**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the extent that state law has not been superceded by the Federal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 NEBRASKA**

**I. INTRODUCTION**

Nebraska requires candidate committees, political party committees,
ballot question committees, and independent committees to register with
the Nebraska Accountability and Disclosure Commission by filing a
statement of organization if over \$5,000 is raised, received, or spent
in any calendar‑year period. A regis­tered committee must file
pre‑election and post‑election campaign statements for each election in
which it is active and, in years in which election‑related statements
are not required, annual campaign statements.

Persons, other than committees, that make independent expenditures of
over \$250 must file reports of such expenditures. Corporations, labor
organizations, and industry, trade, and professional associations may
make expenditures and provide personal services without becoming a
committee, but must file an ex­penditure report. Such organizations may
not solicit or receive contributions un­less they establish a separate
segregated political fund, from which expenditures to candidates and
committees and independent expenditures may be made. Per­sons that make
aggregate independent expenditures of more than \$2,000 (or \$5,000 or
more after an initial report) for or against a candidate for state or
legislative office eligible for public funding must file reports of such
expenditures. Major out‑of‑state contributors must file re­ports of
contributions and expenditures.

There are no limits on the amount of contributions that may be made by
any contributor to a candidate or committee; however, candidates for the
state legis­lature and candidates for state offices designated by the
Nebraska Accountability and Disclosure Commission as being eligible for
public funding may not accept contributions during an election period
from independent committees, business­es (including corporations),
unions, industry, trade, or professional associations, and political
parties that in the aggregate exceed the statutorily designated max­imum
amount.

The Campaign Finance Limitation Act provides public financing for
candi­dates who agree to abide by statutory spending limitations
applicable to the of­fice sought, including candidates for the state
legislature and, if sufficient funds are available for a given election
period, candidates for one or more of the fol­lowing state offices
designated by the Nebraska Accountability and Disclosure Commission
according to statutory criteria: governor, lieutenant governor, state
treasurer, secretary of state, attorney general, auditor of public
accounts, the public service commission, the board of regents of the
university of Nebraska, and the state board of education who agree to
limit campaign spending. A tax­payer may designate \$2 from any income
tax refund due as a contribution to the campaign finance limitation cash
fund.

The Nebraska Accountability and Disclosure Commission is responsible for
ad­ministering the Political Accountability and Disclosure Act and the
Campaign Finance Limitation Act.

**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, donation, pledge, or promise
of money or anything of ascer­tainable monetary value to a person that is
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 \"in‑kind contribution\" is a contribution other than
money \[2\].

A \"contribution\" includes (1) the purchase of tickets or payment of an
atten­dance fee for events such as dinners, luncheons, rallies,
testimonials, and similar fundraising events; (2) an individual\'s own
money or property other than the in­dividual\'s homestead used on behalf
of his or her candidacy; and (3) the grant­ing of discounts or rebates by
broadcast media and newspapers not extended on an equal basis to all
candidates for the same office \[3\].

A contribution does *not* include (1) an offer or tender of a
contribution if ex­pressly and unconditionally rejected or returned; (2)
volunteer personal services provided without compensation or payment of
costs incurred of less than \$250 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 directly
or indirectly repaid; (3) amounts received pursuant to a pledge or
promise to the extent that the amounts were previously reported as a
contribu­tion; and (4) food and beverages not exceeding \$50 in value
during a calendar year that are donated by an individual and are not
reimbursed \[4\].

The term \"person,\" as used in definition of contribution and
throughout the Political Accountability and Disclosure Act and the
Campaign Finance Limita­tion Act, is a business, individual,
proprietorship, firm, partnership, limited liabil­ity company, joint
venture, syndicate, business trust, labor organization, compa­ny,
corporation, association, committee, or other organization or group of
per­sons acting jointly \[5\].

**B. Receipt and Disposition of Contributions by a Committee.** A
contri­bution may not be accepted and an expenditure may not be made by a
commit­tee required to file a statement of organization until the
statement has been filed and a committee treasurer appointed \[6\]. A
contribution received by an indi­vidual acting on behalf of a committee
must be reported promptly to the com­mittee\'s treasurer not later than 5
days before the closing date of any campaign statement required to be
filed by the committee or immediately if the contribu­tion is received
less than 5 days before the closing date \[7\].

A contribution received by a candidate or an agent of a candidate is
consid­ered to have been received by the candidate committee. A
contribution is con­sidered received by a committee when it is received
by the committee treasurer or a designated agent of the treasurer even
if the contribution is not deposited in the official depository by the
reporting deadline. A contribution received by a committee must not be
commingled with any funds of an agent of the committee or any other
person except for funds received or disbursed by a separate segre­gated
political fund for the purpose of supporting or opposing candidates and
committees in elections in other states and candidates for federal
office, includ­ing independent expenditures made in such elections (*see*
Section II.H, *infra*) \[8\].

**C. Attribution of Contributions on Behalf of or to a Candidate or
Committee.** A contribution by a person made on behalf of or to a
candidate or committee, including contributions that are in any way
earmarked or otherwise directed to the candidate or committee through an
intermediary or agent, are considered to be a contribution from the
originating person to the candidate or committee \[9\].

**D. Disposition and Reporting of Earmarked Contributions.** Earmarked
contributions are permitted if the requirements for forwarding the
contribution to the recipient and disclosure and reporting of the
contribution are observed \[10\].

\"Earmarked\" means a designation, instruction, or encumbrance,
including those that are direct or indirect, express or implied, or oral
or written, that re­sults in any part of a contribution or expenditure,
including any in‑kind expendi­ture made in exchange for a contribution,
being made to or expended on behalf of a candidate or a committee
\[11\].

An intermediary or agent (other than a committee) that receives an
ear­marked contribution must forward the earmarked contribution to the
recipient candidate or committee within 10 days after receipt of the
contribution \[12\].

An intermediary or agent must file a report of the earmarked
contribution with the Nebraska Accountability and Disclosure Commission
and the election commissioner or, if there is no election commissioner,
with the clerk of the county of residence of the candidate or the county
of the headquarters of the committee. An intermediary or agent that is
not a committee must file the re­port within 10 days after receipt of the
contribution; a committee that is an in­termediary or agent must file a
report of the earmarked contribution by the date the next campaign
statement is required to be filed \[13\].

An intermediary or agent is required to disclose to the recipient of the
ear­marked contribution the name and address of the intermediary or agent
and the actual source of the contribution by providing the recipient
with a copy of the report of the earmarked contribution at the time that
the time the earmarked contribution is made \[14\].

Except as provided above, a contribution may not be made by one person
to another person with the agreement or arrangement that the committee
receiving the contribution will then transfer that contribution to a
particular candidate committee \[15\].

**E. Contribution by a Candidate Committee to Another Candidate
Committee.** A candidate committee may not make a contribution to or an
in­dependent expenditure in behalf of another candidate committee, except
that a candidate committee may make a contribution to another candidate
committee for a fundraising event of the other candidate committee
\[16\].

**F. Contributions to and by a Corporation, Labor Organization, or
In­dustry, Trade, or Professional Association.** A corporation, labor
organiza­tion, or industry, trade, or professional association may not
receive contributions unless it establishes and administers a separate
segregated political fund, which may be utilized only in the manner
provided by the Political Accountability and Disclosure Act \[17\]. A
single separate segregated fund may be established by each corporation,
labor organization, and industry, trade, or professional associa­tion
\[18\].

A corporation, labor organization, or industry, trade, or professional
associa­tion that has established and administers a separate segregated
political fund may not make \"expenditures\" to the fund; however, it
may make expenditures and provide personal services for the
establishment and administration of the fund \[19\].

**G. Maximum Contributions Accepted by Candidates for State and
Leg­islative Offices Eligible for Public Funding.** Candidates for
elective offices eligible for public funding pursuant to the Campaign
Finance Limitation Act during an election period may not accept
contributions during the election peri­od from independent committees,
businesses (including corporations), unions, industry, trade, or
professional associations, and political parties that in the ag­gregate
exceed the statutorily designated maximum amount. Eligible or covered
elective offices include the legislature and, if sufficient funds are
available for a given election period, one or more specified state
offices designated by the Ne­braska Accountability and Disclosure
Commission (*see also* Section V, *infra*). The maximum aggregate
contribution amounts for an election period for candidates for the state
legislature and for candidates for state offices, if designated by the
Commission, are: (1) governor‑‑\$825,000, (2) state treasur­er, secretary
of state, attorney general, or auditor of public accounts‑‑\$75,000, (3)
legislature‑‑\$36,500, and (4) public service commission, board of
regents of the university of Nebraska, or state board of
education‑‑\$25,000 \[20\].

**H. Contributions to and Expenditures by a Separate Segregated
Politi­cal Fund.** A separate segregated political fund may be
established and adminis­tered by a corporation, labor organization, or
industry, trade, or professional as­sociation only for the purpose of
receiving the contributions and making the ex­penditures authorized for
such a fund \[21\]. The fund is considered to be an in­dependent
committee and is subject to all the provisions applicable to independ­ent
committees. The corporation, labor organization, or industry, trade, or
pro­fessional association that established and administers the fund must
make the required reports and filings for the fund \[22\].

All contributions to and expenditures from the fund must be limited to
money or anything of ascertainable value obtained through voluntary
contributions of the employees, officers, directors, stockholders, or
members of the corporation (including a nonprofit corporation), labor
organization, or industry, trade, or professional association and their
affiliates under which the fund was established \[23\].

No contribution may be received or expenditure made from the fund if it
was obtained or made by using or threatening to use job discrimination
or financial reprisals \[24\].

Only expenditures to candidates and committees and independent
expen­ditures may be made from a fund established by a corporation, labor
organiza­tion, or industry, trade, or professional association, except
that the separate seg­regated political fund may receive and disburse
funds for the purpose of sup­porting or opposing candidates and
committees in other states and candidates for federal office and making
independent expenditures in such elections if the receipts and
disbursements are made in conformity with the applicable Nebras­ka
solicitation provisions and the corporation, labor organization, or
industry, trade, or professional association that established and
administers the fund com­plies with the laws of the jurisdiction in which
the receipts or disbursements are made \[25\].

The expenses for the establishment and administration of a separate
segregat­ed political fund of a corporation, labor organization, or
industry, trade, or pro­fessional association may be paid from its
separate segregated fund \[26\].

**I. Acceptance and Expenditure of Anonymous Contributions.** A per­son
may not accept or expend an anonymous contribution. An anonymous
con­tribution received by a person may not knowingly be deposited, but
must be given to a tax‑exempt charitable organization. The charitable
organization re­ceiving the contribution must provide the person with a
receipt, and the person must then give a copy of the receipt to the
Nebraska Accountability and Disclosure Commission \[27\].

A contribution of \$50 or less that is received as the result of a
fundraising ev­ent, from the sale of political merchandise, or from
membership fees, dues, or subscriptions to an independent committee for
political purposes is *not* consid­ered to be an anonymous contribution;
however, a person making such a contri­bution that is \$50 or more must
furnish the recipient with the donor\'s name and address and the total
amount contributed \[28\].

**J. Contributions in the Legal Name of the Contributor.** A
contribution must 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 \[29\].

**K. Receipt of Contributions of \$100 or More.** No person may receive
a contribution from a person other than a committee unless, for the
purposes of the recipient person\'s recordkeeping and reporting
requirements, the contribu­tion is accompanied by the name and address of
each person who contributed more than \$100 to the contribution \[30\].

**L. Contributions or Expenditures in Cash.** A contribution or
expenditure of more than \$50 may not be made or accepted in cash. A
contribution or ex­penditure of more than \$50, other than an in‑kind
contribution or expenditure, must be made by a written instrument
containing the names of the payor and the payee \[31\].

**M. Political Communications at Public Expense.** A political
newsletter or other campaign mass mailing may not be sent at public
expense by or on behalf of any elected official after that person has
announced his or her candidacy for any office \[32\].

**N. Limitations on Loans to Candidate Committees.** A candidate
commit­tee may not accept more than \$15,000 prior to or during the first
30 days after the formation of the candidate committee. After the 30‑day
post‑formation pe­riod and until the end of the term of office to which
the candidate sought nomi­nation or election, the candidate committee may
not accept loans in an aggregate amount of more than 50% of the
contributions of money, other than the pro­ceeds of loans, that the
candidate committee has received during such period as of the date of
the receipt of the proceeds of the loan. A candidate committee is
prohibited from paying interest, fees, gratuities, or other sums in
consideration of a loan, advance, or other extension of credit to the
candidate committee by the candidate, a member of the candidate\'s
immediate family, or an business with which the candidate is associated
\[33\].

**O. Prohibition of Contributions to and Independent Expenditures for
State Office Candidates by Lottery Contractors.** A lottery contractor
awarded a major procurement by the lottery division may not make a
contribu­tion to or an independent expenditure for a candidate for state
elective office during the term of the contract or for three years
following the most recent award or renewal of the contract. A
contribution or independent expenditure is prohibited if made by the
lottery contractor, an officer of the contractor, a sepa­rate segregated
political fund established and administered by the contractor, or anyone
acting on behalf of the contractor, office, or fund \[34\].

No person, including a candidate or candidate committee, may receive a
pro­hibited contribution from a lottery contractor. Upon being notified
of the viola­tion by the Nebraska Accountability and Disclosure
Commission, the person must transfer a sum equal to the amount of the
prohibited contribution to a tax‑exempt charitable institution \[35\].

**P. Solicitation and Acceptance of Contributions Through the
Internet**. A candidate committee may solicit and receive campaign
contributions via the Internet as long as the process used by the
committee permits it to secure the in­formation required for
recordkeeping and reporting and the committee\'s website contains any
required disclaimer \[36\].

**Q. Making, Solicitation, and Acceptance of Contributions by Judges and
Judicial Candidates.** A judge or candidate for retention in or
appointment to judicial office, except as authorized in the Code of
Judicial Conduct may not solicit funds for, pay an assessment to or make
a contribution to a political organization or candidate, or purchase
tickets for political party dinners or other functions. A candidate for
appointment to judicial office or a judge seeking other governmental
office may not solicit or accept funds, personally, through a committee,
or otherwise, to support his or her candidacy; however, such person may
continue to pay ordinary assessments and ordinary contributions to a
political organization or candidate and purchase tickets for political
party dinners or other functions \[37\].

Except as prohibited by law, a judge or candidate subject to retention
election may contribute to a political organization when the judge's
candidacy has drawn active opposition. A judicial candidate for
retention election whose candidacy has drawn active opposition may not
personally solicit or accept campaign contributions or personally
solicit publicly stated support. The candidate may, however, establish
committees of responsible persons to conduct campaigns for the candidate
through media advertisements, brochures, mailings, candidate forums, and
other means not prohibited by law. Such committees may solicit and
accept reasonable campaign contributions, manage the expenditure of
funds for the candidate's campaign, and obtain public statements of
support for the candidacy. Such committees are not prohibited from
soliciting and accepting reasonable campaign contributions from lawyers.
A candidate's committee may solicit contributions and public support for
the candidate's campaign no earlier than 6 months before an election and
no later than 30 days after the last election in which the candidate
participates during the election year. A candidate may not use or permit
the use of campaign contributions for the private benefit of the
candidate or others \[38\].

A candidate for judicial office must prohibit employees and officials
who serve at the pleasure of the candidate and discourage other
employees and officials subject to the candidate's direction and control
from doing on the candidate's behalf what the candidate is prohibited
from doing under the Code of Judicial Conduct. Except to the extent
permitted by the candidate's authorized campaign committees, a judicial
candidate may authorize or knowingly permit any other person to do for
the candidate what the candidate is prohibited from doing under the Code
of Judicial Conduct \[39\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is a payment,
donation, loan, pledge, 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 \[40\]. An \"in‑kind expenditure\" is an expendi­ture
other than money \[41\]. An \"expenditure\" includes a contribution or
transfer of anything of ascertainable monetary value for the purpose of
influencing the nomination or election of any candidate or the
qualification, passage, or defeat of a ballot question \[42\].

The term \"expenditure\" does *not* include:

\(1\) An offer or tender of an expenditure if expressly and
unconditionally re­jected or returned.

\(2\) An amount paid pursuant to a pledge or promise to the extent the
amount was previously reported as an expenditure.

\(3\) An expenditure for communication by a person strictly with the
person\'s paid members or shareholders.

\(4\) An expenditure for communication on a subject or issue if the
communi­cation does not support or oppose a ballot question or candidate
by name or clear inference.

\(5\) An expenditure by a broadcasting station, newspaper, magazine, or
other periodical or publication for any 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.

\(6\) An expenditure for non‑partisan voter registration activities.

The last exclusion does not apply if a candidate or group of candidates
sponsors, finances, or is identified by name with the activity. The
exclusion does apply to an activity performed by an election
commissioner or other registration official who is identified by name
with the activity (pursuant to Chapter 32, Article 2) \[43\].

**B. Expenditures by a Committee.** An expenditure may not be made by a
committee that has not filed a statement of organization and does not
have a treasurer. An expenditure may not be made by a committee without
the author­ization of the treasurer or the assistant treasurer.
Expenditures made by a can­didate or an agent of a candidate are
considered to have been made by the can­didate committee \[44\]. A
committee, other than a political party committee, may not expend or
transfer funds except to make an expenditure. Any commit­tee may (1) make
expenditures or transfer funds for the payment of installation and use
of telephone and telefax machines located in an officeholder\'s public
of­fice and used by the officeholder and (2) invest funds in investments
authorized by state law for the state investment officer \[45\].

A committee may not expend or transfer funds for the purchase or payment
of:

\(1\) Clothes or medical or dental expense of a candidate or the members
of the candidate\'s immediate family.

\(2\) Installment payments for an automobile owned by a candidate.

\(3\) Mortgage or rental payments for a permanent residence of a
candidate.

\(4\) The satisfaction of personal debts, including installment payments
on per­sonal loans, except campaign loans that are required to be
reported.

\(5\) Personal services, including the services of a lawyer or
accountant, except campaign services that are required to be reported in
a campaign statement.

\(6\) Office supplies, staff, or furnishings for the public office for
which an in­dividual is a candidate for nomination or election except as
expressly authorized by the Political Accountability and Disclosure Act
\[46\].

**C. Expenditures Made on Behalf of Another Person**. 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 an
agent\'s expenditure report. The agent or independent contractor must
make known to the committee all information required to be reported by
the committee \[47\].

An expenditure may not be made, other than for overhead or normal
operat­ing expenses, by an individual or entity gathering petition
signatures on behalf of or for the benefit of a person, including a
ballot question committee, unless the expenditure is reported by the
ballot question committee as if the expenditure were made directly by
the committee or unless person or entity files a an agent\'s expenditure
report. The person or entity must make known to the committee all
information required to be reported by the committee \[48\].

**D. Expenditures by a Corporation, Labor Organization, or Industry,
Trade, or Professional Association.** A corporation, labor organization,
or in­dustry, trade, or professional association, whether organized under
the laws of Nebraska or another state or country and doing business in
Nebraska, may make expenditures and provide personal services without
becoming a committee \[49\]. If a corporation, labor organization, or
industry, trade, or professional as­sociation has established and
administers a separate segregated political fund, it is prohibited from
making an expenditure to the fund, but may make expen­ditures and provide
personal services for the establishment and administration of the fund
\[50\].

**E. Use of Public Resources for Campaigning.** Public officials and
employees are prohibited from using or authorizing the use of personnel,
property, resources, or funds under their official care and control for
the purpose of campaigning for or against the nomination or election of
a candidate or the qualification, passage, or defeat of a ballot
question \[51\].

**IV. REPORTING REQUIREMENTS**

**A. Committee Statement of Organization**

**1. Committees Required to File a Statement of Organization.** Every
\"committee\" is required to file a statement of organization upon
raising, receiv­ing, or spending over \$5,000 in any calendar year. No
contribution may be ac­cepted or expenditure made by a committee reaching
the \$5,000 threshold if it has not filed a statement of organization
\[52\].

A \"committee\" is:

\(1\) Any combination of two or more individuals that receives
contributions or makes expenditures of over \$5,000 in a calendar year
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, passage, or defeat of one or more
ballot questions.

\(2\) A person, which includes any candidate, business or labor
organization, or other organization or group of persons acting jointly,
whose primary purpose is to receive contributions or make expenditures
and who receives or makes con­tributions or expenditures of over \$5,000
in a calendar year 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, passage, or
defeat of one or more ballot questions. An individual other than a
candidate will not be considered to constitute a committee \[53\].

A corporation, labor organization, or industry, trade, or professional
organiza­tion is not considered to be a committee if it makes
expenditures or provides personal services in compliance with the
Political Accountability and Disclosure Act \[54\].

There are four types of committees recognized under the Act: (1) a
candidate committee, (2) a ballot question committee, (3) a political
party committee, and (4) an independent committee, which includes a
separate segregated political fund \[55\].

**a. Candidate Committee.** A \"candidate committee\" is a committee
des­ignated in a candidate\'s filed statement of organization as that
individual\'s can­didate committee \[56\].

A candidate, upon raising, receiving, or expending in ex­cess of \$5,000
in a calendar year (excluding the fee for filing for office) must form a
candidate committee, which may be a one‑person committee consisting of
the candidate. A person who is a candidate for more than one office must
form a candidate committee for the office for which the person is a
candidate upon raising, receiving, or expending in excess of \$5,000 in
a calendar year (ex­cluding the fee for filing for office) for the
campaign for that office. Any two or more candidates who campaign as a
slate or team for public office must form a committee upon raising,
receiving, or expending jointly in any combination in excess of \$5,000
in a calendar year (excluding the fee for filing for office) \[57\].

A candidate committee is presumed to be under the control and direction
of the candidate named in the statement of organization; however, a
candidate for lieutenant governor cannot have a separate candidate
committee but must be included in the candidate committee with the
candidate for governor of the same political party \[58\].

A \"candidate\" is an individual:

\(1\) Who files or on behalf of whom is filed a fee, affidavit,
nomination pa­pers, or nominating petition for an elective office.

\(2\) Whose nomination as a candidate for elective office by a political
party caucus, committee, or convention is certified by the appropriate
filing office.

\(3\) Who is an officeholder who is the subject of a recall vote.

\(4\) Who receives a contribution, makes an expenditure, or gives
consent for another person to receive a contribution or make an
expenditure with a view to bringing about the individual\'s nomination
or election to an elective office, whether or not the specific elective
office for which the individual will seek nomination or election is
known at the time the contribution is received or the expenditure is
made.

\(5\) Who is an elected officeholder eligible under law for reelection
to his or her present office (considered to be a candidate for
reelection for the purposes of the Act) \[59\].

**b. Ballot Question Committee.** A \"ballot question committee\" is any
committee acting in support of or in opposition to the qualification,
passage, or defeat of a ballot question, but that does not receive
contributions or make ex­penditures or contributions for the purpose of
influencing or attempting to in­fluence the action of the voters for or
against the nomination or election of a candidate \[60\]. A \"ballot
question\" is a question that is submitted or is intended to be
submitted to a popular vote at an election, including but not limited to
a question submitted or intended to be submitted by way of initiative,
referen­dum, recall, judicial retention, or bond issue or as a result of
legislative action or action of a government body, whether or not it
qualifies for the ballot \[61\].

A ballot question committee also must file with the Nebraska
Accountability and Disclosure Commission a surety bond in the amount of
\$5,000 within 30 days after the committee receives contributions or
makes expenditures in excess of \$100,000 in a calendar year. The amount
of the bond must be increased by \$5,000 for each additional \$500,000
received or expended in a calendar year \[62\].

**c. Political Party Committee.** A \"political party committee\" is a
state central, district, or county committee of a political party that
qualifies as a \"committee\" \[63\].

**d. Independent Committee.** An \"independent committee\" is a
commit­tee other than a candidate, ballot question, or political party
committee \[64\]. A separate segregated political fund established and
administered by a corporation, labor organization, or industry, trade,
or professional association is considered to be an independent committee
and is subject to all of the provisions of the Politi­cal Accountability
and Disclosure Act. The corporation, labor organization, or industry,
trade, or professional association that established and administers the
fund makes the reports and filings required to be submitted by the fund
as an independent committee \[65\].

**2. General Provisions**

**a. Committee Treasurer.** A committee must have a treasurer who is a
quali­fied elector of the state, and no contribution may be accepted or
expenditure made by a committee that does not have a treasurer. A
candidate may appoint himself or herself as the treasurer of the
candidate committee, and when the of­fice of candidate committee
treasurer is vacant, the candidate is considered to be the treasurer
until a new treasurer is appointed \[66\]. The committee treasurer must
keep detailed accounts, records, bills, and receipts necessary to
substantiate the information contained in a statement or report filed
pursuant to the Political Accountability and Disclosure Act and
regulations adopted and promulgated by the Nebraska Accountability and
Disclosure Commission. The records of a committee must be preserved for
5 years and made available for inspection as authorized by the committee
\[67\].

**b. Official Depository Account.** In addition, each committee must
designate one account in a financial institu­tion in the state as an
official depository for the purpose of (1) depositing all contributions
that it receives in the form of or that are converted to money, checks,
or other negotiable instruments and (2) making all expenditures.
Sec­ondary depositories must be used for the sole purpose of depositing
contribu­tions and promptly transferring the deposits to the committee\'s
official deposi­tory \[68\].

**c. Statement of Organization.** A statement of organization is to
include the following information:

\(1\) The name, street address, and telephone number, if any, of the
committee (the committee address may be the home address of the
candidate or treasurer of the committee).

\(2\) The name, street address, and telephone number, if any, of each
person, other than an individual, that is a member of the committee.

\(3\) The full name, street address, and telephone number, if any, of
the treas­urer and other principal officers of the committee.

\(4\) The name and address of the financial institution in which the
official committee depository is located and the name and address of
each financial in­stitution in which a secondary depository is or is
intended to be located.

\(5\) The full name of and office sought by each candidate and a brief
state­ment identifying the substance of each ballot question supported or
opposed by the committee.

\(6\) Identification of the committee as a candidate committee, ballot
question committee, political party committee, or independent committee
if it is identifi­able as a specific type of committee.

\(7\) Such other information as may be required by the rules of the
Commission \[69\].

A committee must file its statement of organization with the Nebraska
Accountability and Disclosure Commission within 10 days after the
committee is formed, which is when over \$2,000 has been raised,
received, or expended in a calendar year \[70\]. If any of the
information required in a state­ment of organization is changed, the
change must be reported to the Commission when the next campaign
statement is required to be filed \[71\].

**d. Responsibility for Filing Statements and Reports.** The following
individuals are responsible for filing all required committee statements
and are personally liable for any late filing fees, civil penalties, and
interest that may be due as a result of a failure to make such filings:
(1) for a candidate committee--the candidate and (2) for any committee
other than a candidate committee--the committee treasurer \[72\].

**B. Committee Campaign Statements**

**1. Coverage.** An unexempted committee required to file a statement of
organization that supports or opposes a candidate or the qualification,
passage, or de­feat of a ballot question must file legibly printed or
typed pre‑election and post‑election campaign statements of receipts and
expenditures and, in years in which election‑related statements are not
required, annual campaign statements. An \"election\" for which campaign
statements are required includes a primary, general, special, or other
election, a convention or caucus of a political party to nominate a
candidate, and a vote on a ballot question \[73\].

An existing committee is exempted from filing further campaign
statements of receipts and expenditures as otherwise scheduled if it
files a written statement with the Nebraska Accountability and
Disclosure Commission on or before the 30^th^ day before an election
that it does not expect to receive contributions or make expenditures of
more than \$1,000 in the calendar year of the election. The written
statement must be signed by the committee treasurer or assistant
treasurer and, in the case of a candidate committee, by the candidate.
After the written statement is filed, a committee is required to file a
sworn statement of exemption not later than the 40^th^ day following the
primary election and the 70th day following the general election stating
only that the committee did not in fact receive or expend an amount in
excess of \$1,000. If the committee receives contributions or makes
expenditures of more than \$1,000 during the election year, the
committee is then subject to all campaign filing requirements applicable
to unexempted committees \[74\].

**2. General Provisions.** ­The period covered by a campaign statement is
the period beginning with the day after the closing date of the most
recent campaign statement filed and end­ing with the closing date of the
campaign statement due. If the committee has not previously filed a
campaign statement, the period covered begins on the date the person or
persons constituting the committee raised, received, or spent any money
\[75\].

Campaign statements must be filed according to the following schedule:

\(1\) A first pre‑election campaign statement must be filed not later
than the 30th day before the election; the closing date is the 35th day
before the election.

\(2\) A second pre‑election campaign statement must be filed not later
than the 10th day before the election; the closing date is the 15th day
before the election.

\(3\) A post‑election campaign statement must be filed as follows:

\(a\) Post‑primary statement: not later than the 40th day following the
prim­ary election; the closing date is the 35th day following the
election.

\(b\) Post‑general‑election statement: not later than the 70th following
the general election; the closing date is December 31st of the year in
which the elec­tion is held.

If all liabilities of a candidate and committee are paid before the
closing date and additional contributions are not expected, the
post‑election campaign state­ment may be filed at any time after the
election but before the filing deadline \[76\].

Additional campaign statements are required to be filed by ballot
question committees whether or not petitions have or will be filed with
the secretary of state:

\(1\) The first statement must be filed no later the last day of the
calendar month in which the petition form is filed with the secretary of
state; the closing date is 5 days before the filing deadline for the
statement.

\(2\) Additional statements must be filed on the last day of each
subsequent calendar month except for the calendar month during which the
signed petitions must be filed with the secretary of state; the closing
date is 5 days before the fil­ing deadline for the statement.

\(3\) The final statement must be filed no later than 30 days after the
deadline for filing petitions with the secretary of state; the closing
date is 25 days after the deadline for filing the petitions \[77\].

If a political committee is not required to file pre‑election and
post‑election reports during a calendar year, it must file an annual
campaign statement. The annual statement is due not later than January
31st of the following year with a closing date of December 31st \[78\].

Every committee campaign statement must be filed with the Nebraska
Accountability and Disclosure Commission \[79\].

**3. Campaign Statements of a Committee Other Than a Political Party
Committee.** The campaign statements of a committee other than a
political party committee must contain the following information:

\(1\) The committee\'s name, address, and telephone number and the full
name, residential and business addresses, and telephone numbers of its
treasurer.

\(2\) Under the heading \"receipts,\" the total amount of contributions
received during the period covered by the campaign statement and under
the heading \"expenditures,\" the total amount of expenditures made
during the period covered by the statement. If a loan was repaid during
the period covered by the state­ment, the amount of the repayment must be
subtracted from the total amount of contributions received. Forgiveness
of a loan may not be included in the totals. Payment of a loan by a
third party must be recorded and reported as a contribu­tion by the third
party, but must not be included in the totals. In‑kind contribu­tions or
expenditures must be listed at fair market value and reported as both
contributions and expenditures.

\(3\) The balance of cash and cash equivalents on hand at the beginning
and the end of the period covered by the statement.

\(4\) The full name of each *individual* from whom contributions
totaling more than \$250 were received during the period covered by the
report, together with the person\'s street address, the amount
contributed, the date on which each con­tribution was received, and the
cumulative amount contributed by the individual for the election period.

\(5\) The full name of each *person*, except those individuals reported
under (3) above, that contributed a total of more than \$250 during the
period covered by the report, together with the person\'s street
address, the amount contributed, the date on which each contribution was
received, and the cumulative amount con­tributed by the person for the
election period.

\(6\) The full name of the treasurer of each committee listed as a
contributor is to be included in the name of the committee.

\(7\) The full name and street address of each person to whom
expenditures to­taling more than \$250 were made, together with the date
and amount of each separate expenditure to each such person during the
period covered by the statement, the purpose of the expenditure, and the
full name and street address of the person providing the consideration
for which any expenditure was made, if different from the payee.

\(8\) The amount of expenditures for or against a candidate or ballot
question during the period covered by the statement and the cumulative
amount of ex­penditures for or against that candidate or ballot question
for the election peri­od. An expenditure made in support of more than one
candidate or ballot ques­tion or both must be apportioned reasonably
among the candidates, ballot ques­tions, or both.

\(9\) The total amount of funds disbursed by a separate segregated
political fund, by state, for the purpose of supporting or opposing
candidates and com­mittees in elections in other states and candidates
for federal office, including independent expenditures made in such
elections \[80\].

The \"election period\" is the period beginning January 1 for candidate
commit­tees for candidates for the legislature or July 1 for candidate
committees for candidates for any other covered elective office (*see*
Section V, *infra*, for the definition of \"other covered elective
office\") of the calendar year prior to the election year and through
the end of the election year. The calendar year of the election is the
election period for all other committees \[81\].

Any income received by a committee on an account consisting of funds or
property belonging to the committee is not considered to be a
contribution to the committee, but must be reported in the campaign
statement as income. Any interest paid by a committee must be reported
as an expenditure. A loan made or received must be set forth in a
separate schedule providing the date and amount of the loan and, if the
loan is repaid, the date and manner of repayment. The committee must
provide the name and address of the lender and any person who is liable
directly, indirectly, or contingently on each loan of more than \$250
\[82\].

A campaign statement must be signed by the committee treasurer and
notar­ized. A verification statement must be part of the campaign
statement and state that the treasurer used all reasonable diligence in
its preparation and that to the treasurer\'s knowledge the statement is
true and complete \[83\].

**4. Campaign Statements of a Political Party Committee.** The cam­paign
statements filed by a political party committee must contain the
following information:

\(1\) The full name and street address of each person from whom
contributions totaling more than \$250 in value were received in a
calendar year, the amount, and the dates of contribution. If the
contributor is a committee, the name and address of the committee and
the full name and street address of the committee treasurer, together
with the amount of the contribution and the date of receipt, must be
provided.

\(2\) An itemized list of all expenditures, including in‑kind
contributions and expenditures and loans, made during the period covered
by the statement that were contributions to a candidate committee of a
candidate for elective office or a ballot question committee. Each
contribution must note the name and address of the committee, the name
of the candidate and the office sought, if any, and the date of the
contribution.

\(3\) An itemized list of all expenditures, including in‑kind
contributions and expenditures and loans, made during the period covered
by the statement that were 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. Each inde­pendent
expenditure must note 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 full name and
address of the per­son to whom the expenditure was made.

\(4\) The total expenditures 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.

\(5\) The filer\'s name, address, and telephone number, if any, and the
full name, residential and business addresses, and telephone numbers of
the commit­tee treasurer \[84\].

Any listed expenditure that was 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 \[85\]. Any income
received by a committee on an ac­count consisting of property belonging
to the committee is not considered to be a contribution to the
committee, but must be reported in the campaign state­ment as income. Any
interest paid by a committee must be reported as an ex­penditure. A loan
made or received must be set forth in a separate schedule providing the
date and amount of the loan and, if the loan is repaid, the date and
amount of repayment. The committee must report the name and address of
the lender and any person who is liable directly, indirectly, or
contingently on each loan of more than \$250 \[86\].

A campaign statement must be signed by the committee treasurer and
notar­ized. A verification statement must be part of the campaign
statement and state that the treasurer used all reasonable diligence in
its preparation and that to the treasurer\'s knowledge the statement is
true and complete \[87\].

**C. Committee Report of a Late Contribution of \$1,000 or More.** A
committee that receives a late contribution, which is a contribution of
\$1,000 or more received after the 15^th^ day before an election, must
report the contribution to the Nebraska Accountability and Disclosure
Commission by filing within two days after its receipt the full name,
street address, occupation, employer, and principal place of business of
the contributor and the amount of the contribution and date of receipt.
Filing of a report of a late contribution may be by hand deliv­ery,
facsimile transmission, telegraph, express delivery service, or any
other written means of communication, including electronic means
approved by the Commission, and need not contain an original signature.
A late contribution must also be reported on subsequent campaign
statements \[88\].

**D. Reports of Independent Expenditures of \$250 or More by Other Than
Committees.** A person other than a committee who makes an independent
expenditure of more than \$250 advocating the election of a candidate,
the defeat of a candida­te\'s opponents, or the qualification, passage,
or defeat of a ballot question must file a report of the independent
expenditure \[89\]. An \"independent expenditure\" is an expenditure by
a person that is not made at the direction of or under the control of
another person and is not a contribution to a committee \[90\].

The report must be made on an independent expenditure report form
provid­ed by the Commission and filed within 10 days with the Commission
and the election commissioner or, if there is no election commissioner,
the clerk of the county of residence of the person. The report must
include (1) the date of the expenditure, (2) a brief description of the
nature of the expenditure, (3) the amount of the expenditure, (4) the
name and address of the person to whom it was paid, (5) the name and
address of the person filing the report, and (6) the name, address,
occupation, employer, and principal place of business of each person who
contributed more than \$250 to the expenditure \[91\].

A contribution or expenditure made by a dependent minor must be reported
in the name of the minor\'s parent or guardian. A contribution that 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, is required to be reported by the
person making the contribution and is regarded as a contribution
attributable to both persons \[92\].

**E. Reports of Expenditures and Personal Services of \$250 or More by a
Corporation, Labor Organization, or Industry, Trade, or Professional
Association.** A corporation, labor organization, or industry, trade, or
professional association, whether organized under the laws of Nebraska
or any other state or country and doing business in the state, may make
expenditures and provide personal servic­es without becoming a committee.
The organization is not required to file a re­port of independent
expenditures, but is required to file with the Nebraska Accountability
and Disclosure Commission a report of expenditures made and per­sonal
services provided, unless exempted \[93\].

If a corporation, labor organization, or industry, trade, or
professional associa­tion has established and administers a separate
segregated political fund, it must file a report of expenditures and
personal services with respect to expenditures made or personal services
provided for the establishment and administration of the fund; however,
the organization need not file such reports for expenditures made from
the fund. If a corporation makes an expenditure to a separate segre­gated
political fund that has been established and is administered by an
industry, trade, or professional association of which the corporation is
a member, the cor­poration is not required to file a report of
expenditures \[94\].

The report must fully disclose the nature, date, and value of any
expenditure, as well as the committee or candidate to whom or in whose
behalf it was made. In the case of personal services, the corporation,
labor organization, or industry, trade, or professional association must
fully detail the nature, dates, and specifics of the personal service
provided, the committee or candidate to whom or in whose behalf it was
made, and the proposition in behalf of or in opposition to which it was
made \[95\].

The report must be filed with the Commission within 10 days after the
end of the calendar month in which any expenditure of \$250 or more was
made or personal service of \$250 or more, calculated at fair market
value, was pro­vided \[96\].

**F. Report of Independent Expenditures of More than \$2,000 for or
Against a Candidate for State or Legislative Office Eligible for Public
Funding**. A person, including an independent committee or a political
party committee, that makes independent expenditures for or against a
candidate seek­ing nomination or election to a covered elective office in
an aggregate amount greater than \$2,000 during the primary election
period or the general election period must file a report with the
Nebraska Accountability and Disclosure Commission within 5 days after
the aggregate amount of such independent expen­ditures exceeds \$2,000
\[97\].

An \"independent expenditure\" is an expenditure by a person that is not
made at the direction of or under the control of another person and is
not a contribu­tion to a committee \[98\]. A \"covered elective office\"
includes the legislature and such additional specified state offices as
may be designated by the Nebraska Accountability and Disclosure
Commission for an election period pursuant to the Campaign Finance
Limitation Act (*see also* Section V, *infra*) \[99\].

The report of independent expenditures must include:

\(1\) The name, address, and telephone number of the person or committee
fil­ing the report.

\(2\) The name, address, and telephone number of the treasurer if the
person filing the report is an independent committee or a political
party committee.

\(3\) The name of the candidate for which the independent expenditure
was made, the date of the election for which the independent expenditure
was made, and whether the independent expenditure was made in support of
or in opposi­tion to such candidate.

\(4\) The office sought by the candidate for which the independent
expenditure was made.

\(5\) The name and address of the person to whom the independent
expendi­ture was made.

\(6\) The aggregate amount of the independent expenditures that have
been made.

\(7\) A description of the nature of each such independent expenditure.

\(8\) The name, address, occupation, employer, and principal place of
business of each person who contributed more than \$100 to the
expenditure \[100\].

An independent expenditure made in support of or in opposition to more
than one candidate for a covered elective office must be apportioned
reasonably among candidates supported or opposed by such expenditure
\[101\].

Additional reports must be filed each time the aggregate amount of
independ­ent expenditures not previously reported exceeds \$5,000. Such
reports must be filed with the Commission within 5 days after the
aggregate amount of unreport­ed independent expenditures exceeds \$5,000
during a primary or general elec­tion period \[102\].

The Commission must give notice of the filing of a report of independent
ex­penditures to each candidate for the office named in the report by
certified mail the day after receipt of the filing \[103\].

**G. Agent\'s Expenditure Reports**. An individual or entity gathering
peti­tion signatures, an agent, or an independent contractor required to
file an agent\'s expenditure report (*see* Section III.C, *supra*) must
file a separate agent\'s report for each person on whose behalf an
expenditure is made with the Nebraska Accountability and Disclosure
Commission within 10 days after the end of the cal­endar month in which
an expenditure on behalf of another person was made \[104\].

An agent\'s report must include (1) the name, permanent address,
temporary address, permanent telephone number, and temporary telephone
number of the individual or entity gathering signatures, the agent, or
the independent contrac­tor, (2) the name, address, and telephone number
of the person on whose behalf the expenditure is made, (3) the name,
permanent address, and temporary ad­dress of the person to whom the
expenditure is made, (4) the date and amount of each expenditure, and
(5) a description of the goods or services purchased and the purpose of
the goods or services \[105\].

**H. Reports of Contributions and Expenditures by Major Out‑of‑State
Contributors**. An unexempted major out‑of‑state contributor must file
an out‑of‑state contribution report that discloses as to each
contribution or expenditure not previously reported (1) the amount,
nature, value, and date of the contribu­tion or expenditure, (2) the name
and address of the committee, candidate, or person who received the
contribution or expenditure, (3) the name and address of the person
filing the report, and (4) the name, address, occupation, and em­ployer
of each person making a contribution of more than \$200 in the calendar
year to the person filing the report \[106\].

An out‑of‑state contribution report must be filed with the Nebraska
Accountability and Disclosure Commission within 10 days after the end of
each calendar month in which the contributor makes a contribution or
expenditure \[107\].

The reporting requirement does not apply to (1) a corporation, labor
organiza­tion, or industry, trade, or professional association organized
under the laws of another state that files a report of expenditures made
or personal services pro­vided, (2) a corporation, labor organization, or
industry, trade, or professional association organized under the laws of
another state required to file a report or other campaign statement on
behalf of a separate segregated political fund that it has established
and administers, (3) a committee having a statement of organi­zation on
file with the Nebraska Accountability and Disclosure Commission, or (4)
a person or committee registered with the Federal Election Commission
\[108\].

A \"major out‑of‑state contributor\" is a corporation, union, industry
association, trade association, or professional association that is not
organized under the laws of Nebraska and that makes contributions or
expenditures totaling more than \$10,000 in any calendar year in
connection with one or more elections \[109\].

**I. Independent Committee Report of Late Independent Expenditure.** An
independent committee, including a separate segregated political fund,
that makes a late independent expenditure must report the expenditure to
the Nebraska Accountability and Disclosure Commission by filing within
two days after the date of the expenditure a report that includes (1)
the committee\'s full name and street address, (2) the amount of the
expenditure, (3) the date of the expenditure, (4) the full name and
street address of the recipient of the expenditure, (5) the name and
office sought of the candidate whose nomination or election is supported
or opposed by the expenditure, and (6) the identification of the ballot
question, the qualification, passage, or defeat of which is supported or
opposed. Filing of a report of a late independent expenditure may be by
any written means of communication, including electronic means approved
by the Commission, and need not contain an original signature. A late
independent expenditure also must be reported on subsequent campaign
statements \[110\].

A "late independent expenditure" is an independent expenditure of
\$1,000 or more made after 15^th^ date before an election \[111\]

**J. Candidate Statement of Financial Interests.** A candidate for
certain state and local elective offices is required to file with the
appropriate filing offic­ers a statement of financial interests for the
preceding calendar year \[112\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Transfer of Funds After Dissolution of a Candidate Committee.** A
person who, after being a candidate for office, dissolves his or her
candidate committee, may transfer any unexpended funds from the
dissolved committee to another candidate committee, a political party
committee, or a tax‑exempt charitable institution or may return the
unexpended funds to the contributor of the funds \[113\].

**B. Expenditure or Transfer of Funds After an Election.** A committee,
including a political party committee, may make expenditures or transfer
funds after any election for (1) the necessary continued operation of
the campaign of­fices of the candidate or political committee; (2) social
events primarily for the benefit of campaign workers and volunteers or
constituents; (3) obtaining public input and opinion; (4) repayment of
campaign loans incurred prior to election day; (5) newsletters and other
communications of information, thanks, acknowl­edgment, or greetings or
for the purpose of political organization and planning; (6) gifts of
acknowledgment, including flowers and charitable contributions (ex­cept
that gifts to any one natural person may not exceed \$50 in any one
calendar year); (7) meals, lodging, and travel by an officeholder that
are related to the of­ficeholder\'s candidacy and for members of his or
her immediate family when they are involved in activities related to the
officeholder\'s candidacy; and (8) conference fees, meals, lodging, and
travel by an officeholder and his or her staff when involved in
activities related to the duties of the public office held \[114\].

**C. Dissolution of a Committee.** A committee may be dissolved b the
filing of a statement of dissolution with the Nebraska Accountability
and Disclosure Commission, payment of all fees, penalties, and interest
that may be owed, and compliance with the regulations of the Commission
for dissolution of committees. No committee may be dissolved until the
statement of dissolution is filed and required payments are made
\[115\].

**VI. PUBLIC FINANCING PROVISIONS**

The Campaign Finance Limitation Act provides public financing for
candi­dates for covered elective offices in an election period. Covered
elective offices include the legisla­ture and, if sufficient funds are
available in the campaign finance limitation fund and the office is
designated by the Nebraska Accountability and Disclosure Commission
according to statutory criteria, one or more of the following additional
state offices are covered elective offices: governor, state treasurer,
secretary of state, attorney general, auditor of public accounts, the
public service commission, the board of regents of the university of
Nebraska, and the state board of education. The designation of
additional covered elective offices must be completed before June 30th
of each odd‑numbered year. The legislature is a covered elective office
in any election period; designated addi­tional offices are covered
elective offices for the election period ending Decem­ber 31st of the
year following designation \[116\].

Rules concerning implementation of the Campaign Finance Limita­tion Act,
as amended in 1997, have been prepared by the Nebraska Accountability
and Disclosure Commission and approved by the attorney general and
governor \[117\].

A campaign finance limitation cash fund is created for the use of the
Nebraska Accountability and Disclosure Commission to provide the public
financing of the campaigns of qualifying candidates for covered elective
offices. The fund con­sists of money appropriated to it by the
legislature, amounts required to be re­paid to the fund by candidates who
have received public financing, and taxpayer contributions from income
tax refunds due and, according to the Commission, civil penalties
assessed by the Commission and late filing fees as well \[118\].

To qualify for public funding, candidates for covered elective offices
must lim­it campaign spending, other than unrestricted spending, for the
applicable elec­tion period and meet other mandatory requirements. The
expenditure limita­tions for candidates for each office are: (1) the
legislature‑‑\$73,000, (2) gover­nor‑‑\$1,650,000, (3) state treasurer,
secretary of state, at­torney general, or auditor of public
accounts‑‑\$150,000, and (4) the public serv­ice commission, the board of
regents of the university of Nebraska, or the state board of
education‑‑\$50,000. Spending for the primary election period, other
than unrestricted spending, may not exceed 50% of the limit for the
entire elec­tion period \[119\].

The applicable \"election period\" is the period beginning January 1
(legislature) or July 1 (any other covered elective office) of the
calendar year prior to the election year and through the end of the
election year. The \"primary election period\" runs from the first day
of the election period through the 35th day fol­lowing the primary
election; the \"general election period\" runs from the 36th day
following the primary election through the end of the election period
\[120\].

