report
\[263\].

Upon failure to file a statement or report within 10 days after
receiving notice, or if any statement filed after receiving the notice
discloses any violation, the director must notify the Attorney General
and furnish the Attorney General with copies of all relevant papers
\[264\]. The referral may not be made until after the director has
notified the alleged violator of such an intent by registered mail,
return receipt requested \[265\]. The director may grant a waiver of
fine for delinquent filings \[266\]. Such waiver must be requested in
writing and signed by the person against whom a penalty has been
assessed \[267\]. If the director grants a waiver request, the finding
and reasons for the decision must be made in writing \[268\]. Within 30
days of receipt of a decision denying a waiver request, the person who
filed the request may submit a written request for an informal hearing
\[269\].

The director also has responsibilities related to public financing. The
director must certify a participant to participate in Massachusetts
Clean Elections upon determining that the participant has signed and
filed a declaration of intent \[270\]; collected the required number of
qualifying contributions \[271\]; submitted the required supporting
forms \[272\]; complied with the expenditure limits \[273\]; complied
with the allowable and in‑kind contribution limits \[274\]; met all
other applicable requirements for participation \[275\]; agreed to
continue to abide by all requirements for participants after
certification \[276\]; and met all other applicable requirements
concerning candidacy for state office set forth in the constitution and
in the general laws \[277\].

The Director is required to promulgate rules and regulations necessary
to implement the Clean Elections Fund, including, but not limited to,
promulgating: a declaration of intent form \[278\]; in consultation with
the state secretary, regulations governing the certification of the
registration status of voters making qualifying contributions \[279\];
regulations and forms governing application for certification, the
filing of update reports, and the timely certification of participants
\[280\]; regulations governing the disbursement of clean general
election funds and the timing of such disbursement in the event that
primary election results are subject to a recount or judicial review
\[281\]; regulations governing application, certification, expenditure
limits, allowable and in‑kind contribution limits, and distribution of
clean election funds for candidates running in a special election
\[282\]; regulations governing the return of allowable contributions by
certified candidates \[283\]; regulations and forms governing the
submission of excess expenditure reports \[284\]; and regulations
governing the return of clean election funds in case of the death or
withdrawal of a certified candidate \[285\].

The Director has the same power and authority to investigate the
legality, validity, completeness and accuracy of all reports filed and
actions taken by candidates pursuant to public financing as pertaining
to other campaign contributions and expenditures, including, but not be
limited to, the issuance of summonses \[286\]. The Director may waive
all or part of any civil penalty set forth in this chapter for good
cause shown; provided, however, that the findings and reasons are put in
writing \[287\].

The Director must annually determine the amount of funds required for
the full implementation of all Clean Elections provisions, and annually
make a request to the budget director for inclusion of a request in the
budget for such funds \[288\].

The Director's certification or denial of certification must be
completed more than seven business days after a participant has applied
to become a certified candidate and submitted all appropriate supporting
documents \[289\].

The Director's certification or denial of certification is subject to
judicial review in the superior court of the county where the candidate
resides or in the Suffolk County Superior Court or in the supreme
judicial court for Suffolk county, provided, however, that any petition
for judicial review shall be filed within 14 days after the end of the
qualifying period \[290\].

**B. Clerks of Cities and Towns.** The proper city or town clerk serves
as the filing officer for certain required reports and statements, and
must retain all reports and statements filed with him or her until the
term of the office the candidate is seeking has ended \[291\]. In the
case of committees other than those authorized by a candidate, the city
or town clerk must retain all statements and reports filed with his or
her office for two years \[292\]. Such statements and reports must be
available for convenient public inspection and copying at the office of
the city or town clerk during normal business hours as soon as they are
filed with him or her \[293\].

The clerk also is responsible for transmitting blanks for statements and
reports to all candidates for nomination or election to city or town
office, who are known to the clerk, and to all political committees
required to file a statement or report \[294\]. All candidates and
political committees required to file with the clerk are to receive a
summary of laws of the commonwealth relating to contributions and
expenditures \[295\].

The clerk is to inspect all statements and reports of candidates, or
non‑ elected political committees supporting such candidates within 30
days or the required reporting date, and all other statements and
reports are to be inspected within 60 days of the required reporting
date \[296\]. If it appears to the clerk that the statement or report
does not conform to law, or upon written complaint by five registered
voters that a statement or report does not conform to law, or that any
candidate or political committee has failed to file a required report,
the clerk must notify the delinquent person in writing \[297\]. A
complaint must state in detail the grounds of the objection, be sworn to
by one of the subscribers, and be filed with the clerk within then days
after the actual filing of a statement, report, or amendment \[298\].
Upon failure to file a statement or report within ten days after
receiving notice, or if any statement filed after receiving the notice
discloses any violation, the clerk must notify the Director of Campaign
and Political Finance and furnish him or her with copies of all relevant
papers \[299\].

**C. Attorney General and the Courts.** The Attorney General is to
approve blanks and forms for reports and statements developed by the
director prior to their distribution \[300\]. Within two months after
referral of any case from a city or town clerk or the Director of
Campaign and Political Finance, the Attorney General must examine the
case, and, if satisfied that there is cause, he or she must, in the name
of the commonwealth, institute appropriate civil proceedings or refer
the case to the proper district attorney for appropriate action in the
criminal courts \[301\].

The supreme judicial or superior court may compel any person failing to
file a required statement or filing a non‑conforming statement upon the
application of the Attorney General, or district attorney, or petition
of any candidate voted for, or of any five persons qualified to vote at
the election on account of which the expenditures, or any part thereof,
were made or are alleged to have been made \[302\]. Proceedings must be
advanced for speedy trial upon the request of either party \[303\]. No
petition may be discounted without the consent of the Attorney General
\[304\].

If the Attorney General or five or more voters have reasonable cause to
believe that a corrupt practice has been committed by any successful
candidate, other than a candidate for the United States Congress, or for
the general court, for whom the voters had the right to vote, with
reference to his election, or by any other person in his interest or
behalf with reference thereto, the attorney general or the voters may
apply to a justice of the superior court, sitting in equity within and
for Suffolk County, for leave to bring an election petition against the
candidate praying that the election of such candidate be declared void
\[305\]. The application must be subscribed and sworn to by the
petitioners and it is heard *ex parte* by the justice of the superior
court upon such evidence as he or she may require; and if the
petitioners establish to his or her satisfaction that there is
reasonable cause to believe that such violations may be proved, the
justice must grant leave to the petitioners to bring an election
petition against the candidate \[306\].

After the entry of such an order, and within two months after the
election to which it relates, the election petition may be filed in the
superior court within and for Suffolk County \[307\]. Notice of the
petition must be by writ of subpoena according to the usual course of
proceedings in equity and must be returnable 14 days after the date on
which the petition is filed \[308\]. A subpoena issued upon an election
petition must be served not less than seven days before the return day
\[309\]. A defense to an election petition must be by answer, filed
within seven days after the return day, and no replication be filed
\[310\]. Election petitions are to be entered on the equity docket
\[311\].

Election petitions and all motions and other applications, whether
interlocutory or final, and all hearings on the merits or upon the
making, entering or modifying of decrees are heard and determined by
three justices of the superior court who, immediately following the
filing of an election petition, are assigned by the administrative
justice of the court for the hearing and determination of all matters
arising under election petitions prior to the next state election
\[312\]. No reference to a master may be had upon any matter arising
under an election petition, except in matters of fact relating financial
statements and the examination of accounts and vouchers \[313\]. All
proceedings under election petitions have precedence over any case of a
different nature pending in any court, and the justices of the superior
court may from time to time make rule regulating the practice and
proceedings in matters of such election petitions as they deem expedient
\[314\]. In the absence of any such rules, the practice and procedure in
election petitions is governed by laws or rules of court as may be in
force relating to the practice and proceedings in matters of equity
\[315\]. Upon an election petition to the decision of a majority of the
three justices of the superior court is final and conclusive upon all
matters in controversy, whether interlocutory or final, in matters of
fact and matters of law \[316\]. But the justices, or a majority of
them, may, after a finding of facts, either of their own motion, or at
the request of either party, report the case to the supreme judicial
court for determination by the full court; and where like proceedings
occur as upon a report after a finding of facts by a justice of the
superior court in equity proceedings \[317\].

If upon an election petition one or more violations are proved, it is a
defense to the petition if the defendant established to the satisfaction
of a majority of the justices with reference to every such violation,
either that the violation was not committed by the candidate, but was
committed contrary to the orders and without the sanction or connivance
of the candidate \[318\]; the participation, if any, of the candidate in
such violation, arose from inadvertence or from accidental
miscalculation, or from some other reasonable cause of a like nature,
and in any case did not arise from any want of good faith \[319\]; the
candidate took all reasonable means for preventing the commission of
violations in this chapter with reference to the election in question
\[320\]; the violation in question was of a trivial, unimportant, and
limited character \[321\]; or the violation in question did not
materially affect the results of the election \[322\].

The court may by an order make the final disposition of an election
petition conditional upon the filing of a required statement in a
modified form, or within an extended time, and upon compliance with any
other terms as the court may deem best, the court will enter a final
decree \[323\].

If upon the hearing of a election petition it appears to a majority of
the justices that there is reasonable presumption that any violation was
committed, they are to refer notice of the facts to the district
attorney for the county where the violation appears to have been
committed, with a list of the witnesses and any other information which
they may consider proper, and the district attorney may cause a
complaint to be made before a court or magistrate having jurisdiction,
or may present the evidence to the grand jury \[324\]. If it appears
that a successful candidate for district attorney has been guilty of any
such violation, a majority of the justices must order the notice of the
facts to be given to the Attorney General, who must designate a district
attorney to make such complaint or presentment \[325\]. A majority of
the justices may issue process for the apprehension of any person
appearing to have committed a violation, and may bind over, as in
criminal prosecutions, such witnesses as they deem necessary to appear
and testify at the court having jurisdiction of the crime \[326\].

Upon a complaint subscribed and sworn to by any person before a district
court alleging that reasonable grounds exist for believing that any law
relating to the qualification or registration of voters, or to voting
lists or ballots, or to primaries, caucuses, conventions, and elections,
or to any matters pertaining thereto has been violated, the court may at
once hold an inquest to inquire into such alleged violation of law
\[327\]. The court may exclude all persons whose presence is not
necessary at the inquest; and may also direct the witnesses to be kept
separated so that they cannot converse with each other until they have
been examined \[328\]. The Attorney General, the district attorney, or
some person designated by either, must attend the inquest and examine
the witnesses \[329\]. The court or attorney may issue subpoenas for
witnesses, who must be allowed the same fees, whose attendance may be
enforced in the same manner, and who may be subject to the same
penalties, as if served with a subpoena in behalf of the commonwealth in
a criminal prosecution before the court \[330\].

**D. Special Commission on Clean Elections.** A Special Commission on
Clean Elections is created, consisting of three members of the senate,
one of whom shall be the chairman of the joint committee on election
laws who serves as co‑chair, one of whom shall be the senate president
or his designee, and one of whom shall be the minority leader or his
designee, and three members of the house of representatives, one of whom
shall be the chair of the joint committee on election laws who shall
serve as

co‑chair, one of whom shall be the speaker of the house or his designee,
and one of whom shall be the minority leader or his designee, the
governor or his designee, the state secretary or his designee, and eight
Massachusetts citizens representing the public to be appointed by the
director of the Office of Campaign and Political Finance \[331\].

The special commission shall investigate and study the workings of
Massachusetts clean elections, including, but not limited to, the
required number of qualifying contributions, the level of clean election
amounts, expenditure limits for participants, adequacy of funding for
the Massachusetts clean elections, and the level and impact of
independent expenditures in Massachusetts elections \[332\]. The
commission shall meet and hold open hearings at least every two years,
beginning in February of 2000, and report to the general court the
results of its investigation and study, and its recommendations, if any,
together with drafts of legislation necessary to carry its
recommendations into effect, by filing the same with the clerks of the
senate and the house of representatives on or before the first Wednesday
of October in every even‑numbered year \[333\].

# References

1\. *Weld for Governor v. Director of the*

*Office of Campaign and Political*

*Finance*, 556 N.E.2d 21, 26 (Mass.

1990); *but see, id.* at 28 (O'Connor

dissent)

2\. Annotated Laws of Massachusetts

(Michie/Lawyers Co‑op.) (hereafter

ALM) ch. 55, § 1; Office of Campaign

and Political Finance Advisory Opinion

(hereafter Adv. Op.) No. 92-27;

Adv. Op. No. 95-09 (electronic transfers

of funds to candidates/committees are

prohibited); Adv. Op. No. 01-07 (e-mail

messages not contributions, but e-mail list

given to a campaign may be a contribution

of a thing of value); Adv. Op. No. 01-17 on

things of value -- such as food -- in

exchange for contributions)

3\. ALM ch. 55, § 1

4\. ALM ch. 55, § 1; Adv. Op. No. 93-17

5\. 970 Code of Massachusetts Regulations

(hereafter CMR) 1.04(7); *see,* 1.04(8), (9)

6\. Adv. Op. No. 94-18

7\. Adv. Op. No. 83‑6

8\. Adv. Op. No. 83‑6

9\. Adv. Op. No. 83‑6

10\. 970 CMR 1.04(2); ALM ch. 55 § 6B

11\. 970 CMR 1.04(3); *see,* Adv. Op. Nos.

89-18; 93-29

12\. 970 CMR 1.04(5); OCPF Memo M-96-03,

September 30, 1996

13\. 970 CMR 1.04(4)

14\. 970 CMR 1.04(6)

15\. ALM ch. 55, § 9

16\. 970 CMR 1.09(4)

17\. 970 CMR 1.09(2)(a)(1)

18\. 970 CMR 1.09(2)(a)(2)

19\. 970 CMR 1.09(2)(a)(3); *see*, Adv. Op. No.

98-12 (Internet site contributions) (prior

law)

20\. 970 CMR 1.09(2)(b)

21\. ALM ch. 55, § 5

22\. ALM ch. 55, § 5

23\. Adv. Op. No. 82‑9; *see,* OCPF

Guidance Letter GL-98-06, March 12,

1998 (other forms of loans)

24\. 970 CMR 1.05(1)(a)

25\. 970 CMR 1.05(1)(b)

26\. ALM ch. 55, § 6

27\. Adv. Op. Nos. 82‑19; 82‑3

28\. ALM ch. 55, § 10A; ch. 43, §§ 17, 29;

ch. 292, § 8; *Highlights of New Campaign*

*Finance Law,* OCPF Memo M-94-06,

rev'd, November, 1995; Adv. Op. No.

95-06 (contributions made through a

legislative agent subject to bundling

provisions regardless of office sought)

29\. ALM ch. 55, § 10A; ch. 43, §§ 17, 29;

ch. 292, § 8; *Highlights of New Campaign*

*Finance Law*, OCPF Memo M-94-06,

rev'd, November, 1995; Adv. Op. No.

(contributions made through a

legislative agent subject to bundling

provisions regardless of office sought;

bundling provisions not triggered unless

legislative agent bundles two or more

contributions together. *See also,* OCPF

Guidance Letter GL-99-03, February

22, 1999.

30\. ALM ch. 55, § 10A; ch. 43, §§ 17, 29;

ch. 292, § 8; [Highlights of New Campaign]{.underline}

[Finance Law]{.underline}, OCPF Memo M-94-06,

rev'd November, 1995; 970 CMR 1.07.

Indexing of Certain Contribution

Amounts, OCPF Memo M-97-05,

December 28, 2001. The amount is

indexed biennially.

31\. ALM ch. 55, § 7

32\. ALM ch. 55, § 6; OCPF Interpretative

Bulletin, March 15, 1990

33\. ALM ch. 55, § 6

34\. *Weld for Governor v. Director of the*

*Office of Campaign and Political*

*Finance*, 556 N.E.2d 21, 27 (Mass.

1990\)

35\. ALM ch. 55, § 6; 970 CMR 1.06

36\. ALM ch. 55, § 1; Adv. Op. No. 82‑4;

letter from Attorney General Francis X.

Bellotti to Charles J. Doherty, November

6, 1980 (hereafter letter to Doherty)

37\. ALM ch. 55, § 8; *First Nat'l Bank v.*

*Bellotti*, 435 U.S. 875 (1978); letter to

Doherty; Adv. Op. No. 93-27 attributes

to a corporation commissions for

discounted telephone service marketed

by a corporation in the long-distance

telephone business that would be given to

a political committee in exchange for

sales services rendered by the

committee, and thus finds them to be

prohibited.

38\. Adv. Op. No. 97-15

39\. ALM ch. 55, § 6; Adv. Op. No. 94-28

(PAC may contribute or expend funds

to influence ballot questions, with

limitations; PAC may also contribute

funds to other ballot question

committees, with limitations)

40\. Adv. Op. No. 00-03

41\. ALM ch 55, § 9A; OCPF Memo 96-02,

June 10, 1996

42\. ALM ch. 55, §§ 7A(a)(1) - (4)

43\. ALM ch. 55, § 7A(a)(5)

44\. ALM ch. 55, § 7

45\. OCPF *Campaign Finance Guide:*

*Candidates for The General Court*

(05/98) at 10.

46\. ALM ch. 55, § 7

47\. ALM ch. 55, § 7A(b)

48\. Adv. Op. No. 00-02

49\. ALM ch. 55, § 11

50\. ALM ch. 55, § 11; *see,* Adv. Op. No.

89-29; Adv. Op. No. 95-01 (candidate

or elected official may not sign fund-

raising letter for PAC, or serve as

honorary chairman of a PAC)

51\. ALM ch. 55, § 12

52\. ALM ch. 55, § 13; *see,* Adv. Op. No.

89-03, Adv. Op. No. 90-03. This has

been interpreted not to apply to

include the clerical function in

preparing a fundraising mailing, Adv.

Op. No. 88-25. OCPF *Campaign*

*Finance Guide: Public Employees,*

*Political Resources and Political*

*Activity* (07/98) at 10. Adv. Op. No. 00-11

prohibits an appointed public employee

from offering his or her own home, if the

sole owner, for a candidate to use for a

fundraising event.

53\. ALM ch. 55, § 13; *see,* Adv. Op. No.

89-23; Adv. Op. No. 94-26 (public

employee may not solicit contributions

for organization involved primarily in

political activities)

54\. ALM ch. 55, § 14. This has been

interpreted to include the areas

surrounding such buildings, Adv. Op.

No. 88-10, but does not include a post

office box, Adv. Op. No. 88-11. This

has now been interpreted to cover public

university buildings, Adv. Op. No.

94-01. Candidate nights affording equal

access to all candidates are exempted.

OCPF Guidance Letter GL-97-06,

March 19, 1997. *See also*, OCPF

Guidance Letter GL-99-13, December

1, 1999; OCPF Guidance Letter GL-99-10,

September 30, 1999 OCPF Guidance

Letter GL-98-13, September 24, 1998;

OCPF Guidance Letter GL-97-17,

November 21, 1997; OCPF Guidance

Letter GL-97-09, May 27, 1997;

OCPF Guidance Letter GL-97-08, May

22, 1997; Adv. Op. No. 99-17.

55\. ALM ch. 55, § 15

56\. ALM ch. 55, § 16

57\. ALM ch. 55, § 17

58\. Adv. Op. No. 82‑10

59\. Adv. Op. No. 82‑26

60\. ALM ch. 55, § 13. This may be a very

fact-dependent matter. For details on

how this affects those on leaves of

absence, *see*, OCPF Guidance Letter

GL-97-14, November 5, 1997 and Adv.

Op. No. 96-28; for details on how this

affects use of an employee's name on

a fundraiser invitation, *see*, OCPF

Guidance Letter 97-12, August 19, 1997;

for details on how this affects fundraising

by a public official who is also a

public employee, *see*, OCPF Guidance

Letter GL-97-10, July 8, 1997.

61. ALM ch. 55, § 16A

62\. ALM ch. 55, § 16B

63\. Mass. Supreme Ct. Judicial Rules, Rule

3:09, Code of Judicial Conduct Canon

7(A)(1)(c)

64\. ALM ch. 55, § 19(b)

65\. ALM ch. 55, § 19(b)

66\. ALM ch. 55, § 19(b)

67\. ALM ch. 55, § 19(b)

68\. *Weld for Governor v. Director of the*

*Office of Campaign and Political*

*Finance*, 556 N.E.2d 21, 26 (Mass.

1990); *but see, ibid.* at 28 (O'Connor

dissent). For more details on the phrase

"on behalf of," *see*, Adv. Op. No 96-17.

69\. ALM ch. 55, § 1

70\. ALM ch. 55, § 1. An expenditure to "test

the waters" by conducting a poll

regarding a possible candidacy is not

made for the purpose of influencing

a nomination or election. Adv. Op.

No. 97-22.

71\. ALM ch. 55, § 6; 970 CMR 2.01, 2.05;

Adv. Ops. No 93-08, 93-14, 93-22;

Office of Campaign and Political

Finance, Interpretative Bulletin

IB-88-02, rev'd, April 21, 1994. *See*,

Adv. Op. No. 98-19; Adv. Op. No. 98-07

72\. ALM ch. 55, § 6; *but see, Weld for*

*Governor v. Director of the Office of*

*Campaign and Political Finance*, 556

N.E.2d 21, 26 (Mass. 1990)

73\. ALM ch. 55, § 6

74. ALM ch. 55, § 6; 970 CMR 2.01, 2.06;

*see,* Adv. Op. Nos. 82‑15, 82‑24,

82‑24, 82‑5, 82‑13, 83‑10, 83‑1, 83‑14

75\. Adv. Op. No 98-24. Such expenditures

must, however, be reported in its

campaign finance reports.

76\. 970 CMR 2.05(2); Adv. Op. Nos. 94-09,

94-11 (prohibition against government

expenditures to influence ballot questions);

Adv. Op. No. 94-37 (prohibition above

not applicable to town meeting)

77\. 970 CMR 2.05(2)(j)-(m). Adv. Op. No.

93-22; *but see,* Adv. Op. No. 94-19

(legislator's expenses for lodging while

attending legislative conference may not

be paid by political committee if the

legislator also receives *per diem*). OCPF

Memo M-97-02, 03, February 3,

1997 (guidelines for campaign travel,

mileage on personal vehicles, automobile

leases, and related recordkeeping).

78\. 970 CMR 2.05(2)(h)

79\. Adv. Op. Nos. 92-11, 92-31, 94-05

(political committee can't pay candidate's

spouse for work done for the campaign,

if not related to the candidate's political

future); OCPF Guidance Letter GL-97-13,

October 31, 1997 and OCPF Guidance

Letter 96-17, April 29, 1996

(officeholder overseas travel); OCPF

Guidance Letter GL-96-26, July

29, 1996 (officeholder commuting

expenses); OCPF Guidance Letter

GL-96-10, March 1, 1996 (breakfast

for business leaders); OCPF Guidance

Letter GL-96-07, February 21, 1996

(constituent hotline); Adv. Op. No.

97-06 (web page to serve constituents).

80\. 970 CMR 2.05(2)(t); *see*, Adv. Op.

No. 97-25.

81\. ALM ch. 55, § 7

82\. ALM ch. 55, § 9; 970 CMR 2.09; OCPF

Guidance Letter GL-97-16, November 13,

1997

83\. Office of Political and Campaign Finance,

*Campaign Finance Guide for Candidates*

*Required to Designate a Depository Bank*

\(1995\) at 3.

84\. ALM ch. 55A, § 9

85\. Adv. Op. No. 84‑5

86\. OCPF *Campaign Finance Guide:*

*State Ballot Question Committees* (06/99)

at 10)

87\. ALM ch. 55, § 8; *First Nat'l Bank v.*

*Bellotti*, 435 U.S. 765 (1978); letter to

Doherty

88\. ALM ch. 55, § 8

89\. ALM ch. 55, § 5

90\. *Anderson v. City of Boston*, 376 Mass. 178

(1978). For the best explication of the

specific public resources banned from use

in a ballot question election, *see*,

OCPF Guidance Letter 96-21, May 24,

1996; Adv. Op. No. 97-16.

91\. ALM ch. 55, §§ 7, 19(c)

92\. ALM ch. 55, § 19(c); ALM ch. 55, § 9

93\. ALM ch. 55, § 19(c)

94\. Office of Political and Campaign Finance,

Memorandum from Mary F. McTigue to

Depository Candidates and Treasurers,

December 29, 1992, at 2

95\. ALM ch. 55, § 19(c); ALM ch. 55, § 7

96\. ALM ch. 55, § 19(d)

97\. ALM ch. 55, § 5

98\. ALM ch. 55, § 5

99\. ALM ch. 55, § 5

100\. ALM ch. 55, § 19(a); OCPF Memo

M-90-05, April 1990, rev'd December

1996

101\. ALM ch. 55, § 19(a)

102\. ALM ch. 55, § 18

103\. ALM ch. 55, § 18

104\. ALM ch. 55, § 18(a)

105\. ALM ch. 55, § 18(b)

106\. ALM ch. 55, § 18(c)

107\. ALM ch. 55, § 18(c)

108\. ALM ch. 55, § 18(c)

109\. ALM ch. 55, § 18(d)

110\. ALM ch. 55, § 18(d)

111\. ALM ch. 55, § 18(d)

112\. ALM ch. 55, § 18(e)

113\. ALM ch. 55, § 18(f)

114\. ALM ch. 55, § 18(f)

115\. ALM ch. 55, § 18(f)

116\. ALM ch. 55, § 18(f)

117\. ALM ch. 55, § 18(h)

118\. ALM ch. 55, § 18(h)

119\. ALM ch. 55, § 18(h)

120\. ALM ch. 55, § 18(h)

121\. ALM ch. 55, § 18(h)

122\. ALM ch. 55, § 18(h)

123\. ALM ch. 55, § 18A

124\. ALM ch. 55, § 18(h)

125\. ALM ch. 55, § 18(h). Contributor names

must be reported with as much

specificity as possible. OCPF Memo

M-97-01, January 2, 1997, rev'd July

11, 1997, at 1.

126\. ALM ch. 55, § 18(h)

127\. ALM ch. 55, § 18(h)

128\. ALM ch. 55, § 18(h)

129\. ALM ch. 55, § 18(h)

130\. ALM ch. 55, § 18(h)

131\. ALM ch. 55, § 18(h)

132\. ALM ch. 55, § 18(h)

133\. ALM ch.55A, § 5(b)

134\. ALM ch.55A, § 5(b)

135\. ALM ch.55A, § 5(c)

136\. ALM ch. 55A, § 11

137\. ALM ch. 55A, § 11

138\. ALM ch. 55, § 19(e); *see,* Adv. Op. No.

82‑12

139\. ALM ch. 55, § 19(f)

140\. ALM ch. 55, § 19(f)

141\. ALM ch. 55, § 22; *First Nat'l Bank v.*

*Bellotti*, 435 U.S. 765 (1978); letter to

Doherty

142\. ALM ch. 55, § 22

143\. ALM ch. 55, § 22

144\. ALM ch. 55, § 22A

145\. ALM ch. 55, § 22A

146\. ALM ch. 55, § 22A

147\. ALM ch. 55, § 23

148\. 970 CMR 2.08(2)

149\. 970 CMR 2.08(4)

150\. 970 CMR 2.08(1)

151\. ALM ch. 55, § 18C (b)(1)

152\. ALM ch. 55, § 18C (b)(2)

153\. ALM ch. 55, § 18C (b)(3)

154\. ALM ch. 55, § 18C (c)

155\. ALM ch. 55, § 18C(e)

156\. ALM ch. 10, § 42(A)

157\. ALM ch. 55A, § 4

158\. ALM ch. 55A, § 1

159\. ALM ch. 55A, § 1

160\. ALM ch. 55A, § 2

161\. ALM ch. 55A, § 6(a); *Bates v. Sullivan*,No.

08677 (Supreme Judicial Court, Suffolk

Co.) seeks to make available funding

withheld by the Commonwealth

162\. ALM ch. 55A, § 6 (b)

163\. ALM ch. 55A, § 11

164\. ALM ch. 55A, § 8(a)(1)

165\. ALM ch. 55A, § 8(a)(2)

166\. ALM ch. 55A, § 8(a)(3)

167\. ALM ch. 55A, § 8(a)(4)

168\. ALM ch. 55A, § 8(a)(5)

169\. ALM ch. 55A, § 10(a)

170\. ALM ch. 55A, § 10(b)

171\. ALM ch. 55A, § 10(c)

172\. ALM ch. 55A, § 12

173\. ALM ch. 55A, § 13

174\. ALM ch. 55A, § 17

175\. ALM ch. 55A, § 14

176\. ALM ch. 62, § 6C

177\. ALM ch. 62, § 6C

178\. ALM ch. 55, § 1

179\. Adv. Op. No. 01-10

180\. Adv. Op. No. 01-10

181\. ALM ch. 55, § 5

182\. ALM ch. 55, § 19(f)

183\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 2

184\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 2

185\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 2

186\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 2

187\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 2; ALM ch. 12, § 8(f)

188\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 2; ALM ch. 67

189\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 2; ALM ch. 180

190\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 2; 970 CMR 2.06

191\. OCPF Memo M-84-02, formerly M-103,

April 20, 1984, rev'd November 21,

1997, at 3; 970 CMR 2.06; Adv. Op. No.

97-19A (honorary or *ex officio* non-

voting board membership of a relative

does not disqualifythe contribution)

192\. ALM ch. 55, § 18(I); ALM ch. 29, § 2D

193\. ALM ch. 55, § 18(ii); Adv. Op. No.

95-02 (residual funds may be transferred

from candidate's account to a charitable

trust where relatives of the candidate are

honorary overseers of the trust)

194\. ALM ch. 55, § 18(iii)

195\. ALM ch. 55, § 18(iv)

196\. 970 CMR 1.03; OCPF Memo 96-01,

April 1996; Office of Campaign and

Political Finance Form CPF S 1:

Statement of Settlement (April 1996).

197\. 970 CMR 1.03(1)

198\. 970 CMR 1.03(1)

199\. 970 CMR 1.03(1)(a)

200\. 970 CMR 1.03(1)(b)

201\. 970 CMR 1.03(1)(c)

202\. 970 CMR 1.03(1)(d)

203\. 970 CMR 1.03(1)(e)

204\. 970 CMR 1.03(1)(f)

205\. 970 CMR 1.03(2); OCPF Memo 96-01,

April 1996

206\. 970 CMR 1.03(1)

207\. 970 CMR 1.03(2)(a)

208\. 970 CMR 1.03(2)(b)

209\. ALM ch. 55A, § 8(b)

210\. ALM ch. 55A, § 8(c)

211\. ALM ch. 55, § 18(h)(15); OCPF

Memo 96-02, June 10, 1996

212\. ALM ch. 55, §§ 5, 6

213\. ALM ch. 55, § 7

214\. ALM ch. 55, §§ 9‑11

215\. ALM ch. 55, § 8

216\. ALM ch. 55, § 3

217\. ALM ch. 55, § 3

218\. ALM ch. 55, § 3

219\. ALM ch. 55, § 3

220\. OCPF Memo 96-04, October 17, 1996;

OCPF Memo 95-04, January 1995,

rev'd January 1996, Appendix "A"

221\. OCPF Memo 95-04, January 1995,

rev'd January 1996, Appendix "A"

222\. ALM ch. 55, §§ 13, 14

223\. ALM ch. 55, §§ 15, 16, 16A,17

224\. ALM ch. 55, § 18

225\. ALM ch. 55, § 21

226\. ALM ch. 55, § 23

227\. ALM ch. 55, § 32

228\. ALM ch. 55, § 33(g)

229\. ALM ch. 55, § 42

230\. ALM ch. 55, § 3

231\. ALM ch. 55, § 3

232\. ALM ch. 55, § 3

233\. ALM ch. 55, § 3

234\. ALM ch. 55, § 3

235\. ALM ch. 55, § 3

236\. ALM ch. 55, § 3; *see,* 970 CMR 2.04

237\. ALM ch. 55, § 3

238\. ALM ch. 55, § 3

239\. ALM ch. 55, § 3; 970 CMR 3.05

240\. ALM ch. 55, § 3

241\. ALM ch. 55, § 3

242\. ALM ch. 55, § 3

243\. ALM ch. 55, § 3; 970 CMR 3.06

244\. 970 CMR 3.06(2)

245\. 970 CMR 3.06(5)

246\. 970 CMR 3.06(12)

247\. 970 CMR 3.07(1)

248\. 970 CMR 3.07(1)

249\. ALM ch. 55, § 3; 970 CMR 3.07(2)(d).

This provision has been strictly construed

insofar as it relates to the two-year period

after the "relevant election" in question.

*Commonwealth v. Cook*, 426 Mass. 174

(Sup. Judicial Ct. Mass. 1997). The

Office of Campaign and Political Finance

may not circumvent the mandatory

limitations period by virtue of its failure

to properly investigate. *Id.*

250\. 970 CMR 3.07(2)(a); ALM ch. 55, § 3

251\. 970 CMR 3.07(2)(b); ALM ch. 55, § 3

252\. 970 CMR 3.07(2)(c); ALM ch. 55, § 3

253. ALM ch. 55, § 5.5

254\. ALM ch. 55, § 25

255\. ALM ch. 55, § 25

256\. ALM ch. 55, § 25

257\. ALM ch. 55, § 27

258\. ALM ch. 55, § 27

259\. ALM ch. 55, § 27

260\. ALM ch. 55, § 27

261\. ALM ch. 55, § 3

262\. ALM ch. 55, § 3

263\. ALM ch. 55, § 3

264\. ALM ch. 55, § 3

265\. ALM ch. 55, § 3

266\. ALM ch. 55, § 3

267\. OCPF Memo 96-04, October 17, 1996

268\. ALM ch. 55, § 3

269\. OCPF Memo 96-04, October 17, 1996

270\. ALM ch. 55A, § 5(d)(1)

271\. ALM ch. 55A, § 5(d)(2)

272\. ALM ch. 55A, § 5(d)(2)

273\. ALM ch. 55A, § 5(d)(3)

274\. ALM ch. 55A, § 5(d)(4)

275\. ALM ch. 55A, § 5(d)(5)

276\. ALM ch. 55A, § 5(d)(6)

277\. ALM ch. 55A, § 5(d)(7)

278\. ALM ch. 55A, § 14(a)(1)

279\. ALM ch. 55A, § 14(a)(2)

280\. ALM ch. 55A, § 14(a)(3)

281\. ALM ch. 55A, § 14(a)(4)

282\. ALM ch. 55A, § 14(a)(5)

283\. ALM ch. 55A, § 14(a)(6)

284\. ALM ch. 55A, § 14(a)(7)

285\. ALM ch. 55A, § 14(a)(8)

286\. ALM ch. 55A, § 14(b)

287\. ALM ch. 55A, § 14(c)

288\. ALM ch. 55A, § 14(d)

289\. ALM ch. 55A, § 14(f)

290\. ALM ch. 55A, § 14(g)

291\. ALM ch. 55, §§ 24, 26

292\. ALM ch. 55, § 26

293\. ALM ch. 55, § 26

294\. ALM ch. 55, § 27

295\. ALM ch. 55, § 27

296\. ALM ch. 55, § 28

297\. ALM ch. 55, § 28

298\. ALM ch. 55, § 28

299\. ALM ch. 55, § 29

300\. ALM ch. 55, § 27

301\. ALM ch. 55, § 29

302\. ALM ch. 55, § 30

303\. ALM ch. 55, § 30

304\. ALM ch. 55, § 30

305\. ALM ch. 55, § 33(a)

306\. ALM ch. 55, § 33

307\. ALM ch. 55, § 33(b)

308\. ALM ch. 55, § 33(b)

309\. ALM ch. 55, § 33(b)

310\. ALM ch. 55, § 33(b)

311\. ALM ch. 55, § 33(b)

312\. ALM ch. 55, § 33(c)

313\. ALM ch. 55, § 33(c)

314\. ALM ch. 55, § 33(c)

315\. ALM ch. 55, § 33(c)

316\. ALM ch. 55, § 33(d)

317\. ALM ch. 55, § 33(d)

318\. ALM ch. 55, § 33(e)(1)

319\. ALM ch. 55, § 33(e)(2)

320\. ALM ch. 55, § 33(e)(3)

321\. ALM ch. 55, § 33(e)(4)

322\. ALM ch. 55, § 33(e)(5)

323\. ALM ch. 55, § 33(f)

324\. ALM ch. 55, § 33(k)

325\. ALM ch. 55, § 33(k)

326\. ALM ch. 55, § 33(k)

327\. ALM ch. 55, § 35

328\. ALM ch. 55, § 36

329\. ALM ch. 55, § 36

330\. ALM ch. 55, § 37

331\. ALM ch. 55A, § 13(a)

332\. ALM ch. 55A, § 13(b)

333\. ALM ch. 55A, § 13(b)

**CAMPAIGN FINANCE LAW**

**IN MICHIGAN**

**I. INTRODUCTION**

Michigan requires candidates, political committees, independent
committees, ballot question committees, party committees, and persons
making independent expenditures of \$100 or more to file information on
all contributions and expenditures made for each election. Many
committees must also file an annual report. Late contributions of \$200
or more must be reported within 48 hours. Candidate committees may file
electronically, and certain reports are available on-line. Direct
corporate, labor, and domestic dependent sovereign (recognized Indian
tribe) contributions are prohibited, and contributions by individuals
other than a candidate, the candidate's family, and other non-party
entities are limited to \$3,400 for a statewide office candidate,
\$1,000 for a state senator candidate, and \$500 for a state
representative candidate per election cycle. State or party committees
and independent committees have differing, higher limitations. Cash
contributions must be \$20 or less, and anonymous contributions are
prohibited. Expenditures for candidates accepting public financing are
limited. Michigan offers a \$3 tax check off (\$6 for a joint return),
to be distributed to candidates in gubernatorial primaries and
candidates for governor and lieutenant governor in the general election.
The Secretary of State is responsible for overseeing the campaign
finance provisions of the law.\*

**II. CONTRIBUTION AND SOLICITATION** **LIMITATIONS**

**A. Definition of Contribution.** A contribution is a payment, gift,
subscription, assessment, expenditure, contract, payment for services,
dues, advance, forbearance, loan, or donation of money or anything of
ascertainable monetary value, or a transfer of anything of ascertainable
monetary value to a person, made for the purpose of influencing the
nomination or election of a candidate, or for the qualification,
passage, or defeat of a ballot question \[1\].

An offer or tender of a contribution is not a contribution if expressly
and unconditionally rejected, returned, or refunded in whole or in part
within 30 business days after receipt \[2\]. A contribution includes the
purchase of tickets or payment of an attendance fee for fundraising
events; an individual's own money or property other than the
individual's home used on behalf of that individual's candidacy; the
granting of discounts or rebates not available to the general public;
the granting of discounts or rebates by broadcast media and newspapers
not extended on a equal basis to all candidates for the same office; and
the endorsing or guaranteeing of a loan for the amount the endorser or
guarantor is liable \[3\]. A contribution also includes donations
associated with recounts \[4\].

A negotiated settlement of less than the full value of a debt is a
contribution if the settlement is not available to the general public
\[5\]. The settlement must receive prior approval from the department of
state, which will be granted only when the department is convinced that
all of the following conditions are met: (1) at the time the debt was
incurred, both the committee and the creditor expected the debt would be
repaid in full within a reasonable time; (2) the committee has made a
good faith effort to raise sufficient money to repay all outstanding
debts; (3) the creditor has taken all the steps it normally takes
against debtors in the same financial condition as the committee; (4)
the proposed settlement agreement between the creditor and committee is
similar to previous settlements made by the creditor and other debtors;
(5) the committee has treated all creditors equally since it became
aware there would be difficulty in the repayment of all debts; (6) the
proposed settlement agreement between the creditor and the committee is
similar to other settlements proposed or made by the committee \[6\].

A contribution does not include volunteer personal services provided
without compensation, or payments of costs incurred of less than \$500
in a calendar year by an individual for personal travel expenses if the
costs are voluntarily incurred without any understanding or agreement
that the costs will be repaid \[6\]; and food and beverages not
exceeding \$100 in value during a calendar year which are donated by an
individual and for which reimbursement is not given \[8\].

Interest received by a committee on an account consisting of funds
belonging to the committee must not be considered a contribution to the
committee, but must be reported on a campaign statement as interest. A
committee must report interest paid by the committee on a campaign
statement as an expenditure \[9\].

A contribution drawn on a partnership account must be apportioned back
to the partners if the contribution is accompanied by a written
statement containing the name and address of each contributing partner
and the amount of each partner's contribution \[10\]. The statement must
include the occupation, employer, and principal place of business of
each individual who is a member of the partnership and contributed more
than \$100 \[11\]. The purchase of advertising space in a political
program constitutes a contribution \[12\]. The gross proceeds---any
money given---at a fundraising event are reportable as a contribution to
the committee sponsoring the event, regardless of whether an event or
transaction is a profitable occurrence \[13\].

**B. Limitations on Nature of Contributions.** A contribution to a
candidate in the form of or which is converted to money, checks, or any
other negotiable instrument must be deposited in a single account in a
financial institution in the State of Michigan designated by the
candidate committee \[14\]. A contribution may not be accepted unless
the committee has appointed a treasurer, who must be a qualified elector
of the state in the case of a candidate committee or a committee other,
than a candidate committee if the committee conducts business in
Michigan through an office or other facility in the state \[15\].

If a committee is not required to have a qualified Michigan elector
serve as treasurer, a nonresident treasurer may be used, if an
irrevocable written stipulation is filed by the committee and signed by
the treasurer, agreeing that legal process affecting the committee,
served on the Secretary of State or an agent designated by the Secretary
of State, shall have the same effect as if personally served on the
committee \[16\]. When the office of treasurer in a candidate committee
is vacant, the candidate must be the treasurer until the candidate
appoints a new treasurer \[17\]. A contribution received by a committee
may not be commingled with any funds of an agent of the committee or any
other person \[18\].

A person is prohibited from making or accepting any single contribution
of more than \$20 in cash, or making or accepting a single expenditure
of more than \$50 in cash \[19\], or an anonymous contribution in any
amount \[20\]. An anonymous contribution received by a person must not
be deposited, but may be given to a tax exempt charitable organization,
which must provide the person with a receipt \[21\].

A contribution may not be made, directly or indirectly, by any person in
a name other than the name by which that person is identified for legal
purposes \[22\]. A contribution may not be made by a person to another
person with the agreement or arrangement that the person receiving the
contribution will then transfer that contribution to a particular
candidate committee \[23\]. A person who accepts a contribution, other
than by written instrument, on behalf of another and acts as the
intermediary or agent of the person from whom the contribution was
accepted must disclose to the recipient of the contribution the
intermediary's own name and address, and the name and address of the
actual source of the contribution \[24\].

A contribution of more than \$20 from a committee or person whose
treasurer does not reside in, whose principal office is not located in,
or whose funds are not kept in the State of Michigan must be accompanied
by a statement certified as true and correct by an officer of the
contributing committee or person setting forth the full name and
address, and the amount contributed, of each person who contributed more
than \$20 of the contribution, with the occupation, employer, and
principal place of business listed for each person who contributed more
than \$100 to the total amount of the contribution \[25\].

A person may not receive a contribution from a person other than a
committee unless the contribution is accompanied by the name and address
of each person who contributed more than \$20 to the contribution, and
the name, address, occupation, employer, and principal place of business
of each person who contributed more than \$100 to the total amount of
the contribution \[26\].

A candidate committee may not make a contribution to another candidate
committee, but this does not include the purchase of tickets to another
candidate's fundraising event if the cost of the tickets does not exceed
\$100 per candidate committee in a calendar year \[27\]. Under certain
conditions, unexpended funds may be transferred from an individual's
state candidate committee to that person's local candidate committee
\[28\]. There is no provision in the Act prohibiting a contribution from
a candidate committee to a ballot question committee \[29\], and a
contribution in the form of a loan to a ballot question committee by a
candidate committee is proper under the Act \[30\]. Similarly, a ballot
question committees is not prohibited from contributing to another
ballot question committee \[31\]. Funds may not be transferred from a
state candidate committee to a candidate committee registered pursuant
to federal law \[32\], however, funds raised in a congressional campaign
may be transferred to a gubernatorial candidate committee \[33\]. A
separate segregated fund established by one corporation may not
contribute to a separate segregated fund established by another
corporation \[34\].

A house or senate caucus committee may not contribute to a candidate in
an opposed primary election, nor may they pay a debt incurred by such a
candidate \[35\].

A public body and any person acting on behalf of a public body may not
make a contribution or provide personal services that are excluded from
the definition of a contribution \[36\]. This includes the use of funds,
personnel, office space, property, stationery, postage, vehicles,
equipment, supplies, or other public resources \[37\], but does not
include such items as use of broadcast studios for debates and
interviews \[38\]. A public university may not collect and transfer
student funds to a ballot question committee account \[39\].

A contribution made through a credit card may be accepted if the
information concerning the contributor required by the reporting
provisions of the Act is obtained \[40\]. Contributions must be
evidenced by intent of an individual to contribute to the

particular committee, with an individual's signature on a written
instrument serving as evidence, regardless of whether the contribution
is from an individual or joint account \[41\]. The department of state
will not accept the signature of one individual as reflecting the intent
of another individual to make a contribution, notwithstanding the fact
the two individuals are joint holders of an account and married \[42\].
Where a contribution is made from a joint account on a written
instrument signed by both individuals, the contribution must be prorated
equally to each of the signatories unless it is otherwise indicated by
the contributors \[43\]. A contributor who has not reached his
contribution limit for an election in which a candidate has outstanding
debts may make a contribution designated in writing toward that election
to the extent that the contribution does not exceed outstanding debts
and obligations from the election \[44\].

**C. Limitations on Amounts of Contributions.** Michigan limits the
amount of money that may be contributed to a candidate committee of a
candidate for state elective office \[45\]: the office of governor,
lieutenant governor, Secretary of State, attorney general, justice of
the supreme court, member of the state board of education, regent of the
University of Michigan, member of the board of trustees of Michigan
State University, member of the board of governors of Wayne State
University, and member of the state legislature \[46\].

The contribution limits under section 169.252 do not apply to
contributions received by an officeholder whose recall is actively being
sought, provided the contributions are designated for a recall election
\[47\]. A person other than an independent committee or a political
party committee is limited to contributing not more than \$3,400 in
value for a candidate for state elective office other than the office of
state legislator \[48\]: \$1,000 in value for a candidate for state
senator \[49\] and \$500 in value for a candidate for state
representative \[50\] with respect to a single election cycle \[51\].
"With respect to a single election cycle" means, for a general election,
the period beginning the day following the last general election in
which the office appeared on the ballot and ending on the day of the
next general election in which the office next appears on the ballot
\[52\]; and, in the case of a special election, the period beginning the
day a special election is scheduled or the date the office becomes
vacant, whichever is earlier, and ending on the day of the special
general election \[53\].

A person may not make contributions to a house or senate political
caucus committee exceeding \$20,000 in a calendar year, nor may such a
committee accept such a contribution with respect to the calendar-year
election cycle that exceeds the limitations \[54\].

An independent committee and a political party committee other than a
state party central committee are permitted to contribute to a candidate
for state elective office not more than 10 times the amount permitted a
person other than an independent committee or political party committee
\[55\]. A state political party central committee may contribute not
more than twenty times the amount permitted to be contributed by a
person other than an independent committee or a political party
committee for statewide elective office, and not more than 10 times the
amount permitted a person other than an independent committee or
political party committee for contributions to the candidate committee
of a candidate for state senator or state representative \[56\]. A
contribution from a member of a candidate's immediate family to the
candidate committee of that candidate is exempt from the contribution
limitations, except if the candidate is receiving public funds \[57\].

All contributions made by political committees or independent committees
established by any corporation, joint stock company, labor organization,
union or nonprofit corporation are considered to have been made by a
single independent committee \[58\].

The Secretary of State is required to recommend adjustments of the
dollar value contribution limits on the basis of the consumer price
index at the beginning of every odd-numbered year to the legislature
\[59\].

A for-profit or nonprofit corporation, a national bank, a joint stock
company or a labor organization \[60\] is permitted to establish a
separate segregated fund to make contributions to candidate, ballot
question, political party, and independent committees \[61\]. A
nonprofit corporation, consisting of a group of corporations, may also
establish a separate segregated fund for the purpose of supporting or
opposing candidates and ballot questions \[62\]. However, the member
corporations may not contribute to the fund, because only contributions
from members who are individuals are allowed \[63\]. Similarly, the
separate segregated fund of a corporate member of the nonprofit
corporation is prohibited from contributing to the committee established
by the nonprofit corporation \[64\]. Other contributions by a
corporation, joint stock company, domestic dependent sovereign, or labor
organization or a person acting for a corporation, joint stock company,
domestic dependent sovereign, or labor organization, with the exception
of volunteer personal services provided without compensation \[65\], are
prohibited \[66\]. While a corporation may make an expenditure for the
establishment and administration and solicitation of contributions to a
separate segregated fund, a corporation may pay only for the
administrative costs of a fund established by that corporation, and not
for the costs of a separate segregated fund established by a different
corporation \[67\]. A corporation may make charitable donations
equivalent to individual contributions made to its separate segregated
fund for qualified donors contributing without coercion \[68\]. A
corporation formed solely for political purposes and incorporated for
liability purposes only, is excepted from the prohibitions against
corporate contributions \[69\]. A loan made in the ordinary course of
business \[70\] by a corporate lender in the business of making loans is
not a contribution, but should be reported as a receipt by the candidate
committee \[71\]. A loan which is not made for the purpose of
influencing an election does not constitute a contribution \[72\]. A
corporation may contribute an unlimited amount to each ballot question
committee for the qualification, passage, or defeat or a particular
ballot question \[73\].

Contributions are not to be obtained for a separate segregated fund by
use of coercion, physical force, or as a condition of employment or
membership, or by using or threatening to use job discrimination or
financial reprisals \[74\]. A for- profit or nonprofit corporation, a
joint stock company, or a labor organization may not solicit or obtain
contributions for a separate segregated fund from an individual on an
automatic or passive basis, including a payroll deduction plan or
reverse checkoff method, but may solicit or obtain contributions from an
individual on an automatic basis if the individual who is contributing
to the plan affirmatively consents to the contribution at least once in
every calendar year \[75\]. A domestic dependent sovereign separate
segregated fund may solicit contributions from an individual who is a
member of any domestic dependent sovereign \[76\].

**D. Special Provisions Applicable to Casino Interests.** The Michigan
Gaming Control and Revenue Act prohibits casino and supplier licensees
and other related persons from making certain political contributions
\[77\]. A licensee or person who has an interest in a licensee or casino
enterprise, or the spouse, parent, child, or spouse of a child or a
licensee or person who has an interest in a licensee or casino
enterprise \[78\], may not make a contribution to a candidate or a
committee (other than a ballot question committee) during the time
period during which a casino licensee or development agreement is being
considered by a city or the board \[79\]; the term during which the
licensee holds a license \[80\]; the three years following the final
expiration or termination of the licensee's license \[81\]; and during
either of the following, whichever is shorter: the period beginning on
or after the effective date of the gaming act \[82\], or the period
beginning one year prior to applying for a license \[83\].

A licensee or person who has an interest in a licensee or casino
enterprise, or the spouse, parent, child, or spouse of a child or a
licensee or a person who has an interest in a licensee or casino
enterprise, may not make a contribution to a candidate or committee
through a legal entity that is established, directed, or controlled by
any of the persons described in this subsection during the same time
periods as direct contributions are prohibited \[84\].

A committee may not knowingly maintain receipt of a contribution from a
person prohibited from making a contribution during the prohibited
period under the Michigan Gaming Control and Revenue Act \[85\]. A
committee is only considered to have knowingly maintained receipt of a
contribution prohibited and is subject to a penalty for that violation
if both of the following circumstances exist: the Secretary of state
has, by registered mail, notified the committee that the committee has
received a prohibited contribution and has specifically identified that
contribution \[86\], and the committee fails to return the contribution
identified on or before the 30th business day after the date the
committee receives notice from the Secretary of State \[87\].

**E. Contribution Limits for Countywide Elective Offices.** Certain
contribution limits apply to contributions to candidates for countywide
elective offices received on or after March 31, 1997 \[88\]. In counties
of 250,001 or more population, an individual or political committee may
not contribute more than \$3,400 to a candidate; an independent
committee, county political party committee, or congressional district
committee may not contribute more than \$34,000; and a state central
political party committee may not contribute more than \$68,000 \[89\].
In counties of 85,001 to 250,000 in population, an individual or
political committee may not contribute more than \$1,000 to a candidate;
an independent committee, county political party committee, a state
central political party committee, or a congressional district committee
may not contribute more than \$10,000 \[90\]. In counties of 85,000 or
less in population, an individual or political committee may not
contribute more than \$500 to a candidate; an independent committee,
county political party committee, a state central political party
committee, or a congressional district committee may not contribute more
than \$5,000 \[91\].

**F. Contribution Limitations for Candidates Accepting Public
Financing.** Under the provisions for public financing of gubernatorial
campaigns, a person other than an independent committee or a political
party committee is prohibited from making contributions more than
\$3,400 to a candidate committee of a candidate for governor in an
election cycle \[92\]. An independent committee may not make
contributions to a candidate committee which, in the aggregate for that
election cycle, are more than 10 times the amount permitted a person
other than an independent committee or political party committee \[93\].
A state political party central committee is prohibited from making
contributions to a candidate committee which are more than \$750,000 in
an election cycle \[94\], and a political party committee at the county
or congressional district level is permitted to contribute an amount
which is not more than \$30,000 to a candidate committee in an election
cycle \[95\]. A candidate and members of that candidate's immediate
family may not contribute in total to that candidate's committee an
amount which is more than \$50,000 in value for a single election cycle
\[96\]. A contribution which is controlled by or made at the direction
of, another person, including a parent organization, subsidiary,
division, committee, department, branch, or local unit of a person, must
be reported by the person making the contribution, and is regarded as an
expenditure or contribution attributable to both persons for purposes of
the contribution limits \[97\].

**G. Special Contribution Limitations for Judges and Judicial
Candidates.** A judge or a candidate for judicial office faces
additional restrictions on contributions. Fundraising efforts may not
begin before February 15 of an election year, and must cease on the date
of the general election \[98\]. An unsolicited contribution received by
the campaign committee before the 180-day fundraising period may be
retained, but may be expended only during the fundraising period \[99\].
A candidate for judicial office should not personally solicit or accept
funds \[100\], but may raise and accept funds if done through a properly
registered campaign committee \[101\]. All fundraising efforts should
maintain the dignity and integrity of the judicial office \[102\].
Contributions that are so large as to give an appearance of attempting
to bias the judicial office candidate in the contributor's favor may not
be accepted \[103\].

A campaign committee for a judicial candidate may not solicit
contributions from lawyers, or from a political action committee which
is the alter ego of lawyers, in excess of \$100, for the entire election
\[104\]. An anonymous contribution to a judicial candidate must be
donated to the State Bar of Michigan Client Security Fund \[105\]. A
contribution to a committee of a candidate for the supreme court which
is from a political committee or individual and exceeds \$3,400, or
which is from an independent district or county political party
committee and exceeds \$34,000, or which is from the state central
political party committees and exceeds \$68,000, is prohibited \[106\].

While a candidate for judicial office is expected to encourage the
members of the candidate's family to adhere to the same standards of
political conduct that apply to the candidate \[107\], the spouse of a
candidate may make a contribution to a political campaign if the spouse
alone contributes the money and the candidate does not encourage,
suggest, or participate in the contribution \[108\]. Workers in a
judicial candidate's campaign are bound by the same rules of conduct as
the judicial candidate, and violations by campaign workers may be
imputed to the candidate \[109\]. As such, a candidate should not
pressure employees subject to the candidate's direction and control to
solicit contributions for, or make contributions to the campaign \[110\]
or on behalf of any other judicial candidate \[111\].