\"Unrestricted spending\" refers to the following post‑election
expenditures or transfers of funds: (1) gifts of acknowledgment,
including flowers and charitable contributions (except that gifts to any
one natural person may not exceed \$50 in any one calendar year) and (2)
conference fees, meals, lodging, and travel by an officeholder and his
or her staff when involved in activities related to the duties of the
public office held \[121\].

A candidate for a covered elective office desiring to receive public
funds must (1) file with the Commission an affidavit indicating the
candidate\'s intent to abide by the spending limitations and agreement
to personally act as a guarantor for the use of public funds and to be
held personally liable to the state for any public funds not repaid to
the state as required by law and (2) beginning on the first day of the
election period and after the candidate affidavit has been filed, raise
an amount equal to at least 25% of the spending limitation for the
office from persons who are state residents (at least 65% of the
qualifying amount must be received from individuals) \[122\]. When the
affidavit to abide by the spending limitations has been filed, the
candidate may not exceed those limits for the election period (except
for unrestricted spending): 50% of the limit may be spent for the
primary election period and 100% of the limit may be spent for the
primary election period and the general election period combined
\[123\].

A candidate for a covered elective office who does not file an affidavit
to abide by the spending limitations must file with the Commission an
affidavit in­dicating the candidate\'s intent not to abide by the
spending limitations and in­cluding a reasonable estimate of maximum
expenditures for the primary election period \[124\].

A candidate for the legislature must file either an affidavit to abide
by the spending limitations or an affidavit not to abide by the spending
limitations with the Commission within 10 days after a candidate
committee is required to be formed and on or before the first day of
each election period thereafter unless the candidate is not required for
form a candidate committee, has not filed and will not file to seek
election or reelection, or has withdrawn his or her filing to seek
election or reelection \[125\].

A candidate for a covered elective office other than the legislature
must file either an affidavit to abide by the spending limitations or an
affidavit not to abide by the spending limitations with the Commission
within 10 days after a candidate committee is required to be formed or
within 10 days after the office is designated as a covered elective
office, whichever is later, unless the candidate is not required for
form a candidate committee, has not filed and will not file to seek
election or reelection, or has withdrawn his or her filing to seek
election or reelection \[126\].

A candidate for a covered elective office who qualifies for the ballot
other than by filing must file a copy of the affidavit to abide or not
to abide by spend­ing limitations within 5 days after qualifying for the
ballot. A copy of the affi­davit also must be filed with the appropriate
filing officer at the same time a candidate files to appear on the
ballot \[127\].

The estimate of expenditures for the primary election period included in
a non‑abiding candidate\'s affidavit of intent not to abide by the
spending limita­tions may be amended up 30 days prior to the primary. If
the candidate is nom­inated for a covered elective office in the primary
election, an estimate of ex­penditures for the general election period
must be filed by the 40th day follow­ing the primary. This estimate may
be amended up to 60 days prior to the gen­eral election \[128\].

If the estimated maximum expenditures of a non‑abiding candidate exceed
the spending limitations for the office involved, the candidate must
file an affidavit with the Commission when 40% of the candidate\'s
estimated maximum expen­ditures has been spent for the primary election
period and when 40% of the es­timated maximum expenditures has been spent
for the general election period. Each affidavit must be filed no later
than 5 days after the 40% has been ex­pended. If a required 40% affidavit
is not filed, no public funds may be distrib­uted to the candidates for
the office who have qualified for public funds for the election period
unless preelection campaign statements or audits conducted by the
Commission reveal that a non‑abiding candidate has made expenditures
re­quiring the filing of an affidavit \[129\].

A candidate abiding by the spending limitations may request public
funding upon spending 25% of amount of the spending limitation for the
election period by filing an affidavit with the Commission setting forth
the facts of the candida­te\'s satisfaction of the requirements for
public funding. If the highest estimated maximum expenditure filed by
any of the candidate\'s opponents for the same of­fice not abiding by the
spending limitations as of the last date to amend a non‑abiding
candidate\'s estimate of expenditures is greater than the spending
limita­tion for the office for the particular election, the candidate is
entitled to receive the difference from the Commission as public funding
\[130\].

**VII. TAX PROVISIONS**

**A. Taxpayer Contribution from Income Tax Refund.** An individual
tax­payer may designate \$2 from any income tax refund due as a
contribution to the campaign finance limitation cash fund. The tax
commissioner is to include on the individual income tax form, beginning
with the tax form filed for the 1994 tax year, space for designation of
the contribution \[131\].

**VIII. OFFENSES AND PENALTIES**

**A. Enforcement Procedure**

**1. Commission Action.** The Nebraska Accountability and Disclosure
Commission is required to make random field investigations and audits
with re­spect to campaign statements and activity reports filed with the
Commission un­der the Political Accountability and Disclosure Act and the
Campaign Finance Limitation Act. Except for audits conducted pursuant to
the Campaign Finance Limitation Act, any audit or investigation
conducted of a candidate\'s campaign statements during a campaign must
include an audit or investigation of the statements of the candidate\'s
opponents as well. The Commission may also car­ry out field
investigations or audits with respect to any campaign statement,
reg­istration, report, or other statement filed if the Commission or its
executive di­rector deems an investigation or audit to be necessary to
carry out the purposes of the Political Accountability and Disclosure
Act \[132\].

Upon a complaint signed under oath by any person, upon the
recommendation of the executive director, or upon its own motion, the
Commission is required, by way of preliminary investigation, to
investigate any alleged violation of the Political Accountability and
Disclosure Act or any Commission rule or regulation promulgated under
the act. Upon the recommendation of the executive director or upon its
own motion, the Commission is required, by way of preliminary
in­vestigation, to investigate any alleged violation of the Campaign
Finance Limita­tion Act or any Commission rule or regulation promulgated
under the act \[133\].

If a preliminary investigation fails to indicate probable cause for
belief that either act has been violated, the Commission must terminate
the investigation. If after a preliminary investigation it is determined
by the Commission that there is probable cause to believe that either
act or a rule or regulation has been violat­ed, the Commission must
initiate appropriate proceedings to determine whether there has in fact
been a violation \[134\].

Upon finding that there has been a violation of the Political
Accountability and Disclosure Act or any Commission rule or regulation
promulgated under the Act, the Commission may begin civil or criminal
prosecution for the imposition of civil or criminal penalties provided
by the Act. If the Commission finds a viola­tion, it may issue an order
requiring the violator to cease and desist the viola­tion, to file any
report, statement, or other information as required, or to pay a civil
penalty of not over \$2,000 for each violation. If the Commission finds
a vio­lation of the Campaign Finance Limitation Act, it must assess a
civil penalty as required by the Act \[135\].

**2. Attorney General and County Attorney Action.** The attorney gen­eral
has concurrent jurisdiction with the Nebraska Accountability and
Disclosure Commission to enforce the criminal provisions of the
Political Accountabili­ty and Disclosure Act \[136\].

**3. Private Mandamus Action.** An individual who believes that a
violation of the Act has occurred may, after exhausting the
administrative remedies pro­vided in the Act, bring a civil action to
compel the Commission to fulfill its re­sponsibilities or may bring a
civil action against a person to compel compliance with the provisions
of the Act \[137\].

**B. Criminal Penalties.** A person who violates any of the following
provi­sions of the Nebraska Political Accountability and Disclosure Act
or the Cam­paign Finance Limitation Act is guilty of a criminal
violation:

\(1\) The requirements for the formation and operation of a candidate
commit­tee (class IV misdemeanor).

\(2\) The requirements applicable to a committee treasurer (class IV
misde­meanor).

\(3\) The requirements for the reporting of independent expenditures
(class IV misdemeanor).

\(4\) The requirements for contributions and expenditures of a
corporation; la­bor organization; industry, trade, or professional
association; and separate seg­regated political fund (class III
misdemeanor).

\(5\) The requirement for a contribution or expenditure over \$50 to be
made by written instrument (class III misdemeanor).

\(6\) The prohibition of acceptance or expenditure of an anonymous
contribu­tion (class III misdemeanor).

\(7\) The requirement for a contribution to be made in the legal name of
the contributor (class III misdemeanor).

\(8\) The prohibition of a political mailing for an elected official at
public ex­pense (class III misdemeanor).

\(9\) The requirement for disclosure or reporting of information when a
ear­marked contribution is made through an intermediary or agent (class
III misde­meanor).

\(10\) The prohibition of receipt of a contribution over \$100 without
contribu­tor information (class III misdemeanor).

\(11\) The requirement concerning the reporting of expenditures made on
be­half of or for the benefit of another, including a committee (class
III misde­meanor).

\(12\) The requirements for forwarding, disclosing, and reporting an
earmarked contribution (class III misdemeanor).

\(13\) The restriction on a candidate committee contribution to another
can­didate committee (class III misdemeanor).

\(14\) The prohibition of filing a false statement or report (class IV
felony).

\(15\) The prohibition of contributions to or independent expenditures
for state office candidates by major lottery contractors (knowing or
intentional violation is class IV felony).

\(16\) The prohibition of acceptance of a contribution for a state
office can­didate from a major lottery contractor (knowing or intentional
violation is a class III misdemeanor).

\(17\) The prohibition of the willful and knowing violation (i.e., by 5%
or more) of the spending limits by a candidate who received public funds
or the treasurer of the candidate committee (class II misdemeanor).

\(18\) The prohibition of willful, knowing, or intentional
underestimation of maximum expenditures by 5% or more by a candidate in
an affidavit not to abide by spending limitations (class II
misdemeanor).

\(19\) The prohibition of a candidate\'s filing or causing to be filed
an affidavit to not abide by spending limitations executed by the
candidate that the can­didate knows contains any material element that is
false (class IV felony) \[138\].

**C. Civil Penalties.** Civil penalties may be assessed by the Nebraska
Accountability and Disclosure Commission for violation of the following
provisions of the Nebraska Political Accountability and Disclosure Act
or the Campaign Finance Limitation Act:

\(1\) The limitations on loans to candidate committees‑‑not less than
\$250 or more than the amount of money received by a violating candidate
committee.

\(2\) The prohibition of the willful and knowing violation (i.e., by 5%
or more) of the spending limits by a candidate who received public funds
or the treasurer of the candidate committee‑‑\$1,000 or an amount equal
to 10% of the amount by which the limitation was exceeded, whichever is
greater for each violation.

\(3\) The prohibition of willful, knowing, or intentional
underestimation of maximum expenditures by 5% or more by a candidate in
an affidavit not to abide by spending limitations‑‑\$1,000 or an amount
equal to 10% of the amount by which the limitation was exceeded,
whichever is greater for each violation.

\(4\) Any provision of the Campaign Finance Limitation Act for which a
spe­cific penalty is not otherwise provided‑‑not more than \$1,000 for
each violation \[139\].

**D. Late Filing Fees.** Late filing fees must be paid to the Nebraska
Accountability and Disclosure Commission as follows:

\(1\) A person that fails to file a required statement of organization
must pay a late filing fee of \$25 for each day the statement remains
not filed, but not more than \$750.

\(2\) A person that fails to report to the Commission any change
required in a statement of organization must pay a late filing fee of
\$25 for each day the change remains unreported, but not more than
\$750.

\(3\) A person that fails to file a required campaign statement with the
Commission must pay a late filing fee of \$25 for each day the statement
remains not filed, but not more than \$750.

\(4\) A committee that fails to file a required report of a late
contribu­tion of \$1,000 or more with the Commission must pay a late
filing fee of \$100 for each day the re­port remains not filed but not to
exceed \$3,000 or 10% of the late contribution required to be reported,
whichever is greater.

\(5\) A non-committee person who fails to file a report of an
independent expenditure of more than \$250 with the Commission must pay
a late filing fee of \$25 for each day the statement remains not filed
but not to exceed \$750.

\(6\) A corporation, labor organization, or industry, trade, or
professional asso­ciation that fails to file a required report of
expenditures made and personal services provided must pay a late filing
fee of \$25 for each day the statement remains not filed but not to
exceed \$750.

\(7\) A person or committee that fails to file a required report of an
earmarked contribution with the Commission must pay a late filing fee of
\$25 for each day the statement remains not filed but not to exceed
\$750.

\(8\) A person who fails to file a required out‑of‑state contribution
report with the Commission must pay a late filing fee of \$100 for each
day the report remains not filed but not to exceed \$3,000 or 10% of the
amount of the contributions or expenditures required to be reported,
whichever is greater.

\(9\) A candidate who fails to file a required affidavit to abide or not
abide by spending limitations must pay a late filing fee of \$25 for
each day the statement remains not filed but not to exceed \$750.

\(10\) A person who fails to file a required report of independent
expenditures of more than \$2,000 (or more than \$5,000 after the
initial report) for or against a candidate for a state or legislative
office eligible for public funding must pay a late filing fee of \$25
for each day the statement remains not filed but not to exceed \$750.

\(11\) A committee that fails to file a statement of exemption with the
Commission must pay a late filing fee of \$25 for each day the statement
remains not filed but not to exceed \$225.

\(12\) An independent committee that fails to file a report of a late
independent expenditure with the Commission a late filing fee of \$100
for each day the report remains not filed not to exceed \$3,000 or 10%
of the late independent expenditure required to be reported, whichever
is greater \[140\].

The Nebraska Accountability and Disclosure Commission, upon application
for relief, may reduce the amount of a late filing fee for the late
filing of a statement of organization or campaign statement and waive
any or all of the interest due on the fee upon a showing that (1) the
circumstanc­es indicate no intent to file late, (2) the person has not
been required to pay late filing fees for two years prior to the time
the filing was due, (3) the late filing shows that less than \$5,000 was
raised, received, or expended during the report­ing period, and (4) a
reduction of the late fees and waiver of interest would not frustrate
the purposes of the Nebraska Political Accountability and Disclosure Act
\[141\].

The Commission, upon application for relief, may reduce or waive a late
filing fee for failure to file a statement of exemption and waive any or
all of the interest due on the fee. The applicant is not required to
make any showing as in the case of a late filing of a statement of
organization or campaign statement \[142\].

**E. Repayment of Public Funds When Spending Limitations Exceeded**. A
candidate who received public funds pursuant to the Campaign Finance
Limi­tation Act and failed to comply with the prescribed spending
limitations must repay the amount expended in excess of the spending
limitations to the state within 6 months after receipt of the funds
\[143\].

A candidate who received public funds pursuant to the Campaign Finance
Limitation Act and exceeded the prescribed spending limitations by 5% or
more must repay the entire amount of public funds received with interest
\[144\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Nebraska Accountability and Disclosure Commission.** The Nebraska
Accountability and Disclosure Commission is required to:

\(1\) Prescribe and publish rules and regulations to carry out the
provisions of the Public Accountability and Disclosure Act and the
Campaign Finance Limita­tion Act.

\(2\) Prescribe forms for statements and reports required to be filed
and furn­ish the forms to persons required to file statements and
reports.

\(3\) Prepare and publish manuals explaining the duties of all persons
and oth­er entities required to file statements and reports and setting
forth recommend­ed uniform methods of accounting and reporting for such
filings.

\(4\) Accept and file any reasonable amount of information voluntarily
sup­plied that exceeds the requirements of the acts.

\(5\) Prepare and publish summaries of statements and reports filed with
the Commission and special reports and technical studies to further the
purposes of the acts.

\(6\) Review all statements and reports filed with the Commission in
order to ascertain whether any person has failed to file a required
statement or has filed a deficient statement.

\(7\) Issue and publish advisory opinions on the requirements of the
acts upon the request of a person or governmental body directly covered
or affected.

\(8\) Act as the primary civil and criminal enforcement agency for
violations of the Political Accountability and Disclosure Act and the
Campaign Finance Limi­tation Act and the rules or regulations promulgated
under those acts and act concurrently with the county attorney in
prosecuting violations of the Campaign Finance Limitation Act.

\(9\) Prepare and distribute to the appropriate local officials
statements of fi­nancial interest, campaign committee organization forms,
filing instructions and forms, and such other forms as the Commission
deems appropriate.

\(10\) Provide copies of statements, reports, parts of reports, advisory
opinions, and public information prepared by the Commission to any
person on request at a reasonable cost.

\(11\) Make campaign statements and independent expenditure reports
available to the public on its web site as soon as practicable for the
duration of the applicable election period and 6 months thereafter
\[145\].

The Commission may suspend or modify any of the reporting requirements
of the Public Accountability and Disclosure Act in a particular case if
good cause is shown or it finds that literal application of the
reporting requirements works a manifestly unreasonable hardship and if
it also finds that suspension or modifi­cation will not frustrate the
purposes of the Act \[146\].

**B. County Clerks and Election Commissioners.** The county clerk or
election commissioner in each county must distribute forms prepared by
the Commission to any person required to file any statement or report
\[147\].

**References**

58848. Revised Statutes of Nebraska (here­after RSN) § 49‑1415(a)

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1.  RSN § 49‑1430

2.  RSN § 49‑1415(2)

3.  RSN § 49‑1415(1), (3)

4.  RSN § 49‑1438

5.  RSN § 49‑1446(3)

6.  RSN § 49‑1446(5)

7.  RSN § 49‑1446(4), (6), (7)

8.  RSN § 49‑1479.01(1)

9.  RSN §§ 49‑1479; 49‑1479.01

10. RSN § 49‑1479.01(2)

11. RSN §§ 49‑1475; 49‑1479.01(3)

12. RSN § 49‑1479.01(4)

13. RSN § 49‑1479.01(4)

14. RSN §§ 49‑1438; 49‑1479(1); 49‑1479.01

15. RSN § 49‑1479(2)

16. RSN § 49‑1469(2)(a)

17. Nebraska Accountability and Disclo­sure Commission, Advisory Opinion
    (hereafter Adv. Op.) 126 (August 3, 1990)

18. RSN § 49‑1469(2)(b)

19. RSN §§ 32‑1603(1), (2); 32‑1608; 32‑1611(1)

20. RSN § 49‑1469(2)(a)

21. RSN § 49‑1469(2)(e)

22. RSN § 49‑1469(2)(c)

23. RSN § 49‑1469(2)(c)

24. RSN § 49‑1469(2)(c)

25. RSN § 49‑1469(2)(c); Adv. Op. 126

26. RSN § 49‑1472(1)

27. RSN § 49‑1472(2)

28. RSN § 49‑1473

29. RSN § 49‑1477

30. RSN § 49‑1471

31. RSN § 49‑1474

32. RSN § 49‑1446.04(1)

33. RSN § 49‑1469.02

34. RSN § 49‑1469.03

35. Nebraska Accountability and Disclo­sure Commission, Adv. Op. 178
    (De­cember 19, 1997)

36. RSN, Nebraska Rules of Court Ann., Nebraska Code of Judicial
    Conduct, Canon 5 (hereafter Judicial Canon 5)

37. Judicial Canon 5

38. Judicial Canon 5

39. RSN § 49‑1419(1)

40. RSN § 49‑1430

41. RSN § 49‑1419(2

42. RSN § 49‑1419(1), (3)

43. RSN § 49‑1446(3), (4)

44. RSN § 49‑1446.01(2)

45. RSN § 49‑1446.02

46. RSN § 49‑1478(1)

47. RSN § 49‑1478(2)

48. RSN § 49‑1469(1)

49. RSN § 49‑1469(2)(a), (b)

50. RSN § 49‑14,101.02(1)

51. RSN §§ 49‑1413; 49‑1445; 49‑1446; 49‑1449

52. RSN §§ 49‑1413; 49‑1438. *See* Sec­tion II.A for the definition of
    \"person.\"

53. RSN §§ 49‑1413; 49‑1469

54. RSN §§ 49‑1406; 49‑1410; 49‑1427; 49‑1441; 49‑1469(2)(e)

55. RSN § 49‑1410

56. RSN § 49‑1445

57. RSN § 49‑1410

58. RSN § 49‑1409

59. RSN § 49‑1406

60. RSN § 49‑1405

61. RSN § 49‑1461.01

62. RSN § 49‑1441

63. RSN § 49‑1427

64. RSN § 49‑1469(2)(e)

65. RSN § 49‑1446(1), (3)

66. RSN § 49‑1447 (1), (4)

67. RSN § 49‑1446(2)

68. RSN § 49‑1450

69. RSN §§ 49‑1413; 49‑1449

70. RSN § 49‑1451

71. RSN § 49‑1447(2)

72. RSN §§ 49‑1413; 49-1416; 49‑1454; 49‑1459(1); 49‑1461; 49‑1462

73. RSN § 49‑1459(2)

74. RSN §§ 49‑1454; 49‑1462

75. RSN § 49‑1459(1)

76. RSN §§ 49‑1461; 32‑704.02

77. RSN § 49‑1462

78. RSN § 49‑1464

79. RSN § 49‑1455(1)

80. RSN §§ 32‑1603(1); 32‑1611(1); 49‑1455(2)

81. RSN § 49‑1456

82. RSN § 49‑1465(1

83. RSN § 49‑1457(1)‑(3)

84. RSN § 49‑1457(4)

85. RSN § 49‑1456

86. RSN § 49‑1465(1)

87. RSN § 49‑1458(1), (3)

88. RSN § 49‑1467(1)

89. RSN § 49‑1428

90. RSN § 49‑1467(1)

91. RSN § 49‑1468

92. RSN § 49‑1469(1), (2)(d)

93. RSN § 49‑1469(2)(d)

94. RSN § 49‑1469(1)

95. RSN § 49‑1469(1)

96. RSN § 49‑1446.05(1), (5)

97. RSN § 49‑1428

98. RSN §§ 32‑1603(1); 32‑1611(1)

99. RSN § 49‑1446.05(1)

100. RSN § 49‑1446.05(2)

101. RSN § 49‑1446.05(2)

102. RSN § 49‑1446.05(3)

103. RSN § 49‑1478(1), (2)

104. RSN § 49‑1478(3)

105. RSN § 49‑1469.04(1), (2)

106. RSN § 49‑1469.04(1)

107. RSN § 1469.04(3)

108. RSN § 49-1433.01

109. RSN § 49‑1478.01(1)

110. RSN § 49‑1478.01(3)

111. RSN §§ 49‑1493; 49‑1494

112. RSN § 49‑1466

113. RSN § 49‑1446.01(1)

114. RSN § 49‑1453

115. RSN §§ 32‑1603(1); 32‑1604(1); 32‑1611

116. §§ 32‑1608.01; 49‑14,123(1); Code of Nebraska Rules 4-10­

117. RSN § 32‑1610

118. RSN §§ 32‑1603(2); 32‑1604(3)

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120. RSN § 32‑1603(2), (4), (5)

121. RSN §§ 32‑1603(6); 49‑1446.01(1)(f), (1)(h)

122. RSN § 32‑1604(5)

123. RSN §§ 32‑1604(3); 32‑1604.01(5)

124. RSN § 32‑1604(5)

125. RSN § 32‑1604.01(1)

126. RSN § 32‑1604.01(1)

127. RSN § 32‑1605

128. RSN §§ 32‑1603(2); 32‑1604(4); 49‑1419

129. RSN § 32‑1604(5)(b), (6)

130. RSN § 32‑1606(1)

131. RSN § 77‑27,119.04

132. RSN § 49‑14,122

133. RSN § 49‑14,124

134. RSN § 49‑14,125

135. RSN § 49‑14,126

136. RSN § 49‑14,133

137. RSN § 49‑14,127

138. RSN §§ 49‑1446(8); 49‑1447(5); 49‑1467(3); 49‑1469(4); 49‑1469.02;
     49‑1469.03(1); 49‑1471; 49‑1472; 49‑1473; 49‑1474(1); 49‑1475;
     49‑1477; 49‑1478(1), (2); 49‑1479(3); 49‑1479.01(6); 49‑14,134

139. RSN §§ 32‑1607(3), (5); 32‑1612; 49‑1446.04(2)

140. RSN §§ 32‑1604.01(4); 49‑1446.05(4); 49‑1449; 49‑1451; 49‑1461;
     49‑1463; 49‑1458(2); 49‑1467(2); 49‑1469(3); 49‑1479.01(5);
     49‑1469.04(4): 49-1478.01(2)

141. RSN § 49‑1463.01

142. RSN § 49-1463.01

143. RSN § 32‑1607(1)

144. RSN § 32‑1607(2)

145. RSN §§ 49‑1448; 49-1464; 49-1467(1); 49‑14,123, 49‑14,123.01

146. RSN § 49‑14,129

147. RSN § 49‑14,139

**CAMPAIGN FINANCE LAW**

**IN NEVADA**

**I. INTRODUCTION**

Nevada requires candidates for state, district, county, township, and
city offic­es to file reports of campaign contributions and expenses
before and after prim­ary and general elections. Individuals, business or
social organizations, nongov­ernmental legal entities, committees for
political action, political parties, and committees sponsored by a
political party that make candidate‑related or ballot‑question‑related
independent expenditures must file pre‑ and post‑election re­ports of
contributions received and individual and cumulative expenditures made
in excess of \$100.

There are dollar limits on total contributions that may be made to
individual candidates during an election cycle. Contributions to a
candidate for any office (except a federal office) by any person,
natural or otherwise, may not exceed \$5,000 for the primary election or
primary city election and \$5,000 for the gen­eral election or general
city election. The solicitation and acceptance of contri­butions or
commitments to make contributions by the governor, governor‑elect,
lieutenant governor, lieutenant governor‑elect, state legislators, and
legislative caucuses are prohibited 30 days before, during, and 30 days
after a regular ses­sion of the state legislature.

The Secretary of State is responsible for implementing and administering
the Nevada Campaign Practices Act.

**II. SOLICITATION AND CONTRIBUTION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is a gift, loan,
conveyance, deposit, payment, transfer, or distribution of money or
anything of value other than the services of a volunteer and includes
the payment by any person other than a candidate of compensation for the
personal services of another person that without charge are rendered to:

\(1\) A candidate.

\(2\) A person who is not under the direction or control of a candidate
or group of candidates or of any person involved in the campaign of a
candidate or group of candidates and who makes an expenditure on behalf
of the candidate or group that is not solicited or approved by the
candidate or group.

\(3\) A committee for political action, political party, or committee
sponsored by a political party that makes an expenditure on behalf of a
candidate or group of candidates.

\(4\) A person or group of persons organized formally or informally who
advo­cates the passage or defeat of a question or group of questions on
the ballot \[1\].

**B. Contributions by Any Person**. A person may not make contributions
to a candidate for any office, except a federal office, and a candidate
may not ac­cept such contributions in an amount that exceeds \$5,000 for
the primary elec­tion or primary city election, regardless of the number
of candidates for the of­fice, and \$5,000 for the general election or
general city election, regardless of the number of candidates during the
following period:

\(1\) State, district, county, or township office‑‑beginning from 30
days before the regular session of the legislature immediately following
the last election for the office and ending 30 days before the regular
session of the legislature imme­diately following the next election for
the office.

\(2\) City office‑‑beginning from 30 days after the last election for
the office and ending 30 days before the next general city election for
the office \[2\].

A \"person\" is (1) a natural person, (2) any form of business or social
organiza­tion, (3) any nongovernmental legal entity, including without
limitation a corpo­ration, partnership, association, trust,
unincorporated organization, labor union, committee for political
action, political party, or committee sponsored by a polit­ical party, or
(4) a government, governmental agency, or political subdivision of a
government \[3\].

**C. Contributions From an Anonymous or Unidentifiable Contributor**. A
candidate who receives a contribution of \$100 or more from an anonymous
or unidentifiable contributor is required to deliver the money to the
state treas­urer or donate the money to a nonprofit entity within 10 days
after receipt \[4\].

**D. Candidate Deposit of Contributions in a Separate Account**. No
later than one week after minimum campaign contributions of \$100 are
received, a candidate for state, district, county, city, or township
office is required to open and maintain a separate account in a
financial institution for the deposit of any campaign contributions the
candidate receives. The money in the campaign ac­count may not be
commingled with money collected for other purposes \[5\].

A candidate may close the separate campaign account as soon as all
payments of money committed have been made (1) after a special election
if he or she was a candidate in that election, (2) after the primary
election if the candidate lost in the primary, or (3) after the general
election if the candidate won the primary election \[6\].

**E. Making, Solicitation, and Acceptance of Contributions by Judges and
Candidates for Judicial Office.** The Code of Judicial Conduct restricts
the political activities of judges and candidates for election or
appointment to judicial office. Anyone, whether or not a lawyer, who is
an officer of a judicial system and performs judicial functions, such as
a magistrate, court commission­er, special master, or referee is a judge
within the meaning of the Code \[7\].

A judge or candidate for election to judicial office may not solicit
funds for a political organization or candidate; however, this
prohibition does not apply at any time to a continuing part‑time judge,
periodic part‑time judge, or a pro tem­pore part‑time judge. A judge or a
candidate subject to public election, except as prohibited by law, may
at any time contribute to a political organization \[8\].

A candidate for appointment to judicial office or a judge seeking
non‑judicial governmental office may not solicit or accept funds,
personally or through a committee or otherwise, to support his or her
candidacy \[9\].

A candidate for election to judicial office may personally solicit or
accept campaign contributions in accordance with the law; however, where
practicable, a candidate is encouraged to establish committees of
responsible persons to so­licit and accept lawful contributions and
conduct campaigns for the candidate through media advertisements,
brochures, mailings, candidate forums, and other means not prohibited by
law. The candidates may also manage the expenditure of funds for the
candidate\'s campaign. A candidate and a candidate\'s commit­tees may
solicit contributions for the candidate\'s campaign no earlier than 240
days before the primary election and no later than 90 days after the
last election in which the candidate participates during the election
year \[10\].

A candidate for election or appointment to judicial office is required
to pro­hibit officials who serve at the pleasure of the candidate and to
discourage em­ployees and other officials subject to the candidate\'s
direction and control from doing on the candidate\'s behalf what the
candidate is prohibited from doing and, except to the extent permitted
by the Code of Judicial Conduct, may not author­ize or knowingly permit
any other person to do for the candidate what the can­didate is
prohibited from doing \[11\].

In the Code of Judicial Conduct, a \"candidate\" is a person seeking
selection for or retention in judicial office by election or
appointment. A person becomes a candidate for judicial office as soon as
he or she makes an public announcement of candidacy, declares or files
as a candidate with the election or appointment authority, or authorizes
solicitation or acceptance of contributions or support. The term
\"candidate\" has the same meaning when applied to a judge seeking
election or appointment to non‑judicial office \[12\].

**F. Candidate Return of Contributions When Different Office Is
Sought**. A candidate for state, district, county, city, or township
office who files a declaration of candidacy for an office that is
different from the office that the individual previously and publicly
intended to seek or that the individual held immediately preceding the
declaration of candidacy must make a reasonable ef­fort to notify the
persons who contributed money to the individual\'s campaign before the
filing of the declaration of candidacy and to return the unspent por­tion
of those contributions if so requested. Any contributions not returned
must be used in the candidate\'s campaign or disposed in the manner
authorized for post‑election disposition of unspent contributions (*see*
Section V.A, *infra*) \[13\].

**G. Solicitation and Acceptance of Contributions Before, During, and
After a Legislative Session by Elected State Executive Officers and
Leg­islative Members**. The solicitation and acceptance of contributions
or com­mitments to make contributions by the governor, governor‑elect,
lieutenant gov­ernor, lieutenant governor‑elect, state legislators, and
legislative caucuses are prohibited during the period beginning (1) 30
days before a regular session of the state legislature and ending 30
days after the final adjournment of the regu­lar session and (2) the day
after the governor issues a proclamation calling for a special session
of the state legislature and ending 15 days after the final ad­journment
of the special session \[14\].

The governor, governor‑elect, lieutenant governor, lieutenant
governor‑elect, and members of the state legislature may not solicit or
accept any monetary con­tribution or solicit or accept a commitment to
make such a contribution for any political purpose during the restricted
period \[15\].

Members of an organization whose primary purpose is to provide support
for legislators of a particular political party and house of the
legislature may not so­licit or accept contributions on behalf of the
legislators or the organization or so­licit or accept a commitment to
make such a contribution during the restricted period. No person may
make or commit to make a contribution or commitment that is prohibited
during the restricted period, and no person may accept a con­tribution on
behalf of another person to avoid the prohibitions that apply during the
restricted period \[16\].

**H. Contributions by Lobbyists to State Executive Officers and
Legisla­tive Members Before, During, and After a Legislative Session.** A
lobbyist may not make, commit to make, or offer to make a monetary
contribution to the governor, governor‑elect, lieutenant governor,
lieutenant governor‑elect, or a member of the state legislature during
the period beginning (1) 30 days before a regular session of the state
legislature and ending 30 days after the final ad­journment of the
regular session and (2) the day after the governor issues a pro­clamation
calling for a special session of the state legislature and ending 15
days after the final adjournment of the special session \[17\].

**I. Solicitation of Contributions for a Political Organization Without
Prior Approval or Charter.** No person may solicit a contribution for
any organization whose title incorporates the name or any form of the
name of any political party in the state without first having obtained
written approval for the incorporation of the name or a charter for the
organization from the central or executive committee of the affected
political party for the county in which the money is being solicited.
Written approval or a charter is not required if the person or
organization is publicly organized for the sole and limited purpose of
supporting the candidacy of a particular candidate in a single election
or is chartered by a national political party or organization or by a
state central committee in Neva­da \[18\].

**J. Making Contributions in the Name of Another Person**. A person is
not permitted to (1) make a contribution in the name of another person,
(2) knowingly allow the person\'s name to be used to cause a
contribution to be made in the name of another person or assist in the
making of a contribution in the name of another person, (3) knowingly
assist a person to make a contribu­tion in the name of another person, or
(4) knowingly accept a contribution make by a person in the name of
another person \[19\].

The terminology \"make a contribution in the name of another person\"
includes without limitation (1) giving money or an item of value without
disclosing the source to the recipient at the time the contribution is
made if all or part of the money or item of value was provided by
another person or (2) giving money or an item of value and claiming that
it belongs to another person when all or part of the money or item of
value belongs to the person who is giving the money or item of value
\[20\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Campaign Expenses or Expenditures.** \"Campaign
ex­penses\" or \"expenditures\" are all expenditures contracted for or
made for adver­tising on television, radio, billboards, or posters and in
newspapers and all other expenditures contracted for or made to advocate
expressly the election or defeat of a clearly identified candidate or
group of candidates or the passage or defeat of a clearly identified
question or group of questions on the ballot, including any payments
made to a candidate or to a person related to a candidate within the
second degree of consanguinity or affinity \[21\].

**B. Specification of Expenses or Expenditures for Reporting Purposes.**
Each required report of expenses or expenditures must consist of a list
of the expenditures made during the periods for reporting. A report of
expenses is to consist of a list of each expense in excess of \$100 that
was incurred during the periods for reporting. This list in each report
must state the category and amount of the expense or expenditure and the
date on which the expense was incurred or the expenditure made. The
categories of expense or expenditure for use on the report of expenses
or expenditures are (1) office expenses, (2) expenses related to
volunteers, (3) expenses related to travel, (4) expenses related to
advertising, (5) expenses related to paid staff, (6) expenses related to
consultants, (7) expenses related to polling, (8) expenses related to
special events, and (9) other miscellaneous expenses. Candidates cannot
be required to provide separately the total amount of each category of
expenses \[22\].

**C. Personal Use of Contributions by a Candidate**. A candidate may not
spend money received as a campaign contribution for the candidate\'s
personal use \[23\].

**D. Access to Media Record of Political Advertising Cost.** A
newspaper, radio or television broadcasting station, outdoor advertising
company, direct mail advertising company, printer, or other person or
group of persons that ac­cepts, broadcasts, disseminates, prints, or
publishes (1) advertising on behalf of any candidate or group of
candidates, (2) political advertising for any person other than a
candidate, or (3) advertising for the passage or defeat of a question or
group of questions is required to make available for inspection
information setting forth the cost of all such advertisements accepted
and broadcast, dis­seminated, or published. The cost information is to be
made available at any reasonable time beginning at least 10 days before
each primary election, prim­ary city election, general election, or
general city election and ending at least 30 days after the election
\[24\].

**IV. REPORTING REQUIREMENTS**

**A. Candidate Reports of Campaign Contributions**

**1. General Provisions.** A candidate for (1) a state, district,
county, or township office at a primary election or general election (2)
a district office at a special election, other than one for the recall
of a public officer, or (3) a state, district, county, municipal, or
township office at a special election to determine whether a public
officer will be recalled must list each of the campaign contributions
received on forms designed and provided by the Secretary of State
\[25\]. A candidate for a city office at a primary city election or
general city election must report the candidate\'s campaign
contributions on forms designed by the city clerk and approved by the
Secretary of State \[26\]. A candidate must file a report of campaign
contributions even though the can­didate withdraws the candidacy,
receives no campaign contributions, has no campaign expenses, is removed
from the ballot by court order, or is the subject of a petition to
recall and the special election is not held \[27\].

A \"candidate\" is a person who files a declaration of candidacy, who
files an ac­ceptance of candidacy, whose name appears on an official
ballot at any election, or who has received contributions in excess of
\$100 \[28\].

A \"person\" is (1) a natural person, (2) any form of business or social
organiza­tion, (3) any nongovernmental legal entity, including without
limitation a corpo­ration, partnership, association, trust,
unincorporated organization, labor union, committee for political
action, political party, or committee sponsored by a polit­ical party, or
(4) a government, governmental agency, or political subdivision of a
government \[29\].

The name and address of the contributor and the date on which the
contribution was received must be included on the list for each
contribution in excess of \$100 and contributions that a contributor has
made cumulatively in excess of \$100 since the beginning of the first
reporting period \[30\].

The report of campaign contributions must be signed by the candidate
under penalty of perjury and filed with the officer with whom the
candidate filed his or her declaration of candidacy or acceptance of
candidacy. Declarations, certifi­cates, and acceptances of candidacies
are filed (1) with the Secretary of State in the case of candidates for
U.S. senator, representative in Congress, statewide of­fice, state
senator or assemblyman elected from a district comprising more than one
county, (2) with the county clerk in the case of candidates for
representative in Congress or district office voted for wholly within
one county, state senator or assemblyman to be elected from a district
comprising but one county or part of one county, county office, and
township office, and (3) with the city clerk in the case of candidates
for city office \[31\].

A county clerk who receives a report of campaign contributions from a
can­didate for legislative or judicial office, except the office of
justice of the peace or municipal judge, must file a copy of the report
with the Secretary of State within 10 working days after receipt of the
report \[32\].

**2. Candidate at a Primary or General Election.** A candidate for
state, district, county, or township office at a primary or general
election must file a report of campaign contributions not later than (1)
7 days before the primary election for the period from 30 days before
the regular session of the state legis­lature after the last election for
that office up to 12 days before the primary election, (2) 7 days before
the general election, whether or not the candidate won the primary
election, for the period from 12 days before the primary elec­tion up to
12 days before the general election, and (3) the 15th day of the sec­ond
month after the general election for the remaining period up to 30 days
be­fore the next regular session of the state legislature \[33\].
According to the Secretary of State, the requirement to report campaign
contributions applies with re­gard to all three reporting periods even
though the candidate\'s name does not appear on the election ballot or
the candidate received no contributions or ex­penditures, withdrew the
candidacy, lost the primary election, or had no opposi­tion \[34\].

**3. Candidate at a Special Election to Recall a Public Officer.** A
can­didate for state, district, county, municipal, or township office at
a special elec­tion to determine whether a public officer should be
recalled must file a report of campaign contributions (1) 30 days after
the special election for the period from the filing of the notice of
intent to circulate the recall petition up to the special election or
(2) 30 days after a district court determines that the petition for
recall is legally insufficient for the period from the filing of the
notice of intent to circulate the petition for recall up to the date of
the district court's decision \[35\].

**4. Candidate for District Office at a Non‑Recall Special Election**. A
candidate for a district office at a special election, other than one to
determine whether a public officer should be recalled, must file a
report of campaign con­tributions (1) not later than 7 days before the
special election for the period from his or her nomination up to 12 days
before the special election and (2) not later than 30 days after the
special election for the remaining period up to the special election
\[36\].

**5. Candidate at a Primary City Election or General City Election.**
When the general city election is preceded by a primary city election, a
can­didate for city office must file a report of his or her campaign
contributions not later than (1) 7 days before the primary city election
for the period from the last election for that office up to 12 days
before the primary city election, (2) 7 days before the general city
election, whether or not the candidate won the primary city election,
for the period from 12 days before the primary city election up to 12
days before the general city election, and (3) the 15th day of the
second month after the general city election for the remaining period up
to the general city election \[37\].

When there is no primary city election, the reports of campaign
contributions are to be filed not later than (1) 7 days before the
general city election for the period from the last election for that
office up to 12 days before the general city election and (2) the 15th
day of the second month after the general city election for the
remaining period up to the general city election \[38\].

**B. Candidate Reports of Campaign Expenses**

**1. General Provisions.** A candidate for (1) a state, district,
county, or township office at a primary election or general election (2)
a district office at a special election, other than one for the recall
of a public officer, or (3) a state, district, county, municipal, or
township office at a special election to determine whether a public
officer will be recalled must list campaign expenses in excess of \$100
on forms designed and provided by the Secretary of State \[39\]. A
can­didate for a city office at a primary city election or general city
election must re­port campaign expenses in excess of \$100 on forms
designed by the city clerk and approved by the Secretary of State
\[40\]. According to the Secretary of State, the requirement to report
campaign expenses applies to every candidate for election to an office
or as a member of a board or commission that is created by the state
constitution or state statute, by a county or municipal ordinance, or by
a municipal charter \[41\]. A candidate must file a report of campaign
expenses even though the candidate withdraws the candidacy, receives no
campaign con­tributions, has no campaign expenses, is removed from the
ballot by court order, or is the subject of a petition to recall and the
special election is not held \[42\].

The report of campaign expenses must be signed by the candidate under
pen­alty of perjury and filed with the officer with whom the candidate
files the dec­laration of candidacy or acceptance of candidacy.
Declarations, certificates, and acceptances of candidacies are filed (1)
with the Secretary of State in the case of candidates for U.S. senator,
representative in Congress, statewide office, state senator or
assemblyman elected from a district comprising more than one coun­ty, and
any other office whose district comprises more than one county, (2) with
the county clerk in the case of candidates for representative in
Congress or dis­trict office voted for wholly within one county, state
senator or assemblyman to be elected from a district comprising but one
county or part of one county, county office, and township office, and
(3) with the city clerk in the case of can­didates for city office
\[43\].

A county clerk who receives a report of campaign expenses from a
candidate for legislative or judicial office, except the office of
justice of the peace or mu­nicipal judge, must file a copy of the report
with the Secretary of State within 10 working days after receipt \[44\].

**2. Candidate at a Primary or General Election.** A candidate for
state, district, county, or township office at a primary or general
election must file a report listing each of the campaign expenses in
excess of \$100 not later than (1) 7 days before the primary elec­tion
for the period from 30 days before the regular session of the
legislature af­ter the last election for that office up to 12 days before
the primary election, (2) 7 days before the general election, whether or
not the candidate won the prim­ary election, for the period from 12 days
before the primary election up to 12 days before the general election,
and (3) the 15th day of the second month after the general election for
the remaining period up to 30 days before the next regu­lar session of
the state legislature \[45\]. According to the Secretary of State, the
requirement to report campaign expenses applies with regard to all three
report­ing periods even though the candidate\'s name does not appear on
the election ballot or the candidate received no contributions or
expenditures, withdrew the candidacy, lost the primary election, or had
no opposition \[46\].

**3. Candidate at a Special Election to Recall a Public Officer.** A
can­didate for state, district, county, municipal, or township office at
a special elec­tion to determine whether a public officer will be
recalled must file listing each of the campaign expenses in excess of
\$100 (1) 60 days after the special election for the period from the
fil­ing of the notice of intent to circulate the recall petition up to 30
days after the special election or (2) 60 days after a district court
determines that the petition for recall is legally insufficient for the
period from the filing of the notice of intent to circulate the petition
for recall up to the date of the district court's decision \[47\].

**4. Candidate for District Office at a Non‑Recall Special Election.** A
candidate for a district office at a special election, other than one to
determine whether a public officer should be recalled, must file a
report listing each of the campaign expenses in excess of \$100 not
later than (1) 7 days before the special election for the period from
his or her nomination up to 12 days before the special election and (2)
60 days after the special election for the remaining period up to 30
days after the special election \[48\].

**5. Candidate at a Primary City Election or General City Election.**
When the general city election is preceded by a primary city election, a
can­didate for city office must file a report listing each of the
campaign expenses in excess of \$100 not later than (1) 15 days before
the primary city election for the period from 30 days af­ter the last
election for that office up to 20 days before the primary city election,
(2) 15 days before the general city election, whether or not the
candidate won the primary city election, for the period from 20 days
before the primary city election up to 20 days before the general city
election, and (3) the 15th day of the second month after the general
city election for the remaining period up to 30 days after the general
city election. When there is no primary city election, the reports of
campaign expenses are to be filed not later than (1) 20 days be­fore the
general city election for the period from 30 days after the last
election for that office up to 30 days before the general city election
and (2) the 15th day of the second month after the general city election
for the remaining period up to 30 days after the general city election
\[49\].

**C. Candidate Report of In-Kind Contributions Received and In-Kind
Expenses Incurred.** Each candidate who is required to file a report of
campaign contributions and expenses is required to file a separate form
relating only to goods and services provided in kind for which money
would otherwise have been paid. The candidate cannot be required to list
the in-kind goods and services on any other form other than this
separate form. The candidate must list on the form each such campaign
contribution he receives and each expense in excess of \$100 he incurs
during the reporting period. The separate form, which must be signed by
the candidate, is submitted to the same filing officer and according to
the same filing schedule applicable to candidate reports of campaign
contributions and expenses \[50\].

**D. Pre‑Election‑Year Reports by Candidates Receiving Contributions of
More Than \$10,000**. A candidate who receives contributions in excess
of \$10,000 in any year before the year in which the general election or
general city election in which the candidate intends to seek election to
public office is held must file an annual report listing each of the
contributions received and expenditures made in that year. Additional
annual reports listing each of the contributions received in any amount
and expenditures made in excess of \$100 in the year must be submitted
until the year of the general election or general city election in which
the candidate intends to seek election. The name and address of the
contributor and the date on which the contribution was received must be
included on the list for each contribution in excess of \$100 and
contributions that a contributor has made cumulatively in excess of that
amount \[51\].

The reports are to be submitted on a form provided by the secretary of
state, signed by the candidate under penalty of perjury, and filed on or
before January 15^th^ after the report year with the officer with whom
the candidate files a declaration of candidacy or acceptance of
candidacy for the public office the candidate intends to seek. A
candidate may mail the report to the filing officer by certified mail,
and if certified mail is used, the date of mailing is deemed to be the
date of filing. A county clerk who receives a copy of a report from
candidate for legislative or judicial office is to file a copy with the
secretary of state \[52\].

**E. Reports of Contributions and Expenditures by a Committee to Re­call
a Public Officer**. A committee for the recall of a public officer is
required to list each contribution received or made by the committee and
each expenditure made by the committee in excess of \$100 to the
Secretary of State on forms provided by the Secretary of State and
signed under penalty of perjury \[53\].

A \"committee for the recall of a public officer\" is an organization
that receives contributions, makes contributions to candidates or
persons, or makes expen­ditures designed to affect the recall of a public
officer \[54\].

In the report of contributions, the name and address of the contributor
and the date on which the contribution was received also must be
included on the list for each contribution in excess of \$100 (whether
from or to a natural person, association, or corporation) and
contributions that a contributor or the committee has made cumulatively
in excess of \$100 since the beginning of the first reporting period
\[55\].

The report of expenditures also must include identification of
expenditures that the committee has made cu­mulatively in excess of \$100
since the beginning of the first reporting period \[56\].

If a petition for the purpose of recalling a public officer is not filed
before the expiration of the notice of intent to circulate the petition
for recall, a report is due not later than 30 days after the expiration
of the notice of intent. If a court does not order a special election
for the recall of the public officer, a report is due not later than 30
days after the court determines that an election will not be held. If a
court orders a special election for the recall of the public officer,
re­ports are due not later than (1) 7 days before the special election
for the period from the filing of the notice of intent to circulate the
petition for recall up to 12 days before the special election and (2) 30
days after the election for the re­maining period up to the election
\[57\].

The committee may mail a report by certified mail, and if certified mail
is used, the date of mailing is deemed to be the date of filing \[58\].

**F. Reports by a Person Who Makes Candidate‑Related Independent
Expenditures**

**1. General Provisions**. Every person who is not under the direction
or control of a candidate or group of candidates or of any person
involved in the campaign of the candidate or group of candidates and who
makes an expendi­ture on behalf of the candidate or group that is not
solicited or approved by the candidate or group and every committee for
political action, political party, and committee sponsored by a
political party that makes an expenditure on behalf of a candidate or
group of candidates is required to list (1) contributions re­ceived and
(2) individual and cumulative expenditures in excess of \$100 made on
behalf of the candidate or group of candidates \[59\].

A \"person\" is (1) a natural person, (2) any form of business or social
organiza­tion, (3) any nongovernmental legal entity, including without
limitation a corpo­ration, partnership, association, trust,
unincorporated organization, labor union, committee for political
action, political party, or committee sponsored by a polit­ical party, or
(4) a government, governmental agency, or political subdivision of a
government \[60\].

A \"committee for political action\" is any group of natural persons or
entities that solicits or receives contributions from any other person,
group, or entity and either makes or intends to make contributions to
candidates or other persons or makes or intends to make expenditures.
The term does not include (1) an organization made up of legislative
members of a political party whose primary purpose is to provide support
for their political efforts, (2) an entity solely because it provides
goods or services to a candidate or committee in the regular course of
its business at the same price that would be provided to the general
public, (3) an individual natural person, (4) an individual corporation
or other business entity who has filed articles of incorporation or
other documentation of organization with the Secretary of State, (5) a
labor union, and (6) a personal campaign committee or the personal
representative of a candidate who receives contributions or makes
expenditures that are reported as campaign contributions or expenditures
by the candidate \[61\].

In determining whether an entity or group is a committee for political
action, the Secretary of State is required to consider a group\'s or
entity\'s division or separation into units, sections or smaller groups
only if it appears that such division or separation was for a purpose
other than for avoiding the reporting requirements of the Campaign
Practices Act and must disregard any action taken by a group or entity
that would otherwise constitute a committee for political action if it
appears such action is taken for he purpose of avoiding the reporting
requirements \[62\].

The reports of contributions and expenditures must be filed not later
than (1) 7 days before a primary election or primary city election for
the period from 30 days after the last election for the office involved
to 12 days before the primary, (2) 7 days before a general election or
general city election, whether or not the candidate won the primary, for
the period from 12 days before the primary to 12 days before the general
election or general city election, and (3) the 15th day of the second
month after the general election or general city election for the
remaining period up to 30 days after the election \[63\].

If the candidate involved is elected from one county, the reports must
be filed with the county clerk of that county. If the candidate is
elected from one city, the reports must be filed with the city clerk of
that city. For all other candi­dates, the reports must be filed with the
Secretary of State \[64\].

The required information concerning contributions and expenditures must
be reported on forms designed and provided by the Secretary of State.
Each report must be signed under penalty of perjury by the person or
entity required to re­port. Reports may be made by certified mail, and if
certified mail is used, the date of mailing is deemed to be the date of
filing \[65\].

A county or city clerk who receives a required report must file a copy
of the report with the Secretary of State within 10 working days after
receipt of the re­port \[66\].

**2. Reports of Contributions**. The report must list each of the
contributions received during the reporting period. The name and address
of the contributor and the date on which the contribution was received
must be included on the list for each contribution in excess of \$100
and contributions for which a contributor has made cumulatively in
excess of \$100 since the beginning of the first reporting period
\[67\].

**3. Reports of Expenditures**. A report of expenditures must identify
(1) individual expenditures made on behalf of a candidate or group of
candidates in excess of \$100, (2) expenditures made cumulatively in
excess of \$100 since the beginning of the first reporting period, and
(3) not only expenditures made with­in the state, but also reportable
expenditures made elsewhere for use within the state, including
out‑of‑state expenditures for printing, television and radio
broadcasting, and other production of the media \[68\]. If an
expenditure is made on behalf of a group of candidates, the reports of
expenditures are to be made to the filing officer appropriate for each
candidate and itemized by candidate \[69\].

**G. Reports by a Person or Group Who Makes Question‑Related
Ex­penditures**

**1. General Provisions**. A person or group of persons organized
formally or informally who advocates the passage or defeat of a question
or group of questions on the ballot at any election, including a recall
or special election, is required to list (1)

contributions received and (2) individual and cumulative expenditures in
excess of \$100 made on behalf or against a question or group of
questions \[70\].

A \"person\" is (1) a natural person, (2) any form of business or social
organiza­tion, (3) any nongovernmental legal entity, including without
limitation a corpo­ration, partnership, association, trust,
unincorporated organization, labor union, committee for political
action, political party, or committee sponsored by a polit­ical party, or
(4) a government, governmental agency, or political subdivision of a
government \[71\].

The reports of contributions and expenditures must be filed not later
than (1) 7 days before a primary election or primary city election for
the period from 30 days after the last election for the office involved
to 12 days before the primary, (2) 7 days before a general election or
general city election for the period from 12 days before the primary to
12 days before the general election or general city election, and (3)
the 15th day of the second month after a general election or general
city election for the remaining period up to 30 days after the election
\[72\].

If the question is submitted to the voters of only one county, the
reports must be filed with the county clerk of that county. If the
question is submitted to the voters of only one city, the reports must
be filed with the city clerk of that city. For all other questions, the
reports must be filed with the Secretary of State. If the person or
group of persons is advocating the passage or defeat of a group of
questions, the reports of contributions are to be made to the filing
officer appro­priate for each question and itemized by question; if an
expenditure is made on behalf of a group of questions, the reports of
expenditures are to made to the fil­ing officer appropriate for each
question and itemized by question \[73\].

The required information concerning contributions and expenditures must
be reported on forms designed and provided by the Secretary of State.
Each report must be signed under penalty of perjury by the person or a
representative of the group required to report. Reports may be made by
certified mail, and if certi­fied mail is used, the date of mailing is
deemed to be the date of filing \[74\].

A county or city clerk who receives a required reported must file a copy
of the report with the Secretary of State within 10 working days after
receipt of the report \[75\].

**2. Reports of Contributions**. A report of contributions must list
each of the contributions received during the reporting period. The
report must list each of the contributions received during the reporting
period. The name and address of the contributor and the date on which
the contribution was received must be included on the list for each
contribution in excess of \$100 and contributions for which a
contributor has made cumulatively in excess of \$100 since the beginning
of the first reporting period \[76\].

**3. Reports of Expenditures**. A report of expenditures must list each
expenditure made on behalf or against a question or group of ques­tions
in excess of \$100; in addition, the report must include (1)
identification of expenditures made cumulatively in excess of \$100
since the beginning of the first reporting period and (2) not only
expenditures made within the state, but also reportable expenditures
made elsewhere for use within the state, including out‑of‑state
expenditures for printing, television and radio broadcasting, and other
production of the media \[77\].

**H. Registration of a Committee for the Recall of a Public Officer and
Appointment of a Resident Agent**. A committee for the recall of a
public of­ficer is required to register with the Secretary of State. The
registration form is provided by the Secretary of State and includes (1)
the name of the committee, (2) the purpose for which the committee was
organized, (3) the names and ad­dresses of the committee officers, and
(4) if a committee is organized and locat­ed outside Nevada, the name and
address of its resident agent \[78\]. Each com­mittee organized and
located outside the state is required to appoint and keep in the state a
resident agent, who must be a natural person residing in the state
\[79\].

**I. Registration of a Committee for Political Action and Appointment of
a Resident Agent**. A committee for political action is required to
register with the Secretary of State before it engages in any activities
in Nevada. The registration form is provided by the Secretary of State
and includes (1) the name of the committee, (2) the purpose for which
the committee was organized, (3) the names and addresses of the
committee officers, (4) if it is affiliated with any other organization,
the name and address of each organization, (5) the name and address of
its resident agent, and (6) any other information deemed necessary by
the Secretary of State. An amended registration form must be filed
within 30 days after any change in the registration information \[80\].
Each committee is required to appoint and keep in the state a resident
agent, who must be a natural person residing in the state \[81\].

A \"committee for political action\" is an organization that receives
contribu­tions, makes contributions to candidates or other persons, or
makes expenditures designed to affect the outcome of any primary,
general, or special election or question on the ballot. The term does
not include a committee for the recall of a public officer \[82\].

**J. Candidate Financial Disclosure Statement**. A candidate for public
office is required to file a statement of financial disclosure with the
State Commission on Ethics and the officer with whom declarations of
candidacy for the office sought are filed. A candidate for nomination,
election, or reelection must file the statement no later than the 10th
day after the last day to qualify as a candidate for the office.
Statements of financial disclosure must be made in the form prescribed
by the State Commission on Ethics and contain the personal and financial
information prescribed by statute \[83\]. A \"candidate\" is a person
who files a declaration of candidacy, files an accept­ance of candidacy,
or whose name appears on an official ballot at any election \[84\].

A candidate for judicial office or judicial officer is required to file
a statement of financial disclosure pursuant to the Code of Judicial
Conduct. The statement is to include, without limitation, the
information for a calendar year required to be provided in a statement
submitted by a candidate for public office, as well as the information
prescribed by the Code of Judicial Conduct. Judicial-candidate
disclosure statements are due in the Administrative Office of the Courts
no later than the 10^th^ day after the last day to qualify as a
candidate for the office. Judges file annually by march 31^st^ unless
required to file earlier as a candidate for judicial office \[85\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Disposition of Unspent Contributions**. Candidates and
non‑candidate public officers are required to dispose of unspent
contributions, including inter­est and other income earned on the
contributions, by one of the statutorily au­thorized methods \[86\].

**1. Candidate**. A candidate for a state, district, county, city, or
township of­fice at a primary, general, primary city, general city, or
special election, whether elected to the office or not, who received
contributions that were not spent or committed for expenditure before
the election may dispose of the unspent con­tributions as follows:

\(1\) Return the unspent money to contributors.

\(2\) Contribute the money to (a) the campaigns of other candidates for
public office or for the payment of debts related to their campaigns,
(b) a political par­ty, (c) a person or group of persons advocating the
passage or defeat of a ques­tion or group of questions on the ballot, or
(d) any combination of such persons or groups.

\(3\) Donate the money to any tax‑exempt nonprofit entity.

\(4\) In the case of an *elected* candidate, use the money in the
candidate\'s next election or for the payment of other expenses related
to public office or the can­didate\'s campaign.

\(5\) Donate not more than \$500 of the money to the Nevada silver
haired legislative forum.

\(6\) Dispose of the money in any combination of the methods authorized
in (1) through (4) \[87\].

A candidate who is not elected is required to dispose of the unspent
contribu­tions by an authorized method not later than the 15th day of the
second month after the candidate\'s defeat. There is no deadline for the
disposition of unspent contributions by candidates who are elected
\[88\].

Every candidate for a state, district, county, city, or township office
who is de­feated at a primary or primary city election and received a
contribution from a person in excess of \$5,000 must return any money in
excess of \$5,000 to the contributor not later than the 15th day after
the candidate\'s defeat \[89\].

**2. Non‑Candidate Officeholder**. A public officer who (1) holds a
state, district, county, city, or township office (2) does not run for
reelection and is not a candidate for any other office, and (3) has
contributions that are not spent or committed for expenditure remaining
from a previous election is required to dispose of the contributions in
the same manner as authorized for an unelected candidate no later than
the 15th day of the second month after the expiration of the public
officer\'s term of office \[90\].

**3. Winning Candidate for Judicial Office.** A candidate who is elected
to judicial of­fice and who received contributions that were not spent or
committed for expendi­ture as a result of the campaign may dispose of the
money by (1) returning the unspent money to contributors, (2) donating
the money to the general fund of the state, county, or city relating to
the judge's office, (3) using the money in the judge's next election or
for the payment of other expenses related to the judge's public office
or the judge's campaigns, (4) donating the money to any tax-exempt
non‑profit entity, including a non-profit state or local bar
association, the Administrative Office of the Courts, or any foundation
entrusted with the distribution of Interest on Law­yer\'s Trust Accounts
funds, or (5) disposing of the money in any combination of the
authorized methods. Any other disposition of the money is prohibited.
Unless he or she is a candidate for other judicial office, a judge who
does not run for reelection must dispose of unspent contributions in an
authorized manner not later than the 15^th^ day of the second month
after the expiration of the judge's term of office \[91\].

**B. Reports of Unspent Contributions**. Elected and unelected
candidates for state, district, county, city, or township offices are
required to file reports as to the amount and disposition of unspent
contribu­tions. The reports are to be submitted on a form designed and
provided by the Secretary of State and signed by the unelected candidate
or elected public officer under penalty of perjury \[92\].

**1. Unelected Candidate**. A candidate who is not elected files an
unspent‑contributions report with the Secretary of State not later than
the 15th day of the second month after the candidate\'s defeat. The
report must state the amount of contributions that were received for the
campaign but not spent and the disposition of the un­spent contributions
\[93\].

**2. Elected Candidate**. A public officer who is elected files the
unspent-contributions report with the officer with whom the candidate
files a declaration of candidacy or acceptance of candidacy. A candidate
may mail the report to the filing officer by certified mail, and if
certified mail is used, the date of mailing is deemed to be the date of
filing. A county clerk who receives a copy of a report from candidate
for legislative or judicial office is to file a copy with the secretary
of state. The reports are to be filed in accordance with the following
schedule:

\(1\) Not later than the 15th day of the second month after the public
officer\'s election. The initial report must state the amount of
contributions that were re­ceived but not spent and the amount of any
unspent contributions that were dis­posed of as statutorily authorized
(*see* Section V.A) as of the last day of the first month after the
election.

\(2\) Not later than January 15th of each year of the public officer\'s
term of of­fice, beginning the year after the initial
unspent‑contributions report was filed. The annual reports are to state
the amount of any unspent contributions dis­posed as statutorily
authorized (*see* Section V.A) during the period from the last date
covered by the public officer's last report through December 31^st^ of
the immediately preceding year and the manner in which they were
disposed of.

\(3\) Not later than the 15th day of the second month after the public
officer no longer holds the office. The final report is to state the
amount and disposi­tion of any remaining unspent contributions \[94\].

**VI. OFFENSES AND PENALTIES**

**A. Enforcement of the Campaign Practices Act**. If it appears that the
provisions of the Campaign Practices Act have been violated, the
Secretary of State may (1) conduct an investigation concerning the
alleged violation and cause the appropriate proceedings to be instituted
and prosecuted in the first ju­dicial district court or (2) refer the
alleged violation to the Attorney General. The Attorney General must
investigate the alleged violation and institute and prosecute the
appropriate proceedings in the first judicial district court without
delay \[95\].

Any person who believes that a provision of the Campaign Practices Act
has been violated may notify the Secretary of State in of the alleged
violation. The notice must be in writing, signed by the person alleging
the violation, and in­clude any information in support of the alleged
violation \[96\].

If the Secretary of State receives information that a required report or
form for registration has not been filed pursuant to the applicable
provisions of the Campaign Practices Act, the Secretary may, after
giving notice to the person or entity, cause the appro­priate proceedings
to be instituted in the first judicial district court \[97\].

A person or entity that violates an applicable provision of the Campaign
Prac­tices Law is subject to a civil penalty of not more than \$5,000 for
each violation, as well as court costs and attorney\'s fees. If a civil
penalty is imposed because a person or entity has reported its
contributions, expenses, or expenditures after the due date, the civil
penalty is (1) \$25 for each day the report is late if the re­port is not
more than 7 days late, (2) \$50 for each day the report is late if the
report is 8 to 15 days late, and (3) \$100 for each day the report is
late if the re­port is 16 or more days late. The Secretary of State may
waive a civil penalty for good cause shown. The civil penalty must be
recovered in a civil ac­tion brought by the Secretary of State in the
name of the state in the first judicial district court \[98\].

**B. Violation of Contribution Restrictions**. A person that makes and a
candidate who accepts contributions that exceed the maximum contribution
amount permitted by law is guilty of a category E felony \[99\].

**C. Violation of Restrictions on the Disposition of Contributions.** A
candidate or public officer who willfully violates the provisions
concerning the personal use of contributions and the disposition of
unspent contributions is guilty of a misdemeanor. In addition to any
other penalty that may be imposed, the court may order the violating
candidate or public officer to dispose of any remaining contributions in
the authorized manner \[100\].

**D. Violation of Financial Disclosure Requirements**. A candidate who
fails to file a statement of financial disclosure in a timely manner is
subject to a civil penalty based on the lateness of the filing and
payment of court costs and attorney's fees; however, the civil penalty
may be waived or reduced for good cause shown \[101\].

**E. Violation of Prohibition Against Soliciting Money for Organization
With Name of Political Party Without Party Approval or Charter.** The
so­licitation of money for an organization whose name incorporates the
name of a political party without the written approval of or a charter
from the appropriate party central or executive committee is a gross
misdemeanor. The violator is also subject to a civil penalty of not more
than \$20,000 for each violation \[99\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is authorized to adopt
regula­tions, prescribe forms, and take such other actions as are
necessary for imple­menting and administering the Campaign Practices Act
\[103\]. The Secretary of State is responsible for designing and
providing the forms for reporting campaign contributions and expenses
\[104\]. The Secretary of State is the proper officer with whom the
following reports and forms are filed: (1) reports of campaign
contributions and expenses by candidates who also file a declaration of
candida­cy or acceptance of candidacy with the Secretary of State, (2)
reports of contri­butions and expenditures by persons who make candidate‑
or question‑related independent expenditures if the candidate or
question involved is voted on in than one county, (3) reports of
contributions and expenditures by committees for the recall of a public
officer, (4) registration forms for committees for politi­cal action and
committees for the recall of a public officer, (5) reports of un­spent
contributions by unelected candidates and elected public officers, and
(6) pre‑election‑year reports of contributions and expenditures by
candidates receiv­ing contributions of more than \$10,000 \[105\].

The Secretary of State is required to furnish candidates and entities
with neces­sary forms requested and copies of applicable regulations
adopted by the Secretary \[106\].

If it appears that the provisions of the Campaign Practices Act have
been vio­lated, the Secretary may either investigate the alleged
violation and cause the appropriate proceedings to be instituted and
prosecuted in the first judicial dis­trict court or refer the alleged
violation to the Attorney General \[107\].

The Secretary is also required to prepare and make available for public
inspec­tion within 30 days after receipt of the required reports of
contributions and ex­penses/expenditures a compilation of:

\(1\) Total campaign contributions, contributions that are in excess of
\$100, and total campaign expenses of each of the candidates for
legislative and judicial offices from whom reports of those
contributions and expenses are required.

\(2\) Contributions made to a committee for the recall of a public
officer in ex­cess of \$100.

\(3\) Expenditures exceeding \$100 made by (a) a person on behalf of a
can­didate other than himself or herself, (b) a person or group on behalf
of or against a question or group of questions, (c) a group of persons
advocating the election or defeat of a candidate, and (d) a committee
for the recall of a public officer.

\(4\) Contributions in excess of \$100 made to (a) a person who is not
under the direction or control of a candidate or group of candidates or
of any person in­volved in the campaign of the candidate or group who
makes an expenditure on behalf of the candidate or group that is not
solicited or approved by the can­didate or group, (b) a person or group
of persons organized formally or infor­mally that advocates the passage
or defeat of a question or group of questions on the ballot, and (c) a
committee for political action, political party, or commit­tee sponsored
by a political party that makes an expenditure on behalf of a can­didate
or group of candidates \[108\].

**B. County Clerk or City Clerk.** The county clerk or city clerk is the
prop­er officer with whom reports of campaign contributions and expenses
are filed by candidates who also file a declaration of candidacy or
acceptance of candida­cy with the clerk \[109\].

A copy of each report of campaign contributions and expenses filed with
a county clerk by a candidate for legislative or judicial office, except
the office of justice of the peace or municipal judge, must be filed
with the Secretary of State by the clerk within 10 working days after
receipt \[110\].

Reports of contributions and expenditures by persons who make candidate‑
or question‑related independent expenditures are filed with the
appropriate county clerk if the candidate or question involved is voted
on in a single county and with the appropriate city clerk if the
candidate or question is voted on in a single city. The clerk is
required to file a copy of each report with the Secretary of State
within working 10 days after receipt \[111\].

The county clerk and city clerk are required to furnish candidates and
entities with necessary forms requested and copies of applicable
regulations adopted by the Secretary of State \[112\].

The city clerk is responsible for designing the forms for reports of
campaign contributions and expenses that candidates for city office are
required to file. The forms must be submitted to the Secretary of State
for approval and may not be used until approved \[113\].

If it appears that the provisions of the Campaign Practices Act, other
than the required candidate reporting of contributions and expenses, the
county clerk or city clerk, as appropriate, must report the alleged
violation to the appropriate district attorney for prosecution \[114\].

**C. Attorney General**. After an alleged violation of the Nevada
Campaign Practices Act has been referred by the Secretary of State, the
Attorney General is responsible for investigating the alleged violation
and instituting and prosecuting appropriate proceedings in the first
judicial district court without delay \[115\].

**References**

1.  Nevada Revised Statutes Annotated (hereafter NRSA) § 294A.007. *See
    also* Secretary of State Interpretation 95‑2 (February 7, 1995)
    concerning the costs of fundraising events.

2.  NRSA § 294A.100(1), (2); Nev. Const. art. 2, § 10

3.  NRSA § 294A.009

4.  NRSA § 294A.190

5.  NRSA § 294A.130(1)

6.  NRSA § 294A.130(2)

7.  NRSA, Court Rules Annotated, Neva­da Supreme Court Rules, Code of
    Ju­dicial Conduct (hereafter Code of Ju­dicial Conduct), \"Application
    of the Code of Judicial Conduct\" and Canon 5

8.  Code of Judicial Conduct, \"Application of the Code of Judicial
    Conduct\" and Canon 5

9.  Code of Judicial Conduct, Canon 5

10. Code of Judicial Conduct, Canon 5

11. Code of Judicial Conduct, Canon 5

12. Code of Judicial Conduct, \"Terminol­ogy\"

13. NRSA § 294A.170(1)

14. NRSA §§ 294A.300(1); 294A.310(1)

15. NRSA § 294A.300(1)

16. NRSA § 294A.310(1)‑(3)

17. NRSA § 294A.300(1)

18. NRSA § 293.820(1), (2), (4)

19. NRSA § 294A.112(1)

20. NRSA § 294A.112(2)

21. NRSA §294A.004

22. NRSA § 294A.365

23. NRSA § 294A.160(1)

24. NRSA § 294A.370

25. NRSA § 294A.120(1)‑(3)

26. NRSA §§ 294A.120(1); 294A.360(1)‑(3)

27. NRSA § 294A.350

28. NRSA § 294A.005

29. NRSA § 294A.009

30. NRSA §§ 294A.120(6); 294A.360(3)

31. NRSA §§ 294A.120(4); 293.185

32. NRSA § 294A.120(5)

33. NRSA § 294A.120(1)

34. Secretary of State, Nevada Election Campaign Practices Act‑‑General
    In­structions (September 1985) (here­after General Instructions) 2

35. NRSA § 294A.120(3)

36. NRSA § 294A.120(2)

37. NRSA § 294A.360(1)

38. 38.NRSA § 294A.360(2)

39. NRSA § 294A.200(1)‑(3)

40. NRSA §§ 294A.200(1); 294A.360(1)‑(3)

41. General Instructions 2

42. NRSA § 294A.350

43. NRSA §§ 294A.200(4); 293.185

44. NRSA § 294A.200(5)

45. NRSA § 294A.200(1)

46. General Instructions 2

47. NRSA § 294A.200(3)

48. NRSA § 294A.200(2)

49. NRSA § 294A.360(1), (2)

50\. NRSA §§ 294A.362(1)-(3); 294A.120; 294A.125; 294A.200

51\. NRSA § 294A.125(1), (3)

52\. NRSA § 294A.125(2), (4), (5)

53\. NRSA §§ 294A.270(1)‑(5); 294A.280(1)‑(5)

54\. NRSA § 294A.006

55\. NRSA § 294A.270(1)‑(3), (5)

56\. NRSA § 294A.280(1)‑(4)

57\. NRSA §§ 294A.270(1)‑(3); 294A.280(1)‑(3)

58\. NRSA §§ 294A.270(4); 294A.280(5)

59\. NRSA §§ 294A.140(1); 294A.210(1). *See also* Secretary of State
Interpreta­tion 95‑4 (August 31, 1995).

60\. NRSA § 294A.009

61\. NRSA § 294A.0055

62\. NRSA § 294A.380(2)

63\. NRSA §§ 294A.140(1); 294A.210(1)

64\. NRSA §§ 294A.140(3); 294A.210(3)

65\. NRSA §§ 294A.140(1)‑(3); 294A.210(1), (3)

66\. NRSA §§ 294A.140(4); 294A.210(4)

67\. NRSA § 294A.140(1), (2)

68\. NRSA § 294A.210(1), (2)

69\. NRSA § 294A.210(3)

70\. NRSA §§ 294A.150(1); 294A.220(1)

71\. NRSA § 294A.009

72\. NRSA §§ 294A.150(1); 294A.220(1)

73\. NRSA §§ 294A.150(3); 294A.220(3)

74\. NRSA §§ 294A.150(1)‑(3); 294A.220(1), (3)

75\. NRSA §§ 294A.150(4); 294A.220(4)

76\. NRSA § 294A.150(1), (2)

77\. NRSA § 294A.220(1), (2)

78\. NRSA § 294A.250

79\. NRSA § 294A.260

80\. NRSA § 294A.230

81\. NRSA § 294A.240

82\. NRSA § 294A.0055

83\. NRSA §§ 281.561; 281.571(1)

84\. NRSA § 281.4323

85\. NRSA § 281.561; Code of Judicial Conduct, Canon 4(I)

86\. NRSA § 294A.160(2), (3), (5), (6), (7)

87\. NRSA § 294A.160(2), (3), (6)

88\. NRSA § 294A.160(3)

89\. NRSA § 294A.160(4)

90\. NRSA § 294A.160(5)

91\. Code of Judicial Conduct, Canon 5

92\. NRSA § 294A.180(1)‑(3)

93\. NRSA § 294A.180(1)

94\. NRSA §§ 294A.180(2); 294A.160(2), (6)

95\. NRSA § 294A.410(1)

96\. NRSA § 294A.410(2)

97\. NRSA § 294A.420(1)

98\. NRSA § 294A.420(2)-(4)

99\. NRSA §§ 294A.100(3); 294A.009

100\. NRSA § 294A.160(6)

101\. NRSA § 281.581 (1), (2)

102\. NRSA §§ 293.820(3); 293.840

103\. NRSA § 294A.380. *See* Nevada Ad­ministrative Code ch. 294A for
regula­tions concerning campaign practices adopted by the Secretary of
State.

104\. NRSA §§ 294A.120; 294A.125(2); 294A.200; 294A.140(1), (2);
294A.150(1), (2); 294A.210(1); 294A.220(1): 294A.362(1)-(3)

105\. NRSA §§ 294A.120(4); 294A.125(4); 294A.140(3); 294A.180(1), (2);
294A.200(4); 294A.210(3); 294A.230(1), (3); 294A.250; 294A.270(4);
294A.280(5);

106\. NRSA §§ 281.575; 294A.230; 294A.250; 294A.270(1); 294A.280(1);
294A.390

107\. NRSA § 294A.410(1)

108\. NRSA § 294A.400

109\. NRSA §§ 294A.120(4); 294A.200(4)

110\. NRSA §§ 294A.120(5); 294A.200(5)

111\. NRSA §§ 294A.140(3), (4); 294A.150(3), (4); 294A.210(3), (4);
294A.220(3), (4)

112\. NRSA §§ 281.575; 294A.390

113\. NRSA §§ 294A.360(3); 294A.362(1)-(3)

114\. NRSA § 294A.410(2)

115\. NRSA § 294A.410(1)

**CAMPAIGN FINANCE LAW**

**IN NEW HAMPSHIRE**

**I. INTRODUCTION**

The New Hampshire law on political contributions and expenditures
applies to all state primary, general, and special elections, but not
presidential preference primaries. Except for the political advertising
restrictions, the law does not ap­ply to city, town, school district, and
village district elections.

The maximum limit for contributions that may be made by any person,
including a corporation, to a candidate (except by the candidate), a
political committee, or a political party is \$5,000 per primary or
general election. Candidates may voluntarily agree to limit expenditures
made by them or on their behalf in accordance with a sched­ule of maximum
expenditure amounts. A labor union or partnership is prohibited by
statute from making political contributions.

A candidate for state executive, state legislative, or county office
whose ex­penditures exceed \$500 and a political committee whose receipts
or expenditures in support of a candidate, ballot measure, or political
party exceed \$500 must file periodic statements of receipts and
expenditures with the Secretary of State. A political committee is
required to file a statement of independent expenditures with the
Secretary of State each time independent expenditures exceeding \$500
are made. All non‑party political committees are required to register
with the Secretary of State not later than 24 hours after receiving any
contribution in ex­cess of \$500 or before making any expenditure in
excess of \$500.

The Secretary of State is the state officer responsible for
administering the election laws on political contributions and
expenditures, and the Attorney General is responsible for enforcement of
those laws.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Receipt and Contribution.** A \"receipt\" that must
be re­ported in a statement of receipts and expenditures is not defined
in the provi­sions on political contributions and expenditures, but
presumably is synonymous with contribution. A \"contribution\" is a
payment, gift, subscription, assessment, contract, payment for services,
dues advance, forbearance, or loan to a can­didate or political committee
made for the purpose of influencing the nomina­tion or election of any
candidate. The term \"contribution\" includes the use of any thing of
value, but does not include the services of volunteers who receive no
pay or the use of personal resources by a candidate on behalf of his or
her candidacy \[1\].

**B. Contributions From a Corporation, Partnership, or Labor Union.** By
statute, a contribution, whether tangible or intangible, may not be made
to or in behalf of a candidate, political committee, or political party,
directly or indirectly, for the purpose of promoting the success or
defeat of a candidate or political party at any state primary or general
election by (1) a partnership or partner acting in behalf of the
partnership; (2) a labor union or group of labor unions or an officer,
director, executive, agent, or employee act­ing in behalf of the union or
group of unions; or (3) an organization representing or affiliated with
a union or group of unions or an officer, director, executive, agent, or
employee acting in behalf of the organization \[2\].

The prohibition on contributions by a labor union and its officers,
directors, executives, agents, and employees has been interpreted to
permit the establish­ment and participation in state elections by
political committees funded and con­trolled by the individual members of
a union \[3\].

**C. Contribution Limits and Restrictions.** No person (including a
corporation) is permitted to make a contribution, whether tangible or
intangible, to or on behalf of a candidate, po­litical committee, or
political party, directly or indirectly, for the purpose of promoting
the success or defeat of a candidate or political party at a state
prim­ary or general election if the contribution:

\(1\) Is in excess of \$5,000 in value, except for contributions made in
behalf of a candidate\'s own candidacy.

\(2\) Is in excess of \$1,000 in value and is made by a person or
political com­mittee to a candidate or political committee working on
behalf of a candidate who does not voluntarily agree to limit his or her
campaign expenditures and those expenditures made on his or her behalf
(*see* Section III.G, *infra*).

\(3\) Is made anonymously or under a name not that of the donor, is made
in the guise of a loan, or is in any other manner concealed.

\(4\) Is made without the knowledge and written consent of or is not
made to a candidate or a candidate\'s fiscal agent or to a political
committee or its treasurer \[4\].

**D. Receipt of Contributions by a Non‑Party Political Committee
Or­ganized** to Support a Candidate. A political committee, other than a
political committee of a political party, organized to support a
candidate may not receive contributions or make expenditures before the
written consent of the candidate or the candidate\'s fiscal agent has
been secured \[5\].

**E. Solicitation of Contributions From a Classified State Employee.**
No person may knowingly coerce or attempt to coerce any classified state
employee to give or withhold a contribution to any political campaign or
political commit­tee or to any candidate, party, or cause for the purpose
of promoting the success or defeat of any candidate or political party
\[6\].

**F. Social Activities.** Outings, dinners, and social affairs conducted
by polit­ical committees, clubs, and others at which each person
attending pays a sum approximating closely the cost of his or her own
food, sustenance, or entertain­ment are not, as to the payments and
disbursements therefrom, deemed to be reportable or limited receipts or
expenditures \[7\].

**G. Contributions by Insurers.** An insurer doing business in the state
may not, directly or indirectly, pay, use, offer, or consent or agree to
pay or use any money or property (1) for or in aid of any political
party, committee, or organi­zation, (2) for or in aid of any corporation,
joint stock, or other association or­ganized or maintained for political
purposes, (3) for or in aid of any candidate for political office or for
nomination for political office, (4) for any political pur­pose whatever,
or (5) for the reimbursement or indemnification of any person for money
or property so used. A violation of the prohibition against insurer
political contributions is both a crime and an unfair method of
competition and unfair and deceptive act and practice in the business of
insurance \[8\].

**H. Contributions by Judges.** A judge, including magistrate, court
commissioner, special master, or referee but no a judge pro tempore, may
not solicit funds for or pay an assessment or make a contribution to a
political organization or candidate \[9\].

**I. Coercion of Contributions by Business Organizations From Its
Em­ployees or Contractors, Subcontractors, or Their Employees.** Business
or­ganizations and enterprises representing or affiliated with one or
business organ­izations, including officers, directors, executives,
agents, and employees acting in behalf of a business organization or
enterprise, may not knowingly coerce or at­tempt to coerce any employee
of the business organization or enterprise or any contractor or
subcontractor doing business with the business organization or employee
of the contractor or subcontractor to make a contribution to any
polit­ical campaign, political committee, candidate, party, or cause for
the purpose of promoting the success or defeat of any candidate or
political party by any of the following means:

\(1\) The denial or deprivation or the threat of the denial or
deprivation of any employment, position, or work in or for the business
organization or enterprise.

\(2\) The denial or deprivation or threat of the denial or deprivation
of the loss of any compensation, payment, or benefit from such
employment, position, or work.

\(3\) The discharge, promotion, degradation, or change in any manner in
the official rank o r compensation of any employee or the threat to do
so for giving or withholding a contribution \[10\].

A \"business organization\" is any enterprise, whether corporation,
partnership, limited liability company, proprietorship, association,
business trust, real estate trust, or other form of organization,
organized for gain or profit. The term in­cludes any enterprise that is
expressly made exempt from income taxation under the Internal Revenue
Code, but does not include a \"political committee\" or the \"political
committee of a political party\" as defined in the law on political
expen­ditures and contributions \[11\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is a disbursement
of mon­ey or thing of value or the making of a legally binding commitment
to make such a disbursement in the future for the purpose of influencing
the nomination for election or election of any candidate. It does not
include a candidate\'s filing fee or expenses for personal travel and
subsistence \[12\].

**B. Non‑Party Political Committee Expenditures.** No expenditure or use
of a contribution, tangible or intangible, may be made by a political
committee, other than a political committee of a political party, for
the purpose of promot­ing the success or defeat of any political party,
measure, or candidate unless (1) the committee has filed a registration
statement with the Secretary of State after receiving any contribution
of more than \$500 and before making any expendi­ture in excess of \$500
and (2) if the political committee has been organized to support a
candidate in an election, the committee has secured and filed the
writ­ten consent of the candidate or the candidate\'s fiscal agent with
the Secretary of State \[13\]. No member of a political committee
required to register may act, di­rectly or indirectly, on behalf of the
committee to promote the success or defeat of a political party,
measure, or candidate until the registration statement is filed \[14\].

**C. Making or Permitting Unlawful Expenditures.** A member of a
politi­cal committee may not make, permit, consent to, or aid, abet, or
conspire to make or permit any unlawful expenditure or act by the
committee, in whole or in part \[15\].

**D. Reporting and Approval of Candidate‑Related Expenditures.** All
sums expended or contracted for payment in a primary or general election
cam­paign in behalf of a candidate must be reported by the candidate, the
candidate\'s political committee, or both to the candidate\'s fiscal
agent, and the candidate or the candidate\'s fiscal agent must make or
approve all disbursements in behalf of the candidate subsequent to the
designation of the fiscal agent \[16\].

**E. Approval of Political Advertising for a Candidate.** A person or
cor­poration publishing a newspaper or periodical, selling billboard
space, or operat­ing a radio or television station or public address
system may not publish, print, or broadcast any political advertising by
or in behalf of a candidate in an elec­tion unless it has been signed by
or authorized in writing by the candidate or the candidate\'s fiscal
agent \[17\].

**F. Expenditures for Political Advertising.** No expenditure or use of
a contribution, tangible or intangible, may be made for the purpose of
promoting the success or defeat of a political party, measure, or
candidate by any person, candidate, or political committee for political
advertising in a newspaper or pe­riodical, on a radio or television
broadcast, or on a billboard if at a rate more or less than the
applicable rates required to be filed with the Secretary of State
\[18\].

**G. Voluntary Limitations on Expenditures**. A candidate for an office
covered by the political contributions and expenditures law may
voluntarily agree to limit his or her campaign expenditures and those of
the candidate\'s committee or committees, political party, and immediate
family on the candida­te\'s behalf by filing an affidavit with the
Secretary of State \[19\]. The affidavit is to be filed within 3 days
after the date on which the candidate files a declaration of candidacy
or declaration of intent or is declared a write‑in winner of a prim­ary
election \[20\].

The affidavit must state that the candidate (1) knows the voluntary
expendi­ture limitation amounts, (2) is voluntarily agreeing to limit his
or her expen­ditures and those made on the candidate\'s behalf by the
candidate\'s committee or committees, political party, and immediate
family to the amount set by law and (3) does not condone and will not
solicit any independent expenditures made on behalf of his or her
candidacy \[21\].

Total expenditures by a candidate who voluntarily agrees to limit
campaign expenditures may not exceed the following amounts in each
election (state primary election and state general election): (1) for
governor‑‑\$625,000; (2) for U.S. senator‑‑\$625,000; (3) for U.S.
representative‑‑\$350,000; (4) for executive council‑‑\$50,000; (5) for
state senate‑‑\$20,000; and (6) for representative to the general court
and all county offices‑‑50¢ per registered voter in the district or
county (based on the latest figures filed with the Secretary of State)
\[22\].

\"Total expenditures\" means the sum of all expenditures made to
influence either a state primary or a state general election by a
candidate, the candidate\'s committee or committees on the candidate\'s
behalf, the candidate\'s political par­ty, and the candidate\'s immediate
family. Each campaign expenditure limitation amount applies solely and
independently to either the state primary election or the state general
election \[23\].

**IV. REPORTING REQUIREMENTS**

**A. Coverage of Political Contributions and Expenditures Law**. The
po­litical contributions and expenditures law (Chapter 664), including
the reporting requirements, applies to all state primary, general, and
special elections. The law does not apply to (1) presidential preference
primaries, (2) city, town, school district, and village district
elections (except the political advertising pro­visions), and (3)
congressional office elections (except the provisions relating to
voluntary expenditure limitations and excess campaign contributions)
\[24\].

**B. Registration of a Non‑Party Political Committee.** A political
commit­tee, except the political committee of a political party, must
register with the Secretary of State not later than 24 hours after
receiving any contribution in ex­cess of \$500 or before making any
expenditure in excess of \$500. No member of a political committee that
is required to register, except a member of a politi­cal committee of a
political party, may do any act, directly or indirectly, on be­half of
the committee to promote the success or defeat of a political party, a
measure, or a candidate until a registration statement is filed \[25\].

A political committee must file the following information with the
Secretary of State:

\(1\) Statement of the purpose of the committee.

\(2\) Statement of the name, address, occupation, and principal place of
busi­ness of its chairperson, treasurer, and other officers.

\(3\) Indication whether the committee will be make independent
expenditures in support of or in opposition to any candidate and the
full name of each can­didate supported or opposed \[26\].

The registration for a political committee other than the political
committee of a candidate must be accompanied by a fee of \$50 \[27\].

A political committee\'s registration is valid from the date of
registration until 10 days after the primary or general election,
whichever is appropriate, unless terminated sooner in writing by the
chairman and treasurer of the committee; however, a committee that has a
continuing obligation to report receipts and ex­penditures must continue
to exist for the purpose of making the reports \[28\].

**C. Candidate Consent to Political Committee.** A political committee
or­ganized to support a candidate in any election must secure the written
consent of the candidate or the candidate\'s fiscal agent before it
receives contributions or makes expenditures. The written consent must
be filed with the Secretary of State when the registration statement for
the committee is filed \[29\].

**D. Designation of Fiscal Agent by a Candidate.** As part of the
declara­tion of candidacy filed by a candidate for governor, councilor,
state senator, or county officer and other primary candidacies, the
candidate is required to desig­nate a person, who may be the candidate
himself or herself, as the candidate\'s financial agent for the purpose
of the primary and general election campaign. If the candidacy for the
office is established by a primary petition or nomination petitions, the
name of the fiscal agent for the candidate must be filed with the
petitions. A candidate nominated by write‑in vote at a primary must file
with the Secretary of State the name of his or her fiscal agent prior to
making any campaign expenditures \[30\].

**E. Statements of Receipts and Expenditures**

**1. General Provisions.** A candidate for state executive, state
legislative, or county office whose expenditures exceed \$500 and a
political committee whose receipts or expenditures in support of a
candidate, measure (i.e., a consti­tutional amendment or question), or
political party exceed \$500 must file period­ic itemized statements of
receipts and expenditures with the Secretary of State \[31\].

Statements must be filed with the Secretary of State both before and
after an election, which includes a political party primary (except a
presidential prefer­ence delegate primary), a general biennial election,
and a special election \[32\]. If receipts or expenditures in the case
of a political committee or expenditures in the case of a candidate do
not exceed \$500 for a reporting period, a statement need not be filed;
however, when accumulated receipts or expenditures, as ap­propriate, for
an election exceed \$500, a statement must be filed at the next
re­porting deadline \[33\].

The statements may be filed by facsimile transmission; however, a
statement transmitted electronically or telephonically by a facsimile
device must also be filed by a political committee or by a candidate or
on the candidate\'s behalf not later than the last day of each filing
period \[34\].

The itemized statements must provide the following information:

\(1\) Each receipt exceeding \$25 must be shown, with the full name and
home post office address of each contributor in alphabetical order, the
amount of the contribution, the date the contribution was received, and
the aggregate total for each election for each contributor of over
\$100. Any listing that exceeds an in­dividual\'s aggregate total of
\$100 for each election must be accompanied by the contributor\'s
occupation, including official job title, the name of the contributor\'s
employer, and the city or town of the contributor\'s principal place of
business, if any.

\(2\) All receipts of \$25 or under are to appear as unitemized
receipts.

\(3\) Each expenditure must be shown, with the full name and city or
town of the persons, corporations, committees, or whoever has been paid
or is to be paid, the date paid, the election for which the expenditure
was made and the specific nature and amount of each expenditure since
the date of the committee registration.

\(4\) A summary of previous statements filed, if any \[35\].

The itemized statements must be filed not later than 5 p.m. on the
following dates:

\(1\) The Wednesday 12 weeks immediately preceding the primary election
(except a political committee of a candidate or political party is not
required to file this statement). The statement covers the period from
the day of the com­mittee registration up to and including the Monday
before the statement is due.

\(2\) The Wednesday 3 weeks immediately preceding the primary election.
The statement covers the period beginning on the Tuesday before the
Wednes­day 12 weeks immediately preceding the primary election and ending
on the Monday before the statement is due.

\(3\) The Wednesday immediately preceding the primary election. The
state­ment covers the period beginning on the Tuesday before the
Wednesday 3 weeks immediately preceding the primary election and ending
on the Monday before the statement is due.

\(4\) The second Wednesday after the primary election. The statement
covers the period beginning on the Tuesday before the Wednesday
immediately preced­ing a primary election and ending on the day of the
primary election.

\(5\) The Wednesday 3 weeks immediately preceding the general election.
The statement covers the period beginning on the day after the primary
election and ending on the Monday before the statement is due.

\(6\) The Wednesday immediately preceding the general election. The
state­ment covers the period beginning on the Tuesday before the
Wednesday 3 weeks immediately preceding the general election and ending
on the Monday before the statement is due.

\(7\) The second Wednesday after the general election. The statement
covers the period beginning on the Tuesday before the Wednesday
immediately preced­ing the general election and ending on the day of the
general election \[36\].

If a candidate or political committee has any outstanding debt,
obligation, or surplus following the election, itemized statements must
be filed at least once every 6 months thereafter until the indebtedness
is entirely satisfied or the sur­plus depleted, at which time a final
report must be filed \[37\].

**2. Candidates.** A candidate (that is, a person publicly declared as
such and for whom votes are sought in an election for governor,
councilor, state senator, representative to general court, or county
officer) who has expenditures exceed­ing \$500 must file the required
statements of receipts and expenditures; howev­er, a candidate is not
required to report the expenditures of political committees of the
political party to which the candidate belongs in elections other than
pri­maries \[38\]. The candidate\'s fiscal agent must join with the
candidate in making and filing the statements \[39\].

**3. Political Committees.** A political committee whose receipts or
expen­ditures in support of a candidate, measure, or political party
exceed \$500 must file the required statements of receipts and
expenditures, which must be signed by the committee chairman and
treasurer \[40\].

A \"political committee\" is any organization of two or more persons to
in­fluence elections or measures, including a state, county, city, ward,
or town committee of a political party \[41\].

Each political committee must designate a treasurer or agent, who is
required to be a citizen of the state and is authorized to receive all
process and other legal documents on behalf of the committee and through
whom may be obtained ac­cess to all books and records of the committee.
If there is no treasurer or if the treasurer fails to make a report, it
is the duty of each committee member who received or paid out any money
in behalf of the committee to make the report or cause the same to be
made \[42\].

**a. Political Party State Committees**. Copies of a statement of
receipts and expenditures of the state committee of a political party
must be filed with the Secretary of State in sufficient numbers in order
to provide a copy for the state committee of each political party on the
ballot \[43\].

**b. National Political Party Committees.** A national political party
committee may make contributions or expenditures on behalf of state
candidates without complying with the requirements for filing statements
of receipts and expenditures if the total contributions or expenditures
made in behalf of a can­didate or political committee in the state,
directly or indirectly, does not exceed the \$5,000 limit for
contributions by any person \[44\].

**c. Political Committees for Federal Office Candidates.** A political
committee that is for an individual candidate seeking a federal office
whose holder is chosen only by the voters of the state and that is
required by federal law to file reports with the federal government
relative to receipts and expen­ditures in support of the individual
candidate may choose, at the time of register­ing, to file with the
Secretary of State copies of reports made to the federal gov­ernment in
accordance with the timetable established by federal laws in lieu of
complying with the other state requirements for reporting receipts and
expen­ditures \[45\].

**F. Notification of Large Late Contribution.** In addition to any other
re­quirements for the reporting of receipts and expenditures, the
Secretary of State must be notified by the fiscal agent of a political
committee or candidate within 24 hours of any contribution exceeding
\$500 that is received after the statement of receipts and expenditures
due on the Wednesday immediately preceding a primary or general election
has been filed and prior to the day of the election \[46\].

**G. Statements of Independent Expenditures.** A political committee
whose independent expenditures in aggregate exceed \$500 must file an
itemized statement with the Secretary of State no later than 24 hours
after the expen­ditures are made and thereafter each time a further \$500
are expended. This fil­ing requirement is in addition to all other
requirements for filing statements of receipts and expenditures and is
not limited to the filing periods for those state­ments \[47\].