A judge or candidate for judicial office may contribute to a political
party \[112\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a payment, donation,
loan, or promise of payment of money or anything of ascertainable
monetary value for goods, materials, services, or facilities in
assistance of, or in opposition to, the nomination or election of a
candidate, or the qualification, passage, or defeat of a ballot question
\[113\]. An offer or tender of an expenditure is not an expenditure if
expressly and unconditionally rejected or returned \[114\]. An
expenditure includes a contribution or a transfer of anything of
ascertainable monetary value for purposes of influencing the nomination
or election of any candidate or the qualification, passage, or defeat of
a ballot question \[115\].

With respect to a candidate, the standard is not one of "express
advocacy," but rather whether the payment assists a candidate \[116\].
Communications on a subject or issue, however, are held to a different
standard, and if a candidate makes a payment for a communication on a
subject or issue---as opposed to a communication by or about a candidate
or an election---and the communication does not support or oppose a
candidate by name or clear inference, the payment is not a regulated
expenditure \[117\].

An expenditure does not include an expenditure for communication by a
person strictly with the person's paid members or shareholders and those
individuals who can be solicited for contributions to a separate
segregated fund \[118\]; an expenditure for communication on a subject
or issue if the communication does not support or oppose a ballot issue
or candidate by name or clear inference \[119\]; an expenditure for the
establishment, administration, or solicitation of contributions to a
separate segregated fund or independent committee \[120\]; an
expenditure by a broadcasting station, newspaper, magazine, or other
periodical or publication for a news story, commentary, or editorial in
support of or in opposition to a candidate for elective office, or a
ballot question in the regular course of publication or broadcasting
\[121\]; or an expenditure for nonpartisan voter registration or
nonpartisan get-out-the-vote activities, unless a candidate or group of
candidates sponsors or finances the activity and is identified by name
with the activity \[122\].

**B. Limitations on Nature of Expenditures.** A candidate committee is
limited to making expenditures to influence the candidate's own election
\[123\], for the distribution of funds when a committee dissolves
\[124\]. A candidate committee of a candidate who is appointed or
elected to an elective office may also make an expenditure for an
incidental expense for the elected office to which the candidate was
elected or appointed \[125\].

A committee may not make an expenditure until and unless it designates a
treasurer \[126\]. An expenditure may only be made with the
authorization of the treasurer or the treasurer's designee \[127\]. Cash
withdrawals of not more than \$50 per expenditure may be made from a
petty cash fund withdrawn from a committee account \[128\]. A person
making payments from a petty cash fund must maintain records of the
amount and purpose of each expenditure, and must deliver the records to
the committee treasurer \[129\]. Expenditures of more than \$50, other
than an in-kind expenditure, are to be made by a written instrument
containing the names of the payor and payee \[130\]. The expenditure of
an anonymous contribution, other than to a tax-exempt charitable
institution, is prohibited \[131\].

While the mere transfer of funds deposited in the official depository to
an interest bearing account for investment purposes is not considered an
expenditure \[132\] because the funds are deposited in the official
depository and in the complete control of the investor, investments in
the stock or commodities markets \[133\], or the purchase and sale of a
bond, a share in a mutual fund, or a land contract is not permitted
\[134\].

An expenditure may not be made, other than for overhead or normal
operating expenses, by an agent or an independent contractor, including
an advertising agency, on behalf of or for the benefit of a person
unless the expenditure is reported by the committee as if the
expenditure were made directly by the committee, or unless the agent or
independent contractor files a report of an independent expenditure
\[135\]. The agent or independent contractor must make known to the
committee all information required to be reported by the committee
\[136\].

A public body and any person acting on behalf of a public body may not
make an expenditure or provide personal services that are excluded from
the definition of a contribution \[137\].

An independent expenditure by a candidate committee on behalf of another
candidate committee is prohibited, but this does not prohibit the
purchase of tickets to another candidate committee's fundraising event
that does not exceed \$100 per candidate committee per year \[138\]. A
corporation is prohibited from making an expenditure related to
influencing a candidate election, even through a separate segregated
fund \[139\]. A corporation may, however, make an independent
expenditure in any amount for the qualification, passage, or defeat of a
ballot question \[140\]. A corporation making such an independent
expenditure may be considered a ballot question committee \[141\].

A candidate for governor or lieutenant governor receiving public
financing is limited to applying funds from the state campaign fund
toward qualified campaign expenditures \[142\]. "Qualified campaign
expenditure" means an expenditure for services, materials, facilities,
or other things of value by the candidate committee to further the
candidate's nomination or election to an office during the year in which
the primary or general election in which the candidate seeks nomination
or election is held \[143\]. A qualified campaign expenditure does not
include an expenditure in violation of a Michigan or federal law
\[144\]; a payment made to the candidate or a relative within the third
degree of consanguinity of the candidate, or to a business with which
the candidate or relative is associated \[145\]; a payment to the extent
clearly in excess of the fair market value of services, materials,
facilities, or other things of value received in exchange \[146\]; that
portion of any salary or wage to an individual in excess of \$5,000 per
month \[147\]; payment from a petty cash fund \[148\]; gifts, except
brochures, buttons, signs, and other printed campaign material \[149\];
payment to a defense fund \[150\]; an expenditure by a candidate
committee for an incidental expense \[151\]. Moneys received from the
state campaign fund by the candidate committee of a gubernatorial
candidate cannot be used to repay a loan to that, committee \[152\].

An expenditure which is controlled by, or made at the direction of,
another person, including a parent organization, subsidiary, division,
committee, department, branch, or local unit of a person must be
reported by the person making the expenditure, and is regarded as an
expenditure attributable to both persons for purposes of expenditure
limitations \[153\].

A candidate may not make an independent expenditure on his or her own
behalf \[154\]. A candidate's personal postage used for mailing a
required filing of the committee is considered an expenditure by the
candidate committee \[155\]. A payment made in lieu of filing nominating
petitions and fees paid as a penalty for not filing reports when
required are expenditures \[156\]. Repayment by a candidate committee of
a loan does not constitute an expenditure \[157\]. A candidate may not
be afforded a personal or business loan from the candidate's committee
\[158\].

The administration of a segregated fund and the authorization of
expenditures from the fund must be by the board of directors of the
corporation or by a committee authorized by the board of directors of
the corporation \[159\]. A separate segregated fund may not receive a
contribution designated by the contributor to be given to a specific
candidate committee, because this would place the "authorization of
expenditures" function in the hands of the contributing employee
\[160\].

**C. Incidental Expenses.** An incidental expense is an expenditure that
is an ordinary and necessary expense as described in § 162 of the
Internal Revenue Code, paid or incurred in carrying out the business of
an elective office \[161\]. Incidental expenses may include a
disbursement necessary to assist, serve, or communicate with a
constituent \[162\]; disbursements for equipment, furnishings or
supplies for the office of the public official \[163\]; disbursements
for a district office if the office is not used for campaign-related
activity \[164\]; disbursements for the public official or his or her
staff to attend a conference, meeting, reception, or other similar event
\[165\]; disbursements to maintain a publicly owned residence or
temporary residence at the seat of government \[166\]; unreimbursed
disbursements for travel, lodging, meals or other expenses incurred by
the public official, a member of the public official's immediate family,
or a member of the public official's staff in carrying out the business
of the elective office \[167\]; a donation to a tax-exempt charitable
organization, including the purchase of tickets to charitable or civic
events \[168\]; disbursements to ballot question committee \[169\]; a
purchase of tickets for use by that public official and members of his
or her immediate family and staff to a fundraising event sponsored by a
candidate committee, independent committee, political party committee,
or a political committee that does not exceed \$100 per committee in a
calendar year \[170\]; disbursements for an educational course or
seminar that maintains or improves skills employed by the public
official in carrying out the duties of the elective office \[171\];
purchases of advertisements in testimonials, program books, souvenir
books, or other publications if the advertisement does not support or
oppose the nomination or election of a candidate \[172\]; disbursements
for consultation, research, polling, and photographic services not
related to a campaign \[173\]; fees paid to a fraternal, veteran, or
other service organization \[174\]; payments of tax liabilities incurred
as a result of authorized transactions by the candidate committee of the
public official \[175\]; fees for accounting, professional, or
administrative services for the candidate committee of the public
official \[176\]; and a debt or obligation incurred by the candidate
committee of a public official for a authorized disbursement, if the
debt or obligation was reported in the candidate committee report filed
for the year in which the debt or obligation arose \[177\].

**D. Expenditures by Governmental Units.** A home rule city may make a
contribution or an expenditure in support of a local ballot question
without violating the Campaign Finance Act \[178\] but it is less clear
whether an expenditure of public funds would be permissible under other
laws. While the Michigan municipal league, a private non-profit
organization funded primarily by public entities was permitted to expend
its funds in connection with the passage or defeat of ballot questions
\[179\] previous opinions of the attorney general have concluded that,
in the absence of some constitutional or statutory authority, public
bodies may not spend tax moneys to influence the outcome of elections
\[180\]. A public body may, however, expend public funds to objectively
inform the people on issues related to the function of the public body
\[181\]. Thus, a county board of auditors is restrained from spending
county money for the ultimate purpose of placing a constitutional
amendment on the ballot \[182\]; a school board may not expend public
funds urging a favorable vote on ballot proposals to increase tax
limitations and permit the issuance of bonds \[183\]; a county board of
supervisors is not authorized to spend county funds to print and
distribute materials advocating a favorable vote on the issue of
constructing a new county building \[184\]; state commissions and boards
may not expend public funds to urge the electorate to support or oppose
a particular candidate or ballot proposal \[185\]; and a downtown
development authority may not expend funds or form a committee for an
advertising campaign which advocates a position on a ballot question
\[186\].

**E. Permissible Expenditures by Committees Accepting Public Funding.**
Expenditures made by a candidate committee to further the nomination or
election of a candidate accepting public funding may not exceed an
aggregate of \$2 million for one election, not including incidental
expense expenditures \[187\]. An expenditure by a candidate committee to
purchase space in a newspaper or other periodical, or time on radio or
television to respond to an editorial in the same newspaper or
periodical or on the same station or channel which was unfavorable to
the committee's candidate or which endorsed the candidate's opponent is
not an expenditure for the purposes of the expenditure limitations
\[188\]. A debt for goods, services, materials, facilities, or anything
of value in furtherance of, or in opposition to, the nomination for, or
election to office of a candidate accepting public financing may not be
incurred by a person which, when paid, will cause the expenditures of
that candidate or person to exceed any expenditure limitation \[189\].
Other expenditures not included in the limitation include an expenditure
necessitated by security requirements established by the director of the
department of state police \[190\]; legal and accounting expenditures
for compliance with the Act \[191\]; an expenditure incurred in response
to a written complaint filed pursuant to the Act or rules, or in
response to a notice of error or omission initiated by the Secretary of
State \[192\]; and post-election winding down expenditures subsequent to
the general election for candidate committees participating in the
general election \[193\] including expenditures for required record
storage \[194\] and communications with contributors or other persons
who assisted in the campaign, thanking them for their assistance, if
these communications occur not more than 60 days after the election
\[195\] and late filing fees and assessed under the Act \[196\].

**F. Expenditures by a Judicial Candidate Committee.** A judicial
candidate committee may use campaign funds to compensate the family of a
judicial candidate for work performed on the campaign if the work was
necessary, the salary paid is commensurate with that which others would
be paid, and the work in fact contributed to the campaign \[197\]. A
judicial candidate may not, however, allow the use of campaign
contributions for the private benefit of the candidate or the
candidate's family \[198\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** As soon as a person becomes a candidate under the
Act, he or she has 10 calendar days to form a candidate committee
\[199\] and an additional 10 calendar days to register the committee
\[200\]. The statement of organization must list the name of the
candidate committee (which includes the candidate's first and last
names), the treasurer's name and address, the name and address of the
person responsible for the committee's records and filings (if not the
treasurer) \[201\] and the depository where committee funds will be kept
\[202\] which must be a bank, savings and loan association, or credit
union located in Michigan \[203\].

If any of the information required in a statement of organization is
changed, the committee must file an amendment when the next campaign
committee statement is required to be filed \[204\].

A political party organization must register as a committee under the
Act within 10 calendar days after it receives or spends \$500 or more in
a calendar year to influence voters \[205\]. The statement of
organization must include the type of political party committee formed,
candidates and ballot questions supported or opposed (if known), the
treasurer's name and address; the name and address of the person
responsible for the committee's records and filings (if not the
treasurer), and the depository where committee funds will be kept, which
must be a bank, savings and loan association, or credit union located in
Michigan \[206\].

An independent committee or political committee shall include in the
name of the committee the name of the person or persons that sponsor the
committee, if any, or with whom the committee is affiliated \[207\]. A
person sponsors or is affiliated with an independent committee or
political committee if that person establishes, directs, controls, or
financially supports the administration of the committee \[208\]. A
person does not financially support the administration of the committee
merely by making a contribution to the committee \[209\]. An independent
committee or political committee whose name does not include the name of
the person or persons that sponsor the committee or with whom the
committee is affiliated as required shall file an amendment to the
committee\'s statement of organization not later than the date the next
campaign statement is required to be filed \[210\].

A group operating within Michigan or out-of-state \[211\] that qualifies
as an independent, political, or ballot question committee must register
as a committee under the Act within 10 calendar days after it receives
or spends \$500 or more in a calendar year to influence voters \[212\].
The statement of organization must include the type of committee formed,
candidates and ballot questions supported or opposed (if known), the
treasurer's name and address; the name and address of the person
responsible for the committee's records and filings (if not the
treasurer), and the depository where committee funds will be kept, which
must be a bank, savings and loan association, or credit union located in
Michigan if the committee conducts business through an office or
facility located in Michigan \[213\]. The committee depository does not
have to be located in Michigan if the committee does not conduct
business through an office or facility located in Michigan \[214\].

Unless an officeholder is constitutionally or legally barred from
seeking re-election or fails to file for re-election to that office by
the applicable filing deadline, an elected officeholder may be
considered to be a candidate for re-election to that office for
reporting purposes \[215\].

**B. Reporting.** A campaign statement is not required from a candidate
or ballot question committee which files a statement of organization
that swears that the committee does not expect for each election to
receive an amount in excess of \$1,000 or expend an amount in excess of
\$1,000 \[216\]. If the committee receives or expends an amount in
excess of \$1,000 for an election, the committee is then subject to the
reporting requirements of the Act \[217\]. A campaign statement is not
required from a political, independent, or political party committee
that swears that the committee does not expect to receive an amount in
excess of \$1,000 in a calendar year, or expend an amount in excess of
\$1,000 in a calendar year \[218\]. If the committee receives or expends
an amount in excess of \$1,000 in a calendar year, the committee is then
subject to the reporting requirements \[219\].

Write-in candidates running as a team for governor and lieutenant
governor must form separate candidate committees, although expenditures
supporting both candidates may be made from either candidate committee
\[220\].

When an out-of-state-group---a business, proprietorship, firm,
partnership, joint venture, syndicate, labor organization, company,
corporation, association, or two or more individuals who act
jointly---receives or spends \$500 or more in a calendar year to
influence voters for or against the nomination or election of one or
more candidates in Michigan, or the qualification, passage, or defeat of
one or more ballot questions in Michigan, it must form and register a
committee under the Act within 10 days after it reaches the threshold
\[221\]. Once registered with the state, the out-of-state-group is no
longer required to provide the certified statement otherwise required
with contributions given to candidates seeking office in Michigan
\[222\]. An out-of-state group that must comply with the Act is required
to open its committee depository in a bank, savings and loan
association, or credit union located in Michigan, and its treasurer must
be a registered elector of Michigan if the PAC does business through an
office in Michigan; if the committee does not do business through an
office in Michigan, the committee must file an irrevocable written
stipulation agreeing to substitute service upon the Secretary of State
or an agent designated by the Secretary of State \[223\].

Where there is no primary election for a nonpartisan office due to lack
of more than twice the number of candidates as there are persons to be
elected \[224\] a nonpartisan candidate committee is not required to
file campaign statements for the primary election even though voting for
other officers or issues may take place \[225\].

A required statement or report is to be filed not later than 5:00 p.m of
the day in which it is required to be filed \[226\]. A pre-election
statement or report due on July 25 or October 25 postmarked by
registered or certified mail, or sent via express mail or any other
overnight delivery service at least two days before the deadline for
filing, is deemed filed on time regardless of when it is actually
delivered \[227\]. Any other statement or report postmarked by
registered or certified mail, or sent by express mail or other overnight
delivery service, on or before the filing deadline is considered filed
within the prescribed time regardless of when it is actually delivered
\[228\].

**C. Reporting by Committees Other Than Political Party Committees.**
The campaign statement of a candidate committee for a state elective or
judicial office, or other candidate committees at the state level must
be filed with the Secretary of State who reproduces the copy and
transmits the reproduction to the clerk of the county of residence of
the candidate \[229\]. Campaign statements for local candidates are
filed with the clerk of the county of residence of the candidate
\[230\]. A verification statement is to be part of the campaign
statement, and must state that to the treasurer's knowledge it is true
and complete \[231\]. The candidate, in the case of a candidate
committee, must also verify in writing that, to the best of the
candidate's knowledge, the statement is true and complete \[232\].

A copy of the campaign statement for a ballot question committee
supporting or opposing a statewide ballot question is filed with the
Secretary of State, while a ballot question committee supporting or
opposing a ballot question to be voted upon in more than one county, but
not statewide, must be filed with the clerk of the county in which the
greatest number of registered voters eligible to vote on the ballot
question reside \[233\]. A ballot question committee supporting or
opposing a ballot question to be voted upon within a single county files
a statement only with the clerk of that county \[234\]. A copy of a
campaign statement of a committee supporting or opposing a candidate for
the office of school board, where the office is to be voted on in more
than one county but not statewide, must be filed with the clerk of the
county in which the greatest number of registered voters eligible to
vote on the office reside \[235\].

A campaign statement covers the period beginning the day after the
closing date of the most recent campaign statement, and ends on the
closing date specified for the report in question \[236\]. If the
committee filing the campaign statement has not previously filed a
campaign statement, the period covered begins with the date on which the
committee was formed \[237\].

A campaign statement from a committee other than a political party
committee, must contain the filing committee's name, address, and
telephone number, and the full name, residential and business addresses,
and telephone numbers of its committee treasurer or other individual
designated as responsible for the committee's record keeping, report
preparation or report filing \[238\]. The total amount of contributions
received and expenditures made during the period covered must be
separately reported, along with the cumulative amount of those totals
for that election \[239\]. If a loan was repaid during the period
covered by the campaign statement, the amount of the repayment must be
subtracted from the total amount of contributions received from that
committee \[240\]. Forgiveness of a loan is not included in the totals
\[241\]. Payment of a loan by a third party must be recorded and
reported as an in-kind contribution by the third party, but is not
included in the totals \[242\]. In-kind contributions or expenditures
must be listed at fair market value and are reported as both
contributions and expenditures \[243\]. A contribution or expenditure
that is by other than completed and accepted payment, gift, or other
transfer, that is clearly not legally enforceable, and that is expressly
withdrawn or rejected and returned before a campaign statement closing
date need not be included in the campaign statement, and, if included,
may, in an amended statement, be shown as a deduction, but the committee
shall keep adequate records of each instance \[244\]. The statement must
also report the balance of cash and cash equivalents on hand at the
beginning and the end of the period covered \[245\], and the total
amount of contributions received during the period from persons who
contributed more than \$20 \[246\] along with the full name of each
person from whom contributions totaling more than \$20 are received
during the period, the person's street address, amount contributed, the
date the contribution was received, and the cumulative amount
contributed by that person for that election cycle \[247\]. The
occupation, employer, and principal place of business must be stated if
the person's total contributions for the period exceed \$100 \[248\].
The total amount of contributions received during the period from
persons who contributed \$20 or less must be reported \[249\], as must
be the total amount of contributions of \$20 or less received during the
period, and the cumulative amount of the contributions received by the
filer as a result of a fundraising event, casual services, sale of
political merchandise, or membership fees, dues, or subscriptions for
political purposes to an independent committee that is \$20 or less in
the aggregate from a person in any calendar year \[250\]. The total
amount of contributions of \$20 or less received during the period
covered for each fundraising event must also be reported \[251\]. The
name, address, and amount given by a person who contributed more than
\$20 of the total amount contributed by a person who is other than a
committee or an individual \[252\] with the occupation, employer, and
principal place of business must be stated if the person contributed
\$100 or more \[253\].

Expenditures must also be detailed. A cumulative total must be made of
expenditures of \$50 or less made during the period covered by the
statement \[254\]. The full name and street address of each person to
whom expenditures totaling more than \$50 were made must be reported,
together with the amount of each separate expenditure to each such
person during the period, and the purpose of the expenditure, the full
name and street address of the person providing the consideration for
which any expenditure was made if different than the payee \[255\].
Finally, the amount of expenditures for or against a candidate or ballot
question during the reporting period must be listed, as must the
cumulative amount of expenditures for or against that candidate or
ballot question \[256\]. An expenditure made in support of more than one
candidate or ballot question, or both, must be apportioned reasonably
among the candidates or ballot questions, or both \[257\].

Special information for each fundraising event held during the period
must be included in the campaign statement \[258\]. This information
must include the type of event, date held, address and name, if any, of
the place where the activity was held, and the approximate number of
individuals participating or in attendance \[259\]; the total amount of
all contributions of more than \$20 \[260\]; the total amount of all
contributions of \$20 or less \[261\]; the gross receipts of the
fundraising event \[262\]; and the expenditures incident to the event
\[263\].

The campaign statement must also include an itemized list of all
expenditures during the reporting period for election day busing of
electors to the polls, get-out-the vote activities, slate cards,
challengers, poll watchers, and poll workers \[264\].

A candidate committee or political party committee is required to file
campaign statements for each election in which it participates. A
pre-election campaign statement must be filed not later than the 11th
day before an election, with the closing date to be the 16th day before
the election \[265\]. A post-election campaign statement is also
required to be filed not later than the 30th day following the election,
with a closing date of the 20th day following the election \[266\]. This
statement may serve as a closing campaign statement for a committee
supporting a candidate who loses in the primary election if the
committee meets the criteria for dissolution and so indicates on the
campaign statement form \[267\]. If all liabilities of such a candidate
or committee are paid before the closing date, and additional
contributions are not expected, the campaign statement may be filed at
any time after the election, but not later than the 30th day following
the election \[268\].

An independent or political committee registered on the state level must
file three reports each year. In an odd-numbered year, the reports must
be filed not later than January 31 of that year, with a closing date of
December 31 of the previous year \[269\], not later than July 25 with a
closing date of July 20 \[270\] and no later than October 25 with a
closing date of October 20 \[271\]. In an even-numbered year, an
independent or political committee registered at the state level must
file reports not later than April 25 of that year with a closing date of
April 20 of that year \[272\], not later than July 25 with a closing
date of July 20 \[273\], and not later than October 25 with a closing
date of October 20 \[274\].

A house or senate political party caucus committee must file quarterly
reports and report each contribution and expenditure exceeding \$1,000
per day within the 14 days prior to a primary election or general
election \[275\].

A ballot question committee must follow the same reporting schedule as a
committee supporting or opposing a candidate \[276\]. In addition to the
16-day pre-election report \[277\], and 30-day post-election report
\[278\] a ballot question committee supporting or opposing a statewide
ballot question must file a campaign statement not later than 35 days
after the ballot question is qualified for the ballot, with a closing
date of 28 days following qualification of the measure \[279\]. If the
ballot question fails to qualify for the ballot, the committee must file
the statement within 35 days after the final deadline for qualifying,
the closing date of which must be the 28th day following the deadline
\[280\]. A corporation making a contribution or expenditure of \$500 or
more in a calendar year for the qualification, passage, or defeat of a
particular ballot question may be subject to the registration and
reporting requirements of the Act, and may be required to register as a
ballot committee \[281\].

A committee other than an independent or political committee registered
on the state level must also file a campaign statement not later than
January 31 of each year, with a closing date of December 31 of the
previous year, beginning the day after the closing date of the previous
campaign statement \[282\]. However, this requirement is waived if a
post-election campaign statement has been filed which has a filing
deadline within 30 days of the closing date of this campaign statement
\[283\] and does not apply to a candidate committee for an officeholder
who is a judge or a supreme court justice, or holds an elective office
for which the salary is less than \$100 per month and does not receive
any contribution or make any expenditure during the time which would
otherwise be covered in the statement \[284\].

An additional report is required of a candidate receiving public
financing if that candidate's public fund account is terminated after
the closing date of the post-election campaign statement for the
election for which public fund were received \[285\]. The committee is
to provide the Secretary of State with a written statement indicating
that the committee's public fund account contains a zero balance
\[286\]. The statement must be accompanied by a list of receipts and
expenditures of public funds between the closing date of the last
campaign statement filed, and the date the written statement is filed
\[287\].

**D. Reporting by a Political Party Committee.** A political party
committee that is a state central, congressional district, or county
committee must file its campaign statement with the Secretary of State
\[288\]. The statement must be signed by the committee treasurer, and
include a verified statement that states the treasurer used all
reasonable diligence in its preparation, and that to the treasurer's
knowledge it is true and complete \[289\].

A political party committee campaign statement must contain the full
name of each person from whom contributions totaling more than \$20 in
value are received in a calendar year, the amount, and the date or dates
contributed; and if the person is a committee, the committee's name and
address, the full name of the treasurer, and the amount of the
contribution and the date received \[290\]. The occupation, employer,
and principal place of business must be listed for each person from whom
contributions totaling more than \$100 are received in a calendar year
\[291\].

The report must also contain an itemized list of all expenditures,
including in-kind contributions and expenditures and loans, made during
the period covered by the campaign statement which were contributions to
a candidate committee, a ballot question committee, or independent
expenditures in support of the qualification, passage, or defeat of a
ballot question, or in support of the nomination or election of a
candidate for elective office, or the defeat of any of the candidate's
opponents \[292\]. The committee must identify any such expenditure as
an independent expenditure or as a contribution to a candidate committee
or a ballot question committee \[293\]. The committee shall designate
for a contribution made to or on behalf of a candidate committee or
ballot question committee, the committee's name and address, the
candidate's name and office sought, if any, the amount contributed, and
the date of the contribution \[294\]. If the contribution was an
independent expenditure, the committee shall designate the name of the
candidate for whose benefit the expenditure was made and the office
sought by the candidate, or a brief description of the ballot question
for which the expenditure was made, the amount, date, and purpose of the
expenditure, and the name and address of the person to whom the
expenditure was made, and an expenditure in support of more than one
candidate or ballot question, or both, shall be apportioned reasonably
among the candidates or ballot questions, or both \[295\].

The campaign statement must include the total expenditure by the
committee for each candidate for elective office or ballot question in
whose behalf an independent expenditure was made or a contribution was
given for the election cycle \[296\]; and the filer's name, address, and
telephone number, where available, if any, and the full name,
residential and business addresses, and telephone numbers, where
available, of the committee treasurer \[297\]. Finally, the campaign
statement must also include an itemized list of all expenditures during
the reporting period for election day busing of electors to the polls,
get-out-the vote activities, slate cards, challengers, poll watchers,
and poll workers \[298\].

**E. Reporting of an Independent Expenditure.** A person, other than a
committee, who makes an independent expenditure advocating the election
of a candidate, the defeat of a candidate's opponents, or the
qualification, passage, or defeat of a ballot question, which totals
more than \$100 in a calendar year must file a report of the independent
expenditure, within 10 days, with the clerk of the county of residence
of that person \[299\]. The report must be made on an independent
expenditure report form provided by the Secretary of State, and must
include the date of the expenditure, a brief description of the nature
of the expenditure, the amount, the name and address of the person to
whom it was paid, the name and address of the person filing the report,
together with the name, address, occupation, employer, and principal
place of business of each person who contributed more than \$100 to the
expenditure \[300\]. The report must be filed within the clerk of the
appropriate county \[301\].

**F. Reporting of a Late** **Contribution.** A contribution of \$200 or
more received between the 15th and third day before the date of any
election \[302\] must be reported by filing with the filing officer
within 48 hours after its receipt the full name, street address,
occupation, employer, and principal place of business of the contributor
\[303\]. Filing of a report of late contributions may be by any written
means of communication, and need not contain an original signature
\[304\]. A late contribution must be reported on subsequent campaign
statements without regard to reports filed pursuant to the late filing
provisions \[305\]. If a campaign statement has not been filed, a late
contribution may be reported, if practicable, in the campaign statement,
and need not be reported in a subsequent campaign statement \[306\].

**G. Supplemental Reporting by Judicial Candidate Committees.** In
addition to the regular required reporting by judicial candidate
committees, a judge is required to annually file a report of
contributions and expenditures with the state court administrator on a
form prescribed by that official \[307\]. The report filed with the
state court administrator should state the total amount of campaign
contributions received, the total amount of campaign expenditures
disbursed, the total funds remaining after the disbursement, and whether
or not any remaining funds were returned to the contributors or donated
to the state bar of Michigan client security fund \[308\]. The report
must also state the date that the regular report of campaign
contributions and expenditures has been filed with the Secretary of
State under the general campaign finance law \[309\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Eligibility.** Michigan provides public financing to qualified
candidates for governor in primary elections, and to qualified
candidates for governor and lieutenant governor in general elections.
Candidates for governor and lieutenant governor are elected in team
elections, and general election candidates for those two offices are
considered as one candidate \[310\]. Candidates determined to be
ineligible to appear on the primary ballot are also not eligible for
public funding \[311\]. Acceptance of public funding is at the
candidate's discretion.

**B. Qualifying Contributions.** A candidate who wishes to receive
public funds for his or her campaign must establish a single candidate
committee for purposes of both receiving contributions and making
expenditures \[312\]. This committee must follow all of the reporting
requirements imposed on a candidate committee. The candidate must file a
statement of organization indicating the intent to seek qualifying
contributions or to make qualifying expenditures \[313\]. A candidate
must then raise \$75,000 or more of qualifying contributions to become
eligible to receive public funding \[314\]. A qualifying contribution is
one made by a written instrument by an individual other than the
candidate or the candidate's immediate family, to the candidate
committee of a candidate for governor that is \$100 or less, and made
after April lst of the year preceding a year in which a governor is
elected \[315\]. Not more than \$100 of an individual's total aggregate
contribution may be used as a qualifying contribution in any one
calendar year \[316\]. A qualifying contribution does not include a
subscription, loan, advance, deposit of money, in-kind contribution or
expenditure, or anything else of value except as prescribed by law
\[317\]. A qualifying contribution does not include a contribution by an
individual who resides outside of the State of Michigan \[318\].

A contributions received or an expenditures made before the filing of a
statement of organization may not be considered as a qualifying
contribution \[319\]. A cash contribution of \$20 or less accompanied by
a written document containing the names of the payor, payee, the amount,
the date, the purpose of the contribution, and the signature of the
contributor will be allowed as a qualifying contribution \[320\]. A
contribution from a minor is matchable if the contribution is directed
and controlled solely by the minor \[321\].

Each candidate is to submit certified statements of qualifying
contributions to the Secretary of State, including in alphabetical order
the full name and street address of each person from whom a qualifying
contribution is received during the reporting period, together with the
amount of each contribution and the date received by the treasurer of
the committee \[322\]. The Secretary of State is to keep a record of
these statements, and must promptly notify a candidate for nomination
for governor when that candidate qualifies to receive a distribution of
money from the state campaign fund \[323\].

**C. Public Financing Payments.** A major party nominee is entitled to
an amount from the state campaign fund of not more than \$1,125,000 for
a general election \[324\]. A candidate may, subject to law, raise the
remaining amount of the permissible expenditure limit in private
contributions \[325\]. An eligible candidate in a general election may
elect to accept partial payment of money from the state campaign fund,
and also raise private contributions as provided by law that, when added
to the amount received from the state campaign fund, do not exceed the
aggregate spending limit \[326\]. A candidate in a primary election may
receive two dollars from the state campaign fund for each one dollar
raised in qualifying contributions \[327\]. The candidate committee of
the candidate must have received at least \$75,000 in qualifying
contributions \[328\] and certain record keeping requirements are
complied with \[329\].

A minor political party nominee whose party received five percent or
more of the vote for the same office in the last election is entitled to
receive an amount from the state campaign fund of not more than
\$1,125,000 multiplied by the number of popular votes the minor party
received in the preceding general election for governor which the major
parties received in that general is divided by the average number of
votes the major parties received in that general election for governor
\[330\]. A minor party nominee not otherwise qualifying for public
funding on the basis of votes received in the preceding election, but
who receives more than five percent of the vote in that general election
for governor is entitled to reimbursement in an amount of not more than
\$1,125,000 multiplied by the number of popular votes the minor party
received in the preceding general election for governor which is divided
by the average number of votes the major parties received in that
general election for governor \[331\]. A minor political party nominee
whose party received five percent or more of the vote for the same
office in the last election who receives more popular votes in an
election than the candidate of that minor party received at the
preceding election is entitled to additional reimbursement \[332\]. This
amount is calculated by computing the amount which the candidate would
have received under the reimbursement provisions had the candidate
otherwise qualified \[333\] and subtracting from this amount the amount
received under the standard public funding provisions \[334\]. In the
alternative, a candidate listed on the ballot in the general election is
entitled to \$1 for each \$1 of qualifying contributions certified to
the Secretary of State up to \$750,000 if the candidate has certified to
the Secretary of State \$75,000 or more in qualifying contributions
\[335\].

If a candidate desires to receive a distribution from the state campaign
fund, and has received notice of qualification for funding, the
candidate must apply to the Secretary of State, stating the amount of
moneys desired, and agreeing to adhere to the expenditure limitations
\[336\]. The Secretary of State is to determine the maximum amount for
which the candidate qualifies and transfer this information and the
application for funding to the state treasurer \[337\] who is to issue a
warrant drawn on the state campaign fund for an amount equal to the
maximum amount the candidate is qualified to receive, or the amount
applied for, whichever is less \[338\]. The warrant may not be issued
before January 1st of the year in which the election for governor is to
be held \[339\] but must be made immediately available beginning on
January 1 of each year in which an election for governor is held
\[340\]. A major political party nominee receives from the state
treasurer \$56,250 of the funds that the candidate may be entitled to
not later than 10 days after the primary election, unless there is less
than a two percent difference in the vote totals of the top two primary
election candidates of the same political party according to unofficial
vote totals available to the Secretary of State \[341\]. The balance of
any funds owed to a major political party nominee must be payable by the
state treasurer within three days after the state canvassers'
certification of the primary election results, but not later than 30
days after the primary election \[342\]. Any funds paid to a major
political party nominee either erroneously or based upon election
results which are reversed due to a recount or fraud are to be repaid by
that nominee to the state treasurer within 60 days of receipt of
notification by certified mail from the state treasurer \[343\].

**D. Limitations on Contributions and Expenditures.** Expenditures made
by a candidate receiving public funding may not exceed \$2 million in
the aggregate for one election, not including incidental expenses
\[344\]. An expenditure by a candidate committee to purchase space in a
newspaper or other periodical, or time on radio or television to respond
to an editorial in the same newspaper or on the same station or channel
which was unfavorable to the committee's candidate, or which endorsed
the candidate's opponent is not an expenditure for purposes of the
expenditure limitations if the expenditure is limited to one response to
a particular editorial, unfavorable report, or endorsement of an
opponent, and the candidate is refused free space or time in which to
answer \[345\].

No debt for goods, services, materials, facilities, or anything of value
in furtherance of, or in opposition to, the nomination for, or election
to, office of a candidate may be incurred by a person which, when paid,
will cause the expenditures of that candidate or person to exceed any
limit imposed by the public financing provisions \[346\]. The
limitations applicable to noncandidates in publicly-financed races are
varied. A person other than an independent committee or a political
party committee is not permitted to make contributions to a candidate
committee that amount to more than \$3,400 in value for an election
cycle \[347\]. An independent committee may not make contributions to a
candidate committee which, for that election cycle, are more than 10
times the amount permitted a person other than an independent committee
or political party committee \[348\]. A state political party central
committee may not make contributions to such a candidate committee which
exceed \$750,000 in an election cycle \[349\]. A congressional district
or county level political party committee may not make more than
\$30,000 in contributions in an election cycle to a candidate committee
\[350\]. A candidate and a candidate's spouse, parent, brother, sister,
son, or daughter may not contribute to that candidate's candidate
committee an amount which aggregates more than \$50,000 in value for an
election cycle \[351\].

A contribution may not be made by a person to another person with the
agreement or arrangement that the person receiving the contribution will
then transfer that contribution to a particular candidate committee
\[352\].

A candidate committee may not make a contribution to another candidate
committee, but may purchase tickets to another candidate committee's
fundraising event that does not exceed \$100 per candidate committee in
any calendar year \[353\].

A distribution received under the public financing provisions may only
be used for qualified campaign expenditures \[354\], an expenditure for
services, materials, facilities, or other things of value by the
candidate committee to further the candidate's nomination or election to
an office during the year in which the primary or general election in
which the candidate seeks nomination or election is held \[355\]. A
qualified campaign expenditure does not include an expenditure in
violation of any federal or Michigan law \[356\]; a payment made to the
candidate or a relative within the third degree of consanguinity of the
candidate, or to a business with which the candidate or the relative is
associated \[357\]; a payment to the extent clearly in excess of the
fair market value of services, materials, facilities, or other things of
value received in exchange \[358\]; that portion of any salary or wage
to individual in excess of \$5,000 per month \[359\]; payment from petty
cash \[360\]; gifts, except brochures, buttons, signs, and other printed
campaign material \[361\]; payment to a defense fund \[362\]; or an
incidental expense expenditure \[363\]. Moneys received from the state
campaign fund by the candidate committee may not be used to repay a loan
to that committee \[364\].

A distribution received by a candidate from the state campaign fund must
be kept in a separate account, which may be used to pay the candidate's
qualified expenditures unless the account does not have a balance
\[365\]. An unexpended balance in this account must be refunded and
credited to the general fund within 60 days after the election for which
the moneys were received \[366\] unless the committee has obtained prior
written approval for retention of the funds from the Secretary of State,
and the funds are directed to, and not in excess of, qualified campaign
expenditures \[367\].

The Secretary of State may require a committee to file a monthly report
accounting for the use of any such retained funds \[368\]. Interest
received on state campaign fund distributions must be returned to the
state and may not be spent by the candidate even after exhausting all
public funds originally granted \[369\].

**E. Waiver of Expenditure Limits.** If a candidate committee of a
candidate for governor that does not apply for public financing accepts
from the candidate and the candidate's immediate family contributions
that total more than \$340,000 for an election cycle, the committee must
notify the Secretary of State in writing within 48 hours after receipt
\[370\]. The Secretary of State then notifies publicly financed
candidates that the expenditure limits are waived for the remainder of
the election \[371\], with the exception of how they apply to
determining the amount of public funds available to a candidate \[372\].

**F. Post-Election Procedures.** Payment received from the state
campaign fund for expenditures in one election may not be used for
expenditures in a subsequent election \[373\]. If the account is
terminated after the closing date of the post-election campaign
statement for the election for which public funds were received, the
committee is to provide the Secretary of State with a written statement
indicating that the committee's public fund account contains a zero
balance \[374\]. The statement must be accompanied by a list of receipts
and expenditures of public funds between the closing date of the last
campaign statement filed, and the date the written statement is filed
\[375\]. A committee which has terminated its public fund account must
promptly return to the state any refund or rebate arising out of
expenditures for which public funds were originally used or any proceeds
from the sale of assets originally purchased with public

funds \[376\]. Public funds returned to the state must be submitted to
the secretary of

state by written instrument payable to the State of Michigan \[377\].

**VI. TAX PROVISIONS**

Michigan's state campaign fund is administered by the state treasurer
and funded by voluntary designation of individual income tax liability
\[378\]. An individual whose income tax liability for a taxable year is
three dollars or more may designate that three dollars be credited to
the state campaign fund \[379\]. A joint return with an income tax
liability of six dollars or more entitles each spouse to designate that
three dollars be paid to the state campaign fund \[380\]. An amount
equal to the cumulative amounts designated by taxpayers each year must
be appropriated annually from the general fund of the state to the state
campaign fund to be available January 1st, and continuing through
December 31st of each year in which a governor is elected \[381\]. The
amounts appropriated under this section do not revert to the general
fund, but instead remain available to the state campaign fund for
distribution without fiscal year limitation, except that any amounts in
excess of \$10 million remaining in the state campaign fund on December
31st immediately following a gubernatorial general election revert to
the general fund \[382\].

Before the distribution of funds under the act to qualifying primary
election candidates, the state treasurer must set aside sufficient funds
from the state campaign fund to fully implement the formula for
distributing funds to qualifying general election candidates \[383\]. If
insufficient funds exist in the state campaign fund to provide full
funding to eligible primary election candidates, the campaign funds must
be distributed on a pro rata basis \[384\].

**VII. POST-ELECTION REQUIREMENTS**

**A. Record Keeping.** The statement of organization of a committee must
be preserved by the filing official for five years from the date of the
committee's dissolution, a candidate committee's statement of
organization or reports for an office exceeding a four-year term must be
retained for a period of one year beyond the term; and all other
statements or reports filed under the Act are retained for a period of
five years from the date the filing occurred \[385\].

**B. Funds Transfers.** A person may transfer any unexpended funds from
one candidate committee to another candidate committee of that person if
the contribution limits for the candidate committee receiving the funds
are equal to or greater than the contribution limits for the candidate
committee transferring the funds, and if the candidate committees are
simultaneously held by the same person \[386\]. Unexpended funds of a
campaign committee that are not eligible for transfer to another
candidate committee of the person must be given to a political party
committee \[387\]; depending upon the office sought, to a house \[388\]
or senate political party caucus committee \[389\]; a ballot question
committee \[390\]; an independent committee \[391\]; or to a tax-exempt
charitable institution (if the candidate does not become an officer or
director of, or receive compensation, directly or indirectly, from that
organization) \[392\]; or returned to the contributors of the funds upon
termination of the campaign committee \[393\].

**C. Dissolution of** a **Committee.** A committee which determines it
will no longer receive contributions or make expenditures may dissolve
by filing a form prescribed by the Secretary of State, or, in the case
of a candidate committee, if committee failed to receive or expend more
than \$1,000 and the candidate is defeated or vacates an elective office
and has no outstanding campaign debts or assets, dissolution is
automatic \[394\]. This statement must be filed with the filing
officials with whom the committee's statement of organization was filed
\[395\]. A "dissolution" consists of a campaign statement that covers
the period from the closing date of the last report filed to the date of
dissolution, and must include a statement as to the disposition of
residual funds \[396\]. A committee may not dissolve if it has assets,
outstanding debts, or unpaid late filing fees \[397\]. If a committee
prematurely dissolves, an amended dissolution statement may be required
where the committee discloses previously undisclosed assets or
liabilities \[398\].

**C. Special Requirements Applicable to a Judicial Candidate
Committee.** Campaign expenses and accounts for a judicial candidate
committee should be settled promptly after the election, and no later
than January 1 following the election \[399\]. Surplus campaign funds
must either be returned pro rata to the contributors \[400\] or donated
to the State Bar of Michigan Client Security Fund by January 1 following
the election \[401\].

Campaign funds may be used only to pay authorized and reported election
expenses incurred prior to the day of the election \[402\]. While a
judicial office candidate may contribute funds to satisfy debts incurred
during the campaign, the candidate may not use funds contributed in the
current year to repay personal loans to the campaign committee resulting
from prior campaigns \[403\]. A candidate for judicial office may not
accept any contributions after the date of the election, including those
to retire campaign debts \[404\]. A contribution postmarked prior to the
day of the election and which is received the day following the election
may be accepted and used toward campaign expenses \[405\].

**VIII. OFFENSES AND PENALTIES**

**A. Report Filing.** A person who fails to file a statement of
organization \[406\] is required to pay a late filing fee \[407\]. If
the committee has raised \$10,000 or less during the previous two years,
the late filing fee is \$25 for each business day the statement remains
unfiled, not to exceed \$500 \[408\]. If the committee has raised more
than \$10,000 during the previous two years, the late filing fee is \$25
for each business day the statement remains unfiled for the first three
business days the report remains unfiled \[409\]; an additional \$25 for
each business day after the first three days to the 10th business day
the statement remains unfiled \[410\]; and an additional \$50 for each
business day after the first 10 business days it remains unfiled
\[411\], but not more than \$1,000 \[412\]. The fee is to be paid to the
filing official with whom the report or statement was required to be
filed \[413\] to be retained by and for the use of the filing officials
to cover their expenses in administering the Act \[414\].

A person who fails to file a statement of organization \[415\] for more
than 30 days after the statement or report is required to be filed
commits a misdemeanor and may be fined not more than \$1,000 \[416\]. A
person who is in violation of the reporting provisions more than seven
days commits a misdemeanor, and may be punished by a fine of not more
than \$1,000, or imprisoned for not more than 90 days, or both \[417\].
If a person subject to the provisions for reporting by a committee
supporting or opposing a candidate is found guilty the circuit court of
that county, on application by the attorney general or prosecuting
attorney of that county may prohibit that person from assuming the
duties of a public office, or from receiving compensation from public
funds, or both \[418\].

If a ballot question committee supporting or opposing a statewide ballot
question fails to file a pre-election statement, that committee or its
treasurer must pay a late filing fee for each calendar day the statement
remains unfiled \[419\]. The first business day the statement remains
unfiled the penalty is \$25 \[420\]; the second day the penalty is \$50
\[421\]; the third day the penalty is \$75 \[422\]; and the penalty for
the fourth day and each subsequent day that the statement remains
unfiled is \$100 \[423\], subject to a limit of not more than \$1,000
\[424\]. If a ballot question committee supporting or opposing a
statewide ballot question fails to file a required statement other than,
a pre-election statement, that committee or its treasurer must pay a
late filing fee of \$25 for each business day the report remains
unfiled, not to exceed \$1,000 \[425\]. If a ballot question committee
supporting or opposing other than a statewide ballot question fails to
file a required campaign statement, that committee or its treasurer must
pay a late filing fee of \$25 for each business day the campaign
statement remains not filed in violation of the Act, not to exceed
\$1,000 \[426\]. If a ballot question committee is in violation of the
reporting deadlines for more than seven business days, that committee,
or its treasurer, commits a misdemeanor, punishable by a fine of not
more than \$1,000 or imprisonment for not more than 90 days, or both
\[427\]. If a ballot question committee knowingly files an incomplete or
inaccurate required statement or report, that committee or its treasurer
commits a misdemeanor, punishable by a fine of not more than \$1,000, or
imprisonment for not more than 90 days, or both \[428\].

A person who is a candidate committee of a candidate for state elective
office or a judicial office and who fails to file a required annual
campaign statement must pay a late filing fee of \$25 for each business
day the campaign statement remains not filed in violation of the filing
deadlines, not to exceed \$500, or \$1,000 in certain circumstances
\[429\]. A person who is a committee other than a candidate committee of
a candidate for state elective office or a judicial office and who fails
to file an annual campaign statement must pay a late filing fee of \$25
for each business day the committee statement remains unfiled in
violation of the filing deadlines, not to exceed \$500 \[430\]. Such
fines must be paid by the candidate, and not from committee funds
\[431\]. If the statement remains unfiled for more than seven business
days, the person is guilty of a misdemeanor, punishable by a fine of not
more than \$1,000 or imprisonment for not more than 90 days, or both
\[432\]. A person who knowingly files an incomplete or inaccurate
required statement or report is guilty of a misdemeanor, punishable by a
fine of not more than \$1,000, or imprisonment for not more than 90
days, or both \[433\]. "Person" means for a committee other than a
candidate committee that committee's treasurer and that committee's
designated record keepers, and, for a candidate committee, that
committee, that candidate, and that candidate committee's treasurer
\[434\].

Failure to report late contributions on a timely basis results in a late
filing fee of \$25 for each business day the report remains unfiled
\[435\], an additional \$25 for each business day beyond the first three
business days the report remains unfiled \[436\], and \$50 additional
for each business day beyond the first 10 business days that a report
remains unfiled \[437\] to a maximum of \$2,000 \[438\].

If payment of the late filing fee assessed by the Secretary of State is
not made within 180 days of the date of the written notice, the filing
official must immediately notify the Michigan department of the treasury
of the failure to pay so the latter may collect the late filing fee
\[439\] which must be forwarded to the state treasurer for deposit to
the credit of the general fund of the state \[440\]. The payment of a
late filing fee may be waived by the Secretary of State upon receipt of
a written request and the required filing if the request for the waiver
is based on good cause and supported by adequate documentation \[441\].
Good cause is limited to the incapacitating physical illness,
hospitalization, accident involvement, death, or incapacitation of a
person required to file, a person whose participation is essential to
the preparation of the statement or report, or a member of the immediate
family of these persons \[442\] or other unique, unintentional factors
beyond the filer's control not stemming from negligent act or non-action
so that a reasonably prudent person would excuse the filing on a
temporary basis \[443\]. These factors include the loss or
unavailability of records due to a fire, flood, theft, or similar
reason, and difficulties related to the transmission of the filing to
the filing official, such as exceptionally bad weather or strikes
involving transportation systems \[444\].

The clerk of each county is also empowered to waive the payment of a
late filing fee upon written request if the request is based on good
cause as noted above \[445\].

**B.** **Contribution and Expenditure Regulation and Committee Formation
and** **Operation.** A person who violates the provisions for forming a
candidate committee \[446\]; appointing a qualified treasurer \[447\];
properly establishing and maintaining a campaign depository account
\[448\]; accepting a contribution without a treasurer \[449\]; making an
unauthorized expenditure \[450\]; forwarding contributions to the
treasurer \[451\]; or commingling contributions with other funds \[452\]
is subject to a civil penalty of not more than \$1,000 \[453\]. A
committee treasurer who knowingly fails to keep detailed account,
records, bills, and receipts as required for a period of five years may
be punished by a civil fine of not more than \$1,000 \[454\]. A person
who makes a single expenditure of more than \$50 from the petty cash
fund is subject to a civil penalty of three times the amount in excess
of \$50, not to exceed \$1,000 \[455\].

A person who knowingly makes or accepts any single contribution of more
than \$20 in cash, or who knowingly makes or accepts any single
expenditure of more than \$50 cash is guilty of a misdemeanor, and may
be punished by a fine of not more than \$1,000, or imprisoned for not
more than 90 days, or both, and, if the person is not an individual, the
person may be fined not more than \$10,000 \[456\]. A person who
knowingly accepts or expends an anonymous contribution, except an
anonymous contribution received by a person that is not deposited, but
given to a tax-exempt charitable organization \[457\], is guilty of a
misdemeanor, and may be punished by a fine of not more than \$1,000, or
imprisoned for not more than 90 days, or both \[458\]. A person who
directly or indirectly makes a contribution in a name other than the
name by which that person is identified for legal purposes is guilty of
a misdemeanor, and is punished by a fine of not more than \$1,000, or
imprisoned for not more than 90 days, and, if the person is not an
individual, the person is to be fined not more than \$10,000 \[459\]. A
person who knowingly accepts a contribution, other than by written
instrument, on behalf of another and acts as the intermediary or agent
of the person from whom the contribution was accepted, and fails to
disclose to the recipient of the contribution the intermediary's own
name and address and the name and address of the actual source of the
contribution is guilty of a misdemeanor, and must be punished by a fine
of not more than \$1,000 or imprisoned for not more than 90 days, or
both \[460\].

A person who knowingly makes contributions to a candidate committee in
excess of the contribution limitations is guilty of a misdemeanor
punishable by a fine of not more than \$1,000, or imprisoned for not
more than 90 days, or both, and, if the person is other than an
individual, the person is to be fined not more than \$10,000 \[461\].

A person who knowingly violates the provisions related to contributions
to house and senate caucus committees is guilty of a misdemeanor, with
an individual punished by a fine of not more than \$1,000 or
imprisonment for not more than 90 days, or, if the person is not an
individual, by a fine of not more than \$10,000 \[462\].

A person who knowingly violates the prohibitions against corporate
contributions is guilty of a felony punishable by a fine of not more
than \$5,000, or imprisonment for not more than three years, or both,
and, if the person is other than an individual, the person is to be
fined not more than \$10,000 \[463\]. A person who knowingly solicits
contributions for a corporation's separate segregated fund from other
than stockholders of the corporation or company \[464\] officers and
directors of the corporation or company \[465\] or employees of the
corporation or company who have policymaking, managerial, professional,
supervisory, or administrative non-clerical responsibilities \[466\] or
the spouses of such persons, or, in the case of nonprofit corporation
members of the corporation \[467\] or employees of the members of the
corporation who have policymaking, managerial, professional,
supervisory, or administrative non-clerical responsibilities \[468\],
employees of the corporation who have policymaking, managerial,
professional, supervisory, or administrative nonclerical
responsibilities \[469\] or their spouses are guilty of a felony, and
may be punished by a fine of not more than \$5,000 or imprisoned for not
more than three years, or both, and, if the person is other than an
individual, the person may be fined not more than \$10,000 \[470\]. The
same penalty applies to a person knowingly obtaining a contribution for
a separate segregated fund by coercion, physical force, or as a
condition of employment or membership, or by using or threatening to use
job discrimination or financial reprisals \[471\]. A for-profit or
non-profit corporation, a joint stock company, or a labor organization
may not solicit or obtain contributions for a separate segregated fund
from an individual on either an automatic or passive basis, including a
payroll deduction plan or reverse checkoff method, and if does so, it
may be subject to the same penalty as above \[472\]. A corporation,
joint stock company, domestic dependent sovereign, or labor organization
that obtains contributions for a separate segregated fund by reimbursing
or otherwise paying an individual to do so is subject to a civil fine of
twice the total contributions received from all such contributions so
obtained during that calendar year \[473\].

A person who knowingly accepts a contribution for purposes of supporting
or opposing candidates for elective office, or the qualification,
passage, or defeat of a ballot question that is more than \$20 and
received from a committee or person whose treasurer does not reside in,
whose office is not located in, or whose funds are not kept in the State
of Michigan \[474\] or received from a person other than a committee
\[475\], which contribution is not accompanied by the name and address
of each person who contributed more than \$20 to the contribution, and
the name, address, occupation, employer, and principal place of business
of each person who contributed more than \$100 to the contribution, is
guilty of a misdemeanor, and may be punished by a fine of not more than
\$1,000, or imprisoned for not more than 90 days, or both, and if the
person is other than an individual, the person is to be fined not more
than \$10,000 \[476\]. A person who knowingly makes a contribution to
another person or who receives such a contribution with the agreement or
arrangement that the person receiving the contribution will then
transfer that contribution to a particular candidate committee \[477\]
is guilty of a misdemeanor and may be punished by a fine of not more
than \$1,000, or imprisoned for not more than 90 days, or both \[478\].
A person who knowingly violates the provision prohibiting a candidate
committee from making is a contribution to, or an independent
expenditure on behalf of another candidate committee is similarly
punished, with the exception of the purchase of tickets to another
candidate committee's fundraiser not to exceed \$100 per candidate per
year \[479\].

A knowing violation of the provisions related to public body
contributions is punishable by a fine of not more than \$2,000 or
imprisonment for not more than one year in the case of an individual,
or, if the person is not an individual, by a fine of not more than
\$20,000 \[480\].

A violation of the provision relating to political contributions by
casino or supplier licensees is a felony and may be punished by a prison
term of not more than 10 years, a fine of not more than \$100,000, or
both, and may result in the loss of the applicable license \[481\].