An itemized statement is to cover the period during which independent
ex­penditures totaling \$500 were made and contain (1) the date of each
independ­ent expenditure, (2) the name and address of the person to whom
the expendi­ture was made, (3) the name of the candidate on whose behalf
or against whom each expenditure was made, (4) the amount of each
expenditure, (5) the pur­pose of each expenditure, (6) the aggregate
amount of all previous independent expenditures, and (7) a certification
that each independent expenditure meets the statutory definition of
\"independent expenditure\" \[48\].

If the independent expenditure is made in support of or to oppose more
than one candidate, the statement must allocate the expenditure among
the candi­dates on a reasonable basis. A \"reasonable basis\" means the
statement reflects the benefit or burden reasonably expected to be
derived or suffered by each candidate \[49\].

\"Independent expenditures\" are expenditures by a person, political
committee, or other entity expressly advocating the election or defeat
of a clearly identified candidate that (1) are made without cooperation
or consultation with any can­didate or any authorized committee or agent
of the candidate and (2) are not made in concert with or at the request
or suggestion of any candidate or any au­thorized committee or agent of
the candidate. \"Clearly identified\" means that the name of the
candidate involved appears, a photograph or drawing of the candidate
appears, or the identity of the candidate is apparent by unambiguous
reference \[50\].

**H. Disclosure of Business Associations.** All candidates who file for
state or county office and all persons who file an acceptance of
nomination form must disclose on the declaration of candidacy or
acceptance of nomination form, as appropriate, their primary occupation
and all business associations. A \"business association\" is any
business in which the person is the owner, partner, director, officer,
employee, or investor and has received any money or thing of value in
excess of \$10,000 from the business association during either year of
the previ­ous 24‑month period ending June 1st \[51\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Use of Surplus Campaign Contributions.** Surplus campaign
contribu­tions may be used after a general or special election for
fundraising activities or other politically related activity sponsored
by the candidate or for donations to charitable organizations, but may
not be used for personal purposes \[52\].

**VI. OFFENSES AND PENALTIES**

**A. Enforcement Procedure.** Any candidate or voter may make a written
complaint to the Attorney General of any violation of the law on
political contri­butions and expenditures (Chapter 664). Upon receipt of
a complaint, the Attorney General or the attorney general\'s designee
must review the complaint and where sufficient evidence of a violation
is presented, conduct investigations to determine whether a violation of
the political contributions and expenditures law has occurred. Following
the investigation, if the Attorney General deter­mines there has been a
violation, he or she is empowered to issue an order re­quiring the
violator to cease and desist from the violation and to prosecute to
final judgment through his or her designee if sufficient cause for
prosecution is found \[53\]. It is also the duty of the Attorney General
to examine the returns of election receipts and expenditures that are
made to the Secretary of State and to compel the returns to be made in
compliance with the law \[54\].

**B. Criminal Penalties.** A person who violates any provision of the
chapter of the election laws on political contributions and expenditures
(Chapter 664), other than the voluntary limits on campaign expenditures,
is guilty of a misde­meanor if a natural person or a felony if any other
person \[55\]. A person who fails to file any report or statement when
it is due under the political contribu­tions and expenditures law is
subject to a daily fine of \$25 (\$5 in the case of a candidate for
general court) for every weekday for which the report or state­ment is
due and until the report or statement is actually filed \[56\].

A person who violates the ban on insurer contributions, participates in,
aids, abets, advises, or consents to the violation, or solicits or
knowingly receives any money or property in violation of the ban is
guilty of a misdemeanor if a natural person or a felony if any other
person. An officer aiding or abetting a prohibi­ted insurer contribution
is liable to the insurer for the amount contributed \[57\].

**C. Denial of Nomination or Election.** A candidate is not entitled to
the nomination or election until the sworn, itemized statements required
to be filed by the candidate or in the candidate\'s behalf have been
filed \[58\].

**D. Fine for Exceeding Voluntary Expenditure Limits**. A candidate who
voluntarily agrees to limit campaign expenditures in accordance with
state law and exceeds the total political expenditure limitation in
running for any office in either a state primary, state general
election, or both elections is subject to a fine schedule based on the
percentage by which the candidate exceeds permitted campaign
expenditures and must pay a percentage of the excess campaign
ex­penditures as follows: (1) a candidate for governor and U.S. senator:
under \$1,000‑‑1%; \$1,000‑\$5,000‑‑10%; \$5,000‑\$10,000‑‑25%;
\$10,000‑\$50,000‑‑50%; and over \$50,000‑‑ 100%; (2) a candidate for
U.S. representative: under \$1,000‑‑1%; \$1,000‑\$5,000 ‑‑10%;
\$5,000‑\$10,000‑‑25%; \$10,000‑\$25,000‑‑50%; over \$25,000‑‑100% (3) a
candidate for executive council and county officers: under \$500‑‑1%;
\$500‑\$1,000‑‑10%; \$1,000‑\$5,000‑‑25%; \$5,000‑\$10,000‑‑50%; and
over \$10,000‑‑100%; (4) a candidate for state senate: under \$100‑‑1%;
\$100‑\$500‑‑10%; \$500‑\$1,000‑‑25%; \$1,000‑\$5,000‑‑50%; and over
\$5,000‑‑100%; and (5) a candidate for the general court: under
\$100‑1%; \$100‑\$250‑‑10%; \$250‑\$500‑‑25%; \$500‑\$1,000‑‑50%; and
over \$1,000‑‑100%. Any fine assessed for excess campaign expenditures
is paid to the Secretary of State for deposit into the general fund
\[59\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is the officer with
whom re­quired reports are to be filed, including statements of receipts
and expenditures, statements of independent expenditures, political
committee registration state­ments, candidate consents to political
committee support, and candidate affida­vits agreeing to voluntarily
limit expenditures \[60\]. The Secretary of State is re­quired to give or
send by mail a copy of the chapter of the election laws on po­litical
contributions and expenditures to each person whose name will be printed
on a state primary or general election ballot. The notification must be
given or sent within 5 days of the close of the filing period \[61\].

**B. Attorney General.** The Attorney General is responsible for
investigating complaints of violations of the political contributions
and expenditures law, issu­ing cease and desist orders to violators, and
prosecuting violators through his or her designee \[62\]. The Attorney
General is also required to examine returns of election receipts and
expenditures and to compel compliance with the law \[63\].

**References**

1.  New Hampshire Revised Statutes An­notated (hereafter NHRSA)
    § 664:2(VIII)

2.  NHRSA § 664:4(I)‑(III). The prohibition of contributions by or for a
    corporation is unconstitutional. *Kennedy v. Gardner*, No. 98-608-M
    (D.N.H., December 23, 1999)

3.  *U.A.W. Local 1913 Voluntary P.A.C. v. Gardner*, No. 80‑230‑L
    (D.N.H.)

4.  NHRSA § 664:4(V); Opinions of the N.H. Attorney General (June 6,
    2000)

5.  NHRSA § 664:3(I), (III)

6.  NHRSA § 664:4‑a(I)

7.  NHRSA § 664:10

8.  NHRSA §§ 402:43; 417:2‑‑417‑4. § 402:43, a violation of which is a
    crime, applies to an \"insurance compa­ny or association, including
    fraternal benefit societies,\" while § 417:3, which prohibits unfair
    competition and un­fair and deceptive acts and practices, applies to
    the following \"persons\": \"any individual, corporation,
    associa­tion, partnership, reciprocal exchange, inter‑insurer, Lloyds
    insurers, fraternal benefit society and any other legal ent­ity,
    engaged in the business of in­surance, including agents, brokers, and
    adjusters.\"

9.  New Hampshire Court Rules Annotat­ed, Rules of the Supreme Court,
    Rule 38, Code of Judicial Conduct, Canon 7

10. NHRSA § 664:4‑a(II)

11. NHRSA § 664:2(XVI)

12. NHRSA § 664:2(IX)

13. NHRSA §§ 664:3(I), (III); 664:5(I), (II)

14. NHRSA § 664:3(I), (II)

15. NHRSA § 664:13

16. NHRSA § 664:12

17. NHRSA § 664:15

18. NHRSA § 664:5(III); *see* *also* NHRSA § 664:16

19. NHRSA § 664:5‑a(I)

20. NHRSA § 664:5‑a(III)

21. NHRSA § 664:5‑a(II)

22. NHRSA § 664:5‑b(I)‑(V)

23. NHRSA § 664:5‑b(V)

24. NHRSA § 664:1

25. NHRSA § 664:3(I), (II)

26. NHRSA § 664:3(I)

27. NHRSA § 664:3((I)

28. NHRSA §§ 664:3(IV); 664:6(V)

29. NHRSA § 664:3(III)

30. NHRSA § 664:12 32

31. NHRSA §§ 664:2(X); 664:6; 664:7

32. NHRSA §§ 664:1; 664:2(I); 664:6; 664:7

33. NHRSA §§ 664:6(IV); 664:7

34. NHRSA § 664:9‑a

35. NHRSA §§ 664:2(XII)‑(XV); 664:6(I)‑(III), (V); 664:7

36. NHRSA §§ 664:6(I)‑(III); 664:7

37. NHRSA §§ 664:6(III); 664:7

38. NHRSA §§ 664:2(II); 664:7

39. NHRSA § 664:12

40. NHRSA § 664:6(I)‑(III), (V)

41. NHRSA § 664:2(III), (V)

42. NHRSA §§ 664:3(I); 664:13

43. NHRSA § 664:6(VI)

44. NHRSA §§ 664:6(VII); 664:4(V)

45. NHRSA § 664:6(VIII)

46. NHRSA §§ 664:6(II‑a); 664:7

47. NHRSA § 664:6(IV‑a)

48. NHRSA §§ 664:2(XI); 664:6(IV‑a)

49. NHRSA § 664:6(IV‑a)

50. NHRSA § 664:2(XI)

51. NHRSA §§ 15‑A:1‑‑15‑A:3

52. NHRSA § 664:4‑b

53. NHRSA § 664:18(I), (II)

54. NHRSA § 664:19

55. NHRSA § 664:21(V)

56. NHRSA § 664:21(IV)

57. NHRSA §§ 402:44; 402:45

58. NHRSA § 664:9

59. NHRSA § 664:21(I), (II)

60. NHRSA §§ 664:3(I), (III); 664:5‑a(I); 664:6(I)‑(III), (IV‑a), (V);
    664:7

61. NHRSA § 664:22

62. NHRSA §§ 664:18(I), (II); 664:21(III)

63. NHRSA § 664:19

**CAMPAIGN FINANCE LAW**

**IN NEW JERSEY**

**I. INTRODUCTION**

New Jersey requires candidates, as well as officeholders who receive
contribu­tions, to establish a candidate committee, a joint candidates
committee, or both. Candidate committees, joint candidates committees,
political committees, con­tinuing political committees, political party
committees, and legislative leader­ship committees are required to file
periodic cumulative reports of contributions and expenditures if
threshold amounts of contributions or expenditures are ex­ceeded.
Detailed reports of contributions and expenditures are not required from
candidate committees or joint candidate committees if aggregate
expen­ditures on behalf of the candidate do not exceed \$3,000 for an
individual can­didacy, \$5,800 for a joint candidates committee
containing two candidates, or \$8,500 for a joint candidates committee
containing three or more candidates. Political committees are exempt
from detailed reporting if the aggregate amount to be expended will not
exceed \$1,500. Committees exempted from regular re­porting must report
aggregate contributions of more than \$400 from a single source.
Contributions of over \$800 received by a committee from a single source
close to election day must be reported within 48 hours; expenditures of
more than \$800 made by a political committee or continuing political
committee close to election day must be reported within 48 hours.
Reports are to be filed by a person if aggregate independent
expenditures exceed \$800.

Contributions may not exceed maximum amounts set for contributors or
re­cipients. In non‑gubernatorial campaigns, individuals (other than
candidates), corporations, labor organizations, and other groups are
limited to \$2,200 per each candidate per election; candidates,
political committees, and continuing po­litical committees are limited to
\$7,200 per each candidate and political commit­tee per election.
Contributions to a candidate\'s campaign by the candidate, the
candidate\'s family, and the candidate\'s wholly owned corporations are
not limit­ed. In campaigns for governor, all persons and committees,
except the recipient candidate, are limited to \$2,600 per candidate per
election. Contributions by a gubernatorial candidate who receives public
fund­ing is limited to \$25,000 per election to his or her own campaign;
the candidate\'s family members are subject to the \$2,600 per election
limitation.

In non‑gubernatorial elections, contributions by county political party
commit­tees are limited to \$7,200 per candidate for office in another
county per election, \$7,200 per municipal party committee in another
county per year, \$7,200 per state legislative candidate per election if
less than 20% of the district population resides in the county of the
contributing committee, and \$37,000 per state legis­lative candidate per
election if 20% to 40% of the district population resides in the county
of the contributing committee. A national political party committee is
limited to \$7,200 per candidate and political committee per election,
\$7,200 per continuing political committee per year, \$72,000 per state
political party committee per year, \$37,000 per legislative leadership
committee and county po­litical party committee per year, and \$7,200 per
municipal political party com­mittee per year.

In gubernatorial elections, contributions by all political party and
legislative leadership committees are limited to aggregate contributions
of \$2,600 per can­didate in a primary election. In a general election, a
state political party may pass through aggregate contributions of
\$2,600 per contributor to aid a can­didate for governor. County and
municipal political party committees are pro­hibited from making
general‑election contributions for a gubernatorial can­didate. National
political party and legislative leadership committees apparently are
limited to \$2,600 in aggregate contributions per candidate for governor
in a general election.

Maximum expenditure limits have been established for candidates for
gover­nor who receive public matching funds. Banking, public utility, and
certain transportation corporations, corporations that are public
franchisees, and casinos may not make contributions to candidates or
political organizations. Partial pub­lic funding of primary and general
election campaigns for governor is provided. Taxpayers may designate \$1
from income taxes paid (\$2 in the case of a joint re­turn) for credit to
the fund. The New Jersey Election Law Enforcement Commission is
responsible for enforcement of the Campaign Contributions and
Expen­ditures Reporting Act.

Note: The terms \"a committee,\" \"any committee,\" \"each committee,\"
\"every committee,\" \"no committee,\" or \"all committees\" refer to
*all* of the following committees unless the context indicates
otherwise: a candidate committee, a joint candidates committee, a
political committee, a continuing political commit­tee, a political party
committee, *and* a legislative leadership committee.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" includes all loans
and transfers of money or other thing of value to or by any candidate,
candidate committee, joint candidates committee, political committee,
continuing political committee, political party committee, or
legislative leadership committee and all pledges or other commitments or
assumptions of liability to make any such transfer. For the purpose of
required reports, a contribution is deemed to have been made on the date
when the commitment is made or liability assumed \[1\]. The term \"other
thing of value\" means any item of tangible or intangible real or
personal property, but does not include personal services other than
paid per­sonal services \[2\].

**B. Maximum Contribution Limits in Non‑Gubernatorial Elections (Through
December 31, 2001).** In­dividuals, corporations, labor organizations,
groups other than corporations or labor organizations, political
committees, continuing political committees, candi­dates who have
established only candidates committees and their committees, candidates
who have established only joint candidates committees and their
committees, candidates who have established both candidate committees
and joint candidates committees and their committees, county committees
of political parties, and national committees of political parties are
subject to limitations in non‑gubernatorial elections on the aggregate
amount of contributions they may pay or make to specified recipients for
a primary or general election or for a calendar year depending on the
specific contributor and recipient \[3\].

Recipients of contributions may not knowingly accept contributions or
other things of value that in the aggregate exceed the limit on
contributions that may be paid or made by the contributor \[4\].

There are no limitations on contributions to a candidate\'s campaign by
the candidate, by the candidate\'s spouse, child, parent, or sibling
residing in the same household, or by a corporation whose entire stock
is owned by the can­didate \[5\].

Expenditures by a candidate for the state legislature or a political
subdivision office and by the candidate\'s campaign treasurer, deputy
campaign treasurer, candidate committee, or joint candidates committee
made in furtherance of the nomination or election of another candidate
for the same office in the same leg­islative district or in the same
political subdivision are not subject to any limita­tion. The offices of
member of the state senate and general assembly, member of the board of
chosen freeholders and county executive, and mayor and mem­ber of the
municipal governing board in the same district, county, or municipali­ty
are deemed to be the same office \[6\].

To determine the amount of a contribution to be attributed as given to
or by each candidate in a joint candidates committee, the amount of the
contribution by the committee is divided equally among all candidates in
the committee \[7\].

**1. Individuals, Corporations, Labor Organizations, and Other Groups.**
An individual other than a candidate, a corporation of any kind
organ­ized and incorporated under the laws of New Jersey, any other
state, or any country other than the United States, labor organizations
of any kind that exist or are constituted for the purpose, in whole or
in part, of collective bargaining or of dealing with employers
concerning the grievances, terms, or conditions of employment or of
other mutual aid or protection in connection with employ­ment, or any
other group is subject to the following aggregate limits on
contribu­tions that may be made to the specified recipients: (1) a
candidate who has estab­lished only a candidate committee‑‑\$2,200 per
election; (2) candidates who have established only a joint candidates
committee‑‑\$2,200 per candidate in the committee per election; (3) a
candidate who has established both a candidate committee and a joint
candidates committee‑‑\$2,200 per election; (4) a state committee of a
political party‑‑\$37,000 per year; (5) a legislative leadership
committee‑‑\$37,000 per year; (6) a county committee of a political
party‑‑\$37,000 per year; and (7) a municipal commit­tee of a political
party‑‑\$7,200 per year \[8\].

**2. Political Committees.** A political committee (*see* Section IV.B,
*infra*, for a definition) is subject to the following aggregate limits
on contributions that may be made to the specified recipients: (1) a
candidate who has established only a candidate committee‑‑\$7,200 per
election; (2) candidates who have established only a joint candidates
committee‑‑\$7,200 per candidate in the committee per election; (3) a
candidate who has established both a candidate committee and a joint
candidates committee‑‑\$7,200 per election; (4) a state committee of a
politi­cal party‑‑\$37,000 per year; (5) a legislative leadership
committee‑‑\$37,000 per year; (6) a county committee of a political
party‑‑\$37,000 per year; (7) a municipal committee of a political
party‑‑\$7,200 per year; (8) a political commit­tee other than a
political committee that is organized to or does aid or promote the
passage or defeat of a public question in any election (from a
non‑public‑question political committee)‑‑\$7,200 per election; and (9)
a continuing political committee‑‑\$7,200 per year \[9\].

**3. Continuing Political Committees.** A continuing political committee
(*see* Section IV.B, *infra*, for a definition) is subject to the
following aggregate limits on contributions that may be made to the
specified recipients: (1) a can­didate who has established only a
candidate committee‑‑\$7,200 per election; (2) candidates who have
established only a joint candidates committee‑‑\$7,200 per candidate in
the committee per election; (3) a candidate who has established both a
candidate committee and a joint candidates committee‑‑\$7,200 per
election; (4) a state committee of a political party‑‑\$37,000 per year;
(5) legislative leader­ship committee‑‑\$37,000 per year; (6) a county
committee of a political party‑‑\$37,000 per year; (7) any municipal
committee of a political party‑‑\$7,200 per year; (8) a political
committee other than a political committee that is organ­ized to or does
aid or promote the passage or defeat of a public question in any
election‑‑\$7,200 per election; and (9) a continuing political
committee‑‑\$7,200 per year \[10\].

**4. Candidates Who Have Established Only Candidate Committees and Their
Committees.** A candidate who has established only a candidate committee
(*see* Section IV.B, *infra*) and his or her campaign treasurer and
depu­ty treasurer are subject to the following aggregate limits on
contributions that may be made to the specified recipients: (1) a
candidate who has established only a candidate committee‑‑\$7,200 per
election; (2) candidates who have established only a joint candidates
committee‑‑\$7,200 per candidate in the recipient commit­tee per
election; (3) a candidate who has established both a candidate committee
and a joint candidates committee‑‑\$7,200 per election; (4) a state
committee of a political party‑‑\$37,000 per year; (5) a legislative
leadership committee‑‑\$37,000 per year; (6) any county committee of a
political party‑‑\$37,000 per year; (7) a municipal committee of a
political party‑‑\$7,200 per year; (8) a political committee other than
a political committee that is organized to or does aid or promote the
passage or defeat of a public question in an election‑‑\$7,200 per
election; and (9) a continuing political committee‑‑\$7,200 per year
\[11\].

**5. Candidates Who Have Established Only Joint Candidates Commit­tees
and Their Committees.** Candidates who have established only a joint
candidates committee (*see* Section IV.B, *infra*, for a definition) and
their cam­paign treasurer and deputy campaign treasurer are subject to
the following ag­gregate limits on contributions per candidate in the
contributing committee that may be made to the specified recipients: (1)
a candidate who has established only a candidate committee‑‑\$7,200 per
election; (2) candidates who have established only a joint candidates
committee‑‑\$7,200 per candidate in the recipient committee per
election; (3) a candidate who has estab­lished both a candidate committee
and a joint candidates committee‑‑\$7,200 per election; (4) a state
committee of a political party‑‑\$37,000 per year; (5) a legislative
leadership committee‑‑\$37,000 per year; (6) a county committee of a
political party‑‑\$37,000 per year; (7) a municipal committee of a
political party‑‑\$7,200 per year; (8) a political committee other than
a political committee that is organ­ized to or does aid or promote the
passage or defeat of a public question in an election‑‑\$7,200 per
election; and (9) a continuing political committee‑‑\$7,200 per year
\[12\].

**6. Candidates Who Have Established Both Candidate Committees and Joint
Candidates Committees and Their Committees.** A candidate who has
established both a candidate committee and a joint candidates commit­tee
and his or her campaign treasurers and deputy campaign treasurers are
sub­ject to the following aggregate limits on contributions that may be
made to the specified recipients: (1) a candidate who has established
only a candidate commit­tee-‑\$7,200 per election; (2) candidates who
have established only a joint candidates committee and the joint
candidates committee‑‑\$7,200 per candidate in the recipient committee
per election; (3) a candidate who has established both a candidate
committee and a joint candidates committee‑‑\$7,200 per election; (4)
state committee of a political party‑‑\$37,000 per year from the
candidate; (5) a legislative leadership committee‑‑\$37,000 per year
from the candidate; (6) a county committee of a political
party‑‑\$37,000 per year from the candidate; (7) a municipal committee
of a political party‑‑\$7,200 per year from the candidate; (8) a
political committee other than a political committee that is organized
to or does aid or promote the passage or defeat of a public question in
an election‑‑\$7,200 per election from the can­didate; and (9) a
continuing political committee‑‑\$7,200 per year from the can­didate
\[13\].

**7. County Committees of Political Parties.** Contributions of a county
committee of a political party made to and accepted by a political party
munici­pal committee in another county and contributions of a county
committee ac­cepted by candidates for elective public office in another
county or by candi­dates for the state legislature from legislative
districts with 60% or more of the district population residing in other
counties are subject to the following ag­gregate limits:

\(1\) A municipal committee of a political party in a municipality in
another county‑‑\$7,200.

\(2\) Candidates for elective public office in another county: (1) a
candidate who has established only a candidate committee‑‑\$7,200 per
election; (2) candi­dates who have established only a joint candidates
committee‑‑\$7,200 per can­didate in the committee per election; and (3)
a candidate who has established both a candidate committee and a joint
candidates committee‑‑\$7,200 per election.

\(3\) Candidates for state legislature in a legislative district with
less than 20% of the population of the district in the contributing
committee\'s county: (1) a can­didate who has established only a
candidate committee‑‑\$7,200 per election; (2) candidates who have
established only a joint candidates committee‑‑\$7,200 per candidate in
the committee per election; and (3) a candidate who has established both
a candidate committee and a joint candidates committee‑‑\$7,200 per
elec­tion.

\(4\) Candidates for state legislature in a legislative district with at
least 20% but less than 40% of the population of the district in the
contributing commit­tee\'s county: (1) a candidate who has established
only a candidate committee‑‑\$37,000 per election; (2) candidates who
have established only a joint candidates committee‑‑\$37,000 per
candidate in the committee per elec­tion; and (3) a candidate who has
established both a candidate committee and a joint candidates
committee‑‑\$37,000 per election \[14\].

All contributor reporting requirements and other restrictions and
regulations applicable to a contribution of money or other thing of
value by a political committee or continuing political committee are
applicable to the making or payment of contributions by political party
county committees to candidates for public office in another county or
to candidates for the state legislature from leg­islative districts with
60% or more of the district population residing in other counties
\[15\].

**8. National Committees of Political Parties.** The national committee
of a political party may not make aggregate contributions to a state
committee of a political party that exceed \$72,000 per year \[16\].

**C. Contributions From Unidentified Sources or Intermediaries.** No
contribution of money or other thing of value or obligation therefor may
be made and no expenditure of money or other thing of value or
obligation there­for may be made or incurred anonymously, in a fictitious
name, or by one per­son or group in the name of another to support or
defeat a candidate in an elec­tion, to aid the passage or defeat of a
public question, to provide political infor­mation on a candidate or
public question, or to seek to influence the content, in­troduction,
passage, or defeat of legislation \[17\].

Any anonymous contribution received by a campaign treasurer or deputy
campaign treasurer may not be used or expended, but must be returned to
the donor if his or her identity is known, and if no donor is found, the
contribution escheats to the state; however, contributions or purchases
made in response to a lawful public solicitation are not considered to
be anonymous \[18\].

No person may contribute or purport to contribute funds or property to a
candidate or any committee that (1) does not actually belong to the
person and is not in the person\'s full custody and control, (2) has
been given or furnished to that person by any other person or group for
the purpose of making a contribu­tion, except in the case of group
contributions by persons who are members of the contributing group, or
(3) has been loaned or advanced expressly for the purpose of inducing
the making of a contribution to a candidate, candidate committee, or
joint candidates committee. A treasurer, candidate, or member of any
committee may not solicit or knowingly accept, agree to accept, or
concur in or abet the solicitation or acceptance of a contribution from
other than the actu­al, identified source \[19\].

No person may willfully and intentionally agree with another person to
make a contribution to a candidate or any committee with the intent or
upon the con­dition, understanding, or belief that the recipient
candidate or committee will make or have made a contribution to another
such candidate or committee; however, a county or municipal committee of
a political party is not prohibited from making contributions to any
candidate or committee \[20\].

**D. Gubernatorial Inaugural Fundraising.** No person, candidate, or
politi­cal committee otherwise eligible to make political contributions
may make any contribution of over \$500 in the aggregate for the purpose
of a gubernatorial in­augural fundraising event. The person or committee
sponsoring the event must make a full report of all contributions and
expenditures with respect to the event within 45 days following the
event \[21\].

**E. Public Solicitation.** No person may conduct a public solicitation
except upon written authorization of the campaign or organizational
treasurer of the committee on whose behalf the solicitation is conducted
or in accordance with the provisions concerning an independent public
solicitation \[22\]. A \"public so­licitation\" is any activity by or on
behalf of a candidate or a committee whereby members of the general
public are personally solicited (1) for cash contributions not exceeding
\$20 contributed on the spot or through a receptacle provided for the
purpose of depositing contributions or (2) for the purchase of
merchandise not exceeding \$20 per item paid on the spot in cash \[23\].

**1. Authorized Solicitation.** A person with written authorization may
em­ploy and accept the services of others as solicitors and is
responsible for delivery to the treasurer of the net proceeds of the
solicitation and for reporting to the treasurer the information needed
for inclusion in a report of contributions and expenditures if the net
proceeds exceed \$200 \[24\].

**2. Independent Solicitation.** An individual not acting in concert
with any other person or group personally may make a public solicitation
the entire pro­ceeds of which, without deduction for the expenses of
solicitation, are to be ex­pended by the individual personally or under
his or her personal direction to finance any lawful activity in support
of or opposition to any candidate or public question, to provide
political information on any candidate or public question, or to seek to
influence the content, introduction, passage, or defeat of legislation;
however, if gross contributions exceeding \$200 in respect to activities
relating to any one election are received, the individual must report
the amount collected, the method of solicitation, the purposes for which
the funds collected were ex­pended and the amount expended for each
purpose, the individual\'s name, mail­ing address, and occupation, and
the name and mailing address of the individu­al\'s employer. The report
must be made to the Election Law Enforcement Commission at the same time
and in the same manner as required for a political committee, continuing
political committee, political party committee, or legisla­tive
leadership committee \[25\].

**F. Contributions by Bank, Utility, or Transportation Corporations and
by Insurance Corporations and Associations.** A corporation that carries
on the business of a bank, savings bank, co‑operative bank, trust,
trustee, savings indemnity, safety deposit, insurance, railroad, street
railway, telephone, tele­graph, gas, electric light, heat or power,
canal, or aqueduct company or that has the right to condemn land or to
exercise franchises in public ways granted by the state or any county or
municipality or a corporation, person, or trustee owning or holding the
majority of stock in such a corporation may not pay or contribute money
or anything of value in order to aid or promote the nomination or
elec­tion of any person or the interests, success, or defeat of any
political party \[26\]. This prohibition was not intended to prevent the
establishment of a separate po­litical fund contributed to voluntarily by
members of a political action commit­tee; however, a bank\'s corporate
funds may not be used to establish, administer, or solicit contributions
for the political fund \[27\].

No insurance corporation or association doing business in the state may,
di­rectly or indirectly, pay, use, or offer, consent, or agree to pay or
use any money or property (1) for or in aid of any political party,
committee, organization, or corporation, (2) for or in aid of any
candidate for political office or for nomina­tion for such office, (3)
for any political purpose whatsoever, or (4) for the re­imbursement or
indemnification of any person for money or property so used; however,
insurance companies may be involved in public referenda \[28\].

**G. Casino Contributions.** A casino license applicant or holder, as
well as any holding, intermediary, or subsidiary company or officer,
director, casino key employee, or principal employee, may not directly
or indirectly pay or contrib­ute money or thing of value to any
candidate, political party committee, or group, committee, or
association organized in support of a candidate or party \[29\].

**H. Solicitation of Candidates.** No person may demand, solicit, ask,
or inv­ite (1) a candidate for nomination or election to pay or
contribute to any religi­ous, charitable, or other cause or organization
supposed to be primarily for the public good or (2) a candidate for
nomination or election to public office or par­ty position to subscribe
for the support of any club or organization, to buy tick­ets to any
entertainment or ball, or to pay for space in any book, program,
peri­odical, or publication, with certain exceptions \[30\].

**I. Contributions and Other Payments in Name of Actual Payer.** No
person may make any payment of his or her money or any other person\'s
mon­ey in connection with any nomination or election in any other name
than that of the person who actually supplied the money, and no person
may knowingly re­ceive the money or thing of value and enter it in his or
her account or deposit it in any bank or trust company in any name other
than the name of the person who actually supplied the money \[31\].

**J. Contributions and Payments in Compliance With Election Laws.** No
person may pay, lend, contribute, or offer or agree to pay, lend, or
contribute any money or other valuable consideration to or for any
person for doing or procuring to be done any act forbidden by the laws
relating to primary or gen­eral elections or for any purpose in
contravention of the election laws \[32\]. No party committee or
organization, committee of any group of petitioners, or other person may
expend any money in aid of any candidate for public office except as
otherwise provided in the election laws \[33\].

**K. Services of Aides of a Public Office Holder.** If any candidate is
a holder of a public office to which there is attached or assigned, by
virtue of such office, any aide or aides whose services are of a
personal or confidential nature in assisting the officeholder to carry
out the duties of his or her office and whose salary or other
compensation is paid in whole or in part out of public funds, the
services of aides that are paid out of public funds must be for public
purposes only; however, the aides may contribute their personal services
on a voluntary basis to such candidate for election campaign purposes
\[34\].

**L. Contributions in Currency.** No contribution of money may be made
in currency except contributions in response to a public solicitation;
however, cu­mulative currency contributions of up to \$200 may be made to
any committee if the contributor submits with the currency contribution
a written statement, on a form prescribed by the Election Law
Enforcement Commission, that includes the contributor\'s name, mailing
address, and occupation, the amount of the contribu­tion, the
contributor\'s signature, and the name and mailing address of the
con­tributor\'s employer \[35\].

**M. Contributions or Expenditures From Loans or Advances.** Any per­son,
partnership, association, political committee, or continuing political
commit­tee may make a loan or loans to any person, partnership,
association, political committee, or continuing political committee with
knowledge or reason to know that the prospective recipient of the loan
intends to use the proceeds to make a contribution in aid of any
candidate or the candidate committee or joint candi­dates committee of
any candidate if, at any time, the aggregate total of the un­repaid
portion of all such loans by that lender do not exceed an amount equal
to twice the maximum amount of contributions in the aggregate that the
lender is permitted to make such a candidate. These restrictions do not
apply to any bank, savings bank, savings and loan association, or credit
union, whether char­tered by the United States, New Jersey or any other
state, a territory of the United States, or a foreign country \[36\].

No person, partnership, or association, either directly or through an
agent, may make any loan or advance if the person, partnership or
association knows or has reason to know or believe that the proceeds of
the loan or advance are intended to be used by the recipient to make a
contribution or expenditure other than by check or money order
identifying the name, mailing address, and occu­pation or business of the
maker of the loan and, if the maker is an individual, the name and
mailing address of the maker\'s employer \[37\].

**N. Demand of Contributions by Holders of Public Office or Position.**
No holder of a public office or position may demand a payment or
contribution from another holder of public office or position for the
campaign purposes of any candidate or for the use of any political party
\[38\].

**O. Solicitation or Receipt of Contributions by Vocational
Rehabilita­tion Personnel.** An officer or employee engaged in the
administration of the vocational rehabilitation and independent living
rehabilitation programs may not solicit or receive and is not obliged to
contribute or render any service, assis­tance, subscription, assessment,
or contribution for any political purpose \[39\].

**P. Making and Solicitation of Contributions by Judges.** 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 or other functions \[40\].

**Q. Provision to and Use by Personnel of a Corporation or Labor
Or­ganization of Additional Remuneration for Making Contributions.** A
cor­poration or labor organization may not provide to any of its
officers, directors, attorneys, agents, or other employees any
additional increment of salary, bonus, or monetary remuneration that, in
whole or in part, is intended by the corpora­tion or labor organization
to be used for the express purpose of paying or mak­ing a contribution,
either directly or indirectly, of money or other thing of value to any
candidate or committee. An officer, director, attorney, agent, or other
employee of a corporation or labor organization may not use any part of
such additional increment of salary, bonus, or monetary remuneration for
the pur­pose of paying or making a contribution, either directly or
indirectly, of money or other thing of value to a candidate or committee
\[41\].

**R. Employer Withholding of Employee Wages for Contributions.** An
employer may not withhold or divert any portion of an employee\'s wages
unless the employer is required or empowered to do so by state or U.S.
law and, in ad­dition to other authorized purposes, the amounts withheld
or diverted are for contributions authorized in writing by employees
either pursuant to a collective bargaining agreement to a political
committee, continuing political committee, or both a political committee
and continuing political committee established by the employees\' labor
union or to any other political committee or continuing politi­cal
committee for the purpose of making contributions to aid or promote the
nomination, election, or defeat of any candidate for a public office of
the state or a county, municipality, or school district or the passage
or defeat of any pub­lic question, subject to the statutory conditions
\[42\].

Contributions may be withheld or diverted by an employer only after
com­pliance with the following conditions:

\(1\) The payroll deduction authorization containing a required
explanatory statement is signed by the employee.

\(2\) The committee has filed a statement of registration with the
Election Law Enforcement Commission.

\(3\) The committee provides space on the payroll deduction
authorization document to allow the employee to direct his or her
contributions to specific candidates.

\(4\) The employee may not elect to contribute more than \$5 per week by
means of payroll deduction.

\(5\) The employee may not have wages withheld or diverted for more than
one committee.

\(6\) Solicitations for employee contributions are not made on the job
or at the workplace.

\(7\) The committee must annually provide each employee participant with
a financial statement indicating reimbursement of funds, including
administrative charges \[43\].

The administrative expenses incurred by an employer in making a payroll
de­duction for contributions to a non‑union political committee or
continuing politi­cal committee, at the option of the employer, are to be
borne by the committee \[44\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" includes all loans
and transfers of money or other thing of value to or by any candidate,
candidate committee, joint candidates committee, political committee,
continuing political committee, political party committee, or
legislative leadership committee and all pledges or other commitments or
assumptions of liability to make any such transfer. For the purpose of
required reports, an expenditure is deemed to have been made on the date
when the commitment is made or liability assumed. The term \"other thing
of value\" means any item of tangible or intangible real or per­sonal
property, but does not include personal services other than paid
personal services \[45\].

**B. Permissible Use of Contributions by Candidates, Candidate
Com­mittees, Joint Candidates Committees, and Legislative Leadership
Com­mittees.** All contributions received by a candidate, candidate
committee, a joint candidates committee, or a legislative leadership
committee be used only for the following purposes:

\(1\) The payment of campaign expenses.

\(2\) Contributions to any charitable organization described in § 170(c)
of the Internal Revenue Code of 1954, as amended or modified, or
nonprofit organiza­tion that is exempt from taxation under § 501(c) of
the Internal Revenue Code of 1954.

\(3\) Transmittal to another candidate, candidate committee, or joint
candi­dates committee or to a political committee, continuing political
committee, leg­islative leadership committee, or political party
committee for the lawful use by such other candidate or committee.

\(4\) The payment of the overhead and administrative expenses related to
the operation of the candidate committee or joint candidates committee
of a can­didate or a legislative leadership committee.

\(5\) The pro‑rata repayment of contributors.

\(6\) The payment of ordinary and necessary expenses of holding public
office \[46\].

No contribution received by a candidate or by the candidate committee or
joint candidates committee of a candidate may be used for the payment of
the expenses arising from the furnishing, staffing, or operation of an
office used in connection with the candidate\'s official duties as an
elected public official \[47\].

Any funds remaining in the campaign depository of a candidate\'s
candidate committee or joint candidates committee upon the death of the
candidate may be used only for one or more of the authorized purposes by
the committee\'s or­ganizational treasurer or deputy treasurer or whoever
has control of the deposi­tory upon the death of the candidate \[48\].

\"Campaign expenses\" are any expense incurred or expenditure made by a
can­didate, candidate committee, joint candidates committee, or
legislative leader­ship committee to pay for or lease items or services
used in connection with an election campaign, other than those items or
services that may reasonably be considered to be for the personal use of
the candidate, any person associated with the candidate, or any of the
members of a legislative leadership committee \[49\].

**C. Maximum Expenditure Limits for Candidates for Governor.** The
amount spent in aid of the candidacy of any qualified candidate for
governor (*see* Section VI.A, *infra*, for definition of \"qualified
candidate\") at the 2001 gu­bernatorial election was limited to
\$3,800,000 in the primary election and \$8,400,000 in the general
election. The spending limits for the support of gu­bernatorial campaigns
in subsequent elections are adjusted by the Election Law Enforcement
Commission to reflect the changes that occur in the overall costs of
election campaigning in the state. The spending limits do not include
sums for traveling expenses of the candidate or any other person who
voluntarily pays the traveling expenses without expectation of repayment
by the candidate \[50\].

**D. Payment by Check.** Any payment to any individual that is related
to ef­forts by or on behalf of a candidate or any committee in aid of or
to promote the candidacy of an individual for nomination or election to
elective public of­fice, the passage or defeat of a public question, or
efforts directly to promote or encourage the participation of voters in
an election, including but not limited to payments made to campaign
workers and payments to other individuals that are intended for further
transfer to election‑day workers or other ultimate payees, must be made
by check payable to the named individual and may not be made in currency
\[51\].

Any payment to any committee or any other person, association, or group
by a candidate, any committee, or any other person, association, or
group must be made by check payable to the named committee, person,
association, or group and not in currency if the payment is related to
efforts in aid of or to promote the candidacy of an individual for
nomination or election to elective public of­fice, the passage or defeat
of a public question, or efforts directly to promote or encourage the
participation of voters in an election \[52\].

**IV. REPORTING REQUIREMENTS**

**A. Scope of Campaign Contributions and Expenditures Reporting Act.**
The New Jersey Campaign Contributions and Expenditures Reporting Act
ap­plies in any election for public office of the state or any political
subdivision and in any election at which a public question is to be
voted upon by the voters of the state or any political subdivision. The
Act does not apply to elections for party office \[53\].

A candidate seeking election to a public office of a school district is
not obli­gated to file most of the reports, statements, and notices
required under the Act (i.e., cumulative reports of contributions and
expenditures, certification of wind­ing up of business, sworn statement
that expenditures will not exceed \$3,000 in the aggregate, and
notification of designation of campaign treasurer and deposi­tory) and is
exempted from certain other provisions relating to the use of a campaign
treasurer and depository if the total amount expended and to be ex­pended
in be half of his or her candidacy by the candidate or any political
com­mittee, continuing political committee, or person does not exceed
\$3,000 in the aggregate. If an otherwise exempted candidate for school
district office receives contributions from any one source aggregating
more than \$400, he or she is re­quired forthwith to make a report of the
contributions to the Election Law Enforcement Commission and include the
name and address of the source and the aggregate total of contributions
from the source \[54\].

**B. Definitions.** Under the state election code, including the New
Jersey Campaign Contributions and Expenditures Reporting Act, there are
definitions of several key terms used that must be understood for a full
appreciation of the provisions and requirements of the Act:

\(1\) \"candidate\" is an individual who (1) seeks election to a public
office, other than party office, of the state or of any county,
municipality, or school dis­trict at an election, (2) has been elected or
failed of election to an office, other than a party office, for which
the individual sought election and who receives contributions and makes
expenditures for any purpose for which a contribution may be used (*see*
Section III.B, *supra*) during the period of the individual\'s serv­ice
in that office, or (3) has received funds or other benefits or has made
payments solely for the purpose of determining whether the individual
should become a candidate (as defined in (1) or (2) of this definition)
\[55\].

\(2\) A \"candidate committee\" is a committee established by a
candidate for the purpose of receiving contributions and making
expenditures \[56\].

\(3\) A \"continuing political committee\" is any group of two or more
persons acting jointly, corporation, partnership, or other incorporated
or unincorporated association, including a political club, political
action committee, civic associa­tion, or other organization, that in any
calendar year contributes or expects to contribute at least \$3,700 to
the aid or promotion of the candidacy of one or more individuals for
elective public office or the passage or defeat of one or more public
questions and that may be expected to make contributions toward such aid
or promotion or such passage or defeat during a subsequent election
(i.e., subsequent calendar year) if the group, corporation, partnership,
associa­tion, or organization has been determined to be a continuing
political committee by the Election Law Enforcement Commission. The term
\"continuing political committee\" does not include a political party
committee or a legislative leader­ship committee \[57\].

\(4\) An \"election\" is an election for any public office of the state
or any politi­cal subdivision or at which a public question is to be
voted upon by the voters of the state or any political subdivision
\[58\]. \"Any election,\" as used in the election code, includes all
primary, general, runoff, municipal, and special elections \[59\].

\(5\) A \"joint candidates committee\" is a committee established by at
least two candidates for the same elective public offices in the same
election in a legisla­tive district, county, municipality, or school
district, but not more candidates than the total number of the same
elective public offices to be filled in that elec­tion, for the purpose
of receiving contributions and making expenditures. The offices of
member of the senate and members of the general assembly are deemed to
be the same elective public offices in a legislative district, the
offices of member of the board of chosen freeholders and county
executive to be the same elective public offices in a county, and the
offices of mayor and member of the municipal governing board are deemed
to be the same elective public offices in a municipality \[60\].

\(6\) A \"legislative leadership committee\" is a committee established,
author­ized to be established, or designated by the president of the
senate, the minority leader of the senate, the speaker of the general
assembly, or the minority leader of the general assembly for the purpose
of receiving contributions and making expenditures \[61\].

\(7\) \"Paid personal services\" are personal, clerical, administrative,
or profes­sional services of every kind and nature, including without
limitation public rela­tions, research, legal, canvassing, telephone,
speech writing, or other such servic­es, performed other than on a
voluntary basis, the salary, cost, or consideration for which is paid,
borne, or provided by someone other than the committee, candidate, or
organization for whom such services are provided \[62\].

\(8\) A \"party office\" is the office of delegate or alternate to the
national con­vention of a political party or member of the state, county,
or municipal commit­tees of a political party \[63\].

\(9\) A \"political committee\" is any two or more persons acting
jointly, corpo­ration, partnership, or other incorporated or
unincorporated association that is organized to or does aid or promote
the nomination, election, or defeat of one or more candidates for public
office or that is organized to or does aid or prom­ote the passage or
defeat of a public question in any election if the persons, cor­poration,
partnership, or association raises or expends \$1,500 or more to so aid
or promote the nomination, election, or defeat of one or more candidates
or the passage or defeat of a public question \[64\]. The term
\"political committee\" does *not* include a continuing political
committee, candidate committee, joint candi­dates committee, legislative
leadership committee, or political party committee \[65\].

\(10\) A \"political party\" is a party that at the election held for
all of the mem­bers of the state general assembly next preceding the
holding of a primary elec­tion polled for members of the general assembly
at least 10% of the total vote cast in the state \[66\].

\(11\) A \"political party committee\" is the state committee of a
political party, any county committee of a political party, or any
municipal committee of a polit­ical party \[67\].

\(12\) A \"public office\" includes any office in the government of the
state or any of its political subdivisions filled at elections by the
electors of the state or the political subdivision \[68\].

\(13\) A \"public question\" includes any question, proposition, or
referendum required by the legislative or governing body of the state or
any of its political subdivisions to be submitted by referendum
procedure to the voters of the state or political subdivision for
decision at elections \[69\].

**C. Establishment of Legislative Leadership Committees.** The president
of the senate, the minority leader of the senate, the speaker of the
general as­sembly and the minority leader of the general assembly each
may establish, au­thorize the establishment of, or designate one
legislative leadership committee for the purpose of receiving
contributions and making expenditures to aid or promote the candidacy of
any individual or individuals for elective office in any election or the
passage or defeat of a public question or public questions in any
election. Each of these legislative leaders or the person authorized to
establish a legislative leadership committee for a legislative office is
to appoint such mem­bers and adopt such bylaws for the maintenance of the
committee as is deemed appropriate. If a state committee of a political
party is designated to serve as a legislative leadership committee, any
receipts and expenditures of the state committee that relate to its
activity as a legislative leadership committee must be accounted for
separately from receipts and expenditures relating to the state
committee\'s other activities, and all activity by the state committee
in its capaci­ty as a legislative leadership committee are considered as
having been conducted as the activities of a separate legislative
leadership committee \[70\].

The Election Law Enforcement Commission is be informed in writing of the
names and addresses of the chairperson, vice‑chairperson, and all other
mem­bers of the committee within 30 days after such a committee is
established. The Commission is to be informed of any change in the
membership of the commit­tee within three days of the occurrence of the
change \[71\].

**D. Statements of Registration of Political Committees, Continuing
Po­litical Committees, and Legislative Leadership Committees.** Each
political committee that aids or promotes the nomination or the election
of a candidate or the passage or defeat of a public question, each
continuing political commit­tee, and each legislative leadership
committee is required to submit to the Election Law Enforcement
Commission a statement of registration that includes:

\(1\) The complete name or identifying title of the committee and the
general category of entity or entities, including but not limited to
business organizations, labor organizations, professional or trade
associations, candidate for or holder of public office, political party,
ideological grouping, or civic association the inter­ests of which are
shared by the leadership, members, or financial supporters of the
committee.

\(2\) The mailing address of the committee and the name and resident
address of a resident of the state who has been designated by the
committee as its agent to accept service of process.

\(3\) A descriptive statement prepared by the organizers or officers of
the committee that identifies:

\(a\) For a political committee or continuing political committee, the
names and mailing addresses of the persons having control over the
affairs of the committee, including but not limited to persons in whose
name or at whose di­rection or suggestion the committee solicits funds
and persons participating in any decision to make a contribution of such
funds to any candidate, political committee, or continuing political
committee.

\(b\) For a political committee or continuing political committee, the
name and mailing address of any person not having control over the
affairs of the committee who, directly or through an agent, participated
in the initial organiza­tion of the committee.