Improper making or reporting of an expenditure by a committee, an agent,
or an independent contractor, if done knowingly, is a misdemeanor, and
may be punished by a fine of not more than \$1,000, or imprisonment of
not more than 90 days, or both, and if the person is other than an
individual, the person is to be fined not more than \$10,000 \[482\]. A
person who violates the independent expenditure reporting provisions is
subject to a civil penalty of not more than \$500 \[483\]. A person that
knowingly violates the provisions relating to corporate expenditures is
guilty of a felony, and may be punished by a fine of not more than three
years, or both, and, if the person is other than an individual, the
person is to be fined not more than \$10,000 \[484\].

**C. Candidates Receiving Public Financing.** In addition to being
subject to the penalty provisions applicable to other candidates, a
candidate receiving public funding faces other restrictions. A person
who knowingly applies moneys received under the public financing
provisions against other than qualified expenditures, or who violates
the provisions relating to establishment of a single public fund account
is guilty of a felony, and if the person is an individual, he or she may
be punished by a fine of not more than \$2,000, or imprisoned for not
more than three years, or both, and, if the person is other than an
individual, punishment is by a fine of not more than \$10,000 \[485\].
Knowing violations of other expenditure limitations render a person
guilty of a misdemeanor, and punishment by a fine of not more than
\$1,000, or imprisonment for not more than 90 days, or both \[486\]. If
a person is found guilty of such a violation, the circuit court of that
county, on application by the attorney general, may prohibit that person
from assuming the duties of a public office, or from receiving
compensation from public funds, or both \[487\].

A person who knowingly violates the contribution limitations imposed
under public financing is guilty of a misdemeanor, and is punished by a
fine of not more than \$1,000 or imprisonment for not more than 90 days,
or both, and, if the person is other than an individual, the person is
fined not more than \$10,000 \[488\].

**D. Commercial Use** **of Statements.** A statement open to the public
under the Act may not be used for any commercial purpose \[489\]. An
organization which is not organized for the purpose of making a profit
may, however, use lists of names gleaned from statements filed pursuant
to the Act for solicitations it conducts, but must confine its use to
noncommercial purposes and may not sell or loan the data to another
organization which intends to use the information in a commercial
endeavor \[490\]. A person who violates this provision is subject to a
civil penalty of not more than \$1,000 \[491\].

**E. Exclusive Remedy.** The remedies prescribed by the Act are the
exclusive means by which the act may be enforced; there is no private
right of action, either in law or in equity, for violations of the Act
\[492\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is responsible for
administration of the Campaign Finance Reporting Act.

The Secretary of State is required to make available through its offices
and furnish to county clerks appropriate forms, instructions, and
manuals required by the Act \[493\]; develop a filing, coding, and
cross-indexing system for the filing of required reports and statements
consistent with the purposes of the Act, and supervise the
implementation of the filing systems by the clerks of the counties
\[494\]; receive all statements and reports required by the Act to be
filed with the Secretary of State \[495\]; prepare forms, instructions,
and manuals required under the Act \[496\]; promulgate rules to
implement the Act \[497\]; and, upon receipt of a written request and
upon receipt of the required filing, waive payment of a late filing fee
if the request is based on good cause \[498\]. The Secretary of State
must also develop and implement an electronic filing and Internet
disclosure system \[499\].The Secretary of State is also authorized
under law to issue declaratory rulings to implement the Act \[500\]. The
Secretary of State, on written request of a person whose course of
action would be affected by the declaratory ruling, may issue a
declaratory rulings as to the applicability of the Act or promulgated
rules to an actual statement of facts \[501\]. A brief or other
reference to legal authorities, upon which the person relies for
determination of the applicability of the Act or of an administrative
rule to the statement of facts, may be submitted with the request
\[502\]. If the Secretary of State decides to issue a declaratory
ruling, the person requesting it must be furnished with a statement to
that effect \[503\]. The statement must set forth the time in which the
ruling must be issued \[504\]. A ruling must include the statement of
facts, the legal authority, if any, and the rationale on which the
Secretary of State relies for the ruling, and the determination \[505\].
The Secretary of State may refuse to issue a declaratory ruling if the
request is anonymous, or it is determined the subject matter is
frivolous on its face, indefinite, or lacks specificity \[506\]. If the
Secretary of State refuses to issue a declaratory ruling, the person
making the request, if known, must be notified of the reason for the
refusal \[507\].

The Secretary of State must make statements and reports required to be
filed under the Act available for public inspection and reproduction,
commencing as soon as practicable, but not later than the third business
day to which they are received, during regular business hours, with
late-contribution reporting posted on the Internet \[508\]. The
Secretary of State, within five business days following a filing date
required by the Act, must prepare a list of persons whose required
reports or statements have not been received by the secretary, to be
available for public inspection and copying \[509\]. Upon receipt of any
inquiry requesting information relative to the contents of any report or
statement, the requester will be informed that the information is
available for inspection or copying at the office of the Secretary of
State \[510\] and that a copy of any page of the report or statement may
be obtained upon receipt of payment by the Secretary \[511\]. A
telephone inquiry relative to a substantive matter in a filed report or
statement may not be answered \[512\]. A telephone inquiry by a filer or
agent relative to a report or statement of the filer will be answered
\[513\].

The Secretary of State must determine whether a statement or report
filed with the Secretary of State under the Act complies, on its face,
with the requirements of the Act and rules \[514\]. The Secretary must
determine whether such a statement or report that is required to be
filed is in fact filed \[515\]. Within four days after the deadline for
filing a statement or report under the Act, the Secretary must give
notice to the filer by registered mail of an error or omission in the
statement or report, and give notice to a person who the Secretary has
reason to believe is a person required to, and who failed to file a
statement or report \[516\]. After nine days and before 12 days have
expired after the deadline for filing the statement or report, the
secretary must report errors or omissions which were not corrected and
failures to file to the Attorney General \[517\].

A statement or report filed with the Secretary of State under the Act
must be preserved by the secretary for 15 years after filing or
determination or correction of violations, which ever is later \[518\].
Statements and reports filed under the Act may be reproduced pursuant to
the records media act and the reports or the reproductions must be
destroyed after the required preservation period \[519\].

The Secretary of State is required to hold hearings upon the request of
a corporation, joint stock company, labor organization, or committee
that questions the affiliation of any person with another corporation,
joint stock company, labor organization, or committee \[520\], with such
a request for a hearing made in writing \[521\], and a final decision
issued within 60 days after the request is received \[522\].

The Secretary of State is also empowered to conduct investigations as
may be necessary to determine if there is reason to believe a violation
of the Act has occurred \[523\]. A person who believes a violation of
the Act or rules has occurred may file a written complaint in person or
by mail with the Secretary of State \[524\]. A complaint must be
typewritten or handwritten in ink, with the complainant's name, address,
and telephone number set forth \[525\]. A complaint must include the
following verification statement: "I certify that the statements set
forth above are true to the best of my knowledge and belief," and must
be signed by the complainant immediately following the verification
statement \[526\]. A complaint must name the alleged violator, set forth
the alleged violator's address, describe in reasonable detail the
alleged violation, and identify all available documentary material
\[527\]. The Secretary of State, upon receipt of a complaint, must
investigate the allegations \[528\]. If, upon reading the complaint, the
Secretary of State determines a complaint is frivolous, illegible,
indefinite, unsigned, or does not identify an alleged violator or
violation of the Act or attendant rules, the Secretary of State may
summarily dismiss the complaint without prejudice,

notifying the complainant in writing as to the reason the complaint was
dismissed \[529\].

If a complaint is not summarily dismissed, or if the Secretary of State,
upon examination of a report filed pursuant to the Act finds there may
be reason to believe a violation of the Act or rules has occurred, the
Secretary of State must indicate immediately to the person against whom
an allegation is made that a complaint has been made alleging, or
examination of a filed report indicated a possible violation of the Act
or the rules \[530\]; the specifics of the alleged violation \[531\];
the identity of the complainant if a complaint has been filed \[532\];
and the provisions of the rules relative to complaints and
investigations \[533\]. The Secretary of State may then conduct a
preliminary review of an alleged violation \[534\]. If, following a
preliminary review, the Secretary of State determines there is no reason
to believe an allegation is true, the complaint must be dismissed, with
notice to the complainant and the person against whom an allegation has
been made \[535\]. If, following a preliminary review, the Secretary of
State determines there may be reason to believe an allegation is true,
the secretary may either notify the person against whom the allegation
is made that an informal hearing will be held to determine whether there
is reason to believe a violation of the Act or rules has occurred
\[536\] or attempt to correct or prevent future violation by informal
methods of conference, conciliation, and persuasion, and enter into a
conciliation agreement with the person involved \[537\]. A conciliation
agreement, unless violated, constitutes a complete bar to any further
action with respect to matters covered in the conciliation agreement
\[538\]. If the secretary is unable to correct or prevent future
violation by these informal methods, the person against whom the
allegation is made and the complainant must be notified that an informal
hearing must be held to determine whether there is reason to believe a
violation of the Act or the rules has occurred \[539\]. The notice must
give the parties involved reasonable time to appear, if they choose to
do so \[540\]. The secretary must also notify the parties of the time
and place of the hearing, that they may appear in person or by counsel,
and that they may give testimony \[541\].

If following the informal hearing, the Secretary of State determines
there is no reason to believe a violation of the Act or rules has
occurred, the complaint must be dismissed, and the parties notified of
this decision \[542\]. If, following the informal hearing, the Secretary
determines that the alleged violation may be corrected, or further
violation may be prevented, by informal methods of conference,
conciliation, and persuasion, the Secretary of State may enter into a
conciliation agreement with the person involved \[543\]. If, following
the information hearing, the secretary determines there is reason to
believe a violation of the Act or rules has occurred, the Secretary of
State may notify the Attorney General of the decision if the allegation
was made as a result of a complaint \[544\]. If the allegation was made
as a result of an examination of a report filed pursuant to the Act, the
Secretary of State must notify the Attorney General of the decision
\[545\]. If, following the informal hearing, the Secretary of State
determines not to report the hearing's result to the Attorney General,
the Secretary of State must notify the parties of this decision \[546\].

**B. County Clerk.** The clerk of each county must make available
through the county clerk's office the appropriate forms, instructions,
and manuals required by the Act \[547\] under the supervision of the
Secretary of State, implement the filing coding, and cross-indexing
system prescribed for the filing of reports and statements required to
be filed with the county clerk's office \[548\]; receive all relevant
statements and reports \[549\]; and, upon written request, waive the
payment of a late filing fee if the request for a waiver is based on
good cause under the Act \[550\].

The county clerk must make statements and reports required to be filed
under the act available for public inspection and reproduction,
commencing as soon as practicable, but not later than the third business
day following a filing date required by the Act \[551\] and must prepare
a list of persons whose required reports or statements have not been
received by the clerk, to be available for public inspection and copying
\[552\]. Upon receipt of any inquiry requesting information relative to
the contents of any report or statement filed with the clerk, the clerk
must inform the person requesting the information that the report or
statement is available for inspection or copying at the clerk's office
\[553\]. A telephone inquiry relative to a substantive matter in a filed
report or statement may not be answered \[554\]. A telephone inquiry by
a filer or agent relative to a report statement of the filer will be
answered \[555\].

The county clerk must determine whether a statement or report filed with
the clerk under the Act complies, on its face, with the requirements of
the Act and rules \[556\]. The clerk must determine whether such a
statement or report that is required to be filed is in fact filed
\[557\]. Within four days after the deadline for filing statement or
report under the Act, the clerk must give notice to the filer by
registered mail of an error or omission in the statement or report, and
give notice to the person who the clerk has reason to believe is a
person required to and who failed to file a statement or report \[558\].
After nine days and before 12 days have expired following the deadline
for filing the statement or report, the clerk must report uncorrected
errors or omissions and failures to file to the attorney general
\[559\].

A statement or report filed with the clerk under the Act must be
preserved by the clerk for five years from the official date of the
committee's dissolution, unless it receives more than \$50,000 in an
election cycle, then he period extends to 15 years \[560\]. Statements
and reports filed under the Act may be reproduced pursuant to the
records media act and the reports or the reproductions must be destroyed
after the required preservation period \[561\].

**C. Local Filing Officer.** A local unit of government that receives
campaign finance statements is required to make them available for
public inspection and reproduction as soon as practicable after receipt,
but not later than the third business day following the day on which
they are received \[562\].

**D. State Court Administrator.** The state court administrator is the
official prescribed to receive a supplemental report of contributions,
expenditures, and disposition of surplus funds for judicial candidate
committees \[563\].

**E. Law Enforcement Entities.** The attorney general is to be referred
all cases in which the filing official believes that a required report
has been improperly filed or not filed and the proper time for
rectification has passed \[564\]. Other cases may be referred at the
discretion of the Secretary of State.

The attorney general in cases involving expenditure violations under the
state campaign fund \[565\] and the attorney general and the prosecuting
attorney of the appropriate county in cases involving late or improper
filing under other provisions of the Act \[566\] may, upon a finding of
guilt by circuit court of that county, ask that a person be prohibited
from assuming the duties of a public office or from receiving
compensation from public funds, or both \[567\].

The attorney general does not have the exclusive authority to enforce
the criminal provisions of the Act \[568\].

# References

\* Several changes to Michigan's campaign

finance law were enacted in 2001 but did not

become effective until March 22, 2002, and

are thus not reflected here.

1\. Michigan Compiled Laws (1970)

(hereafter MCL) § 169.204(l)

2\. MCL § 169.204(3)(c)

3\. MCL § 169.204(2); *see*, Informational

Letter (hereafter IL) July 28, 1988

(letter to Jordan)

4\. *Mich. Education Ass'n Political Action Cte.*

*v. Sec'y of State*, 616 N.W. 2d 234

(Mich.App. 2000), *appeal denied* 625

N.W.2d 785

5\. Declaratory Ruling (hereafter DR),

February 6, 1980 (letter to Bartholomew)

6\. DR, February 6, 1980 (letter to

Bartholomew); *see,* IL, July 27, 1998

(letter to Stocker II)

7\. MCL § 169.204(3)(a)

8\. MCL § 169.204(3)(b)

9\. MCL § 169.228(l)

10\. Department of State General Rules

(hereafter Rules) 35a(l)

11\. Rules 35a(l)

12\. Interpretive Statement (hereafter IS),

August 6, 1980 (letter to Weiland)

13\. IS, September 28, 1981 (letter to Black)

14\. MCL §§169.221(6), (7)

15\. MCL §§ 169.221(2), (3)

16\. MCL § 169.221(4)

17\. MCL § 169.221(8)

18\. MCL § 169.221(12)

19\. MCL § 169.241(l); *but see,* MCL §

169.225a(1) for special requirements

related to Bingo games.

20\. MCL § 169.241(2)

21\. MCL § 169.241(2)

22\. MCL § 169.241(3)

23\. MCL § 169.244(i)

24\. MCL § 169.242(i)

25\. MCL § 169-242(2)

26\. MCL § 169.242(3)

27\. MCL § 169.244(2)

28\. IS, February 6, 1980 (letter to Alman);

MCL § 169.245(l)

29\. IS, February 6, 1980 (letter to Rice)

30\. IS. February 6, 1980 (letter to Rice)

31\. IS, October 22, 1980 (letter to Faust)

32\. IS, August 6, 1980 (letter to Deering)

33\. DI, October 22, 1992 (letter to Wolpe)

34\. Opinions of the Michigan Attorney

General (hereafter Op. Att'y Gen.) No.

5344, July 20, 1978; DR, October 21,

1985 (letter to Thodis)

35\. MCL § 169.252(2)

36\. MCL § 169.257; IS, September 3, 1996

(letter to Byrum and Baird)

37\. MCL § 169.257(1)

38\. IS, September 3, 1996 (letter to Byrum

and Baird)

39\. DR, August 4, 1999 (letter to Cahill)

40\. IS, April 7, 1978 (letter to Wyszinski)

41\. IS, October 10, 1978 (letter to Lukens)

42\. IS, October 10, 1978 (letter to Lukens)

43\. IS, October 10, 1979 (letter to Lukens)

44\. IS, August 21, 1979 (letter to Reis)

45\. MCL § 169.252

46\. MCL § 169.212(2)

47\. IS, October 7, 1983 (letter to Faust)

48\. MCL § 169.252(1)(a)

49\. MCL § 169.252(1)(b)

50\. MCL § 169.252(1)(c)

51\. MCL § 169.252(1)

52\. MCL § 169.205(3)(a)

53\. MCL § 169.205(3)(b)

54\. MCL § 169.252a(1)

55\. MCL §§ 169.252(2), (3)

56\. MCL § 169.252(4)

57\. MCL § 169.252(6)

58\. MCL § 169.252(11); Rules 29a, 29b. This

does not extend to limited liability

companies formed under the Michigan

Limited Liability Company Act. Op.

Att'y Gen. No. 6807 (1994)

59\. MCL § 169.246

60\. DR, October 14, 1977 (letter to Duff)

61\. MCL § 169.255(1). A limited liability

company that has a corporation for a

member may make contributions or

expenditures in elections for state

office with segregated funds derived

from the non-corporate members of

the limited liability company, which

may be attributed to individual members

of the company. Op. Att'y Gen. No.

6807 (1994). This provision does not

normally apply to school districts or

universities, but contributions to

candidates for public office by a school

district employee from an

expense account maintained by the

school district for that purpose are

attributable to both the employee and the

school district's contribution limits. Op.

Att'y Gen. No. 6785 (1994).

62\. IS, August 4, 1987 (letter to Cleveland)

63\. IS, August 4, 1987 (letter to Cleveland).

Laws limiting the classes of persons from

whom a separate segregated fund may

solicit, MCL § 169.255(4), have been

enjoined. *Michigan State AFL-CIO v.*

*Miller*, 891 F. Supp. 1210 (E.D.

Mich. 1995), *reversed* 103 F.2d 1240,

*rehearing denied & rehearing en banc*

*denied*, *on remand* 6 F.Supp.2d 634

64\. IS, August 4, 1987 (letter to Cleveland)

65\. MCL § 169.204(3)(a)

66\. MCL § 169.254(1), (2); *Austin v.*

*Michigan State* *Chamber of Commerce,*

110 S.Ct. 1391 (1990); *see,* Op. Att'y

Gen. No. 6767, Aug. 25, 1993. A

domestic dependent sovereign is an

Indian tribe that has been acknowledged,

recognized, restored, or reaffirmed as

an Indian tribe by the federal

government, MCL § 169.205(1).

67\. MCL § 169.255(1); *see,* Op. Att'y Gen.

No. 5344, July 20, 1978; IL, June 15,

1989 (letter to Gerschbacher)

68\. IS, April 17, 1987 (letter to Markes); *see,*

Federal Election Commission Advisory

Opinion No. 1986-44, January 9, 1987

69\. IS, October 22, 1985 (letter to McLellan)

70\. MCL § 169.254(1)

71\. IS, January 16, 1978 (letter to

McCollough)

72\. IS, August 1, 1978 (letter to McLaughlin)

73\. *Austin v. Michigan State Chamber of*

*Commerce*, 110 S.Ct. 1391 (1990)

74\. MCL § 169.255(6)

75\. MCL § 169.255(6); *see, Michigan*

*State AFL-CIO v. Miller*, 103 F.3d

1240 (6th Cir. 1997); DR, July 11,

1997 (letter to LaBrant); IS, November 4,

1997 (letter to Pirich). Consent may be

revoked at any time, DR, July 11, 1997

(letter to LaBrant).

76\. MCL § 169.255(5)

77\. MCL § 432.202 *et seq.*

78\. MCL § 432.207b(1)

79\. MCL § 432.207b(4)(a). The Attorney

General has found that the prohibitions

as they apply to contributions by a

spouse, parent, child, or spouse of a

child of a licensee of a person with an

interest in a licensee or casino enterprise

are unconstitutional. Op. Att'y Gen. No.

7002 (1998)

80\. MCL § 432.207b(4)(b). The Attorney

General has found that the prohibitions

as they apply to contributions by a

spouse, parent, child, or spouse of a

child of a licensee of a person with an

interest in a licensee or casino enterprise

are unconstitutional. Op. Att'y Gen. No.

7002 (1998)

81\. MCL § 432.207b(4)(c). The Attorney

General has found that the prohibitions

as they apply to contributions by a

spouse, parent, child, or spouse of a

child of a licensee of a person with an

interest in a licensee or casino enterprise

are unconstitutional. Op. Att'y Gen. No.

7002 (1998)

82\. MCL § 432.207b(4)(d)(i). The Attorney

General has found that the prohibitions

as they apply to contributions by a

spouse, parent, child, or spouse of a

child of a licensee of a person with an

interest in a licensee or casino enterprise

are unconstitutional. Op. Att'y Gen. No.

7002 (1998). This opinion also found

unconstitutional the retroactive ban

on contributions by supplier licensees.

83\. MCL § 432.207b(4)(d)(ii). The Attorney

General has found that the prohibitions

as they apply to contributions by a

spouse, parent, child, or spouse of a

child of a licensee of a person with an

interest in a licensee or casino enterprise

are unconstitutional. Op. Att'y Gen. No.

7002 (1998). This opinion also found

unconstitutional the retroactive ban

on contributions by supplier licensees.

84\. MCL § 432.207b(5) The Attorney

General has found that the prohibitions

as they apply to contributions by a

spouse, parent, child, or spouse of a

child of a licensee of a person with an

interest in a licensee or casino enterprise

are unconstitutional. Op. Att'y Gen. No.

7002 (1998).

85\. MCL § 169.230(1)

86\. MCL § 169.230(2)(a)

87\. MCL § 169.230(2)(b)

88\. MCL § 169.252; Michigan Dep't of State,

*Campaign Contribution Limits for Local*

*Elected Officials* (rev. 2/9/98). Municipal

office contribution limits for are based on

the population of the district the office

covers.

89\. MCL § 169.252; Michigan Dep't of State,

*Campaign Contribution Limits for Local*

*Elected Officials* (rev. 2/9/98).

90\. MCL § 169.252; Michigan Dep't of

State, *Campaign Contribution Limits*

*for Local Elected Officials* (rev. 2/9/98).

91\. MCL § 169.252; Michigan Dep't of

State, *Campaign Contribution Limits for*

*Local Elected Officials* (rev. 2/9/98).

92\. MCL § 169.269(1)

93\. MCL § 169.269(2)

94\. MCL § 169.269(3)

95\. MCL § 169.269(4)

96\. MCL § 169.269(6)

97\. MCL § 169.270

98\. Michigan Code of Judicial Conduct

(hereafter CJC) 7B(2)(d)

99\. State Bar of Michigan, *Becoming a*

*Judge:* *Ethics and Campaign Practice*

(hereafter *Becoming a Judge),* 1990

at 12.

100\. CJC Canon 7B(2)(a)

101\. CJC Canon 7B(2)(b)

102\. CJC Canon 7B(l)(a)

103\. *Becoming a Judge* at 1; see, Note, 86

Mich. L.Rev. 382 (Nov. 1987)

104\. CJC Canon 7B(2)(c); the entire

campaign is considered one election

even though the rules call for

separate reporting. *Becoming a Judge*

at 12. A judicial candidate

committee may solicit more than \$100

per individual in a mailing not

targeted to lawyers but which may

include lawyers, provided the

solicitation carries a disclaimer

advising lawyers to treat the mailing

as informative and not a solicitation

for more than \$100. CJC Canon

7B(2)(c).

105\. *Becoming a Judge* at 13; CJC Canon

7B(2)(f)

106\. MCL §§ 169.252(l)(a), 169.252(3) - (5)

107\. CJC Canon 7B(l)(a)

108\. *Becoming a Judge* at 22

109\. *Becoming a Judge* at 22

110\. CJC Canon 7B(l)(b), (3)

111\. CJC Canon 7A(3)

112\. CJC Canon 7A(2)(c)

113\. MCL § 169.206(1)

114\. MCL § 169.206(3)(e)

115\. MCL § 169.206(2)

116\. Letter to Peter H. Ellsworth from

Webster Buell, November 16, 1990 at 3

117\. Letter to Peter H. Ellsworth from

Webster Buell, November 16, 1990 at 4

118\. MCL § 169.206(2)(a)

119\. MCL § 169.206(2)(b); *but see*, *Right to*

*Life of Michigan, Inc. v. Miller*, 23

F.Supp.2d 766 (W.D. Mich. 1998);

*Planned Parenthood Affiliates of*

*Michigan, Inc. v, Miller*, 21 F.Supp.2d

740 (E.D. Mich. 1998)

120\. MCL § 169.206(2)(c)

121\. MCL § 169.206(2)(d)

122\. MCL §§ 169.206(2)(f), (g)

123\. IS, November 2, 1978 (letter to Rose)

124\. MCL § 169.245

125\. MCL § 169.221a

126\. MCL § 169.221(4)

127\. MCL § 169.221(5)

128\. MCL §§ 169.223; 169.241(t); Rules 38

129\. Rules 38

130\. MCL § 169.241(l)

131\. MCL § 169.241(2)

132\. DR, September 2, 1977 (letter to

Damstra)

133\. IS, May 30, 1979 (letter to O'Brien)

134\. IS, May 26, 1987 (letter to Brackenrich)

135\. MCL § 169.243

136\. MCL § 169.243

137\. MCL § 169.257

138\. MCL § 169.244(2)

139\. MCL § 169.255(l); Op. Att'y Gen. No.

6767, Aug. 25, 1993

140\. MCL § 169.254(3)

141\. MCL § 169.254(3)

142\. MCL § 169.260(1)

143\. MCL § 169.266(2)

144\. MCL § 169.20f)(2)(a)

145\. MCL § 169.266(2)(b)

146\. MCL § 169.266(2)(c)

147\. MCL § 169.266(2)(d)

148\. MCL § 169.266(2)(e)

149\. MCL § 169.266(2)(f)

150\. MCL § 169.266(2)(g); *see,* Op. Att'y

Gen. No. 6591, June 29, 1989

151\. MCL § 169.266(2)(h)

152\. IS, January 16, 1978 (letter to

McCollough)

153\. MCL § 169.270

154\. IS, September 2, 1977 (letter to Dodge)

155\. IS, September 2, 1977 (letter to Dodge)

156\. IS, September 4, 1980 (letter to Nobes)

157\. IS, January 6, 1978 (letter to

McCollough)

158\. IS, July 15, 1986 (letter to Hodge)

159\. Op. Att'y Gen. No. 5279, March 22,

1978

160\. IS, May 29, 1979 (letter to Johnson)

161\. MCL § 169.209(1)

162\. MCL § 169.209(1)(a)

163\. MCL § 169.209(1)(b)

164\. MCL § 169.209(1)(c)

165\. MCL § 169.209(1)(d)

166\. MCL § 169.209(1)(e)

167\. MCL § 169.209(1)(f)

168\. MCL § 169.209(1)(g)

169\. MCL § 169.209(1)(h)

170\. MCL § 169.209(1)(i)

171\. MCL § 169.209(1)(j)

172\. MCL § 169.209(1)(k)

173\. MCL § 169.209(1)(l)

174\. MCL § 169.209(1)(m)

175\. MCL § 169.209(1)(n)

176\. MCL § 169.209(1)(o)

177\. MCL § 169.209(1)(p)

178\. IS, September 4, 1980 (letter to Raduazo)

179\. Op. Att'y Gen. No. 5882, April

22, 1982

180\. Op. Att'y Gen. No. 6710, February 13,

1992; Op. Att'y Gen. No. 6423,

February 24, 1987; Op. Att'y Gen.

No. 4291, January 4, 1965, Att'y Gen.

Letter Opinion to Rep. Robert Emerson,

May 26, 1982; IL, June 14, 1990

(letter to Krueger), DR, May 23, 1991

(letter to Ritter)

181\. Op. Att'y Gen. No. 4421, March 15,

1965; Op. Att'y Gen. No. 5597,

November 28, 1979

182\. *Mosier v. Wayne County Board of*

*Auditors,* 395 Mich. 27, 294 N.W.

95 (1940)

183\. Op. Att'y Gen. No. 4291, January

4, 1965

184\. Op. Att'y. Gen. No. 4421, March 15,

1965

185\. Op. Att'y Gen. No. 5597, November

28, 1979

186\. Att'y Gen. Letter Opinion to Rep.

Robert Emerson, May 26, 1982

187\. MCL § 169.267(1)

188\. MCL § 169.267(3)

189\. MCL § 169.268(1)

190\. Rules 39a(a); *see also*, DR, July 21, 1986

(letter to Perrone)

191\. Rules 39a(b)

192\. Rules 39a(c)

193\. Rules 39a(d)

194\. Rules 39a(d)(i)

195\. Rules 39a(d)(ii)

196\. Rules 39a(e)

197\. *Becoming a Judge* at 25

198\. CJC Canon 7B(2)(e)

199\. MCL § 169.221(l)

200\. Michigan Department of State, *Michigan*

*Campaign Finance Candidate*

*Committee Manual* (February 1998)

(hereafter *Candidate Manual)* at 8

201\. MCL § 169.224(2); *Candidate Manual* at

8

202\. MCL § 169.224(2)(c)

203\. *Candidate Manual* at 8, 9

204\. MCL § 169.224(4)

205\. Michigan Department of State, *Michigan*

*Campaign Finance Political Party*

*Committee Manual* (September 1998)

(hereafter *Party Manual*) at 6

206\. *Party Manual* at 7

207\. MCL § 169.224(3)

208\. MCL § 169.224(3)

209\. MCL § 169.224(3)

210\. MCL § 169.224(4)

211\. Michigan Dep't of State, *Campaign*

*Statement Instructions for Independent*

*Committees and Political Committees*

(August 1997) at 3; Michigan Dep't

of State, *Michigan Campaign Finance*

*Ballot Question Committee Manual*

(June 1998) at 8

212\. Michigan Dep't of State, *Campaign*

*Finance Manual Manual for*

*Independent Committees and*

*Political Committees* (August 1998)

(hereafter *Group Manual*) at 7

213\. *Group Manual* at 7

214\. *Group Manual* at 7

215\. MCL §§ 169.203(1)(D); 169.220(1)

216\. MCL § 169.224(5); *Group Manual* at 15

217\. MCL § 169.233(2)

218\. MCL § 169.224(6)

219\. MCL § 169.233(5)

220\. IL, October 8, 1990 (letter to Jacobs);

MCL § 169.244(1)

221\. MCL § 169.223(4); 9 Campaign Finance

Reporter/Elections Division *Information*

*Bulletin* 6 (September 1985) (hereafter

Reporter) at 1, 2; DR, January 29, 1980

(letter to Overbeck)

222\. Letter to Edward D. Feigenbaum

from Bradley S. Wittman, March 7,

1988; Reporter at 2

223\. MCL § 169.221(4), (6)

224\. MCL § 169.540

225\. IS, September 12, 1977 (letter to Allen)

226\. MCL § 169.216(9); candidate committee

filings may be made electronically*.*

*Candidate Manual* at 15.

227\. MCL § 169.216(9)

228\. MCL § 169.216(9)

229\. MCL § 169.236(1)

230\. MCL § 169.236(1)

231\. MCL § 169.237

232\. MCL § 169.237

233\. MCL § 169.236(2)

234\. MCL § 169.236(2)

235\. MCL § 169.236(4)

236\. MCL § 169.225(1)

237\. MCL § 169.225(1)

238\. MCL § 169.226(1)(a)

239\. MCL § 169.226(1)(b)

240\. MCL §§ 169.226(1)(b); 169.228(2)

241\. MCL § 169.226(1)(b)

242\. MCL § 169.226(1)(b)

243\. MCL § 169.226(1)(b)

244\. MCL § 169.226(1)(b)

245\. MCL § 169.226(1)(c)

246\. MCL § 169.226(1)(d)

247\. MCL § 169.226(1)(hi)

248\. MCL § 169.226(1)(h)

249\. MCL § 169.226(1)(e)

250\. MCL §§ 169.226(1)(f); 169.241(3)

251\. MCL § 169.226(1)(g)

252\. MCL § 169.226(1)(k)

253\. MCL § 169.226(1)(k)

254\. MCL § 169.226(1)(l)

255\. MCL § 169.226(1)(m)

256\. MCL § 169.226(1)(m)

257\. MCL § 169.226(1)(m)

258\. MCL § 169.226(1)(g)

259\. MCL § 169.226(l)(g)(i)

260\. MCL § 169.226(1)(g)(ii)

261\. MCL § 169.226(1)(g)(iii)

262\. MCL § 169.226(1)(g)(iv)

263\. MCL § 169.226(1)(g)(v)

264\. MCL § 169.226(3)

265\. MCL § 169.233(1)(a)

266\. MCL § 169.233(1)(b)

267\. MCL § 169.233(1)(b)

268\. MCL § 169.233(1)(b)

269\. MCL § 169.233(3)(a)(i)

270\. MCL § 169.233(3)(a)(ii)

271\. MCL § 169.233(3)(a)(iii)

272\. MCL § 169.233(3)(b)(i)

273\. MCL § 169.233(3)(b)(ii)

274\. MCL § 169.233(3)(b)(iii)

275\. MCL § 169.233(4)

276\. MCL § 169.234(1)

277\. MCL § 169.234(l)(a)

278\. MCL § 169.234(2)

279\. MCL § 169.234(2)

280\. MCL § 169.234(l)(c)

281\. IS, May 30, 1979 (letter to Montgomery)

282\. MCL § 169.235(1)

283\. MCL § 169.235(1)

284\. MCL § 169.235(2)

285\. Rules 47(l)

286\. Rules 47(l)

287\. Rules 47(l)

288\. MCL § 169.236(3)

289\. MCL § 169.237

290\. MCL § 169.229(1)(a)

291\. MCL § 169.229(1)(a)

292\. MCL § 169.229(1)(c)

293\. MCL § 169.229(2)

294\. MCL § 169.229(3)

295\. MCL §§ 169.229(4), (5)

296\. MCL § 169.229(1)(d)

297\. MCL § 169.229(1)(e)

298\. MCL § 169.226(3)

299\. MCL § 169.251(1)

300\. MCL § 169.251(1)

301\. MCL §§ 160.251(l); 169.236(5)

302\. MCL § 169.232(5), IS, May 30, 1979

(letter to Defebaugh)

303\. MCL § 169.232(1)

304\. MCL § 169.232(2)

305\. MCL § 169.232(3)

306\. MCL § 169.232(3)

307\. CJC Canon 6C

308\. CIC Canon 6C

309\. CJC Canon OC

310\. MCL § 169.203(1)

311\. MCL § 169.264(4)

312\. MCL § 169.262(1)

313\. MCL § 169.262(2)

314\. MCL § 169.264

315\. MCL § 169.262(1)

316\. MCL § 169.262(1)

317\. MCL § 169.262(1)

318\. This includes someone considered a

non­resident under Michigan election

law. MCL § 169.262(1)

319\. MCL § 169.262(2)

320\. DR, September 30, 1977 (letter to

Ferency); *see,* MCL § 169.225a(b) for

Bingo cash reporting provisions.

321\. IS, August 11, 1993 (letter to Fox)

322\. MCL § 169.263(1)

323\. MCL §§ 169.263(1), (2)

324\. MCL § 169.265(1)

325\. MCL § 169.265(1)

326\. MCL § 169.265(1)

327\. MCL § 169.264(1)

328\. MCL § 169.264(1)(a)

329\. MCL § 169.264(l)(b)

330\. MCL § 169.265(2)

331\. MCL § 169.265(3)

332\. MCL § 169.265(4)

333\. MCL § 169.265(4)(a)

334\. MCL § 169.265(4)(b)

335\. MCL §§ 169.265(5); 169.267(1)

336\. MCL § 169.263(3)

337\. MCL § 169.263(4)

338\. MCL § 169.263(5)

339\. MCL § 169.263(5)

340\. Rules 42

341\. MCL § 169.265(6)

342\. MCL § 169.265(6)

343\. MCL § 169.265(6)

344\. MCL § 169.267(1)

345\. MCL § 169.267(2)

346\. MCL § 169.268(1)

347\. MCL § 169.269(1)

348\. MCL § 169.269(2)

349\. MCL § 169.269(3)

350\. MCL § 169.269(4)

351\. MCL § 169.269(6)

352\. MCL § 169.271(1)

353\. MCL § 169.271(2)

354\. MCL § 169.266(1)

355\. MCL § 169.266(2)

356\. MCL § 169.266(2)(a)

357\. MCL § 169.266(2)(b)

358\. MCL § 169.266(2)(c)

359\. MCL § 169.266(2)(d)

360\. MCL § 169.266(2)(e)

361\. MCL § 169.266(2)(f)

362\. MCL § 169.266(2)(g)

363\. MCL § 169.266(2)(h)

364\. IS, January 16, 1978 (letter

to McCollough)

365\. MCL § 169.266(3)

366\. MCL § 169.266(3)

367\. Rules 46(1)

368\. Rules 46(2)

369\. DR, August 11, 1978 (letter to Ferency)

370\. MCL § 169.269(8)

371\. MCL § 169.269(8)(a)

372\. MCL § 169.269(8)(b)

373\. DR, August 11, 1978 (letter to Ferency)

374\. Rules 47(1)

375\. Rules 47(1)

376\. Rules 47(2)

377\. Rules 48

378\. MCL § 169.261

379\. MCL § 169.261(2)

380\. MCL § 169.261(2)

381\. MCL § 169.261(4)

382\. MCL § 169.261(4)

383\. MCL § 169.261(5)

384\. MCL § 169.261(5)

385\. MCL § 169.216(4)

386\. MCL § 169.245(1)

387\. MCL § 169.245(2)(a)

388\. MCL § 169.245(2)(d)

389\. MCL § 169.245(2)(e)

390\. MCL § 169.245(2)(g)

391\. MCL § 169.245(2)(f)

392\. MCL § 169.245(2)(b)

393\. MCL § 169.245(2)(c)

394\. Rules 28(1); MCL § 169.224(6)

395\. MCL § 169.224(7)

396\. Rules 28(2)

397\. Rules 28(3)

398\. DR, April 9, 1991 (letter to Peters)

399\. *Becoming a Judge* at 25

400\. CJC Canon 7B(2)(d), (e)

401\. CJC Canon 7B(2)(d), (e)

402\. *Becoming a Judge* at 25

403\. *Becoming a Judge* at 25

404\. CJC Canon 7B(2)(c)

405\. *Becoming a Judge* at 25

406\. MCL § 169.224(1)

407\. MCL § 169.224(1)

408\. MCL § 169.224(7)

409\. MCL § 169.224(7)(a)

410\. MCL § 169.224(7)(b)

411\. MCL § 169.224(7)(c)

412\. MCL § 169.224(7)

413\. MCL § 169.217(1)

414\. MCL § 169.217(2)

415\. MCL § 169.224(1)

416\. MCL § 169.224(1)

417\. MCL § 169.233(8)

418\. MCL § 169.233(9)

419\. MCL § 169.234(3)

420\. MCL § 169.234(3)(a)

421\. MCL § 169.234(3)(b)

422\. MCL § 169.234(3)(c)

423\. MCL § 169.234(3)(d)

424\. MCL § 169.234(3)

425\. MCL §§ 169.234(4), (5)

426\. MCL § 169.234(5)

427\. MCL § 169.234(6)

428\. MCL § 169.234(7)

429\. MCL § 169.235(3)

430\. MCL § 169.235(3)

431\. MCL § 169.235(3)

432\. MCL § 169.235(5)

433\. MCL § 169.235(5)

434\. MCL § 169.235(6)

435\. MCL § 169.232(2)(a)

436\. MCL § 169.232(2)(b)

437\. MCL § 169.232(2)(c)

438\. MCL § 169.232(4)

439\. Rules 4(2)

440\. Rules 4(3)

441\. MCL § 169.215(1)(g)

442\. MCL § 169.215(1)(g)(i)

443\. MCL § 169.215(1)(g)(ii)

444\. MCL § 169.215(1)(g)(ii)

445\. MCL § 169.215(5)(d)

446\. MCL § 169.221(1)

447\. MCL § 169.221(2)

448\. MCL § 169.221(3)

449\. MCL §169.221(4)

450\. MCL § 169.221(5)

451\. MCL § 169.221(6)

452\. MCL § 169.221(8)

453\. MCL § 169.215(6)

454\. MCL § 169.222

455\. MCL § 169.223

456\. MCL § 169.241(4)

457\. MCL § 169.241(4)

458\. MCL § 169.241(4)

459\. MCL §§ 169.241(5), (6)

460\. MCL § 169.242(1)

461\. MCL § 169.252(10)

462\. MCL § 169.252a(2)

463\. MCL § 169.254(4)

464\. MCL § 169.255(2)(a)

465\. MCL § 169.255(2)(b)

466\. MCL § 169.255(2)(c)

467\. MCL § 169.255(3)(b)

468\. MCL § 169.255(3)(d)

469\. MCL § 169.255(3)(e)

470\. MCL § 169.255(6)

471\. MCL § 169.255(5)

472\. MCL § 169.255(5)

473\. MCL § 169.255(8)

474\. MCL § 169.242(2)

475\. MCL § 169.242(3)

476\. MCL § 169.242(2)(3)

477\. MCL §§ 169.244(1); 169.271(1)

478\. MCL §§ 169-244(1); 169.271(2)

479\. MCL §§ 169.244(1); 169.271(2)

480\. MCL § 169.257(2)

481\. MCL § 432.218(1)(f)

482\. MCL § 169.243

483\. MCL § 169.251(2)

484\. MCL § 169.255(6)

485\. MCL § 169.266(4)

486\. MCL §§ 169.267(3); 169.268(l)

487\. MCL §§ 169.267(4); 169.268(2)

488\. MCL § 169.269(9

489\. MCL § 169.216(3); IS, November 13,

1995 (letter to Richardson, Jr.)

490\. IS, February 6, 1986 (letter to Bertler)

491\. MCL § 169.216(3)

492\. MCL § 169.209(9)

493\. MCL § 169.215(1)(a)

494\. MCL § 169.215(1)(b)

495\. MCL § 169.215(1)(c)

496\. MCL § 169.215(1)(d)

497\. MCL § 169-215(1)(e)

498\. MCL § 169.215(1)(g)

499\. MCL § 169.218(1)

500\. MCL § 169.215(1)(e)

501\. Rules 6(1)

502\. Rules 6(1)

503\. Rules 6(2)

504\. Rules 6(4)

505\. Rules 6(4)

506\. Rules 6(3)

507\. Rules 6(3)

508\. MCL § 169.216(1)

509\. Rules 5(1)

510\. Rules 5(2)(a)

511\. Rules 5(2)(b), (c)

512\. Rules 5(3)

513\. Rules 5(3)

514\. MCL § 169.216(6)

515\. MCL § 169.216(6)

516\. MCL § 169.216(6)

517\. MCL § 169.216(8)

518\. MCL § 169.216(4)

519\. MCL § 169.216(4)

520\. Rules 29c(1)

521\. Rules 29c(2)

522\. Rules 29d

523\. MCL § 169.215(1)(f); *see*, *Citizens*

*for Common Sense in Gov't v. Atty'*

*Gen'l*, 630 N.W.2d 546 (Mich. App.

2000\)

524\. MCL § 169.215(2); Rules 51

525\. Rules 52(1)

526\. Rules 52(1)

527\. Rules 52(2)

528\. MCL § 169.215(2)

529\. Rules 53

530\. Rules 54(a)

531\. Rules 54(b)

532\. Rules 54(c)

533\. Rules 54(d)

534\. Rules 55(1)

535\. Rules 55(2)

536\. Rules 55(3)(a)

537\. MCL § 169.215(2); Rules 55(3)(b)

538\. MCL § 169.215(2)

539\. Rules 55(3)(b)

540\. Rules 55(4)

541\. Rules 55(4)

542\. Rules 56(1)

543\. Rules 56(2)

544\. Rules 56(3); MCL § 169.215(2); *see*,

*Forster v. Delton School Dist.*, 440

N.W.2d 421 (Mich. App. 1989)

545\. Rules 56(3); MCL § 169.215(3)

546\. Rules 56(4)

547\. MCL § 169.215(10)(a)

548\. MCL § 169.215(10)(b)

549\. MCL § 169.215(10)(c)

550\. MCL § 169.215(10)(d)

551\. MCL § 169.216(l); 169.236(6)

552\. Rules 5(1)

553\. Rules 5(2)(b), (c)

554\. Rules 5(3)

555\. Rules 5(3)

556\. MCL § 169.216(6)

557\. MCL § 169.216(6)

558\. MCL § 169.216(6)

559\. MCL § 169.216(8)

560\. MCL § 169.216(4)

561\. MCL § 169.216(4)

562\. MCL § 169.236(6)

563\. CJC Canon 6C

564\. MCL §§ 169.215(3); 169.216(8).

Rules 56(3)

565\. MCL §§ 169.267(4); 169.268(2)

566\. MCL § 169.233(8)

567\. MCL §§ 169.267(4), 169.268(2);

169.233(4)

568\. Op. Att'y Gen. No. 7040, December 9,

1999

**CAMPAIGN FINANCE LAW**

**IN MINNESOTA**

**I. INTRODUCTION**

Minnesota requires candidates, political committees, party committees,
and those involved in independent expenditures of more than \$100 to
file information on all contributions and expenditures, generally once
before each election and once annually. The state has a voluntary
electronic filing system. Direct corporate contributions are prohibited.
Individuals, other than candidates contributing to their own
non-publicly financed campaigns and non‑party entities, are limited in
their contributions to specified amounts per office that vary according
to whether an election is to be held in a particular year. Party and
publicly financed candidates' contribution limits are 10 times these
limits. Anonymous contributions must be \$20 or less, and earmarked
contributions are prohibited. Restrictions on receipt of contributions
during legislative sessions are imposed upon candidates for
constitutional office or the state legislature. Minnesota permits a \$5
tax checkoff (\$10 for a joint return). Funds from the checkoff, a
direct appropriation of \$1.5 million, and excess anonymous
contributions are distributed to candidates for statewide office, the
state senate, and the state house of representatives after primary and
general elections. Funds from the checkoff are also distributed monthly
to the state committee of a political party. Minnesota also offers an
individual a refund of up to \$50 for contributions made to qualifying
candidates and political parties. The Campaign Finance and Public
Disclosure Board is responsible for overseeing the campaign finance
provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is money, or
negotiable instruments given by an individual or association to a
political committee, political fund, or principal campaign committee for
the purpose of influencing the nomination or election of a candidate or
for the purpose of promoting or defeating a ballot question \[1\]. A
contribution also includes a donation in‑kind of anything of value other
than money or negotiable instruments given by an individual or
association to a political committee, political fund, or principal
campaign committee for the purpose of influencing the nomination or
election of a candidate or for the purpose of promoting or defeating a
ballot question \[2\]. A donation in‑kind includes an approved
expenditure \[3\]. A contribution includes any loan or advance of credit
to a political committee, political fund, or principal campaign
committee that is forgiven or paid by an entity other than that to which
the loan or advance of credit is made \[4\]. An expenditure made for the
purpose of defeating a candidate is considered made for the purpose of
influencing the nomination or election of that candidate or any opponent
of that candidate \[5\].

A contribution does not include services provided without compensation
by an individual volunteering his time on behalf of a candidate, ballot
question, political committee, or political fund, or the publicity or
broadcasting of news items or editorial comments by the news media
\[6\]. Contributions to a legal defense fund established by a candidate
are not contributions for purposes of registration and reporting
provisions \[7\].

Certain expenditures by a state political party or a substate unit of a
state political party are not considered to be contributions to any
candidate, and are not to be allocated to any candidates \[8\]. These
include expenditures on behalf of candidates of that party generally,
without referring to any of them specifically in any published, posted,
or broadcasted advertisement \[9\]; for the preparation, display,
mailing, or other distribution of an official party sample ballot
listing the names of three or more individuals whose names are to appear
on the ballot \[10\]; for any telephone conversation including the names
of three or more individuals whose names are to appear on the ballot
\[11\]; for any political party fundraising effort on behalf of three or
more candidates \[12\]; or for party committee staff member services
that benefit three or more candidates \[13\].

**B. Limitations on Nature of Contributions.** An anonymous contribution
in excess of \$20 may not be retained by any political committee or
political fund, and must be forwarded to the Campaign Finance and Public
Disclosure Board in its entirety within 10 business days after receipt
and deposited in the general account of the state elections campaign
fund \[14\]. Every individual who receives a contribution in excess of
\$20 for a political committee or political fund must, on demand of the
treasurer, inform the treasurer of the name and, if known, the address
and source of the contribution, together with the amount of the
contribution and the date it was received \[15\]. All transfers received
by, or on behalf of, any candidate, political committee, or political
fund are to be deposited in an account designated "Campaign Fund of . .
. (name of candidate, committee, or fund)" \[16\]. All transfers are to
be deposited promptly upon receipt, except for transfers received during
the last three days of any reporting period in which they were received
\[17\]. Any transfer received during the last three days of a reporting
period is to be deposited within 72 hours of receipt and must be
reported as received during the reporting period whether or not
deposited during that period \[18\]. Any deposited transfer may be
returned to the contributor within 60 days of deposit \[19\]. A transfer
deposited and not returned within 60 days of that deposit is deemed to
be accepted by the candidate, political committee, or political fund
\[20\].

A treasurer for a principal campaign committee of a candidate may not
deposit a contribution which, on its face, exceeds the limit on
contributions to that candidate under the Act, unless, at the time of
deposit, the treasurer issues a check to the source for the amount of
the excess \[21\]. Credit card contributions are authorized \[22\].

An individual, association, political committee, or political fund may
establish, finance, maintain, or control a political committee or
political fund, and in so doing becomes a "parent," while the committee
or fund so established is a "subsidiary" \[23\]. A subsidiary's
contribution is attributable to its parent, and the contribution is
counted toward the contribution limits of the parent as well as of the
subsidiary \[24\].

A contribution made to a candidate by a lobbyist, political committee,
or political fund must show the name and number under which the donor is
registered with the Campaign Finance and Public Disclosure Board \[25\].

An individual, political committee, or political fund may not solicit or
accept from any source a contribution with the express or implied
condition that the contribution, or any part of it, be directed to a
particular candidate other than the original recipient---the practice
commonly known as "earmarking" \[26\].

No person may demand, solicit, ask, or invite any payment or
contribution to any charitable, religious, or other causes or
organizations, supposedly to be primarily for the public good, from any
candidate for nomination or election or committee to subscribe for the
support of any club or organization or to buy tickets to any
entertainment or ball, or to pay for space in any book, program,
periodical, or publication \[27\]. This does not apply to the
solicitation of any business advertisement in periodicals in which the
candidate was a regular contributor prior to his or her candidacy; to
ordinary business advertisements; to regular payments to any
organization, religious, charitable, or otherwise, of which he or she
was a member or to which he or she was a contributor for more than six
months before his or her candidacy; or to any ordinary contributions at
church services \[28\].

**C. Limitations on Solicitations in the Public Service.** No officer,
agent, clerk, or employee of any political subdivision may, directly or
indirectly, during his or her hours of employment, solicit or receive
funds or at any time use his or her authority or official influence to
compel any officer or employee in the classified service to apply for
membership in or become a member of any organization; pay or promise to
pay any assessment, subscription, or contribution; or take part in any
political activity \[29\]. No political subdivision may impose or
enforce any additional limitations on the political activities of its
employees \[30\].

**D. Limitations on Contributions During Legislative Sessions.** A
candidate for the legislature or constitutional office, a candidate's
principal campaign committee, or a legislative caucus committee, may not
solicit or accept a contribution on behalf of the candidate's principal
campaign committee or legislative caucus committee, from a registered
lobbyist, political committee, or political fund during a regular
session of the legislature \[31\]. A member of the legislature or holder
of a constitutional office who is a candidate for local office may not
solicit or accept contributions from a political fund or registered
lobbyist during the legislative session \[32\]. A regular session does
not include a special session or the interim between the two annual
sessions of a biennium \[33\]. The prohibition does not apply to
candidates in a special election \[34\] or to political party
committees, except legislative caucus committees \[35\], and federal law
preempts the application of this section to candidates for federal
office \[36\].

**E. Contributions From an Association Political Fund.** No association,
other than a political committee may transfer more than \$100 in the
aggregate, in any one year to candidates or political committees, unless
the transfer is made from a political fund \[37\]. Any association may,
if not prohibited by other law, deposit in its political fund money
derived from dues or membership fees \[38\]. The contents of a political
fund must not be commingled with any other funds or with the personal
funds of any office, member, or associate of the fund \[39\].

**F. Limitations on Corporate Contributions and Solicitation.** No
corporation doing business in the state may make any contribution or
offer, consent, or agree to make any contribution, directly or
indirectly, of any money, property, free service of its officers or
employees, or thing of value to any major political party, organization,
committee, or individual to promote or defeat the candidacy of any
person for nomination, election, or appointment to any political office
\[40\]. A corporation doing business in the state may make contributions
to promote or defeat a ballot question, qualify a question for placement
on the ballot, or express its views on issues of public concern \[41\].
A corporation may contribute to or conduct public media projects to
encourage individuals to attend precinct caucuses, register, or vote, if
the projects are not controlled by or operated for the advantage of any
candidate, major political party, or political committee \[42\]. A
corporation may provide meeting facilities to any political committee,
major political party, or candidate on a non‑discriminatory and
non‑preferential basis \[43\]. A corporation selling products or
services to the public may also post on their public premises messages
that promote participation in precinct caucuses, voter registration, or
elections, if the messages are not controlled by or operated for the
advantage of any candidate, major political party, or political
committee \[44\]. A major political party may form a nonprofit
corporation for the sole purpose of holding real property to be used
exclusively as the party's headquarters \[45\].

No insurance company or association, including fraternal beneficiary
associations, doing business in the state may, directly or indirectly,
pay, use, or offer, consent, or agree to pay or use any money or
property for or in aid of, any political party, committee, or
organization; any corporation, joint stock associations or other
associations organized or maintained for political purposes; any
candidate for political office or for nomination for person for money or
property so used \[46\].

The limitations on corporate contributions also apply to certain
nonprofit corporations \[47\]. Similarly, conduit or nonpartisan
political action committees, for which corporate employees specify
particular candidates to whom they wish to contribute, and an
independent political action committee sponsored by an organization in
name only, but not receiving any subsidy, directly or indirectly, from
the sponsoring entity and that only supports candidates designated by
its contributors, are permissible \[48\]. A partisan political action
committee funded by separate collections of funds, and maintained by a
corporation that provides both administrative support and designates the
fund's beneficiaries and how much they may receive, is not permitted
under law \[49\].

Any corporate solicitation of political contributions by an employee
must be in writing, informational, and nonpartisan in nature, and not
promotional for any particular candidate or group of candidates \[50\].
The solicitation must consist only of a general request on behalf of an
independent political committee, and must state that there is no minimum
contribution; that a contribution or lack thereof will in no way impact
the employee's employment; that the employee must direct the
contribution to candidates of the employee's choice; and that any
response by the employee will remain confidential and not be directed to
the employee's supervisors or managers \[51\]. Questions from an
employee regarding a solicitation may be answered orally or in writing
consistent with the requirements of the law \[52\].

**G. Expenditures by a Nonprofit Organization.** A nonprofit corporation
is authorized by law to provide administrative assistance to one
political committee or political fund that is associated with the
nonprofit corporation and registered with the Campaign Finance and
Public Disclosure Board \[53\]. Such assistance, however, is limited to
accounting, clerical or legal services, bank charges, utilities, office
space, supplies, and record storage \[54\]. The administrative
assistance provided by the nonprofit corporation to the political
committee or political fund is limited annually to the lesser of \$5,000
or 7½ percent of the expenditures of the political committee or
political fund \[55\].

**H. Prerequisites to Acceptance of Contributions.** Candidates may not
accept contributions from any source, other than the candidate
personally, aggregating in excess of \$100, or any distribution from the
state elections campaign fund unless the candidate designates and causes
to be formed a single principal campaign committee, but candidates have
14 days after accepting initial contributions to register their
committees \[56\]. A contribution may not be accepted by, or on behalf
of, a political committee or a political fund when there is a vacancy in
the office of treasurer \[57\]. A treasurer may not accept a
contribution of more than \$100 from an association not registered with
the Campaign Finance and Public Disclosure Board, unless the
contribution is accompanied by a written statement that satisfies the
requisite disclosure requirements \[58\]. The statement must be
certified as true and correct by an officer of the contributing
political committee or political fund, and the association that accepts
the contribution must include a copy of the statement with the report
that discloses the contribution to the Board \[59\]. The transfer of
money by a national political party to its Minnesota affiliate does not
require such a statement \[60\].

**I. Limitations on Amounts of Contributions.** Limitations are imposed
on the amount of contributions that a candidate may permit his or her
principal campaign committee to accept that are made or delivered by any
individual, political committee, or political fund \[61\]. The
contribution limits apply to general elections and to special elections,
separately \[62\].

Candidates for governor and lieutenant governor, running together, may
not accept "bundled" contributions---aggregate contributions made or
delivered by an individual, political committee, or political fund---of
more than \$2,000 in an election year for the office sought, and \$500
in other years \[63\]; a candidate for attorney general may not accept
such contributions in excess of \$1,000 in an election year for the
office sought, and \$200 in other years \[64\]; candidates for the
offices of secretary of state or state auditor are limited to \$500 in
an election year for the office sought, and \$100 in other years \[65\];
state senate candidates have a limit of \$500 in an election year for
the office sought, and \$100 in other years \[66\]; and a candidate for
state representative faces a limit of \$500 in an election year for the
office sought, and \$100 in other years \[67\]. A delivery of a
contribution made by an individual on behalf of the individual's spouse
\[68\], and delivery of contributions collected by a member of the
candidate's principal campaign committee to the committee's treasurer
are not subject to the bundling limitations \[69\].

A candidate's principal campaign committee may not accept a contribution
from a political committee other than a political party; a political
fund; a lobbyist; or a large giver---an individual, other than the
candidate, who contributes an amount that is greater than \$100 and more
than one-half the amount that an individual may contribute, if the
contribution will cause the aggregate contributions from these types of
contributors to exceed an amount equal to 20% of the expenditure limits
for the office sought by the candidate \[70\].

A candidate for local government office may not accept aggregate
contributions made or delivered by an individual or entity in excess of
\$300 in an election year, and \$100 in other years, though a candidate
for an office whose territory has a population of more than 100,000 has
an election year limit of \$500 \[71\]. Two types of deliveries are not
subject to the bundling limitations: the delivery of contributions
collected by a member of the candidate's committee (such as a block
worker or a volunteer who hosts a fundraising event) \[72\], and a
delivery made by an individual on behalf of the individual's spouse
\[73\].

An individual candidate who accepts a public subsidy is limited in
personal contributions to 10 times the candidate's election year
contribution limit in contributions to the candidate's own campaign
\[74\]. No candidate may permit his or her principal campaign committee
to accept a loan, from other than a financial institution, for an amount
in excess of the contribution limits or from a financial institution for
which that financial institution may hold any endorser of that loan
liable to pay any amount in excess of the amount that the endorser may
contribute to that candidate \[75\]. Loan agreements must be made in
writing, and signed by the borrower and endorsers \[76\].

A political party may contribute to a candidate 10 times the
contribution limit imposed upon an individual, political committee, or
political fund \[77\]. A political party is defined for this purpose as
the aggregate of the party organization within each house of the
legislature, the state party organization, and the party organization
within congressional districts, counties, legislative districts,
municipalities, and precincts \[78\].

When a contribution is made through a check written on a joint account,
it is deemed a contribution by the persons who signed the check, in
equal proportions, unless otherwise specified \[79\]. However, when a
contribution is made through a check written on a joint account and the
candidate or treasurer of the committee or fund has personal knowledge
or affirmatively ascertains from any account holder who did not sign the
check that the person is a joint contributor, the contribution must be
so designated, and a written basis for considering the contribution to
be a joint contribution must be made at the time the contribution is
deposited and kept with the committee's or fund's official records.
\[80\].

Contributions made to a candidate or principal campaign committee by
individual members of a political fund or committee that are solicited
by the political fund or committee must be reported as attributable to
the political fund or committee if the political fund or committee was
organized primarily to solicit or direct the contributions of its
members and to influence the nomination or election of a candidate
\[81\]. The treasurer of the donating fund or committee must advise the
candidate or the candidate's principal campaign committee if the
contribution is not from the funds of the fund or committee \[82\].

**K. Restrictions on Transfers Between Committees.** A candidate's
principal campaign committee may not make or accept a transfer or
contribution to or from another candidate's principal campaign
committee, unless the contributing candidate's principal campaign
committee is being dissolved \[83\]. A candidate's principal campaign
committee may not make to or accept a contribution from a committee
associated with a candidate for federal office \[84\]. A candidate's
principal campaign committee may not accept a contribution from a
candidate for political subdivision office, unless the contribution is
from the candidate's personal funds, and a candidate's principal
campaign committee may not make a contribution to the committee of a
candidate for political subdivision office \[85\].

**L. Requirements for Independent Solicitations.** All written
communications with those from whom contributions are independently
solicited or accepted must contain a statement, in conspicuous type,
that the activity is not approved by the candidate nor is he or she
responsible for it \[86\]. Similar language must be included in all oral
communications \[87\].

**M. Limitations on Contributions and Solicitations by Judicial
Candidates and Judicial Employees.** A judge or candidate for judicial
office should not solicit or make contributions \[88\], nor should a
public official or employee subject to the candidate's direction or
control \[89\]. A candidate, including a sitting judge, may not
personally solicit or accept campaign funds, but may establish a
committee of responsible persons to do so \[90\]. Contributions from
attorneys may be solicited and accepted by such committees \[91\]. A
candidate may not use or permit the use of campaign contributions for
private benefit \[92\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a purchase, a
payment of money or anything of value or an advance of credit made or
incurred for the purpose of influencing the nomination or election of a
candidate or for the purpose of promoting or defeating a ballot question
\[93\]. An expenditure is considered to be made in the year in which the
candidate made the purchase of goods or services or incurred an
obligation to pay for goods or services \[94\]. An expenditure made for
the purpose of defeating a candidate is considered made for the purpose
of influencing the nomination or election of that candidate or any
opponent of that candidate \[95\].

An expenditure does not include a non‑campaign disbursement which is a
purchase or payment of money or anything of value made, or an advance of
credit incurred by a political committee, political fund, or principal
campaign committee for certain specified purposes \[96\], including
payment for accounting and legal services \[97\]; return of a
contribution to the source \[98\] repayment of a loan made to the
political committee, political fund, or principal campaign committee by
the committee or fund \[99\]; payment for food and beverages consumed
at, rent for, and entertainment at a fundraising event \[100\]; services
for a constituent by a member of the legislature or a constitutional
officer in the executive branch, performed from the beginning of the
term of office to adjournment *sine die* of the legislature in the
election year for the office held, and half the cost of services for a
constituent by a member of the legislature or a constitutional officer
in the executive branch performed from adjournment *sine die* to 60 days
after adjournment *sine die* \[101\]; payment for food and beverages
provided to campaign volunteers while they are engaged in campaign
activities \[102\]; payment of expenses incurred by elected or appointed
leaders of a legislative caucus in carrying out their leadership
responsibilities \[103\]; payment by a principal campaign committee of
the candidate's expenses for serving in public office, other than for
personal uses \[104\]; costs of child care for the candidate's children
while campaigning \[105\]; fees paid to attend campaign school \[106\];
costs of a post-election party during the election year when a
candidate's name will no longer appear on the ballot or the general
election is concluded, whichever occurs first \[107\]; interest on
outstanding loans paid by a principal campaign committee \[108\]; filing
fees \[109\]; post-general election thank-you notes or advertisements in
the news media \[110\]; the cost of campaign material purchased to
replace defective campaign material, if the defective material is
destroyed without being used \[111\]; contributions to a party unity
\[112\]; costs of campaigning incurred by a person with a
statutorily-defined disability, and which are made necessary by the
disability \[113\]; the cost to an incumbent or a winning candidate of
providing services to residents in the district after the general
election in an election year for the office held \[114\] payment of
advances of credit in a year after the year in which the advance was
reported as an expenditure \[115\]; and payment of fines assessed by the
Board \[116\]. and other purchases or payments specified in Board rules
or advisory opinions as being for any purpose other than to influence
the nomination or election of a candidate or to promote or defeat a
ballot question \[117\].

The use of services provided without compensation by an individual
volunteering time on behalf of a candidate, ballot question, political
committee, or political fund \[118\], and the publishing or broadcasting
of news items or editorial comments by the news media are not
expenditures \[119\].

An approved expenditure is an expenditure made on behalf of a candidate
by an entity other than the principal campaign committee for that
candidate with the authorization of, expressed or implied consent of, in
cooperation or in concert with, or at the request or suggestion of that
candidate, his or her principal campaign committee, or his or her agent
\[120\]. An approved expenditure is a contribution to that candidate
\[121\].

**B. Limitations on Nature of Expenditures.** An expenditure may not be
made by a political committee, political fund, or principal campaign
committee on behalf of a candidate for statewide office, the state
legislature, or the supreme court, court of appeals, or district court
judgeships, unless it is authorized by the treasurer or deputy treasurer
of that committee or fund \[122\]. An individual or association may not
make an approved expenditure of more than \$20 until a written
authorization is received as to the amount that may be spent and the
purpose of the expenditure from the treasurer of the principal campaign
committee of the candidate who approved the expenditure \[123\]. The
treasurer or deputy treasurer of a political committee may sign
miscellaneous expenditure vouchers for petty cash of not more than \$100
per week for statewide elections or \$20 per week for legislative
elections \[124\]. Every person who has a bill, charge, or claim against
any political committee or political fund for any expenditure on behalf
of a candidate for statewide office, state legislature, or for supreme
court, court of appeals, or district court judgeships must render, in
writing to the treasurer of the committee or fund, the bill, charge, or
claim within 60 days after the material or service is provided \[125\],
or within 10 days for all other candidates except those running for
President and Vice President \[126\].

An owner, publisher, editor, reporter, agent, or employee of any
newspaper or periodical may not, directly or indirectly, solicit,
receive, or accept any payment, promise or compensation, nor may any
person pay or promise to pay any such owner, publisher, editor,
reporter, agent, or employee, directly or indirectly, for influencing or
attempting to influence through any printed matter in the newspaper or
periodical any voting at any election or primary through any means
except through matter inserted in the newspaper or periodical as a paid
advertisement under law \[127\].

**C. Independent Expenditures.** An independent expenditure is an
expenditure advocating the election or defeat of a clearly identified
candidate that is made without the express or implied consent,
authorization, or cooperation of any candidate, his or her principal
campaign committee, or his or her agent, and is not made in concert with
or at the request or suggestion of any candidate, his or her principal
campaign committee, or his or her agent \[128\]. An expenditure by a
political party or political party unit in a race in which the party has
a candidate on the ballot is not an independent expenditure \[129\]. An
independent expenditure is not a contribution to that candidate \[130\].

Any individual, political committee, or political fund that makes
independent expenditures must publicly disclose that the expenditure is
an independent expenditure \[131\]. All written communications with
those to whom independent expenditures are made on behalf of a candidate
must contain a statement, in conspicuous type, that the activity is an
independent expenditure, and is not approved by the candidate nor is he
or she responsible for it, with similar language included in all oral
communications, in conspicuous type on the front page of all literature
and advertisements published or posted, and at the end of all
broadcasted advertisements made by that individual, political committee,
or political fund on the candidate's behalf \[132\].

**D. Permissible Expenditures.** The expenditure of money or other
things of value by any candidate, personal campaign committee, party
committee, or political committee for political purposes is limited to
permitted expenditures \[133\]. Permitted expenditures are salaries,
wages, and fees \[134\]; communications, mailing, transportation, and
travel, \[135\]; campaign advertising \[136\]; printing \[137\]; office
and other space, and necessary equipment, furnishings, and supplies
incident thereto \[138\]; charitable contributions of not more than \$50
to any charity annually \[139\]; and other expenses that are reasonably
related to the conduct of elections \[140\]. Expenditures made for the
purpose of providing information to constituents, are also permitted,
regardless of whether or not they are related to the conduct of an
election \[141\].

Other permissible expenditures include noncampaign disbursements:
transportation, meals, and lodging paid to attend a campaign school
\[142\]; costs of campaigning incurred by a person with a
statutorily-defined disability, and which are made necessary by the
disability \[143\]; the cost to an incumbent or a winning candidate of
providing services to residents in the district after the general
election in an election year for the office held \[144\]; payment of
advances of credit in a year after the year in which the advance was
reported as an expenditure \[145\]; and, payment of fines assessed by
the Board \[146\]. Permissible expenditures also encompass expenditures
determined to be noncampaign disbursements by the Campaign Finance and
Public Disclosure Board \[147\]. The Board has designated as noncampaign
disbursements such items as payment for accounting and legal fees;
return of a contribution to the source; repayment of or interest on a
loan; food and beverages for volunteers engaged in campaign activities;
caucus leader nonpersonal expenses for serving in public office; child
care for candidates' children when campaigning; costs of a post-general
election party; filing fees; post-general election thank-you notes or
advertisements; replacement of defective (or destroyed campaign
material; contributions to a political party; and certain specified
constituent services by an elected official during term of office to
adjournment *sine die* in the election year for the office held \[148\].

A person may not directly or indirectly advance, pay, give, promise, or
lend any money, food, liquor, clothing, entertainment, or other thing of
monetary value to induce a voter to refrain from voting, or voting in a
particular way, at an election, with the exception of refreshments of
food an nonalcoholic beverages of nominal value consumed on the premises
at a private gathering or meeting \[149\]. A person may also not
knowingly solicit such prohibited inducements \[150\].

A principal campaign committee may not transfer funds to an individual
running for state or local office in a state other than Minnesota
\[151\].

Money collected for political purposes and assets of a political
committee or political fund may not be converted to personal use
\[152\].

**E. Limitations on Amounts of Expenditures.** In 1980, the voters of
Minnesota amended the state constitution to require that the amount that
may be spent by a candidate for constitutional or legislative office to
campaign for nomination or election be limited by law \[153\].
Limitations are placed upon the campaign expenditures of candidates for
certain offices who agree to be bound by the limits as a condition of
receiving a public campaign subsidy \[154\]. These limits may be
modified under certain circumstances if a candidate agrees to be bound
by the limits and faces an opponent who does not agree to be bound by
the limits \[155\]. Such a bound candidate may be released from
expenditure limits but remain eligible for a public subsidy if the
candidate's opponent does not agree to be bound by the limits, and
receives contributions or makes or becomes obligated to make
expenditures during that election cycle in excess of the following
limits: up to 10 days before the primary election, receipts or
expenditures equal to 20 percent of the expenditure limit for that
office \[156\]; or after 10 days before the primary election, cumulative
receipts or expenditures during that election cycle equal to 50 percent
of the expenditure limit for that office \[157\].

In a year in which an election is held for an office sought by a
candidate, expenditures made by the principal campaign committee of that
candidate, and approved expenditures made on behalf of that candidate
may not exceed an aggregate amount of \$2,188,090 for governor and
lieutenant governor, running together \[158\]; \$364,690 for attorney
general \[159\]; \$182,350 each for secretary of state, state treasurer,
and state auditor \[160\]; \$54,740 for state senator \[161\]; and
\$27,380 for state representative \[162\]. In addition to the joint
spending limit that a candidate for lieutenant governor shares with that
candidate's gubernatorial running mate, a candidate for endorsement for
the office of lieutenant governor at the convention of a political party
may make expenditures and approved expenditures of \$30,000 or five
percent of that joint limit, whichever is greater, to seek endorsement
\[163\]. The winning candidate in a contested race in a primary, who
receives less than twice as many votes as any one of his or her
opponents in that primary, may make aggregate expenditures and approved
expenditures equal to 120% of the applicable expenditure limit, but may
not make aggregate expenditures and approved expenditures of more than
100% until after the primary \[164\]. In any year before an election
year for the office held or sought, the aggregate amount of expenditures
by, and approved expenditures on behalf of a candidate for or holder of
that office, may not exceed 20 percent of the applicable expenditure
limit \[165\].

The expenditure limits are increased by 10% for a candidate who is
running for that office for the first time, and who has not run
previously for any other office whose territory now includes a
population that is more than one-third of the population of the
territory of the new office \[166\].

The expenditure limits are to be adjusted by the Consumer Price Index,
on or before December 31st of each year \[167\]. The 2002 limitations
are as follows:

+------+-------+------+------+------+-------+------+------+-------+
| Of   | Ele   | 1st  | C    | 1st  | Non-  | Cont | Am   | Agre  |
| fice | ction | Time | onte | Time |       | rib. | ount | ement |
|      |       | C    | sted |      | ele   |      |      | Effe  |
|      | Year  | andi | Pri  | Ca   | ction | L    | to   | ctive |
|      |       | date | mary | ndid |       | imit | be   |       |
|      |       |      |      | ateC | Year  |      |      | Until |
|      |       |      |      | onte |       | from | Ra   |       |
|      |       |      |      | sted |       | C    | ised |       |
|      |       |      |      |      |       | andi |      |       |
|      |       |      |      | Pri  |       | date | from |       |
|      |       |      |      | mary |       |      | Ind  |       |
|      |       |      |      |      |       |      | ivid |       |
|      |       |      |      |      |       |      | uals |       |
|      |       |      |      |      |       |      |      |       |
|      |       |      |      |      |       |      | in   |       |
|      |       |      |      |      |       |      | \$50 |       |
|      |       |      |      |      |       |      | in   |       |
|      |       |      |      |      |       |      | crem |       |
|      |       |      |      |      |       |      | ents |       |
+------+-------+------+------+------+-------+------+------+-------+
| Go   | \     | \$2  | \$2  | \$2  | \$38  | \$20 | \    | 12/   |
| v/LG | $2,18 | ,406 | ,625 | ,888 | 5,226 | ,000 | $437 | 31/02 |
|      | 8,090 | ,899 | ,708 | ,279 |       |      | ,620 |       |
+------+-------+------+------+------+-------+------+------+-------+
| AG   | \$36  | \    | \    | \    | \$7   | \$10 | \$15 | 12/   |
|      | 4,690 | $401 | $437 | $481 | 2,940 | ,000 | ,000 | 31/02 |
|      |       | ,159 | ,628 | ,391 |       |      |      |       |
+------+-------+------+------+------+-------+------+------+-------+
| O    | \$18  | \    | \    | \    | \$3   | \$5  | \$6  | 12/   |
| ther | 2,350 | $200 | $218 | $240 | 6,470 | ,000 | ,000 | 31/02 |
| S    |       | ,585 | ,820 | ,702 |       |      |      |       |
| tate |       |      |      |      |       |      |      |       |
| wide |       |      |      |      |       |      |      |       |
+------+-------+------+------+------+-------+------+------+-------+
| Se   | \$5   | \$60 | \$65 | \$72 | \$1   | \$5  | \$3  | 12/   |
| nate | 4,740 | ,214 | ,688 | ,257 | 0,950 | ,000 | ,000 | 31/02 |
+------+-------+------+------+------+-------+------+------+-------+
| H    | \$2   | \$30 | \$32 | \$36 | \$    | \$5  | \$1  | 12/   |
| ouse | 7,380 | ,118 | ,856 | ,142 | 5,480 | ,000 | ,500 | 31/02 |
+------+-------+------+------+------+-------+------+------+-------+

\[168\]. These dollar amounts were adjusted for 2002 and will be
adjusted for subsequent general election years by April 15 of the
general election year, with the executive director of the Board
determining the percentage increase in the U.S. Department of Labor
Consumer Price Index for all urban consumers for the St.
Paul‑Minneapolis metropolitan area, from December of the year preceding
the general election year to December of the year preceding the year in
which the determination is made, and multiplying the dollar amounts for
the preceding general election year by that percentage \[169\]. The
product of the calculation is added to each dollar amount to produce the
dollar limitations to be in effect for the next general election and
rounded up to the next highest \$10 increment \[170\].

Certain expenditures by a state political party, or substate unit of a
state political party, are not considered to be subject to the candidate
expenditure limitations and may not be allocated to any candidates
\[171\]. These include expenditures on behalf of candidates of that
party generally, without referring to any of them specifically in any
advertisement published, posted, or broadcasted \[172\]; expenditures
for the preparation, display, mailing, or other distribution of an
official party sample ballot listing the names of three or more
individuals whose names are to appear on the ballot \[173\];
expenditures for any telephone conversation including the names of three
or more individuals who are to appear on the ballot \[174\];
expenditures for any political party fundraising effort on behalf of
three or more candidates \[175\]; and expenditures for party committee
staff member services that benefit three or more candidates \[176\].

**F. Limitations on Corporate Expenditures.** No corporation doing
business in the state may make any expenditure to promote or defeat the
nomination or election of any candidate to any political office that is
made with the authorization of expressed or implied consent of, in
cooperation or in concert with, or at the request or suggestion of a
candidate, his or her principal campaign committee, or his or her agent
\[177\]. A corporation doing business in the state is also prohibited
from making any independent expenditure or to offer, consent, or agree
to make any independent expenditure to promote or defeat the candidacy
of any person for nomination, election, or appointment to any political
office \[178\]. A corporation doing business in the state may make
expenditures to promote or defeat a ballot question, to qualify a
question for placement on the ballot unless otherwise prohibited by law,
or to express its views on issues of public concern \[179\].

No insurance company or association, including fraternal beneficiary
associations, doing business in the state may, directly or indirectly,
pay, use, or offer, consent or agree to pay or use, any money or
property for, or in aid of, any political party, committee, or
organization; any corporation, joint stock associations, or other
association organized or maintained for political purposes; any
candidate for political office or for nomination for such office; any
political purpose; or for reimbursement or indemnification of any person
for money or property used \[180\].

**G. Expenditures by a Nonprofit Organization.** A nonprofit corporation
is authorized by law to provide administrative assistance to one
political committee or political fund that is associated with the
nonprofit corporation and registered with the Campaign Finance and
Public Disclosure Board \[181\]. Such assistance, however, is limited to
accounting, clerical or legal services, bank charges, utilities, office
space, supplies, and record storage \[182\]. The administrative
assistance provided by the nonprofit corporation to the political
committee or political fund is limited annually to the lesser of \$5,000
or 7½ percent of the expenditures of the political committee or
political fund \[183\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Any group of two or more persons that receives
contributions or makes expenditures, transfers of funds, or independent
expenditures, in the aggregate of more than \$100, to influence the
nomination or election of one or more candidates for statewide or
legislative office or to promote or defeat a ballot question, must
register as a political committee or political fund \[184\]. If the
group's major purpose is to influence the nomination or election of one
or more candidates or to promote or defeat a ballot question, it must
register as a political committee \[185\]. If the group is an
association whose major purpose is one other than to influence
nominations or elections or to promote or defeat a ballot question, it
must register as a political fund \[186\].

When a person or group merely solicits contributions with the approval
of a candidate or the treasurer, deputy treasurer, or agent of a
political committee or political fund and when those contributions are
made directly to the reporting committee or fund, that person or group
need not establish a separate political committee or political fund
\[187\]. A candidate who spends only that candidate's own money is not
required to register a principal campaign committee, but must still file
periodic reports \[188\].

The treasurer of a political committee or political fund must register
with the Board by filing a statement of organization no later than 14
days after the date upon which the committee or fund has made a
contribution, received contributions or made expenditures in excess of
\$100 \[189\]. The statement of organization must include the name and
address of the political committee or political fund \[190\]; the name
and address of any supporting association of a political fund \[191\];
the name and address of the chairman, treasurer, and any deputy
treasurers \[192\]; a listing of all depositories or safety deposit
boxes used \[193\]; and, in the case of political parties, a list of
categories of substate units \[194\].

**B. Required Reporting and Special Exemptions.** The Board must exempt
any member of or contributor to any association political committee,
political fund, or any other individuals from the reporting requirements
if the member, contributor, or other individual demonstrates by clear
and convincing evidence that disclosure would expose him or her to
economic reprisals, loss of employment, or threat of legal coercion
\[195\]. An association, political committee, or political fund may seek
an exemption for all of its members or contributors if it demonstrates
by clear and convincing evidence that a substantial number of its
members or contributors would suffer a restrictive effect on their
freedom of association if members were required to seek exemptions
individually \[196\].

Candidates for statewide office, state legislature, or supreme court,
court of appeals, or district court judgeships, and committees
supporting or opposing such candidates or ballot questions, file their
reports with the Campaign Finance and Public Disclosure Board \[197\].

Each report required to be filed by a treasurer of a political committee
or political fund or by any other individual must be signed and
certified as true by the individual required to file the report \[198\].
Reports must be filed with the Board on or before January 31st of each
year, and additional reports filed in each year in which the name of the
candidate is on the ballot \[199\]. In each year in which the name of a
candidate is on the ballot, the report of the principal campaign
committee must be filed 15 days before a primary election, 10 days
before a general election, seven days before a special primary and a
special election, and 10 days after a special election cycle, which will
be 70 days after a special election \[200\]. In each general election
year, political committees and political funds other than principal
campaign committees must file reports 15 days before a primary and 10
days before a general election \[201\]. If a scheduled filing date falls
on a Saturday, Sunday, or legal holiday, the filing date may be on the
next regular business day \[202\].

Each report must disclose the amount of liquid assets on hand at the
beginning of the reporting period \[203\], and the name, address, and
employer, or occupation if self‑employed, of each individual, political
committee, or political fund that within the year has made one or more
transfers or donations in‑kind to the political committee or political
fund, including the purchase of tickets for all fundraising efforts,
that in aggregate exceed \$100, the amount and date of each transfer and
donation in‑kind, and the aggregate amount of transfers and donations
in‑kind within the year from each source so disclosed \[204\]. A
donation in‑kind must be disclosed at its fair market value, and is
considered consumed in the reporting period in which it is received
\[205\]. An approved expenditure is listed as a donation in‑kind
\[206\]. The names of contributors must be listed in alphabetical order
\[207\].

The sum of contributions to the political committee or political fund
during the reporting period is to be reported \[208\], as is each loan
made or received by the political committee or political fund within the
year in an aggregate in excess of \$100, continuously reported until
repaid or forgiven, together with the name, address, occupation, and
principal place of business, if any, of the lender and any endorser, and
the date and amount of the loan \[209\]. If any loan made to the
principal campaign committee of a candidate is forgiven at any time or
repaid by any entity other than that principal campaign committee, it
must be reported as a contribution for the year in which the loan was
made \[210\].

Also required to be reported is each receipt in excess of \$100 not
otherwise listed \[211\]; the sum of all receipts of the political
committee or political fund during the reporting period \[212\]; the
name and address of each individual or association to whom aggregate
expenditures, including approved expenditures, have been made by, or on
behalf of the political committee or political fund within the year in
excess of \$100, together with the amount, date, and purpose of each
expenditure and the name and address of, and office sought by, each
candidate on whose behalf the expenditure was made, identification of
the ballot question that the expenditure is intended to promote or
defeat, and, in the case of an independent expenditure made in
opposition to a candidate, the name, address, and office sought for each
such candidate \[213\]; the sum of all expenditures made by, or on
behalf of, the political committee or political fund during the
reporting period \[214\]; and the amount and nature of any advance of
credit incurred by the political committee or political fund,
continuously reported until paid or forgiven \[215\]. If any advance of
credit incurred by the principal campaign committee of a candidate is
forgiven at any time by the creditor or paid by any entity other than
that political campaign committee, it must be reported as a donation
in‑kind for the year in which the advance of credit was incurred
\[216\].

The name and address of each political committee, political fund, or
principal campaign committee to which contributions in excess of \$100
have been made within the year, together with the amount and date of
each transfer must be reported \[217\], as must be the sum of all
contributions made by the political committee, political fund, or
principal campaign committee during the reporting period \[218\]; the
name and address of each individual or association to whom aggregate
noncampaign disbursements in excess of \$100 have been made within the
year by or on behalf of a principal campaign committee, political
committee, or political fund, together with the amount, date, and
purpose of each noncampaign disbursement \[219\]; and the sum of all
non‑campaign disbursements made by the political committee, political
fund, or principal campaign committee during the reporting period
\[220\]. Information on nonprofit corporation administrative assistance
\[221\], and aggregate contributions of more than \$5,000 solicited or
caused by a solicitor as defined under Minnesota law, must also be
disclosed by the committee \[222\].

A report must cover the period from the last day covered by the previous
report to seven days prior to the filing date, except that the report
due on January 31st must cover the period from the last day covered by
the previous report to December 31st \[223\]. In any statewide election,
any loan, contribution, or contributions from any one source totaling
\$2,000 or more, or in any legislative or district court election
totaling more than \$400, that are received between the last day covered
in the last report prior to an election and the election must be
reported to the Board in person or by telegram, mailgram, or FAX within
48 hours after its receipt, or by certified mail sent within 48 hours
after its receipt, and also in the next required report \[224\]. The
48-hour reporting requirement does not apply to a primary if the
statewide or legislative candidate is unopposed in that primary \[225\].

Any individual, political committee, or political fund filing a report
or statement disclosing any independent expenditure must file with that
report a sworn statement that the expenditures were not made with the
authorization of, expressed or implied consent of, in cooperation or in
concert with, or at the request or suggestion of any candidate, his or
her principal committee, or his or her agent \[226\].

If no contribution is received or expenditure made by, or on behalf of,
a candidate, political fund, or political committee during a reporting
period, the treasurer of the committee or fund must file with the Board
at the required reporting times a statement to that effect \[227\].

The treasurer must list contributions from the same source under the
same name \[228\]. When a contribution received from any source in a
reporting period is added to previously reported, unitemized
contributions from the same source and the aggregate exceeds the
disclosure threshold, the name, address, and employer, or occupation if
self‑employed, of that source must then be listed on the prescribed
schedule \[229\]. A political committee or political fund making an
expenditure on behalf of more than one candidate for state or
legislative office must allocate the expenditure among the candidates on
a reasonable cost basis and report the allocation for each candidate
\[230\]. A political committee or political fund accepting a
contribution of more than \$100 from a political committee or political
fund not registered in Minnesota must include a copy of the written
statement meeting disclosure requirements that is required to accompany
such a contribution, in order for the contribution to be eligible to be
accepted with the report that discloses the contribution to the Board
\[231\]. An unregistered association may provide the required written
statement to no more than three political committees or political funds
in any calendar year, with each statement covering at least the 30 days
immediately preceding and including the date on which the contribution
was made \[232\].

Any material changes in information previously submitted and any
corrections to a report or statement must be reported, in writing, to
the Board within 10 days following the date of the event prompting the
change or the date upon which the person filing became aware of the
inaccuracy \[233\]. The change or correction must identify the form and
the paragraph containing the information to be changed or corrected
\[234\].

Every candidate for office other than President or Vice President; state
constitutional office; member of the legislature; justice of the supreme
court, court of appeals, or district court judges; and municipal office
candidates in municipalities having fewer than 20,000 inhabitants; and
the secretary of every personal campaign and party committee must, 10
days before the primary, 10 days before the general election, 30 days
following the general election, and January 31 in all other years
\[235\], file a financial statement verified by the candidate or
secretary of the committee, as appropriate, that shows in itemized
detail all transactions, disbursements, and obligations to make
disbursements for political purposes \[236\].

Reporting begins 14 days after a committee or fund receives
contributions or makes expenditures in excess of \$100 and continues
until the committee or fund is terminated \[237\].

The statement of any candidate and the statement of his or her personal
campaign committee must be filed with the filing officer of such
candidate \[238\]. Candidates for election to the U.S. house of
representatives and senate, and any political committees raising funds
and making expenditures exclusively on behalf of any one of those
candidates, may file copies of their federally required financial
disclosure forms in lieu of the state requirements \[239\].

Each statement must set forth the name of the candidate or ballot
question \[240\]; the name and address of the person responsible for
filing the report \[241\]; the total amount of receipts and expenditures
for the period from the last previous report to five days before the
current report is due \[242\]; the purpose of each expenditure \[243\];
and the name of any individual or committee that during the year has
made one or more contributions aggregating greater than \$500 \[244\].

For any one project conducted by a corporation to encourage individuals
to attend precinct caucuses, register, or vote that exceeds \$200, the
corporation must report the total amount, together with the date,
purpose, and names and addresses of the persons receiving the
contributions or expenditures to the Secretary of State under the same
reporting schedule applicable to other candidates and committees
\[245\].

**C. Special Report of Solicitors.** An individual, association,
political committee, or political fund, other than a candidate or the
members of a candidate's principal campaign committee, that directly
solicits and causes others to make contributions to candidates or a
legislative caucus that aggregate more than \$5,000 in a calendar year
must, at the same time as political committees and political funds, file
with the Board a report disclosing the amount of each contribution, the
names of the contributors, and to whom the contributions were given for
the accumulated contributions made or received during the calendar year
\[246\].

**V. PUBLIC FINANCING PROVISIONS**

**A. State Elections Campaign Fund.** The state maintains a state
elections campaign fund within the special revenue fund of the state
\[247\]. Within the state elections campaign fund account, a separate
political party account is maintained for the state committee and the
candidates of each political party, as is a general account \[248\]. The
fund is supported by income tax and renter and homeowner property tax
refund return checkoffs and a \$1.5 million direct appropriation each
election year \[249\]. Candidates qualify for funds from the party
account by winning the primary election of a political party or by
petitioning to the general election ballot for a political party, and
from the general account, if a legislative candidate, by receiving 10%
of the votes cast for the office sought, or if a statewide candidate, by
receiving five percent of the votes cast for the office sought \[250\].

**B. Allocation of Funds.** The funds in the general account are to be
allocated in each calendar year, with 21% for the offices of governor
and lieutenant governor together \[251\]; 4.2% for the office of
attorney general \[252\]; and 2.4% each for the offices of secretary of
state and state auditor \[253\]. The moneys in each party account are
also to be allocated in each calendar year with 14% for the offices of
governor and lieutenant governor, together \[254\]; 2.8% for the office
of attorney general \[255\]; 1.6% each for the offices of secretary of
state and state auditor \[256\]; and 10% for the state committee of a
political party \[257\]. In each calendar year during the period in
which state senators serve a four‑year term, 23.33% is allocated for the
office of state senator and 46.66% for the office of state
representative \[258\]; and in each calendar year during the period in
which state senators serve a two‑year term, 35% each for the offices of
state senator and state representative \[259\]. A candidate may not
receive a public subsidy until the candidate has designated a single
principal campaign committee \[260\].

A candidate who is unopposed in both the primary election and the
general election is not eligible to receive a public subsidy from the
state election campaign fund, and the subsidy from the party account the
candidate would otherwise have been eligible to receive is paid to the
candidate's political party to be deposited in a special account for
multicandidate expenditures permitted under law \[261\].

The public subsidy for a general election candidate may not be paid in
an amount that would cause the sum of the public subsidy paid from the
party account plus the public subsidy paid from the general account to
exceed 50% of the expenditure limit for the candidate \[262\]. Money
from the general account not paid to a candidate because of the 50%
limit must be distributed equally among all other qualifying candidates
for the same office until all have reached the 50% limit or the balance
in the general account is exhausted \[263\].

To ensure that funds will be returned to the counties from which they
were collected, and to assure that the distribution of these moneys
rationally relates to the support for particular parties or for
particular candidates within legislative districts, distributions from
the party accounts are to be apportioned according to a specified
formula \[264\]. Each candidate for the state senate and state house of
representatives whose name is to appear on the ballot in the general
election receives moneys from the party account in an amount for each
county within the candidate's district that takes into account the sum
of the votes cast in the last general election in that part of the
county in his or her district for all candidates of the candidate's
party whose name appeared on the ballot statewide \[265\], and for the
state senate and state house of representatives, divided by \[266\] the
sum of the votes cast in that county in the last general election for
all candidates of the candidate's party whose name appeared on the
ballot in each voting precinct in the state \[267\], and for the state
senate and state house of representatives, multiplied by \[268\] the
amount in the candidate's party account designated by taxpayers who
resided in that county and allocated to that office \[269\]. The sum of
all the county shares calculated in the candidate's share of the formula
above candidate's party account \[270\]. In a year in which an election
for the state senate occurs, with respect to votes for candidates for
the state senate only, "last general election" means the last general
election in which an election for the state senate occurred \[271\].

For a party under whose name no candidate's name appeared on the ballot
statewide in the last general election, amounts in the party's account
must be allocated based on the number of people voting in the last
general election in that part of the county in the candidate's district,
divided by the number of the people voting in the entire county in the
last general election, multiplied by the amount in the candidate's party
account designated by taxpayers who resided in that county and allocated
to that office \[272\]. In the first general election after the
legislature is redistricted, "the candidate's district" means the newly
drawn district and voting data from the last general election must be
applied to the area encompassing the newly drawn district, even if the
area was in a different district in the last general election \[273\].
If in a district there was no candidate of a party for the state senate
or state house of representatives in the last general election, or if a
candidate for the state senate or state house of representatives was
unopposed, the vote for that office for that party is the average vote
of all the remaining candidates of that party in each county of that
district whose votes are included in the sums, with average vote added
to those sums before the calculation is made for all districts in the
count \[274\].

A public subsidy is available for special elections in an amount equal
to the sum of the party account money at the last general election for
the candidate's party for the office the candidate is seeking and the
general account money paid to candidates for the same office at the last
general election \[275\].

**C. Limitations on Use of State Election Campaign Fund Money.** Money
from a party account not distributed to candidates for state senator and
representative in any election year must be returned to the general fund
of the state \[276\]. Funds from a party account not distributed to
candidates for other offices in an election year must be returned to the
party account for reallocation to other candidates in the following year
\[277\]. The public subsidy may not be paid in an amount that would
cause the sum of the public subsidy paid from the party account plus the
public subsidy paid from the general account to exceed 50% of the
expenditure limit for the candidate or 50% percent of the expenditure
limit that would have applied to the candidate if the candidate had not
been freed from expenditure limits \[278\]. Money from the general
account not paid to a candidate because of the 50% limit must be
distributed equally among all other qualifying candidates for the same
office until all have reached the 50% limit or the balance in the
general account is exhausted \[279\].

**D. Distribution and Return of Funds.** No later than one week after
certification by the state canvassing board of the results of the
primary, the Campaign Finance and Public Disclosure Board must
distribute the available funds in each party account, as certified by
the commissioner of revenue on September 1, to the candidates of that
party who have signed the required agreement and whose names are to
appear on the ballot in the general election, according to the specified
allocation, in the form of a check payable to the campaign fund of the
candidate \[280\]. Within one week after certification of the state
canvassing board of the results of the general election, the Campaign
Finance and Public Disclosure Board must distribute the available funds
in the general account, as certified by the commissioner of revenue on
September 1, and according to the specified allocations, in equal
amounts to all candidates for each statewide office who have signed a
spending-limit agreement \[281\]; filed the affidavit of contributions
\[282\]; and were opposed in the primary or general election \[283\].

In the event that on the date of either certification by the
commissioner of revenue less than 98% of the tax returns have been
processed, the commissioner of revenue must certify to the Board on
December 7th the amount accumulated in each account since the previous
certification \[284\]. By December 15, the Board must distribute to each
candidate the amounts to which the candidates are entitled \[285\]. Any
funds accumulated after the final certification are maintained in the
respective accounts for distribution in the next general election year
\[286\].

In addition to the other requirements to be eligible to receive a public
subsidy, a candidate or the candidate's treasurer must file an affidavit
with the Board stating that during the calendar year, the candidate has
accumulated contributions from eligible voters in the state in the
following amounts, counting only the first \$50 received from each
contributor \[287\]: candidates for governor and lieutenant governor
running together, \$35,000 \[288\]; candidates for attorney general,
\$15,000 \[289\]; candidates for secretary of state, state treasurer,
and state auditor, separately, \$6,000 \[290\]; candidates for the
senate, \$3,000 \[291\]; and candidates for the house of
representatives, \$1,500 \[292\]. The affidavit must be submitted to the
Board by September 1 of the general election year to receive the payment
based on the results of the primary election; and by November 1 to
receive the payment made December 15 \[293\].

**E. Financing for Minor Political Parties.** A minor political party
may only be certified if the Secretary of State certifies to the
commissioner of revenue by July 1 of the taxable year that in the last
general election, the party ran a candidate for the office of governor
and lieutenant governor, secretary of state, state auditor, or attorney
general, who received votes in each county that in the aggregate total
at least one percent of the total number of individuals who voted in the
election \[294\]. In addition, the applicant must be a political party,
not a principal campaign committee \[295\]; must have held a state
convention in the last two years, adopted a state constitution, and
elected state officers \[296\]; and an officer of the party must so
certify these administrative facts to the Secretary of State \[297\].

**VI. TAX PROVISIONS**

**A. Tax Checkoff for Public Financing.** An individual resident of
Minnesota who files a tax return or renter and homeowner property tax
refund return with the commissioner of revenue may designate that five
dollars be paid from the general fund of the state into the state
elections campaign fund \[298\]. If a husband and wife file a joint
return, each spouse may designate that five dollars is to be paid
\[299\]. No individual may be allowed to designate five dollars more
than once in any year \[300\]. The taxpayer may designate that the five
dollars be paid into the account of a political party or into the
general account \[301\].

**B. Refund for Individuals Making Contributions to Certain Political
Parties and Qualifying Candidates.** A taxpayer may claim a political
contribution refund equal to the amount of the taxpayer's contributions
made in the calendar year to candidates and political parties which have
qualified for inclusion to a maximum refund of \$50 (\$100 for a married
couple filing jointly) \[302\]. A refund of a contribution is only
available for contributions of money \[303\], and is allowed only if the
taxpayer files a form required by the commissioner of revenue, and
attaches to the form a copy of an official refund receipt form issued by
the principal campaign committee, or the party chair or treasurer of the
party unit \[304\]. A claim must be filed with the commissioner not
sooner than January 1 of the calendar year in which the contribution is
made, and no later than April 15 of the calendar year following the
calendar year in which the contribution is made, with the taxpayer only
permitted to file one claim per tax year \[305\].

A refund is not allowed for a contribution to a candidate who has not
signed an agreement to limit campaign expenditures as provided by law
\[306\]; is not seeking an office for which voluntary spending limits
are specified by law \[307\]; or who has not designated a principal
campaign committee \[308\].

Contributions to political parties qualify for a refund \[309\] if the
political party is a major political party under state law \[310\], or a
minor political party qualifying for inclusion on the income tax or
property tax refund form \[311\]. A major or minor political party
includes the aggregate of the party organization within each house of
the legislature, the state party organization, and the party
organization within congressional districts, counties, legislative
districts, municipalities, and precincts \[312\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Recordkeeping.** Each person required to file any report or
statement must maintain records on the matters to be reported, including
vouchers, canceled checks, bills, invoices, worksheets, and receipts,
which will provide in sufficient detail the necessary information from
which the filed reports and statements may be verified, explained,
clarified, and checked for accuracy and completeness, and he or she must
keep the record available for audit, inspection, or examination by the
Board or its authorized representatives for four years from the date of
filing the reports or statements or changes or corrections thereto
\[313\].

**B. Restrictions on Termination.** No political committee or political
fund may dissolve until it has settled all of its debts and disposed of
all its assets in excess of \$100 and filed a termination report
\[314\]. Disposition of assets must be at fair market value \[315\].
Physical assets must be listed at their fair market value \[316\].

A candidate may terminate the candidate's principal campaign committee
for one state office by transferring any debts of that committee to the
candidate's principal campaign committee for another state office,
provided that any unpaid bills or loans from the committee being
terminated are assumed and continuously reported by the committee to
which the transfer is being made until paid or forgiven \[317\].

**C. Mandatory Termination.** A political committee or political fund
must be dissolved after becoming inactive, a situation which occurs in
the case of a principal campaign committee when six years have elapsed
since the last election in which the person was a candidate for the
office sought or held at the time of registration \[318\], or when six
years have elapsed since the last day on which the individual served in
an elective office \[319\]. A political committee other than a principal
campaign committee, or a political fund becomes inactive when two years
have elapsed since the end of a reporting period during which the
committee or fund made an expenditure or disbursement requiring
disclosure \[320\]. Assets of the committee or fund must be spent on
lawful purposes, or liquidated and deposited in the general account of
the state elections campaign fund \[321\]. If an inactive committee or
fund has unpaid debts, the committee or fund must liquidate assets to
pay the debts, and if insufficient assets remain, the Board may set up a
payment schedule and allow the dissolution to be deferred until all
debts are paid \[322\].

**D. Disposition of Funds.** A candidate may carry an amount that does
not exceed 50% of the expenditure limit for the office forward into the
next election, with any remaining amount up to the total amount of the
public subsidy from the state elections campaign fund returned to the
general fund, and any remaining amount in excess of the total public
subsidy contributed to the state elections campaign fund or to a
political party for multicandidate expenditures \[323\].

**VIII. OFFENSES AND PENALTIES**

A person charged with a duty under the campaign disclosure law is
personally liable for the penalty for failing to discharge it \[324\].

A violation of the laws regarding registration and organization of
political committees and political funds is also a misdemeanor \[325\].
A violation of the provisions for handling contributions and
expenditures is also a misdemeanor \[326\], as is failure to present a
bill, charge, or claim when required \[327\]. Any individual, political
committee, or political fund who knowingly accepts any earmarked
contribution, or who falsely claims that an expenditure was an
independent expenditure is guilty of a gross misdemeanor \[328\]. Any
person or association who engages in economic reprisals or threatens
loss of employment or physical coercion against any person or
association because of that person's or association's political
contributions or political activity is guilty of a gross misdemeanor
\[329\].

If a statement due January 31st is not filed within seven days after
receiving a notice, the Board may impose a late filing fee on the
appropriate individual of five dollars per day, not to exceed \$100,
commencing on the eighth day after receiving notice \[330\]. If a
statement due before any primary or election is not filed within three
days of the date due, regardless of whether the filer has received any
notice, the Board may impose a late filing fee of \$50 per day, not to
exceed \$500, commencing on the fourth day after the date the statement
was due \[331\]. Anyone who knowingly fails to file the statement within
seven days after receiving a second notice from the Board is guilty of a
misdemeanor \[332\]. An individual who signs and certifies to be true a
report or statement that he or she knows contains false information, or
who knowingly omits required information, is guilty of a gross
misdemeanor \[333\]. Any person who knowingly fails to keep required
records is guilty of a misdemeanor \[334\].

If a political committee or political fund fails to file a required
statement within seven days after receiving a notice, the Board may
impose a late filing fee of five dollars per day, not to exceed \$100,
commencing with the eighth day after receiving notice \[335\]. An
individual who also fails to file the statement of a political committee
or political fund within seven days after receiving a second notice from
the Board is guilty of a misdemeanor \[336\]. The Board may consider as
*de minimis* fines which do not meet the \$25 minimum for Revenue
Recapture program, and hold such files for possible future action should
other matters involving the same violator arise. \[337\].

An unregistered association or an officer of such an association is
subject to a civil penalty of up to \$1,000 if the association or its
officers fail to provide a written statement as required by law \[338\],
or fail to register after giving the required written statement to more
than three political committees or political funds in any calendar year
\[339\]. An officer of an association who violates these provisions is
guilty of a misdemeanor \[340\].

A candidate subject to the expenditure limits who permits his or her
principal campaign committee to make expenditures or permits approved
expenditures to be made on his or her behalf in excess of the limits is
subject to a civil fine up to four times the amount that the
expenditures exceeded the limits \[341\]. A candidate who permits the
candidate's principal campaign committee to accept contributions in
excess of the limits imposed is subject to a civil fine of up to four
times the amount by which the contributions exceed the limits \[342\].
All moneys so recovered must be deposited in the general fund of the
state \[343\].

Any attempt by an individual or association to circumvent the provisions
of the public disclosure law by redirecting funds through, or
contributing funds on behalf of, another individual or association is a
gross misdemeanor \[344\]. A person charged with a duty under the public
disclosure law is personally liable for the penalty for failing to
discharge the duty \[345\].

Any person or candidate who makes an unlawful expenditure under the fair
campaign practices act is guilty of a misdemeanor \[346\]. Every
treasurer or other person who receives any money to be applied to any of
the election purposes for which expenditures are permitted by law and
who fails to file the statement and account respecting the same within
the time prescribed is guilty of a misdemeanor \[347\], as is any
treasurer or other person who receives such money and who fails to keep
a correct book of account containing all the statements and details
required by law, with intent to conceal the receipt or disbursement of
any sum of money received or disbursed or to conceal the existence of
any unpaid debt or obligation, the amount thereof, or to whom the same
is due, in detail, or who may mutilate, deface, or destroy such book
with like intent \[348\].

Any officeholder, stockholder, member, agent, employee, attorney, or
other representative of any corporation acting for, or on behalf of, a
corporation that violates the fair campaign practices act may be fined
not more than \$20,000, imprisoned in the state prison for not more than
five years, or both, at the discretion of the court \[349\]. Any
corporation found guilty of such a violation is subject to a penalty not
exceeding \$40,000, and if a domestic corporation, in addition to that
penalty, it may be dissolved, and if a foreign or nonresident
corporation, in addition to that penalty, the corporation's right to do
business in Minnesota may be declared forfeited \[350\]. Any person or
persons who aids, abets, or advises such a violation may be guilty of a
gross misdemeanor \[351\].

Any officeholder, stockholder, agent, employee, attorney, or agent of
any corporation or association that violates any of the provisions of
the law pertaining to insurance company political contributions and
expenditures, who participates in, aids, abets, or advises or consents
to any such violation, and any person who solicits or knowingly receives
any money or property in violation of the provisions is guilty of a
gross misdemeanor, and any officer aiding or abetting in any
contribution made in violation of the law is liable to the company or
association in the amount so contributed \[352\].

Any person violating any other provision of the fair campaign practices
act is, upon conviction, guilty of a gross misdemeanor and will not be
permitted to take or hold office to which he or she was elected, if any,
or receive the emoluments thereof \[353\]. A candidate elected to an
office whose election has been annulled and set aside for a violation of
the fair campaign practices act may not, during the period fixed by law
as the term of such office \[354\]. A candidate or other person who is
convicted of any violation of the fair campaign practices act may not,
during the period fixed by law as the term of office with respect to
which the election was held and the offense was committed, be appointed
or election to an office shall be void \[355\].

When, upon the trial of any action or proceedings under the fair
campaign practices act, it appears from the evidence that the offense
complained of was not committed by the candidate, or with the
candidate's knowledge or consent, or was committed without the
candidate's sanction and connivance, and that all reasonable means were
taken by the candidate at the election, or were taken by or on behalf of
the candidate, or that the offenses complained of were trivial or
unimportant, and that in all respects the candidacy and election were
free from all offensive or illegal acts, or that any act or omission of
any candidate complained of arose from accidental miscalculation or from
some other reasonable cause of like nature, and not from any want of
good faith, and under the circumstances it appears to the court to be
unjust that the candidate should forfeit the nomination, position, or
office, then the nomination or election will not, by reason of the
offense complained of, be void nor may the candidate be removed from,
nor deprived of, the nomination, position, or office \[356\].

If any county attorney fails or refuses to faithfully perform any duty
imposed on him under the fair campaign practices act, he or she is
guilty of a misdemeanor and must forfeit the office upon conviction
\[357\].

A candidate or political committee that solicits or accepts
contributions during a regular legislative session from a registered
lobbyist, political committee, or political fund is subject to a civil
fine of up to \$500, to be deposited in the general fund of the state
treasury \[358\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Campaign Finance and Public Disclosure Board.** The six‑member
Campaign Finance and Public Disclosure Board is appointed by the
governor with the advice and consent of three‑fifths of both the senate
and the house of representatives, acting separately \[359\]. Two members
must ber former members of the legislature who support different
political parties; two members must be persons who have not been public
officials, held any political party office other than precinct delegate,
or been elected to public office for which party designation is required
by statute in the three years preceding the date of their appointment;
and the other two members must not support the same political party
\[360\]. No more than three of the members mayt support the same
political party \[361\]. No member of the Board may currently serve as a
lobbyist \[362\]. The concurring vote of four Board members is necessary
to decide any matter before the Board \[363\].

The Board must appoint an executive director who must be in the
unclassified service, and who serves as secretary to the Board \[364\],
and report at the close of each fiscal year to the legislature, the
governor, and the public concerning the action it has taken, the names,
salaries, and duties of all individuals on its employ, and the money it
has disbursed \[365\]. The Board must include and identify in its report
any other reports it has made during the fiscal year, and may indicate
apparent abuses and offer legislative recommendations \[366\]. The Board
also is required to prescribe forms for all statements and reports to be
filed under the public disclosure law and make the forms available to
those required to file them \[367\]; make available to the individuals
required to file the reports and statements a manual setting forth the
recommended uniform methods of bookkeeping and reporting \[368\];
develop a filing, coding, and cross‑indexing system \[369\]; make the
reports and statements filed with it available for public inspection and
copying at cost by the end of the second day following the day on which
they were received \[370\]; preserve reports and statements for five
years from the date of receipt \[371\]; compile and maintain a current
list and summary of all statements or parts of statements pertaining to
each candidate \[372\]; and prepare and publish reports as it may deem
appropriate \[373\].

The executive director of the Board or his or her staff must promptly
inspect all material filed with the Board \[374\]. The Board must notify
by certified mail or personal service any individual who fails to file a
required statement \[375\]. The Board must further notify by certified
mail or personal service any individual who fails to file any statement
within 14 days after receiving a first notice from the Board that the
individual may be subject to criminal penalty for failure to file a
statement \[376\]. The period is extended to 21 days for a statement of
a political committee or political fund \[377\]. The Board may assess
specified penalties for late filing \[378\], and may bring an action in
the district court of Ramsey County to recover any late filing fee
\[379\].

The Board may also adopt rules to carry out the purposes of the campaign
disclosure law \[380\], and issue and publish advisory opinions on the
law based on real or hypothetical situations \[381\]. An application for
an advisory opinion may only be made by an individual or association
that wishes to use the opinion to guide its own conduct \[382\]. The
Board must issue written opinions on all such questions submitted to it
within 30 days after receipt of written application, unless a majority
of the Board agrees to extend the time limit \[383\]. A written advisory
opinion issued by the Board is binding on the Board in any subsequent
Board proceeding concerning that person making or covered by the request
and is a defense in a judicial proceeding that involves the subject
matter of the opinion and is brought against the person making or is
covered by the request unless the Board has amended or revoked the
opinion before the initiation of the Board or judicial proceeding, and
has notified the person involved and allowed 30 days for the person to
do anything to comply with the amended or revoked opinion; the request
has omitted or misstated material facts; or the person making or covered
by the request has not acted in good faith in reliance on the opinion
\[384\]. A request for an opinion and the opinion itself are nonpublic
data; the Board may, however, publish an opinion or a summary of an
opinion, leaving the name of the requester anonymous unless the person
consents to the inclusion \[385\].

The Board may make audits and investigations with respect to statements
and reports that are filed or should have been filed under the campaign
disclosure law \[386\]. In all matters relating to its official duties,
the Board has the power to issue subpoenas and cause them to be served
\[387\]. If a person does not comply with a subpoena, the Board may
apply to the district court of Ramsey County for issuance of an order
compelling obedience to the subpoena \[388\]. A person failing to obey
the order is punishable by court as for contempt \[389\].

The Board may investigate any alleged violation of the campaign
disclosure law \[390\]. Any person who believes a violation of the law
or attendant rules has occurred may submit an oral or written complaint
\[391\]. The Board must investigate any alleged violation that is
alleged in a written complaint \[392\]. All such complaints must be
typewritten or handwritten legibly \[393\]. The name and address of the
person making the complaint must be typewritten or hand‑printed on the
complaint, and it must be signed by such person \[394\]. A complaint
must name the alleged violator and describe the complainant's knowledge
of the alleged violation \[395\]. Any evidentiary material must be
submitted with the complaint \[396\]. No investigation is required if
the complaint is frivolous on its face, illegible, too indefinite, does
not identify the violator, or is unsigned by the complainant \[397\].
The Board need not investigate an oral complaint \[398\]. No
investigation may be undertaken if an oral complaint is frivolous on its
face, too indefinite, does not identify the violation, or does not
identify the complainant \[399\]. There is no prescribed format for an
oral complaint, but all oral complaints must describe in sufficient
detail the alleged violator and violation of the law or rules \[400\].