\(c\) For a political committee or continuing political committee, in
the case of any person having control over the affairs of the committee
or participating in its organization who is an individual, the
occupation of that individual, the indi­vidual\'s home address, and the
name and mailing address of the individual\'s em­ployer or, in the case
of any such person that is a corporation, partnership, unin­corporated
association, or other organization, the name and mailing address of the
organization.

\(d\) For all committees, any other information that the Election Law
Enforcement Commission may by regulation require as being material to
the fullest possible disclosure of the economic, political, and other
particular interests and objectives that the committee has been
organized to or does advance \[72\].

A political committee or continuing political committee that elects to
solicit employees for voluntary contributions by the withholding or
diversion of a por­tion of the employees\' wages by their employer is
required to file a statement of registration that also includes an
explanatory statement as to the process utilized for the selection of
recipients of funds raised by the committee \[73\].

The Commission is to be informed in writing of any change in the
information required in a statement of registration within three days of
the occurrence of the change \[74\].

After submission of a statement of registration to the Commission, the
com­mittee must use its complete name or identifying title on all
documents submit­ted to the Commission, in all solicitations for
contributions, in all paid media ad­vertisements purchased or paid for by
the committee in support of or in opposi­tion to any candidate or public
question, and in all contributions made by the committee to candidates
or other committees \[75\].

**E. Designation of Treasurer and Depository**

**1. General Provisions.** Each candidate, political party committee,
political committee, and continuing political committee is required to
appoint a single treasurer and designate one depository and file the
name and address of the treasurer and depository with the Election Law
Enforcement Commission \[76\].

The designated treasurer may appoint deputy treasurers as may be
required and may designate additional depositories. The names and
addresses of addi­tional deputy treasurers and depositories must be filed
with the Election Law Enforcement Commission. Treasurers and deputy
treasurers may be removed by the candidate or committee. In the case of
death, resignation, or removal of a treasurer, a successor must be
appointed as soon as practicable, and the name and address of the new
treasurer must be filed with the Commission within 3 days \[77\].

No contribution of money or other thing of value or obligation therefor
(in­cluding contributions, loans, or obligations of a candidate himself
or herself or of the candidate\'s family) may be made or received and no
expenditure of money or other thing of value or obligation therefor
(including expenditures, loans, or obligations of a candidate himself or
herself or the candidate\'s family) may be made or incurred, directly or
indirectly, to support or defeat a candidate in any election or to aid
the passage or defeat of any public question except through the duly
appointed campaign treasurer or deputy campaign treasurers of a
can­didate committee, joint candidates committee, or political committee
or the duly appointed organizational treasurer or deputy organizational
treasurers of a polit­ical party committee, continuing political
committee, or legislative leadership committee \[78\].

A campaign or organizational treasurer or deputy campaign or
organizational treasurer of a committee must make a written record of
all funds that he or she receives as contributions to the committee,
including the name and mailing ad­dress of the contributor, the amount
and date of the contribution, and where the contributor is an
individual, the occupation of the individual and the name and mailing
address of the individual\'s employer. The record must be retained for
not less than 4 years. All funds received as contributions must be
deposited by the treasurer or deputy treasurer in a designated
depository no later than the 10th day following the receipt of the funds
\[79\].

When authorized by the candidate, candidates, or committee of which he
or she is the treasurer or deputy treasurer, the treasurer or deputy
treasurer may transfer contributed funds to the duly designated
treasurer or deputy treasurer of another candidate or committee for
inclusion in its campaign depository with­out first depositing the funds.
The amount transferred may not exceed the amount that may be contributed
from one candidate to another candidate in an election; however, this
restriction does not prohibit a county or municipal com­mittee of a
political party from making contributions or transferring funds as
au­thorized for inclusion in an election fund to any candidate or
committee \[80\].

**2. Candidates, Candidate Committees, and Joint Candidates
Commit­tees.** Each candidate must establish (1) a candidate committee,
(2) a joint can­didates committee, or (3) both a candidate committee and
a joint candidates committee for the purpose of receiving contributions
and making expenditures no later than the date on which that candidate
first receives any contribution or makes or incurs any expenditures in
connection with an election. An individual who is a candidate for two or
more public offices in an election or in separate elections must
establish separate candidate committees, separate joint candidates
committees, or both for each office contested. A candidate may not,
however, establish, authorize the establishment of, maintain, or
participate directly or in­directly in the management or control of any
political committee or any continu­ing political committee. After an
election, a candidate, whether or not success­ful in that election, must
maintain a candidate committee or a joint candidates committee so long
as contributions are received or expenditures made by that former
candidate \[81\].

An elected officeholder who receives contributions and who has not
main­tained a candidate committee or a joint candidates committee must
establish a candidate committee, a joint candidates committee, or both a
candidate commit­tee and a joint candidates committee in a timely manner
for the purpose of re­ceiving contributions and making expenditures
\[82\].

The candidate or candidates, as the case may be, must file with the
Election Law Enforcement Commission a certificate of organization prior
to or simultane­ously with the filing of a notification of the
designation of a campaign depository on a form prescribed by the
Commission. The certificate is to:

\(1\) Identify the name of the committee, which is the sole name under
which the committee receives contributions, makes expenditures, and
otherwise does business and which must include the surname or surnames,
as appropriate, of the candidate or candidates; however, in the case of
a joint candidates commit­tee, the name of the committee need not include
such surnames if it identifies the legislative district, county,
municipality, or other jurisdiction in which the candidates jointly seek
nomination for election or election and, in any case in which they seek
nomination for election or election as the candidates of a politi­cal
party, the name of that party, but no joint candidates committee so
named may take the same name as that of any committee of a political
party or another joint candidates committee. In the case of a candidate
committee, the name of the committee must identify the office sought by
the candidate.

\(2\) Provide for the initial appointment by the candidate(s) of a
campaign treasurer and for the designation by the candidate(s) of that
treasurer of the candidate committee or joint candidates committee as
the campaign treasurer of the candidate(s).

\(3\) Generally identify and be signed by the candidate(s) and the
chairman and the treasurer of the candidate committee or joint
candidates committee, as the case may be \[83\].

Upon the filing of a certificate of organization and until the
termination of the committee, the candidate committee or joint
candidates committee is required to file the reports of contributions
and expenditures that the campaign treasurer or treasurers of the
candidate(s) would otherwise be required to file \[84\].

Each candidate or the candidates comprising a joint candidates committee
are to designate a campaign depository, which may be any bank authorized
by law to transact business in the state. Notification of the
designation of the campaign depository is made by the candidate(s) or
committee by filing the name and ad­dress of the depository with the
Election Law Enforcement Commission no later than the 10th day after
receipt by the candidate(s) or committee of any contri­bution on behalf
of the candidate(s) or after the making or incurring by the can­didate(s)
of any expenditure on behalf of that candidacy, whichever comes first. A
campaign treasurer of a candidate or candidates may designate additional
campaign depositories in each county in which the campaign is conducted;
the names and addresses of additional campaign depositories must be
filed with the Election Law Enforcement Commission \[85\].

A candidate may serve as his or her own campaign treasurer. One of the
can­didates in a joint candidates committee may serve as the campaign
treasurer of the entire committee. A campaign treasurer of a candidate
or candidates may appoint deputy campaign treasurers as required; the
names and addresses of deputy campaign treasurers must be filed with the
Election Law Enforcement Commission. The candidate(s) may remove a
campaign treasurer or deputy campaign treasurer. In the case of the
death, resignation, or removal of a cam­paign treasurer, the candidate(s)
must appoint a successor as soon as practicable and file the name and
address of the successor with the Election Law Enforcement Commission
within three days \[86\].

A person serving as the chairman of a political party committee or a
legisla­tive leadership committee is not eligible to be appointed or to
serve as (1) the chairman of a candidate committee or joint candidates
committee, other than a candidate committee or joint candidates
committee established to further the nomination or election of that
person as a candidate for public office or (2) the treasurer of a
candidate committee or joint candidates committee, other than a
candidate committee or joint candidates committee established to further
the nomination or election of that person as a candidate for public
office \[87\].

Each candidate and campaign treasurer must certify that each report
filed by the candidate committee or joint candidates committee with the
Election Law Enforcement Commission is correct and conforms with the all
limitations on contri­butions and expenditures \[88\].

**3. Political Party Committees.** Each political party committee must
des­ignate a single organizational treasurer and an organizational
depository on or before July 1st in each year and file the name and
address of the designated treasurer and depository with the Election Law
Enforcement Commission not later than the 10th day after the designation
of the organizational depository. The organizational treasurer may
appoint deputy organizational treasurers as may be required and may
designate additional organizational depositories. The party committee is
required to file the names and addresses of deputy treasurers and
additional depositories with the Commission not later than the 5th day
after their appointment or designation, as appropriate \[89\].

**4. Political Committees.** Every political committee must appoint a
single campaign treasurer and designate a campaign depository not later
than the date on which the committee first receives any contribution or
makes or incurs any expenditure in the furtherance or aid of the
election or defeat of any candidate or the passage or defeat of any
public question. The committee must file the name and address of the
campaign treasurer and campaign depository with the Election Law
Enforcement Commission not later than the 10th day after the initial
designation of the campaign depository. The campaign treasurer may
appoint deputy campaign treasurers as may be required and may designate
additional campaign depositories. The political committee must file the
names and ad­dresses of deputy treasurers and additional depositories not
later than the 5th day after their appointment or designation, as
appropriate \[90\].

A person serving as the chairman of a political party committee or a
legisla­tive leadership committee is not eligible to be appointed or to
serve as the chairman or campaign treasurer of a political committee
\[91\].

**5. Continuing Political Committees.** Every continuing political
commit­tee must appoint a single organizational treasurer and designate
an organization­al depository not later than the date on which the
committee first receives any contribution or makes or incurs any
expenditure in the furtherance or aid of the election or defeat of any
candidate or the passage or defeat of any public ques­tion. The committee
must file the name and address of the organizational treas­urer and
organizational depository with the Election Law Enforcement Commission
not later than the 10th day after the initial designation of the
organizational depository. The organizational treasurer may appoint
deputy organizational treasurers as may be required and may designate
additional organizational de­positories. The continuing political
committee must file the names and address­es of the deputy treasurers and
additional depositories not later than the 5th day after their
appointment or designation, as appropriate \[92\].

A person serving as the chairman of a political party committee or a
legisla­tive leadership committee is not eligible to be appointed or to
serve as the chairman or organizational treasurer of a continuing
political committee \[93\].

**6. Legislative Leadership Committees.** Every legislative leadership
committee must appoint a single organizational treasurer and designate
an or­ganizational depository not later than the date on which the
committee first re­ceives any contribution or makes or incurs any
expenditure in the furtherance or aid of the election or defeat of any
candidate or the passage or defeat of any public question. The committee
must file the name and address of the organiza­tional treasurer and
organizational depository with the Election Law Enforcement Commission
not later than the 10th day after the initial designation of the
organ­izational depository. The organizational treasurer may appoint
deputy organiza­tional treasurers as may be required and may designate
additional organizational depositories. The legislative leadership
committee must file the names and ad­dresses of the deputy treasurers and
additional depositories not later than the 5th day after their
appointment or designation, as appropriate \[94\].

**F. Certification by Potential Continuing Political Committees.** A
group of two or more persons acting jointly or any corporation,
partnership, or other incorporated or unincorporated association,
including a political club, political action committee, civic
association, or other organization, that in any calendar year
contributes or expects to contribute at least \$3,700 to the aid or
promotion of the candidacy of one or more individuals for elective
public office or the pas­sage or defeat of one or more public questions
and that expects to make contri­butions toward such aid or promotion or
such passage or defeat during a subse­quent election (i.e., during a
subsequent calendar year) must certify that fact to the Election Law
Enforcement Commission \[95\].

Upon receipt of the certification and upon the basis of any information
as it may require, the Election Law Enforcement Commission must
determine whether the group, corporation, partnership, association, or
other organization is a con­tinuing political committee for the purposes
of the Campaign Contributions and Expenditures Reporting Act. If the
Commission determines that the group, cor­poration, partnership,
association, or organization is a continuing political com­mittee, it is
required to so notify that continuing political committee \[96\].

**G. Reports of Contributions and Expenditures**

**1. Candidate Committees and Joint Candidates Committees.** Each
campaign treasurer of a candidate committee and joint candidates
committee is required to file periodic cumulative reports of
contributions and expenditures with the Election Law Enforcement
Commission until the candidate committee or joint candidates committee
is dissolved \[97\].

Detailed reports of contributions and expenditures on behalf of a
candidate do *not* have to be filed if the candidate files with the
Election Law Enforcement Commission a sworn statement to the effect that
the total amount to be expend­ed on behalf of his or her candidacy by the
candidate committee and by any po­litical party committee, political
committee, or person will not in the aggregate exceed \$3,000 for the
individual candidacy, \$5,800 for a joint candidates com­mittee
containing two candidates, or \$8,500 for a joint candidates committee
containing three or more candidates; however, if the candidate later
receives contributions from any one source aggregating more than \$400,
he or she forth­with must make a report to the Commission of the
contributions, including the name and mailing address of the source, the
aggregate total of contributions from the source, and where the source
is an individual, the occupation of the in­dividual and the name and
mailing address of the individual\'s employer. The sworn statement for a
reporting exemption must be submitted when the name and address of the
campaign treasurer and depository are filed with the Commission, but in
any case not later than the 29th day before the election \[98\].

There is no obligation imposed upon a candidate seeking election to a
public office of a school district to file either the required reports
of contributions and expenditures or the sworn exemption statement if
the total amount expended and to be expended in behalf of his or her
candidacy by the candidate commit­tee or any political committee,
continuing political committee, political party committee, or person
does not in the aggregate exceed \$3,000 per election for the individual
candidacy, \$5,800 for any joint candidates committee containing two
candidates, or \$8,500 for any joint candidates committee containing
three or more candidates; however, if the candidate later receives
contributions from any one source aggregating more than \$400, he or she
forthwith must make a report to the Commission of the contributions,
including the name and mailing address of the source, the aggregate
total of contributions from the source, and where the source is an
individual, the occupation of the individual and the name and mailing
address of the individual\'s employer \[99\].

*Pre‑ and Post‑Election Reports.* The report of a campaign treasurer of
a can­didate committee or joint candidates committee must include all
contributions in the form of moneys, loans, paid personal services, or
other things of value made to the campaign treasurer or to the deputy
campaign treasurers of the commit­tee and all expenditures paid out of
the election fund of the candidate(s) during the period ending with the
2nd day preceding the date of the cumulative report and beginning on the
date of the first of those contributions, the date of the first of those
expenditures, or the date of the appointment of the campaign treasurer,
whichever occurred first. The report must also contain (1) the name and
ad­dress of each person or group from whom moneys, loans, paid personal
services, or other things of value were contributed after the 2nd day
preceding the date of the previous cumulative report and the amount
contributed by each person or group and (2) where an individual has made
such contributions, the occupation of the individual and the name and
mailing address of the individual\'s employer. In the case of any loan
reported, the report must also contain the name and mailing address of
each person who cosigns the loan, the occupation of the per­son, and the
name and mailing address of the person\'s employer. The campaign
treasurer and the candidate(s) are required to certify the correctness
of the re­port \[100\].

In any report filed, the name of and other information relating to any
con­tributor whose contributions during the period covered by the report
did not exceed \$400 may be excluded; however, this exclusion is not
permitted with re­spect to a contributor if any person responsible for
the preparation or filing of the report knows that the contributor\'s
total contributions relating to the same election and made to the
reporting committee aggregated more than \$400 \[101\]. An itemized
accounting of all receipts and expenditures relating to any testimon­ial
affair held since the date of the most recent report filed, including
the name and mailing address of each contributor in excess of \$400 and
the amount con­tributed by each, the occupation of an individual
contributor and the name and mailing address of the individual\'s
employer, the expenses incurred, and the dis­position of the proceeds of
the testimonial affair must be included in the report \[102\].

The campaign treasurer must file a cumulative campaign report of
contribu­tions and expenditures on the 29th day preceding the election,
on the 11th day preceding the election, and on the 20th day following
the election \[103\].

Cumulative reports of contributions and expenditures are filed with the
Election Law Enforcement Commission, and in the case of an election of a
candidate for an office elected by a municipal or county‑wide
constituency or a school dis­trict, a duplicate copy of the report must
be filed at the same time with the county clerk of the county in which
the candidate resides \[104\].

*Quarterly Reports*. A candidate committee or joint candidates committee
must file cumulative quarterly reports with the Election Law Enforcement
Commission not later than April 15th, July 15th, and October 15th of
each calendar year in which the candidate(s) in control of the committee
do not run for elec­tion or reelection and not later than January 15th of
each calendar year in which the candidate(s) run for election or
reelection \[105\].

A candidates committee or joint candidates committee is to report (1)
all moneys, loans, paid personal services, or other things of value
contributed to the committee or candidate(s) during the period ending on
the 15th day preceding the quarterly reporting date and commencing on
January 1 of that calendar year or, in the case of the report to be
filed not later than January 15, of the previous calendar year and (2)
all expenditures made, incurred, or authorized by the committee or
candidate(s) during the reporting period, whether or not such
ex­penditures were made, incurred, or authorized in furtherance of the
election or defeat of any candidate or in aid of the passage or defeat
of any public question or to provide information on any candidate or
public question. The report due on April 15th in a year immediately
after the year in which the candidate(s) run for election or reelection
shall contain a report of all of the contributions re­ceived and
expenditures made by the candidate(s) after that election \[106\].

The Election Law Enforcement Commission may by regulation require any
committee to file during any calendar year one or more additional
cumulative reports of the contributions received and expenditures made
as may be neces­sary to ensure that no more than 5 months elapse between
the last day of a pe­riod covered by one such report and the last day of
the period covered by the next such report \[107\].

The Election Law Enforcement Commission, on any form it prescribes for
the reporting of expenditures, must provide for (1) the grouping
together of all ex­penditures for the payment of campaign expenses under
the category of \"cam­paign expenses\" and (2) for the separate grouping
together of all other expen­ditures under the following categories:

\(1\) Contributions to any charitable organization described in § 170(c)
of the Internal Revenue Code of 1954, as amended or modified, or
nonprofit organiza­tion that is exempt from taxation under § 501(c) of
the Internal Revenue Code of 1954.

\(2\) Transmittal to another candidate, candidate committee, or joint
candi­dates committee or to a political committee, continuing political
committee, leg­islative leadership committee, or political party
committee for the lawful use by such other candidate or committee.

\(3\) The payment of the overhead and administrative expenses related to
the operation of the candidate committee or joint candidates committee
of a can­didate or a legislative leadership committee.

\(4\) The pro‑rata repayment of contributors.

\(5\) The payment of ordinary and necessary expenses of holding public
office \[108\].

A cumulative quarterly report is to contain the name and mailing address
of each person or group from whom moneys, loans, paid personal services
or other things of value have been contributed and the amount
contributed by each per­son or group and where an individual has made
such contributions, the occupa­tion of the individual and the name and
mailing address of the individual\'s em­ployer. In the case of any loan
reported, the report is to contain the name and address of each person
who cosigns the loan, and where an individual has co­signed the loan, the
occupation of the individual and the name and mailing ad­dress of the
individual\'s employer. The report must also contain the name and
address of each person, firm, or organization to whom expenditures have
been paid and the amount and purpose of each such expenditure. The
treasurer of the candidate committee or joint candidates committee and
the candidate or candidates must certify to the correctness of each
cumulative quarterly report \[109\].

**2. Political Committees.** Each political committee is required to
file peri­odic cumulative reports of contributions and expenditures with
the Election Law Enforcement Commission when \$1,500 or more is raised
or expended to aid or promote the nomination, election, or defeat of a
candidate or candidates for public office or the passage or defeat of a
public question in an election \[110\].

A political committee is exempt from any requirement to file cumulative
fi­nancial reports of contributions received or expenditures made in
behalf of two or more joint candidates in any election if the committee
files with the Commission a sworn statement to the effect that the total
amount to be expended on behalf of their candidacies will not exceed
\$5,800; however, if a committee that has filed such a sworn statement
receives contributions from any one source ag­gregating more than \$400,
it must forthwith report to the Commission that fact, including the name
and mailing address of the source, the occupation of an indi­vidual who
is a source, the name and mailing address of the individual\'s employ­er,
and the aggregate total of contributions from the source. The sworn
state­ment for a reporting exemption may be filed with the notice of
designation by a political committee of its campaign treasurer and
campaign depository if the committee knows or has reason to believe at
the time when the notice of desig­nation is given that the total amount
to be so expended will not exceed \$5,800 \[111\].

Each report of contributions and expenditures must include all
contributions in the form of moneys, loans, paid personal services, or
other things of value made to the committee and all expenditures made,
incurred, or authorized by it in furtherance of the nomination,
election, or defeat of any candidate, in aid of the passage or defeat of
any public question, or to provide political information on any
candidate or public question during the period ending 48 hours preceding
the date of the report and beginning on the date on which the first of
those con­tributions was received or the first of those expenditures was
made, whichever occurs first \[112\].

The report must contain (1) the name and address of each person or group
from whom moneys, loans, paid personal services, or other things of
value have been contributed since 48 hours preceding the date on which
the previous cumu­lative report was made, (2) in the case of a reported
loan, the name and address of each person who has co‑signed the loan
since 48 hours preceding the date on which the previous report was made,
and (3) the name and address of each per­son, firm, or organization to
whom expenditures have been paid since 48 hours preceding the date on
which the previous report was made. The campaign treasurer of the
political committee must certify to the correctness of each re­port
\[113\].

In any report filed, the name of and other information relating to any
con­tributor whose contributions during the period covered by the report
did not exceed \$400 may be excluded; however, this exclusion is not
permitted with re­spect to a contributor if any person responsible for
the preparation or filing of the report knows that the contributor\'s
total contributions relating to the same election and made to the
reporting committee aggregated more than \$400. An itemized accounting
of all receipts and expenditures relating to any testimonial affair held
since the date of the most recent report filed, including the name and
mailing address of each contributor in excess of \$400 and the amount
contribut­ed by each, the occupation of an individual contributor and the
name and mail­ing address of the individual\'s employer, the expenses
incurred, and the disposi­tion of the proceeds of the testimonial affair
must be included in the report \[114\].

Each report of contributions by a political committee required to submit
a statement of registration is to include, in the case of each
contributor who is an individual, the home address of the individual if
different from the individual\'s mailing address or, in the case of any
contributor that is an organization, any in­formation, in addition to
that otherwise required, that the Election Law Enforcement Commission
may require by regulation as being material to the fullest pos­sible
disclosure of the economic, political, and other particular interests
and ob­jectives that the contributing organization has been organized to
or does ad­vance \[115\].

The political committee must file a cumulative campaign report of
contribu­tions and expenditures on the 29th day preceding the election,
on the 11th day preceding the election, and on the 20th day following
the election \[116\].

**3. Continuing Political Committees.** A continuing political committee
is required to submit cumulative quarterly reports of contributions and
expen­ditures with the Election Law Enforcement Commission \[117\].

A cumulative quarterly report must contain (1) the name and mailing
address of each person or group from whom moneys, loans, paid personal
services, or other things of value have been contributed and the amount
contributed by each person or group (and where an individual has made
such contributions, the oc­cupation of the individual and the name and
mailing address of the individual\'s employer), (2) in the case of any
reported loan, the name and address of each person who cosigns the loan
(and where an individual has cosigned the loan, the occupation of the
individual and the name and mailing address of the individu­al\'s
employer), and (3) the name and address of each person, firm, or
organiza­tion to whom expenditures have been paid and the amount and
purpose of each such expenditure. The treasurer of the committee must
certify to the correct­ness of each cumulative quarterly report \[118\].

In any report filed, the name of and other information relating to any
con­tributor whose contributions during the period covered by the report
did not exceed \$400 may be excluded; however, this exclusion is not
permitted with re­spect to a contributor if any person responsible for
the preparation or filing of the report knows that the contributor\'s
total contributions relating to the same election and made to the
reporting committee aggregated more than \$400. An itemized accounting
of all receipts and expenditures relating to any testimonial affair held
since the date of the most recent report filed, including the name and
mailing address of each contributor in excess of \$400 and the amount
contribut­ed by each, the occupation of an individual contributor and the
name and mail­ing address of the individual\'s employer, the expenses
incurred, and the disposi­tion of the proceeds of the testimonial affair
must be included in the report \[119\].

Each report of contributions by a continuing political committee
required to submit a statement of registration is to include, in the
case of each contributor who is an individual, the home address of the
individual if different from the in­dividual\'s mailing address or, in
the case of any contributor that is an organiza­tion, any information, in
addition to that otherwise required, that the Election Law Enforcement
Commission may require by regulation as being material to the fullest
possible disclosure of the economic, political, and other particular
inter­ests and objectives that the contributing organization has been
organized to or does advance \[120\].

The report must be filed not later than April 15th, July 15th, October
15th, and January 15th of each calendar year and include all moneys,
loans, paid per­sonal services, or other things of value contributed to
the committee and all ex­penditures made, incurred, or authorized by the
committee, whether or not such expenditures were made, incurred, or
authorized in furtherance of the election or defeat of any candidate, in
aid of the passage or defeat of any public ques­tion, or to provide
information on any candidate or public question, during the period
ending on the 15th day preceding the date the report is due and
com­mencing on January 1st of that calendar year or, in the case of the
cumulative report due not later than January 15th, of the previous
calendar year \[121\].

**4. Political Party Committees and Legislative Leadership Commit­tees.**
Each political party committee and each legislative leadership committee
is required to file quarterly cumulative reports of contributions and
expenditures with the Election Law Enforcement Commission \[122\].

A cumulative quarterly report must contain (1) the name and mailing
address of each person or group from whom moneys, loans, paid personal
services, or other things of value have been contributed and the amount
contributed by each person or group (and where an individual has made
such contributions, the oc­cupation of the individual and the name and
mailing address of the individual\'s employer), (2) in the case of any
reported loan, the name and address of each person who cosigns the loan
(and where an individual has cosigned the loan, the occupation of the
individual and the name and mailing address of the individu­al\'s
employer), and (3) the name and address of each person, firm, or
organiza­tion to whom expenditures have been paid and the amount and
purpose of each such expenditure. The treasurer of the committee must
certify to the correct­ness of each cumulative quarterly report \[123\].

In any report filed, the name of and other information relating to any
con­tributor whose contributions during the period covered by the report
did not exceed \$400 may be excluded; however, this exclusion is not
permitted with re­spect to a contributor if any person responsible for
the preparation or filing of the report knows that the contributor\'s
total contributions relating to the same election and made to the
reporting committee aggregated more than \$400. An itemized accounting
of all receipts and expenditures relating to any testimonial affair held
since the date of the most recent report filed, including the name and
mailing address of each contributor in excess of \$400 and the amount
contribut­ed by each, the occupation of an individual contributor and the
name and mail­ing address of the individual\'s employer, the expenses
incurred, and the disposi­tion of the proceeds of the testimonial affair
must be included in the report \[124\].

Each report of contributions by a legislative leadership committee
required to submit a statement of registration is to include, in the
case of each contributor who is an individual, the home address of the
individual if different from the in­dividual\'s mailing address or, in
the case of any contributor that is an organiza­tion, any information, in
addition to that otherwise required, that the Election Law Enforcement
Commission may require by regulation as being material to the fullest
possible disclosure of the economic, political, and other particular
inter­ests and objectives that the contributing organization has been
organized to or does advance \[125\].

The report must be filed not later than April 15th, July 15th, October
15th, and January 15th of each calendar year and include all moneys,
loans, paid per­sonal services, or other things of value contributed to
the committee and all ex­penditures made, incurred, or authorized by the
committee, whether or not such expenditures were made, incurred, or
authorized in furtherance of the election or defeat of any candidate, in
aid of the passage or defeat of any public ques­tion, or to provide
information on any candidate or public question, during the period
ending on the 15th day preceding the date the report is due and
com­mencing on January 1st of that calendar year or, in the case of the
cumulative report due not later than January 15th, of the previous
calendar year \[126\].

**H. Notice of Large Pre‑Election Contributions Received or Expen­ditures
Made**

**1. Candidate Committees and Joint Candidates Committees.** The
campaign treasurer of a candidate committee or joint candidates
committee is required to file written notice with the Election Law
Enforcement Commission of a contribution in excess of \$800 received
during the period between the 13th day prior to an election and the date
of the election. The notice must be filed in writing or by telegram
within 48 hours of the receipt of the contribution and must set forth
the amount and date of the contribution, the name and mailing address of
the contributor, and where the contributor is an individual, the
occu­pation of the individual and the name and mailing address of the
individual\'s employer \[127\].

**2. Political Committees.** The campaign treasurer of a political
committee is required to file written notice with the Election Law
Enforcement Commission of (1) a contribution in excess of \$800 received
during the period between the 13th day prior to the election and the
date of the election and (2) an expenditure of money or other thing of
value in excess of \$800 made, incurred, or authorized by the political
committee to support or defeat a candidate in an election or to aid the
passage or defeat of any public question, during the period between the
13th day prior to the election and the date of the election. The notice
of a con­tribution is to be filed in writing or by telegram within 48
hours of receipt and set forth the amount and date of the contribution,
the name and mailing address of the contributor, and where the
contributor is an individual, the individual\'s occupation and the name
and mailing address of the individual\'s employer. The notice of an
expenditure is to be filed in writing or by telegram within 48 hours of
the making, incurring, or authorization of the expenditure and set forth
the name and mailing address of the person, firm, or organization to
which the ex­penditure was paid and the amount and purpose of the
expenditure \[128\].

**3. Continuing Political Committees.** If a continuing political
committee submitting cumulative quarterly reports receives a
contribution from a single source of more than \$800 after the final day
of a quarterly reporting period and on or before a primary, general,
municipal, school, or special election which oc­curs after that final day
but prior to the final day of the next reporting period, the committee
must report the contribution in writing or by telegram to the Election
Law Enforcement Commission within 48 hours of receipt. The report must
include the amount and date of the contribution, the name and mailing
address of the contributor, and where the contributor is an individual,
the individual\'s occupation and the name and mailing address of the
individual\'s employer \[129\].

If a continuing political committee makes, authorizes, or incurs an
obligation for an expenditure of money or other thing of value in excess
of \$800 to support or defeat a candidate in an election or to aid the
passage or defeat of any public question after March 31st and on or
before the day of the primary election or after September 30th and on or
before the day of the general election, the committee must report the
expenditure in writing or by telegram to the Election Law Enforcement
Commission within 48 hours of the making, authorizing, or in­curring of
the expenditure \[130\].

**4. Political Party Committees and Legislative Leadership Commit­tees.**
If a political party committee or a legislative leadership committee
sub­mitting cumulative quarterly reports of contributions and
expenditures receives a contribution from a single source of more than
\$800 after the final day of a quarterly reporting period and on or
before a primary, general, municipal, school, or special election that
occurs after that final day but prior to the final day of the next
reporting period, the committee must report the contribution in writing
or by telegram to the Election Law Enforcement Commission within 48
hours of receipt. The report must include the amount and date of the
contribu­tion, the name and mailing address of the contributor, and where
the contributor is an individual, the individual\'s occupation and the
name and mailing address of the individual\'s employer \[131\].

**I. Notification to a Candidate of Expenditures Made or Authorized on
Candidate\'s Behalf.** When a candidate committee, joint candidates
committee, political committee, continuing political committee,
legislative leadership com­mittee, or individual seeking party office
makes or authorizes an expenditure on behalf of a candidate, the
committee or individual must provide immediate writ­ten notification of
the expenditure to the candidate \[132\].

**J. Notification of Paid Personal Services.** A person who contributes
paid personal services must furnish to the treasurer of the candidate,
committee, or organization through whom such a contribution is made a
statement setting forth the actual amount of compensation paid by the
contributor to the individuals ac­tually performing the services for
their performance. If any individual actually performing such services
also performed other services for the contributor dur­ing the same period
and the manner of payment was such that payment for the services
contributed cannot readily be segregated from contemporary payment for
other services, the contributor must in his or her statement to the
treasurer so state and either (1) set forth the contributor\'s best
estimate of the dollar amount of the payment to each individual that is
attributable to the contribution of his or her paid personal services
and certify the substantial accuracy of the estimate or (2) if the
contributor is unable to determine the amount with sufficient accuracy,
set forth the total compensation paid by him or her to each individual
for the period of time during which the contributed services were
performed \[133\].

**K. Report of Independent Expenditures.** Any person not acting in
con­cert with any other person or group may expend personally from his or
her own funds a sum that is not to be repaid to him or her for any
purpose not prohibited by law or contribute his or her own personal
services and personal traveling ex­penses to support or defeat a
candidate or to aid the passage or defeat of a pub­lic question; however,
if the total of the money so expended, except personal traveling
expenses, exceeds \$800, the person making the expenditure is required
to report his or her name and mailing address, the amount of all
expenditures and expenses (except personal traveling expenses), and if
the person is an indi­vidual, the occupation of the individual and the
name and address of the indi­vidual\'s employer \[134\]. The report must
be submitted to the Election Law Enforcement Commission at the same time
and in the same manner as a political committee report of contributions
and expenditures \[135\].

**L. Candidate Financial Disclosure Statement.** Every candidate for the
office of governor or for the senate or general assembly must file and
certify the correctness of a financial disclosure statement on or before
the 10th day follow­ing the last day for filing a petition to appear on
the ballot, and the statement must be filed with the Election Law
Enforcement Commission \[136\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Waiver of Post‑Election Reporting.** The Election Law Enforcement
Commission may waive the requirements for filing quarterly reports after
the first post‑election report by a candidate committee, joint candidate
committee, or political committee, notwithstanding that a certification
that the committee has wound up its business has not been filed, if the
committee certifies that the outstanding campaign obligations (1) do not
exceed 10% of the expenditures from the campaign fund with respect to
the election or \$1,000, whichever is less, or (2) are likely to be
discharged or forgiven \[137\].

**B. Final Report‑‑Certification of Winding Up of Business**

**1. Candidate Committees and Joint Candidates Committees.** Concur­rent
with the report of contributions and expenditures filed on the 20th day
fol­lowing an election or at any time thereafter, the campaign treasurer
of a can­didate committee or joint candidates committee may certify to
the Election Law Enforcement Commission that the election fund of the
committee has wound up its business and been dissolved or that business
regarding the late election has been wound up but the committee will
continue for the deposit and use of con­tributions of the election fund
for permissible purposes. The certification is to be accompanied by a
final accounting of the election fund or of the transactions relating to
the election, including the final disposition of any balance remaining
in the fund at the time of dissolution or the arrangements that have
been made for the discharge of any obligations remaining unpaid at the
time of dissolution \[138\].

**2. Continuing Political Committees.** A continuing political committee
that ceases making contributions toward the aiding or promoting of the
candida­cy of one or more individuals for elective public office in the
state or the pas­sage or defeat of one or more public questions in the
state is required to certify that fact in writing to the Election Law
Enforcement Commission. The certifica­tion must be accompanied by a final
accounting of any fund relating to such aid­ing or promoting, including
the final disposition of any balance in such fund at the time of
dissolution. Until the certification has been filed, the committee must
continue to file cumulative quarterly reports of contributions and
expen­ditures \[139\].

**C. Post‑Final‑Report Reporting of Contributions and Expenditures.** If
any former candidate, political committee, or person or association of
persons in behalf of such candidate or committee receives any
contributions or makes any expenditures with relation to any election
after the date for the final report after the election or conducts any
testimonial affair or public solicitation for the pur­pose of raising
funds to cover any part of the expenses of a candidate, political
committee, or organization in such election, all such contributions,
expenditures, testimonial affairs, or public solicitations must be
reported to the Election Law Enforcement Commission by the persons
receiving the contributions, making the expenditures, or conducting the
testimonial affairs or public solicitations. The report must be made by
the person who receives contributions or makes expen­ditures that in the
aggregate total more than \$400 or conducts a testimonial af­fair or
public solicitation that has net proceeds exceeding \$400. The report
must be submitted within 20 days from the date upon which the aggregate
of contri­butions, expenditures, or proceeds exceeds \$400 for the period
commencing with the 19th day following the election or with the date
when any previous such post‑final report was made, whichever is sooner.
The report must contain the same detail prescribed for cumulative
reports of contributions and expenditures \[140\].

**VI. PUBLIC FINANCING PROVISIONS**

**A. Public Financing of Gubernatorial Campaigns.** Primary and general
election campaigns for the office of governor are financed partially
with public support \[141\]. The provisions relating to public financing
of gubernatorial cam­paigns apply only if the state legislature makes an
appropriation \[142\].

Except in the case of a candidate receiving public funds, no person,
candidate committee or candidates joint committee, political committee,
continuing politi­cal committee, or legislative leadership committee may
make contributions in aid of or on behalf of a candidate for governor in
a primary or general election that exceed (1) \$2,600 in the aggregate
to a candidate, the candidate\'s campaign treasurer or deputy campaign
treasurer, a candidate committee, a political party committee, or any
other person or committee, (2) \$2,600 per candidate in a joint
candidates committee when that is the only committee established by the
candi­dates, or (3) \$2,600 from a candidate when both a candidate
committee and joint candidates committee are established by the
candidate. No contribution in excess of the aggregate limitation may be
accepted knowingly by a gubernatorial candidate or the candidate\'s
campaign treasurer in a primary or general election. The maximum
contribution limitation applies to each primary election and each
general election \[143\]. The spouse of a contributor also may
contribute not more than \$2,600 in a primary election and \$2,600 in a
general election \[144\].

A political party state committee may not knowingly accept contributions
to aid a candidate for governor in the general election that exceed (1)
\$2,600 in the aggregate from any person, candidate committee, joint
candidates committee, political committee, continuing political
committee, or legislative leadership committee, (2) \$2,600 per
candidate from a joint candidates committee when that is the only
committee established by the candidates, or (3) \$2,600 from a candidate
when both a candidate committee and joint candidates committee are
established by the candidate. The state committee may not allocate more
than \$2,600 of any contribution in aid of or on behalf of a candidate;
however, in the case of a contribution from a joint candidates
committee, \$2,600 per candidate in the committee may be so allocated
when that is the only committee estab­lished by the candidates, and in
the case of a candidate committee and joint can­didates committee when
both are established by a candidate, \$2,600 from that candidate may be
so allocated. Political party county and municipal committees in the
same county may make maximum expenditures in the aggregate of \$10,000
to aid a candidate for governor in a general election; however, a county
or municipal committee may not transfer or contribute funds to a
gubernatorial candidate or the candidate\'s campaign treasurer or to a
political committee sup­porting the candidate \[145\].

To determine the amount of a contribution to be attributed as given by
each candidate in a joint candidates committee, the amount of the
contribution is di­vided equally among all the candidates in the
committee \[146\].

A gubernatorial candidate receiving public funds may not make
expenditures from his or her own funds, including any contributions, to
aid his or her candid­acy in excess of \$25,000 for the primary election
and \$25,000 for the general election \[147\].

The state legislature is required to appropriate moneys from the
gubernatorial election fund and, if necessary, the general treasury to
the Election Law Enforcement Commission to constitute a fund for
gubernatorial campaign expenses for primary and general elections to the
office of governor that is to be regulated and distributed by the
Commission \[148\].

Contributions received by candidates for governor for the purpose of the
primary or general election, subject to certain exceptions, must be
deposited in separate bank accounts: one for the primary election, the
other for the general election. No moneys in a candidate\'s primary
election account may be expended for general election expenses, and no
moneys in the general election account may be expended until the day
following the primary election and then only for general election
expenses \[149\].

Upon application to the Election Law Enforcement Commission, the
campaign treasurer (or deputy campaign treasurer) of a \"qualified
candidate\" for governor in a primary election will promptly receive
(but not earlier than January 1st in the year of the election) for
election campaign expenses from the gubernatorial election fund moneys
equaling twice the amount of not more than \$2,600 of each eligible
contribution deposited in the candidate\'s primary election bank ac­count
in excess of \$84,000, up to a maximum of \$2,300,000 (2001 election).
For a general election, the campaign treasurer (or deputy campaign
treasurer), upon application, will promptly receive (but not prior to
the primary election) moneys equaling twice the total of not more than
\$2,600 of each eligible contribution deposited in the candidate\'s
general election bank account in excess of \$84,000, up to a maximum of
\$5,600,000 (2001 election). Applications for payment fol­lowing the date
on which a candidate is determined to be a qualified candidate for the
primary or general election may be made only on the basis of at least
\$12,500 of deposited contributions eligible to be matched by payments
from the fund \[150\].

A \"qualified candidate\" for governor is (1) any candidate for
nomination for election to the office of governor, whether or not the
candidate\'s name appears on the primary election ballot, who has
deposited in an approved primary elec­tion bank account and expended
\$260,000 and who, not later than the last day for filing petitions to
nominate candidates to be voted upon in a primary election for a general
election in which the office of governor is to be filled, notifies the
Election Law Enforcement Commission in writing that the candidate
intends that application will be made on the candidate\'s behalf for
monies for primary elec­tion campaign expenses and signs a statement of
agreement to participate in two interactive gubernatorial primary
debates or (2) any candidate for election to the office of governor,
whether or not the candidate\'s appears on the general election ballot,
who has deposited in an approved general election bank account and
expended \$260,000 and who, not later than September 1st before the
gener­al election, notifies the Election Law Enforcement Commission in
writing that the candidate intends that application will be made on the
candidate\'s behalf for monies for general election campaign expenses
and signs a statement of agree­ment to participate in two interactive
gubernatorial election debates \[151\].

Expenditures from the fund for gubernatorial election campaign expenses
must be made pursuant to the rules and regulations of the Commission and
strict­ly limited to (1) purchase of time on radio and television
stations, (2) purchase of rental space on outdoor signs or billboards,
(3) purchase of advertising space in newspapers and regularly published
magazines and periodicals, (4) payment of the cost of producing the
material aired or displayed on radio, television, out­door signs, or
billboards and in newspapers, regularly published magazines, and
periodicals, (5) payment of the cost of printing and mailing campaign
literature and brochures distributed under the name of a qualified
candidate, (6) payment of the cost of legal and accounting expenses
incurred in complying with the pub­lic financing regulations, and (7)
payment of the cost of telephone deposits and installation charges and
monthly billings in excess of deposits. These limitations apply only to
expenditures from the fund and not from any private contributions
\[152\].

Moneys received from the gubernatorial election fund may be retained for
not more than 6 months after the election for which such moneys were
received in order to liquidate all obligations to pay expenses that were
incurred during the election campaign for the purposes permitted. When
all obligations have been liquidated, all gubernatorial election fund
moneys remaining must be paid into the fund; however, no candidate is
required to pay into the fund moneys in ex­cess of the moneys received
from the fund \[153\].

Not later than December 1st of each year before the year in which a
general election for governor is to be held, the dollar amounts
applicable to the cam­paigns of candidates for nomination for election in
the primary election and for election in the general election for the
office of governor to be held in the fol­lowing year must be adjusted by
the Election Law Enforcement Commission to re­flect the changes that have
occurred in the overall costs of election campaigning in the state. The
amounts subject to adjustment include (1) the maximum amount of
contributions permitted to be made to any candidate, (2) the amount of
contributions with respect to which a qualified candidate is eligible to
receive moneys from the fund for campaign expenses, (3) the amount of
deposits or ex­penditures required to have been made by a candidate in
order for that can­didate to be a qualified candidate for governor, (4)
the amount of deposits into a qualified candidate\'s bank account for
which no payment of public funds is to be made, (5) the maximum amount
that may be spent in aid of the candidacy of a qualified candidate in a
primary or general election, and (6) the maximum amount that any
qualified candidate in a primary or general election may re­ceive from
the fund for election campaign expenses \[154\].

**VII. TAX PROVISIONS**

**A. Taxpayer Checkoff.** A taxpayer may indicate on his or her income
tax return that \$1 of his or her taxes is to be reserved for the
gubernatorial election fund. If a joint return is filed, the taxpayer
and the taxpayer\'s spouse each may designate \$1 for the fund. The
designation does not increase the tax liability or reduce any refund to
the taxpayer. For each \$1 designated for the fund, the state treasurer
must credit the fund from the taxes paid by the taxpayer \[155\].

**VIII. OFFENSES AND PENALTIES**

**A. Criminal and Election‑Related Penalties.** Any person who (1)
pur­posely with intent to conceal or misrepresent contributions given or
received or expenditures made or incurred makes or accepts any
contribution or makes or incurs any expenditure in violation in the
Campaign Contributions and Expen­ditures Reporting Act, (2) purposely
files, prepares, or assists in the preparation for filing or purposely
acquiesces in the preparation or filing of any required re­port that the
person knows is false, inaccurate, or incomplete in any material
particular, (3) purposely fails or refuses to file any report when
required to do so, or (4) purposely supplies any information that the
person knows to be false, inaccurate, or incomplete to any person
preparing or assisting in the preparation of a required report, with the
knowledge that the information is intended for the purposes of the
report, is guilty of a crime of the fourth degree. The nomination for or
election to any office of any candidate who is guilty of any of the
enumerated violations of the Act is void; however, each house of the
state legis­lature remains as the judge of the election and qualification
of its own members \[156\].

Any individual, partnership, membership organization, or other
association that, directly or through an agent, purposely makes a loan
or advance of money or other thing of value in violation of the Campaign
Contributions and Expen­ditures Reporting Act or purposely makes a
contribution as a result of having been induced to do so through the
receipt, promise, or offer of a loan or ad­vance of money or other thing
of value if the making of the loan or advance would constitute a
violation of the Act is guilty of a crime of the fourth degree \[157\].

Any corporation or labor organization that violates the prohibition
against providing any additional increment of salary, bonus, or monetary
remuneration to any of its officers, directors, attorneys, agents, or
other employees for the ex­press purpose of paying or making a
contribution to a candidate or committee, in addition to any other
penalty provided by law, is liable to a penalty of not more than \$4,300
for the first offense and not more than \$8,500 for the second and each
subsequent offense. Any officer, director, attorney, agent or other
employee of a corporation or labor organization who provides or uses an
addi­tional increment of salary, bonus, or non‑monetary remuneration for
the pro­hibited purpose commits a crime of the fourth degree \[158\].

A candidate who willfully and knowingly violates the law concerning the
filing of financial disclosure statements is guilty of a crime of the
4th degree \[159\].

**B. Civil Penalties.** The following persons are liable for a civil
penalty of not more than \$4,300 for a first offense and not more than
\$8,500 for a second and or subsequent offense in addition to any other
penalty provided by law: (1) any person, including any candidate,
treasurer, or committee, charged with the re­sponsibility under the terms
of the Campaign Contributions and Expenditures Reporting Act for the
preparation, certification, filing, or retention of any re­ports,
records, notices, or other documents required to be filed who fails,
ne­glects, or omits to file any required report, record, notice, or
document at the time or during the time period and in the manner
prescribed by law or who omits or incorrectly states or certifies any of
the information required by law to be included in a report, record,
notice, or document; (2) any person who pro­poses to undertake or
undertakes a public solicitation, testimonial affair, or other activity
relating to contributions or expenditures in any way regulated by the
Act who fails to comply with those regulatory provisions; and (3) and
any other person who in any way violates any of the provisions of the
Act \[160\].

Upon receiving evidence of a violation of the Act, the Election Law
Enforcement Commission may hold, or cause to be held, a hearing upon the
violation and, upon finding a person to have committed the violation,
may assess the monetary penalty, within the limits prescribed, as it
deems proper under the cir­cumstances. In assessing a monetary penalty,
the Commission may provide for the remission of all or any part of the
penalty conditioned upon the prompt cor­rection of any failure, neglect,
error, or omission constituting the violation for which the penalty was
assessed \[161\].

A person who willfully and knowingly violates the gubernatorial
candidate funding law is subject to the same civil penalties as a
violator of the Campaign Contributions and Expenditures Reporting Act
\[162\].