Except for alleged violations of contribution or expenditure
limitations, the Board must make a public finding of whether or not
there is probable cause to believe a violation has occurred within 30
days after the filing of the complaint \[401\]. Complaints will not be
available for public inspection or copying until after the Board makes a
finding \[402\]. In the case of a written complaint alleging a violation
of the contribution or expenditure limitations, the Board must enter a
conciliation agreement or make a public finding of whether or not there
is probable cause within 60 days of the filing of the complaint \[403\].
The deadline for action on any written complaint may be extended by a
majority vote of the Board \[404\].

If after making a public finding concerning probable cause or entering a
conciliation agreement, the Board determines that the record of the
investigation contains statements, documents, or other matter that, if
disclosed, would unfairly injure the reputation of an innocent
individual, the Board may retain the statement, document, or other
matter as a private record and destroy it after \[405\] or return it to
the individual who supplied it to the Board \[406\].

If the Board finds that there is reason to believe that excess
expenditures have been made or excess contributions accepted contrary to
law, the Board must make every effort, for a period of not less than 14
days after its finding, to correct the matter by informal methods of
conference and conciliation and to enter a public conciliation agreement
with the person involved, which unless violated, is a bar to any civil
proceeding on the matter \[407\]. If the Board is unable, after a
reasonable time, to correct by informal methods any matter that
constitutes probable cause to believe that excess expenditures have been
made or excess contributions accepted, the Board must make a public
finding of probable cause in the matter and then bring an action or
transmit the finding to the county attorney, who must bring an action,
in the district court of Ramsey County or, in the case of a legislative
candidate, the district court of a county within the legislative
district to impose a civil fine as prescribed by the Board \[408\].

If the Board makes a public finding of probable cause to believe that a
violation of the restrictions against solicitation or acceptance of
contributions during a legislative session, law and rule conflict as to
the action that should be taken. By law, the Board is required to bring
an action or transmit the finding to a county attorney who must then
bring an action in district court to impose a civil fine \[409\]. By
rule, the Board may accept payment of any fine imposed and close the
matter \[410\].

The Ethics in Government Act itself does not confer standing upon
complainants to seek review of Board actions \[411\].

Any individual, association, political committee, or political fund
seeking an exemption from the reporting provisions on the basis that
disclosure would expose the member, contributor, or other individual to
economic reprisals, loss of employment, or threat of physical coercion
must submit a written application for exemption to the Board \[412\].
The Board, without hearing, may grant or deny the exemption within 30
days after receiving an application and must issue a written order
stating the reasons for its actions \[413\]. The Board must publish its
order in the state register and give notice to all parties known to the
Board to have an interest in the matter \[414\]. If the Board receives a
written objection to its action from any party within 20 days after
publication of its order and notification of interested parties, it must
hold a contested case hearing on the matter \[415\]. Upon the filing of
a timely objection from the applicant, an order denying an exemption
must be suspended pending the outcome of the contested case \[416\]. The
Board, by rule, must establish a procedure so that any individual
seeking an exemption may proceed anonymously if he or she would be
exposed to the reprisals that form a basis for a cause of action were he
or she to reveal his or her identity for the purposes of a hearing
\[417\].

Prior to the first day of filing for office, the Board must forward
forms for the public subsidy agreement to all filing officers \[418\].
Prior to the first day of filing for office, the Board must publish and
forward to all filing officers the estimate of the amount of moneys that
each qualifying candidate may receive from the party account, based upon
information provided by the commissioner of revenue \[419\].

As soon as the Board has obtained from the Secretary of State the
results of the primary, but in any event no later than one week after
certification by the state canvassing Board of the results, the Board
must distribute the available funds in each party account on September 1
of each election year, as certified by the commissioner of revenue, to
the candidates of that party who have signed the public subsidy
agreement and whose names are to appear on the ballot in the general
election, according to the appropriate allocation \[420\]. Within two
weeks after certification by the state canvassing Board of the results
of the general election, the Board must distribute the available funds
in the general account, as certified by the commissioner of revenue on
November 1, and according to the specified allocations, in equal amounts
to all candidates for each statewide office who received at least five
percent of the votes cast in the general election for that office and to
all candidates for legislative office who received at least 10% of the
votes cast in the general election for the specific office for which
they were candidates \[421\].

The Board may seek an injunction in the district court to enforce the
provisions of the campaign disclosure law \[422\].

The Board has no authority to interpret the tax laws as they pertain to
contribution refunds for contributions to candidates or to political
parties, but may interpret the provisions of the campaign finance law
pertaining to such refunds, including issuing contribution receipts to
qualifying candidates to give to contributors to enable the contributors
to apply for a refund \[423\].

**B. Commissioner of Revenue.** The commissioner of revenue is
responsible for affording proper notice of the political tax designation
on the tax return \[424\], and for receiving the tax return \[425\]. The
commissioner must certify the amount of available funds in each party
account to the commissioner of finance before the moneys are distributed
\[426\]. The commissioner, on the basis of vote totals provided by the
Secretary of State, must calculate and certify to the Board before July
1st in an election year the commissioner's estimate, after all of the
tax returns are processed, of the total amount in the general account
and the amount of moneys each qualifying candidate may receive from his
party account \[427\]. The commissioner must also make copies of the
contribution refund form available to the public and candidates upon
request \[428\]. By August 1 of each year, the commissioner must report
to the Campaign Finance and Public Disclosure Board a summary showing
the total number and aggregate amount of political contribution refunds
made on behalf of each candidate and each political party \[429\].

**C. Secretary of State.** The Secretary of State must prepare blanks
for all statements required under the fair campaign practices act and
furnish copies through the county auditor or otherwise to the secretary
of every committee, every candidate upon filing of nomination papers,
and all other persons required by law to file the statements \[430\].

The Secretary of State, with the approval of the attorney general, must
prepare and print an easily understandable annotated digest of the fair
campaign practices act and distribute it as the secretary is to
distribute statements \[431\]. The Secretary of State is also
responsible for certifying to the commissioner of revenue by July 1st of
every odd‑numbered year the minor political parties which qualify for
public financing \[432\].

**D. County Attorney.** A county attorney may seek an injunction in the
district court to enforce the provisions of the campaign disclosure law,
and if the county attorney of the county is notified of any violation of
the fair campaign practices act, it is the county attorney's duty to
diligently inquire into the facts of the violation and, if there is
reasonable ground for a prosecution, to present the charge to the county
grand jury \[433\]. If any county attorney fails or refuses to
faithfully perform any duty imposed on him or her under the Act, he or
she is guilty of a misdemeanor and, upon conviction, must forfeit the
office \[434\]. The county attorney has the duty, under the penalty of
forfeiture of office, to prosecute any and all persons guilty of any
violation of the Act that carries a penalty of fine, imprisonment, or
both, or removal from office \[435\].

Any citizen may employ an attorney to assist the county attorney in
performing his or her duties under the fair campaign practices act, and
such attorney must be recognized by the county attorney and the court as
associate counsel in the proceeding. No prosecution, action, or
proceeding may be discussed without notice to or against the objection
of the associate counsel until the reasons of the county attorney for
such dismissal, together with the objections of the associate counsel,
have been filed in writing, argued by counsel, and fully considered by
the court, with the limitation as to the time of filing such reasons and
objections as the court may impose \[436\].

# References

1\. Minnesota Statutes (hereafter M.S.)

§§ 10A.01(11)

2\. M.S. §§ 10A.01(11)

3\. M.S. §§ 10A.01(13)

4\. M.S. §§ 10A.01(11), (b)

5\. M.S. § 10A.01(9)

6\. M.S. § 10A.01(11)

7\. Ethical Practices Board (as of July 1, 1997,

Campaign Finance and Public Disclosure

Board) Opinion (hereafter Adv. Op.) No.

101, July 27, 1989

8\. M.S. § 10A.275

9\. M.S. § 10A.275(1)

10\. M.S. § 10A.275(2)

11\. M.S. § 10A.275(3)

12\. M.S. § 10A.275(4)

13\. M.S. § 10A.275(5)

14\. M.S. § 10A.15(1); Minnesota Rules

(hereafter M.R.) Ch. 4501.0100(3)

15\. M.S. § 10A.15(2)

16\. M.S. § 10A.15(3)

17\. M.S. § 10A.15(3)

18\. M.S. § 10A.15(3)

19\. M.S. § 10A.15(3)

20\. M.S. § 10A.15(3)

21\. M.S. § 10A.15(3a)

22\. M.R. Ch. 4503.0600(1)

23\. M.S. § 10A.15(3c)

24\. M.S. § 10A.15(3c)

25\. M.S. § 10A.15(5)

26\. M.S. § 10A.16

27\. M.S. § 211B.08

28\. M.S. § 211B.08

29\. M.S. § 211B.081

30\. M.S. § 211B.081

31\. M.S. § 10A.273(1). The prohibition exists

regardless of office sought. M.S. § 211A.14;

*see,* Adv. Op. No. 130, March 10, 1993

(applicable to legislator running for mayor

of a municipality). Certain minimal

volunteer activity by a lobbyist on behalf of

a legislator is also exempt. Adv. Op. No.

151, June 30, 1994.

32\. M.S. § 211A.14; *see,* Adv. Op. No. 255,

January 24, 1997

33\. M.S. § 10A.273(3)

34\. M.S. § 10A.273(5)

35\. M.S. § 10A.273(2)

36\. Adv. Op. Nos. 138, February 22, 1994;

223, December 18, 1995; Federal Election

Comm'n Advisory Opinion No. 1994-27;

*see,* *Weber v. Heaney*, 995 F.2d 872 (8th

Cir. 1993); Adv. Op. No. 117, December

9, 1991 (fundraisers during winter

recess); Adv. Op. No. 124, May 27, 1992

(applicable even if invitation or ticket is

marked "complimentary")

37\. M.S. § 10A.12(1)

38\. M.S. § 10A.12(5)

39\. M.S. § 10A.12(2)

40\. M.S. § 211B.15(1)

41\. M.S. § 211B.15(4)

42\. M.S. § 211B.15(9)

43\. M.S. § 211B.15(10)

44\. M.S. § 211B.15(11)

45\. M.S. § 211B.15(8)

46\. M.S. § 72A.12(5)

47\. M.S. § 211B.15; *see,* Adv. Op. No. 284,

January 23, 1998 (nonprofit guidelines)

48\. *Minnesota Assn. of Commerce and Indus.*

*v. Foley*, 316 N.W.2d 524 (1982)

49\. *Minnesota Assn. of Commerce and Indus.*

*v. Foley*, 316 N.W.2d 524 (1982)

50\. M.S. § 211B.15(16)

51\. M.S. § 211B.15(16)

52\. M.S. § 211B.15(16)

53\. M.S. § 211B.15(17)

54\. M.S. § 211B.15(17); *see,* Adv. Op. No.

284, January 23, 1998 (nonprofit

guidelines)

55\. M.S. § 211B.15(17)

56\. M.S. § 10A.105(1)

57\. M.S. §§ 10A.11(2); 10A.12(4)

58\. M.S. § 10A.27(13)

59\. M.S. § 10A.27(13)

60\. M.S. § 10A.27(13); the Democratic

Congressional Campaign Committee is

not included in this exemption, Adv.

Op. No. 129, April 21, 1993

61\. M.S. § 10A.27(1)

62\. M.R. Ch. 4503.0700(2), (3)

63\. M.S. § 10A.27(1)(1)

64\. M.S. § 10A.27(1)(2)

65\. M.S. § 10A.27(1)(3)

66\. M.S. § 10A.27(1)(4)

67\. M.S. § 10A.27(1)(5)

68\. M.S. § 10A.27(1)(b)(2)

69\. M.S. § 10A.27(1)(b)(1)

70\. M.S. § 10A.27(11)

71\. M.S. § 211A.12; *see,* Adv. Op. No.

310, March 19, 1999

72\. M.S. § 211A.12(1)

73\. M.S. § 211A.12(2)

74\. M.S. § 10A.27(10). This includes loans.

Adv. Op. No. 207, March 1, 1995

75\. M.S. § 10A.27(8)

76\. M.R. Ch. 4503.1500

77\. M.S. § 10A.27(2). There is no limit on

independent expenditures by political

parties on behalf of candidates. *Republican*

*Party of Minn. v. Anderson*, No. 98‑CV‑

1698 (D.Minn. September 17, 1999)

78\. M.S. § 10A.01(30); Adv. Op. No. 199,

March 1, 1995 (political party does not

include an association that uses the

political party's name, other than

substate units)

79\. M.R. Ch. 4503.0500(6); *see,* Campaign

Finance and Public Disclosure Board,

*Contribution Issues*, June 1998 at 2

80\. M.R. Ch. 4503.0500(6)

81\. M.S. § 10A.15(3)(b)

82\. M.S. § 10A.15(3)(b)

83\. M.S. § 10A.27(9)(a)

84\. M.S. § 10A.27(9)(b)

85\. M.S. § 10A.27(9)(c)

86\. M.S. § 10A.17(4)

87\. M.S. § 10A.17(4)

88\. Minnesota Code of Judicial Conduct

(hereafter CJC) Canon 7(A)(1)(c); *see,*

*Republican Party of Minn. v. Kelly*,

Civ. No. 98‑831 (D. Minn. Sept. 13,

1999\)

89\. CJC Canon 7(B)(1)(b)

90\. CJC Canon 7(B)(2)

91\. CJC Canon 7(B)(2)

92\. CJC Canon 7(B)(2)

93\. M.S. § 10A.01(9)

94\. M.S. § 10A.01(9)

95\. M.S. § 10A.01(9). This includes, under

certain circumstances, use of funds from a

principal campaign committee to pay for

legal services if the services relate to the

candidate's chances of election, and the

candidate does not personally benefit from

the services, Adv. Op. No. 328, June 26,

2001\.

96\. M.S. §§ 10A.01(9)(1); 10A.01(26)

97\. M.S. § 10A.01(26)(1)

98\. M.S. § 10A.01(26)(2)

99\. M.S. § 10A.01(26)(3)

100\. M.S. § 10A.01(26)(5)

101\. M.S. § 10A.01(26)(6)

102\. M.S. § 10A.01(26)(7)

103\. M.S. § 10A.01(26)(8)

104\. M.S. § 10A.01(26)(9)

105\. M.S. § 10A.01(26)(10)

106\. M.S. § 10A.01(26)(11)

107\. M.S. § 10A.01(26)(12)

108\. M.S. § 10A.01(26)(13)

109\. M.S. § 10A.01(26)(14)

110\. M.S. § 10A.01(26)(15)

111\. M.S. § 10A.01(26)(16); *but see*, Adv. Op.

No. 132, August 4, 1993 (material that

was not defective when received

does not become defective by

subsequent circumstances that

may affect the continuing utility

of the material)

112\. M.S. § 10A.01(26)(17)

113\. M.R. Ch. 4503.0900(1)(B); M.S. §

363.01(13); Adv. Op. No. 221,

November 17, 1995

114\. M.R. Ch. 4503.0900(1)(C); *see,* Adv. Op.

No. 253, November 22, 1996

115\. M.R. Ch. 4503.0900(1)(D)

116\. M.R. Ch. 4503.0900(1)(E)

117\. M.S. § 10A.01(26)(18); *see,* M.R.

Ch. 4503.0900(1)

118\. M.S. § 10A.01(9)(2)

119\. M.S. § 10A.01(9)(3)

120\. M.S. § 10A.01(4); *Republican Party*

*of Minn. v. Pauly*, 63 F.Supp.2d 1008

(D.Minn. 1999)

121\. M.S. § 10A.01(4)

122\. M.S. § 10A.17(1)

123\. M.S. § 10A.17(2)

124\. M.S. § 10A.17(3)

125\. M.S. § 10A.18

126\. M.S. § 211A.07

127\. M.S. § 211B.05

128\. M.S. § 10A.01(18)

129\. M.S. § 10A.01(18). This provision was

ruled unconstitutional in *Republican Party*

*of Minn. v. Pauly*, 63 F.Supp.2d 1008

(D.Minn. 1999)

130\. M.S. § 10A.01(18)

131\. M.S. § 10A.17(4)

132\. M.S. § 10A.17(4)

133\. M.S. § 210A.16

134\. M.S. § 211B.12(1)

135\. M.S. § 211B.12(2)

136\. M.S. § 211B.12(3)

137\. M.S. § 211B.12(4)

138\. M.S. § 211B.12(5)

139\. M.S. § 211B.12(6)

140\. M.S. § 211B.12(7)

141\. M.S. § 211B.12(7)

142\. M.R. Ch. 4503.0900(1)(A)

143\. M.R. Ch. 4503.0900(1)(B); M.S.

§ 363.01(13); Adv. Op. No. 221,

November 17, 1995

144\. M.R. Ch. 4503.0900(1)(C); *see,* Adv. Op.

No. 253, November 22, 1996; Adv. Op.

No. 329, July 24, 2001

145\. M.R. Ch. 4503.0900(1)(D)

146\. M.R. Ch. 4503.0900(1)(E)

147\. M.S. §§ 211B.12; 10A.01(10)(c)(s)

148\. Campaign Finance and Public Disclosure

Board, *Expenditure (Disbursement)*

*Issues* (June 1996); *see*, Adv. Ops. No.

225, January 26, 1996; 239, June 28,

1996; 248 (undated, 1996); 255, January

24, 1997; 256, January 24, 1997; 266,

April 25, 1997

149\. M.S. § 211B.13(1)

150\. M.S. § 211B.13(2)

151\. Adv. Op. No. 133, November 5, 1993

152\. M.S. § 211B.12(7)

153\. Minnesota Constitution art. VII, sec. 9;

*Rosenstiel v. Rodriguez*, 101 F.3d 1544

(8th Cir. 1996) (inducements to

participate in public financing not

coercive, and thus don't burden free

speech rights of nonparticipating

candidates)

154\. M.S. §§ 10A.25; 10A.25(10)

155\. M.S. § 10A.25(10)(b); Adv. Op. Nos.

144, June 3, 1994, and 182, October 29,

1994 (exemption from spending limits

only apply to a major party opponent,

and not to an opponent who is an

independent candidate); 274, September

26, 1997 (clarifying definition of

"opponent")

156\. M.S. § 10A.25(10)(a)(1)

157\. M.S. § 10A.25(10)(a)(2)

158\. M.S. § 10A.25(2)(a) (1)

159\. M.S. § 10A.25(2)(a)(2)

160\. M.S. § 10A.25(2)(a)(3)

161\. M.S. § 10A.25(2)(a)(4)

162\. M.S. § 10A.25(2)(a)(5)

163\. M.S. § 10A.25(2)(b)

164\. M.S. § 10A.25(5)

165\. M.S. § 10A.25(6)

166\. M.S. § 10A.25(2)(d). The increase in the

expenditure limits is not available to a

governor-lieutenant governor ticket in

which one candidate has previously run

for office as defined under the law. Adv.

Op. No. 145, June 15, 1994. *See also,*

Adv. Ops. No. 149, June 27, 1994; 241,

July 26, 1996; 251, November 14, 1996;

281, November 21, 1997. *See also*, Adv.

Op. No. 333, October 24, 2001

167\. M.S. § 10A.255(1)

168\. Campaign Finance and Public Disclosure

Board, *Handbook for Principal*

*Campaign Committees* (November

1999\) at 11

169\. M.S. § 10A.255(1)

170\. M.S. § 10A.255(1)

171\. M.S. § 10A.275

172\. M.S. § 10A.275(1)(1)

173\. M.S. § 10A.275(1)(2)

184\. M.S. § 10A.275(1)(3)

175\. M.S. § 10A.275(1)(4)

176\. M.S. § 10A.275(1)(5)

177\. M.S. § 211B.15(1)

178\. M.S. § 211B.15(1a)

179\. M.S. § 211B.15(1b)

180\. M.S. § 72A.12(5)

181\. M.S. § 211B.15(17)

182\. M.S. § 211B.15(17); *see,* Adv. Op. No.

284, January 23, 1998 (nonprofit

guidelines)

183\. M.S. § 211B.15(17)

184\. M.S. 10A.01(14)

185\. M.S. 10A.01(27)

186\. M.S. 10A.01(28); Adv. Op. No. 216,

August 17, 1995

187\. M.R. Ch. 4503.0200(3)

188\. M.S. § 10A.20 (6); Campaign Finance and

Disclosure Board, *Handbook for*

*Principal Campaign Committees*

(November 1999) at 1

189\. M.S. § 10A.14(1); Adv. Op. No. 302,

August 28, 1998; *see, Shakopee*

*Mdewakanton Sioux (Dakota) Comm'ty*

*v. Anderson wt al.,* 586 N.W.2d 406

(Minn. App. 1998); Adv. Op. No.

290, June 26, 1998

190\. M.S. § 10A.14(2)(1)

191\. M.S. § 10A.14(2)(3)

192\. M.S. § 10A.14(2)(2)

193\. M.S. § 10A.14(2)(5)

194\. M.S. § 10A.14(2)(6)

195\. M.S. § 10A.20(8)

196\. M.S. § 10A.20(8)

197\. M.S. § 10A.20(2)

198\. M.S. § 10A.025(2)

199\. M.S. § 10A.20(2)(a)

200\. M.S. § 10A.20(2)(b)

201\. M.S. § 10A.20(2)(c)

202\. M.S. § 10A.025(1)

203\. M.S. § 10A.20(3)(a)

204\. M.S. § 10A.20(3)(b)

205\. M.S. § 10A.20(3)(b)

206\. M.S. § 10A.20(3)(b)

207\. M.S. § 10A.20(3)(b)

208\. M.S. § 10A.20(3)(c)

209\. M.S. § 10A.20(3)(d)

210\. M.S. § 10A.20(3)(d)

211\. M.S. § 10A.20(3)(e)

212\. M.S. § 10A.20(3)(f)

213\. M.S. § 10A.20(3)(g); payments to a third

party must disclose all required information

about the third party. Campaign Finance

and Public Disclosure Board, *Expenditure*

*(Disbursement) Issues*, June 1998 at 2.

214\. M.S. § 10A.20(3)(h); Adv. Op. No. 209,

October 4, 1995 (purchase of computer

equipment from contributed funds must

be reported as campaign expenditure)

215\. M.S. § 10A.20(3)(i)

216\. M.S. § 10A.20(3)(i)

217\. M.S. § 10A.20(3)(j)

218\. M.S. § 10A.20(3)(k)

219\. M.S. § 10A.20(2)(1)

220\. M.S. § 10A.20(3)(m)

221\. M.S. § 10A.20(3)(n)

222\. M.S. § 10A.20(14)

223\. M.S. § 10A.20(4)

224\. M.S. § 10A.20(5) ; M.R. Ch.

4501.0500(2)

225\. M.S. § 10A.20(5)

226\. M.S. § 10A.20(6a)

227\. M.S. § 10A.20(7)

228\. M.S. § 10A.20(3)(b)

229\. M.S. § 10A.20(3)(b)

230\. M.S. § 10A.20(3)(g)

231\. M.S. § 10A.27(13)(a); Adv. Op. No. 257,

January 24, 1997 (ballot questions)

232\. M.S. § 10A.27(13)(b)

233\. M.S. § 10A.025(4)

234\. M.S. § 10A.025(4)

235\. M.S. §§ 211A.01(3); 211A.02(1)(b)

236\. M.S. § 211A.02(2)

237\. M.S. § 211A.02(1)

238\. M.S. §§ 211A.02(1); 211A.01(7)

239\. M.S. § 211A.02(4)

240\. M.S. § 211A.02(2)(1)

241\. M.S. § 211A.02(2)(2)

242\. M.S. § 211A.02(2)(3)

243\. M.S. § 211A.02(2)(4)

244\. M.S. § 211A.02(2)(5)

245\. M.S. § 211B.15(12)

246\. M.S. § 10A.20(14)

247\. M.S. § 10A.30(1)

248\. M.S. § 10A.30(2)

249\. M.S. § 10A.31(1)

250\. M.S. §§ 10A.31(6), (7)

251\. M.S. § 10A.31(5)(a)(1)

252\. M.S. § 10A.31(5)(a)(2)

253\. M.S. § 10A.31(5)(a)(3)

254\. M.S. § 10A.31(5)(b)(1)

255\. M.S. § 10A.31(5)(b)(2)

256\. M.S. § 10A.31(5)(b)(3)

257\. M.S. § 10A.31(5)(b)(6)

258\. M.S. §§ 10A.31(5)(b)(4), (5)

259\. M.S. §§ 10A.31(5)(b)(4), (5)

260\. M.S. §§ 10A.05,10A.322(1)

*See,* Adv. Op. No. 209, October 4, 1995

(a separate subsidy agreement must be

signed for a second committee established

by the same candidate)

261\. M.S. §§ 10A.31(6), (6a), (7)

262\. M.S. § 10A.31(7)(b)

263\. M.S. § 10A.31(7)(b)

264\. M.S. § 10A.31(5a)

265\. M.S. § 10A.31(5a)(1)

266\. M.S. § 10A.31(5a)(1)

267\. M.S. § 10A.31(5a)(2)

268\. M.S. § 10A.31(5a)(2)

269\. M.S. § 10A.31(5a)(3)

270\. M.S. § 10A.31(5a)

271\. M.S. § 10A.31(5a)

272\. M.S. § 10A.31(5a)

273\. M.S. § 10A.31(5a)

274\. M.S. § 10A.31(5a)

275\. M.S. § 10A.315

276\. M.S. § 10A.31(6a)

277\. M.S. § 10A.31(6a)

278\. M.S. § 10A.31(7)(b)

279\. M.S. § 10A.31(7b)

280\. M.S. § 10A.31(6)

281\. M.S. § 10A.31(7)(a)(1)

282\. M.S. § 10A.31(7)(a)(2)

283\. M.S. § 10A.31(7)(a)(3)

284\. M.S. § 10A.31(10)

285\. M.S. § 10A.31(10)

286\. M.S. § 10A.31(10b)

287\. M.S. § 10A.323

288\. M.S. § 10A.323(1)

289\. M.S. § 10A.323(2)

290\. M.S. § 10A.323(3)

291\. M.S. § 10A.323(4)

292\. M.S. § 10A.323(5)

293\. M.S. § 10A.323

294\. M.S. §§ 10A.31(3a)(b)(1);

10A.01(25); 200.02(23)

295\. M.S. § 10A.31(3a)(b)(2)

296\. M.S. § 10A.31(3a)(b)(3)

297\. M.S. § 10A.31(3a)(b)

298\. M.S. § 10A.31(1)

299\. M.S. § 10A.31(1)

300\. M.S. § 10A.31(1)

301\. M.S. § 10A.31(2)

302\. M.S. § 290.06(23)(a). This refund

provision was upheld in in *Rosenstiel*

*v. Holahan*, Civil No. 3-94-1008

(D.Minn. 3d Div. March 21, 1995)

Unpublished Memorandum Opinion and

Order at 11, 16. *Appeal docketed, sub*

*nom.* *Rosenstiel v. Sillers*, No. 95-1885

(8th Cir. 1995)

303\. M.S. § 290.06(23)(c)

304\. M.S. § 290.06(23)(a)

305\. M.S. § 290.06(23)(a)

306\. M.S. § 290.06(23)(b)(1)

307\. M.S. § 290.06(23)(b)(2)

308\. M.S. § 290.06(23)(b)(3)

309\. M.S. § 290.06(23)(a)

310\. M.S. § 290.06(23)(c)

311\. M.S. § § 290.06(23)(c); 10A.31(3)(a);

Adv. Op. No. 128, February 27, 1993

312\. M.S. § 290.06(23)(c)

313\. M.S. § 10A.025(3)

314\. M.S. § 10A.24

315\. M.S. § 10A.24(1); *see,* Adv. Op. No. 104,

March 30, 1990

316\. M.S. § 10A.24(1)

317\. M.S. § 10A.241

318\. M.S. § 10A.242(2)(a)(1)

319\. M.S. § 10A.242(2)(a)(2)

320\. M.S. § 10A.242(2)(b)

321\. M.S. § 10A.242(1)

322\. M.S. § 10A.242(3)

323\. M.S. § 10A.257(1)

324\. M.S. § 10A.34(1)

325\. M.S. §§ 10A.11(7); 10A.12(6);

10A.13(1)(f); 10A.14(4)

326\. M.S. §§ 10A.15(4); 10A.17(5)

327\. M.S. § 10A.18

328\. M.S. § 10A.17(5)

329\. M.S. § 10A.36

330\. M.S. § 10A.20(12)

331\. M.S. § 10A.20(12)

332\. M.S. § 10A.20(12)

333\. M.S. § 10A.025(2)

334\. M.S. § 10A.025(3)

335\. M.S. § 10A.14(4)

336\. M.S. § 10A.14(4)

337\. Campaign Finance and Public Finance

Board Resolution, July 26, 1996

338\. M.S. § 10A.27(13)(b)(1)

339\. M.S. § 10A.27(13)(b)(2)

340\. M.S. § 10A.22(13)(b)

341\. M.S. § 10A.28(1); *Matter of Sandy*

*Pappas Senate Committee*, 488 N.W.2d

795 (Minn. 1992), *reh'g denied* (Board

not authorized to withhold public

subsidies as penalty for spending

violations)

342\. M.S. § 10A.28(2)

343\. M.S. § 10A.28(4)

344\. M.S. § 10A.29

345\. M.S. § 10A.34(1)

346\. M.S. § 211B.13(1)

347\. M.S. § 211A.05

348\. M.S. § 211A.06

349\. M.S. § 211B.15(6)

350\. M.S. § 211B.15(7)

351\. M.S. § 211B.15(13)

352\. M.S. § 72A.12(5)

353\. M.S. § 211A.11

354\. M.S. § 211A.10

355\. M.S. § 211A.10

356\. M.S. § 211A.09

357\. M.S. § 211A.08

358\. M.S. § 10A.273(4)

359\. M.S. § 10A.02(1)

360\. M.S. § 10A.02(1)

361\. M.S. § 10A.02(1)

362\. M.S. § 10A.02(1)

363\. M.S. § 10A.02(3)

364\. M.S. § 10A.02(5)

365\. M.S. § 10A.02(8)(a)

366\. M.S. § 10A.02(8)(a)

367\. M.S. § 10A.02(8)(b)

368\. M.S. § 10A.02(8)(c)

369\. M.S. § 10A.02(8)(d)

370\. M.S. § 10A.02(8)(e)

371\. M.S. § 10A.02(8)(f)

372\. M.S. § 10A.02(8)(g)

373\. M.S. § 10A.02(8)(h)

374\. M.S. § 10A.02(9)

375\. M.S. §§ 10A.20(12); 10A.14(4)

376\. M.S. § 10A.20(12)

377\. M.S. § 10A.14(4)

378\. M.S. § 10A.20(12)

379\. M.S. § 10A.34(1a)

380\. M.S. § 10A.02(13)

381\. M.S. § 10A.02(12)

382\. M.S. § 10A.02(12)

383\. M.S. § 10A.02(12)

384\. M.S. § 10A.02(12)(b)

385\. M.S. § 10A.02(12)(c)

386\. M.S. § 10A.02(10). Failure to enforce at

one point is not a bar to future potential

enforcement, *Shakopee Mdewakanton*

*Sioux (Dakota) Comm'ty*, 586 N.W.2d 406

(Minn. App. 1998)

387\. M.S. § 10A.02(10)

388\. M.S. § 10A.02(10)

389\. M.S. § 10A.02(10)

390\. M.S. § 10A.02(11)

391\. M.R. Ch. 4525.0200(1)

392\. M.S. § 10A.02(11)(a)

393\. M.R. Ch. 4525.0200(2)

394\. M.R. Ch. 4525.0200(2)

395\. M.R. Ch. 4525.0200(2)

396\. M.R. Ch. 4525.0200(2)

397\. M.R. Ch. 4525.0200(2)

398\. M.R. Ch. 4525.0200(3)

399\. M.R. Ch. 4525.0200(3)

400\. M.R. Ch. 4525.0200(3)

401\. M.S. § 10A.02(11)

402\. M.R. Ch. 4525.0200(2)

403\. M.S. § 10A.02(11)

404\. M.S. § 10A.02(11)

405\. M.S. § 10A.02(11a)(1)

406\. M.S. § 10A.02(11a)(2)

407\. M.S. § 10A.28(3)

408\. M.S. § 10A.28(4)

409\. M.S. § 10A.273(4)

410\. M.R. Ch. 4503.1600

411\. *Matter of Sandy Pappas Senate*

*Committee*, 488 N.W.2d 795 (Minn.

1992), *reh'g denied*

412\. M.S. §§ 10A.20(10); 10A.20(8)

413\. M.S. § 10A.20(10)

414\. M.S. § 10A.20(10)

415\. M.S. § 10A.20(10)

416\. M.S. § 10A.20(10)

417\. M.S. § 10A.20(10)

418\. M.S. § 10A.322(1)(b)

419\. M.S. § 10A.321(2)

420\. M.S. § 10A.31(6)

421\. M.S. § 10A.31(7)(a)

422\. M.S. § 10A.34(2)

423\. M.S. §§ 10A.322(4); 290.06(23)

424\. M.S. § 10A.31(3)

425\. M.S. § 10A.31(1)

426\. M.S. §§ 10A.31(6), (7)

427\. M.S. § 10A.321(1)

428\. M.S. § 290.06(23)(d)

429\. M.S. § 290.06(23)(f)

430\. M.S. § 211A.04(1)

431\. M.S. §§ 211A.04(2); 211B.14

432\. M.S. § 10A.31(3a)(b)

433\. M.S. § 10A.34(2)

434\. M.S. § 211A.08(1)

435\. M.S. § 211A.08(1)

436\. M.S. § 211A.08(2)

**CAMPAIGN FINANCE LAW**

**IN MISSISSIPPI**

**I. INTRODUCTION**

Mississippi requires candidates and committees to file periodic campaign
finance disclosure reports. In 1999 and every fourth year thereafter,
pre‑election reports must be filed no later than the seventh day before
any election in which the candidate or political committee has accepted
contributions or made expenditures, with the reports complete as of the
10th day before the election. In 1999 and every fourth year thereafter,
reports are due no later than the 10th day after May 31, June 30,
September 30, and December 31, complete as of the last day of the
reporting period. Persons making independent expenditures in excess of
\$200 in a calendar year must also file. Reports may be filed
electronically. A corporation may not contribute more than \$1,000 to
any one political party in any calendar year, nor more than \$1,000 to a
candidate's entire campaign for a particular office. All other
contributions and expenditures to non-judicial candidates are unlimited,
except that state highway patrol members may not make campaign
contributions. Mississippi offers no tax incentives for political
contributions, nor a mechanism for public financing of election
campaigns. The Secretary of State is generally responsible for
overseeing the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is any gift,
subscription, loan, advance, deposit of money or anything of value made
by any person or political committee for the purpose of influencing any
election for elective office or ballot measure \[1\]. A contribution to
a political party includes any gift, subscription, loan, advance or
deposit of money or anything of value made by any person, political
committee, or other organization to a political party and to any
committee, subcommittee, campaign committee, political committee and
other groups of persons and affiliated organizations of the political
party \[2\]. With respect to a ballot measure committee, a contribution
means any gift, subscription, loan, advance, money, or anything of value
made by a person or political committee for the purpose of influencing
the passage or defeat of a measure on the ballot, for the purpose of
obtaining signatures for the proposed ballot measures and attempting to
place the proposed measure on the ballot, and for the purpose of
opposing efforts to place a proposed measure on the ballot \[3\].

A contribution does not include the value of services provided without
compensation by any individual who volunteers on behalf of a candidate
or political committee, or the cost of any food or beverage for use in
any candidate's campaign or for use by or on behalf of any political
committee of a political party \[4\]. A contribution to a political
party does not include the value of services provided without
compensation by any individual who volunteers on behalf of a political
party or a candidate of a political party \[5\]. A contribution to a
ballot measure committee does not include any noncompensated,
nonreimbursed volunteer personal services \[6\].

**B. Limitations on Corporate Contributions.** A corporation,
incorporated company, or incorporated association incorporated or
organized under Mississippi law, or doing business in Mississippi, and
any servant, agent, employee, or officer of such an entity, may not
give, donate, appropriate, or furnish directly or indirectly, any money,
security, funds, or property of the entity in excess of \$1,000 per
calendar year to aid any political party or any candidate for any public
office of any political party, or give, donate, appropriate, or furnish
directly or indirectly, any money, security, funds, or property of the
entity in excess of \$1,000 to any committee or person as a contribution
to the expense of any political party or any candidate, representative,
or committee of any political party or candidate for nomination by any
political party, or any committee or person acting in behalf of such
candidate in any calendar year \[7\].

The \$1,000 limit on corporate contributions to political candidates
applies to a candidate's entire campaign for a particular political
office, including both the primary and general election campaigns, while
the \$1,000 limit as applied to political parties, candidates and
committees, or other persons acting in behalf of such candidates is an
annual calendar year restriction \[8\].

A political action committee (PAC) may be formed by a corporation, and
voluntary contributions may be solicited by the PAC to the corporation's
employees and shareholders, but the PAC cannot be used to avoid the
\$1,000 limitation on corporate contributions. Any monies indirectly
contributed to the PAC for the purpose of aiding a particular political
party or candidate would count toward the \$1,000 limit, subject to the
facts of each case \[9\].

**C. Limitations on Regulated Industry Contributions.** Regulated
industries, companies, corporations, stockholders, or their agents or
representatives are prohibited from contributing, directly or
indirectly, to campaigns for Public Service Commissioner or to a
campaign waged by a staff member of the Public Service Commission
\[10\].

**D. Limitations on Government Employee Contributions.** No member of
the Mississippi highway patrol is permitted to contribute any money or
other thing of value, directly or indirectly, to any political campaign
or to any candidate for public office \[11\]. No person may solicit or
attempt to solicit any money or thing of value for political purposes
from any employee of the patrol \[12\].

**E. Limitations on Contributions to and Solicitations by Judicial
Candidates.** A candidate, including an incumbent judge, for judicial
office filled by public election between competing candidates may not
solicit campaign contributions earlier than 60 days before the
qualifying deadline, and no later than 90 days after the last election
in which the candidate participates during the election year \[13\].

Political parties and any committee or political committee affiliated
with a political party may not engage in fundraising on behalf of a
candidate or officeholder of a nonpartisan judicial office, nor may a
political party or any committee or political committee affiliated with
a political party make any contribution to a candidate for nonpartisan
judicial office or the political committee of a candidate for
nonpartisan judicial office \[14\]. A candidate or candidate's political
committee for nonpartisan judicial office may not accept a contribution
from a political party or any committee or political committee
affiliated with a political party \[15\].

An individual or political action committee not affiliated with a
political party may not give, donate, appropriate or furnish directly or
indirectly, any money, security, funds or property in excess of \$2,500
for the purpose of aiding any candidate or candidate's political
committee for judge of a county, circuit, or chancery court or in excess
of \$5,000 for the purpose of aiding any candidate or candidate's
political committee for judge of the Court of Appeals or justice of the
Supreme Court \[16\]. The same limits apply to contributions to the
expense of a candidate for judicial office \[17\].

**F. Prohibitions on Contributions by Foreign Nationals.** A foreign
national, may not, directly or through any other person, make any
contribution or any expenditure of money or other thing of value, or to
promise expressly or impliedly to make any such contribution or
expenditure, in connection with an election to any political office or
in connection with any primary election, convention, or caucus held to
select candidates for any political office \[18\], and no one may
solicit, accept, or receive any such contribution from a foreign
national \[19\].

The term foreign national means a foreign principal as defined by
federal law (except that the term does not include any individual who is
a citizen of the United States) \[20\], and an individual who is not a
citizen of the United States and who is not lawfully admitted for
permanent residence \[21\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is any purchase,
payment, distribution, loan, advance, deposit, gift of money or anything
of value, made by any person or political committee for the purpose of
influencing any ballot measure or election to office, and a written
contract, promise, or agreement to make an expenditure \[22\], for the
purpose of obtaining signatures for a proposed ballot measure and
attempting to place the proposed measure on the ballot, and for the
purpose of opposing efforts to place a proposed measure on the ballot
\[23\]. A contribution from a political committee to a statewide
candidate or his or her committee constitutes an expenditure of the
contributing committee \[24\].

An expenditure by a political party includes any purchase, payment,
distribution, loan, advance, deposit, gift of money or anything of
value, made by any political party

and by any contractor, subcontractor, agent, and consultant to the
political party \[25\]; and a written contract, promise, or agreement to
make such an expenditure \[26\].

An expenditure does not include any news story, commentary, or editorial
distributed through the facilities of any broadcasting station,
newspaper, magazine, or other periodical publication, unless such
facilities are owned or controlled by any political party, political
committee, or candidate \[27\]. An expenditure also does not include
nonpartisan activity designed to encourage individuals to vote or
register to vote \[28\].

**B. Definition of Independent Expenditure.** An independent expenditure
is an expenditure by a person expressly advocating the election or
defeat of a clearly identified candidate which is made without
cooperation or consultation with any candidate or any authorized
committee or agent of the candidate, and which is not made in concert
with or at the request or suggestion of any candidate or any authorized
committee or agent of the candidate \[29\]. The term "clearly
identified" means that the name of the candidate involved appears
\[30\]; a photograph or drawing of the candidate appears \[31\]; or the
identity of the candidate is apparent by unambiguous reference \[32\].

**C. Restrictions on Expenditures.** Mississippi does not place a limit
on the amount of money that a candidate or political committee may
spend.

A candidate, including an incumbent judge, for judicial office filled by
election between competing candidates should not use or permit the use
of campaign contributions for the private benefit of the candidate or
members of the candidate's family \[33\].

**IV. REPORTING REQUIREMENTS**

Any registration statement or campaign finance report required to be
filed must be done so that the filing officer is in actual receipt of
the material by 5:00 p.m. on the dates specified. If the date specified
falls on a weekend or legal holiday then the report is due in the
appropriate office at 5:00 p.m. on the first working day before the date
specified \[34\]. The Secretary of State may approve specific means of
electronic transmission of completed campaign finance disclosure
reports, which may include, but not be limited to, transmission by
electronic facsimile \[35\].

**A. Registration of Political Committees.** A political committee is
any committee, party, club, association, political action committee,
campaign committee, or groups of persons or affiliated organizations
which receives contributions aggregating in excess of \$200 in any
calendar year, or which makes expenditures aggregating in excess of
\$200 during a calendar year for the purpose of influencing or
attempting to influence the action of voters for or against the
nomination for election, or election, of one or more candidates, or any
ballot measure \[36\]. The definition also encompasses each political
party registered with the Secretary of State \[37\].

Each political committee must file a statement of organization no later
than 10 days after receiving contributions aggregating in excess of
\$200 or no later than 10 days after making expenditures aggregating in
excess of \$200 \[38\]. The statement of organization and periodic
reports of the committee are filed with the circuit clerk or municipal
clerk of the particular county or municipality if the ballot issue the
political committee is organized for or against is only on the ballot
locally \[39\]. If the candidate or issue is statewide, the statement of
organization and periodic reports would be filed with the Secretary of
State's office \[40\]. The statement of organization must include the
name and address of the committee and all officers \[41\]; designation
of a director of the committee and a custodian of the books and accounts
of the committee, who shall be designated treasurer \[42\]; and, if the
committee is authorized by a candidate, the name, address, office
sought, and party affiliation of the candidate \[43\]. Any change of
information previously submitted in a statement of organization may be
reported and noted on the next regularly scheduled report \[44\].

**B. Statewide Office Candidates, Candidates Elected by Supreme Court
District, and Political Committees.** Candidates for statewide or
offices elected by supreme court district, and political committees
making reportable contributions to or expenditures in support of or
opposition to a candidate for any such office file reports with the
Secretary of State \[45\]. A preelection report is required in any
calendar year during which there is a regularly scheduled election
\[46\]. This report must be filed no later than the seventh day before
any election in which the candidate or political committee has accepted
contributions or made expenditures, and must be complete as of the 10th
day before the election \[47\]. In 1999 and every fourth year
thereafter, periodic reports complete as of the last day of the period
must be filed no later than the 10th day after May 31, June 30,
September 30, and December 31 \[48\]. In any calendar year except 1995
and every fourth year thereafter, a report covering the calendar year
must be filed no later than January 31 of the following calendar year
\[49\].

The reports must identify each person or political committee who makes a
contribution to the reporting committee during the reporting period if
the contribution or contributions within the calendar year have an
aggregate amount or value in excess of \$200, together with the date and
amount of the contribution \[50\]. The identification must include the
name, the mailing address, and the occupation of an individual
contributor, as well as the name of his or her employer \[51\], and, in
the case of any other person, the full name and address of such person
\[52\]. The report must also contain, for both the reporting period and
the calendar year, the total amount of all such contributions \[53\],
and the total amount and dates and amounts of all expenditures to each
person or organization, candidate, or political committee who receives
an expenditure, payment, or other transfer from the reporting candidate,
political committee, or its agent, employee, designee, contractor,
consultant or other person or persons acting in its behalf during the
reporting period when the expenditure, payment or other transfer to such
person, organization, candidate, or political committee within the
calendar year in excess of \$200 \[54\]. The report must also include
the total amount of cash on hand of each reporting candidate and
reporting political committee \[55\].

If any contribution of more than \$200 is received by a candidate or
candidate's political committee after the 10th day, but more than 48
hours before 12:01 a.m. of the day of the election, the candidate or
political committee must notify the filing officer within 48 hours of
receipt of the contribution \[56\]. The notification must include the
name of the receiving candidate \[57\]; the name of the receiving
candidate's political committee, if any \[58\]; the office sought by the
candidate \[59\]; the identification of the contributor \[60\]; the date
of receipt \[61\]; the amount of the contribution \[62\]; if the
contribution is in‑kind, a description of the in‑kind contribution
\[63\]; and the signature of the candidate or the treasurer or director
of the candidate's political committee \[64\]. The notification must be
in writing, and may be transmitted by overnight mail, courier service,
or other reliable means, including FAX, but the candidate or candidate's
committee must ensure that the notification will be received in the
appropriate office within 48 hours of the contribution \[65\].

**C. Legislative District Offices and Political Committees.** Candidates
for all state district and legislative offices and political committees
making reportable contributions to or expenditures in support of or
opposition to a candidate for any such office file reports with the
Secretary of State \[66\]. A pre‑election report is required in any
calendar year during which there is a regularly scheduled election
\[67\]. This report must be filed no later than the seventh day before
any election in which the candidate or political committee has accepted
contributions or made expenditures, and must be complete as of the 10th
day before the election \[68\]. In 1999 and every fourth year
thereafter, periodic reports complete as of the last day of the period
must be filed no later than the 10th day after May 31, June 30,
September 30, and December 31 \[69\]. In any calendar year except 1995
and every fourth year thereafter, a report covering the calendar year
must be filed no later than January 31 of the following calendar year
\[70\].

The reports must identify each person or political committee who makes a
contribution to the reporting committee during the reporting period if
the contribution or contributions within the calendar year have an
aggregate amount or value in excess of \$200, together with the date and
amount of the contribution \[71\]. The identification must include the
name, the mailing address, and the occupation of an individual
contributor, as well as the name of his or her employer \[72\], and, in
the case of any other person, the full name and address of such person
\[73\]. The report must also contain, for both the reporting period and
the calendar year, the total amount and dates and amounts of all such
contributions \[74\] and the total amount and dates and amounts of all
expenditures to each person or organization, candidate, or political
committee who receives an expenditure, payment, or other transfer from
the reporting candidate, political committee, or its agent, employee,
designee, contractor, consultant or other person or persons acting in
its behalf during the reporting period when the expenditure, payment or
other transfer to such person, organization, candidate, or political
committee within the calendar year in excess of \$200 \[75\]. The report
must also include the total amount of cash on hand of each reporting
candidate and reporting political committee \[76\].

**D. County and County District Candidates and Political Committees.**
Candidates for county or county district office and every political
committee which makes reportable contributions to or expenditures in
support of or opposition to a candidate for any such office file reports
with the circuit clerk of the county in which the election occurs for
forwarding to the Secretary of State \[77\]. A pre‑election report is
required in any calendar year during which there is a regularly
scheduled election \[78\]. This report must be filed no later than the
seventh day before any election in which the candidate or political
committee has accepted contributions or made expenditures, and must be
complete as of the 10th day before the election \[79\]. In 1999 and
every fourth year thereafter, periodic reports complete as of the last
day of the period must be filed no later than the 10th day after May 31,
June 30, September 30, and December 31 \[80\]. In any calendar year
except 1999 and every fourth year thereafter, a report covering the
calendar year must be filed no later than January 31 of the following
calendar year \[81\].

The reports must identify each person or political committee who makes a
contribution to the reporting committee during the reporting period if
the contribution or contributions within the calendar year have an
aggregate amount or value in excess of \$200, together with the date and
amount of the contribution \[82\]. The report must also contain, for
both the reporting period and the calendar year, the total amount of all
such contributions \[83\] and the total amount and dates and amounts of
all expenditures to each person or organization, candidate, or political
committee who receives an expenditure, payment, or other transfer from
the reporting candidate, political committee, or its agent, employee,
designee, contractor, consultant or other person or persons acting in
its behalf during the reporting period when the expenditure, payment or
other transfer to such person, organization, candidate, or political
committee within the calendar year in excess of \$200 \[84\]. The report
must also include the total amount of cash on hand of each reporting
candidate and reporting political committee \[85\].

If any contribution of more than \$200 is received by a candidate or
candidate's political committee after the 10th day, but more than 48
hours before 12:01 a.m. of the day of the election, the candidate or
political committee must notify the filing officer within 48 hours of
receipt of the contribution \[86\]. The notification shall include the
name of the receiving candidate \[87\]; the name of the receiving
candidate's political committee, if any \[88\]; the office sought by the
candidate \[89\]; the identification of the contributor \[90\]; the date
of receipt \[91\]; the amount of the contribution \[92\]; if the
contribution is in‑kind, a description of the in‑kind contribution
\[93\]; and the signature of the candidate or the treasurer or director
of the candidate's political committee \[94\]. The notification must be
in writing, and may be transmitted by overnight mail, courier service,
or other reliable means, including FAX, but the candidate or candidate's
committee must ensure that the notification will be received in the
appropriate office within 48 hours of the contribution \[95\].

**E. Committees Seeking to Influence a Ballot Measure.** A person, other
than an individual, who seeks to influence the passage or defeat of a
measure on the ballot \[96\], must file a statement of organization with
the Secretary of State no later than 10 days after receipt of
contributions aggregating in excess of \$200, or not later than 10 days
after having made expenditures aggregating in excess of \$200 \[97\].
The statement of organization must include the name and address of the
committee and all officers \[98\], designation of a director of the
committee and custodian of the books and accounts of the committee, who
is to be designated treasurer \[99\], and a brief statement identifying
the measure that the committee seeks to pass or defeat \[100\]. Any
change in information on the statement of organization must be reported
and filed within 10 days \[101\].

When a political committee that seeks to influence the passage or defeat
of a measure on the ballot either receives contributions or makes
expenditures in excess of \$200, it must file reports with the Secretary
of State \[102\]. Reports are to be filed monthly, not later than the
10th day of the month following the month being reported, and the
reporting obligation continues until all contributions and expenditures
cease, but in all cases, a report must be filed 30 days after the
election on a measure \[103\]. The reports must contain the name,
address, and telephone number of the committee filing the report
\[104\]; the total amount and dates and amounts of contributions
received during the period covered by the report \[105\]; the total
amount and dates and amounts of expenditures made during the period
covered by the report \[106\]; the cumulative amount of those totals for
each measure \[107\]; the balance of cash and cash equivalents on hand
at the beginning and the end of the period covered by the financial
report \[108\]; the total amount of contributions received during the
period covered by the report from persons who contributed \$200 or less,
and the cumulative amount of that total for each measure \[109\]; the
total amount of contributions received during the period covered by the
report from persons who contributed \$200 or more, and the cumulative
amount of that total for each measure \[110\]; and the name and street
address of each person from whom a contribution exceeding \$200 was
received during the reporting period, together with the amount
contributed, the date of receipt, and the cumulative amount contributed
by that person for each measure \[111\]. The report must also include
the total amount of cash on hand of each reporting candidate and
reporting political committee \[112\].

**F. Candidates for Judge.** A candidate for judicial office filled by
election between competing candidates must establish a campaign
committee before accepting contributions \[113\]. Candidates for the
Court of Appeals, Circuit Court Judge, and Chancery Court Judge file a
Statement of Organization for a Political Committee and subsequent
disclosure reports with the Secretary of State \[114\]. All candidates
for judicial office or their political committees file reports in the
year in which they are to be elected no later than the 10th day after
April 30, May 31, June 30, September 30, and December 31 \[115\].

Judicial candidates must disclose the identity of any individual or
entity from which the candidate or the candidate's committee receives a
loan or other extension of credit for use in the campaign and any
cosigners for a loan or extension of credit \[116\]. The candidate or
the candidate's committee is also required to disclose how the loan or
other extension of credit was used, and how and when the loan or other
extension of credit is to be repaid and the method of repayment \[117\].
The candidate or the candidate's committee must disclose all loan
documents related to such loans or extensions of credit \[118\].

Since the Code of Judicial Conduct requires all judicial candidates to
form political committees for the purpose of accepting and soliciting
campaign contributions, the reporting threshold for all judicial
candidates has been interpreted to be \$200 \[119\].

**G. Those Making Certain Independent Expenditures.** Each person making
independent expenditures in an aggregate amount or value in excess of
\$200 during a calendar year must file a statement with the Secretary of
State or circuit court clerk, as appropriate, identifying each person or
political committee who makes a contribution to the person making the
independent expenditures during the reporting period if the contribution
or contributions within the calendar year have an aggregate amount or
value in excess of \$200, when made to a political committee or to a
candidate for an office other than statewide office or office elected by
supreme court district, or in excess of \$500 when made to a political
committee or to a candidate for statewide office or office elected by
supreme court district, together with the date and amount of the
contribution \[120\]. The report must also contain, for both the
reporting period and the calendar year, the total amount and dates and
amounts of all such contributions \[121\] and the total amount and dates
and amounts of all expenditures to each person or organization,
candidate, or political committee who receives an expenditure, payment,
or other transfer from the reporting candidate, political committee, or
its agent, employee, designee, contractor, consultant or other person or
persons acting in its behalf during the reporting period when the
expenditure, payment or other transfer to such person, organization,
candidate, or political committee within the calendar year in excess of
\$200 \[122\].

In addition, a statement filed by a person making an independent
expenditure must include information indicating whether the independent
expenditure is in support of, or in opposition to, the candidate
involved \[123\]; a certification, under penalty of perjury, of whether
or not the independent expenditure is made in cooperation, consultation,
or concert with, or at the request or suggestion of, any candidate or
authorized committee or agent of the candidate \[124\]; and the
identification of each person who made a contribution for the purpose of
furthering an independent expenditure in excess of \$200 to the person
filing the statement \[125\].

**H. Political Party Committees.** In addition to meeting all other
reporting requirements imposed upon a political committee, a political
party must disclose wach person or political committee who makes a
contribution to a political party during the reporting period and whose
contribution or contributions to a political party within the calendar
year have an aggregate amount or value in excess of \$200 together with
the date and amount of the contribution \[126\], and each person or
organization who receives an expenditure by a political party or
expenditures by a political party during the reporting period when the
expenditure or expenditures to the person or organization within the
calendar year have an aggregate value or amount in excess of \$200,
together with the date and amount of the expenditure \[127\].