A person who willfully and intentionally agrees with another person to
make a contribution to a candidate or any committee with the intent or
upon the condi­tion, understanding, or belief that the recipient
candidate or committee will make or have made a contribution to another
such candidate or committee is li­able to a penalty equal to three times
the amount of the contribution that the person agreed to make to the
recipient candidate or committee \[163\].

A person who willfully and intentionally makes or accepts any
contribution in violation of the limits on the amounts of contributions
that may be made or ac­cepted is liable to a penalty of (1) not more than
\$5,000 if the cumulative total amount of those contributions is less
than or equal to \$5,000.00, (2) not more than \$75,000 if the
cumulative total amount of those contributions was more than \$5,000 but
less than \$75,000, and (3) not more than \$100,000 if the cumula­tive
total amount of those contributions is equal to or more than
\$75,000.00. In addition to any financial penalties imposed, a person
holding any elective public office must forfeit that public office if
the Election Law Enforcement Commission determines that the cumulative
total amount of the illegal contributions was more than \$50,000 and the
violation had a significant impact on the outcome of the election
\[164\].

**C. Judicial Relief for Aggrieved Candidates.** If a political
committee or continuing political committee that has been established,
consists of members, or has received contributions in violation of the
Campaign Contributions and Ex­penditures Reporting Act made any
contribution or expenditure in opposition to or in furtherance of the
defeat of a candidate, that candidate, in a summary ac­tion in the
superior court, may apply for an order directing the committee to show
cause why the court should not grant such injunctive relief as the
can­didate may seek. The court must decide the application within 48
hours of filing and, upon a proper demonstration of the candidate\'s
entitlement thereto, must grant appropriate injunctive relief against
the committee \[165\].

The court may also order that contributions previously received by the
com­mittee are deemed to be contributions to the candidate committee or
joint can­didates committee, as appropriate, of the candidate\'s opponent
in the election and must so advise the Election Law Enforcement
Commission. The court may also order that, to the extent that the
amounts of such contributions so attribut­ed, together with other amounts
contributed by the same contributors directly to the opponent\'s
candidate committee or joint candidates committee, are in excess of the
amounts of contributions that the opponent\'s committee could legally
have received directly from those contributors, the candidate committee
or joint candidates committee of the aggrieved candidate may receive the
contributions in excess of the amounts that the opponent\'s committee
could legally receive \[166\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Election Law Enforcement Commission**

**1. Powers and Duties.** The New Jersey Election Law Enforcement
Commission is required to enforce the provisions of the Campaign
Contributions and Expenditures Reporting Act, to conduct hearings with
regard to possible viola­tions and impose penalties, and to promulgate
necessary regulations and official forms. The Commission is authorized
to:

\(1\) Initiate civil actions in any court of competent jurisdiction for
the purpose of enforcing compliance with the provisions of the Act,
enjoining violations, or recovering any prescribed penalty.

\(2\) Develop forms for the making of required reports.

\(3\) Prepare and publish a manual for all candidates, political
committees, and continuing political committees.

\(4\) Ascertain whether candidates, committees, organizations, or others
have failed to file reports or have filed defective reports, extend for
good cause shown the dates upon which reports are required to be filed,
give notice to de­linquents to correct or explain defects, and make
available for public inspection a list of such delinquents.

\(5\) Ascertain the total expenditures for candidates and determine
whether they have exceeded the prescribed limits and notify candidates,
committees, and others if they have exceeded or are about to exceed the
limits.

\(6\) Hold public hearings and investigate allegations of any violations
of the Act.

\(7\) Forward to the attorney general or to the appropriate county
prosecutor information concerning any violations of the Act that may
become the subject of criminal prosecution or that may warrant the
institution of other legal pro­ceedings by the attorney general.

\(8\) Furnish timely and adequate information in appropriate printed
summa­ries and in such other form as it may see fit to every candidate or
prospective candidate for public office who becomes or is likely to
become subject to the provisions of the Act and to every duly designated
treasurer and depository.

\(9\) Through its legal counsel, render advisory opinions \[167\].

**2. Adjustment of Dollar Amounts.** Not later than December 1st of the
year before a gubernatorial‑election year, the Election Law Enforcement
Commission is required to adjust the dollar amounts applicable to the
primary and gen­eral elections for governor in the following year,
including the contribution lim­its, the maximum amounts of public funds
that may be received in the primary and general elections, the amount of
deposits or expenditures required to qualify for public funding, the
amount of private contributions within the qualification threshold that
is not subject to public‑fund matching, and the primary and gen­eral
election expenditure limits. The percentage of change to be applied in
ad­justing the dollar amounts is to reflect the changes that have
occurred in the overall costs of election campaigning in the state
\[168\].

Not later than December 1st of the year before a gubernatorial‑election
year, the Election Law Enforcement Commission is required to adjust the
minimum or maximum dollar amounts applicable in primary and general
elections for public office other than governor to specific statutorily
designated contributors, spenders, or recipients, reporting or filing
thresholds, penalties, and filing fees under the Campaign Contributions
and Expenditures Reporting Act. The per­centage change in these dollar
amounts is to be the same as the percentage change applied by the
Commission to the dollar amounts used in the previous primary and
general elections for governor in order to determine the adjusted
amounts applicable to the primary and general elections for governor in
the fol­lowing year \[169\].

The Election Law Enforcement Commission is to report to the state
legislature and make public its adjustment of the dollar limits not
later than December 15th preceding a gubernatorial‑election year. After
transmittal of the report to the state legislature, the Commission must
promptly notify every person who has de­clared as a candidate for
nomination or election to the office of governor or oth­er public office
in a forthcoming primary or general election of the amounts of the
adjusted limits whenever it has notice of the candidacy \[170\].

**References**

1.  New Jersey Statutes Annotated (West) (hereafter NJSA) § 19:44A‑3(d)

2.  NJSA § 19:44A‑3(l)

3.  NJSA §§ 19:44A‑11.3; 19:44A‑11.4; 19:44A‑11.5. *See* *also* New
    Jersey Administrative Code (hereafter NJAC) §§
    19:25‑11.1‑‑19:25‑11.8.

4.  NJSA §§ 19:44A‑11.3; 19:44A‑11.4; 19:44A‑11.5

5.  NJSA § 19:44A‑11.3(d)

6.  NJSA §§ 19:44A‑3(r); 19:44A‑11.3(c)(4)

7.  NJSA §§ 19:44A‑11.3(d); 19:44A‑11.4(d)

8.  NJSA §§ 19:44A‑11.3(a); 19:44A‑11.4(a)(1), (b), (c); NJAC §
    19:25‑11.2; New Jersey Election Law En­forcement Commission, 2001 New
    Jer­sey Cost Index Report (hereafter 2001 Cost Index)

9.  NJSA §§ 19:44A‑11.3(b); 19:44A‑11.4(a)(1), (b), (c); 19:44A‑11.5(b);
    NJAC § 19:25‑11.2; 2001 Cost Index

10. NJSA §§ 19:44A‑11.3(b); 19:44A‑11.4(a)(1), (b), (c); 19:44A‑11.5(b);
    NJAC § 19:25‑11.2; 2001 Cost Index

11. NJSA §§ 19:44A‑11.3(c)(1)‑(3); 19:44A‑11.4(a)(1), (b), (c);
    19:44A‑11.5(a); NJAC § 19:25‑11.2; 2001 Cost Index

12. NJSA §§ 19:44A‑11.3(c)(1)‑(3); 19:44A‑11.4(a)(1), (b), (c);
    19:44A‑11.5(a); NJAC § 19:25‑11.2; 2001 Cost Index

13. NJSA §§ 19:44A‑11.3(c)(1)‑(3); 19:44A‑11.4(a)(1), (b), (c);
    19:44A‑11.5(a); NJAC § 19:25‑11.2; 2001 Cost Index

14. NJSA §§ 19:44A‑11.3(b)(2); 19:44A‑11.4(c); NJAC § 19:25‑11.2; 2001
    Cost Index

15. NJSA §§ 19:44A‑11.3(b)(2); 19:44A‑11.4(c)

16. NJSA § 19:44A‑11.4(a)(2); NJAC § 19:25‑11.2; 2001 Cost Index

17. NJSA § 19:44A‑20

18. NJSA §§ 19:44A‑11; 19:44A‑19(d)

19. NJSA § 19:44A‑20

20. NJSA § 19:44A‑22(a)(2)

21. NJSA § 19:44A‑18.1

22\. NJSA § 19:44A‑19(a)

23. NJSA § 19:44A‑3(j)

24. NJSA § 19:44A‑19(a), (b); NJAC § 19:25‑11.2; 2001 Cost Index

25. NJSA § 19:44A‑19(a), (b); NJAC § 19:25‑11.2; 2001 Cost Index

26. NJSA § 19:34‑45

27. Opinions of the New Jersey Attorney General (hereafter Op. Att\'y
    Gen.) 14 (1979)

28. NJSA § 19:34‑32; Op. Att\'y Gen. 23 (1979)

29. NJSA § 5:12‑138

30. NJSA §§ 19:34‑43; 19:34‑44

31. NJSA § 19:34‑41

32. NJSA § 19:34‑38(a), (g)

33. NJSA § 19:34‑34

34. NJSA § 19:44A‑3(f)

35. NJSA § 19:44A‑11

36. NJSA § 19:44A‑11.6

37. NJSA § 19:44A‑20

38. NJSA § 19:34‑42

39. NJSA § 34:16‑32

40. Rules Governing the Courts of the State of New Jersey, Appendix to
    Part I, Rules of General Application, Code of Judicial Conduct,
    Canon 7

41. NJSA § 19:44A‑20.1

42. NJSA § 34:11‑4.4(a), (b)(9), (10)

43. NJSA § 34:11‑4.4a

44. NJSA § 34:11‑4.4(b)(10)

45. NJSA § 19:44A‑3(d), (l)

46. NJSA § 19:44A‑11.2(a)

47. NJSA § 19:44A‑11.2(b)

48. NJSA § 19:44A‑11.2(c)

49. NJSA § 19:44A‑11.2(a)

50. NJSA §§ 19:44A‑3(m); 19:44A‑7; 19:44A‑7.1; 2001 Cost Index. *See
    also* NJAC ch. 19:25‑15; 19:25‑16.

51. NJSA § 19:44A‑11.7

52. NJSA § 19:44A‑11.7

53. NJSA §§ 19:44A‑4; 19:44A‑8(a)

54. NJSA § 19:44A‑16(e); 2001 Cost In­dex

55. NJSA § 19:44A‑3(c)

56. NJSA § 19:44A‑3(q)

57. NJSA § 19:44A‑3(n); 2001 Cost Index

58. NJSA §§ 19:44A‑3(e); 19:44A‑4

59. NJSA § 19:1‑1

60. NJSA § 19:44A‑3(r)

61. NJSA § 19:44A‑3(s)

62. NJSA § 19:44A‑3(f)

63. NJSA § 19:1‑1

64. NJSA § 19:44A‑3(i)

65. NJSA § 19:44A‑3(i); 2001 Cost Index

66. NJSA § 19:44A‑3(p)

67. NJSA § 19:1‑1

68. NJSA § 19:1‑1

69. NJSA § 19:1‑1

70. NJSA § 19:44A‑10.1

71. NJSA § 19:44A‑10.1

72. NJSA § 19:44A‑8.1(a)

73. NJSA § 34:11‑4.4a(b)

74. NJSA § 19:44A‑8.1(a)

75. NJSA § 19:44A‑8.1(b)

76. NJSA §§ 19:44A‑9; 19:44A‑10

77. NJSA §§ 19:44A‑9; 19:44A‑10

78. NJSA § 19:44A‑11

79. NJSA § 19:44A‑12

80. NJSA § 19:44A‑12

81. NJSA § 19:44A‑9(a), (g), (h)

82. NJSA § 19:44A‑9(a)

83. NJSA § 19:44A‑9(b)

84. NJSA § 19:44A‑9(b)

85. NJSA § 19:44A‑9(c), (e)

86. NJSA § 19:44A‑9(e), (f)

87. NJSA § 19:44A‑9(a), (b)

88. NJSA § 19:44A‑9(d)

89. NJSA § 19:44A‑10

90. NJSA § 19:44A‑10

91. NJSA § 19:44A‑10

92. NJSA § 19:44A‑10

93. NJSA §§ 19:44A‑8(b); 19:44A‑10

94. NJSA § 19:44A‑10

95. NJSA § 19:44A‑8(b)(1); 2001 Cost Index

96. NJSA § 19:44A‑8(b)(1)

97. NJSA § 19:44A‑16(a), (b); 2001 Cost Index

98. NJSA § 19:44A‑16(d); 2001 Cost In­dex

99. NJSA § 19:44A‑16(e); 2001 Cost In­dex

100. NJSA § 19:44A‑16(a)

101. NJSA § 19:44A‑16(f)

102. NJSA §§ 19:44A‑3(k); 19:44A‑16(g); 2001 Cost Index

103. NJSA § 19:44A‑16(b)

104. NJSA § 19:44A‑16(a), (c)

105. NJSA § 19:44A‑16(b)

106. NJSA § 19:44A‑16(b)

107. NJSA § 19:44A‑16(b)

108. NJSA §§ 19:44A‑11.2(a); 19:44A‑16(b)

109. NJSA § 19:44A‑16(b)

110. NJSA §§ 19:44A‑3(i); 19:44A‑8(a)(1); 2001 Cost Index

111. NJSA § 19:44A‑8(e); 2001 Cost Index

112. .NJSA § 19:44A‑8(a)(1)

113. NJSA § 19:44A‑8(a)(1)

114. NJSA §§ 19:44A‑3(k); 19:44A‑8(d); 2001 Cost Index

115. NJSA § 19:44A‑8.1(c)

116. NJSA §§ 19:44A‑8(a)(1); 19:44A‑16(b)

117. NJSA §§ 19:44A‑8(b)(2)

118. NJSA § 19:44A‑8(b)(2)

119. NJSA §§ 19:44A‑3(k); 19:44A‑8(d); 2001 Cost Index

120. NJSA § 19:44A‑8.1(c)

121. NJSA § 19:44A‑8(b)(2)

122. NJSA § 19:44A‑8(c)

123. NJSA § 19:44A‑8(c)

124. NJSA §§ 19:44A‑3(d); 19:44A‑8(d); 2001 Cost Index

125. NJSA § 19:44A‑8.1(c)

126. NJSA § 19:44A‑8(d)

127. NJSA § 19:44A‑16(i); 2001 Cost Index

128. NJSA § 19:44A‑8(a)(1); 2001 Cost Index

129. NJSA § 19:44A‑8(b)(2); 2001 Cost Index

130. NJSA § 19:44A‑8(b)(2); 2001 Cost Index

131. NJSA § 19:44A‑8(c); 2001 Cost Index

132. NJSA § 19:44A‑8(a)(2), (b)(2); NJAC § 19:25‑12.3; 2001 Cost Index

133. NJSA § 19:44A‑3(f)

134. NJSA §§ 19:44A‑11; 2001 Cost Index

135. NJSA § 19:44A‑11

136. NJSA § 19:44B‑2. *See* NJSA §§ 19:44B‑1‑‑19:44B‑10 for financial
     disclosure requirements for gubernato­rial and state legislative
     candidates.

137. NJSA § 19:44A‑16(b)

138. NJSA § 19:44A‑16(b)

139. NJSA § 19:44A‑8(b)(2)

140. NJSA § 19:44A‑18; 2001 Cost Index

141. NJSA § 19:44A‑27. *See* *also* NJAC §§ 19:25‑15.1‑‑19:25‑15.65 and
     §§ 19:25‑16.1‑‑19:25‑16.48.

142. NJSA § 19:44A‑28

143. NJSA § 19:44A‑29(a); 2001 Cost In­dex. *See also* NJAC ch. 19:25‑15;
     19:25‑16.

144. NJSA § 19:44A‑29(c); 2001 Cost In­dex. *See also* NJAC ch. 19:25‑15;
     19:25‑16.

145. NJSA § 19:44A‑29(d), (e); 2001 Cost Index. *See also* NJAC ch.
     19:25‑15; 19:25‑16.

146. NJSA § 19:44A‑29(d)

147. NJSA § 19:44A‑29(g)

148. NJSA §§ 19:44A‑30; 54A:9‑25.1

149. NJSA §§ 19:44A‑32; 19:44A‑34

150. NJSA § 19:44A‑33(a), (b); 2001 Cost Index. *See also* NJAC ch.
     19:25‑15; 19:25‑16.

151. NJSA § 19:44A‑3(m), (o); 2001 Cost Index. *See also* NJAC ch.
     19:25‑15; 19:25‑16.

152. NJSA § 19:44A‑35(a), (b)

153. NJSA § 19:44A‑35(c)

154. NJSA § 19:44A‑7.1. *See* *also* §§ 19:44A‑3; 19:44A‑7; 19:44A‑29;
     19:44A‑33.

155. NJSA § 54A:9‑25.1

156. NJSA §§ 19:44A‑16(f); 19:44A‑21(a)‑(c)

157. NJSA § 19:44A‑21(d), (e)

158. NJSA § 19:44A‑20.1

159. NJSA § 19:44B‑6

160. NJSA §§ 19:44A‑3(k); 19:44A‑22(a)(1)

161. NJSA § 19:44A‑22(b), (c)

162. NJSA § 19:44A‑41

163. NJSA § 19:44A‑22(a)(2)

164. NJSA § 19:44A‑22(e), (f)

165. NJSA § 19:44A‑22.1

166. NJSA § 19:44A‑22.1

167. NJSA § 19:44A‑6(b), (c), (f)

168. NJSA § 19:44A‑7.1(a)‑(c)

169. NJSA § 19:44A‑7.2(a), (b)

170. NJSA §§ 19:44A‑7.1(d); 19:44A‑7.2(c)

**CAMPAIGN FINANCE LAW**

**IN NEW MEXICO**

**I. INTRODUCTION**

New Mexico requires public officials, candidates or their campaign
commit­tees, and political committees to file pre‑election and
post‑election reports of contributions and expenditures; however, a
candidate who files a statement that anticipated receipts or
expenditures for a primary or general election will be less than \$1,000
for a non‑statewide office or \$2,500 for a statewide office is ex­empted
from reporting. Political committees that receive, contribute, or expend
\$2,000 in a calendar year are required to appoint a treasurer and
register with the Secretary of State. Candidates and political committee
members may not so­licit or accept contributions or make expenditures
until a treasurer is appointed. A taxpayer may designate \$2 of an
income tax refund (\$4 for a joint return) to be paid to a specified
state political party. The Secretary of State administers and enforces
the Campaign Reporting Act.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is a gift,
subscription, loan, advance, or deposit of any money or other thing of
value (including the estimat­ed value of an in‑kind contribution) that is
made or received for a political pur­pose, including payment of a debt
incurred in an election campaign; however, the term does *not* include
the value of services provided without compensation or unreimbursed
travel or other personal expenses of individuals who volunteer a portion
or all of their time on behalf of a candidate or political committee nor
the administrative or solicitation expenses of a general political
committee that are paid by an organization that sponsors the committee
\[1\].

"Political purpose" means influencing or attempting to influence an
election or pre‑primary convention, including a constitutional amendment
or other question submitted to the voters \[2\].

**B. Preconditions for Solicitation or Acceptance of Contributions by a
Candidate or Political Committee.** A candidate or member of a political
committee may not solicit or accept any contribution for the purpose of
influen­cing or attempting to influence an election or pre‑primary
convention, including a constitutional amendment or other question
submitted to the voters unless the following requirements have been met:

\(1\) A treasurer has been appointed and is constantly maintained;
however, when a duly appointed treasurer is unable for any reason to
continue as treasur­er, the candidate or political committee must appoint
a successor. A candidate may serve as his or her own treasurer.

\(2\) All disbursements of money and receipts of contributions are made
by and through the treasurer.

\(3\) A separate bank account has been established, and all receipts of
money contributions and all expenditures of money are deposited in and
disbursed from the one bank account maintained by the treasurer in the
name of the candidate or political committee. It is permissible for
investments from the account to earn interest as long as the investments
and earnings are fully reported.

\(4\) All disbursements, except disbursements made from a petty cash
fund of \$100 or less, are made by check payable to the person or entity
receiving the disbursement and not to cash or bearer.

\(5\) The treasurer, upon disbursing or receiving money or other things
of val­ue, immediately enters and thereafter keeps a proper record
preserved by him or her, including a full, true, and itemized statement
and account of each sum disbursed or received, the date of disbursal or
receipt, to whom disbursed or from whom received, and the object or
purpose for which it was disbursed or received \[3\].

**C. Anonymous Contributions.** An anonymous contribution in excess of
\$100 may not be accepted. The aggregate amount of anonymous
contributions received by a candidate or treasurer of a campaign
committee or political com­mittee during a primary or general election or
special statewide election may not exceed \$2,000 for statewide races
and \$500 for all other races. Contributions in excess of the
anonymous‑contribution limit must be donated to the general fund or to
an organization to which a federal income tax deduction would be
avail­able under § 170(b)(1)(A) of the Internal Revenue Code of 1986, as
amended \[4\].

An \"anonymous contribution\" is a contribution the contributor of which
is un­known to the candidate or the candidate\'s agent or the political
committee or its agent who accepts the contribution \[5\].

**D. Cash Contributions at Special Events.** Cash contributions received
at special events that are unidentifiable as to specific contributor but
identifiable as to the special event are not subject to the limits on
anonymous contributions as long as no single special event raises, after
expenses, more than \$1,000 in cash contributions. For those
contributions, due diligence and best efforts must be made to disclose
on a special form prescribed by the Secretary of State the spon­sor,
date, place, total amount received, expenses incurred, estimated number
of persons in attendance, and other identifiable factors that describe
the special ev­ent. Contributions in excess of the cash‑contribution
limit must be donated to the general fund or to an organization to which
a federal income tax deduction would be available under § 170(b)(1)(A)
of the Internal Revenue Code of 1986, as amended \[6\].

A \"special event\" includes an event such as a barbecue or similar
fundraiser where tickets costing \$15 or less are sold or an event such
as a coffee, tea, or similar reception \[7\].

**E. Solicitation and Acceptance of Contributions by Judges and Judi­cial
Candidates.** The political behavior of judges and judicial candidates
is regulated by the Code of Judicial Conduct adopted by the state
supreme court \[8\].

An incumbent judge may, unless and except as prohibited by law, purchase
tickets for political gatherings and contribute to a political
organization, but may not solicit funds for a political organization or
candidate \[9\].

Candidates for election to judicial office in partisan, non‑partisan,
and reten­tion elections, including judges, lawyers, and non‑lawyers, are
permitted to par­ticipate in the political process; however, candidates
seeking appointment to ju­dicial office and judges seeking appointment to
public, non‑judicial office may solicit or accept funds, personally,
through a committee, or otherwise, to support the candidacy \[10\].

Candidates for judicial office in partisan and retention elections must
refrain from campaign fundraising activity that has the appearance of
impropriety and may not accept any contribution that creates and
appearance of impropriety. They may solicit contributions for their own
campaigns, but may solicit funds for any other political campaign or for
any candidate for any other office. Judi­cial candidates may run for
election as part of a slate of judicial candidates and may participate
in joint fundraising events with other judicial candidates \[11\].

Candidates in both partisan and retention elections must establish
committees of one or more responsible persons to campaigns for the
candidate. The cam­paign committees may solicit and accept reasonable
campaign contributions. All campaign contributions must be paid or
turned over to the campaign committee and managed and disbursed by the
committee. A candidate may not use or permit the use of campaign
contributions for the private benefit of the candidate or others \[12\].

Candidates in partisan elections for judicial office who have a campaign
fund but are unopposed or become unopposed in the campaign must return
all un­used and uncommitted campaign funds pro rata to the contributors
of the funds or donate the funds to a charitable organization or the
state of New Mexico, as the candidate may choose. Disbursement of such
funds must occur within 30 days after the absence of opposition becomes
known \[13\].

A candidate for judicial office in either a partisan or retention
election who has unused campaign funds remaining after the election and
after all expenses of the campaign and election have been paid must
refund the remaining funds pro rata to campaign contributors or donate
the funds to a charitable organization or the state of New Mexico, as
the candidate may choose, within 30 days after the date the election
results are certified \[14\].

Candidates for judicial office in partisan and retention elections may
not per­sonally solicit or accept campaign contributions from any
attorney or from any litigant in a case pending before any of the
candidates for the judicial office. Contributions from attorneys and
litigants are to be made only to a campaign committee. Campaign
committees may solicit contributions from attorneys but not from
litigants whose cases are pending before the candidate. Campaign
committees must not disclose to the judge or candidate the identity or
source of any funds raised by the committee \[15\].

**F. Protection of a State Employee for Refusal to Make a
Contribu­tion**. A non‑probationary state government employee covered by
the Personnel Act may not be dismissed for failure or refusal to pay or
promise to pay any as­sessment, subscription, or contribution to any
political organization or candidate \[16\].

**G. Solicitation of Contributions by State Legislator Incumbents and
Candidates** During Legislative Session. A state legislator or candidate
for state legislator or any agent on their behalf may not knowingly
solicit a contribu­tion for a political purpose during the period
beginning January 1st prior to any regular session of the legislature
or, in the case of a special session, after the proclamation has been
issued, and ending on adjournment of the regular or spe­cial session
\[17\].

**H. Solicitation of Contributions by the Governor During Legislative
Session.** The governor or any agent acting on his or her behalf may not
know­ingly solicit a contribution for a political purpose during the
period beginning January 1st prior to any regular session of the
legislature or, in the case of a special session, after the proclamation
has been issued, and ending on the 20th day after adjournment of the
regular or special session \[18\].

**I. Solicitation of Contributions by State Regulators.** An elected
offi­cial, a public officer or employee who works for a regulatory
office, a candidate who seeks election to a regulatory office, or anyone
authorized by a candidate for regulatory office to solicit funds on his
or her behalf may not knowingly so­licit a contribution from an entity,
officers or employees of an entity, or person directly regulated by a
regulatory office when the entity\'s or person\'s charges for services
offered to the public are set or directly subject to approval by the
regulatory office or when a license to do business in the state is
determined by the regulatory office \[19\].

**J. Earmarked Contributions.** A person or political committee may not
make and a candidate or his or her agent may not accept a contribution
that is reported as coming from one person or entity when the candidate
knows that the contribution is actually from another person or entity
that directed that its contribution not be public reported \[20\].

**K. Lobbyist Contributions Before, During, and After a Legislative
Session**. A lobbyist or lobbyist\'s employer may not contribute or act
as an agent or intermediary for political contributions to or arrange
the making of po­litical contributions to the campaign funds of any
statewide elected official or legislator or any candidate for those
offices during a prohibited period. The prohibited period begins January
1st prior to any regular session of the legisla­ture or, in the case of
the a special session, after the proclamation has been issued and ends
either (1) on the day the legislative session ends in the case of any
statewide elected official or candidate for statewide office (except the
gov­ernor) or any legislator or candidate for the legislature or (2) on
the 20th day following the adjournment of the regular or special session
in the case of the governor or candidate for governor \[21\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is a payment,
transfer, dis­tribution, or obligation or promise to pay, transfer, or
distribute any money or other thing of value a political purpose,
including payment of a debt incurred in an election campaign or
pre‑primary convention, but does *not* include the ad­ministrative or
solicitation expenses of a political committee that are paid by an
organization that sponsors the committee \[22\].

\"Political purpose\" means influencing or attempting to influence an
election or pre‑primary convention, including a constitutional amendment
or other question submitted to the voters \[23\].

**B. Permitted Expenditures by Candidates.** A candidate or an agent of
a candidate may not make an expenditure of contributions received except
for (1) expenditures of the campaign, (2) expenditures of legislators
that are reasonably related to performing the duties of the office held,
including mail, telephone, and travel expenditures to serve
constituents, but excluding personal and legislative session living
expenses, (3) donations to the state general fund, (4) donations to an
organization to which a federal income tax deduction would be permitted
un­der § 170(b)(1)(A) of the Internal Revenue Code of 1986, as amended,
(5) ex­penditures to eliminate the campaign debt of the candidate for the
office sought or expenditures incurred by the candidate when seeking
election to any public office covered by the Campaign Reporting Act, (6)
donations to a political party or to another candidate seeking election
to public office, or (7) disbursements to return unused funds pro rata
to the contributors if no campaign debt exists. Contributions solicited
or received in a federal election campaign may not be used in a state
election campaign \[24\].

**C. Preconditions for Making of Expenditures by a Candidate or
Politi­cal Committee.** A candidate or member of a political committee
may not make any expenditure for the purpose of influencing or
attempting to influence an election or pre‑primary convention, including
a constitutional amendment or other question submitted to the voters
unless the following requirements have been met:

\(1\) A treasurer has been appointed and is constantly maintained;
however, when a duly appointed treasurer is unable for any reason to
continue as treasur­er, the candidate or political committee must appoint
a successor. A candidate may serve as his or her own treasurer.

\(2\) All disbursements of money and receipts of contributions are made
by and through the treasurer.

\(3\) A separate bank account has been established, and all receipts of
money contributions and all expenditures of money are deposited in and
disbursed from the one bank account maintained by the treasurer in the
name of the candidate or political committee. It is permissible for
investments from the account to earn interest as long as the investments
and earnings are fully reported.

\(4\) All disbursements, except disbursements made from a petty cash
fund of \$100 or less, are made by check payable to the person or entity
receiving the disbursement and not to cash or bearer.

\(5\) The treasurer, upon disbursing or receiving money or other things
of val­ue, immediately enters and thereafter keeps in a proper book to be
preserved by him or her a full, true, and itemized statement and account
of each sum dis­bursed or received, the date of disbursal or receipt, to
whom disbursed or from whom received, and the object or purpose for
which it was disbursed or re­ceived \[25\].

**D. Political Party Expenditures in Primary Election.** No contribution
of money or its equivalent made directly or indirectly to a political
party, a political party committee, a member of a political party
committee, or a person repre­senting or acting on behalf of a political
party and no money in the treasury of a political party or political
party committee may be expended directly or indirect­ly in the aid of the
nomination at a primary election of one or more persons as against one
or more persons of the same political party running in the primary
election \[26\].

**IV. REPORTING REQUIREMENTS**

**A. Reports of Contributions and Expenditures**

**1. General Provisions.** Every public official, candidate or treasurer
of a campaign committee, and every treasurer of a political committee
subject to the Campaign Reporting Act who contributes, receives
contributions, or makes ex­penditures must file reports of contributions
and expenditures with the proper filing officer on a form prescribed by
the Secretary of State and furnished by the proper filing officer
\[27\].

The report of contributions and expenditures must include the following
in­formation:

\(1\) The name and address of the person or entity to whom an
expenditure was made or from whom a contribution was received (except as
provided for anonymous contributions or contributions received from
special events). For contributors, the name of the entity or the first
and last names of any individual must be the full name of the entity or
individual; initials only may not constitute a full name of an entity
unless that is its complete legal name.

\(2\) The occupation or type of business of any person or entity making
contri­butions of \$250 or more in the aggregate per election.

\(3\) The amount or value of the expenditure or contribution.

\(4\) The purpose of the expenditure.

\(5\) The date of the expenditure or contribution.

\(6\) The amount of each unpaid debt and the identity of the person to
whom the debt is owed.

\(7\) An opening and closing cash balance for the bank account
maintained by the candidate or committee during the reporting period and
the name of the fi­nancial institution \[28\].

Each report must be subscribed and sworn to by the candidate or
treasurer of the political committee. If the report is filed in an
electronically readable for­mat, the report must be subscribed and sworn
to in an independent affidavit signed by the candidate or treasurer of
the political committee and delivered to the Secretary of State within
48 hours after electronic filing \[29\].

A report must be typed or printed legibly or on a computer disc or
format ap­proved by the Secretary of State and may be delivered to the
proper filing officer by certified or registered mail, by telecopier,
electronic mail, or facsimile, or by personal service \[30\].

An \"election,\" as the term is used in the Campaign Reporting Act, is
any prim­ary, general, or statewide special election. The term includes
county and judicial retention elections, but excludes municipal, school
board, and special district elections \[31\].

**2. Candidate.** Public officials and candidates or treasurers of
campaign committees are required to file a report of contributions and
expenditures; how­ever, a candidate who anticipates receiving or
expending less than \$1,000 for a non‑statewide office or \$2,500 for a
statewide office in an election may be ex­empted from reporting (*see*
Section IV.D, *infra* \[32\].

A \"public official\" is a person elected to an office in an election
covered by the Campaign Reporting Act or appointed to an office that is
subject to an election covered by the Act \[33\].

A \"candidate\" is an individual who seeks or considers an office in an
election covered by the Campaign Reporting Act, including a public
official, and who:

\(1\) has filed a declaration of candidacy or nominating petition.

\(2\) for a non‑statewide office, has not filed a declaration of
candidacy, but has received contributions or expenditures of \$1,000 or
more or authorized another person or campaign committee to receive
contributions or make expen­ditures of \$1,000 or more for the purpose of
seeking election to the office.

\(3\) for a statewide office, has not filed a declaration of candidacy,
but has re­ceived contributions or expenditures of \$2,500 or more or
authorized another person or campaign committee to receive contributions
or make expenditures of \$2,500 or more for the purpose of seeking
election to the office or for candida­cy exploration purposes in the
years prior to the year of the election \[34\].

A public official in or candidate seeking any of the following offices
is subject to the reporting and other requirements of the Campaign
Reporting Act:

\(1\) Statewide elective offices (governor, lieutenant governor,
secretary of state, state auditor, state treasurer, attorney general,
commissioner of public lands, corporation commissioner, supreme court
justice, court of appeals judge, and state board of education). The
Secretary of State is the proper filing officer for these offices.

\(2\) State senator or representative elected from a multi‑county
district. The Secretary of State is the proper filing officer, but
reports of contributions and ex­penditures may be filed with the county
clerk in the county where the candidate resides.

\(3\) Elected judicial offices in the judicial department (district
judge or district attorney), except magistrate, and any other
non‑legislative office representing a district composed of more than one
county. The Secretary of State is the proper filing officer for these
offices.

\(4\) An elective county office, magistrate (in Bernalillo County,
metropolitan court judge), and state senator or representative elected
from a district located wholly within one county or that is composed of
only one county. The county clerk is the proper filing officer for these
offices \[35\].

A \"campaign committee\" is two or more persons authorized by a
candidate to raise, collect, or expend contributions on the candidate\'s
behalf for the purpose of electing him or her to office \[36\].

A public official or candidate must file reports of contributions and
expen­ditures with the proper filing officer according to the following
schedule regard­less of whether any expenditures were made or
contributions were received dur­ing the reporting period until the
reporting individual\'s bank account has been closed and a report has
been delivered to the filing office stating that there are no
outstanding campaign debts, all money has been expended in accordance
with the Campaign Reporting Act, and the bank account has been closed:

\(1\) All public officials and candidates: annually on the second Monday
in May (by 5 p.m.), current as of the first Monday in May.

\(2\) Public officials who are candidates in an election year and
candidates who have not filed a statement of exception in an election
year:

\(a\) On the second Monday in October (by 5 p.m), current through the
first Monday in October.

\(b\) On the Thursday before a primary, general, or statewide special
election (by 5 p.m.), current through the Tuesday before the election.

\(c\) On the 30th day after a primary, general, or statewide special
election (by 5 p.m), current through the 25th day after the election
\[37\].

The report due on the 30th day after an election need be the only report
filed by a candidate after the annual May report if the candidate is not
opposed in the election and if the report includes all contributions
received and expenditures made for the election and not previously
reported \[38\].

An individual who is a candidate because of reaching the threshold
amount of contributions received or expenditures made for classification
as a \"candidate\" and who does not ultimately file a declaration of
candidacy or nominating peti­tion must file with the proper filing
officer a report of all previously unreported contributions received and
expenditures made not later the second Monday in May for a primary
election, current through the first Monday in May, or the second Monday
in October for a general election, current through the first Monday in
October \[39\].

**3. Political Committee.** The Campaign Reporting Act requires a
political committee to file contribution and expenditure reports \[40\].

A \"political committee\" is two or more persons (other than members of
a can­didate\'s immediate family, a candidate\'s campaign committee, or a
husband and wife who make a contribution out of a joint account) who are
selected, appoint­ed, chosen, associated, organized, or operated
primarily for a political purpose. The term includes political action
committees or similar organizations composed of employees or members of
any corporation, labor organization, trade or pro­fessional association,
or any similar group that raises, collects, expends, or con­tributes
money or any other thing of value for a political purpose. A political
committee also includes a single individual who by his or her actions
represents that the individual is a political committee \[41\].

A treasurer of a political committee files reports of contributions and
expen­ditures with the Secretary of State according to the following
schedule until the treasurer files a report that affirms that the
committee has dissolved and that its bank account has been closed:

\(1\) Annually on the second Monday in May (by 5 p.m.), current as of
the first Monday in May.

\(2\) In an election year:

\(a\) On the second Monday in October (by 5 p.m), current through the
first Monday in October.

\(b\) On the Thursday before a primary, general, or statewide special
election (by 5 p.m.), current through the Tuesday before the election.

\(c\) On the 30th day after a primary, general, or statewide special
election (by 5 p.m), current through the 25th day after the election
\[42\].

**B. Supplemental Report of a Large, Late Contribution.** Any
contribu­tion or pledge to contribute for \$500 or more in a legislative
or non‑statewide judicial election or for \$2,500 or more in a statewide
election that is received af­ter 5 p.m. on the Tuesday before an election
must be reported to the proper fil­ing officer either in a supplemental
report on a prescribed form within 24 hours of receipt or in the report
to be filed by 5 p.m. on the Thursday before a prim­ary, general, or
statewide special election; however, any such contribution or pledge to
contribute that is received after 5 p.m. on the Friday before the
elec­tion may be reported by 12 noon on the Monday before the election
\[43\].

**C. Registration of Political Committees.** A political committee that
re­ceives, contributes, or expends more than \$2,000 in any calendar year
may not continue to receive or make any contribution or expenditure for
political pur­poses unless it appoints and maintains a treasurer and
registers with the Secretary of State. A political committee must
register within 10 days of receiving, contributing, or expending more
than \$2,000 by pay a filing fee of \$50 and filing a statement of
organization, under oath on a prescribed form, showing (1) the full name
of the political committee (which must fairly and accurately reflect the
sponsoring organization) and its address, (2) a statement of the purpose
for which the political committee was organized, (3) the name, address,
and rela­tionship of any connected or associated organization or entity,
(4) the name and address of the officers of the committee, and (5) an
identification of the bank used by the committee for all contributions
or expenditures made or receive \[44\].

The requirements for appointment of a treasurer and registration by a
political committee do not apply to a political committee that is
located in another state and is registered with the federal election
commission if the political committee (1) reports on federal reporting
forms filed with the commission all expenditures for and contributions
made to individuals required to report in New Mexico and (2) files with
the Secretary of State, according to the schedule required for the
filing of forms with the commission, a copy of either the full report or
the cover sheet and the portions of the federal reporting forms that
contain the informa­tion on expenditures for and contributions made to
individuals required to re­port in New Mexico \[45\].

**D. Candidate Statement of Exception.** In a year in which a primary,
gen­eral, or special statewide election is held, a person who seeks or
considers a pub­lic office covered by the Campaign Reporting Act and who
anticipates receiving or expending for the election less than \$1,000
for a non‑statewide office or \$2,500 for a statewide office may file,
in lieu of filing a report of contributions and expenditures, a
statement of exception to that effect. The statement of ex­ception must
be filed with the proper filing office on the prescribed form and under
penalty of perjury by 5 p.m. on the second Monday in May for a primary
or special statewide election or by 5 p.m. on the second Monday in
October for a general or special statewide election. Upon the filing of
the statement, the candidate will not be required to file a report of
contributions and expenditures. If at any time after filing a statement
of exception a candidate a candidate either receives or expends in an
election more than the threshold amount of \$1,000 or \$2,500, as
appropriate, the candidate must file reports of contributions and
ex­penditures according to the statutory reporting schedule \[46\].

**E. Financial Disclosure Statement of Statewide or Legislative Office
Candidate.** A candidate for statewide or state legislative office is
required to file a financial disclosure statement with the proper filing
officer at the time of filing a declaration of candidacy or nominating
petition. The financial disclosure statement must include for the
candidate and the candidate\'s spouse specified in­formation for the
prior calendar year, including all sources of gross income of more than
\$5,000, all other in‑state business interests not otherwise listed of
\$10,000 or more in an in‑state business or entity, and each state
agency that was sold goods or services of more than \$5,000 \[47\].

**F. Lobbyist and Lobbyist\'s Employer Expenditure Reports**. Each
lob­byist or lobbyist\'s employer who makes or incurs expenditures or
political con­tributions for the benefit of or in opposition to
candidates for state legislature or state public office, as well as
other elected officials or state employees, or in support of or in
opposition to a ballot issue, as well as pending legislation or of­ficial
action, must file an expenditure report with the Secretary of State on
Janu­ary 15th and May 1st and within 48 hours for each separate
expenditure made or incurred during a legislative session for \$500 or
more \[48\].

The expenditure report must include (1) cumulative and categorical
totals of expenditures, (2) political contribution information (amount,
date, and name of the candidate or ballot issue supported or opposed),
and (3) if the lobbyist or lobbyist\'s employer delivers directly or
indirectly separate contributions from other contributors in excess of
\$500 in the aggregate for each election to a can­didate, a campaign
committee, or anyone authorized by a candidate to receive funds on the
candidate\'s behalf, the names, addresses, and occupations of other
contributors and the amounts of their separate political contributions
\[49\].

**V. TAX PROVISIONS**

**A. Income Tax Refund Designation for Political Parties.** Any
individual whose state income tax liability in any year is lower than
the amount of money held by the taxation and revenue department to the
credit of that individual for that tax year may designate \$2 of the
income tax refund due to be paid to a state political party. In the case
of a joint return, each individual may make a desig­nation \[50\].

The secretary of taxation and revenue is to revise the state income tax
form to allow on the face of the form the designation by individual
taxpayers of contri­butions to state political parties and to provide a
list on the form of the qualified state political parties to which the
taxpayer may make a contribution \[51\].

**VI. OFFENSES AND PENALTIES**

**A. Criminal Penalties.** Any person who knowingly and willfully
violates the Campaign Reporting Act or the Financial Disclosure Act is
guilty of a mis­demeanor and must be punished by a fine of not more than
\$1,000, imprison­ment for not more than one year, or both. The Act may
be enforced by the Attorney General or the district attorney in the
county where the candidate resides, where the political committee has it
principal place of business, or where the violation occurred \[52\].

It is a petty misdemeanor for a person to expend or be responsible for
the ex­penditure of political party money to aid the nomination of one or
more party members at a primary election against one or more other party
members \[53\].

A person who willfully violates the Personnel Act is guilty of a
misdemeanor \[54\].

**B. Civil Penalties.** If the Secretary of State believes that a person
committed or is about to commit a violation of the Campaign Reporting
Act, the Secretary must refer the matter to the Attorney General or to a
district attorney for en­forcement. The Attorney General of district
attorney may institute a civil action in district court for any
violation of the Act or to prevent any violation of the Act. If the
violation involves an unlawful solicitation or the making or accept­ance
of an unlawful contribution, any action for relief may include a
permanent or temporary injunction, a restraining order, or any other
appropriate order, in­cluding a civil penalty of \$250 to \$5,000 for
each violation, and forfeiture of any contribution received as a result
of an unlawful solicitation or contribution. Each unlawful solicitation
and contribution made or accepted is a separate viola­tion of the Act.
For any other violation the relief may include a permanent or temporary
injunction, a restraining order, or any other appropriate order,
includ­ing a civil penalty of \$50 to \$,5000 \[55\].

**C. Examination of Reports of Contributions and Expenditures.** The
Secretary of State is to conduct a thorough examination of at least 10%
of all re­ports filed during a year by reporting individuals to determine
compliance with the Campaign Reporting Act. The reports are to be
selected at random at least 40 days after the general election and 10
days after the May reports are filed in a nonelection year. The
examination may include an investigation of any dis­crepancies, including
a cross‑reference to reports filed by any other reporting individual. A
reporting individual must be notified in writing if a discrepancy within
10 working days of the date of the notice. After the date stated in the
notice of final action for submission of a written explanation, the
Secretary of State must prepare an annual report of any unresolved
discrepancies found after examination of the random sample and transmit
a copy of the report to the Attorney General for enforcement \[56\].

**D. Administrative Enforcement of Campaign Reporting Act.** The
Secretary of State may initiate investigations to determine whether the
Campaign Re­porting Act has been violated, and any person who believes
the Act has been violated may file a written complaint with the
Secretary any time prior to 90 days after an election (except within the
8 days prior to an election) \[57\].

The Secretary of State must at all times seek to ensure voluntary
compliance with the Act. If the Secretary of State determines that a
provision of the Act for which a penalty may be imposed has been
violated, the Secretary is required to set forth by written notice the
violation and the fine imposed and inform the vio­lator that he or she
has 10 working days from the date of the letter to correct the matter
and to provide a written explanation, under penalty of perjury, stat­ing
any reason why the violation occurred. If a timely explanation is filed
and Secretary of State determines that good cause exists to waive the
fine imposed, the Secretary may by a written notice of final action sent
by certified mail par­tially or fully waive any fine imposed for any
late, incomplete, or false report or statement of exception \[58\].

Upon receipt of the notice of final action, the person against whom the
penal­ty has been imposed may protest the Secretary of State\'s
determination, includ­ing an advisory opinion, by submitting on the
prescribed form a written request for binding arbitration to the
Secretary of State within 10 working days of the date of notice of the
final action. Any fine imposed is not due and payable until the
arbitration decision is issued, and no additional fine may accrue
pending the issuance of the arbitration decision. A single arbitrator
must conduct the arbi­tration hearing within 30 days of the request for
arbitration. The arbitrator may impose any penalty the Secretary of
State is authorized to impose. The arbitra­tor\'s decision, which is
final and binding, must be issued and filed with the Secretary of State
within 30 days of the conclusion of the hearing \[59\].

The Secretary of State may refer a matter to the Attorney General or a
district attorney for a civil injunctive or other appropriate order or
for criminal en­forcement \[60\].

**E. Fines for Late, Incomplete, or False Reports.** If a statement of
excep­tion or a report of contributions and expenditures contains false
or incomplete information or is filed after the statutory deadline
(except the report due the Thursday prior to the election or any
supplemental report due prior to the elec­tion, the responsible reporting
person or committee, in addition to any other penalties or remedies
prescribed by the election code, is liable and must pay to the Secretary
of State \$50 per day for each regular working day after the dead­line
for filing the statement or report until the complete or true statement
or re­port is filed, up to a maximum of \$5,000 \[61\].

If a false, incomplete or late report of contributions and expenditures
due on the Friday before the election is filed, the reporting individual
or political com­mittee is liable and must pay the Secretary of State
\$500 for the first working day and \$50 for each subsequent working day
after the time required for the fil­ing of the report until the true and
complete report is filed, up to a maximum of \$5,000. A reporting
individual or political committee that fails to file or files a late
supplemental report of a large pre‑election contribution is liable and
must pay to the Secretary of State a penalty equal to the amount of each
contribution received or pledged after the Tuesday before the election
that was not timely filed \[62\].

**F. Election‑Related Penalties for Failure or Refusal to File a Report
of Contributions and Expenditures.** A candidate who fails or refuses to
file a statement of exception or a report of contributions and
expenditures or to pay a penalty imposed by the Secretary of State as
required by the Campaign Report­ing Act, in addition to any other
penalties provided by law, may not have his or her name printed upon the
ballot if the violation occurs before and through the final date for the
withdrawal of candidates or may not be issued a certificate of
nomination or election if the violation occurs after the final date for
withdrawal of candidates or after the election until the candidate
satisfies all reporting re­quirements of the Act and pays all penalties
owed \[63\].