**I. Committees With a Majority of Out-of-State Contributions.** A
political committee that receives more than 50 percent of its
contributions from persons or political committees domiciled outside of
Mississippi is not required to identify contributors who are domiciled
outside of the state \[128\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Termination of Reporting.** All candidates or political committees
required to report terminate their obligation to report only upon
submitting a final report stating that it will no longer receive any
contributions or make any disbursement, and that the candidate or
committee has no outstanding debt or obligation \[129\].

**VI. OFFENSES AND PENALTIES**

Any candidate or other person who willfully and deliberately and
substantially violates the provisions and prohibitions of the campaign
finance statutes is guilty of a misdemeanor and upon conviction may be
punished by a fine of not more than \$3,000, or imprisoned for not
longer than six months, or by both fine and imprisonment \[130\]. Any
candidate or political committee which is required to file a statement
or report and fails to file on the date specified may be compelled to
file the report by an action in the nature of a mandamus \[131\]. A
candidate may not be certified as nominated for election or as elected
to office unless and until the candidate files all required reports due
as of the date of certification \[132\]. A candidate elected to office
may not receive any salary or remuneration for the office unless and
until the candidate files all required reports due as of the date the
salary or remuneration is payable \[133\]. In the event that a candidate
fails to timely file any required report but subsequently files a report
or report containing the required information as of the date on which
the sanctions would otherwise be applied to the candidate, the candidate
is not subject to the sanctions \[134\].

In addition to any other penalty permitted by law, the Secretary of
State shall require any candidate or political committee registered with
the Secretary of State, who fails to file a required campaign finance
disclosure report, or who files a report which fails to substantially
comply with the requirements, to be assessed a civil penalty \[135\].
Beginning with the 10th calendar day after which a report is due, the
Secretary of State must assess the delinquent candidate and political
committee a civil penalty of \$50 for each day or part of any day until
a valid report is delivered to the Secretary of State, up to a maximum
of 10 days \[136\]. However, in the discretion of the Secretary of
State, the fine may be waived in whole or in part if the Secretary of
State determines that unforeseeable mitigating circumstances, such as
the health of the candidate, interfered with timely filing of a report
\[137\]. Failure of a candidate or political committee to receive notice
of failure to file a report from the Secretary of State is not an
unforeseeable mitigating circumstance, and failure to receive the notice
may not result in removal or reduction of any assessed civil penalty
\[138\]. Filing of the required report and payment of the fine within 10
calendar days of notice by the Secretary of State that a required
statement has not been filed, constitutes compliance \[139\]. If any
candidate or political committee is assessed a civil penalty, and the
penalty is not subsequently waived by the Secretary of State, the
candidate or political committee must pay the fine to the Secretary of
State within 90 days of the date of the assessment of the fine, and if
the entire amount of the assessed fine has not been received by the
Secretary of State, after 120 days of the assessment of the fine, the
Attorney General is required to file suit to compel payment of the civil
penalty \[140\].

Any member of the Mississippi highway patrol who contributes money or
other things of value to a political campaign or candidate is guilty of
a misdemeanor and must be dismissed from the patrol \[141\]. Any person
attempting to solicit such a contribution is guilty of a misdemeanor
\[142\].

A corporation violating the provisions relating to corporate
contributions may be fined between \$1,000 and \$5,000 \[143\]. A
violation of provisions related to contributions by a regulated industry
to a campaign for Public Service Commissioner may be punished by a fine
of not less than \$5,000 or imprisonment of one year or more \[144\].

A violation of the provisions related to registration and reporting with
respect to ballot measures is punishable by imprisonment in the county
jail for not more than one year, by a fine of not more than \$1,000, or
both \[145\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is the filing officer
for candidates and political committees who participate in campaigns for
statewide offices or ballot measures, offices elected by supreme court
district, and all legislative offices \[146\]. The Secretary of State
must make all campaign finance reports received available for public
inspection and copying and preserve the reports for five years \[147\].

The Secretary of State must, within five calendar days after any
deadline for filing a campaign finance report, compile a list of those
candidates and political committees who have failed to file a report and
provide each candidate or political committee, who has failed to file a
report, notice of the failure by first‑class mail \[148\]. Beginning
with the 10th calendar day after which a report is due, the Secretary of
State must assess the delinquent candidate and political committee a
specified civil penalty, but may determine that unforeseeable mitigating
circumstances, such as the health of the candidate, interfered with
timely filing of a report \[149\]. If the entire amount of the assessed
fine has not been received by the Secretary of State after 120 days of
the assessment of the fine, the Secretary of State must notify the
Attorney General of the delinquency \[150\]. If a candidate or political
committee fails to file a valid report with the Secretary of State after
20 calendar days of the date upon which a campaign finance disclosure
report is due, the Secretary of State must notify the Attorney General
of those candidates and political committees who have not filed a valid
report \[151\]. If a candidate or political committee fails to pay the
monetary civil penalty imposed by a hearing officer after 45 calendar
days of the date of an administrative hearing procedure the Secretary of
State must notify the Attorney General of the delinquency \[152\]. The
Secretary of State is required to compile a list of all candidates for
the Legislature or any statewide office who fail to file a campaign
disclosure report by the

specified dates and disseminate the list to the members of the
Mississippi Press Association within two working days after such reports
are due and made available to the public \[153\].

A candidate or political committee against which a civil penalty has
been assessed may appeal to the Secretary of State in a the sworn
application made within 60 calendar days of the date upon which the
required report is due, and the Secretary of State must forward the
application to the State Board of Election Commissioners \[154\].

The Secretary of State is also empowered to prescribe and make available
forms and promulgate rules and regulations necessary to implement the
campaign finance provisions \[155\].

**B. County Circuit Clerk.** The county circuit clerk in each county is
the filing officer for candidates and political committees who
participate in campaigns for county and county district offices \[156\].
The county circuit clerk must make all campaign finance reports received
available for public inspection and copying and preserve the reports for
five years \[157\].

**C. State Board of Election Commissioners and Board‑Appointed Hearing
Officers.** For hearings held pursuant to the campaign finance
disclosure act, the state board of election commissioners appoint one or
more hearing officers who must be former chancellors, circuit court
judges, judges of the Court of Appeals, or justices of the Supreme
Court, to conduct hearings \[158\]. The hearing officer sets a time and
place for a hearing and serves written notice (by mailing a copy
certified mail, postage prepaid, to the last known business address of
the candidate or political committee) specifying the civil penalties
that have been assessed against the candidate or political committee and
notice of the time and place of the hearing to be on the candidate or
political committee at least 20 calendar days before the hearing date
\[159\]. The hearing officer may issue subpoenas for the attendance of
witnesses and the production of books and papers at the hearing \[160\].
The candidate or political committee has the right to appear either
personally, by counsel or both, to produce witnesses or evidence in his
behalf, to cross‑examine witnesses and to have subpoenas issued by the
hearing officer \[161\].

Hearings are conducted under oath by the hearing officer, who is not
bound by strict rules of procedure or by the laws of evidence in the
conduct of the proceedings (although the determination must be based
upon sufficient evidence to sustain it) \[162\]. The scope of review at
the hearing is limited to making a determination of whether failure to
file a required report was due to an unforeseeable mitigating
circumstance \[163\]. Subpoenas and compelling of testimony may be
enforced by any Mississippi court of competent jurisdiction in the
manner provided for the enforcement of attendance and testimony of
witnesses in civil cases in the courts of this state \[164\].

Within 15 calendar days after conclusion of the hearing, the hearing
officer reduces his or her decision to writing and forwards an attested
true copy of the decision to the last known business address of the
candidate or political committee by first‑class, certified mail, postage
prepaid \[165\].

The right to appeal from the decision of the hearing officer in an
administrative hearing concerning the assessment of civil penalties is
to the Circuit Court of Hinds County within 30 calendar days after
notice of the decision of the commission following an administrative
hearing, and must include a verbatim transcript of the testimony at the
hearing \[166\]. The appeal must be perfected upon filing notice of the
appeal and by the prepayment of all costs, including the cost of the
preparation of the record of the proceedings by the hearing officer, and
the filing of a \$200 bond conditioned that if the decision of the
hearing officer be affirmed by the court, the candidate or political
committee will pay the costs of the appeal and the action in court
\[167\]. If the decision is reversed by the court, the Secretary of
State will pay the costs of the appeal and the action in court \[168\].

If there is an appeal, the appeal shall act as a *supersedeas*, and the
court must dispose of the appeal and enter its decision promptly
\[169\]. The hearing on the appeal may be tried in vacation, in the
court's discretion, and the scope of review of the court is limited to a
review of the record made before the hearing officer to determine if the
action of the hearing officer is unlawful because it was: not supported
by substantial evidence \[170\]; arbitrary or capricious \[171\]; beyond
the power of the hearing officer to make \[172\]; or in violation of
some statutory or constitutional right of the appellant \[173\]. The
decision of the court may be appealed to the Supreme Court in the manner
provided by law \[174\].

**D. Attorney General.** If, after 120 days of the assessment of a fine
for a late campaign finance report, payment in full has not been
received by the Secretary of State, the Secretary of State must notify
the Attorney General of the delinquency, and the Attorney General is
required to file, where necessary, a suit to compel payment of the civil
penalty \[175\].

If, after 45 calendar days of the date of an administrative hearing
procedure set for a delinquent report, the candidate or political
committee fails to pay the monetary civil penalty imposed by the hearing
officer, the Secretary of State must notify the Attorney General of the
delinquency, and the Attorney General is required to investigate the
offense, and where necessary, file suit to compel payment of the unpaid
civil penalty \[176\].

If, after 20 calendar days of the date upon which a campaign finance
report is due, a candidate or political committee has not filed a valid
report with the Secretary of State, the Secretary of State must notify
the Attorney General of those candidates and political committees who
have not filed a valid report, and the Attorney General must then
prosecute the delinquent candidates and political committees \[177\].

# References

1\. Mississippi Code Annotated (hereafter

MCA) § 23‑15‑801(e)(i)

2\. MCA § 23-15-801(e)(iii)

3\. MCA § 23-17-47(a)

4\. MCA § 23‑15‑801(e)(ii). A candidate

may not conceal contributions by forming

a separate account and diverting some or

all of the political contributions to that

separate account. Opinion of the

Mississippi Attorney General to

Constance Slaughter-Harvey, Esq.,

December 1, 1994.

5\. MCA § 23-15-801(e)(iv)

6\. MCA § 23-17-47(a)

7\. MCA § 97‑13‑15. This is not a per-election

cycle limit. Opinion of the Mississippi

Attorney General to Constance Slaughter-

Harvey, Esq., December 1, 1994. If

corporate-paid employees are assigned to

work for a political committee, the value

of the service is required to be reported. If

the service is voluntary, the value of the

service would not have to be reported.

Opinion of the Mississippi Attorney

General to Constance Slaughter-Harvey,

Esq., December 12, 1990.

8\. Opinion of the Mississippi Attorney

General to Hon. Charles Pickering, June

26, 1979

9\. Opinion of the Mississippi Attorney

General to Constance Slaughter-

Harvey, Esq., December 12, 1990.

10\. MCA § 77-1-11; *U.S. v. Snyder*, 930

F.2d 1090 (5th Cir. 1991), *aff'd*, *reh*.,

*en banc*, *den.*, *reversed and remanded*,

946 F.2d 1125 (5th Cir. 1991), *cert.*

*den.* 502 U.S. 942 (1991).

11\. MCA § 45‑3‑11

12\. MCA § 45‑3‑11

13\. Code of Judicial Conduct Canon 7(2).

Contributions received outside of the 90-

day window, however, may be accepted,

Opinion of the Mississippi Attorney General

to Justice Charles D. Easley, Jr., February 1,

2001

14\. MCA § 23-15-976

15\. MCA § 23-15-976

16\. House Bill 1609 (1998 Reg. Sess.) § 1

17\. House Bill 1609 (1998 Reg. Sess.) § 1

18\. House Bill 1609 (1998 Reg. Sess) § 20(1)

19\. House Bill 1609 (1998 Reg. Sess) § 20(2)

20\. House Bill 1609 (1998 Reg. Sess) § 20(3);

22 U.S . Code § 611(b)

21\. House Bill 1609 (1998 Reg. Sess) § 20(4)

22\. MCA § 23‑15‑801(f)(i)

23\. MCA § 23-17-47(d)

24\. Opinion of the Mississippi Attorney

General to Constance Slaughter-Harvey,

Esq., January 27, 1995.

25\. MCA § 23-15-801(f)(iii)1

26\. MCA § 23-15-801(f)(iii)2

27\. MCA § 23‑15‑801(f)(ii)

28\. MCA § 23‑15‑801(f)(ii)

29\. MCA § 23‑15‑801(j)

30\. MCA § 23‑15‑801(k)(i)

31\. MCA § 23‑15‑801(k)(ii)

32\. MCA § 23‑15‑801(k)(iii)

33\. Code of Judicial Conduct Canon 7(2)

34\. MCA § 15-807(e)

35\. MCA § 15-807(e)

36\. MCA § 23‑15‑801(c)

37\. MCA § 23-15-801(c)

38\. MCA § 23‑15‑803(a)

39\. Opinion of the Mississippi Attorney

General to Constance Slaughter-

Harvey, Esq., December 12, 1990.

40\. Opinion of the Mississippi Attorney

General to Constance Slaughter-

Harvey, Esq., December 12, 1990.

41\. MCA § 23‑15‑803(b)(i)

42\. MCA § 23‑15‑803(b)(ii)

43\. MCA § 23‑15‑803(b)(iii)

44\. MCA § 23‑15‑803(c)

45\. MCA § 23‑15‑805(a). Reports are required

even if there are no reportable

contributions or expenditures. Secretary of

State, *Campaign Finance Disclosure in*

*Mississippi for Candidates and*

*Political Committees* (March 1999) at 5, 8.

46\. MCA § 23‑15‑807(b)(i)

47\. MCA § 23‑15‑807(b)(ii)

48\. MCA § 23-15-807(b)(i)

49\. MCA § 23‑15‑807(b)(iii)

50\. MCA § 23‑15‑807(d)(ii)1

51\. MCA § 23-15-801(g)(i)

52\. MCA § 23-15-801(g)(ii)

53\. MCA § 23‑15‑807(d)(i)

54\. MCA § 23‑15‑807(d)(ii)2

55\. MCA § 23-15-807(d)(iii)

56\. MCA § 23-15-807(f)(i)

57\. MCA § 23-15-807(f)(i)1

58\. MCA § 23-15-807(f)(i)2

59\. MCA § 23-15-807(f)(i)3

60\. MCA § 23-15-807(f)(i)4

61\. MCA § 23-15-807(f)(i)5

62\. MCA § 23-15-807(f)(i)6

63\. MCA § 23-15-807(f)(i)7

64\. MCA § 23-15-807(f)(i)8

65\. MCA § 23-15-807(f)(ii)

66\. MCA § 23‑15‑805(a). Reports are required

even if there are no reportable

contributions or expenditures. Secretary of

State, *Campaign Finance Disclosure in*

*Mississippi for Candidates and*

*Political Committees* (March 1999) at 5, 8.

67\. MCA § 23‑15‑807(b)(i)

68\. MCA § 23‑15‑807(b)(i)

69\. MCA § 23‑15‑807(b)(ii)

70\. MCA § 23‑15‑807(b)(iii)

71\. MCA § 23‑15‑807(d)(ii)1

72\. MCA § 23-15-801(g)(i)

73\. MCA § 23-15-801(g)(ii)

74\. MCA § 23‑15‑807(d(ii))1

75\. MCA § 23‑15‑807(d)(ii)2

76\. MCA § 23-15-807(d)(iii)

77\. MCA § 23‑15‑805(b). Reports are required

even if there are no reportable

contributions or expenditures. Secretary of

State, *Campaign Finance Disclosure in*

*Mississippi for Candidates and Political*

*Committees* (March 1999) at 5, 8.

78\. MCA § 23‑15‑807(b)(i)

79\. MCA § 23-15-807(b)(i)

80\. MCA § 23‑15‑807(b)(ii)

81\. MCA § 23‑15‑807(b)(iii)

82\. MCA § 23‑15‑807(d)(ii)(1)

83\. MCA § 23‑15‑807(d)(ii)(1)

84\. MCA § 23‑15‑807(d)(ii)(2)

85\. MCA § 23‑15‑807(d)(iii)

86\. MCA § 23-15-807(f)(i)

87\. MCA § 23-15-807(f)(i)1

88\. MCA § 23-15-807(f)(i)2

89\. MCA § 23-15-807(f)(i)3

90\. MCA § 23-15-807(f)(i)4

91\. MCA § 23-15-807(f)(i)5

92\. MCA § 23-15-807(f)(i)6

93\. MCA § 23-15-807(f)(i)7

94\. MCA § 23-15-807(f)(i)8

95\. MCA § 23-15-807(f)(ii)

96\. MCA § 23-17-47(c)

97\. MCA § 23-17-49(1)

98\. MCA § 23-17-49(2)(a)

99\. MCA § 23-17-49(2)(b)

100\. MCA § 23-17-49(2)(c)

101\. MCA § 23-17-49(2)

102\. MCA § 23-17-51(1)

103\. MCA § 23-17-51(3)

104\. MCA § 23-17-53(a)

105\. MCA § 23-17-53(b)(i)

106\. MCA § 23-17-53(b)(ii)

107\. MCA § 23-17-53(b)(iii)

108\. MCA § 23-17-53(b)(iv)

109\. MCA § 23-17-53(b)(v)

110\. MCA § 23-17-53(b)(vi)

111\. MCA § 23-17-53(b)(vii)

112\. MCA § 23-15-807(d)(iii)

113\. Code of Judicial Conduct Canon 7(2)

114\. Secretary of State, *Candidate Qualifying*

*Guide for Mississippi's 1998 Elections*

(January 1998), at 11.

115\. MCA § 23-15-807(c)

116\. House Bill 1609 (1998 Reg. Sess.) § 2

117\. House Bill 1609 (1998 Reg. Sess.) § 2

118\. House Bill 1609 (1998 Reg. Sess.) § 2

119\. Secretary of State, *Candidate Qualifying*

*Guide for Mississippi's 1998 Elections*

(January 1998), at 12

120\. MCA § 23‑15‑809(a); 807(c)(ii)1

121\. MCA § 23‑15‑807(c)(ii)1

122\. MCA § 23‑15‑807(c)(ii)2; *see,* MCA

§§ 23-17-51(2), 23-17-53(c)

123\. MCA § 23‑15‑809(b)(I)

124\. MCA § 23‑15‑809(b)(ii)

125\. MCA § 23‑15‑809(b)(iii)

126\. MCA § 23-15-807(d) (iv)1

127\. MCA § 23-15-807(d) (iv)2

128\. MCA § 23‑15‑807(d)

129\. MCA § 23‑15‑807(a). There are

apparently no significant limitations on

use of surplus funds. *See*, Opinion of the

Mississippi Attorney General to Hon.

Bobby Eleuterius, June 1, 1988.

130\. MCA § 23‑15‑811(a)

131\. MCA § 23‑15‑811(b)

132\. MCA § 23‑15‑811(c)

133\. MCA § 23‑15‑811(d); Opinion of the

Mississippi Attorney General to Ronald

J. Artigues, Jr., Esq., February 18, 2000.

134\. MCA § 23‑15‑811(e)

135\. MCA § 23-15-813(a)

136\. MCA § 23-15-813(a)(ii)

137\. MCA § 23-15-813(a)(ii)

138\. MCA § 23-15-813(a)(ii)

139\. MCA § 23-15-813(a)(iii)

140\. MCA § 23-15-813(a)(iv)

141\. MCA § 45‑3‑11

142\. MCA § 45‑3‑11

143\. MCA § 97-13-17

144\. MCA § 77-1-11

145\. MCA § 23-17-61

146\. MCA § 23‑15‑805(a)

147\. MCA § 23‑15‑805(d). MCA

§ 23‑15‑815(b), however, requires the

Secretary of State to keep the reports for

a period of just three years.

148\. MCA § 23-15-813(a)(i)

149\. MCA § 23-15-813(a)(ii)

150\. MCA § 23-15-813\[(a)(v)

151\. MCA § 23-15-813(e)

152\. MCA § 23-15-813(d)

153\. HB 1609 (1998 Reg. Sess.) § 12

154\. MCA § 23-15-813(b)(1)

155\. MCA § 23‑15‑815(a)

156\. MCA § 23‑15‑805(b)

157\. MCA § 23‑15‑805(d). MCA

§ 23‑15‑815(b), however, requires the

circuit clerks to keep the reports for

a period of just three years.

158\. MCA § 23-15-813(i)

159\. MCA § 23-15-813(i)

160\. MCA § 23-15-813(ii)

161\. MCA § 23-15-813(iii)

162\. MCA § 23-15-813(iv)

163\. MCA § 23-15-813(v)

164\. MCA § 23-15-813(v)

165\. MCA § 23-15-813(vi)

166\. MCA § 23-15-813(c)(i)

167\. MCA § 23-15-813(c)(i)

168\. MCA § 23-15-813(c)(i)

169\. MCA § 23-15-813(c)(ii)

170\. MCA § 23-15-813(c)(ii)1

171\. MCA § 23-15-813(c)(ii)2

172\. MCA § 23-15-813(c)(ii)3

173\. MCA § 23-15-813(c)(ii)4

174\. MCA § 23-15-813(c)(ii)

175\. MCA § 23-15-813(a)(v)

176\. MCA § 23-15-813(d)

177\. MCA § 23-15-813(e)

**CAMPAIGN FINANCE LAW**

**IN MISSOURI**

**I. INTRODUCTION**

Missouri requires candidates or committees that spend or receive more
than \$500 or who receive a single contribution in excess of \$250, or
persons making independent expenditures of \$500 or more, to file
information on all contributions and expenditures on a quarterly basis.
Statewide office candidate committees must file electronically if they
receive or spend more than \$5,000, as must continuing committees making
aggregate contributions of \$15,000 or more, while other committees may
file electronically. The amount of contributions made by or accepted
from any person, other than the candidate, in any one election may not
exceed \$1,175 for governor, lieutenant governor, secretary of state,
state treasurer, state auditor or attorney general; \$575 for state
senator; \$300 for state representative; \$300 for any other office,
including a judicial office, if the population of the electoral
district, ward, or other unit according to the latest decennial census
is under 100,000; \$575 for any other office, including a judicial
office, if the population of the electoral district, ward, or other unit
according to the latest decennial census is at least 100,000 but less
than 250,000; and \$1,175 for any other office, including a judicial
office, if the population of the electoral district, ward, or other unit
according to the latest decennial census is at least 250,000. Political
parties have separate contribution limits. Cash contributions must be
\$100 or less, and anonymous contributions must be \$25 or less, with
any portion of the contribution exceeding \$25 escheating to the states.
Missouri offers no tax incentives or public financing of election
campaigns. The Missouri Ethics Commission is responsible for
administering the campaign finance provisions of the law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A contribution is a payment, gift,
loan, advance, deposit, or donation of money or anything of value for
the purpose of supporting or opposing the nomination or election of any
candidate for public office; the qualification, passage, or defeat of
any ballot measure; or for the support of any committee supporting or
opposing candidates or ballot measures \[1\]. A contribution includes,
but is not limited to, a candidate's own money or property used in
support of his candidacy, other than expenses for the candidate's food,
lodging, travel, and payment of any fee necessary to the filing for
public office \[2\]; payment by any person, other than a candidate or
committee, to compensate another person for services rendered to that
candidate or committee \[3\]; receipts from the sale of goods and
services, including the sale of advertising space in a brochure,
booklet, program, or pamphlet of a candidate or committee, and the sale
of tickets or political merchandise \[4\]; receipts from fundraising
events \[5\]; any loan, guarantee of a loan, cancellation, forgiveness
of a loan, debt, or other obligation, or the payment of a loan, debt, or
obligation by a third party, if the loan, debt, or other obligation was
contracted, used, or intended, in whole or in part, for use in an
election campaign or used or intended, in whole or in part, for use in
any election campaign or used or intended for the payment of such debts
or obligations of a candidate or committee previously incurred or which
was made or received by a committee \[6\]; funds received by a committee
that are transferred to the committee from another committee or source,
except funds received by a candidate committee from another committee or
source, except funds received by a candidate committee as a transfer of
funds from another candidate committee controlled by the same candidate,
but the transfer must be included in the disclosure reports \[7\]
facilities, office space, or equipment supplied by any person to a
candidate or committee without charge or at reduced rates, except
regularly to the public, including other candidates or committees, on an
equal basis for similar purposes on the same conditions \[8 the direct
or indirect payment, by any person other than a connected organization
or its affiliated committee, for the costs of establishing,
administering, or maintaining a committee, including legal, accounting,
and computer services, fundraising, and solicitation of contributions
for a committee \[9.

A contribution does not include ordinary home hospitality or services
provided without compensation by individuals volunteering their time in
support of, or in opposition to, a candidate, committee, or ballot
measure, nor the necessary and ordinary personal expenses of such
volunteers incidental to the performance of voluntary activities, so
long as no compensation is directly or indirectly asked or given \[10\];
an offer or tender of a contribution that is expressly and
unconditionally rejected and returned to the donor within five business
days after receipt or transmitted to the state treasurer in five
business days after receipt or transmitted to the state treasurer
\[11\]; interest earned on deposit of committee funds \[12\]; or any
costs incurred by a connected organization, membership organization,
cooperative, or trade or professional association that expends funds,
provides services, or furnishes facilities to establish, administer, or
maintain a committee to solicit contributions for the committee from its
members, officers, directors, employees, or security holders \[13\], or
for establishing, administering, or maintaining an affiliated committee
for the solicitation of contributions from the members, officers,
directors, or security holders of the connected organization \[14\].

**B. Limitations on Amounts of Contributions.** The amount of
contributions made by or accepted from any person \[15\], other than the
candidate, in any one election may not exceed \$1,175 for governor,
lieutenant governor, secretary of state, state treasurer, state auditor
or attorney general \[16\]; \$575 for state senator \[17\]; \$300 for
state representative \[18\]; \$300 for any other office, including a
judicial office, if the population of the electoral district, ward, or
other unit according to the latest decennial census is under 100,000
\[19\]; \$575 for any other office, including a judicial office, if the
population of the electoral district, ward, or other unit according to
the latest decennial census is at least 100,000 but less than 250,000
\[a20; and \$1,175 for any other office, including a judicial office, if
the population of the electoral district, ward, or other unit according
to the latest decennial census is at least 250,000 \[21\].

Contributions, made by or accepted from a political party committee
\[22\] in any one election may not exceed \$10,000 for the office of
governor, lieutenant governor, secretary of state, state treasurer,
state auditor or attorney general \[23\]; \$5,000 for state senator
\[24\]; \$2,500 for state representative \[25\]; and 10 times the
allowable contribution limit for the office sought for any other office
of an electoral district, ward or unit \[26\]. The amount of
contributions which may be made by or accepted from a political party
committee in the primary election to elect any candidate who is
unopposed in such primary is 50% of the amount of the allowable
contributions \[27\]. A candidate may accept the maximum contribution
from each political party committee \[28\].

**C. Limitations on the Nature of Contributions.** Contributions may not
be accepted by a committee except through the committee treasurer, and
must not be commingled with any funds of an agent of the committee, a
candidate, or any other person, except that contributions from a
candidate of his or her own funds to his or her candidate committee must
be deposited to the depository account of the candidate committee
\[29\].

A contribution may not be made or accepted, directly or indirectly, in a
fictitious name, in the name of another person, or by or through another
person in such a manner as to conceal the identity of the actual source
of the contribution or expenditure \[30\]. A candidate may not request
that a contribution be made to a political party committee with the
express purpose of passing on contributions to the candidate \[31\].

Any person who receives contributions for a committee must disclose to
that committee's treasurer his own name and address and the name and
address of the actual source of each contribution he has received for
that committee \[32\]. No anonymous contribution of more than \$25 may
be made by any person, and no anonymous contribution of more than \$25
may be accepted by any candidate or committee \[33\]. If any anonymous
contribution of more than \$25 is received, it must be returned
immediately to the contributor, if the contributor's identity can be
ascertained, and if the contributor's identity cannot be ascertained,
the candidate or committee treasurer must immediately transmit that
portion of the contribution exceeding \$25 to the state treasurer, and
it then escheats to the state \[34\]. The maximum aggregate amount of
anonymous contributions that may be accepted in any calendar year by any
committee must be the greater of \$500 or one percent of the aggregate
amount of all contributions received by that committee in the same
calendar year \[35\]. If any anonymous contribution is received that
causes the aggregate total of anonymous contributions to exceed the
foregoing limitation, it must be returned immediately to the
contributor, if the contributor's identity can be ascertained, and if
the contributor's identity cannot be ascertained, the committee
treasurer must immediately transmit the anonymous contribution to the
state treasurer to escheat to the state \[36\].

Contributions from individuals whose names and addresses cannot be
ascertained that are received from a fundraising activity or event are
not anonymous contribution, if there are 25 or more contributing
participants in the activity or event \[37\]; the candidate, committee
treasurer, or the person responsible for conducting the activity or
event announces that it is illegal for anyone to make or receive a
contribution in excess of \$25, unless the contribution is accompanied
by the contributor's name and address \[38\]; the person responsible for
conducting the activity or event does not knowingly accept payment from
any single person of more than \$25, unless the name and address of the
person making such payment is obtained and recorded \[39\]; and a
statement describing the event is prepared by the candidate, by the
treasurer of the committee for whom the funds were raised, or by the
person responsible for conducting the activity or event, and attached to
the required disclosure report, including the name and mailing address
of the person or persons responsible for conducting the event or
activity, the name and address of the candidate or committee for whom
the funds were raised \[40\], the date of the event \[41\], the name and
address of the location where the event occurred and the approximate
number of participants \[42\], a brief description of the type of event
and the fundraising methods used \[43\], the gross receipts from the
event and a listing of the expenditures for the event \[44\], the total
dollar amount of contributions received from the event from participants
whose names and addresses were not obtained with such contributions, and
an explanation of why it was not possible to obtain the names and
addresses of the participants \[45\], and the total dollar amount of
contributions received from contributing participants in the event who
are identified by name and address in the required records \[46\].

A contribution of cash in an amount greater than \$100 may not be made
by or accepted from any single contributor for any election \[47\].
Candidates and candidate committees may not accept contributions of cash
that, in the aggregate, exceed \$100 per person per election cycle
\[48\]. A contribution of cash of more than 100 may not be made by or
accepted from any single contributor for any election by an exploratory
committee or a candidate committee \[49\]. A contribution of cash of
more than \$100 may not be made by or accepted from any single
contributor for any election by a continuing committee, a campaign
committee, or a political party committee \[50\]. An in‑kind
contribution is valued at the fair market value \[51\].

A candidate or committee may not accept a contribution from any
out‑of‑state committee, unless the out‑of‑state committee from whom the
contributions are received has filed a statement or organization or
other required reports with the Missouri Ethics Commission \[52\]. An
out-of-state committee may not make a contribution within 30 days before
an election \[53\].

**D. Limitations on Individual Contributions.** Contributions from
individuals under 14 years old are to be considered as made by the
minor's parents or guardians, and are to be attributed to them, and thus
apply toward the parent or guardian's contribution limits \[54\].

Contributions received and expenditures made prior to January 1, 1995
must be reported as a separate account and pursuant to the laws in
effect at the time such contributions are received or expenditures made;
this account shall be retained as a separate account and any funds
remaining in this account may be used pursuant to current law, while
contributions received and expenditures made after January 1, 1995 must
be reported as a separate account from the aforementioned account, and
must be used pursuant to current law \[55\].

A separate listing by name, address, employer and occupation if
self-employed, of each person from whom the committee received one or
more contributions in money or other things of value, which in the
aggregate total less than \$25, together with the date and amount of
each contribution, must be kept by the committee, and a candidate or
candidate committee may not accept any contribution without such
information, except as otherwise provided by law \[56\].

Any committee which accepts or gives contributions other than those
allowed is subject to a surcharge of \$1,000 plus an amount equal to the
contribution per nonallowable contribution, to be paid to the Ethics
Commission upon notification by the Commission of such a nonallowable
contribution, and after the candidate has had 10 business days to return
the contribution to the contributor \[57\]. The candidate and any other
person owing a surcharge are personally liable for the payment of the
surcharge, and the surcharge constitutes a debt to the state \[58\].

**E. Limitations on Solicitations.** Missouri makes it illegal for any
person, labor organization, or corporation to discriminate, or threaten
to discriminate, against any member in the state with respect to his or
her membership or discharge, or discriminate, or threaten to
discriminate against any employee in the state with respect to his
compensation, terms, conditions, or privileges of employment by reason
of his political beliefs or opinions \[59\]; to make any member or
employee contribute to any candidate, political committee, or separate
political fund as a condition of membership or employment \[60\]; or to
discriminate, or threaten to discriminate against any member or employee
in the state for contributing, or refusing to contribute to any
candidate, political committee, or separate political fund with respect
to his or her privileges of membership, compensation, terms, or
conditions of employment \[61\]. Similar restrictions apply with respect
to the state merit service, making it illegal for any person to levy or
solicit any financial assistance or subscription for a political party,
candidate, political fund or publication, or for any other political
purpose, from a state merit system employee \[62\]. Coercion means to
compel such an employee to contribute are also prohibited, as is
retaliation for failure to contribute \[63\].

**F. Contributions by Corporations, Labor Organizations, and Other
Entities.** Any corporation, labor organization, cooperative
association, or mutual association may make contributions, if the board
of directors of any corporation, by resolution, has authorized
contributions or has authorized a designated officer to make the
contributions \[64\], or the members of any labor organization,
cooperative association, or mutual association have authorized
contributions by a majority vote of the members present at a duly called
meeting, or by such vote have authorized a designated officer to make
such contributions \[65\]. Authority to make contributions must be
adopted by general or specific resolution, stating the total amount of
contributions authorized, the purposes of the contributions, and the
time period within which such authority may exist \[66\]. The necessary
approval does not have to come at a general membership meeting, if the
organization in question is a labor organization organized on a
geographic basis, except for a local labor union \[67\].

**G. Contributions and Solicitations by Judicial Candidates and Judicial
Employees.** A judge is prohibited from directly or indirectly
contributing to a political party or party organization \[68\], but may
contribute to a party if the judge is a candidate \[69\]. Solicitations
on behalf of a party by a judge are prohibited \[70\]. In an election
involving competing candidates, a candidate for judge may not solicit or
accept contributions, but may establish a committee of responsible
persons to do so, and attorneys may be solicited for contributions by
such committees \[71\]. Persons appointed by a circuit judge or
associate circuit judge may not directly or indirectly contribute to a
political party \[72\], and those subject to the direction and control
of a judge may not do what a judge would be prohibited from doing
\[73\]. Campaign contributions may not be used for the private benefit
of a judge or the judge's family \[74\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An expenditure is a payment,
conveyance, deposit, donation, or contribution of money or anything of
value for the purpose of supporting or opposing the nomination or
election of any candidate for public office, the qualification or
passage of any ballot measure, or the support of any committee that in
turn supports or opposes any candidate or ballot measure or for the
purpose of paying a previously incurred campaign debt or obligation of a
candidate, or the debts or obligations of a committee; and a payment, an
agreement, or promise to pay money or anything of value, including a
candidate's own money or property, for the purchase of goods, services,
property, facilities, or anything of value for the purpose of supporting
or opposing the nomination or election of any candidate for public
office, the qualification or passage of any ballot measure, or the
support of any committee that in turn supports or opposes any candidate
or ballot measure, or for the purpose of paying a previously incurred
campaign debt or obligation of a candidate, or the debts or obligations
of a committee \[75\].

An expenditure includes the payment by anyone, other than a committee,
for services of another person rendered to that committee \[76\]; the
purchase of tickets, goods, services, or political merchandise in
connection with any fundraising event of, or for candidates or
committees, or the purchase of advertising in a brochure, booklet,
program, or pamphlet of a candidate or committee \[77\]; the transfer of
funds by one committee, except fund that are transferred by a candidate
committee to another candidate committee controlled by the same
candidate \[78\]; the direct or indirect payment by any person, other
than a connected organization or its affiliated committee, of the costs
of establishing, administering, or maintaining a committee, including
legal, accounting, and data processing services, fundraising, and
solicitation of contributions for a committee \[79\]; or the use of a
candidate's own money for expenses related to his personal food,
lodging, travel, and payment of any necessary filing fee, if the expense
is not reimbursed to the candidate from any source \[80\].

An expenditure does not include any news story, commentary, or editorial
that is broadcast or published by any broadcasting station, newspaper,
magazine, or other periodical without charge to the candidate, or to any
person supporting or opposing a candidate or ballot measure \[81\]; the
internal dissemination by any membership organization, proprietorship,
labor organization, corporation, association, or other entity of
information advocating the election or defeat of a candidate or
candidates, or the passage or defeat of a ballot measure or measures, to
its directors, officers, members, employees, or security holders \[82\];
repayment of a loan \[83\]; the rendering of voluntary personal
services, by an individual, of the sort commonly performed by volunteer
campaign workers and the payment, by such individual, of necessary and
ordinary personal expenses incidental to such volunteer activity,
providing no compensation, directly or indirectly, is asked or given
\[84\]; or the costs incurred by any connected organization for
establishing, administering, or maintaining an affiliated committee, or
for the solicitation of contributions to an affiliated committee solely
directed or related to the members, officer, directors, employees, or
security holders of the connected organization \[85\].

**B. Limitations on Nature of Expenditures.** Except for expenditures
from a petty cash fund established and maintained by withdrawals of
funds from the committee's depository account, each expenditure of more
than \$50, other than an in‑kind expenditure, must be on a check drawn
on the committee's depository and signed by the committee's treasurer
\[86\]. A single expenditure from a petty cash fund may not exceed \$50,
and the aggregate of all calendar year expenditures from a petty cash
fund must not exceed the lesser of \$5,000 or 10 percent of all
expenditures made by the committee during that calendar \[87\]. A check
made payable to "cash" may only be used to replenish a petty cash fund
\[88\].

An expenditure may not be made or incurred, directly or indirectly, in a
fictitious name, in the name of another person, or by or through a
person so as to conceal the identity of the actual recipient and purpose
of the expenditure \[89\]. A person who makes expenditures for a
committee must disclose his or her name and address to that committee's
treasurer, the name and address of each person to whom an expenditure
has been made, and the amount and purpose of the expenditures \[90\].
All expenditures must be made by or through the committee treasurer and
from the depository account \[91\] (although the candidate and deputy
treasurer may also be authorized to make certain withdrawals \[92\]),
and no expenditure may be made by a committee when the treasurer's
office is vacant; but when the office of a candidate committee treasurer
is vacant, the candidate is treasurer until the candidate appoints a new
treasurer \[93\].

Contributions received by any committee may not be converted to any
personal use \[94\]. Contributions may be used for any purpose allowed
by law, including, but not limited to: ordinary expenses incurred
relating to a campaign \[95\]; ordinary and necessary expenses incurred
in connection with his or her duties as a holder of elective office
\[96\]; expenses associated with the duties of a candidacy or of
elective office pertaining to the entertaining of or providing social
courtesies to constituents, professional associations, or other holders
of elective office \[97\]; return of any contribution to the person who
made the contribution to the candidate or elective office holder \[98\];
or to make an unconditional, fully vested, gift to a political
organization or candidate committee, or to any charitable, fraternal, or
civic organization or other associations formed to provide some good in
the order of benevolence (provided that the candidate, former candidate,
or elective office holder has no interest, office, or position of
employment in such an organization) \[99\].

A contribution received by a candidate, former candidate or holder of
elective office may not be used to make restitution payments ordered of
such individual by a court of law, or pay a fine resulting from
conviction of a violation of any local, state, or federal law \[100\],
however reasonable attorney's fees incurred by a person who is the
subject of a complaint in the course of defending the person in an
investigation arising from holding or running for public office may be
paid out of the person's committee \[101\].

**C. Expenditures by an Exploratory Committee.** An exploratory
committee may only make expenditures for the purpose of determining
whether an individual will be a candidate \[102\]. Such expenditures
include polling information; mailings; personal appearances; and
telephone, office, and travel expenses, but may not include
contributions to other committees \[103\].

**D. Expenditures by Corporations, Labor Organizations, and Other
Entities.** Any corporation, labor organization, cooperative
association, or mutual association may make expenditures, if the board
of directors of any corporation, by resolution, has authorized
contributions or authorized a designated officer to make the
expenditures \[104\], or the members of any labor organization,
cooperative association, or mutual association have authorized
expenditures by a majority vote of members present at a duly called
meeting, or by such vote have authorized a designated officer to make
the expenditures \[105\]. The authority to make authorized expenditures
must be adopted by general or specific resolution stating the total
amount of expenditures authorized, the purposes of the expenditures, and
the time period within which the authority exists \[106\].

**IV. REPORTING REQUIREMENTS**

**A. Registration.** Every person, organization, or group of persons who
accepts contributions or makes expenditures for the primary or
incidental purpose of influencing, or attempting to influence the action
of voters for or against the nomination or election to public office of
one or more candidate, or the qualification, passage, or defeat of any
ballot measure, or for the purpose of paying a previously incurred
campaign debt or obligation of a candidate, or the debts or obligations
of a committee or for the purpose of contributing funds to another
committee, is a committee and must file a statement of organization and
required reports \[107\].

A corporation, labor union or other organization that only makes
campaign contributions or expenditures not in excess of \$500 from its
own funds or property is not a committee for the purposes of the
campaign financing act and is not required to comply with the
organizational and reporting requirements for committees \[108\].

Every committee must file a statement of organization with the
appropriate filing officer within 20 days after the person or
organization becomes a committee, but not later than the date for filing
the first required pre‑election report \[109\]. A candidate committee
\[110\] continuing political committee (one which is not formed,
controlled, or directed by a candidate, whose primary purpose is to
receive contributions and make expenditures to influence the voters
whether or not a particular candidate or measure is on the ballot)
\[111\], and a campaign committee for a ballot measure or judicial
retention must be formed no later than 30 days before the election for
which contributions are received and expenditures made \[112\].

The statement of organization is not required of candidates committees
that do not exceed certain thresholds and follow specified alternative
procedures \[113\]. Candidates for statewide elective office, general
assembly, judicial office (other than municipal judge), or municipal
office in a city with a population of more than 100,000 do not have to
file the registration statement if neither the aggregate of expenditures
made nor the aggregate of contributions received during a calendar year
exceeds \$500 for any committee, and if no single contributor has
contributed more than \$250 of such aggregate contributions \[114\], or
in the case of an individual, other than a candidate, who accepts no
contributions and who deals only with his or her own funds or property
\[115\]. In addition to not exceeding this threshold, to avoid
registration and reporting, such a candidate must also file a statement
of exemption, swearing that he or she will not exceed the \$500/\$250
limit \[116\]. Candidates for other offices can be exempted from filing
a statement of registration if they do not receive contributions or make
expenditures exceeding an aggregate of \$1,000, and no single
contributor contributes more than \$250 \[117\].

If after filing the exemption the candidate wishes to exceed the limits,
the candidate must file a statement of rejection along with a statement
of registration for the candidate's committee \[118\]. A notice of
rejection may not be filed later than 30 days before the election
\[119\].

The statement of organization must contain the committee's name, mailing
address, and telephone number, if any, and the name of any connected
organization, or a legally registered fictitious name that reasonably
identifies the connected organization must appear in the committee's
name if the committee is so affiliated \[120\]. If the committee is a
candidate committee, the candidate's name is to be a part of the
committee's name \[121\]. The statement of organization also must
include the name, mailing address, and telephone number of the committee
treasurer and the name, mailing address, and telephone number of its
deputy treasurer if appointed \[122\]; the names, mailing addresses, and
titles of its officers, if any \[123\]; the names and mailing addresses
of any connected organizations with which the committee is affiliated
addresses of any connected organizations with which the committee is
affiliated \[124\]; the name and mailing address of its depository and
the name and account number of each account the committee has in the
depository \[125\]; identification of the major nature of the committee,
such as a candidate committee, campaign committee, continuing committee,
political party committee, or other committee \[126\]; in the case of
more than one authorized candidate committee, the full name and address
of each other candidate committee that is under the control and
direction of the same candidate, together with the name, address, and
telephone number of the treasurer of each other committee \[127\]; the
name and office sought be each candidate supported or opposed by the
committee \[128\]; and the ballot measure concerned, if any, and whether
the committee is in favor of, or opposed to, such measure \[129\]. Any
investment held at the time of filing the statement of organization must
be disclosed by name and denomination \[130\]. If on the date it is
required to file a statement of organization, the committee has not yet
determined the particular candidates or particular ballot measures it
will support or oppose, the information may be omitted \[131\]. The
statement must be signed and sworn to by the committee treasurer
\[132\].

An out‑of‑state committee is required to file a statement of
organization, appoint a treasurer residing in Missouri, and open an
account in a depository within the state, if either the aggregate of all
contributions received from Missouri residents exceeds 20 percent in
total dollar amount of all funds received by the committee in the
preceding 12 months \[133\], or the aggregate of all contributions and
expenditures made to support or oppose candidates and ballot measures in
Missouri exceeds \$1,500 in the current calendar year \[134\].

**B. Reporting by Candidate Committees.** Every committee that is
required to file a statement of organization, including a candidate who
has elected to serve as his or her own candidate committee, must file a
legibly printed or typed disclosure report of receipts and expenditures
for any election for which the committee makes expenditures or
contributions, or for which the committee receives contributions with
the intent to make expenditures or contributions \[135\].

Each report must set forth the committee's full name and mailing
address, and the full names, mailing addresses, and telephone numbers of
the committee's treasurer and deputy treasurer, if the committee has
named a deputy treasurer \[136\]; the amount of money, including cash on
hand at the beginning of the reporting period \[137\]; receipts for the
period, including the total amount of monetary contributions received
that can be identified in the committee's records by name and address of
each contributor \[138\]; the total amount of all anonymous
contributions accepted \[139\]; the total amount of all monetary
contributions received through fundraising events or activities from
participants whose names and addresses were not obtained with such
contributions, with an attached statement, or copy of the statement,
describing each fundraising event \[140\]; the total dollar value of all
in-kind contributions received \[141\]; a separate listing by name and
address of each person from whom the committee received one or more
contributions, in money or any other thing of value, aggregating more
than \$100, together with the date and amount of each such contribution
\[142\]; and a listing of each loan received, by name and address of the
lender and date and amount of the loan, with a separate statement
attached for each loan of \$100 or more, setting forth the name and
address of the lender and each person liable directly, indirectly, or
contingently, and the date, amount and terms of the loan \[143\].

The candidate must also make a reasonable effort to obtain and report
the business or occupation of the contributor, and a description of any
contractual relationship over \$500 between the contributor and the
state if the candidate is seeking election to a state office of between
the contributor and any political subdivision of the state is the
candidate election to another political subdivision of the state
\[144\].

Expenditures for the period are also to be listed, including the total
dollar amount of expenditures made by check drawn on the committee's
depository \[145\]; the total dollar amount of expenditures made in cash
\[146\]; the total dollar value of all in‑kind expenditures made
\[147\]; the full name and mailing address of each person to whom an
expenditure of money, or any other thing of value, in the amount of more
than \$100 has been made, contracted for, or incurred, together with the
date, amount, and purpose of each expenditure, with expenditures of
\$100 or less allowed to be grouped and listed by categories of
expenditure showing the total dollar amount of expenditures in each
category, except that the report must contain an itemized listing of
each payment made to campaign workers by name, address, date, amount,
purpose of each payment, and the aggregate amount paid to each such
worker \[148\]; and a list of each loan made, by name and mailing
address of the person receiving the loan, together with the amount,
terms, and date \[149\]. The use of words and phrases such as or similar
to consulting or consulting services, fees, or expenses may not be used
to describe the purpose of an expenditure \[150\]. The report of a
payment to an independent contractor must identify the specific
service(s) provided, including public opinion polling, research on
issues or opposition background, print or broadcast media production,
print or broadcast media purchase, computer programming or data entry,
direct mail production, postage, rent, utilities, phone solicitation, or
fundraising, and the dollar amount pro-rated for each service \[151\].

The total amount of cash on hand must be reported as of the closing date
of the reporting period covered, including amounts in depository
accounts and in the petty cash fund, as is the total amount of
outstanding indebtedness as of the closing date of the reporting period
covered \[152\]; the amount of expenditures for or against a candidate
or ballot measure during the period covered, and the cumulative amount
of expenditures for or against that candidate or ballot measure, with
each candidate being listed by name, mailing address and office sought,
and expenditures made in support of more than one candidate, ballot
measure, or both apportioned reasonably \[153\]; a separate listing by
full name and address of any committee, including a candidate committee
controlled by the same candidate, for which a transfer of funds or a
contribution in any amount has been made during the reporting period,
together with the date and amount of each such transfer or contribution
\[154\]; and a separate listing by full name and address of any
committee, including a candidate committee controlled by the same
candidate from which a transfer of funds or a contribution, in any
amount, has been received during reporting period, together with the
date and amount of each such transfer or contribution \[155\]. Each
committee that receives a contribution that is restricted or designated,
in whole or in part, by the contributor for transfer to a particular
candidate, committee, or other person, must include a statement of the
name and address of that contributor in the next disclosure report
required to be filed after receipt of such contribution, together with
the date and amount of the contribution, the name of the particular
candidate, committee, or other person to whom the contribution was
designated or restricted, and the date and amount of the contribution
\[156\].

**C. Filing Deadlines for Candidate and Political Committees.**
Disclosure reports are to be signed and sworn to by the committee
treasurer \[157\], and filed not later than the eighth day before an
election for the period closing on the 12th day before the election
\[158\]; not later than the 30th day after an election for a period
closing on the 25th day after the election, except that a successful
candidate who takes office prior to the 25th day after the election is
permitted to file a report before taking office for the period closing
on the day before taking office \[159\]; and not later than the 15th day
following the close of each calendar quarter \[160\].

The reports required to be filed not later than the eighth day before an
election and not later than the 30th day after an election, and any
subsequent required reports, must be cumulative so as to reflect the
total receipts and disbursements of the reporting committee for the
entire election campaign in question, with the period covered by each
disclosure report to begin on the day after the closing date of the most
recent disclosure report filed and end on the closing date for the
period covered; however, if the committee has not previously filed a
disclosure report, the period covered begins on the date the committee
was formed, or in the case of a candidate committee, on the date the
candidate became a candidate \[161\].

Certain disclosure reports pertaining to any candidate who receives
nomination in a primary election and seeks election in the immediately
succeeding general election may not be required, if there are less than
50 days between a primary election and the immediately succeeding
general election. The disclosure report required to be filed not later
than the 40th day before the general election need not be filed,
provided that any other report required to be filed prior to the primary
election, and all other reports required to be filed not later than the
seventh day before the general election, are filed not later than the
final dates for filing the reports \[162\]. If there are less than 85
days between a primary election and the immediately succeeding general
election, the disclosure report required to be filed not later than the
30th day after the primary election need not be filed provided that any
report required to be filed prior to the primary election, and any other
report required to be filed prior to the general election, are filed no
later than the final dates for filing such reports \[163\].

A candidate's exploratory committee must terminate no later than
December 31 of the year prior to the general election for the possible
office sought \[164\].

A continuing committee must submit additional reports if it makes
aggregate expenditures, other than contributions, to a committee of
\$500 or more, within the reporting period at the following times for
the following periods: no later than the eighth day before an election
for the period closing on the 12th day before the election \[165\]; not
later than 48 hours after aggregate expenditures of \$500 or more are
made after the 12th day before the election \[166\]; and no later than
the 30th day after an election for a period closing on the 25th day
after the election \[167\]. If a filing for other than a report due
eight days before an election is due on a Saturday, Sunday, or state
holiday, the due date is 5:00 p.m. the next day not a Saturday, Sunday,
or state holiday \[168\].

**D. Reporting by Persons Other than Defined Committees.** Any person
who is not a defined committee and who makes expenditures aggregating
\$500 or more in support of, or opposition to one or more candidates or
in support of, or in opposition to the qualification or passage of one
or more ballot measures, other than a contribution made directly to a
candidate or committee, must file an independent expenditure report
signed by the person making the expenditure or that person's authorized
agent, disclosing the name and address of the person making the
expenditure, the date and amount of the expenditures, the name and
address of the payee, and a description of the nature and purpose of
each expenditure, with the appropriate officer within 14 days after the
date of making an expenditure that, by itself or when added to all other
such expenditures during the same campaign, equals \$500 or more
\[169\]. If, after filing the report, additional expenditures are made,
a further report must be filed on the required date for any reporting
period in which the additional expenditures are made, however, if any
such expenditure amounting to \$500 or more is made within 14 days prior
to an election, the report must be filed within 48 hours after the date
of such expenditure \[170\]. These provisions do not apply to a person
that uses only his or her own funds or resources to make expenditures in
support of, or in coordination or consultation with a candidate or
committee, provided that any such expenditure is recorded as a
contribution to that candidate or committee and so reported by the
candidate or committee being supported by the expenditure or
expenditures \[171\].

The internal dissemination by any membership organization,
proprietorship, labor organization, corporation, association, or other
entity, except a political committee, of information advocating the
election or defeat of a candidate or the passage or defeat of a ballot
measure to its members, employees, or shareholders, the cost of which is
more than \$2,000 in support of, or in opposition to one or more
candidates, or in support of, or in opposition to the qualification or
passage of one or more ballot measures in a calendar year, other than a
contribution made directly to a candidate or committee, must be reported
in a report signed by the person responsible for making the expenditure
or that person's authorized agent. The report is to disclose the name
and address of the person making the expenditure, the date and amount of
the expenditure or expenditures, the name and address of the payee, and
a description of the nature and purpose of the dissemination of
information, and filed with the appropriate officer within 14 days after
making an expenditure \[172\]. If after filing the report additional
expenditures are made; however, if any such expenditure amounting to
\$500 or more is made within 14 days prior to an election, the report
must be filed within 48 hours after the date of the expenditure \[173\].

**E. Reporting by Out‑of‑State Committees.** An out‑of‑state committee
that is not required to file a statement of organization or full
disclosure reports must file reports with the state if the committee
makes contributions or expenditures in support of, or in opposition to
candidates or ballot measures in the state in any election, or makes
contributions to any committee domiciled in the state \[174\]. An
initial report must be filed within 14 days prior to the date the
out‑of‑state committee first makes a contribution or expenditure in this
state, and subsequent reports must be filed as required for a candidate
committee \[175\]. Each report must contain the full name and address
and domicile of the committee making the report and the name,
residential and business addresses, and telephone numbers of the
committee's treasurer \[176\]; the name and address of any entity, such
as a labor union, trade or business or professional association, club,
or other organization or any business entity, with which the committee
is affiliated \[177\]; a list by name, address, and amount contributed
by each Missouri resident who contributed an aggregate amount of \$200
or more to the reporting committee during the preceding 12 months
\[178\]; a list by name, address, date, and amount regarding any
contribution that was restricted or designated for use in the state
\[179\]; a statement as to whether the committee is required to report
to the Federal Election Commission, and a listing of agencies in other
states with whom the committee files reports, if any \[180\]; and a
separate listing showing contributions made in support of or opposition
to each candidate or ballot measure in Missouri, together with the date
and amount of each contribution \[181\]; and a separate listing showing
contributions made in support of or opposition to any committee in
Missouri, together with the date and amount of each contribution
\[182\].