A candidate who lost an election and failed or refused to file a
required statement of exception or report of contributions and
expenditures or to pay a penalty imposed by the Secretary of State, in
addition to any other penalties pro­vided by law, is not permitted to
file a declaration of candidacy or nominating petition for any future
election until the candidate satisfies all reporting re­quirements of the
Act and pays all penalties owed \[64\].

A candidate for statewide or legislative office who fails or refuses to
file a fi­nancial disclosure statement as required by the Financial
Disclosure Act before the final date for the withdrawal of candidates
may not have his or her name on the ballot \[65\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State (1) generally
supervises all elections, (2) administers the election code in its
statewide application, (3) adopts necessary rules and regulations, (4)
reports possible violations of the election code to a district attorney
or the Attorney General for prosecution, (5) publishes and distributes
copies of the election code, and (6) in consultation with the Attorney
General, issues advisory opinions upon written request on matters
concerning the Campaign Reporting Act \[66\].

The Secretary of State is required to advise and seek to educate all
persons re­quired to perform duties under the Campaign Reporting Act,
including advising all known reporting individuals at least annually of
the Act\'s reporting deadlines, and to furnish annually to all reporting
individuals the prescribed forms for re­porting contributions and
expenditures, supplemental reports, and a statement of exception, and a
schedule of the specific dates the reports and statement are due \[67\].

The Secretary of State is to deliver to each county clerk in a
multi‑county legis­lative district a copy of a report of contributions
and expenditures or statement of exception filed by a legislative
candidate for district within 48 hours after its receipt by the
Secretary \[68\].

**B. Secretary of State and County Clerks.** The Secretary of State and
the appropriate county clerk are designated as the proper filing officer
to receive reports of contributions and expenditures, depending on the
office or issue in­volved \[69\]. They are to give a candidate the
prescribed reporting forms and the schedule of specific dates for filing
the required reports or a statement of ex­ception at the time of the
filing of a declaration of candidacy or nominating peti­tion. The
prescribed forms are also to be made available to all reporting
indi­viduals at the office of the Secretary of State and in each county
at the office of the county clerk \[70\].

**C. County Clerks.** A county clerk is to deliver to the Secretary of
State each report of contributions and expenditures or statement of
exception filed with the county clerk\'s office within 48 hours after
its receipt by the county clerk \[71\].

**D. Attorney General and District Attorneys.** The Attorney General and
the district attorneys, upon request of the Secretary of State, must
provide the Secretary legal advice, assistance, service, and
representation as counsel in any action to enforce the provisions of the
election code \[72\].

**References**

1.  New Mexico Statutes Annotated (hereafter NMSA) § 1‑19‑26(F)

2.  NMSA § 1‑19‑26(M)

3.  NMSA §§ 1‑19‑26(C), (K); 1‑19‑34(A)

4.  NMSA §§ 1‑19‑26(Q); 1‑19‑34(B), (D)

5.  NMSA § 1‑19‑26(B)

6.  NMSA § 1‑19‑34(C), (D)

7.  NMSA § 1‑19‑34(C)

8.  NMSA § 1‑19‑29.1(B); NMSA, Su­preme Court Rules Annotated (1995),
    Code of Judicial Code (hereafter Code of Judicial Conduct)

9.  Code of Judicial Conduct § 21‑700(A)

10. Code of Judicial Conduct § 21‑700(B), (D), (E)

11. Code of Judicial Conduct § 21‑800(A), (B)

12. Code of Judicial Conduct § 21‑800(C)

13. Code of Judicial Conduct § 21‑800(D)

14. Code of Judicial Conduct § 21‑800(E)

15. Code of Judicial Conduct § 21‑800(F)

16. NMSA §§ 10‑9‑3(E), (F), (I); 10‑9‑21(A)

17. NMSA §§ 1‑19‑26(M); 1‑19‑34.1(A)

18. NMSA §§ 1‑19‑26(M); 1‑19‑34.1(B)

19. NMSA § 1‑19‑34.2

20. NMSA § 1‑19‑34.3

21. NMSA § 2‑11‑8.1(B)

22. NMSA § 1‑19‑26(J)

23. NMSA § 1‑19‑26(M)

24. NMSA § 1‑19‑29.1(B), (C)

25. NMSA § 1‑19‑34(A)

26. NMSA § 1‑19‑1(A)

27. NMSA §§ 1‑19‑26(N), (Q); 1‑19‑27; 1‑19‑29; 1‑19‑31

28. NMSA §§ 1‑19‑26(C); 1‑19‑31(A), (C), (D)

29. NMSA § 1‑19‑31(B)

30. NMSA §§ 1‑19‑26(G); 1‑19‑31(A)

31. NMSA § 1‑19‑26(H)

32. NMSA §§ 1‑19‑26(Q); 1‑19‑27; 1‑19‑31; 1‑19‑33(A), (B)

33. NMSA § 1‑19‑26(P)

34. NMSA § 1‑19‑26(E)

35. NMSA §§ 1‑8‑25; 1‑19‑27; 1‑19‑29(A), (B), (D)

36. NMSA § 1‑19‑26(D)

37. NMSA §§ 1‑19‑27(A); 1‑19‑29(A), (B), (E)

38. NMSA § 1‑19‑29(C)

39. NMSA § 1‑19‑29(E)

40. NMSA § 1‑19‑27

41\. NMSA § 1‑19‑26(L)

42. NMSA §§ 1‑19‑27 (A), (D); 1‑19‑29 (A), (B), (F)

43\. NMSA § 1‑19‑29(B)(2)

44\. NMSA § 1‑19‑26.1(A), (B)

45\. NMSA § 1‑19‑26.1(C)

46\. NMSA § 1‑19‑33(A), (B), (D)

47\. NMSA § 2‑11‑6(A), (D)

48\. NMSA § 2‑11‑6(A)

49\. NMSA § 10‑16A‑3(A), (C)

50\. NMSA § 7‑2‑31(A)

51\. NMSA § 7‑2‑31(B), (C)

52\. NMSA §§ 1‑19‑36; 10‑16A‑7

53\. NMSA § 1‑19‑1(B)

54\. NMSA § 10‑9‑23

55\. NMSA § 1‑19‑34.6

56\. NMSA § 1‑19‑32.1(A), (B)

57\. NMSA § 1‑19‑34.4(B)

58\. NMSA § 1‑19‑34.4(C)

59\. NMSA § 1‑19‑34.4(D)‑(F)

60\. NMSA § 1‑19‑34.4(G)

61\. NMSA § 1‑19‑35(A)

62\. NMSA § 1‑19‑35(B), (C)

63\. NMSA § 1‑19‑35(E)

64\. NMSA § 1‑19‑35(F)

65\. NMSA § 10‑16A‑3(G)

66. NMSA §§ 1‑2‑1; 1‑2‑2; 1‑19‑26.2; 1‑19‑34.4(A)

67\. NMSA §§ 1‑19‑28(A); 1‑19‑34.4(A)

68\. NMSA § 1‑19‑32.1(C)

69\. NMSA §§ 1‑19‑27; 1‑8‑25

70\. NMSA § 1‑19‑28(B)

71\. NMSA § 1‑19‑32.1(C)

72\. NMSA § 1‑2‑1.1(A)

**CAMPAIGN FINANCE LAW**

**IN NEW YORK**

**I. INTRODUCTION**

New York requires candidates and political committees to file periodic
state­ments of receipts and contributions, but numerous exemptions are
provided. If the aggregate receipts or expenditures of a candidate or a
candidate\'s authorized political committee do not exceed \$1,000 for an
election campaign, a regular statement of receipts and contributions
need not be filed.

There are maximum aggregate contribution amounts that may be made to and
accepted by a candidate or political committee aiding a candidate in
connection with a primary, general, or special election, subject to
numerous exemptions for certain \"contributors.\" Individuals, other
than a candidate\'s family, are limited to a total of \$150,000 for
contributions in candidate‑related elections in a calendar year and are
also subject to specific limitations for various offices and positions.
Family contributors are subject to contribution limits for various
offices and po­sitions; however, a candidate and the candidate\'s spouse
are not subject to any limit for contributions for the candidate\'s
campaign. Political party committees are also subject to a limitation on
aggregate annual contributions that be made by and accepted from any
contributor.

Corporations are subject to the same maximum aggregate contribution
limits per election as individual contributors and may not contribute
more than \$5,000 in the aggregate in a calendar year for political
purposes other than for the sup­port of or opposition to non‑partisan
ballot issues. A corporation may pay for the establishment and
administration of a separate segregated fund, but is still subject to
the \$5,000 maximum contribution limit for such support.

The State Board of Elections administers the campaign receipts and
expen­ditures law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is any of the
following:

\(1\) Any gift, subscription, outstanding loan, advance, or deposit of
money or anything of value made in connection with the nomination for
election or elec­tion of any candidate or to promote the success or
defeat of a political party or principle or any ballot proposal \[1\].

\(2\) Any funds received by a political committee from another political
com­mittee to the extent that the funds do not constitute a transfer
\[2\]. A \"transfer\" is any exchange of funds or anything of value
between political committees au­thorized by the same candidate and taking
part solely in the candidate\'s cam­paign or any exchange of funds
between a political party committee or consti­tuted committee and a
candidate or any of the candidate\'s authorized political committees
\[3\].

\(3\) Any payment by any person, other than a candidate or political
commit­tee authorized by the candidate, made in connection with the
nomination for election or the election of any candidate or any payment
made to promote the success or defeat of a political party or principle
or any ballot proposal, includ­ing compensation for the personal services
of an individual that are rendered in connection with a candidate\'s
nomination or election without charge \[4\].

None of the foregoing is deemed to be a contribution if it is made,
taken, or performed by a candidate or the candidate\'s spouse or by a
person or political committee independently of a candidate, the
candidate\'s agents, and the candida­te\'s authorized political
committees; that is, the candidate, his or her agents, or authorized
political committees did not authorize, request, suggest, foster, or
co­operate in the activity \[5\]. An expenditure by a candidate, a
candidate\'s spouse, or any political committee on behalf of the
candidate is not considered to be a contribution to the candidate \[6\].

The term \"contribution\" does not include (1) 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; (2)
the use of real or personal property and the cost of invitations, food,
and beverages voluntarily provided by an individual to a candidate or
political committee on the individual\'s residential premises for
candidate‑related activities to the extent the services do not exceed
\$500 in value; and (3) the travel expenses of any individual who on his
or her own behalf volunteers personal services to a candidate or
political committee to the extent such expenses are unreimbursed and do
not exceed \$500 in value \[7\].

**B. Maximum Aggregate Amounts of Contributions**

**1. General Provisions.** Contributions related to a primary, general,
or special election that may be made to or accepted by a candidate for
nomination for or election to a public office or election to a political
party position and made to or accepted by a political committee working
directly or indirectly with a candidate to aid or participate in the
candidate\'s nomination or election are limited to prescribed maximum
aggregate amounts, which vary according to the contributor, candidate,
election, and calendar year \[8\].

**2. Exemptions.** The law provides exemptions from the contribution
limits for certain \"contributors\" who make contributions and certain
\"contributions\" that are made to a candidate or political committee in
connection with the nom­ination for election or election of a candidate:
(1) contributions made by the candidate or the candidate\'s spouse; (2)
contributions made by or to a political party committee or constituted
committee; (3) contributions made by the candi­date\'s authorized
political committees; (4) contributions made by a political committee
independent of the candidate and the candidate\'s authorized political
committees; (5) an exchange of funds of anything of value between
authorized political committees of the same candidate; (6) an exchange
of funds between a political party committee or constituted committee
and the candidate or the can­didate\'s authorized political committee;
(7) contributions made to a candidate and political committee that
engages exclusively in activities for which a report of campaign
receipts, expenditures, and liabilities is required to be filed with an
office of the U.S. government (e.g., the federal election commission);
and (8) contributions (i.e., money) made to a political party committee
or constituted committee and expended to maintain a permanent
headquarters and staff and to carry on ordinary activities that are not
for the express purpose of promoting the candidacy of specific
candidates \[9\].

In determining the amount of a contribution, a contribution of other
than money must be evaluated at its fair market value and a reasonable
estimate should be used \[10\]. A \"contribution of other than money\"
is a gift, subscription, loan, or advance of anything of value, other
than money, made to or for any candidate or political committee and the
payment by any person other than a candidate or political committee of
compensation for the personal services of another person that are
rendered to the candidate or political committee without charge, but
does not include personal services provided without compensation by
individuals volunteering a portion or all of their time on behalf of a
candidate or political committee \[11\].

A portion of every contribution to a political party committee expended
as other than non‑candidate expenditures and a portion of every
contribution to a political committee authorized to support more than
one candidate is deemed contributed to every candidate supported by the
committee. The portion is de­termined by allocating the contributions
received by the committee in accor­dance with any formula based on
reasonable standards established by the com­mittee \[12\].

The maximum contribution limits are to be adjusted by the State Board of
Elections every four years, beginning in 1995, and the adjusted limits
are to be pub­lished in a regulation by the State Board by February 1st
of the adjustment year. The contribution limit is to be adjusted by the
amount of the percentage dif­ference between the most recent available
monthly consumer price index for all urban consumers and the consumer
price index published for the same month four years previously \[13\].

**3. Individual Contributors.** No individual, except as may otherwise
be provided for a candidate and a candidate\'s family, may contribute,
loan, or guar­antee over \$150,000 in connection with the nomination or
election of persons to state and local public offices and party
positions in any one calendar year. A \"loan\" or \"guarantee\" means a
loan or guarantee that is not repaid or discharged in the calendar year
in which it is made \[14\].

A contributor, other than a candidate\'s family or a corporation, is
subject to the following limitations on the maximum aggregate amount of
contributions that may be made to and accepted by candidates and their
political committees:

\(1\) Statewide office:

\(a\) Nomination‑‑the product of the number of enrolled voters in the
candi­date\'s party in the state, excluding voters in inactive status,
multiplied by \$.005, but not less than \$4,900 or more than \$14,700.

\(b\) Election‑‑\$30,700.

\(2\) State senator:

\(a\) Nomination‑‑\$4,900.

\(b\) Election‑‑\$7,700.

\(3\) Member of the assembly:

\(a\) Nomination‑‑\$3,100.

\(b\) Election‑‑\$3,100.

\(4\) New York City mayor, public advocate, or comptroller:

\(a\) Nomination‑‑the greater of \$4,900 or the product of the number of
en­rolled voters in the candidate\'s party in the city, excluding voters
in inactive sta­tus, multiplied by \$.05, but not more than \$14,700.

\(b\) Election‑‑\$30,700.

\(5\) Other public office:

\(a\) Nomination‑‑the greater of \$1,000 or the product of the number of
en­rolled voters in the candidate\'s party in the district in which he or
she is a can­didate, excluding voters in inactive status, multiplied by
\$.05, but not more than \$50,000.

\(b\) Election‑‑the greater of \$1,000 or the product of the number of
regis­tered voters in the district, excluding voters in inactive status,
multiplied by \$.05, but not more than \$50,00 \[15\].

**4. Family Contributors.** A candidate\'s family (child, parent,
grandparent, brother, and sister and their spouses considered together)
is subject to the fol­lowing limitations on the aggregate maximum amount
of contributions that may be made to and accepted by the candidate and
supporting political committees:

\(1\) Statewide office:

\(a\) Nomination‑‑the product of the number of enrolled voters in the
candi­date\'s party in the state, excluding voters in inactive status,
multiplied by \$.025.

\(b\) Election‑‑the product of the number of registered voters in the
state, ex­cluding voters in inactive status, multiplied by \$.025.

\(2\) State senator:

\(a\) Nomination‑‑the greater of \$20,000 or the product of the number
of en­rolled voters in the candidate\'s party in the district, excluding
voters in inactive status, multiplied by \$.25, but not more than
\$100,000.

\(b\) Election‑‑the greater of \$20,000 or the product of the number of
regis­tered voters in the district, excluding voters in inactive status,
multiplied by \$.25, but not more than \$100,000.

\(3\) Member of the assembly:

\(a\) Nomination‑‑the greater of \$12,500 or the product of the number
of en­rolled voters in the candidate\'s party in the district, excluding
voters in inactive status, multiplied by \$.25, but not more than
\$100,000.

\(b\) Election‑‑the greater of \$12,500 or the product of the number of
regis­tered voters in the district, excluding voters in inactive status,
multiplied by \$.25, but not more than \$100,000.

\(4\) New York City mayor, public advocate, or comptroller:

\(a\) Nomination‑‑the greater of \$1,250 or the product of the number of
en­rolled voters in the candidate\'s party in the city, excluding voters
in inactive sta­tus, multiplied by \$.25, but not more than \$100,000.

\(b\) Election‑‑the greater of \$1,250 or the product of the number of
registered voters in the city , excluding voters in inactive status,
multiplied by \$.25, but not more than \$100,000.

\(5\) Other public office:

\(a\) Nomination‑‑the greater of \$1,250 or the product of the number of
en­rolled voters in the candidate\'s party in the district, excluding
voters in inactive status, multiplied by \$.25, but not more than
\$100,000.

\(b\) Election‑‑the greater of \$1,250 or the product of the number of
regis­tered voters in the district, excluding voters in inactive status,
multiplied by \$.25, but not more than \$100,000 \[16\].

**5. Corporate Contributors.** Corporations and corporation‑supported
or­ganizations are subject to the same limitations on the maximum
aggregate amount of contributions that may be made to and accepted by
individual candi­dates and their political committees as non‑family
individual contributors, but are also further limited to a maximum of
\$5,000 in the aggregate for expen­ditures, including contributions, for
political purposes per calendar year \[*see* Sec­tion II.D, *infra*\]
\[17\].

**C. Maximum Contributions to Party or Constituted Committees.** No
contributor, other than another party or constituted committee, may make
a contribution (except for housekeeping expenses) to a party or
constituted com­mittee and no such committee may accept a contribution
(except for housekeep­ing expenses) from any contributor that is greater
than \$76,500 per year. The maximum contribution limit is to be adjusted
by the State Board of Elections every four years, beginning in 1995, and
the adjusted limit is to be published in a regulation by February 1st of
that year. The contribution limit is to be adjust­ed by the amount of the
percentage difference between the most recent avail­able monthly consumer
price index for all urban consumers and the consumer price index
published for the same month four years previously \[18\].

**D. Maximum Annual Contributions by Corporation and
Corporation‑Supported Organizations.** A corporation (including a
not‑for‑profit corpora­tion) or joint stock association doing business in
the state, except a corporation organized or maintained for political
purposes only, may not directly or indirect­ly pay, use, or offer any
money or property (1) for or in aid of any political par­ty, committee,
or organization, (2) for or in aid of any corporation, joint‑stock, or
other association organized or maintained for political purposes, (3)
for or in aid of any candidate for political office or for nomination
for political office, (4) for any political purpose whatever, or (5) for
the reimbursement or indemnifica­tion of any person for monies or
property used for any of the specified purpos­es; however,
notwithstanding the prohibition of corporate contributions for the
enumerated purposes, a corporation or an organization supported in whole
or in part by a corporation may make expenditures, including
contributions, that are not otherwise prohibited by law for political
purposes in an amount not to exceed \$5,000 in the aggregate in any
calendar year \[19\]. The law on corporate contributions is invalid to
the extent it attempts to prohibit or limit the ability of a corporation
to contribute or expend monies in support of or opposition to
non‑partisan ballot issues \[20\].

A corporation may pay for the establishment and administration of a
separate segregated fund composed of voluntary contributions solicited
from corporate employees, but the amount of the payment must be charged
against the corpora­tion\'s calendar year limit on the amount it may
contribute for political purposes \[21\].

A public utility is prohibited from using revenues received from the
rendition of public service within the state for contributions for
political purposes unless the cost is charged to the shareholders of the
public service corporation \[22\].

**E. Disposition of Anonymous Contributions.** An anonymous contribu­tion
received by a campaign treasurer, political committee, or agent of the
treas­urer or committee may not be used or expended, but must be paid
over to the comptroller of the state for deposit in the general
treasury; however, if the iden­tity of the anonymous contributor becomes
known before the date for filing statements and reports, the anonymous
contribution must be returned to the contributor or retained and
properly reported as a contribution from the con­tributor \[23\].

**F. Contributions in the Name of the Contributor.** No person is
permit­ted to make in any name except his or her own, directly or
indirectly, a payment or promise of payment to a candidate or political
committee or on behalf of any candidate nor may any committee, person,
or candidate knowingly receive a payment or promise of payment or enter
the payment in the records of the committee in any name other than that
of the person by whom it is made. Not­withstanding this requirement, a
partnership may make contributions in the name of the partnership
without attributing the contributions to the individual members of the
partnership as long as any partnership contribution to a can­didate or
political committee does not exceed \$2,500. If the partnership
contri­bution exceeds \$2,500, the aggregate amount of the contribution
is attributed to each partner whose share of the contribution exceeds
\$99 \[24\].

**G. Contributions Over \$100 by Check, Draft, or Other Instrument or by
Credit Card.** A candidate, political committee, or agent thereof may
not re­ceive from any one person an aggregate amount of more than \$100
except in the form of a check, draft, or other instrument payable to the
candidate, political committee, or treasurer and signed or endorsed by
the donor; however, a can­didate, political committee, or agent may
receive contributions in amounts greater than \$100 that are made by
credit card if a copy of the document that was submitted to secure
payment of the funds so contributed is preserved to­gether with the other
accounts that the candidate, committee, or agent is re­quired to
preserve. All such checks, drafts, or other instruments must be
depos­ited in the account of the candidate or committee in the designated
depository \[25\].

**H. Solicitation of a Candidate for Favorable Publicity.** No person
may solicit from a candidate for an elective office money or other
property as a con­dition or consideration for a supporting article,
report, or advertisement in any publication or news media in favor of
the candidate \[26\].

**I. Contributions and Solicitation by Police.** A police commissioner
or officer or member of a police force may not solicit, collect, or
receive any mon­ey for any political fund, club, association, society, or
committee \[27\].

**J. Solicitation of Work Relief Personnel.** No person may solicit or
re­ceive or be in any manner concerned in soliciting or receiving any
assessment, subscription, or contribution for any political purpose
whatever from any person known to him or her to be entitled to or
receiving compensation, employment, or other benefit provided for or
made possible by any act of Congress or of the legislature appropriating
or authorizing the appropriation of funds for work re­lief or relief
purposes \[28\].

**K. Solicitation of Political Assessments by Government Personnel.** A
state or political subdivision officer or employee may not directly or
indirectly use his or her authority or official influence to compel or
induce any other offic­er or employee of the state or a political
subdivision to pay or promise to pay any political assessment \[29\].

**L. Contributions by Civil Service Personnel**. No person in the civil
serv­ice of the state or of any civil division of the state is for that
reason under any obligation to contribute to any political fund or to
render any political service, and no person may be removed or otherwise
prejudiced for refusing to do so. No person in the civil service may
discharge, promote, reduce, or in any manner change the official rank or
compensation of any other person in the civil service for giving,
withholding, or neglecting to make any contribution of money, serv­ice,
or other valuable thing for any political purpose \[30\].

**M. Contributions by and Solicitation of Judges or Judicial
Candidates.** The Rules of the Chief Administrator of the Courts
concerning judicial conduct apply to all judges in the unified court
system and all candidates for elective judicial office. A person becomes
a candidate for elective judicial office as soon as he or she makes a
public announcement of candidacy or authorizes solicitation or
acceptance of contributions \[31\].

The Rules prohibit incumbent judges and candidates for public elective
office from soliciting funds for, paying an assessment to, or making a
contribution to a political organization or candidate or purchasing
tickets for politically sponsored dinners or other functions. They may
participate in their own campaigns for judicial office and may
contribute to their own campaigns as permitted under the state election
law. During the "window period," judicial candidates, except as
prohibited by law, may purchase two tickets to and attend politically
sponsored dinners and other functions even where the cost of the ticket
to such dinner or other function exceeds the proportionate cost of the
dinner or function. A non-judge judicial candidate may also be a member
of a political organization and continue to pay ordinary assessments and
ordinary contributions to such organization \[32\].

According to the Rules, a judge or judicial candidate may not personally
solicit or accept campaign contributions, but may establish committees
of responsible persons to conduct campaigns for the candidate through
media advertisements, brochures, mailings, candidate forums, and other
means not prohibited by law. These committees may solicit and accept
reasonable campaign contributions and support from the public, including
lawyers, manage the expenditure of funds for the candidate's campaign,
and obtain public statements of support for his or her candidacy. The
committees may solicit and accept such contributions and support only
during the "window period." A candidate may not use or permit the use of
campaign contributions for the private benefit of the candidate or
others \[33\].

According to the Rules, a judge must prohibit members of the judge's
staff who are the judge's personal appointees from (1) contributing,
directly or indirectly, money or other valuable consideration in amounts
exceeding \$500 in the aggregate during any calendar year to all
political campaigns for political office and other partisan political
activity, including but not limited to the purchasing of tickets to
political functions, (except that this \$500 limitation does not apply
to an appointee's contributions to his or her own campaign) and (2)
personally soliciting funds in connection with partisan political
purpose or personally selling tickets to or promoting a fundraising
activity of a political candidate, political party, or partisan
political club \[34\].

The "window period" denotes a period beginning 9 months before a primary
election, judicial nominating convention, party caucus, or other party
meeting for nominating candidates for elective judicial office for which
a judge or non-judge is an announced candidate or for which a committee
or other organization has publicly solicited or supported the judge's or
non-judge's candidacy and ending, if the judge or non-judge is a
candidate in the general election for that office, 6 months after the
general election or, if the judge or non-judge is not a candidate in the
general election, 6 months after the date of the primary election,
convention, caucus, or meeting \[35\].

The Code of Judicial Conduct adopted by the New York State Bar
Association provides that a judge or candidate for election to judicial
office should not solicit funds for or pay an assessment or make a
contribution to a political organization; however, a judge holding
office filled by public election between competing candidates may, only
insofar as permitted by law, contribute to a political party or
organization. A candidate, including an incumbent judge, for a judicial
office that is filled by public election between competing candidates
should not solicit or accept cam­paign funds, but may establish
committees of responsible persons to secure and manage the expenditure
of funds for his or her campaign. These committees are not prohibited
from soliciting campaign contributions from lawyers. A candida­te\'s
committees may solicit funds for the campaign no earlier than 6 months
be­fore a primary election and no later than 6 months after the last
election in which the candidate participates during the election year. A
candidate should not use or permit the use of campaign contributions for
the private benefit of the candidate and members of his or her family
\[36\].

**N. Political Assessments Concerning Employees of the Unified Court
System.** No employee of the unified court system may directly or
indirectly use his or her authority or official influence to compel or
induce any other employee of the unified court system to pay or promise
to pay any political assessment, subscription, or contribution. No
person may give notice of, demand, collect, or receive any political
assessment, subscription, or contribution in any building, office, or
room occupied for any governmental purpose and under the charge or
control of an employee of the unified court system \[37\].

**O. Contributions by Polling Place Owners.** A person who owns premises
contracted for or used as a place of registration or as a polling place
for any election or official primary may not make, offer, or promise to
make a political contribution to any party committee, candidate, or
person, and a person may not make, promise, or offer to make any
political contribution as an inducement for the hiring of premises owned
by that person for use as a place of registration or polling place
\[38\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** There is no definition of the term
\"expendi­ture\" in the state election law; however, the term has been
used by the State Board of Elections to mean at least a direct payment
for goods and services \[39\].

**B. Expenditures for Personal Use.** Contributions received by a
candidate or political committee may be expended for any lawful purpose.
Such funds may not be converted by any person to a personal use that is
unrelated to a po­litical campaign or the holding of a public office or
party position \[40\].

**C. Expenditures by Check.** No candidate or political committee may
ex­pend an amount over \$100 except by check drawn on the designated
depository and signed by the candidate or person authorized by the
candidate to sign checks or, in the case of a political committee, the
treasurer or a person author­ized by the candidate to sign checks \[41\].

**D. Political Party Expenditures for Primary Candidates.**
Contributions of money or the equivalent made directly or indirectly to
any political party or party committee and moneys in the treasury of a
political party or party com­mittee may not be expended to aid a person
to be voted for at a primary elec­tion as a candidate for nomination for
public office or as a candidate for any party position \[42\].

**E. Expenditures by a Constituted Committee.** No constituted committee
of a political party may expend in any 12‑month period terminating on
the day of a general election, other than as non‑candidate expenditures,
any portion of any individual contribution that exceeds, in the case of
a state committee, 1/2¢ for each registered voter in the state or, in
the case of any other constituted committee, the greater of 1¢ for each
registered voter in the district in which the committee is organized or
\$500 \[43\].

**F. Investment Income‑Producing Sources.** According to the State Board
of Elections, there is nothing in the state election law that would
prohibit any po­litical committee (and presumably a candidate) from
investing a part of its assets in an income‑producing source such as a
money market fund. This use of funds does not constitute an expenditure
but must be reported as a disbursement, and the interest received from
such an investment must be reported as a receipt \[44\].

**IV. REPORTING REQUIREMENTS**

**A. Statement of Receipts and Expenditures**

**1. General Provisions.** A candidate for election to public office,
nomina­tion for public office at a contested primary election, or
election to a political party position at a primary election and a
political committee must file state­ments of receipts, contributions,
transfers, and expenditures with the appropriate filing board or clerk
\[45\].

A candidate or political committee is exempted from the requirement to
file a statement of receipts and expenditures in certain situations:

\(1\) If expenditures made by any individual or political committee for
or on behalf of the nomination or election of any candidate or for or on
behalf of any question to be submitted to vote at a public election do
not exceed \$50 in an ag­gregate amount during any calendar year, the
expenditures are not considered to be a contribution of other than money
and the individual or political committee is not required to file
statements of receipts and expenditures \[46\].

\(2\) If, at the close of a reporting period for which a statement of
receipts and expenditures would be required to be filed by a candidate
or political committee taking part solely in the candidate\'s campaign
and authorized by the candidate to do so or by a committee involved
solely in promoting the success or defeat of a ballot proposal, neither
the aggregate receipts nor the aggregate expenditures by and on behalf
of the candidate or to promote the success or defeat of a ballot
proposal by such candidate or by such political committee or committees
exceed \$1,000 and the candidate or committee files on the filing date
otherwise provid­ed a sworn or subscribed statement stating that neither
the aggregate receipts nor aggregate expenditures exceed \$1,000, then
the candidate or political com­mittee below the threshold amount is not
required to file the statements of re­ceipts and expenditures \[47\].

\(3\) A candidate unopposed in a primary election and a political
committee authorized by the candidate and taking part solely in his or
her campaign are not required to file the two statements of receipts,
expenditures, and contributions that must be filed immediately prior to
the uncontested primary election if all the information to be filed in
the two statements is contained in the first state­ment required in
connection with the ensuing general election \[48\].

\(4\) A candidate or a political committee taking part solely in the
candidate\'s campaign and authorized by the candidate to do so in a
campaign for election to public office and a political committee
involved solely in promoting the success or defeat of a ballot proposal
in a city, town, or village having a population of less than 10,000 are
not required to file statements of receipts and expenditures unless the
aggregate receipts or the aggregate expenditures made by the can­didate
and the candidate\'s authorized committees or the committee promoting
the success or defeat or a proposal exceed \$1,000 \[49\].

\(5\) If a candidate has made no expenditures and does not intend to
make any expenditures, except through a political committee authorized
by the candidate, the candidate may file a statement to that effect in
lieu of filing any statements of receipts and expenditures \[50\].

\(6\) A political committee formed solely to promote the success or
defeat of a ballot proposal submitted to vote at a public election is
not required to file the required statements of receipts and
expenditures until the committee has re­ceived or expended an amount in
excess of \$100 \[51\].

\(7\) A candidate for member of a county committee of a political party
or any candidate for delegate or alternate delegate to a judicial
district convention is not required to file statements of receipts and
expenditures if the campaign ex­penditures made by or on behalf of the
candidate do not exceed \$50 \[52\].

\(8\) The filing requirements do not apply to a candidate or political
committee that engages exclusively in activities for which there is
required to be filed a re­port of campaign receipts, expenditures, and
liabilities with an office or officers of the U.S. Government, but a
copy of each report must be filed with State Board of Elections \[53\].

\(9\) The requirement to file statements of receipts and expenditures
does not apply to a political committee supporting or opposing
candidates for state or lo­cal office that, pursuant to the laws of the
United States, is required to file a statement or report of the campaign
receipts, expenditures, and liabilities of such committee with an office
or officer of the U.S. Government if (1) such commit­tee makes no
expenditures to aid or take part in the election or defeat of a
can­didate for state or local office other than in the form of
contributions that do not exceed \$1,000 in the aggregate in any
calendar year and (2) a copy of the federal report that lists such
contributions is filed with the appropriate board of elections at the
same time that it is filed with the federal filing office or officer
\[54\].

\(10\) The reporting requirements and other provisions on campaign
receipts and expenditures do not apply to any committee or organization
for the discus­sion or advancement of political questions or principles
without connection with any vote or to a national committee organized
for the election of presidential or vice‑presidential candidates \[55\].

Each statement of receipts and expenditures required to be filed must
include the following particulars:

\(1\) The dollar amount or the fair market value if other than money of
any re­ceipt, contribution, or transfer; the name and address of the
transferor, contribu­tor, or person from whom received; if the
transferor, contributor, or person is a political committee, the name of
and the political unit represented by the com­mittee; and the date of
receipt. Receipts and contributions aggregating not more than \$99 from
any one contributor need to be specifically accounted for by sep­arate
items in a statement. A statement reporting a loan must have attached to
it a copy of the evidence of indebtedness \[56\].

\(2\) The dollar amount of every expenditure; the name and address of
the person to whom it was made or the name of the political committee
and the po­litical unit represented by the committee to which it was
made; the date of the expenditure; and a clear statement of the purpose
of the expenditure. Expen­ditures under \$50 need not be specifically
accounted for by separate items in a statement \[57\]. A contribution
other than money must be declared as an expen­diture at its fair market
value, reported on the expenditure schedule, and identi­fied as to its
nature and listed as an \"expenditure in‑kind\" \[58\].

A statement must be sworn or subscribed to and bear a form notice that
false statements made therein are punishable as a class A misdemeanor
\[59\].

A statement required to be filed next succeeding a primary, general, or
special election must be accompanied by a facsimile or copy of all
advertisements, pamphlets, circulars, fliers, brochures, letterheads,
and other printed matter pur­chased or produced and a schedule of all
radio or television time, including the scripts used, purchased in
connection with the election by or under the authority of the person
filing the statement or the committee or person on whose behalf it is
filed \[60\].

A candidate or political committee that charges or accepts monetary
donations for admission to any fund‑raising event at which food and
beverages are provid­ed is not required to list as a candidate
expenditure the cost of providing the food and beverages (including the
expense of preparation and service) where any such cost is included
within the charge or suggested donation for admission; however, the
charge or donation for admission must exceed the cost of provid­ing a
person admitted with food and beverages. The cost of providing food and
beverages must be separately reported and itemized by the candidate or
political committee on its statement of campaign receipts and
expenditures. Any other cost in relation to a fundraising event,
including the cost of music, printing, premises, or advertising, must be
listed and itemized in the same manner as any other candidate
expenditure is reported \[61\].

Political committees are to file periodic statements of campaign
receipts and expenditures no later than January 15th and July 15th of
each year from the time a statement designating a treasurer and
depository is filed \[62\].

Candidates and political committees are to file a statement of campaign
re­ceipts and expenditures on the 32nd day and 11th day before and on the
27th day next succeeding the election (other than a primary election) or
convention to which the statement relates If there is a primary
election, the statements are filed on the 32nd and 11th day before and
the 10th day after the contested primary election. If it is necessary to
hold a run‑off primary, a statement must be received on the 4th day
preceding the runoff primary and on the 10th day af­ter the contested
primary \[63\].

In addition to the pre‑ and post‑election statements, candidates and
political committees are to file periodic statements no later than
January 15th and July 15th of each subsequent year until such time as
the candidate or committee ter­minates activities. At the time of
termination, a final statement is required to be filed particularizing
campaign receipts and expenditures during the filing period and
evidencing a complete payment of all liabilities and the expenditure of
all funds in the possession of the committee or candidate. The filing of
the final statement terminates the activities of the political committee
or candidate. If a person or political committee receives or expends
funds to promote the person\'s candidacy for a particular office and the
person fails to qualify for either the primary or general election
ballot, statements are required to be filed as speci­fied in this
paragraph \[64\].

If a candidate or committee is required to file two statements within a
period of 5 days, the information required in each statement may be
combined in a sin­gle statement; however, the information contained in
the single statement must be segregated and identified as to the
election to which it relates. The combined statement is required to be
filed on the date on which the later statement is re­quired to be filed
\[65\].

Each statement must cover the period up to and including the 4th day
preced­ing the day specified for filing the statement; however, any
contribution or loan over \$1,000 received after the close of the period
to be covered in the last statement filed before any primary, general,
or special election but received be­fore such election must be reported
within 24 hours after receipt in the same manner as other contributions
\[66\].

A board of elections must no later than 10 days after the last day to
file a statement notify each person required to file any statement that
has not been re­ceived by the 10th day of the person\'s failure to file
timely. The notice must be in writing and mailed to the last known
residence or business address of such person. Failure to file within 5
days after receipt of the notice constitutes prima facie evidence of a
willful failure to file. A copy of any notice sent by a board of
elections, other than the State Board of Elections, is to be sent by the
other board to the State Board \[67\]. If a statement is not received, a
duplicate of the statement must be filed promptly upon notice by the
board of its non‑receipt \[68\].

**2. Candidates.** A candidate for election to public office, for
nomination for public office at a contested primary election or
convention, or for election to a party position at a primary election
must file the required statements of re­ceipts and expenditures setting
forth the particulars as to all moneys or other valuable things paid,
given, expended, or promised by the candidate to aid his or her own
nomination or election, to promote the success or defeat of a political
party, or to aid or influence the nomination or election or the defeat
of any oth­er candidate to be voted for at an election or primary or at a
convention, includ­ing contributions to political committees and
officers, members, or agents there­of, and transfers, receipts, and
contributions to the candidate to be used for any of the proposes
specified above \[69\].

A \"candidate,\" as defined in the campaign receipts and expenditures
law, is an individual who seeks nomination for election or election to
any public office or party position to be voted for at a primary,
general, or special election, New York City community school district
election, or election for trustee of the Long Island Power Authority,
whether or not the office or position has been specifi­cally identified
at such time and whether or not the individual is nominated or elected,
and, for the purpose of the reporting provisions, an individual is
deemed to seek nomination for election or election to a public office or
party position if he or she has taken the action necessary to qualify
for nomination for election or election or has received contributions,
made expenditures, or given consent for any other person to receive
contributions or make expenditures with a view to bringing about his or
her nomination for election or election to any office or po­sition at any
time, whether in the year in which the contributions or expen­ditures are
made or at any other time \[70\].

A candidate who receives or expends any money or other valuable thing or
incurs any liability to pay money or its equivalent must keep and retain
detailed, bound accounts as provided for political committees \[71\].

A political committee authorized by a candidate may fulfill all of the
filing re­quirements on behalf of the candidate \[72\].

The places for filing candidate statements of receipts and expenditures
are as follows:

\(1\) The statements of a candidate for nomination for or election to
the office of presidential elector, governor, lieutenant governor,
attorney general, comp­troller, member of the state legislature, delegate
to a constitutional convention, or justice of the supreme court or a
candidate for any party position to be voted for at a primary election
by the voters of two or more counties or portions of two or more
counties not wholly within the City of New York are filed with the State
Board of Elections \[73\].

\(2\) The statements of a candidate for nomination for or election to
any other public office, except a village office, or a candidate for any
party position to be voted for at a primary election solely by the
voters within a single county or within the City of New York are filed
with the board of elections of the city or county whose voters are to
vote for the office or party position \[74\].

\(3\) The statements of a candidate for nomination for or election to a
village office are filed with the village clerk; however, if a village
has opted to have elections occur on the day of the general election and
be conducted by the coun­ty board of elections, the statements are filed
with the county board of elections \[75\].

**3. Political Committees.** The treasurer of every political committee
or any officer, member, or agent of a committee who, in connection with
any elec­tion, receives or expends any money or other valuable thing or
incurs any liabili­ty to pay money or its equivalent must file statements
setting forth all receipts of, contributions to, expenditures by, and
liabilities of the committee; however, if the expenditures made and
liabilities incurred in any calendar year by any po­litical committee for
the purpose of aiding or promoting the success or defeat of one or more
ballot proposals are less than \$5,000 and less than 50% of all the
expenditures made and liabilities incurred by the committee in the year,
then the committee is required to report only those contributions that
are made to the committee exclusively for the purpose of aiding or
promoting the success or de­feat of the proposals, as well as all
expenditures made and liabilities incurred for such purposes. The
regular reporting requirements for candidate‑related activi­ties must be
observed in any event \[76\].

A \"political committee\" is any corporation aiding or promoting and any
com­mittee, political club, or combination of one or more persons
operating or coop­erating (1) to aid or to promote the success or defeat
of a political party or prin­ciple or of any ballot proposal, (2) to aid
or take part in the election or defeat of a candidate for public office,
(3) to aid or take part in the election or defeat of a candidate for
nomination at a primary election or convention, including all
pro­ceedings prior to such primary election, or of a candidate for any
party position voted for at a primary election, or (4) to aid or defeat
the nomination by peti­tion of an independent candidate for public office
\[77\].

The term \"political action committee\" is not defined by the state
election law; however, the State Board of Elections considered a
political action committee or PAC to be any political committee that
supports candidates or other political committees by making
contributions only, i.e., political action committees do not direct
expenditures on behalf of candidates \[78\].

The law recognizes two types of political committees of a political
party: (1) a constituted committee (which is a state committee, a county
committee, or a duly constituted subcommittee of a county committee) and
(2) a party commit­tee (which is a committee provided for by the rules of
the party) \[79\].

A person, committee, or corporation making a contribution to a candidate
or a political committee that has filed a statement designating a
treasurer and deposi­tory is not, by that fact alone, deemed to be a
political committee as defined above \[80\]. If a person, committee, or
corporation solicits or expends funds for or on behalf of any specific
candidates or political committee, it is deemed to be a political
committee \[81\]. If a person, committee, or corporation merely ac­cepts
funds from a contributor that are forwarded in the contributor\'s name
to a particular candidate or political committee as specified by the
contributor, it would not itself constitute a political committee;
however, if the person, commit­tee, or corporation has the discretion to
allocate contributed funds between can­didates and political committees,
it would itself constitute a political committee \[82\].

A political committee established by a corporation to support state and
local candidates may engage in joint fundraising activities with another
political action committee established by the same corporation to
support candidates for federal office, and the committees may agree to
divide all contributions by a predeter­mined percentage. If the state
political committee acts as the collecting agent for both committees, it
must report the total amount of all contributions re­ceived by it even
though a predetermined percentage is sent to the federal polit­ical
action committee. The transfer section of the statement of receipts and
ex­penditures will reflect that the predetermined percentage was
forwarded to the federal committee \[83\].

The statements of receipts and expenditures filed by a political
committee also must set forth the total amount received by the committee
from each contribu­tor on behalf of all candidates supported by the
committee and the amount of each such contribution allocated to each
candidate by dollar amount and per­centage \[84\].

Political committees supporting candidates for member of a county
committee or political party or for delegate or alternate delegate to a
judicial district con­vention may list the titles of the party positions
in lieu of the names of the sup­ported candidates and when allocating
expenditures may combine as a single en­try all expenditures made on
behalf of the candidates for the party positions for whom no more than
\$50 has been expended \[85\].

Whenever a person or entity, such as a consultant acting on behalf of a
politi­cal committee that supports or opposes candidates for any public
office or party position or supports or opposes any proposition,
subcontracts for finished goods or services, the treasurer of the
political committee, in addition to reporting the expenditure made to
the consultant or agency, is required to report the name, address, and
amount expended to each person or entity providing such goods and
services the cost of which exceeds \$10,000 in the case of a committee
sup­porting candidates for statewide offices or \$5,000 in the case of
any other com­mittee. The treasurer of a committee that makes such
expenditures may, in lieu of providing such information on the statement
listing the expenditures, include the information on a separate schedule
to be filed with the committee\'s 27‑day, post‑general‑election
statement or, if it relates to a primary election, with the 10‑day,
post‑primary statement. If the separate schedule option is used, the
sched­ule entry must reference the statement in which the expenditure is
listed \[86\].

The statements of receipts and expenditures by a treasurer of a
political com­mittee are filed with the State Board of Elections, except
as follows:

\(1\) If the committee aided or took part solely in the election or
defeat of a candidate for an office or party position at the city or
county level and that can­didate is required to file statements with the
board of elections of the city or county whose voters are to vote for
the office or party position, the statements are filed with the
appropriate local board of elections.

\(2\) If the committee aided or took part solely in the election or
defeat of a candidate for an office or party position at the village
level and that candidate is required to file statements with the village
clerk, the statements are filed with the village clerk.

\(3\) If the committee promoted the success or defeat of a proposition
submit­ted to vote at a public election held within a single county or
the City of New York, the statements are filed with the appropriate
local board of elections \[87\].

The statements by the treasurer of the county committee of a political
party and the treasurer of a duly constituted subcommittee of a county
committee are filed with the board of elections of the county, except
that if the committee aids or takes part in the election or defeat of a
candidate for an office or party posi­tion at the state or multi‑county
level (e.g., governor, attorney general, state leg­islature member, and
multi‑county party position), a copy of the statement that includes
expenditures for such candidate must also be filed with the State Board
of Elections \[88\].

The statements of a political committee, other than a county committee
of a political party, that supports or opposes candidates for offices at
the state or multi‑county level and in addition supports or opposes
candidates for offices at the village, city, or county level are filed
with the State Board of Elections. Cop­ies of the pre‑ and post‑election
statements thereof are to be filed with the ap­propriate local filing
offices, except that in those years in which such committee only
supports or opposes candidates either for city or county level offices
or for village offices, the committee need only file pre‑ and
post‑election statements with the appropriate local filing offices. The
periodic statement required to be filed with the State Board of
Elections by such committee on January 15th fol­lowing a year in which
the committee only supported candidates for county, city, town, or
village offices must have attached to it a copy of the summary section
of the 27‑day post‑election statement filed by the committee with the
local filing office in the preceding year \[89\].

Any political committee that is required to file statements of receipts
and expenditures with the State Board of Elections, includ­ing any
political committee authorized by a candidate to file such statements,
and that raises or spends or expects to raise or spend more than \$1,000
in any calendar year must file the statements pursuant to the electronic
reporting sys­tem prescribed by the State Board of Elections. If the
treasurer of the political committee files a sworn statement that states
that the committee does not have access to the technology necessary to
comply with the electronic filing require­ments and that filing by such
means would constitute a substantial hardship for the committee, the
State Board of Elections may issue an exemption from the electronic
reporting requirements \[90\].

**B. Designation of a Political Committee Treasurer and Depository.**
Every political committee must have a treasurer and a depository and
cause the treasurer to keep detailed, bound accounts of all receipts,
transfers, loans, liabili­ties, contributions, and expenditures made by
the committee or any of its offic­ers, members, or agents acting under
its authority or in its behalf. All accounts must be retained by a
treasurer for a period of 5 years from the date of the fil­ing of the
final statement with respect to the election, primary election, or
con­vention to which they pertain. No officer, member, or agent of any
political committee may receive any receipt, transfer, or contribution,
make any expendi­ture, or incur any liability until the committee has
chosen a treasurer and deposi­tory and filed their names \[91\].

A statement giving the name and address of the treasurer chosen, the
name and address of any person authorized by the treasurer to sign
checks, the name and address of the depository chosen, and the
candidates and ballot proposals the success or defeat of which the
committee is to aid or take part must be filed in the office in which
the committee is required to file its statements of receipts and
expenditures within 5 days after the choice of a treasurer and
depository. However, the statement is not required of a constituted
committee, and a politi­cal committee that makes no expenditures to aid
or take part in the election or defeat of a candidate, other than in the
form of contributions, is not required to list the candidates being
supported or opposed by the committee. The statement must be signed by
the treasurer and all other persons authorized to sign checks. Any
change in the information required in the statement must be reported
with­in two days after it occurs. Only a banking organization authorized
to do busi­ness in the state may be designated a depository \[92\].