**F. Reporting by Ballot Measure of Judicial Retention Committees.** A
ballot measure or judicial retention committee is required to be formed
no later than 30 days prior to the election for which the committee
receives contributions or makes expenditures \[183\]. Such a committee
must comply with the requirements for filing the disclosure reports
required of all committees \[184\]. In addition to these reports, the
treasurer of a committee supporting or opposing a petition effort to
qualify a measure on the ballot must file a disclosure report not later
than the 15th day after the committee begins the process of raising and
expending money \[185\]. The period covered in the initial report shall
begin on the day the committee first accepted contributions or made
expenditures to support or oppose the petition effort for qualification
of the measure and concludes on the fifth day prior to the date of the
report \[186\]. After the initial report, the committee must file
quarterly disclosure reports until other reports are required to be
filed. In addition, the committee must file a second disclosure report
no later than the 15th day after the deadline date for submitting the
petitions \[187\]. If the measure has qualified to be on the ballot in
an election, and if a ballot measure committee is also required to file
a pre‑election disclosure report for that election anytime within 30
days after the date on which disclosure reports are required to be
filed, the treasurer is not required to file the 15-day post‑petition
submission report, but must include in the ballot measure committee's
pre‑election report all information that would otherwise have been
required to be included in the post‑petition submission report \[188\].

**G. Special Reporting by Those Attempting to Influence Governmental
Decision making.** A person who contributes or causes to be contributed,
directly or indirectly, an aggregate of \$3,000 or more during the term
of office and two years before to any statewide official must disclose
to the Missouri Ethics Commission within 30 days after initially
contacting the executive branch of government or any elected or
appointed official, employee, department, division, agency, or board or
commission of the executive branch, any contact made for the purpose of
attempting to influence a decision of a nonadversarial nature which
results in financial gain for the contributor \[189\]. The disclosure
must include the amount of the contribution and to whom it was made
\[190\], the person, persons, or entity represented by the person
\[191\], and the department, division, agency, board, commission, or
entity contacted \[192\].

**H. Aggregation Requirements.** The aggregate amount of contributions
received from any one person must be computed by adding all such
contributions from that person between the date a candidate became a
candidate and the closing date of the reporting period for a candidate
committee \[193\]. The date the committee received its first
contribution is the beginning of the reporting period of a campaign
committee, with the end on the closing date for the period the report is
required \[194\]; for a political party committee or a continuing
committee, the period must begin on the first day of January of the year
in which the report or statement is being filed and end on the closing
date for the period for which the report or statement is required;
however, if the report or statement is required to be filed prior to the
first day of July in any given year, the period must begin on the first
day of July of the preceding year \[195\].

**I. Reporting of Late Contributions.** The receipt of any contribution
or loan over \$250 after the closing date of the last disclosure report
required to be filed before an election, but before the date of the
election, must be reported to the appropriate filing officer within 48
hours after receipt \[196\]. The report may be made by any written means
of communication, setting forth the contributor or lender's name, his or
her address, and the amount of the contribution or loan \[197\].
Signatures and certification ordinarily required for a full disclosure
report are not necessary, but the late contribution or loan must be
included in subsequent disclosure reports \[198\].

If any committee accepts contributions or makes expenditures in support
of or opposition to a ballot measure or candidate, and the report for
the most recent calendar quarter is filed prior to the 40th day before
the election pertaining to the measure or the candidate, the committee
must file an additional disclosure report not later than the 40th day
before the election for the period closing on the 45th day before the
election \[199\].

**J. Reporting of Out-of-State Contributions.** If a Missouri committee
receives a contribution of \$1,500 or more from any committee domiciled
outside of Missouri, the Missouri committee must file a disclosure
report with the Missouri Ethics Commission, disclosing the full name,
mailing address, telephone numbers, and domicile of the contributing
committee, and the date and amount of the contribution \[200\]. The
report must be filed within 48 hours of the receipt of such a
contribution if the contribution is received after the last reporting
date before the election \[201\].

**K. Exemptions From Reporting.** A disclosure report need not be filed
by the treasurer of any committee if, during that reporting period, the
committee has neither received contributions nor made expenditures, in
the aggregate, in excess of \$500, and has not received contributions
aggregating more than \$250 from any single contributor, \[202\]. Any
contributions received or expenditures made that are not reported
because this statement is filed in lieu of a disclosure report must be
included in the next disclosure report filed by the committee \[203\].
This statement may not be filed in lieu of two or more consecutive
reports if either the contributions received or expenditures made in the
aggregate during those reporting periods exceed \$500, and may not be
filed in lieu of the report required to be filed not later that the 30th
day after an election if that report would show a deficit in excess of
\$1,000 \[204\].

A candidate for statewide elective office, general assembly, judicial
office other municipal judge, county office, or municipal office in a
city of 10,000 or greater population is not required to comply with the
requirements to file a statement of organization or disclosure reports
of contributions and expenditure for any election in which neither the
aggregate contributions received nor the aggregate expenditures made on
behalf of the candidate exceed \$1,000, and no single contributor, other
than the candidate, has contributed more than \$250 of the aggregate
contributions received, if the candidate files a sworn exemption
statement with the appropriate officer stating that the candidate does
not intend to either receive contributions or make expenditures in the
aggregate of more than \$500 or receive contributions from any single
contributor, other than himself or herself, that aggregate more than
\$250, and that the total of all contributions received or expenditures
made by him, and all committees or any other person with his knowledge
and consent in support of his candidacy, will not exceed \$500 and that
the aggregate of contributions received from any one contributor will
not exceed \$250 \[205\]. The exemption statement must be filed no later
than the date on which a disclosure report would otherwise be required
if the candidate did not file the exemption statement \[206\]. The sworn
exemption statement must include a statement that the candidate
understands that records of contributions and expenditures must be
maintained and that an exemption from filing a statement of organization
or disclosure reports does not exempt the candidate from other
provisions of the law \[207\]. Any candidate who has filed an exemption
statement may not accept any contribution or make any expenditure in
support of his or her candidacy, either directly or indirectly or by or
through any committee or any other person acting with the candidate's
knowledge and consent, that would cause such contributions or
expenditures to exceed the specified limits, unless the candidate later
rejects the exemption \[208\]. Any contribution received in excess of
such limits must be returned to the donor or transmitted to the state
treasurer to escheat to the state \[209\].

If, after filing the exemption statement, the candidate subsequently
wishes to exceed any of the limits, he or she must file a notice of
rejection of the exemption with the appropriate officer; however, the
rejection must not be filed later than the 30th day before the election
\[210\]. A notice of rejection of exemption must be accompanied by a
statement of organization and any other statements and reports that
would have been required if the candidate had not filed an exemption
statement \[211\]. If a successful primary candidate has correctly filed
an exemption statement prior to the primary election and has not filed a
notice of rejection prior to the date on which the first disclosure
report applicable to the succeeding general election is required to be
filed, he or she may not be required to file an exemption statement for
that general election if the limitations of \$500 in aggregate
contributions and expenditures and \$250 in aggregate contributions
apply to the succeeding general election \[212\].

A candidate committee formed for a prior election and still in existence
is required to make a disclosure report of expenditures and
contributions \[213\]. A candidate who has an existing candidate
committee formed for a prior election for which all statements and
reports have been properly filed is eligible to file the exemption
statement, and is not required to file the disclosure reports pertaining
to the election for which he or she is eligible to file the exemption
statement if the candidate and the treasurer of the existing candidate
committee continue to comply with exemption requirements, limitations,
and restrictions \[214\]. This exemption does not exempt a candidate or
the treasurer of his or her existing candidate committee from complying
with the requirements for filing supplemental disclosure reports
applicable to a prior election \[215\].

**L. Supplemental Reports.** If the post‑election disclosure report
filed by a committee shows outstanding debts of more than \$5,000,
semi-annual supplemental disclosure reports are to be filed not later
than the 15th day of January and July for the periods closing December
31st and June 30th, respectively, until the deficit is reduced to
\$5,000 or less \[216\]. A supplemental report is not required to be
filed for any semi-annual period that includes the closing date for the
reporting period covered in any regular disclosure report the committee
must file in connection with an election \[217\].

If a committee, during a calendar year receives contributions or makes
expenditures aggregating more than \$1,000 or receives an aggregate of
more than \$250 from any one person, a disclosure report must be filed
not later than January 15th for the period closing on the preceding 31st
day of December \[218\]. A national party committee, candidate for
elective federal office, and any committee formed solely to support a
candidate or candidates for federal office are in full compliance with
all Missouri reporting provisions if they have complied with all
applicable federal reporting requirements, and copies of the federally
mandated reports are filed with the state at the same time they are
filed with federal authorities \[219\].

A committee that disbands and is required to file a termination
statement must file the statement not later than the 10th day after
dissolution, and the committee treasurer must attach to the termination
statement a complete disclosure report for the period closing on the
date of dissolution \[220\].

**M. Place of Filing.** All disclosure reports must be filed with the
appropriate filing officer not later than 5:00 p.m. on the day
designated for the filing of the report, and a report postmarked not
later than midnight of the day previous to the day designated for filing
the report is deemed to have been filed in a timely manner \[221\]. The
appropriate officer may establish a policy to allow disclosure reports
to be filed by facsimile transmission \[222\].

The appropriate filing officer for a candidate for governor, lieutenant
governor, secretary of state, state treasurer, state auditor, attorney
general, judges of the supreme court, and judges of the appellate court
is the Missouri Ethics Commission \[223\]; for candidates for state
senator, state representative county clerk, circuit court judge and
associate circuit court judges, the filing officer is the Missouri
Ethics Commission and the county clerk of the candidate's county of
residence, except that in a city or county with a board of election
commissioners, the board is the election filing officer \[224\]; for
candidates seeking elective municipal offices in cities of more than
100,000 population, or county government offices in counties of more
than 100,000 population, the reports are to be filed with the Missouri
Ethics Commission and the election authority of the county or
municipality in which the office is sought \[225\]; and for all other
elective offices, filing is with the election authority for the district
or political subdivision in which the office is sought and in whose
jurisdiction the candidate resides \[226\]. The appropriate filing
officer for a statewide ballot measure is the Missouri Ethics Commission
\[227\]; for any other ballot measure, the filing officer is the local
election authority for the political subdivision or district \[228\].

The appropriate filing officer or officers for candidate committees and
campaign committees are the same as those for the candidates or ballot
measures supported or opposed by the committee \[229\]. The appropriate
officer for an incumbent committee is the same as for a candidate for
the office held by the officeholder for whom the incumbent committee was
organized \[230\]. In the case of state party committees, the
appropriate officer is the Missouri Ethics Commission \[231\], and in
the case of any district, county, or city political party committee, the
appropriate officers are the Missouri Ethics Commission and the election
authority for that district, county, or city \[232\]. The appropriate
officers for a continuing committee, and for any other committee not
named, are the Missouri Ethics Commission and the election authority for
the county in which the committee is domiciled \[233\], and if the
committee makes, or anticipates making contributions or expenditures
aggregating \$500 or more to support or oppose any one candidate or any
one ballot measure for which the appropriate officer is an election
authority other than the one for the county in which the committee is
domiciled, the appropriate officers for that committee include such
other election authority or authorities \[234\].

**N. Electronic Reporting.** A candidate for statewide office must file
in an electronic format approved by the Missouri Ethics Commission,
although a candidate who receives or spends \$5,000 or less in any
reporting period is not required to file electronically in that
reporting period \[235\]. A continuing committee must file in an
electronic format approved by the Missouri Ethics Commission, although a
continuing committee that makes contributions of \$15,000 or less to
support or defeat a candidate or ballot issue in a calendar year may
file on paper forms \[236\]. Any other committee, at the committee's
option, may file in an electronic format \[237\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Reports.** If the disclosure report required to be
filed by a committee not later than the 30th day after an election shows
outstanding obligations of more than \$5,000, semi-annual supplemental
disclosure reports must be filed with the appropriate officer for each
succeeding semi-annual period until the deficit is reduced to \$5,000 or
less, except that a supplemental quarterly report is not required for
any semi-annual period that includes the closing date for the reporting
period covered in any regular disclosure report that the committee is
required to file in connection with an election \[238\]. The reporting
dates and period covered for quarterly supplemental reports are not
later than the 15th day of January and July for the periods closing on
the 31st days of December and the 30th day of June, respectively
\[239\].

If after filing the disclosure report required to be filed not later
than the 30th day after election, a committee, including a candidate
committee, during a calendar year receives additional contributions or
makes additional expenditures aggregating \$1,000 or more, or receives
an aggregate of more than \$250 from any one person, a supplemental
disclosure report must be filed not later than January 15th for the
period closing on the preceding December 31st \[240\].

In the case of a committee that disbands and is required to file a
termination committee was dissolved, the committee treasurer must attach
to the termination statement a complete disclosure report for the period
closing on the date of dissolution \[241\]. A termination statement must
include the distribution made of any remaining surplus funds, the
disposition of any deficits, and the name, mailing address, and the
telephone number of the individual responsible for preserving the
committee's records and accounts \[242\].

**B. Disposition of Funds from an Exploratory Committee.** When an
individual for whom an exploratory committee has been formed declares
his or her candidacy for office, or a position on a candidate or ballot
measure is taken by an exploratory committee, any contribution received
over the allowable contribution limits must be returned to the
contributor within five business days \[243\]. Funds remaining in an
exploratory committee fund may be transferred to the candidate committee
upon declaration of candidacy for the position being explored, or if
candidacy is not declared, the remaining exploratory committee funds
must be returned to contributors on a *pro rata* basis, with the amount
returned not greater than the amount donated by each contributor, nor
less than \$10 \[244\].

**C. Recordkeeping.** All records and accounts or receipts and
expenditures of a committee must be preserved for a least three years
after the date of the election to which the accounts refer, and such
records must be available for inspection by the Missouri Ethics
Commission and its duly authorized representatives \[245\].

**VI. OFFENSES AND PENALTIES**

A person aggrieved by any violation of the prohibitions against
discrimination or intimidation of members of groups or employees
relating to elections is, in addition to any other remedy provided by
law, entitled to maintain within one year from the date of the
prohibited violation, a civil suit, and if successful, to be awarded
civil damages of not less than \$100 nor more than \$1,000, plus costs,
including reasonable attorneys fees \[246\]. Each violation constitutes
a separate violation \[247\]. A violation resulting in conviction is a
Class D felony, and upon conviction a person must be punished by a fine
of not more than \$5,000 and confinement for not more than six months
\[248\].

A person who knowingly accepts or makes a contribution or makes an
expenditure in violation of any provision of the campaign finance
disclosure law, or who knowingly conceals a contribution or expenditure
by filing a false or incomplete report, or by not filing a required
report, in addition to or in the alternative to any other penalty that
may be imposed by law, may be held liable for civil penalties in twice
the amount of any such contribution or expenditure, not to exceed a
total amount of \$5,000 \[249\].

A committee treasurer is assessed a late filing fee of \$10 for each day
that a report required to be filed with the state is due and remains
unfiled, increasing after 30 days to \$100 for each day that the report
remains unfiled, to a maximum of \$3,000 \[250\]. A committee treasurer
is assessed a late filing fee of \$100 for each day that a report of
late, large contributions required to be filed with the state is due and
remains unfiled, until the first day after the election, when for each
additional day that the report remains unfiled, the fine becomes \$10,
to a maximum of \$6,000 \[251\]. A person who fails to file a report or
statement in a timely manner is guilty of an infraction \[252\]. A
violation of the provisions requiring special reporting by those
attempting to influence executive branch decision making is also an
infraction \[253\]. Violations of Commission confidentiality by staff
constitutes a class A misdemeanor making the offender subject to removal
from his or her position or termination of employment by the Commission
\[254\].

For any other violation of the campaign disclosure law, any person who
purposefully violates any provision is guilty of a Class A misdemeanor,
and upon conviction may be punished by a fine of not more than \$5,000,
confinement in the county jail for not more than one year, or both
\[255\]. Any campaign disclosure law violation may be prosecuted, if the
indictment is made or prosecution instituted within three years after
the commission of the alleged offense \[256\].

If a candidate, or the treasurer of his or her candidate committee,
fails to file the disclosure reports as required, the candidate is
barred from assuming office until the reports are filed \[257\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Missouri Ethics Commission and Special Investigators.** The
Missouri Ethics Commission has authority for campaign finance
enforcement. The Commission is assigned to the office of administration
only for purposes of budgeting and reporting \[258\]. Initial members of
the six-member panel are appointed by the governor with the advice and
consent of the senate from lists of two eligible nominees submitted by
each congressional district committee of the political parties with the
two highest number of votes cast for their candidate for governor at the
last gubernatorial election \[259\]. Subsequent appointments to fill
vacancies or expired terms are filled in the same manner, with the names
of two eligible nominees submitted by the congressional district
committees of the political party or parties of the vacating member or
members from the even- or odd-numbered congressional districts, based
upon the residence of the vacating member or members, other than from
the congressional district committees from districts then represented on
the Commission, and from the same congressional district party committee
or committees which originally appointed the member or members whose
positions are vacated \[260\].

The term of each member is four years, with a one-term limit \[261\].
The terms of the members appointed from the odd-numbered congressional
districts expire on March 15, 2002, and the terms of the members
appointed from the even-numbered congressional districts expire on March
15, 2004 \[262\]. Members must be citizens, residents of Missouri, and
registered voters in the state for at least five years before the
appointment \[263\]. Nominees must also disclose certain personal
financial information, including a list of all political contributions
and the name of the candidate, political party, or continuing committee
to which those contributions were made within the four-year period prior
to appointment, made by the nominee, the nominee's spouse, or any
business entity in which the nominee has a substantial interest \[264\].

Members of the Commission may be removed by the governor, with the
advice and consent of the senate, only for substantial neglect of duty,
inability to discharge the powers and duties of office, gross
misconduct, or conviction of a felony or crime involving moral turpitude
\[265\]. Members of the Commission may also be removed from office by
concurrent resolution of the general assembly signed by the governor,
or, in the case of such a resolution receiving two-thirds or more of the
votes of both houses of the general assembly, the signature of the
governor is not needed to effect removal \[266\]. Moving from the
congressional district from which a member was appointed results in a
vacancy \[267\].

The Commission elects a chair on a biennial basis for a two-year term
without succession, with the succeeding chair required to be a member of
a different political party than the outgoing chair \[268\]. A quorum is
comprised of four members of the Commission, with at least four
affirmative votes required for any action or recommendation of the
Commission \[269\].

Commission members and employees are forbidden from holding or being a
candidate for any other public office during their terms of service
\[270\]. No member of the Commission is permitted, during the member's
term of service or within one year thereafter, to be employed by the
state or a political subdivision of the state \[271\]; be employed as a
lobbyist \[272\]; serve on any other governmental board or commission
\[273\]; be an officer of any political party or political organization
\[274\]; permit his or her name to be used, or make contributions, in
support of, or in opposition to, any candidate or proposition \[275\];
or participate in any way in any election campaign \[276\].

The Commission is required to appoint an executive director to serve at
the pleasure of the Commission, but for a period of not more than six
years \[277\].

Within 60 days after the initial meeting of the first Commission, and at
least once annually thereafter, the Commission is required to obtain a
list of retired appellate and circuit court judges who did not leave the
judiciary as a result of being defeated in an election, and determine
which of these judges wish to serve as special investigators to
investigate any and all complaints referred to them by the Commission on
a rotating basis which ensures a random assignment of each special
investigator \[278\]. In the event that a retired judge is appointed a
member of the Commission, the judge is not permitted to serve as a
special investigator while serving as a member of the Commission
\[279\]. Each special investigator is permitted to receive only one
unrelated investigation at a time, and is not to be assigned to a second
or subsequent investigation until all other eligible investigators on
the list have been assigned to an investigation, but if no special
investigator is qualified or available to conduct a particular
investigation, the Commission may appoint a special investigator to
conduct the investigation \[280\].

The Commission is empowered to receive and review complaints about
violations of the campaign finance laws, conduct initial reviews and
investigations regarding complaints, refer complaints to appropriate
prosecuting authorities and appropriate disciplinary authorities along
with recommendations for sanctions, and initiate judicial proceedings
\[281\]; review and audit any reports and statements required by
campaign finance laws for timeliness, accuracy, and completeness of
content \[282\]; develop appropriate systems to file and maintain an
index of all such reports and statements to facilitate public access to
such information, including cross-checking of information, and entering
into contracts with appropriate filing officers to effectuate such a
system \[283\]; developing a electronic reporting system for elections,
including making data accessible on a public electronic access system
\[284\]; rendering advisory opinions \[285\]; and promulgating
prospective rules relating to its internal procedures \[286\].

In connection with its responsibilities, the Commission may subpoena
witnesses and compel their attendance and testimony \[287\]; administer
oaths and affirmations \[288\]; take evidence and require by *subpoena
duces tecum* the production of books, papers, and other records relating
to any matter being investigated or to the performance of the
Commission's duties or exercise of its powers \[289\]; employing such
personnel and making use of services provided to the Commission by
contract \[290\]; and obtain information from any department, division,
or agency of the state or any political subdivision reasonably
calculated to lead to the discovery of evidence which will assist the
Commission in carrying out its duties \[291\].

Upon written request for an advisory opinion received by the Commission,
and if the Commission determines that the person requesting the opinion
would be directly affected by the application of law to the facts
presented by the requesting person, the Commission may issue a written
opinion advising the person who made the request, in response to their
particular request, regarding any issue pertaining to the law, with in
90 days from the date of receipt by the Commission \[292\]. The
Commission may also decline to issue an advisory opinion by a vote of
four members and so notify the person requesting the opinion the reason
for the refusal in writing \[293\]. An advisory opinion, or a portion of
an advisory opinion must be withdrawn by the Commission if, after a
hearing, the joint committee on administrative rules finds that the
opinion is beyond or contrary to the statutory authority of the
Commission, or is inconsistent with the legislative intent of any law
enacted by the general assembly, and after the general assembly, by
concurrent resolution, votes to adopt the findings and conclusions of
the joint committee on administrative rules \[294\]. Copies of such
resolutions must also be sent by the Commission to the person who
originally requested the withdrawn advisory opinion \[295\]. The
Commission is required to compile and publish sanitized versions of
requests and advisory opinions on at least an annual basis, along with
the general assembly's action on withdrawn advisory opinions \[296\].
Any advisory opinion issued by the Ethics Commission serves as legal
direction to any person requesting such opinion, and no person shall be
liable for relying on the opinion, and it shall act as a defense of
justification against prosecution \[297\].

The Commission is empowered to receive complaints alleging violations of
the provisions of the campaign finance disclosure requirements \[298\]
if they are in writing, sworn to under penalty of perjury, and filed
only by a natural person, with the complaint containing all facts known
by the complainant that have given rise to the complaint \[299\].
Complaints may not be investigated unless they allege facts which, if
true, fall under the Commission's jurisdiction \[300\], and they concern
conduct which falls within the statute of limitations \[301\]. The
Commission may refuse to investigate any conduct which is the subject of
criminal or civil litigation, and it is prohibited from investigating
any complaint regarding noncriminal conduct which occurred more than two
years prior to the date of the complaint \[302\].

A complaint alleging failure to file (or to timely file) the appropriate
financial interest statements or campaign finance disclosure reports,
may be accepted by the Commission within 60 days prior to the primary
election at which such candidate is running for office, and until after
the general election \[303\]. Such a complaint gives rise to notice to
the accused, and to a Commission audit and investigation within 15
business days of the receipt of the complaint \[304\]. During that
15-day period, the Commission must determine, by a vote of at least four
members whether there are reasonable grounds to believe a violation of
law has occurred that is within the Commission's jurisdiction \[305\].
Both sides may submit evidence \[306\]. Dismissal results in a public
statement of the fact and a statement of the nature of the complaint by
the Commission \[307\].

The executive director of the Commission, under the Commission's
supervision, is responsible for reviewing campaign finance reports and
statements for completeness, accuracy, and timeliness, and upon review,
if there are reasonable grounds to believe that a violation has
occurred, the executive director must conduct a confidential audit of
the reports and statements \[308\]. If the appropriate filing officer
reports apparent violations to the Commission, the executive director is
also required to audit relevant disclosure reports, statements, and
records within a reasonable time after receipt \[309\]. The Commission
is also required to audit and investigate alleged violations of the
campaign finance law upon sworn written complaint of any natural person
filed in accordance with the law \[310\]. The Commission is also
permitted to make any investigations and inspections necessary, whether
within or outside of Missouri, to determine compliance with the campaign
finance laws \[311\].

Within 60 days after receiving a sworn complaint alleging the violation
of any other provision of the campaign finance laws, the executive
director must notify the complainant in writing of the action, if any,
the executive director has taken and plans to take on the complaint
\[312\]. If an investigation undertaken pursuant to a complaint fails to
establish reasonable grounds to believe that a violation has occurred,
the investigation must be ended, and the complainant and the person who
had been under investigation must be notified of the reasons for the
disposition of the complaint \[313\].

If, during an audit or investigation, the Commission determines that a
formal investigation is necessary, the Commission must assign the
investigation to a special investigator \[314\]. Within 10 days of such
assignment, the special investigator must disclose, in writing, to the
Commission any conflict or interest the investigator might have with
respect to the investigation or its subject \[315\]. Within 120 days of
receipt of the complaint from the Commission, the special investigator
must submit a report to the Commission \[316\]. The Commission, after
reviewing the report, is required to determine that there is reasonable
grounds for belief that a violation has occurred \[317\]; that there is
no reasonable grounds for belief that a violation exists and that the
complaint should be dismissed \[318\]; or that additional time is needed
to investigate \[319\]. All matters concerning a complaint are generally
confidential \[320\].

After completion of an audit or investigation the executive director
must provide a detailed report to the Commission, and, upon a
determination that there are reasonable grounds to believe that a person
has violated provisions of the campaign finance laws, by a vote of four
members of the Commission the Commission shall refer the report and
recommendations to the appropriate prosecutorial authority together with
a copy of the audit and the details of the Commission's investigation
\[321\].

When the Commission concludes by a vote of at least four commissioners,
based on a report from the special investigator or Commission audit,
that reasonable grounds exist to believe a violation of any criminal law
has occurred, the report is referred to the office of prosecution
services, prosecutors training council for further action \[322\].

When the Commission concludes, based on the report from the special
investigator or a Commission audit, that there are reasonable grounds to
believe that a noncriminal violation of the law has occurred, or that
criminal prosecution is not appropriate, the Commission must convene a
closed hearing to determine whether there is probable cause that a
violation has occurred, and, if the Commission, by a vote of at least
four commissioners determines that probable cause exists that a
violation has occurred, the Commission may refer its findings and
conclusions to the appropriate disciplinary authority over the person
who is the subject of the report \[323\].

If the appropriate disciplinary authority fails to act within 60 days
after receipt of the report, the Commission may request that the person
cease and desist violating the law \[324\]; notify the person of the
requirement to file, amend, or correct relevant materials \[325\]; and
file the report with the executive director as a public document
\[326\].

Upon the vote of at least four members, the Commission may initiate
formal judicial proceedings seeking a cease or desist order \[327\]; an
order requiring the payment of civil penalties \[328\]; or an order to
require filing of any necessary materials \[329\].

A special investigator is imbued with certain powers in the course of
investigating complaints. The special investigator may request and be
given access to information in the possession of any person or agency
which the investigator deems necessary for the discharge of the
investigator's responsibilities \[330\]; examine the records and
documents of any person or agency that are not otherwise confidential by
state or federal law \[331\]; administer oaths and affirmations \[332\];
issue subpoenas for testimony or documents \[333\]; and request any
necessary assistance from the Commission \[334\].

Commission investigation provisions are provided in addition to any
other remedies that may be available under law \[335\], and no person is
required to make or file a complaint with the Commission as a
prerequisite for exhausting his or her administrative remedies before
pursuing any civil cause of action allowed by law \[336\].

The Commission may award fees or penalize maliciously brought complaints
\[337\]. The Commission also has the authority to fine and notify late
filers \[338\].

If desired, any person may instead of filing a complaint with the
Commission file a civil action in summary process in the circuit court
for the circuit in which the alleged violation occurred, against the
alleged violator or violators, seeking a forfeiture to the general
revenue of the state of any amount of contributions in excess of the
contribution limits \[339\].

**B. Local Election Authority.** Each appropriate officer, other than
the Secretary of State, must assist the secretary (or Commission) in
furnishing forms and printed instructional material to person required
to file reports and statements \[340\]; and shall accept reports and
statements required to be filed with the office \[341\]; develop a
filing, coding, and cross‑indexing system consonant with the purposes of
the law \[342\]; make the filed reports and statements available for
public inspection and copying \[343\]; preserve reports and statements
for not less than five years from the date of receipt \[344\]; examine
each report and statement to determine if they appear to be complete and
filed within the required time \[345\]; immediately notify a person
required to file a report or statement if it appears that the person has
failed to file a report or statement as required by law \[346\]; and
notify the campaign finance review board if he or she has reasonable
cause to believe that a violation of the law has occurred \[347\].

**C. Attorney General.** The attorney general is required to give an
opinion, without charge, to the Commission, any state or local elective
official, or the director of any state department, division, agency on
any question of law regarding the effect or application of the campaign
finance laws, within 60 days after the request is delivered \[348\]. Not
withstanding any provision of law to the contrary, the attorney general
is to represent the Commission in all state appellate and federal
appellate or supreme courts, unless the attorney general refuses to
pursue such actions \[349\].

**D. Missouri Office of Prosecution Services and Special Prosecutors.**
The Missouri office of prosecution services, prosecutors coordinators
training council receives certain criminal law violation referrals from
the Missouri Ethics Commission \[350\]. The office must submit a panel
of five attorneys for recommendation for appointment as a special
prosecutor to the court having criminal jurisdiction \[351\]. The court
then selects the special prosecutor, who shall commence an action based
on the report by filing an information or seeking an indictment within
60 days after appointment, or must file a statement with the Commission
explaining why criminal charges should not be sought, in which case the
Commission may petition for a new special prosecutor \[352\].

**References**

1\. Missouri Revised Statutes (hereafter MRS)

§ 130.011(12); an expenditure is considered

a contribution if candidate has control or

influence over advertising medium.

Missouri Ethics Commission Opinion No.

00.05.100---1 (2000)

2\. MRS § 130.011(12)(a)

3\. MRS § 130.011(12)(b)

4\. MRS § 130.011(12)(c)

5\. MRS § 130.011(12)(d)

6\. MRS § 130.011(12)(e)

7\. MRS § 130.011(12)(f)

8\. MRS § 130.011(12)(g)

9\. MRS § 130.011(12)(h)

10\. MRS § 130.011(12)(i)(a)

11\. MRS § 130.011(12)(i)(b)

12\. MRS § 130.011(12)(i)(c)

13\. MRS § 130.011(12)(i)(d)

14\. MRS § 130.011(12)(i)(d)

15\. *Nixon v. Shrink Missouri Gov't PAC*,

528 U.S. (2000), *on remand Shrink*

*Missouri Gov't PAC v. Adams*, 204 F.3d

838 (8th Cir. 2000)

16\. MRS § 130.032.1(1)

17\. MRS § 130.032.1(2)

18\. MRS § 130.032.1(3)

19\. MRS § 130.032.1(4)

20\. MRS § 130.032.1(5)

21\. MRS § 130.032.1(6)

22\. *Missouri Republican Party v. Lamb*, 100

F.Supp.2d 990 (E.D.Mo. 2000), *aff'd*, 227

F.3d 1070 (8th Cir. 2000), *vacated Nixon*

*v. Missouri Republican Party et al.*, 533

U.S. 945 (2001)

23\. MRS § 130.032.4(1)

24\. MRS § 130.032.4(2)

25\. MRS § 130.032.4(3)

26\. MRS § 130.032.4(4)

27\. MRS § 130.032.4

28\. Missouri Ethics Commission Opinion No.

00.07.101---2 (2000)

29\. MRS § 130.021.4; *see,* MRS §

130.021.2

30\. MRS § 130.031.3

31\. Missouri Ethics Commission Opinion No.

00.07.101---2 (2000)

32\. MRS § 130.031.3

33\. MRS § 130.031.4

34\. MRS §§ 130.031.4;130.110(3)

35\. MRS § 130.031.5

36\. MRS § 130.031.5

37\. MRS § 130.031.6(1)

38\. MRS § 130.031.6(2)

39\. MRS § 130.031.6(3)

40\. MRS § 130.031.6(4)(a)

41\. MRS § 130.031.6(4)(b)

42\. MRS § 130.031.6(4)(c)

43\. MRS § 130.031.6(4)(d)

44\. MRS § 130.031.6(4)(e)

45\. MRS § 130.031.6(4)(f)

46\. MRS § 130.031.6(4)(g)

47\. MRS § 130.110(1)

48\. MRS § 130.110(2)

49\. MRS § 130.031.1

50\. MRS § 130.031.1

51\. MRS § 130.031.6(4)(g)

52\. MRS § 130.031.7; Missouri Ethics

Commission Opinion No. 00.09.103---2

\(2000\)

53\. MRS § 130.049; Missouri Ethics

Commission, "Memorandum to All

Election Authorities Re Changes in

Chapter 130 - Pursuant to SB 16,"

from Joe Carroll, August 19, 1997 at 2

54\. MRS § 130.032.5.Attribution in the case

of two custodial parents or guardians is

50% of the contribution to each parent or

guardian, and, in the case of one

custodial parent or guardian, 100% to that

custodial parent or guardian.

55\. MRS § 130.032.6

56\. MRS § 130.120(1)

57\. MRS § 130.032.7

58\. MRS § 130.032.7

59\. MRS § 130.028.1(1); *see,* *Guy v. City of*

*St. Louis*, 829 S.W.2d 66 (Mo. Ct. App.

1992\) (city may not prevent employee

from contributing to political committee

or candidate).

60\. MRS § 130.028.1(4)

61\. MRS § 130.028.1(5); *see,* *Guy v. City of*

*St. Louis*, 829 S.W.2d 66 (Mo. Ct. App.

1992\) (city may not prevent employee

from contributing to political committee

or candidate).

62\. MRS § 36.150(4)

63\. MRS § 36.150(4)

64\. MRS § 130.029.1

65\. MRS § 130.029.2

66\. MRS § 130.029.3

67\. MRS § 130.011

68\. Supreme Ct. Rules, Rule 2, Canons of

Judicial Conduct (hereafter CJC) Canon

7(A)(1)

69\. CJC Canon 7(A)(2)

70\. CJC Canon 7(A)(2)

71\. CJC Canon 7(B)(2)

72\. CJC Canon 7(A)(5)

73\. CJC Canon 7(B)(1)(b)

74\. CJC Canon 7(B)(2)

75\. MRS § 130.011(12)

76\. MRS § 130.011(12)(a)

77\. MRS § 130.011(12)(b)

78\. MRS § 130.011(12)(c)

79\. MRS § 130.011(12)(d)

80\. MRS § 130.011(12)(e)(f)

81\. MRS § 130.011(12)(e)(a)

82\. MRS § 130.011(12)(e)(b)

83\. MRS § 130.011(12)(e)(c)

84\. MRS § 130.011(12)(e)(d)

85\. MRS § 130.011(12)(e)(e)

86\. MRS § 130.031.2; *see, State v. Owen*,

990 S.W.2d 158 (Mo. App. W.D. 1999),

*transfer denied,* June 1, 1999 (must prove

purposeful violation of statute, not just

violation by purposeful act, for conviction)

87\. MRS § 130.031.2

88\. MRS § 130.031.2

89\. MRS § 130.031.3

90\. MRS § 130.031.3

91\. MRS § 130.021.4(2); a violation must be

done purposely to be successfully

prosecuted, *State v. Owen*, 990 S.W.2d

158 (App.W.D. Mo. 1999) *rehearing and/*

*or transfer denied*

92\. MRS §§ 130.021.2; 130.021.4

93\. MRS § 130.031.4

94\. MRS § 130.034.1

95\. MRS § 130.034.1(1)

96\. MRS § 130.034.1(2)

97\. MRS § 130.034.1(3)

98\. MRS § 130.034.1(4)

99\. MRS § 130.034.1(5)

100\. MRS § 130.034.4

101\. MRS § 130.033

102\. MRS § 130.034.5

103\. MRS § 130.034.5

104\. MRS § 130.029.1(1)

105\. MRS § 130.029.1(2)

106\. MRS § 130.029.3

107\. MRS § 130.011(7); *see,* Missouri

Ethics Commission Opinion No.

97.06.105---3 (1997)

108\. Opinions of the Missouri Attorney

General (hereafter Op. Att'y Gen.) No.

179, October 3, 1978

109\. MRS § 130.021.5

110\. Missouri Ethics Commission,

"Memorandum to All Election Authorities

Re Changes in Chapter 130 - Pursuant to

SB 16," from Joe Carroll, August 19,

1997 at 1; MRS §§ 130.016.3;

130.016.6

111\. MRS § 130.011(10); a candidate

committee may not be converted into a

continuing committee, Missouri Ethics

Commission Opinion No. 01.04.100---1

\(2001\)

112\. MRS § 130.011(8)

113\. Missouri Ethics Commission, *Summary of*

*Conflict of Interest and Campaign*

*Finance Laws* (October 1997) at 19.

114\. MRS § 130.011(7)(a)(a.)

115\. MRS §§ 130.011(7)(a)(b.); 130.021(5)

116\. MRS § 130.016.1(1)

117\. MRS § 130.016.6

118\. MRS § 130.016.3

119\. MRS § 130.016.3; 130.016.7

120\. MRS § 130.021.5(1)

121\. MRS § 130.021.5(1)

122\. MRS § 130.021.5(2)

123\. MRS § 130.021.5(3)

124\. MRS § 130.021.5(4)

125\. MRS § 130.021.5(5)

126\. MRS § 130.021.5(6)

127\. MRS § 130.021.5(7)

128\. MRS § 130.021.5(8)

129\. MRS § 130.021.5(9)

130\. MRS § 130.021.4(2)

131\. MRS § 130.021.6(6)

132\. MRS § 130.021.9

133\. MRS § 130.021.10(1)

134\. MRS § 130.021.10(2)

135\. MRS § 130.041.1

136\. MRS § 130.041.1(1)

137\. MRS § 130.041.1(2)

138\. MRS §§ 130.041.1(3)(a); 130.036.4;

130.041.1(3)(a)

139\. MRS § 130.041.1(3)(b)

140\. MRS § 130.041.1(3)(c)

141\. MRS §§ 130.041.1(3)(d); 130.041.1(3)(a)

142\. MRS § 130.041.1(3)(e)

143\. MRS § 130.041.1(3)(f)

144\. MRS § 130.041.1(3)(a)

145\. MRS § 130.041.1(4)(a)

146\. MRS § 130.041.1(4)(b)

147\. MRS § 130.041.1(4)(c)

148\. MRS § 130.041.1(4)(d)

149\. MRS § 130.041.1(4)(e)

150\. MRS § 130.041.2(4)

151\. MRS § 130.041.2(4)

152\. MRS § 130.041.1(6)

153\. MRS § 130.041.1(7)

154\. MRS § 130.041.1(8)

155\. MRS § 130.041.1(9)

156\. MRS § 130.041.1(10)

157\. MRS § 130.041.4

158\. MRS § 130.046.1(1)

159\. MRS § 130.046.1(2); 130.046.5(1)(b)

160\. MRS §§ 130.046.1(3); 130.046.5(1)(a)

161\. MRS § 130.046.4

162\. MRS § 130.046.5(1)(a)

163\. MRS § 130.046.5(b)

164\. MRS § 130.011(17)

165\. MRS § 130.046.3(1)

166\. MRS § 130.046.3(2)

167\. MRS § 130.046.3(3)

168\. MRS § 105.964.2

169\. MRS § 130.047.1; a corporation does not

have a reporting requirement where

corporate funds are spent to gather

signatures for a ballot measure. Missouri

Ethics Commission Opinion No.

96.06.130---14 (1996).

170\. MRS § 130.047.1

171\. MRS § 130.047.1

172\. MRS § 130.048

173\. MRS § 130.048

174\. MRS § 130.049

175\. MRS § 130.049

176\. MRS § 130.050.1(1)

177\. MRS § 130.050.1(2)

178\. MRS § 130.050.1(3)

179\. MRS § 130.050.1(4)

180\. MRS § 130.050.1(5)

181\. MRS § 130.050.1(6)

182\. MRS § 130.050.1(7)

183\. MRS § 130.011(8)

184\. MRS § 130.046.1

185\. MRS § 130.046.2(1)

186\. MRS § 130.046.2(1)

187\. MRS § 130.046.2(1)

188\. MRS § 130.046.2(2)

189\. MRS § 105.965.1

190\. MRS § 105.965.1(1)

191\. MRS § 105.965.1(2)

192\. MRS § 105.965.1(3)

193\. MRS § 130.041.2(1)

194\. MRS § 130.041.2(2)

195\. MRS § 130.041.2(3)

196\. MRS § 130.050.3

197\. MRS § 130.050.3

198\. MRS § 130.050.3

199\. MRS § 130.046.1(3)

200\. Missouri Ethics Commission,

"Memorandum to All Election Authorities

Re Changes in Chapter 130 - Pursuant to

SB 16," from Joe Carroll, August

19, 1997 at 2.

201\. Missouri Ethics Commission,

"Memorandum to All Election Authorities

Re Changes in Chapter 130 - Pursuant to

SB 16," from Joe Carroll, August

19, 1997 at 2.202.

202\. MRS § 130.046.5(2)

203\. MRS § 130.046.5(2)

204\. MRS § 130.046.5(2)

205\. MRS § 130.016.1(1)

206\. MRS § 130.016.1(1)

207\. MRS § 130.016.1(2); Missouri Ethics

Commission, "Statement of Exemption

or Rejection," Form ER MO 300-1309

(07/99)

208\. MRS § 130.016.2

209\. MRS § 130.016.2

210\. MRS § 130.016.3

211\. MRS § 130.016.3

212\. MRS § 130.016.4

213\. MRS §§ 130.016.5; Op. Att'y Gen. No.

156, July 18, 1980; Missouri Ethics

Commission, *Summary of Conflict of*

*Interest and Campaign Finance Laws*

(October 1997) at 24; Missouri Ethics

Commission "Committee Statement of

Limited Activity in Lieu of

Disclosure Report, Form CD-LA,

MO 300-1318 (07/99) at 2

214\. MRS § 130.016.5

215\. MRS § 130.016.5

216\. MRS § 130.046.6(1)

217\. MRS § 130.046.6(1)

218\. MRS § 130.046.7(1)

219\. MRS § 130.086

220\. MRS § 130.046.8

221\. MRS § 130.046.9

222\. MRS § 130.046.9

223\. MRS § 130.026.2(1)

224\. MRS § 130.026.2(2)

225\. MRS § 130.026.2(3)

226\. MRS § 130.026.2(4)

227\. MRS § 130.026.2(5)(a)

228\. MRS § 130.026.2(5)(b)

229\. MRS § 130.026.3

230\. MRS § 130.026.4

231\. MRS § 130.026.5(1)

232\. MRS § 130.026.5(2)

233\. MRS § 130.026.6(1)

234\. MRS § 130.026.6(2)

235\. MRS § 130.057.4

236\. MRS § 130.057.3

237\. MRS § 130.057.3

238\. MRS § 130.046.6

239\. MRS § 130.046.6

240\. MRS § 130.046.7

241\. MRS § 130.046.8

242\. MRS § 130.021.8

243\. MRS § 130.021.6

244\. MRS § 130.034.6

245\. MRS § 130.036.8; Missouri

Ethics Comm'n, *A Guide to Record*

*Keeping for ALL Campaign Finance*

*Committees* (Sept. 1, 1999) 2.

246\. MRS § 130.028.2

247\. MRS § 130.028.2

248\. MRS § 130.028.1(5)

249\. MRS § 130.072

250\. MRS §§ 105.963.1, 130.056.2(9)

251\. MRS §§ 105.963.2(1); 130.056.2(9)

252\. MRS § 130.081.2

253\. MRS § 105.965.2

254\. MRS § 105.961.15

255\. MRS § 130.081.1

256\. MRS § 130.081.3

257\. MRS § 130.071.1

258\. MRS § 105.955.1

259\. MRS § 105.955.1

260\. MRS § 105.955.4

261\. MRS § 105.955.3

262\. MRS § 105.955.3

263\. MRS § 105.955.2

264\. MRS § 105.955.2

265\. MRS § 105.955.5

266\. MRS § 105.955.5

267\. MRS § 105.955.5

268\. MRS § 105.955.6

269\. MRS § 105.955.6

270\. MRS § 105.955.7

271\. MRS § 105.955.9(1)

272\. MRS § 105.955.9(2)

273\. MRS § 105.955.9(3)

274\. MRS § 105.955.9(4)

275\. MRS § 105.955.9(5)

276\. MRS § 105.955.9(6)

277\. MRS § 105.955.11

278\. MRS § 105.955.13

279\. MRS § 105.955.8

280\. MRS § 105.955.13

281\. MRS § 105.955.14

282\. MRS § 105.955.14

283\. MRS § 105.955.14(3)

284\. MRS §§ 130.057.3; 130.057.5

285\. MRS § 105.955.14(6)

286\. MRS § 105.955.14(7)

287\. MRS § 105.955.15(1)

288\. MRS § 105.955.15(2)

289\. MRS § 105.955.15(3)

290\. MRS § 105.955.15(4)

291\. MRS § 105.955.15(5)

292\. MRS § 105.955.16(1)

293\. MRS § 105.955.16(1)

294\. MRS § 105.955.16(1)

295\. MRS § 105.955.16(1)

296\. MRS § 105.955.16(1)

297\. MRS § 105.955.16(1)

298\. MRS § 105.957.1(3)

299\. MRS § 105.957.2

300\. MRS § 105.957.2

301\. MRS § 105.957.3

302\. MRS § 105.957.3

303\. MRS §§ 105.957.3; 130.054.1

304\. MRS § 130.054.2

305\. MRS § 130.054.3

306\. MRS § 130.054.3

307\. MRS § 130.054.4

308\. MRS § 105.959.1

309\. MRS § 105.959.1

310\. MRS § 105.959.3

311\. MRS § 105.959.4. MRS § 130.054

provides for complaints, notice, and

investigations of campaign expenditure

violations. While the court did not

expressly rule this section invalid in

*Shrink Missouri Government PAC v.*

*Maupin*, 71 F.3d 1422 (8th Cir. 1995),

*cert. denied*, 116 S.Ct. 2579 (1996),

the emasculation of the related provisions

apparently renders this section

inapplicable to any remaining law.

312\. MRS § 105.959.3

313\. MRS § 105.959.3

314\. MRS § 105.961.1; *Jenkins & King, P.C. v.*

*Missouri Ethics Comm'n*, 945 S.W.2d 56

(E.D. App. Mo. 1997)

315\. MRS § 105.961.1

316\. MRS § 105.961.1

317\. MRS § 105.961.1(1)

318\. MRS § 105.961.1(2)

319\. MRS § 105.961.1(3)

320\. MRS § 105.961.15; *but see*, *State ex rel.*

*Missouri Ethics Comm'n v. Nichols*, 978

S.W.2d 770 (E.D. App. Mo. 1998),

*transfer denied*

321\. MRS § 105.959.6

322\. MRS § 105.961.2

323\. MRS § 105.961.3

324\. MRS § 105.961.4(1)

325\. MRS § 105.961.4(2)

326\. MRS § 105.961.4(3)

327\. MRS § 105.961.5(1)

328\. MRS § 105.961.5(2)

329\. MRS § 105.961.5(3)

330\. MRS § 105.961.8(1)

331\. MRS § 105.961.8(2)

332\. MRS § 105.961.8(3)

333\. MRS § 105.961.8(4)

334\. MRS § 105.961.8(5)

335\. MRS § 105.961.11

336\. MRS § 105.961.12

337\. MRS §§ 105.961.13, .14

338\. MRS § 105.963

339\. MRS § 130.150(2)

340\. MRS § 130.056.2(1)

341\. MRS § 130.056.2(2)

342\. MRS § 130.056.2(3)

343\. MRS § 130.056.2(4)

344\. MRS § 130.056.2(5)

345\. MRS § 130.056.2(6)

346\. MRS §§ 130.056.2(7); 130.056.2(9)

347\. MRS § 130.056.8

348\. MRS § 105.955.16(2)

349\. SB 16, 1997, § 4; Missouri Ethics

Commission, "Memorandum to All

Election Authorities Re Changes in

Chapter 130 - Pursuant to SB 16,"

from Joe Carroll, August 19,

1997 at 9.

350\. MRS § 105.961.2

351\. MRS § 105.961.2

352\. MRS § 105.961.2

**CAMPAIGN FINANCE LAW**

**IN MONTANA**

**I. INTRODUCTION**

Montana has set maximum aggregate amounts that individuals and political
committees may contribute for each contested primary election and
general election during a campaign to individual candidates and
political committees or­ganized on their behalf. A corporation may not
make candidate‑related contri­butions or expenditures, but may establish
a separate segregated fund to make political contributions and
expenditures from voluntary contributions of the shareholders, members,
and employees of the corporation. Except in certain school district and
special district elections, candidates and political committees are
required to appoint and certify a campaign treasurer and to file
pre‑election and post‑election reports of contributions and
expenditures. An income‑tax de­duction not to exceed \$100 (\$200 for a
joint return) is allowed for political con­tributions. The Commissioner
of Political Practices is responsible for administer­ing the Campaign
Finances and Practices Act.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution**

**1. Contribution.** A \"contribution\" is (1) an advance, gift, loan,
conveyance, deposit, payment, or distribution of money or anything of
value to influence an election, (2) a transfer of funds between a
candidate or political committee and another candidate or political
committee, or (3) the payment by a person other than a candidate or
political committee of compensation for the personal servic­es of another
person that are rendered to a candidate or political committee \[1\].

A contribution includes (1) the purchase of tickets, admissions,
advertisements in journals or programs, and similar items for
testimonial or fundraising events, including but not limited to dinners,
luncheons, cocktail parties, rallies, and simi­lar fundraising events
held for the support or opposition of a candidate, issue, or political
committee, (2) the use of the candidate\'s own money on behalf of his or
her candidacy (unless it is a designated payment excluded from the
definition of "contribution" or \"expendi­ture\"), and (3) an in‑kind
contribution \[2\].

A loan made to a candidate or political committee by a person other than
in the regular course of the lender\'s business is a contribution by
that person. A loan made to a candidate or political committee by any
person in the regular course of the lender\'s business is a contribution
by the obligor on the loan and by any other person endorsing the loan
\[3\].

The term \"contribution\" does *not* mean (1) services provided without
compen­sation by individuals volunteering a portion or all of their time
on behalf of a candidate or political committee, (2) meals and lodging
provided by individuals in their private residence for a candidate or
other individual, (3) the cost of any bona fide news story, commentary,
or editorial distributed through the facilities of any broadcasting
station, newspaper, magazine, or other periodical publica­tion of general
circulation, (4) the cost of any communication by any member­ship
organization or corporation to its members, stockholders, or employees,
or (5) filing fees paid by the candidate \[4\].

**2. In‑Kind Contribution.** The term \"in‑kind contribution\" means the
fur­nishing of services, property, or rights without charge or at a
charge that is less than fair market value to a candidate or political
committee for the purpose of supporting or opposing any candidate,
ballot issue, or political committee except if specifically excluded
from the statutory definition of "contribution" or "expenditure." An
in‑kind contribution in­cludes but is not limited to (1) the forgiveness
of any loan to or debt of a can­didate or political committee, (2) the
payment of a loan or other debt by a third person, (3) an expenditure
made at the behest of a candidate or political committee to avoid
contribution reporting, (4) a coordinated expenditure, which is an
expenditure made in cooperation with, in consultation with, at the
request or suggestion of, or with the prior consent of a candidate or
political committee or an agent of a candidate or political committee,
and (5) the cost of distributing, republishing, or reproducing campaign
material (print or broadcast) produced or prepared by a candidate or
political committee unless the distribution, republication, or
reproduction costs are a communication by a membership organization or
corporation that does not qualify as a "contribution" or
"expenditure"\[5\].

If a candidate, political committee, or member of a political committee
advises, counsels, or otherwise knowingly encourages any person to make
an expenditure for the purpose of avoiding direct contributions or for
any other reason, the ex­penditure is a reportable in‑kind contribution
by that person to the candidate or political committee encouraging the
expenditure \[6\].

**3. Earmarked Contribution.** An \"earmarked contribution\" is a
contribu­tion made with the direction, express or implied, that all or
part of the contribu­tion is to be transferred to or expended on behalf
of a specified candidate, ballot issue, or petition for nomination. A
contribution is not earmarked when the ini­tial recipient is (1) the
candidate for whom it is to be expended, (2) a political committee that
supports a single candidate for the benefit of whom it is to be
expended, (3) a political committee that supports or opposes a single
ballot issue or petition for nomination for the benefit of which it is
to be expended, or (4) a political committee that supports or opposes
more than one candidate and/or is­sue or petition for nomination and
there is no direction, express or implied, that all or part of the
contribution will be expended for the benefit of a specified candidate
and/or issue or petition for nomination \[7\].

**4. Person.** A \"person,\" as the term is used in the election code,
is an indi­vidual, corporation, association, firm, partnership,
cooperative, committee, club, union, or other organization or group of
individuals or a candidate \[8\].

**B. Maximum Aggregate Contribution Limits**

**1. Contributions Made by Individuals and Non‑Party Political
Com­mittees.** Aggregate contributions for each contested primary
election and each general election in a campaign made by a political
committee, other than a polit­ical committee of a political party
organization, or by an individual, other than the candidate, to a
candidate are limited for each election as follows: (1) for candidates
filed jointly for the office of governor and lieutenant governor‑‑not to
exceed \$400; (2) for a candidate to be elected for state office in a
statewide elec­tion, other than the candidates for governor and
lieutenant governor‑‑not to exceed \$200; and (3) for a candidate for
any other public office‑‑not to exceed \$100. A candidate may not accept
any contributions in excess of the limits \[9\]. The aggregate
contribution limits apply to write‑in candidates \[10\].

A contribution to a candidate includes contributions made to the
candidate\'s committee and to any political committee organized on the
candidate\'s behalf. If a political committee is not independent of a
candidate, it is considered to be organized on the candidate\'s behalf.
An \"independent committee\" is a commit­tee that is not specifically
organized on behalf of a particular candidate or that is not controlled
either directly or indirectly by a candidate or candidate\'s commit­tee
and that does not act jointly with a candidate or candidate\'s committee
in conjunction with the making of expenditures or accepting of
contributions \[11\]. A contribution to a multi‑candidate principal
campaign committee is considered to be a contribution to each of the
candidates in an amount proportional to the total number of candidates
unless otherwise specified in writing by the contribu­tor at the time the
contribution is received \[12\].

Leadership political committees maintained by political officeholders
are sub­ject to the limits on aggregate contributions. A leadership
political committee organized by an elected official who is also a
candidate is considered to be or­ganized on the candidate\'s behalf, and
contributions to the committee are sub­ject to the aggregate contribution
limits. A leadership political committee that makes contributions to
another candidate, a candidate\'s committee, or any polit­ical committee
organized on a candidate\'s behalf is subject to the aggregate
con­tribution limits. A \"leadership political committee maintained by a
political offi­ceholder\" is a political committee (*see* Section IV.A,
*infra*, for the definition of \"political committee\") managed or
controlled by an elected official or someone designated by the elected
official \[13\].

**2. Contributions Made by Political Committees of Political Party
Or­ganizations.** Aggregate contributions for a contested primary
election and gen­eral election in a campaign made by all political
committees formed by a politi­cal party organization that was represented
on the ballot at the most recent gu­bernatorial election are limited for
each election as follows: (1) for candidates filing jointly for the
offices of governor and lieutenant governor‑‑not to exceed \$15,000; (2)
for a candidate to be elected for state office in a statewide election,
other than the candidates for governor and lieutenant governor‑‑not to
exceed \$5,000; (3) for a candidate for public service commissioner‑‑not
to exceed \$2,000; (4) for a candidate for the state senate‑‑not to
exceed \$800; and (5) for a candidate for any other public office‑‑not
to exceed \$500. A candidate may not accept any contributions in excess
of the limits \[14\]. The aggregate contribution limits apply to
write‑in candidates \[15\].

\"Political committees formed by a political party organization\"
include all county central committees, city central committees, women\'s
clubs, and other committees that fit within the definition of political
committee (*see* Section IV.A, *infra*, for the definition of
\"political committee\") and were formed by a political party
organization \[16\].

**3. Contributions Received From Political Committees by State
Legis­lative Candidates.** State legislative candidates are subject to
limitations on the total combined monetary contributions, including
in‑kind contributions, they may accept from political committees during
an entire election cycle. During the 2002 election cycle, a candidate
for the state senate may receive no more than \$2,150 from all political
committees, and a candidate for the state house of representatives may
receive no more than \$1,300 from all political committees; however,
these limitations do not apply to contributions by a committee of a
po­litical party eligible for a primary election. The state legislator
contribution limi­tations are adjusted for inflation for each general
election year, and the revised limits are published as a rule by the
Commissioner of Political Practices \[17\].

**C. Corporation Contributions and Expenditures.** A for‑profit or
non­profit corporation may not make a contribution or an expenditure in
connection with a candidate or political committee that supports or
opposes a candidate or a political party, and a person, candidate, or
political committee may not accept or receive a corporate contribution;
however, this proscription does not prohibit the establishment or
administration of a separate, segregated fund to be used for making
political contributions or expenditures if the fund consists only of
volun­tary contributions solicited from individuals who are shareholders,
employees, or members of the corporation \[18\].

A corporation may not increase the salary of any officer or employee or
give an emolument to any officer, employee, or other person with the
intention that the increase in salary, the emolument, or any part
thereof is to be contributed to support or oppose a candidate or ballot
issue \[19\].

**D. Political Party Contributions to and Expenditures for a Judicial
Candidate.** A political party may not endorse, contribute to, or make
an ex­penditure to support or oppose a judicial candidate \[20\].

**E. Solicitation by Public Employees.** A public employee may not
solicit support for or opposition to any political committee, the
nomination or election of any person to public office, or the passage of
a ballot issue while on the job or at his or her place of employment
\[21\].

**F. Contributions in the Name of the Contributor.** No person may make
a contribution of his or her own money or of another person\'s money to
any other person in connection with an election in any other name than
that of the person who in truth supplies the money, and no person may
knowingly receive such a contribution or enter or cause it to be entered
in his or her accounts or records in a name other than that of the
person by whom it was actually fur­nished \[22\].

An intermediary candidate or political committee that transfers an
earmarked contribution to a candidate or political committee that is the
ultimate recipient of the contribution is required to inform the
ultimate recipient of the full name and mailing address (and occupation
and principal place of business, if any) of the original contributor
\[23\].

**G. Cash Contributions.** No candidate or political committee may
receive a cash contribution in excess of \$25 unless the recipient
prepares a receipt contain­ing the full name and mailing address (and
occupation and principal place of business, if any), the date the
contribution was received, the name of the person who received the
contribution on behalf of the candidate or political committee, and the
exact amount of the contribution. The receipt is to be kept as a part of
the campaign treasurer\'s records \[24\].

**H. Transfer of Contributions to Campaign Treasurer.** Any candidate or
agent of any candidate or political committee who receives a
contribution on behalf of a candidate or political committee must
transfer it with full disclosure of the source to the campaign treasurer
before the end of the 5th day after re­ceipt \[25\].

**I. Contributions by Check Drawn on a Joint Checking Account.** A
contribution received by check drawn on a joint checking account is
deemed to be and is to be reported as a contribution from the person
signing the check un­less otherwise specified in writing a the time the
contribution is received \[26\].

**J. Contributions of Property Jointly Held by a Candidate and Another
Person.** In the case of property held jointly by a candidate and
another person, a contribution from the property will be presumed to be
a contribution from the candidate as long as the property was owned
jointly prior to the time that the candidate became a candidate \[27\].

**K. Solicitation or Receipt of Contributions by a Municipal Government
Employee.** No person holding an appointive office or position in the
municipal government may directly or indirectly solicit or receive or be
in any manner concerned in soliciting or receiving any assessment,
subscription, or contribution for any political party or purpose
whatsoever. No person may orally or by let­ter solicit or be in any
manner concerned in soliciting any assessment, subscrip­tion, or
contribution for any political party or purpose from any person holding
an appointive office or position in the municipal government. No person
may take part in preparing any political assessment, subscription, or
contribution with the intent that it should be sent or presented to or
collected from any person in the service of the municipality, nor may a
person knowingly send or present, di­rectly or indirectly, in person or
otherwise, any political assessment, subscrip­tion, or contribution to or
request its payment by any person in such service \[28\].

No person in the service of the municipality may discharge, suspend, lay
off, reduce in grade, or in any manner change the official rank or
compensation of any person in such service or threaten to do so for
withholding or neglecting to make any contribution of money or service
or any valuable thing for any politi­cal service \[29\].

**L. Contributions by an Employee of a City With a Municipal
Commis­sion.** No officer or employee of a city with the commission form
of municipal government may in any manner contribute money, labor, or
other valuable thing to any person for election purposes \[30\].

**M. Agency Shop Fees as Contributions.** It is an unfair labor practice
for a labor organization or its agents representing designated employees
of a public employer or a health care facility to use agency shop fees
for contributions to political candidates or parties \[31\].

**N. Contributions by an Insurer**. No insurer may directly or
indirectly pay, use, or offer, consent, or agree to pay or use any money
or property for or in aid of any political party, committee, or
organization, for or in aid of any corpora­tion or other body organized
or maintained for political purposes, for or in aid of any candidate for
political office or for nomination for such office, for any po­litical
purpose whatsoever, or for the reimbursement or indemnification of any
person for money or property so used \[32\].

**O. Demand for Political Contributions From Montana Community Service
Corps and Related Personnel**. No person may demand from a public
officer, agency, employee, volunteer, or volunteer crewleader associated
with the Montana community service corps, including the Montana
conservation corps, an assessment or percentage of any money or profit
or its equivalent in support, service, or any other thing of value with
the express or implied understanding that it will be used for political
purposes \[33\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.**

**1. Expenditure.** An \"expenditure\" is a purchase, payment,
distribution, loan, advance, promise, pledge, or gift of money or
anything of value made for the purpose of influencing the results of an
election \[34\]. An expenditure in­cludes but is not limited to (1) a
payment for personal services, salaries, and re­imbursed expenses, (2) a
transfer of funds to a candidate or political committee by another
candidate or political committee, (3) a loan to any person, (4) ex­penses
incurred with respect to polls, surveys, and solicitation of funds, (5)
ex­penses incurred in support of or opposition to the drafting, printing,
distribution, and collection of signatures for any petition for
nomination or a statewide ballot issue, (6) a candidate\'s own expenses
(unless they are payments by a candidate for filing fees or for personal
travel expenses, food, clothing, lodging, or personal necessities for
the candidate and the candidate's family), (7) payment of interest on a
loan or other credit received, and (8) an in‑kind expenditure \[35\].

The term \"expenditure\" does *not* mean (1) services, food, or lodging
provided in a manner that they are not considered to be contributions
(*see* Section II.A.1, *supra*), (2) payments by a candidate for his or
her filing fee or for personal trav­el expenses, food, clothing, lodging,
or personal necessities for the candidate and his or her family, (3) the
cost of any bona fide news story, commentary, or edi­torial distributed
through the facilities of any broadcasting station, newspaper, magazine,
or other periodical publication of general circulation, (4) the cost of
any communication by any membership organization or corporation to its
mem­bers, stockholders, or employees \[36\].

**2. In‑Kind Expenditure**. An \"in‑kind expenditure\" means the
furnishing of services, property, or rights of a candidate or political
committee without charge or at a charge that is less than fair market
value to a person, candidate, or political committee for the purpose of
supporting or opposing any person, candidate, ballot issue, or political
committee except (1) compensation paid for personal services by a person
other than a candidate or political committee and (2) services provided
without compensation by volunteers or meals and lodging provided by
individuals in their private residences \[37\].

**3. Independent Expenditure.** An \"independent expenditure\" is an
expen­diture for communications advocating the success or defeat of a
candidate that is not made with the cooperation or prior consent of or
in consultation with or at the request or suggestion of a candidate or
an agent of a candidate or committee \[38\].

**B. Expenditures by Check.** All expenditures made by a candidate or
politi­cal committee, except expenditures from a petty cash fund, are to
be made by check drawn on a designated campaign depository. No check may
be drawn payable to the order of cash except for the purpose of
providing a petty cash fund \[39\].

**C. Establishment and Use of a Petty Cash Fund.** The campaign
treasurer for a candidate or political committee is authorized to
withdraw specified maxi­mum amounts each week (\$100 for statewide
candidates and political commit­tees and \$25 for all other candidates
and political committees) from the primary depository for the purpose of
providing a petty cash fund to be spent for office supplies,
transportation expenses, postage stamps, and other necessities of less
than \$25. Petty cash may not be used for the purchase of time, space,
or servic­es from any communications medium \[40\].

Expenditures from a petty cash fund are to be by a receipt voucher
designat­ing the date the monies were withdrawn, the exact amount of the
withdrawal and by whom the monies were withdrawn, the name of the person
or vendor to whom the monies were paid, and the purpose for which the
monies were used. The receipt vouchers are to be attached to the
canceled check that provided the monies for the petty cash fund for the
period and are to be maintained as a permanent record of the treasurer
\[41\].

**D. Unauthorized Use of Public Resources for Campaign Activities.** A
public officer or public employee may not use public time, facilities,
equipment, supplies, personnel, or funds to solicit support for or
opposition to any political committee, the nomination or election of any
person to public office, or the passage of a ballot issue unless the use
is authorized by law or properly incidental to another activity required
or authorized by law, such as the function of an elected public officer,
the officer\'s staff, or the legislative staff in the normal course of
duties \[42\].

**E. Voluntary Expenditure Limits for Political Committees Favoring or
Opposing a Ballot Issue**. If the treasurer of a political committee
that favors or opposes a ballot issue has filed with the Commissioner of
Political Practices a sworn statement that the committee will not exceed
the voluntary expenditure limits established under state law for such
political committees, then, in order to be identified as a political
committee in compliance with the voluntary expendi­ture limits, the
committee\'s expenditures may not exceed \$150,000 in a calendar year.
Expenditures subject to the voluntary spending limit consist of the
ag­gregate total during the calendar year of all committee loans or
expenditures made by check or cash and the dollar value of all in‑kind
contributions made or received by the committee \[43\].

**IV. REPORTING REQUIREMENTS**

**A. Definitions.** A \"candidate\" is an individual who (1) has filed a
declaration or petition for nomination, acceptance of nomination, or
appointment as a can­didate for public office as required by law; (2) has
solicited or received and re­tained contributions, made expenditures, or
given consent to an individual, or­ganization, political party, or
committee to solicit or receive and retain contribu­tions or make
expenditures on his or her behalf to secure nomination or election to
any office at any time, whether or not the office for which the
individual will seek nomination or election is known when the
solicitation is made, contribution is received and retained, or
expenditure is made; and (3) an officeholder who is the subject of a
recall election \[44\].

An \"election\" is a primary, general, regular, or special election
\[45\].

An \"election administrator\" is the county clerk and recorder or the
individual designated by a county governing body to be responsible for
all election admin­istration duties. For school elections, however, the
election administrator is the school district clerk \[46\].

A \"political committee\" is a combination of two or more individuals
(excluding a candidate and the candidate\'s campaign treasurer) or a
person other than an individual that makes a contribution or expenditure
(1) to support or oppose a candidate or a committee organized to support
or oppose a candidate or petition for nomination, (2) to support or
oppose a ballot issue or a committee organized to support or oppose a
ballot issue, or (3) as an earmarked contribution \[47\]. If a political
committee has subdivisions within the state (such as county commit­tees)
that have authority to receive contributions and make expenditures
inde­pendent of the parent political committee, each subdivision is
considered to be a separate political committee \[48\].

There are three types of political committees: (1) principal campaign
commit­tee, (2) independent committee, and (3) incidental committee
\[49\].

A \"principal campaign committee\" is a political committee that is
specifically organized to support or oppose a particular candidate or
issue. There are three types of principal campaign committees: (1) a
"ballot issue committee," which is specifically organized to support or
oppose a ballot issue, (2) a "particular candidate committee," which is
specifically organized to support or oppose a particular candidate and
is not the same as a candidate's own campaign organization, and (3) a
"leadership political committee" (*see* Section II.B.1, *supra*) \[50\].

An \"independent committee\" is a political committee, such as a
political party committee, that is not specifical­ly organized to support
or oppose any particular candidate or issue, but is organ­ized for the
primary purpose of supporting or opposing various candidates and/or
issues over a continuing period of time. There are two types of
independent committees: (1) a "political action committee" (PAC), which
is a committee composed of individuals who contribute their money for
the purpose of supporting or opposing candidates or issues and (2) a
"political party committee," which is a committee formed by a political
party organization \[51\]

An \"incidental committee\" is a political committee (such as a business
firm or partnership that makes an expen­diture to support or oppose an
issue) that is not organized or maintained for the primary purpose of
influencing elections, but may incidentally become a political committee
by reason of making a contribution or expenditure to support or op­pose a
candidate and/or issue \[52\].

The Commissioner of Political Practices is to classify a political
committee on the basis of information provided in the state­ment of
organization filed by the committee \[53\].

A \"public office\" is a state, county, municipal, school, or other
district office that is filled by the people at an election \[54\].

**B. Exemption From Reporting Requirements.** The reporting require­ments
of the Campaign Finances and Practices Act, except for the requirement
that contributions are to be made in the name of the actual contributor,
do not apply to:

\(1\) Candidates for the office of trustee of a school district, their
political committees, and political committees organized to support or
oppose a school district issue when the school district is a first‑class
district located in a county having a population of less than 15,000, a
second‑ or third‑class district, or a county high school district having
a student enrollment of less than 2,000.

\(2\) Candidates for certain special district offices, their political
committees, and political committees organized to support or oppose a
special district issue when the special district is a conservation
district, a fire district, a hospital dis­trict, an irrigation district,
a sewer district, a transportation district, or a water district \[55\].

**C. General Provisions.** All reports and statements required to be
filed by a candidate or political committee must be filed on forms
prescribed by the Commissioner of Political Practices and verified as
true and correct by the oath or affirmation of the individual filing the
report. The individual filing the report must be the candidate or an
officer of a political committee who is on file with the Commissioner of
Political Practices as an officer of the committee. Copies of all
reports and statements filed must be preserved by the individual filing
the reports for a period coinciding with the term of office for which
the person was a candidate or for 4 years, whichever is longer \[56\].

All required reports and statements must be filed with the Commissioner
of Political Practices and with the county election administrator of the
county in which a candidate is a resident or the political committee has
its headquarters; however, where residency within a district, county,
city, or town is not a prerequisite for being a candidate, copies of all
reports must be filed with the election adminis­trator of the county in
which the election is to be held or, if the election is to be held in
more than one county, with the election administrator in the county that
the Commissioner specifies \[57\]. The Commissioner has specified that
district court judge candidates are to file with the Commissioner and
with the election administrator of the county in which the election is
held or, if an election is held in more than one county, with the
election administrator at the county seat with the greatest population
\[58\]. Reports by federally filing committees and nonresident political
committees are to filed only with the Commissioner \[59\].

A statement or report is filed if it is delivered to the Commissioner
and appro­priate election administrator before 5 p.m. on the prescribed
filing date or is de­posited in an established U.S. post office, postage
prepaid, no later than 5 p.m three days before the prescribed filing
date. A faxed report is timely filed if the original of the report is
filed within 5 days (excluding Saturdays, Sundays, and holidays) after
the fax transmission \[60\].

**D. Certifications by Candidates and Political Committees: Appoint­ment
of Campaign Treasurers, Political Committee Statement of Organi­zation,
and Designation of Campaign Depositories.** Each candidate and po­litical
committee (including an incidental committee) must appoint one campaign
treasurer and may appoint not more than one deputy campaign treasurer in
each county in which a campaign is conducted. Each candidate and
political committee is required to certify the full name and complete
address of the campaign treasurer and all deputy campaign treasurers. A
candidate must file the certification of the campaign treasurer (which
is part of what the state calls a \"statement of candidate\") within 5
days after becoming a candidate \[61\].

The certification of a political committee, which must include an
organization­al statement, is to be filed within 5 days after the
committee makes an expendi­ture or authorizes another person to make an
expenditure on its behalf, whichever occurs first \[62\]. The
certification (which is part of what the state calls a \"statement of
organization\") is to include:

\(1\) The complete name and address of the political committee, which
must use a name or phrase that clearly identifies the economic or other
special inter­est, if identifiable, of a majority of its contributors
and, if a majority of its con­tributors share a common employer, that
identifies the employer.

\(2\) The complete names and addresses of all related or affiliated
political committees and the nature of the relationship or affiliation.

\(3\) The complete name and address of the campaign treasurer and
campaign depository and the complete name and address of any deputy
campaign treasur­er and secondary campaign depository.

\(4\) The complete names, addresses, and titles of the officers, if any.

\(5\) A statement as to whether the committee is incorporated.

\(6\) The name, office sought, and party affiliation, if any, of each
candidate whom the committee is supporting or opposing; if the committee
is supporting the entire ticket of political party, the name of the
party.

\(7\) Ballot issues concerned, if any, and whether the committee is in
favor or opposition to the issues \[63\].

A campaign treasurer or deputy campaign treasurer appointed must be a
reg­istered voter in this state. An individual may be appointed and serve
as a cam­paign treasurer of a candidate and a political committee or two
or more candi­dates and political committees. A candidate may appoint
himself or herself as his or her own campaign or deputy campaign
treasurer. No individual may serve as or perform any duty required of a
campaign or deputy campaign treas­urer of a candidate or political
committee until he or she has been designated and his or her name
certified by the candidate or political committee. A cam­paign treasurer
for a candidate is the agent of the candidate while performing the
statutory duties of a campaign treasurer \[64\].

Deputy campaign treasurers may exercise any of the powers and duties of
a campaign treasurer when specifically authorized in writing to do so by
(1) both the campaign treasurer and the candidate in the case of a
candidate or (2) both the campaign treasurer and the chairman of the
political committee in the case of a political committee. Deputy
campaign treasurers may make deposits in and expenditures from secondary
depositories when authorized to do so. The writ­ten authorization must be
maintained as a part of the records required to be kept by the treasurer
\[65\].

No contribution received or expenditure made by a candidate or political
committee may be deposited or expended except by the appointed campaign
treasurer or duly authorized deputy treasurer through the designated
primary or secondary depository \[66\].

The campaign treasurer of each candidate and political committee must
keep detailed accounts of all contributions received and all
expenditures made by or on behalf of the candidate or political
committee that are required to be report­ed. The system of accounts
maintained must be as prescribed and published by the Commissioner of
Political Practices. The accounts must be current within not more than
10 days after the date of receiving a contribution or making an
ex­penditure, except that accounts must be current as of the 5th day
before the pre­scribed date for filing a report. Accounts kept by a
campaign treasurer of a candidate or political committee must be
preserved for a period coinciding with the term of office for which the
person was a candidate or for 4 years, whichev­er is longer \[67\].

For the purpose of preparing a statement of deposit, a record
identifying the name and amount received from each person must be
maintained for a purchase of \$35 or more at a fundraising event for any
candidate or political committee. The proceeds of purchases of less than
\$35 may be recorded and deposited in lump sum without identifying the
name of the contributor \[68\].

Each candidate and political committee must designate one primary
campaign depository for the purpose of depositing all contributions
received and disburs­ing all expenditures made by the candidate or
political committee and may also designate one secondary depository in
each county in which an election is held and in which the candidate or
committee participates. Only a bank, credit union, savings and loan
association, or building and loan association authorized to transact
business in the state may be designated as a campaign depository. The
candidate or political committee must file the name and address of each
designated primary and secondary depository at the same time the name of
the campaign treasurer is filed \[69\].

All funds received by the campaign treasurer or any deputy campaign
treasur­er must be deposited prior to the end of the 5th business day
following their re­ceipt (Sundays and holidays excluded) in a checking
account, share draft ac­count, share checking account, or negotiable
order of withdrawal account in a designated campaign depository;
however, a candidate may not use his or her regular or personal account
in the depository as a campaign account. A state­ment of deposit showing
the amount received from or provided by each person and the account in
which the funds are deposited is to be prepared by the cam­paign
treasurer at the time the deposit is made. This statement, along with
the receipt form for cash contributions deposited at the same time and a
deposit slip for the deposit, are to be kept by the treasurer as a part
of his or her records \[70\].

**E. Reports of Contributions and Expenditures.** Each candidate and
po­litical committee must file periodic verified reports of contributions
and expen­ditures made by or on the behalf of a candidate or political
committee \[71\]. An individual elected as a write‑in at a general
election is required to comply with the reporting requirements \[72\].

Candidates for local office and political committees that are
specifically organ­ized to support or oppose a particular local candidate
or issue are required to file the reports of contributions and
expenditures only if the total amount of contributions received or the
total amount of funds expended for all elections in a campaign,
excluding the filing fee paid by the candidate, exceeds \$500 \[73\]. A
local candidate or political committee that anticipates total
contributions or ex­penditures will not exceed \$500 is to file an
affidavit of such intent at the time the candidate\'s campaign treasurer
certification/campaign depository designa­tion or political committee\'s
statement of organization is required to be filed \[74\].

**1. All Candidates and Political Committees**

*Contribution Information.* Each report must disclose the following
informa­tion concerning contributions:

\(1\) The amount of cash on hand at the beginning of the reporting
period.

\(2\) The full name, mailing address, occupation, and employer, if any,
of each person who has made aggregate contributions, other than loans,
of \$35 or more to a candidate or political committee (including the
purchase of tickets and other items for events such as dinners,
luncheons, rallies, and similar fundraising ev­ents), together with the
aggregate amount of contributions made by that person within the
reporting period and the total amount of contributions made by that
person for all reporting periods.

\(3\) The total sum of individual contributions made to or for the
political committee or candidate and not required to be reported by
individual contribu­tor.

\(4\) The name and address of each political committee or candidate from
whom the reporting committee or candidate received any transfer of
funds, to­gether with the amount and dates of all transfers.

\(5\) Each loan from any person during the reporting period, together
with the full names, mailing addresses, occupations, and employers, if
any, of the lender and endorsers, if any, and the date and amount of
each loan.

\(6\) The amount and nature of debts and obligations owed to a political
com­mittee or candidates.

\(7\) An itemized account of proceeds that total less than \$35 from a
person from mass collections made at fundraising events.

\(8\) Each contribution, rebate, refund, or other receipt not otherwise
listed during the reporting period.

\(9\) The total sum of all receipts received by or for the political
committee or candidate during the reporting period.

\(10\) Other information required by the Commissioner of Political
Practices to fully disclose the sources of funds used to support or
oppose candidates or issues \[75\].

In‑kind contributions are also to be identified as to their nature. The
total value of the services, property, or rights contributed in‑kind are
deemed to have been consumed in the reporting period in which received.
In‑kind contributions are reported (1) at their fair market value at the
time of the contribution, (2) at the difference between the fair market
value at the time of the contribution and the amount charged the
recipient, or (3) at the actual monetary value or worth at the time of
the contribution. If due to extraordinary circumstances, the value of an
in‑kind contribution cannot be established, it is sufficient to report
only a precise description of the in‑kind contribution \[76\].

An earmarked contribution is to be reported as a contribution
(\"earmarked contribution\") by the candidate or political committee
receiving the contribution as the intermediary or ultimate recipient.
The intermediary is to report the name and address of the candidate or
political committee for which the ear­marked contribution is ultimately
intended; the ultimate recipient is to report (1) the earmarked
contribution as a contribution in the name of the original con­tributor,
disclosing the full name and mailing address (and occupation and
prin­cipal place of business, if any), and (2) the full name and mailing
address of the intermediary candidate or political committee \[77\].

All debts and obligations owed to a candidate or political committee are
to be disclosed and to continue to be reported as long as they remain
outstanding. The full name and mailing address (and occupation and
principal place of busi­ness, if any) of each person who owes a debt or
obligation to the candidate or political committee at the end of a
reporting period, including the amount, date contracted, and nature of
each debt and obligation owed by each person, is to be reported. If the
exact amount of a debt or obligation is not known, the estimat­ed amount
owed is to be reported \[78\].

A candidate or political committee benefiting from an independent
expenditure does not have to report the expenditure \[79\].

*Expenditure Information.* The following information on expenditures
must be disclosed in the report, except that a candidate is required to
report the in­formation specified only if the transactions involved were
undertaken for the purpose of influencing an election:

\(1\) The full name and mailing address (and occupation and principal
place of business, if any) of each person to whom expenditures have been
made by the political committee or candidate during the reporting
period, including the amount, date, and purpose of each expenditure and
the total amount of expen­ditures made to each person.

\(2\) The full name and mailing address (and occupation and principal
place of business, if any) of each person to whom an expenditure for
personal services, salaries, and reimbursed expenses has been made,
including the amount, date, and purpose of that expenditure and the
total amount of expenditures made to each person.

\(3\) The total sum of expenditures made by a political committee or
candidate during the reporting period.

\(4\) The name and address of each political committee or candidate to
whom the reporting committee or candidate made any transfers of funds,
together with the amount and dates of all transfers.

\(5\) The name of any person to whom a loan was made during the
reporting period, including the full name and mailing address (and
occupation and princi­pal place of business, if any) of that person, the
full name and mailing address (and occupation and principal place of
business, if any) of the endorsers, if any, and the date and amount of
each loan.

\(6\) The amount and nature of debts and obligations owed by a political
committee or candidate.

\(7\) Other information that may be required by the Commissioner of
Political Practices to fully disclose the disposition of funds used to
support or oppose candidates or issues \[80\].

The intermediary candidate or political committee that transfers an
earmarked contribution is to report it as an expenditure (\"earmarked
contribution\") \[81\].

For an independent expenditure, the name of the candidate or political
com­mittee the independent expenditure was intended to benefit and the
fact that the expenditure was independent are to be reported \[82\].

In‑kind expenditures are also to be identified as to their nature.
In‑kind ex­penditures are reported (1) at their fair market value at the
time of the expendi­ture, (2) at the difference between the fair market
value at the time of the ex­penditure and the amount charged the
expendee, or (3) at the actual monetary value or worth at the time of
the expenditure. If due to extraordinary circum­stances, the value of an
in‑kind expenditure cannot be established, it is sufficient to report
only a precise description of the in‑kind expenditure as made \[83\].

All debts and obligations owed by a candidate or political committee are
to be disclosed and to continue to be reported as long as they remain
outstanding. The full name and mailing address (and occupation and
principal place of busi­ness, if any) of each person to whom a debt or
obligation to the candidate or po­litical committee is owed at the end of
a reporting period, including the amount, date contracted, and nature of
each debt and obligation owed to each person, are to be reported. If the
exact amount of a debt or obligation is not known, the estimated amount
owed is to be reported \[84\].

*Coverage of Reports.* Reports of contributions and expenditures must be
filed to cover the prescribed time periods even though no contributions
or expen­ditures may have been received or made during the period. The
initial report must cover all contributions received or expenditures
made by a candidate or political committee prior to the time that a
person became a candidate or a polit­ical committee until the 5th day
before the date of filing of the appropriate ini­tial report. Reports
filed by political committees organized to support or oppose a statewide
ballot issue must disclose all contributions received and expenditures
made prior to the time an issue becomes a ballot issue by approval of
the form of the petition by the secretary of state, even if the issue
subsequently fails to garner sufficient signatures to qualify for the
ballot. Subsequent periodic reports must cover the period of time from
the closing of the previous report to 5 days before the date of filing
of the next re­quired report \[85\].

A contribution becomes a contribution on the date it is received or, in
the case of an in‑kind contribution, on the date the consideration is
received by the can­didate or political committee. A contribution is
reported for the reporting peri­od during which it was received \[86\].
An expenditure is made on the date pay­ment is made or, in the case of an
in‑kind expenditure, on the date the consider­ation is given. An
expenditure is reported on the date and for the reporting pe­riod during
which it was made \[87\].

**2. State Statewide Office Candidates and Principal Campaign
Com­mittees.** Candidates for a state office filled by a statewide vote
and political committees that are specifically organized to support or
oppose a particular statewide candidate must file reports:

\(1\) Quarterly on the 5th day following a calendar quarter beginning
with the calendar quarter in which funds are received or expended during
the year or years prior to the election year that the candidate expects
to be on the ballot.

\(2\) On March 10th and September 10th in each year that an election is
to be held.

\(3\) On the 15th and 5th days next preceding the date on which an
election is held.

\(4\) Within 24 hours after receiving a contribution of \$200 or more if
received between the 10th day before and the day of the election. The
report must be faxed to the Commissioner of Political Practices and the
appropriate county election administrator, and an original of the report
must be received by the designated recipients within 5 days (excluding
Saturdays, Sundays, and holidays) after the fax transmission.

\(5\) Not more than 20 days after the date of the election.

\(6\) On March 10th and September 10th of each year following an
election until the candidate or political committee files a closing
report \[88\].

**3. State District Office Candidates and Principal Campaign
Commit­tees.** Candidates for a state district office, including but not
limited to candi­dates for the legislature, public service commission, or
district court judge, and political committees that are specifically
organized to support or oppose a par­ticular state district candidate or
issue must file reports:

\(1\) On the 12th day preceding the date on which an election is held.

\(2\) Within 48 hours after receiving a contribution of \$100 or more if
received between the 17th day before and the day of the election. The
report must be faxed to the Commissioner of Political Practices and the
appropriate county election administrator, and an original of the report
must be received by the designated recipients within 5 days (excluding
Saturdays, Sundays, and holidays) after the fax transmission.

\(3\) Not more than 20 days after the date of the election.

\(4\) Whenever a candidate or political committee files a closing report
\[89\].

**4. Local Office Candidates and Principal Campaign Committees.** If a
local candidate or political committee that has filed an affidavit that
the can­didate or committee does not anticipate that its total
contributions or expen­ditures will exceed \$500 for all elections in a
campaign subsequently exceeds the \$500 limit for total contributions or
expenditures, the candidate or committee, as appropriate, is required to
file an initial report within 5 days of the date when the limit was
exceeded that discloses all contributions and expenditures to that date
and is to file all future reports as required for state district office
candidates and political committees \[90\].

**5. Federal Office Candidates and Political Committees (Federally
Fil­ing Committees).** In lieu of all required contribution and
expenditure reports, the Commissioner of Political Practices must accept
copies of the reports filed by candidates for congress and president of
the United States and their political committees pursuant to the
requirements of federal law \[91\]. The Commissioner is to adopt rules
under which committees filing periodic reports with the federal election
commission are to report in accordance with the state campaign finance
law \[92\].

If a federally‑filing committee\'s reports filed with the federal
election commis­sion fully disclose the source and disposition of all
funds used to influence elec­tions in the state, the Commissioner of
Political Practices must accept copies of such reports in lieu of the
periodic reports prescribed by the Montana Campaign Finances and
Practices Act. The federally filed reports need to be filed with the
Commissioner only for periods in which a federally filing committee
receives contributions from in‑state sources or expends funds to
influence elections in the state. A copy of a statement of organization
(FEC form 1) is to accompany the first report, and copies of any
amendments to the federally filed report are to be filed with the
Commissioner \[93\].

A \"federally‑filing committee\" is a state party central committee, a
qualified multi‑candidate committee under 2 U.S.C. § 441(a)(4), or any
other committee that files reports with the federal election commission
on a monthly or quarterly basis pursuant to the Federal Election
Campaign Act of 1971, as amended \[94\].

**6. Principal Campaign Committees for Statewide Ballot Issues.**
Politi­cal committees organized to support or oppose a particular
statewide ballot issue must file reports:

\(1\) Quarterly on the 5th day following a calendar quarter beginning
with the calendar quarter in which the text of the proposed measure is
submitted for review and approval during the year or years prior to the
election year that an issue subject to a referendum is or is ex­pected to
be on the ballot.

\(2\) On March 10th and on the 10th day of each subsequent month through
September.

\(3\) On the 15th and 5th days next preceding the date on which an
election is held.

\(4\) Within 24 hours after receiving a contribution of \$500 or more if
received between the 10th day before and the day of the election. The
report must be faxed to the Commissioner of Political Practices and the
appropriate county election administrator, and an original of the report
must be received by the designated recipients within 5 days (excluding
Saturdays, Sundays, and holidays) after the fax transmission.

\(5\) Within 20 days after the election.

\(6\) On March 10th and September 10th of each year following an
election until the political committee files a closing report \[95\].

**7. Independent Committees.** An independent committee, which for the
purposes of reporting is a political party committee or a committee that
is not specifically organized to support or oppose a particular
candidate or ballot issue and that receives contributions and makes
expenditures in conjunction with an election, must file reports:

\(1\) On the 12th day preceding the date of an election in which it
participates by making an expenditure.

\(2\) Not more than 20 days after the date of the election in which it
partici­pates by making an expenditure.

\(3\) No later than January 31 for the period ending December 31
(closing re­port) \[96\].

**8. Incidental Committees.** The Commissioner of Political Practices
may promulgate rules regarding the extent to which organizations that
are not prim­ary political committees but are incidental political
committees must report their politically related activities in
accordance with the Campaign Finances and Prac­tices Act \[97\].

Earmarked contributions received by an incidental committee must be
reported without regard to the exemptions as to what constitutes an
ear­marked contribution \[98\].

An incidental committee that makes contributions or expenditures of any
amount in connection with a candidate for a statewide office, a
candidate for state district office, or a statewide issue must file
reports:

\(1\) Quarterly on the 3rd day following a calendar quarter beginning
with the calendar quarter in which funds are received or expended during
the year or years prior to the election year that an issue subject to a
referendum is or is ex­pected to be on the ballot.

(2)On March 8th and on the 8th day of each subsequent month through
September.

\(3\) On the 17th and 7th days next preceding the date on which an
election is held.

\(4\) Within 24 hours after receiving a contribution of \$500 or more if
received between the 10th day before and the day of the election.

\(5\) Within 18 days after the election.

\(6\) On March 8th and September 8th of each year following an election
until the committee files a closing report \[99\].

An incidental committee that either makes contributions or expenditures
ex­ceeding \$500 to a local candidate or issue or a political committee
that is specifi­cally organized to support or oppose a local candidate or
issue or makes contri­butions or expenditures in any amount to a state
district candidate or a political committee that is specifically
organized to support or oppose a state district can­didate:

\(1\) On the 14th day preceding the date on which an election is held.

\(2\) By mail or electronic communication within 48 hours after
receiving a contribution of \$100 or more if received between the 17th
day before and the day of the election.

\(3\) Not more than 18 days after the date of the election \[100\].

A \"local candidate or issue\" includes a county, municipal, school, or
other dis­trict office candidate or issue, but does not include:

\(1\) Candidates for school‑district trustee, school‑district trustee
candidates\' political committees, or political committees organized to
support or oppose a school‑district issue when the school district is a
first‑class district located in a county of less than 15,000 population,
a second‑class or third‑class district, or a county high‑school district
having enrollment of less than 2,000.

\(2\) Candidates for special‑district office, special‑district office
candidates\' po­litical committees, or political committees organized to
support or oppose a spe­cial district issue when the special district is
a conservation district, a fire district, a hospital district, an
irrigation district, a sewer district, a transportation district, or a
water district \[101\].

**9. Nonresident Political Committees.** The Commissioner of Political
Practices is to adopt rules under which committees headquartered out of
state are to report \[102\]. Committees headquartered out of state that
are not federal­ly filing committees and that expend funds to influence
in‑state elections may satisfy the Montana reporting requirements as
follows:

\(1\) If the committee files reports with a state officer in its home
state, the Commissioner of Political Practices may accept copies of such
reports in satisfac­tion of the Montana reporting requirements if those
reports fully disclose the source and disposition of all funds used to
influence in‑state elections. These reports need to be filed only for
periods in which the committee expends funds to influence in‑state
elections. A copy of a statement of organization or equival­ent statement
must accompany the first report, and copies of amendments to the
statement are to be filed with the Commissioner as they occur.

\(2\) If a nonresident committee cannot satisfy the requirements for
filing cop­ies of its home‑state reports, it must file reports on Montana
forms for the peri­ods in which the committee expends funds to influence
in‑state elections \[103\].

**F. Statements of Compliance With Voluntary Expenditure Limits by
Political Committees Favoring or Opposing Ballot Issues**. The treasurer
of a political committee that has filed with the Commissioner of
Political Practices a certification on a ballot issue may also file with
the Commissioner a sworn statement that the committee will not exceed
the voluntary expenditure limits established under state law. The
certification must be filed with the Commissioner within 30 days of the
certification of the political committee \[104\].

**G. Business Disclosure Statements.** Each candidate for a statewide or
a state office elected from a district is to file a business disclosure
statement with the Commissioner of Political Practices within 5 days of
the time that the can­didate files for office. The statement is to
include (1) the name, address, and type of business of the candidate,
(2) each present or past employing entity from which benefits, including
retirement benefits, are currently received by the can­didate, (3) each
business, firm, corporation, partnership, and other business or
professional entity or trust in which the candidate holds an interest,
(4) each ad­ditional entity in which the candidate is an officer or
director, and (5) all real property, other than a personal residence, in
which the candidate holds an inter­est \[105\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Closing Reports**

**1. Candidates and Principal Campaign Committees.** A candidate or
principal campaign committee is required to file a closing report of
contributions and expenditures following an election in which the
candidate or committee participates whenever all debts and obligations
are extinguished and no further contributions or expen­ditures will be
received or made that relate to the campaign, unless the election is a
primary election and the candidate or political committee will
participate in the general election. A closing report must cover the
period of time from the last periodic report to the final closing of the
books of the candidate or political committee \[106\].

**2. Independent Committees.** If an independent committee was required
to file a post‑election report of contributions and expenditures during
the second half of a calendar year and expenditures to support or oppose
a candidate or ballot issue were made between the closing date of books
for the post‑election report and December 31, it must file a year‑end
closing report. A year‑end clos­ing report must be filed no later than
January 31; the closing date of books for the report is December 31. The
report is to cover all contributions received and expenditures made
since the closing of books for the most recently filed report. If an
independent committee is not required to file a year‑end closing report,
the post‑election report is considered to be its closing report. The
closing date of books for a closing report is the cutoff date for
computing aggregate contribu­tions and expenditures, and future reports
are to use that date as a beginning point for the purpose of aggregation
\[107\].

**B. Statements of Termination of Independent Committees.** An
inde­pendent committee that will not participate in future elections and
wishes to end its status as a reporting committee may file a statement
of termination with its closing report; however, any further activity
will require the filing of a new statement of organization \[108\].

**C. Disposition of Surplus Campaign Funds.** A candidate is required to
dispose of any surplus funds from the candidate\'s campaign within 120
days af­ter the time of filing the closing campaign report. A supplement
to the closing campaign report showing the disposition of any surplus
campaign funds must be filed with the Commissioner of Political
Practices within 135 days after the filing of the closing report
\[109\].

In disposing of the surplus funds, a candidate may not contribute the
funds to another campaign, including the candidate\'s own future
campaign, or to a politi­cal committee, including a leadership political
committee maintained by a politi­cal officeholder, or use the funds for
personal benefit \[110\].

Permissible uses of surplus campaign funds include, for example, (1)
return of the funds to the contributor so long as the funds will not
result in personal bene­fit or a contribution to a campaign, (2) donation
of the funds to any organization or entity so long as use of the funds
will not result in personal benefit or a con­tribution to a campaign, (3)
upon election of the candidate, use of the funds to establish an account
to serve a public purpose related to the officeholder\'s public duties
so long as the funds will not result in personal benefit or a
contribution to a campaign, or (4) contribution of the funds to a
political party or a political par­ty committee so long as the funds are
not earmarked for a specific campaign \[111\].

"Surplus campaign funds" are those campaign funds remaining when all
debts and other obligations of the campaign have been paid or settled,
no further campaign contributions will be received, and no further
campaign expenditures will be made. If a candidate receives
contributions designated for the general election prior to the primary
and does not proceed to the general election, the contributions are not
surplus funds and must be returned to the donors \[112\].

"Personal benefit" refers to a use that will provide a direct or
indirect benefit of any kind to the candidate or any member of the
candidate\'s immediate family (candidate\'s spouse and children)
\[113\].

**VI. TAX PROVISIONS**

**A. Deduction for Political Contributions.** In computing net income
for income tax purposes, an individual is allowed as a deduction
political contribu­tions determined in accordance with the provisions of
section 218(a) and (b) of the Internal Revenue Code that were in effect
for the taxable year ending De­cember 31, 1978. This section provided
that a verified political contribution paid by an individual within the
taxable year would be allowed as a deduction in an amount not to exceed
\$100 (\$200 in the case of a joint return) \[114\].

**VII. OFFENSES AND PENALTIES**

**A. Enforcement Procedure by the Commissioner of Political Practices.**
Each statement and report filed with the Commissioner of Political
Practices dur­ing an election or within 60 days thereafter must be
inspected within 20 days af­ter it is filed (excluding intermediate
Saturdays, Sundays, and holidays). If a person has not satisfied the
provisions of the Campaign Fi­nances and Practices Act by not filing or
by filing a nonconforming statement or report, the Commissioner must
immediately notify the person of the noncom­pliance by written or
electronic communication or by telephone. If the person fails to comply
after the notification, the commission must issue an order of
noncompliance. If an order of noncompliance is issued during a campaign
period or within 60 days after an election, a candidate or political
committee must submit the necessary information within 5 days after
receiving the order of noncompliance. If an order is issued during any
other period, a candidate or political committee must submit the
necessary information within 10 days after receiving the order of
noncompliance \[115\].

Within 120 days after each election, the Commissioner must examine and
compare each statement or report filed to determine whether it conforms
to the provisions of the law. The Commissioner may investigate the
source and authen­ticity of any contribution or expenditure listed in a
report or statement filed or the alleged failure to report a
contribution or expenditure required to be report­ed \[116\].

The Commissioner of Political Practices is responsible for investigating
all al­leged violations of the election laws and in conjunction with the
county attor­neys is responsible for their enforcement. The Commissioner
may investigate all statements filed and must investigate alleged
failures to file any statement or the alleged falsification of any
statement filed. Upon the submission of a written complaint by any
individual, the Commissioner is required to investigate an al­leged
violation of the Campaign Finances and Practices Act and related rules
if the complaint meets the statutory requirements \[117\].

Whenever the Commissioner of Political Practices determines that there
ap­pears to be sufficient evidence to justify a civil or criminal
prosecution, he or she must notify the county attorney of the county in
which the alleged violation oc­curred and arrange to transmit to the
county attorney all information relevant to the alleged violation. If
the county attorney fails to initiate the appropriate civil or criminal
action within 30 days after he or she receives notification of the
al­leged violation, the Commissioner may then initiate the appropriate
legal action \[118\].

**B. Criminal Penalties.** A person who knowingly violates a provision
of the election laws of the state for which no other penalty is
specified is guilty of a misdemeanor \[119\]. A person who violates the
law concerning the solicitation or receipt of contributions by municipal
government personnel is guilty of a misdemeanor \[120\].

Any officer, director, stockholder, attorney, or insurance producer of
any in­surer in violation of the provision against insurer political
contributions who par­ticipates in, aids, abets, or advises or consents
to any such violation and any per­son who solicits or knowingly receives
any money or property in violation of the prohibition of insurer
political contributions is guilty of a misdemeanor and must be punished
by imprisonment for not more than one year and a fine of not more than
\$1,000. Any officer or director aiding or abetting in any contribution
made in violation of the prohibition of insurer political contributions
is liable to the in­surer for the amount so contributed \[121\].

A public officer or public employee who purposely or knowingly violates
the prohibition against the unauthorized use of public time, facilities,
equipment, supplies, personnel, or funds for any campaign activity
persuading or affecting a political decision is guilty of a misdemeanor
and upon conviction must be pun­ished by a fine of not less than \$50 nor
more than \$1,000, by imprisonment in the county jail for not more than
6 months, or by both fine and imprisonment \[122\].

**C. Civil Penalties.** Any person who intentionally or negligently
violates any of the reporting provisions of the Campaign Finances and
Practices Act or who makes or receives a contribution or expenditure in
violation of that law is liable in a civil action brought by the
Commissioner of Political Practices or a county attorney for up to \$500
or three times the amount of the unlawful contributions or expenditures,
whichever is greater \[123\]. This civil action is the exclusive remedy
for violation of the contribution, expenditure, and reporting provisions
\[12\].

A public employee who solicits support for or opposition to any
political committee, the nomination or election of any person to public
office, or the pas­sage of a ballot issue while on the job or at his or
her place of employment is liable in a civil action brought by the
Commissioner of Political Practices or a county attorney \[125\].

A political committee favoring or opposing a ballot issue that filed
with the Commissioner of Political Practices a sworn statement to abide
by the voluntary expenditure limits established for such committees but
then exceeded those lim­its must pay a fine of \$5,000 to the
Commissioner \[126\].

**D. Campaign‑Related and Election‑Related Penalties.** A candidate who
is convicted of violating a provision of the election law is ineligible
to be a can­didate for any public office in the state until his or her
final discharge from state supervision. A campaign treasurer who is
convicted of violating the election law is ineligible to be a candidate
for any public office or to hold the position of campaign treasurer in
any campaign until his or her final discharge from state supervision. If
an elected official or a candidate is adjudicated to have violated any
provision of the election law, he or she must be removed from nomination
or office, as the case may be \[127\].

The name of a candidate may not be printed on the official ballot for an
elec­tion if the candidate or a treasurer for a candidate fails to file
any statement or report as required by the Campaign Finances and
Practices Act \[128\]. A certificate of election may not be granted to
any candidate until the candidate or the candidate's treasurer has filed
the required reports and statements \[129\].

An official‑elect who fails to file a required business disclosure
statement may not assume or continue to exercise the powers and duties
of the office to which the individual has been elected until the
statement has been filed \[130\].

**VIII. RESPONSIBLE STATE AGENCIES**

**A. Commissioner of Political Practices.** The Commissioner of
Political Practices is the designated filing officer to receive all
required campaign treasur­er and deputy campaign treasurer
certifications, political committee statements of organization, campaign
depository designations, reports of contributions and expenditures, and
business disclosure statements \[131\]. The Commissioner is re­quired to
inspect and examine all filed reports, investigate violations of the
elec­tion laws, promulgate and adopt necessary rules, prescribe and
furnish forms for reports and other required information, prepare and
publish a manual pre­scribing a uniform system of accounts, and furnish
copies of the election laws re­lating to penalties, campaign practices,
campaign finances, and contested elec­tions to candidates and other
persons required to file reports and other informa­tion \[132\].

**B. Election Administrators.** Required campaign treasurer and deputy
campaign treasurer certifications, political committee statements of
organization, campaign depository designations, and reports of
contributions and expenditures are also to be filed with the with the
appropriate county election administrator \[133\]. An election
administrator is to file, code, and cross‑index all reports and
statements filed as prescribed by the Commissioner of Political
Practices \[134\].

An \"election administrator\" is the county clerk and recorder or the
individual designated by a county governing body to be responsible for
all election admin­istration duties. For school elections, however, the
election administrator is the school district clerk \[135\].

# References

1.  Montana Code Annotated (hereafter MCA) §§ 13‑1‑101(6)(a);
    13‑37‑229(5); Administrative Rules of Mon­tana (hereafter ARM)
    §44.10.321(1)(a)

2.  MCA §§ 13‑1‑101(10)(b)(ii); 13‑37‑229(2); ARM § 44.10.321(1)

3.  ARM § 44.10.515(1)(b), (c)

4.  MCA § 13‑1‑101(6)(b)

5.  MCA § 13‑1‑101(6)(a)(iii), (6)(b)(i); ARM §§ 44.10.321(2);
    44.10.323(4); 44.10.517

6.  ARM § 44.10.517

7.  ARM § 44.10.519(1)

8.  MCA § 13‑1‑101(17)

9.  MCA § 13‑37‑216(1)(a), (3)‑(5); ARM §§ 44.10.330; 44.10.334;

10. ARM § 44.10.337

11. MCA § 13‑37‑216(1)(b), (2)(a)

12. ARM § 44.10.523(2)

13. MCA § 13‑37‑216(2)(b); ARM § 44.10.332(1)‑(3)

14. MCA § 13‑37‑216(3)‑(5)

15. ARM § 44.10.337

16. ARM § 44.10.333(1)

17. MCA § 13‑37‑218; ARM § 44.10.331; *see* *also* MCA § 15‑30‑101(10).

18. MCA § 13‑35‑227(1)‑(3)

19. MCA § 13‑35‑228

20. MCA § 13‑35‑231

21. MCA § 13‑35‑226(4)

22. MCA § 13‑37‑217

23. ARM § 44.10.519(2)(b)(ii)

24. ARM § 44.10.505

25. ARM § 44.10.507

26. ARM § 44.10.511(2)

27. ARM § 44.10.511(3)

28. MCA § 7‑3‑1254(1)

29\. MCA § 7‑3‑1254(2)

30\. MCA § 7‑3‑4256(1)

31. MCA §§ 39‑31‑402(3); 39‑32‑109(2)(d)

32. MCA § 33‑18‑305(1)

33. MCA §§ 23‑1‑301; 23‑1‑302(1), (3), (4); 23‑1‑314(2);
    90‑14‑102(4)‑(6); 90‑14‑106(2)

34. MCA § 13‑1‑101(10)(a)

35. MCA §§ 13‑1‑101(10)(b)(ii); 13‑37‑230(2), (4), (5); ARM §
    44.10.323(1)

36. MCA § 13‑1‑101(10)(b)

37. MCA § 13‑1‑101(6)(a)(iii), (10)(b)(i); ARM § 44.10.323(2)

38. ARM § 44.10.323(3)

39. ARM § 44.10.503(3), (3)(b)

40. MCA § 13‑37‑215

41. ARM § 44.10.503(3)(a)

42. MCA § 2‑2‑121(3)

43. MCA § 13‑37‑250(1)‑(3)

44. MCA § 13‑1‑101(5)

45. MCA § 13‑1‑101(7), (12), (20), (23)

46. MCA § 13‑1‑101(8)

47. MCA § 13‑1‑101(18); ARM § 44.10.325(1), (2)

48. ARM § 44.10.325(3)

49. ARM § 44.10.327 (2)

50. ARM § 44.10.327(2)

51. MCA § 13‑37‑226(5); ARM § 44.10.327(2)

52. ARM § 44.10.327(2)

53. ARM §§ 44.10.329; 44.10.332(6)

54. MCA § 13‑1‑101(21)

55. MCA § 13‑37‑206

56. MCA § 13‑37‑231; ARM § 44.10.401(1)

57. MCA § 13‑37‑225(1); ARM § 44.10.401(2)

58. ARM § 44.10.401(2)(a)

59. ARM § 44.10.413(3)

60. ARM § 44.10.401(2(c)

61. MCA §§ 13‑37‑201; 13‑37‑202(1); ARM § 44.10.411(1)

62. MCA § 13‑37‑201

63. MCA §§ 13‑37‑201; 13‑37‑210; ARM § 44.10.405

64. MCA § 13‑37‑203; ARM § 44.10.325(2)

65. MCA §§ 13‑37‑202(2); 13‑37‑205

66. ARM § 44.10.503(1)

67. MCA § 13‑37‑208(1), (3); ARM §§ 44.10.501(1); 44.10.503(2)

68. ARM § 44.10.521(2)

69. MCA § 13‑37‑205

70. MCA § 13‑37‑207; letter of March 25, 1994, from Ed Argenbright,
    commis­sioner of political practices, to James A. Palmer

71. MCA § 13‑37‑225(1)

72. MCA § 13‑15‑111(1)

73. MCA § 13‑37‑226(4); ARM § 44.10.407(2)

74. ARM § 44.10.407(1)

75. MCA § 13‑37‑229; ARM §§ 44.10.515; 44.10.521(1); 44.10.523(1)

76. ARM § 44.10.513

77. ARM § 44.10.519(2)(a), (c)

78. ARM § 44.10.525

79. ARM § 44.10.531(4)

80. MCA § 13‑37‑230

81. ARM § 44.10.519(2)(b)

82. ARM § 44.10.531(4)

83. ARM § 44.10.53

84. ARM § 44.10.535

85. MCA §§ 13‑37‑226(7); 13‑37‑228(1), (2)

86. ARM § 44.10.511(1), (4)

87. ARM § 44.10.531(1), (2)

88. MCA § 13‑37‑226(1); ARM § 44.10.511(5)

89. MCA § 13‑37‑226(3); ARM § 44.10.511(5)

90. MCA § 13‑37‑226(3), (4); ARM § 44.10.407(2)

91. MCA § 13‑37‑225(2)

92. MCA § 13‑37‑227

93. ARM § 44.10.413(1)(a)

94. ARM § 44.10.413(1)

95. MCA § 13‑37‑226(2); ARM § 44.10.511(5)

96. MCA § 13‑37‑226(5); ARM § 44.10.409(1)

97. MCA § 13‑37‑226(6)

98. ARM § 44.10.411(4)

99. MCA § 13‑37‑226(2); ARM § 44.10.411(1), (3)

100. MCA §13‑37‑226(3); ARM § 44.10.411(2)

101. MCA §§ 13-1-101(21); 13‑37‑206; 13‑37‑226(4); ARM § 44.10.411(2)(b)

102. MCA § 13‑37‑227

103. ARM § 44.10.413(2)

104. MCA § 13‑37‑250(1)(b), (3)

105. MCA § 2‑2‑106(1), (2), (4)

106. MCA § 13‑37‑228(3)

107. MCA § 13‑37‑226(5)(c); ARM § 44.10.409(1), (2)

108. ARM § 44.10.409(3)

109. MCA § 13‑37‑240(1); ARM § 44.10.335(5)

110. MCA § 13‑37‑240(1)

111. ARM § 44.10.335(6)(c), (7)

112. ARM § 44.10.330(3); 44.10.335(2)

113. MCA § 13‑37‑240(2); ARM §§ 44.10.335(6)(a); 44.10.336

114. MCA § 15‑30‑121(1)(d); 26 U.S.C. § 218(a), (b) (repealed eff.
     January 1, 1979).

115. MCA §§ 13‑37‑121; 13‑37‑111(2)

116. MCA § 13‑37‑123

117. MCA § 13‑37‑111(1), (2); ARM §§ 44.10.307; 44.10.411(6)

118. MCA § 13‑37‑124(1)

119. MCA § 13‑35‑103

120. MCA §§ 7‑3‑1254(3); 7‑3‑4256

121. MCA § 33‑18‑305(2)

122. MCA § 2‑2‑121(8)

123. MCA §§ 13‑37‑128; 13‑35‑227(4)

124. MCA § 13‑37‑130

125. MCA §§ 13‑35‑226(5); 13-37-128(2)

126. MCA § 13‑37‑250(4)

127. MCA § 13‑35‑106

128. MCA § 13‑37‑126(1)

129. MCA § 13‑37‑127(1)

130. MCA § 2‑2‑106(3)

131. MCA §§ 2‑2‑106(1); 13‑37‑201; 13‑37‑202(1); 13‑37‑205;
     13‑37‑225(1). *See also* MCA §§ 2‑15‑121; 2‑15‑411.

132. MCA §§ 13‑37‑111; 13‑37‑114; 13‑37‑117; 13‑37‑121; 13‑37‑123

133. MCA §§ 13‑37‑201; 13‑37‑202(1); 13‑37‑205; 13‑37‑225(1)

134. MCA § 7‑4‑2611(3)

135. MCA § 13‑1‑101(8)