The requirement to file a statement designating a treasurer and
depository does not apply to a political committee supporting or
opposing candidates for state or local office that, pursuant to the laws
of the United States, is required to file a statement or report of the
campaign receipts, expenditures, and liabilities of such committee with
an office or officer of the U.S. Government if (1) such committee makes
no expenditures to aid or take part in the election or defeat of a
candidate for state or local office other than in the form of
contributions that do not exceed \$1,000 in the aggregate in any
calendar year and (2) a copy of the federal report that lists such
contributions is filed with the appropriate board of elections at the
same time that it is filed with the federal filing office or officer
\[93\].

**C. Statement of Authorization/Non‑Authorization by Candidates**.
Po­litical committees that make direct expenditures on behalf of
candidates are re­quired to file a statement of
authorization/non‑authorization with the appro­priate filing office prior
to the first election to which it relates. The statement is to list
separately candidates in whose election the committee has been
author­ized to take part and those candidates in whose election the
committee is taking part without authorization. If applicable, the
statement is to filed with the committee\'s designation of treasurer and
depository \[94\].

**D. Statement of Receipts and Expenditures by the Treasurer Upon
Resignation.** Before a treasurer of any political committee may resign
at a time when the treasurer\'s committee has unexpended funds or
unsatisfied liabili­ties, the treasurer must first deliver a copy of his
or her written resignation to both the committee\'s chairman and the
applicable filing officer for the commit­tee\'s statements. The effective
date of the resignation is 5 days after delivery to the filing officer
unless the treasurer specifies a date later than 5 days. Within two days
after the effective date of resignation, the treasurer must file with
the appropriate filing officer a statement of receipts and expenditures,
including all transactions made by his or her committee from the date of
the committee\'s last report up to and including the effective date of
the treasurer\'s resignation \[95\].

Upon the effective date of resignation or death of a treasurer of a
political committee, other than a party committee or a constituted
committee, no mem­ber of the political committee or other person acting
under its authority or in its behalf may receive any money or other
valuable thing or expend the same until the committee has chosen a new
treasurer and the treasurer\'s name and address have been filed with the
appropriate filing officer \[96\].

**E. Accounting by the Agent of a Political Committee or Candidate.** An
officer, member, or agent of a political committee or an agent of a
candidate who receives any receipt, contribution, or transfer, makes any
expenditure, or incurs any liability must, within 3 days after demand
and in any event within 14 days, give a detailed account of the same,
with all required vouchers, to the treasurer of the committee or to the
candidate if he or she is an agent authorized by the candidate \[97\].
Every payment required to be accounted for, unless the total expense
payable to any one person is not more than \$10, must be vouched for by
a receipted bill stating the particulars of expense \[98\].

**F. Political Committee Authorization Statement.** A political
committee aiding or taking part in the election or nomination of any
candidate, other than by making contributions, must file in the office
in which the statements of re­ceipts and expenditures of the committee
are to be filed a sworn verified state­ment by the treasurer of such
committee that the candidate has authorized the political committee to
aid or take part in the candidate\'s election or that the can­didate has
not authorized the committee to aid or take part in the candidate\'s
election \[99\].

The requirement to file an authorization statement does not apply to a
politi­cal committee supporting or opposing candidates for state or local
office that, pursuant to the laws of the United States, is required to
file a statement or re­port of the campaign receipts, expenditures, and
liabilities of such committee with an office or officer of the U.S.
Government if (1) such committee makes no expenditures to aid or take
part in the election or defeat of a candidate for state or local office
other than in the form of contributions that do not exceed \$1,000 in
the aggregate in any calendar year and (2) a copy of the federal report
that lists such contributions is filed with the appropriate board of
elections at the time that it is filed with the federal filing office or
officer \[100\].

**G. Financial Disclosure Statements of Candidates for Statewide and
Legislative Office.** Every candidate for governor, lieutenant governor,
comp­troller, attorney general, and state senator, or member of the
assembly is re­quired to file an annual statement of financial disclosure
containing the informa­tion and in the form required by statute.
Statewide office candidates file with the state ethics commission, and
legislative candidates file with the legislative ethics committee. The
generally applicable filing deadline is May 15th with re­spect to the
preceding calendar year; however, there are separate filing dates for
candidates depending on the office sought and the procedure by which the
can­didate\'s name is placed on the ballot. As a general rule, candidates
must file the financial disclosure statement within 7 days after the
date of the event or the statutorily prescribed date for termination of
the process by which they first gained access to the ballot in an
election year \[101\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Surplus Campaign Funds.** Surplus campaign funds may be transferred
to a constituted committee or party committee, prorated and returned to
the donors, or held for use in a subsequent election campaign. Surplus
campaign funds may also be used by an elected official for any lawful
purpose, including defraying the ordinary and necessary expenses
incurred in connection with his or her duties as the holder of an
elected office \[102\].

**VI. OFFENSES AND PENALTIES**

**A. Civil Penalty for Failure to File Required Statements.** A person
who fails to file a required statement is subject to a civil penalty of
not more than \$500, to be recovered in a special proceeding or civil
action brought by the State Board of Elections or other board of
elections \[103\].

**B. Criminal Penalties.** A person who knowingly and willfully fails to
file a required statement within 10 days after the date provided for
filing the state­ment or who knowingly and willfully violates any other
of the campaign receipts and expenditures provisions is guilty of a
misdemeanor \[104\].

A person who knowingly and willfully contributes, accepts, or aids or
partici­pates in the acceptance of a contribution in an amount exceeding
the specified maximum is guilty of a misdemeanor \[105\].

A person who, acting on behalf of a candidate or political committee,
know­ingly and willfully solicits, organizes, or coordinates the
formation of activities of one or more unauthorized committees, makes
expenditures in connection with the nomination for election or the
election of any candidate, or solicits any per­son to make any such
expenditures for the purpose of evading the statutory con­tribution
limitations is guilty of a class E felony \[106\].

An officer, director, stockholder, attorney, or agent of any corporation
or joint‑stock association that violates any of the provisions
concerning corporate or joint‑stock association contributions who
participates in, aids, abets, advises, or consents to any such
violations and any person who solicits or knowingly re­ceives any money
or property in violation of those provisions is guilty of a mis­demeanor
\[107\].

A police commissioner or police force officer or member who solicits,
collects, or receives any money for a political fund, club, association,
society, or commit­tee is guilty of a misdemeanor \[108\].

**C. Judicial Proceedings to Compel Compliance.** The supreme court or a
justice thereof in a proceeding instituted by any candidate voted for at
the elec­tion or primary, by any 5 qualified voters, or by the state or
other board of elec­tions may compel by order (1) any person required to
file a statement of re­ceipts, expenditures, or contributions for
campaign purposes who has not filed any such statement within the time
prescribed to file the statement within 5 days after notice of the
order; (2) any person required to file a statement of receipts,
expenditures, or contributions for campaign purposes who has filed a
statement that does not conform to the requirements of the law in
respect to its truth, suf­ficiency in detail, or otherwise to file a new
or supplemental statement that will make the statement true and complete
within 5 days after notice of the order; and (3) any person or member of
any committee that has failed to comply with the law to comply therewith
\[109\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. State Board of Elections.** The State Board of Elections has the
power and duty to (1) issue instructions and promulgate rules and
regulations relating to the administration of the election process,
election campaign practices, and campaign financing practices consistent
with the provisions of law; (2) conduct any necessary investigation; (3)
conduct private or public hearings; (4) institute or direct a board of
elections to institute judicial proceedings to enforce com­pliance with
the campaign receipts and expenditures law; (5) prepare uniform forms
for required statements; (6) study and examine the administration of
elec­tions within the state, including campaign financing, campaign
financing report­ing, and campaign practices; and (7) recommend
legislation or administrative measures appropriate to promote fair,
honest, and efficiently administered elec­tions, including legislation to
adjust contribution limitations \[110\].

The State Board of Elections is required to (1) develop an electronic
reporting system to process the statements of campaign receipts,
contributions, transfers, and expenditures required to be filed with the
State Board, (2) make the elec­tronic reporting process available to any
candidate or committee that is required to file or that agrees to file
such statements by the electronic reporting process on self‑executing
diskettes, (3) cause all information contained in such statements filed
with the State Board that is not on the elec­tronic reporting system to
be entered into the system as soon as practicable but in no event later
than 10 business days after its receipt by the State Board, and (4) make
all date from the electronic reporting pro­cess available at all times on
the internet \[111\].

The State Board is the designated filing office for statements required
to be filed by specified candidates and political committees. The State
Board is re­quired to promulgate regulations with respect to the
accounting methods to be applied in preparing statements required by the
campaign receipts and expen­ditures law and to provide forms suitable for
such statements \[112\]. The State Board is authorized to seek a civil
penalty from a person who fails to file a required statement \[113\].

**B. Local Boards of Elections.** A county board of elections, city
board of elections, or village clerk is the designated filing office for
statements required to be filed by specified candidates and political
committees and is authorized to seek a civil penalty from a person who
failed to file a required statement \[114\].

**VIII. EXCLUDED PROVISIONS**

**A. New York City Campaign Finance Regulations.** In 1988, New York
City adopted a local law, the New York City Campaign Finance Act, which
provides for public matching funds for candidates in city elections.
Since this report is limited to state campaign finance law, the New York
City law has not been included in this summary \[115\].

**References**

1.  McKinney\'s Consolidated Laws of New York Annotated, Election Law
    (hereafter EL) § 14‑100(9)(1)

2.  EL § 14‑100(9)(2)

3.  EL § 14‑100(10)

4.  EL § 14‑100(9)(3)

5.  EL § 14‑100(9)(3)

6.  EL § 14‑100(9)(3); State Board of Elections Formal Opinion
    (hereafter Bd. Op.) 1981‑5 (July 27, 1981)

7.  EL § 14‑100(9)(3)(A)‑(C)

8.  EL § 14‑114

9.  EL §§ 14‑100(9), (10); 14‑114(1), (3); 14‑124(2), (3); Bd. Op.
    1975‑3 (1975)

10. EL § 14‑114; Official Compilation of Codes, Rules & Regulations of
    the State of New York (hereafter Adm. Rule) § 6200.6(b)

11. Adm. Rule § 6200.6(a)

12. EL § 14‑114(4)

13. EL § 14‑114(1)(c)

14. EL § 14‑114(8); Bd. Op. 1984‑5 (Oc­tober 31, 1984); New York State
    Board of Elections, Handbook of Instructions for Campaign Financial
    Disclosure (February 2002) (hereafter Hand­book) 13

15. EL § 14‑114(1)(a), (b); Adm. Rule § 6214.0; Handbook at 13-15

16. EL § 14‑114(1)(a), (b); Handbook at 13‑15

17. EL §§ 14‑114(1)(a), (b); 14‑116; Handbook at 13-14

18. EL § 14‑114(10); Handbook at 15

19. EL § 14‑116; Bd. Op. 1975‑5 (1975)

20. EL § 14‑116; Bd. Op. 1978‑9 (1978)

21. EL § 14‑116; Bd. Op. 1975‑5 (1975)

22. EL § 14‑116

23. EL § 14‑128

24. EL § 14‑120

25. EL § 14‑118(2)

26. EL § 17‑112

27. EL § 17‑110(3)

28. EL § 17‑154(4)

29. EL § 17‑156

30. McKinney\'s Consolidated Laws of New York Annotated, Civil Service
    Law § 107

31. McKinney's New York Rules of Court , Rules of the Chief
    Administrator of the Courts, Part 100--Judicial Conduct §§ 100.0(A);
    100.6(A)

32. Court Rules § 100.5(A)

33. Court Rules § 100.5(A)

34. Court Rules § 100.5(C)

35. Court Rules § 100.0(Q)

36. McKinney\'s Consolidated Laws of New York Annotated, Appendix to
    Judiciary Law, Code of Judicial Con­duct, Canon 7; EL § 17‑162

37. McKinney's New York Rules of Court , Rules of the Chief
    Administrator of the Courts, Part 25--Career Service § 25.39(c)

38. EL § 17‑164

39. Bd. Op. 1981‑5 (July 27, 1981)

40. EL § 14‑130; Bd. Op. 1989‑1 (March 31, 1989)

41. EL § 14‑118(2)

42. EL § 2‑126

43. EL § 14‑114(5)

44. Bd. Op. 1981‑6 (November 25, 1981)

45. EL §§ 14‑102(1); 14‑104(1)

46. Adm. Rule § 6200.5

47. EL § 14‑124(4)

48. EL § 14‑124(7)

49. EL § 14‑124(6)

50. EL § 14‑104(1)

51. EL § 14‑124(8)

52. EL § 14‑124(5); Adm. Rule § 6200.3(a)

53. EL § 14‑124(2)

54. EL § 14‑124(2‑a)

55. EL § 14‑100(1)

56. EL §§ 14‑102(1); 14‑104(1)

57. EL §§ 14‑102(1); 14‑104(1)

58. Adm. Rule § 6200.6(b)

59. EL §§ 14‑102(1); 14‑104(1)

60. EL § 14‑106

61. Adm. Rule § 6200.4

62. Adm. Rule § 6200.2(c)

63. EL § 14‑108; Adm. Rule § 6200.2(a)

64. EL § 14‑108; Adm. Rule § 6200.2(b), (f)

65. EL § 14‑108; Adm. Rule § 6200.2(d)

66. EL § 14‑108(2); Adm. Rule § 6200.2(g)

67. EL § 14‑108(5)

68. EL § 14‑108(6)

69. EL § 14‑104(1)

70. EL § 14‑100(7)

71. EL § 14‑118(3)

72. EL § 14‑104(1)

73. EL § 14‑110; Adm. Rule § 6200.1(a)(1)

74. EL § 14‑110; Adm. Rule § 6200.1(a)(2)

75. EL § 14‑110; Adm. Rule § 6200.1(a)(3)

76. EL § 14‑102(1), (2)

77. EL § 14‑100(1)

78. Handbook at 2

79. EL § 14‑100(2)‑(4)

80. EL § 14‑100(1)

81. Bd. Op. 1975‑2 (1975); Bd. Op. 1975‑13 (December 18, 1975); Bd. Op.
    1975‑16 (October 24, 1975); Bd. Op. 1982‑1 (January 8, 1982)

82. Bd. Op. 1975‑16 (October 24, 1975); Bd. Op. 1982‑1 (January 8, 1982)

83. Bd. Op. 1989‑2 (April 3, 1989)

84. EL § 14‑114(4)

85. Adm. Rule § 6200.3(b), (c)

86. Adm. Rule § 6200.8

87. EL § 14‑110; Adm. Rule § 6200.1(b)(1)‑(3)

88. EL § 14‑110; Adm. Rule § 6200.1(b)(4)

89. EL § 14‑110; Adm. Rule § 6200.1(c)

90. EL §§ 14‑102(4); 14‑104(2)

91. EL § 14‑118(1)

92. EL § 14‑118(1)

93. EL § 14‑124(2‑a)

94. EL § 14‑104(1); Handbook at 15‑16

95. Adm. Rule § 6200.7(a)

96. Adm. Rule § 6200.7(b)

97. EL § 14‑122(1)

98. EL § 14‑122(2)

99. EL § 14‑112

100. EL § 14‑124(2‑a)

101. McKinney\'s Consolidated Laws of New York Annotated, Public
     Officers Law § 73‑a(1)‑(3)

102. Bd. Op. 1975‑12 (September 3, 1975); Bd. Op. 1979‑3 (1979)

103. EL § 14‑126(1)

104. EL § 14‑126(2)

105. EL § 14‑126(3)

106. EL § 14‑126(4)

107. EL § 14‑116(1)

108. EL § 17‑110(3)

109. EL § 16‑114(1)‑(3)

110. EL §§ 3‑100; 3‑102; 3‑104

111. EL §§ 3‑102(9‑A)

112. Adm. Rule § 6200.1; EL § 14‑102(3)

113. EL § 14‑126(1)

114. Adm. Rule § 6200.1; EL § 14‑126(1)

115. Letter from Stanley L. Zalen, Deputy Counsel, State Board of
     Elections, to James A. Palmer, January 17, 1990

**CAMPAIGN FINANCE LAW**

**IN NORTH CAROLINA**

**I. INTRODUCTION**

North Carolina has set a maximum limit of \$4,000 for contributions by
indi­viduals, non‑party political committees, and other entities to
candidates and non-party political committees in an election.
Contributions by corporations and other organizations are pro­hibited
(with some exceptions); however, the officials and members of these
organizations may establish a separate segregated fund to be used for
political purposes. Candidates and po­litical committees in non‑municipal
elections and referendum committees are required to file quarterly and
semiannual campaign reports of con­tributions, loans, and expenditures;
however, an exemption from the reporting requirements can be obtained by
a candidate or political party committee if con­tributions, expenditures,
and loans will not exceed \$3,000 in the campaign (can­didate) or
election (committee). Candidates and political committees in munici­pal
elections file pre‑election and annual reports.

Partial public funding of elections is available from two special
election cam­paign funds for the support of political parties and their
candidates and for grants for candidates for governor. Each taxpayer may
designate \$1 of income tax paid for deposit in the political parties
financing fund and part or all of an income tax refund as a deductible
contribution to the candidates financing fund. The State Board of
Elections is respon­sible for administering the state campaign reporting
act and the special election campaign funds.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is any advance,
con­veyance, deposit, distribution, transfer of funds, loan, payment,
gift, pledge, or subscription of money or anything of value whatsoever,
to a candidate to support or oppose the nomination or election of one or
more clearly identified candidates, to a political committee, to a
political party, or to a referendum committee, whether or not made in an
election year, and any contract, agreement, promise, or other
obligation, whether or not legally enforceable, to make a con­tribution
\[1\].

A \"contribution\" includes, for exam­ple, labor or personal services,
postage, publication of campaign literature or materials, in‑kind
transfers, loans or use of any supplies, office machinery, vehi­cles,
aircraft, office space, or similar or related services, goods, or
personal or real property. It also includes the proceeds of the sale of
services, campaign lit­erature and materials, wearing apparel, tickets or
admission prices to campaign events such as rallies or dinners, and the
proceeds of sale of any campaign‑relat­ed services or goods \[2\].

The term "contribution" does *not* include an independent expenditure.
Services provided without compensation by individuals volunteering a
portion or all of their time on behalf of a candidate, political
committee, or referendum committee are *not* considered to be a
contribution \[3\].

**B. Maximum Contribution Amounts.** No individual, non‑party political
committee, or other entity may make a contribution of over \$4,000 to
any candidate or other non-party political committee for an election. No
candidate or non‑party political commit­tee may accept or solicit any
contribution of over \$4,000 from any individual, other non-party
political committee, or other entity for an election; however, a
candidate or a candidate\'s spouse, parents, brothers, and sisters may
make a contribution to the candidate or to the candidate\'s treasurer of
any amount in any election. National, state, district, and county
executive committees of officially recognized political parties are not
subject to the contribution limit. An \"election\" is considered to be a
primary, second primary, or general election in which the candidate or
political committee may be involved, without regard to whether the
candidate is opposed or unopposed in the election; however, where a
candidate is not on the ballot in a second primary, that second primary
is not an \"election\" with respect to that candidate \[4\].

**C. Contributions and Expenditures by Corporations, Labor Unions, and
Other Organizations.** No corporation, business entity, professional
asso­ciation, or insurance company, directly or indirectly, may:

\(1\) Make any contribution to a candidate or political committee
(except a loan of money by a na­tional or state bank or federal or state
savings and loan association made in ac­cordance with applicable laws and
regulations and in the ordinary course of business) or make any
expenditure to support or oppose the nomination or election of a clearly
identified candidate.

\(2\) Pay, use, or offer, consent, or agree to pay or use any of its
money or property for any contribution to a candidate or political
committee or for any expenditure to support or oppose the nomination or
election of a clearly identified candidate.

\(3\) Compensate, reimburse, or indemnify any person or individual for
any contribution or expenditure so made or for money or property so used
\[5\].

No officer, director, stockholder, attorney, agent, or member of any
such or­ganization may aid, abet, advise, or consent to any such
contribution or expendi­ture, and no person or individual may solicit or
knowingly receive any such con­tribution or expenditure. Supporting or
opposing the election of clearly identified candidates includes
supporting or opposing the candidates of a clearly identified political
party \[6\].

A corporation, business entity, labor union, professional association,
or in­surance company is permitted to communicate with its employees,
stockholders, or members and their families on any subject and to
conduct nonpartisan regis­tration and get‑out‑the‑vote campaigns aimed at
its employees, stockholders, or members and their families \[7\].

A corporation, business entity, professional asso­ciation, or insurance
company is permitted to donate to political parties and political
parties may accept from such persons money and other things of value
donated to a political party headquarters building fund. The political
party is required to deposit such donations into a separate segregated
bank account. The deposited donations may be spent only to purchase,
construct, renovate, or pay a mortgage on a headquarters building or to
repay donors. The party executive committee must report the donations to
and spending by the building fund in its regular campaign-finance
reports or in reports submitted at the times required for regular
reports if it is excused from making general campaign-finance reports
\[8\].

Contributions and independent expenditures are not prohibited when made
by an entity that (1) has as an express purpose promoting social,
educational, or political ideas and not to generate business income, (2)
does not have shareholders or other persons that have an economic
interest in its assets and earnings, and (3) was not established by a
business corporation, insurance company, business entity, professional
association, or labor union and does not receive substantial revenue
from such entities. "Substantial revenue" is rebuttably presumed to be
more than 10% of total revenues in a calendar year \[9\].

**D. Separate Segregated Fund of Corporation or Other Organization.**
The officials and employees of a corporation, insurance company, or
business entity and the officials and members of a labor union or
professional association may establish, administer, contribute to, and
receive and solicit contributions for a separate segregated fund to be
used for political purposes, and those officials and members are deemed
to be a political committee or referendum committee, as applicable. It
is unlawful for any such fund to make a contribution or expen­diture by
using contributions secured (1) by actual or threatened physical force,
job discrimination, or financial reprisals; (2) by dues, fees, or other
moneys re­quired as a condition of membership or employment or as a
requirement with respect to any terms or conditions of employment; or
(3) by moneys obtained in any commercial transaction whatsoever \[10\].
The political committee for the fund is entitled to receive and the
parent entity of the employees or members who organized the committee is
authorized to give reasonable administrative support and such other
support as is reasonably necessary for the administration of the
committee \[11\].

**E. Acceptance of Corporate Contributions.** A candidate, political
com­mittee, or political party or its treasurer may not accept a
contribution made by any domestic or foreign corporation except an
independent non-profit corporation expressly permitted to make
contributions (*see* Section II.C, *supra)* \[12\].

**F. Disclosure Before Solicitation.** Contributions may not be
solicited or received for the purpose of supporting a candidate,
political committee, referen­dum committee, or political party unless the
solicitor first clearly advises those solicited (1) of the names of the
candidates, political committees, political par­ties, or referendum
committees for which the funds will be used or (2) that a decision will
be reached later as to the candidates, political committees, or
polit­ical parties to be supported and that the contributions solicited
will be expended in a manner and for a purpose to be determined at a
future date, but no later than 20 days prior to the pending primary or
general election \[13\].

**G. Candidate and Committee Contributions and Expenditures Through
Certified Treasurer.** Except in the case of an entity that does not
qualify as a political committee or where independent contributions and
ex­penditures are made by an individual other than a candidate, a
contribution may not be received or expenditure made by or on behalf of
a candidate, political commit­tee, or referendum committee (1) until the
candidate or committee appoints a treasurer and certifies his or her
name and address to the State Board of Elections and (2) unless the
contribution is received or expenditure made by or through the treasurer
\[14\].

**H. Contributions to or From a Referendum Committee.** It is lawful for
a business entity, corporation, insurance company, labor union, or
professional as­sociation to contribute to a referendum committee \[15\].
No referendum com­mittee that received any contribution from a
corporation, labor union, insurance company, business entity, or
professional association may make any contribution to another referendum
committee, a candidate, or a political committee \[16\].

**I. Nonresident Contributions.** The treasurer of a candidate,
political committee, or referendum committee may not accept a
contribution of more than \$100 from a nonresident unless it is
accompanied by a written statement setting forth the name and address of
each contributor \[17\].

**J. Anonymous and Third‑Party Contributions.** A contribution may not
be made anonymously or in the name of another by any individual,
political committee, or other entity and may not be knowingly accepted
by a candidate, political commit­tee, referendum committee, political
party, or treasurer. If such a contribution is received, the money must
be paid over to the State Board of Elections by check, and all such
moneys received by the State Board are to be deposited in the civil
penalty and forfeiture fund \[18\]

The following circumstances involving the non-attribution of
contributions by the treasurer of a candidate, political committee, or
referendum committee do not violate the prohibition of anonymous
contributions:

\(1\) A treasurer is not required to report the name of any individual
who is a state resident and makes a total contribution of \$100 or less,
but instead is to report the fact that a total contribution of \$100 or
less was received, the amount of the contribution, and the date of
receipt.

\(2\) A treasurer who receives contributions of \$100 or less each at a
single event may account for and report the total amount received at
that event, the date and place of the event, the nature of the event,
and the approximate number of people at the event.

\(3\) With respect to the proceeds of sale of services, campaign
literature and materials, wearing apparel, tickets or admission prices
to campaign events, such as rallies or dinners, and the proceeds of sale
of any campaign-related services or goods where the price or value
received for any since service or item of goods does not exceed \$100,
the treasurer may report only those services or goods rendered or sold
at a value that does not exceed \$100, the nature of the services or
goods, the amount received in the aggregate for the services or goods,
and the date of receipt \[19\].

**K. Cash Contributions.** Monetary contributions in excess of \$100 may
not be made or accepted unless in the form of a check, draft, or money
order \[20\].

**L. State Employee Activities.** No state employee subject to the
Personnel Act or temporary state employee may use the authority of his
or her position or utilize state funds, supplies, or vehicles to secure
support for or oppose any can­didate, party, or issue in an election
involving candidates for office or party nominations or to affect the
results of the election \[21\].

No state employee or person appointed to state office, other than
elective of­fice or office on a board, commission, committee, or council
whose function is advisory only, whether or not subject to the Personnel
Act, may coerce a state employee subject to the Personnel Act, a
probationary or temporary state em­ployee, or an applicant for a position
subject to the Personnel Act to support or contribute to a political
candidate or party by threatening that change in em­ployment status or
discipline or preferential personnel treatment will occur \[22\].

No person may coerce a state employee subject to the Personnel Act,
proba­tionary or temporary state employee, or applicant for a position
subject to the Personnel Act to support or contribute to a political
candidate or party by ex­plicitly threatening that changes in employment
status or discipline or preferen­tial personnel treatment will occur
\[23\].

Failure to comply with the Personnel Act requirements is grounds for
discipli­nary action, which in the case of deliberate or repeated
violations may include dismissal or removal from office \[24\].

**M. Booster Fund Contributions and Expenditures.** All donations to and
payments from any \"booster fund,\" \"support fund,\" \"unofficial
office account,\" or any other similar source made or used in support of
an individual's candidacy for elec­tive office or in support of an
individual's duties and activities while in an elective office are
deemed to be reportable contributions and expenditures \[25\].

**N. Contributions by Political or Referendum Committees.** No political
committee or referendum committee may make a contribution unless in
doing so it reports to the recipient the contributor\'s name \[26\].

**O. Solicitation and Making of Contributions by and for Judicial
Candi­dates.** A judge or candidate for election to judicial office
should not solicit funds for a political organization or candidate or
make financial contributions to any candidate for political office,
including a candidate for a judgeship, unless the candidate is a member
of the judge\'s or judicial candidate\'s family. A judge holding an
office filled by public election between competing candidates and a
candidate for such office may contribute to a political party or
organization. Candidates for judicial office are not prohibited from
conducting a joint campaign or soliciting support for, endorsing, or
financially contributing to other judicial candidates \[27\].

A candidate, including an incumbent judge, for a judicial office that is
filled by public election between competing candidates should not
solicit campaign funds, but may establish committees of responsible
persons to secure and manage the expenditure of such funds. The
candidate\'s committees are not prohibited from soliciting campaign
contributions from anyone not otherwise prohibited by law from making
such contributions. A candidate should not use or permit the use of
campaign contributions for the private benefit of the candidate or
members of the candidate\'s family. An incumbent judge who is a
candidate for retention in or reelection to office without a competing
candidate and whose candidacy has drawn active opposition may obtain
campaign funds in the same manner as candidates for contested judicial
offices \[28\].

**P. Involuntary Contributions.** All monies solicited must be voluntary
con­tributions and may not be secured (1) by physical force, job
discrimination, or financial reprisals, (2) by dues, fees, or other
monies required as a condition of membership or employment, (3) or as a
requirement with respect to any terms or conditions of employment
\[29\].

**Q. Restrictions on the Solicitation and Making of Contributions During
Regular Legislative Sessions.** While the general assembly is in regular
ses­sion, a limited contributor may not (1) make or offer to make a
contribution to a limited contributee, (2) make a contribution to any
candidate, officeholder, or political committee and direct or request
that the contribution be made in turn to a limited contributee, (3)
transfer any amount of money or anything of value to any entity and
direct or request that the entity use what was transferred to contribute
to a limited contributee, or (4) solicit a contribution from any
individual or political committee on behalf of a limited contributee;
however, a limited contributor may solicit a contribution on behalf of a
political party executive committee if the solicitation is solely for a
separate segregated fund kept by the political party limited to use for
activities that are not candidate-specific, including generic voter
registration and get-out-the-vote efforts, pollings, mailings, and other
general activities and advertising that do not refer to a specific
individual candidate \[30\].

While the general assembly is in regular session, a limited contributee
and the real or purported agent of a limited contributee may not (1)
solicit a contribution from a limited contributor to be made to that
limited con­tributee or to any other candidate, officeholder, or
political committee or (2) so­licit a third party, requesting or
directing that the third party directly or indirect­ly solicit a
contribution from a limited contributor or relay to the limited
contributor the limted contributee\'s solicitation of a contribution;
however, it is not deemed to be a violation for a limited contributee to
serve on a board or committee of an organization that makes a
solicitation of a limited contributor as long as that limited
contributee does not directly participate in the solicitation and that
limited contributee does not directly benefit from the solicitation. A
limited contributee and the real or purported agent of a limited
contributee prohibited from solicitation are prohibited from accepting a
contribu­tion from a limited contributor during a regular session \[31\].

The restrictions on the solicitation and making of contributions during
a regu­lar legislative session do not apply with regard to a limited
contributee during the three weeks prior to the day of a second primary
if that limited contributee is a candidate who will be on the ballot in
that second primary \[32\].

A \"limited contributee\" is a member of or candidate for the council of
state or the general assembly or a political committee whose purpose is
to assist one or more members of or candidates for the council of state
or the general assembly \[33\].

A \"limited contributor\" is a registered lobbyist, a registered
lobbyist\'s agent, or a political committee or parent entity of a
political committee that employs or contracts with a registered lobbyist
\[34\].

**R. Solicitation and Coercion of Contributions From City and County
Employees.** No city or county employee on duty or in the workplace may
co­erce, solicit, or compel contributions for political or partisan
purposes by anoth­er employee, and no city or county employee may be
required as a duty or con­dition of employment, promotion, or tenure of
office to contribute funds for po­litical or partisan purposes \[35\].

**S. Contributions by Federal Political Committees.** It is permissible
for a federal political committee, as defined by the Federal Election
Campaign Act and regulations adopted pursuant thereto, to make
contributions to a North Carolina candidate or political committee
registered with the State Board of Elections or a county board of
elections if the contributing committee (1) is regis­tered with the State
Board of Elections consistent with the state campaign report­ing act, (2)
complies with reporting requirements specified by the State Board of
Elections, (3) makes its contributions within the limits specified in
the state cam­paign reporting act, and (4) appoints an assistant or
deputy treasurer who is a state resident and stipulates to the State
Board of Elections that the designated in‑state resident assistant or
deputy treasurer will be authorized to produce wha­tever records
reflecting political activity in the state that the State Board of
Elections deems necessary \[36\].

**T. Solicitation Contributions by Election Board Members.** Members of
the State Election Board and county and municipal boards of election may
not solicit contributions for a candidate, political committee, or
referendum committee unless the candidate will not be on the ballot in
an area within the jurisdiction of the board or the political committee
or referendum committee is not involved with an election or referendum
that will be on the ballot in an area within the jurisdiction of the
board \[37\].

**U. Soliciting or Compelling Contributions by County Employees.** No
county employee while on duty in his or her workplace may coerce,
solicit, or compel contributions for political or partisan purposes by
another county employee, and no county employee may be required as a
duty or condition of employment, promotion, or tenure of office to
contribute funds for political or partisan purpose \[38\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is any purchase,
advance, conveyance, deposit, distribution, transfer of funds, loan,
payment, gift, pledge, or subscription of money or anything of value
whatsoever, whether or not made in an election year, and any contract,
agree­ment, promise, or other obligation, whether or not legally
enforceable, to make an expenditure to support or oppose the nomination,
election, or passage of one or more clearly identified candidates or
ballot measure. Supporting or opposing the election of clearly
identified candidates includes supporting or opposing the candidates of
a clearly identified political party. The term "expenditure" also
includes any payment or other transfer made by a candidate, political
committee, or referendum committee \[39\].

**B. Expenditures by Check.** All expenditures for non‑media expenses
(ex­cept postage) of more than \$50 and for media expenses must be made
by check only. Expenditures for non‑media expenses of \$50 or less may
be made by check or by cash payment \[40\].

**C. State‑Funded Advertisements or Public Service Announcements
In­volving Council of State Candidates.** After December 31st prior to a
general election in which a council of state office will be on the
ballot, no declared can­didate for that council of state office may use
or permit the use of state funds for any advertisement or public service
announcement in a newspaper or on ra­dio or television that contains that
declared candidate\'s name, picture, or voice, except in case of state
or national emergency and only if the announcement is reasonably
necessary to that candidate\'s official function \[41\].

**IV. REPORTING REQUIREMENTS**

**A. General Provisions.** Candidates for public office, political
committees, and referendum committees are required to file political
campaign reports, in­cluding an organizational report, treasurer
appointment, and periodic reports of contributions, loans, and
expenditures, to the appropriate filing officer \[42\].

A \"candidate\" is any individual who with respect to a public office
filled by election by the people on a statewide, county, municipal, or
district basis (1) has filed a notice of candidacy, (2) has filed a
petition requesting to be a candidate, (3) has been certified as a
nominee of a political party for a vacancy, (4) has otherwise qualified
as a candidate in a manner authorized by law, or (5) has received funds
or made payments or has given the consent for anyone else to receive
funds or transfer anything of value for the purpose of exploring or
bringing about that individual's nomination or election to office.
Transferring anything of value includes incurring an obligation to
transfer anything of value. Status as a candidate continues if the
individual is receiving contributions to repay loans or cover a deficit
or is making expenditures to satisfy obligations from an election
already held \[43\].

A \"political committee\" is a combination of two or more individuals,
such as any person, committee, association, or other entity that makes
or accepts anything of value to make contributions or expenditures and
has one or more of the following characteristics: (1) is controlled by a
candidate, (2) is a political party or executive committee of a
political party or is controlled by a political party or executive
committee of a political party, (3) is created by a corporation,
business entity, insurance company, labor union, or professional
association, or (4) has as a major purpose to support or oppose the
nomination or election of one or more clearly identified candidates
(which includes supporting or opposing the candidates of a clearly
identified political party). A entity is rebuttably presumed to have as
a major purpose to support or oppose the nomination or election of one
or more clearly identified candidates if it contributes or expends or
both contributes or expends during an election cycle more than \$3,000,
but this presumption may be rebutted by showing that the contributions
and expenditures giving rise to the presumption were not a major part of
activities of the organization during the election cycle. If the entity
qualifies under this definition as a political committee, it continues
to be a political committee if it receives contributions or makes
expenditures or maintains assets or liabilities. A political committee
ceases to exist when it winds up its operations, disposes of its assets,
and files its final report \[44\].

\"Public office\" is any office, partisan or nonpartisan, filled by
election by the people on a statewide, district, county, or municipal
basis \[45\].

A \"referendum committee\" is a combination of two or more individuals,
such as a committee, association, organization, or other entity, or a
combination of two or more business entities, corporations, insurance
companies, labor unions, or professional associations, such as a
committee, association, organization, or other entity, the primary
purpose is to support or oppose the passage of any referendum on the
ballot If the entity qualifies under this definition as a referendum
committee, it continues to be a referendum committee if it receives
contributions or makes expenditures or maintains assets or liabilities.
A referendum committee ceases to exist when it winds up its operations,
disposes of assets, and files its final report \[46\].

A \"referendum\" is any question, is­sue, or act referred to a vote of
the people of the entire state by the general as­sembly, a unit of local
government, or by the people under any applicable local act and includes
constitutional amendments, state bond issues, and special dis­trict,
county, and municipal referenda \[47\].

The law regulating contributions and expenditures in political campaigns
pre­scribes separate reporting requirements (1) for elections for
statewide, district, or county offices and statewide referenda and (2)
for elections for offices in in­corporated cities, towns, or villages
\[48\].

The appropriate board of elections with which organizational reports and
pe­riodic financial disclosure reports are filed is (1) the State Board
of Elections with re­spect to candidates for state and multi‑county
offices and statewide referenda, (2) the county board of elections with
respect to candidates for single‑county district and county offices and
county referenda and, when the county board conducts a municipal
election, with respect to candidates for municipal offices and municipal
referenda, and (3) a municipal board of elections with respect to
candidates for municipal office and municipal referenda when the
municipal board conducts the election \[49\].

Except when electronic filing is required, all reports, statements, and
other documents required by the state campaign reporting act to be filed
with a board of elections must be filed either by manual delivery to or
by mail addressed to the board. Timely filing is complete if postmarked
on the day that the reports, statements, or other documents are to be
delivered to the board \[50\].

**B. Reporting Exemption for Candidates and Political Party
Commit­tees**. A candidate is exempted from the requirement to submit
financial disclo­sure reports if to further his or her campaign the
candidate does not receive more than \$3,000 in contributions, does not
receive more than \$3,000 in loans, and does not spend more than \$3,000
\[51\].

To qualify for the exemption, the candidate\'s treasurer must file a
certification that he or she does not intend to receive in contributions
or loans or expend more than \$3,000 to further the candidate\'s
campaign. The certification is to be filed with the appropriate board of
elections at the same time the can­didate files an organizational report.
If the candidate\'s campaign is being con­ducted by a political committee
that is handling all contributions, expenditures, and loans for the
campaign, the treasurer of the political committee must file a
certification of intent to stay within the threshold amount. If the
intent to stay within the threshold changes or the \$3,000 threshold is
exceeded, the treasurer must immediately notify the appropriate board of
elections and is responsible for filing all of the required financial
disclosure reports. Any contribution, ex­penditure, or loan that would
have been required to be reported on an earlier report but for the
exemption is to be included on the next report required after the intent
changes or the threshold is exceeded \[52\].

This exemption also applies to political party committees under the same
con­ditions as for candidates; however, the term \"to further the
candidate\'s cam­paign\" does not relate to a political party\'s
exemption. All contributions, expen­ditures, and loans during an election
are counted against the political party committee\'s threshold amount
\[53\].

**C. Candidates and Political Committees in Non‑Municipal Elections and
Referendum Committees**

**1. Treasurer Appointment and Duties.** Each candidate, political
com­mittee, and referendum committee must appoint a treasurer and report
the name and address to the appropriate board of elections. A candidate
may ap­point himself or herself or any other individual as treasurer;
however, if a can­didate fails to designate a treasurer, it will be
concluded that the candidate ap­pointed himself or herself as treasurer.
A candidate or committee may remove its treasurer. In the case of death,
resignation, or removal of its treasurer before compliance with all
obligations of a treasurer under the political campaign con­tributions
and expenditures law, the candidate or committee must appoint a
suc­cessor within 10 days of the vacancy and certify the name and address
of the successor to the appropriate board of elections \[54\].

A treasurer may appoint assistant treasurers, who are authorized to act
in the name of the treasurer. The treasurer is fully responsible for any
acts committed by an assistant treasurer and is fully liable for any
violation of the political cam­paign contributions and expenditures law
committed by an assistant campaign treasurer \[55\].

A political treasurer must be a resident of the state, and all bank
accounts, safety deposit boxes, and other depositories used by political
committees and listed on the statement of organization must be
maintained in the state. Howev­er, as an alternative to these
requirements, a political action committee may des­ignate and appoint an
assistant treasurer who is a state resident, who will be the person upon
whom service and process may be served, and who will be respon­sible for
the production in the state of all financial records of the political
com­mittee \[56\].

All funds solicited for a North Carolina political action committee must
be segregated from other monies solicited for a federal PAC or an
out‑of‑state PAC. It is improper to deposit or commingle contributions
received for the North Carolina PAC in any bank account maintained for a
federal or out‑of‑state PAC, and no transfers may be made to a North
Carolina PAC bank ac­count from any federal PAC or any political
committee not registered and in compliance with all requirements of
state law. If there is a joint solicitation of contributions to a North
Carolina PAC and a federal PAC, it is necessary to es­tablish an approved
procedure whereby monies solicited for contributions to the North
Carolina PAC will not be commingled with monies solicited for the
fed­eral PAC and all donors will have been advised of the schedule of
apportion­ment of contributions \[57\].

The treasurer is required to keep detailed accounts, current within not
more than 7 days after the date of receiving a contribution or making an
expenditure, of all contributions received and all expenditures made by
or on behalf of the candidate or committee, as appropriate \[58\].

**2. Organizational Report.** The treasurer of each candidate, political
committee, and referendum committee must file an organizational report
with the appropriate board of elections. This report must include the
appointment of the treasurer, the statement of organization, and a
report of all contributions and expenditures not previously reported.
The report for a candidate or political committee must be filed no later
than the 10th day following the day the can­didate files his or her
notice of candidacy or the 10th day following the organiza­tion of the
political committee, whichever occurs first; the report of a referen­dum
committee must be filed no later than the 10th day following the
organiza­tion of the committee. Any candidate whose campaign is being
conducted by a political committee that is handling all contributions
and expenditures for his or her campaign must file a statement with the
appropriate board stating such fact at the time required for the
organizational report; thereafter, the candidate\'s po­litical committee
is responsible for filing all required reports \[59\]. Any change in the
information previously submitted in a statement of organization must be
reported to the appropriate board within a 10‑day period following the
change \[60\].

The statement of organization filed by the treasurer must include (1)
the name, address, and purpose of the candidate or committee; (2) the
names, ad­dresses, and relationships of affiliated or connected
candidates or organizations; (3) the territorial area, scope, or
jurisdiction of the candidate or committee; (4) the name, address, and
position of the custodian of books and accounts; (5) the name and party
affiliation of the candidates supported or opposed and the offic­es
involved; (6) the name of the referenda that the referendum committee
sup­ports or opposes and its position; (7) the name of the political
committee or po­litical party supported or opposed; (8) a listing of all
banks, safety deposit boxes, or other depositories used; (9) the names
and addresses of any assistant treasur­ers; and (10) any other
information requested by the appropriate board of elec­tions \[61\].

When a political committee or referendum committee was created as a
result of the establishment of a separate segregated fund, the name of
the committee is required to be or include the name of the corporation,
insurance company, busi­ness entity, labor union, or professional
association whose officials, employees, or members established the
committee. The name of any other political or ref­erendum committee must
be or include the economic interest, if identifiable, principally
represented by the committee\'s organizers or intended to be ad­vanced by
the use of the committee\'s receipts \[62\].

**3. Periodic Financial Disclosure Reports.** Reports of contributions,
loans, and expenditures, including the contribution and expenditure
statement included in the organizational report, must set forth:

\(1\) Contributions, including contributions from contributors, events,
and sales received by or on behalf of a candidate, political committee,
or referendum committee. The statement must list the name and complete
mailing address of each contributor of over \$100, amount contributed,
principal occupation of the contributor (contributor\'s job title or
profession and employer\'s name or specific field of business activity),
and date the contribution was received. The total sum of all
contributions to date must be plainly exhibited \[63\].

\(2\) Expenditures, including media and non‑media expenditures, made by
or on behalf of a candidate, political committee, or referendum
committee. The statement must list the name and complete mailing address
of each payee for media expenditures and for non‑media expenditures of
more than \$50, amount paid, purpose, and date of payment. The total sum
of all expenditures to date must be plainly exhibited \[64\].

\(3\) Loans, including an addendum listing all proceeds derived from
loans for funds used or to be used in the campaign, with the amount of
each loan, source, period, rate of interest, security pledged, and all
makers and endorsers \[65\].

Statements must reflect anything of value paid for or contributed by any
per­son or individual, both as a contribution and expenditure. A
political party ex­ecutive committee that makes an expenditure that
benefits a candidate or group of candidates must report the expenditure,
including the date, amount, and pur­pose of the expenditure and the name
of and office sought by the candidate or candidates on whose behalf the
expenditure was made. A candidate who bene­fits from the expenditure must
report the expenditure or the proportionate share of the expenditure
from which the candidate benefitted as an in‑kind contribution if the
candidate or the candidate\'s committee has coordinated with the
political party executive committee concerning the expenditure \[66\].

When a treasurer shows that best efforts, as specified in rules of the
State Board of Elections, have been used to obtain, maintain, and submit
the informa­tion required by the state campaign reporting act for the
candidate or political committee, any report of that candidate or
committee is to be considered in compliance with the act \[67\].

Financial disclosure reports by candidates or political committees are
required to be filed with the appropriate board of elections by the
treasurer as fol­lows:

\(1\) Quarterly reports‑‑no later than 7 working days after the end of
each quarter during a even‑numbered year in which there is an election
for that can­didate or in which the campaign committee is supporting a
candidate. A quar­terly report is to cover the prior calendar quarter;
however, (a) the report for the first quarter also covers the period in
April through the 17th day before the primary and is due 7 days after
that date and (b) the report for the third quarter also covers the
period in October through the 17th day before the general election and
is due 7 days after that date. The second and fourth quarter reports do
not include any period covered in the report for the previous quarter.

\(3\) Semiannual reports if contributions are received or expenditures
made for which no reports are otherwise required‑‑by the last Friday in
July, covering the period through the last day of June, and by the last
Friday in January, covering the period through the last day of December
\[68\].

Referendum committee reports must be filed with the appropriate board of
elections as follows: (1) pre‑referendum report‑‑no later than the 10th
day pre­ceding the referendum; (2) final report‑‑no later than the 10th
day after the ref­erendum; (3) supplemental final report if the final
report fails to disclose a final accounting of all contributions and
expenditures‑‑no later than January 7th after the referendum and current
through December 31st after the referendum; and (4) annual reports if
contributions are received or expenditures made during a calendar year
for which no reports are otherwise required‑‑by January 7th of the
following year \[69\].

Unless the campaign finance law provides otherwise, each report must be
cur­rent within 7 days prior to the due date and must list all
contributions received and expenditures made that have not been
previously reported \[70\].

A required financial disclosure report that shows a cumulative total for
the election cycle in excess of \$5,000 in contri­butions, expenditures,
or loans must be electronically filed according to rules adopted by the
State Board of Elections by the treasurer of a candidate for statewide
office, a state, district, county, or precinct executive committee of a
political party if the committee makes contributions or independent
expenditures in excess of \$5,000 that affect contests for statewide
office, or a political com­mittee that makes contributions in excess of
\$5,000 to candidates for statewide office or makes independent
expenditures in excess of \$5000 that affect contests for statewide
office. The State Board is provide the necessary software for filing
electronic reports at no cost \[71\].

If no contribution is received or expenditure made by or on behalf of a
can­didate, political committee, or referendum committee during a
reporting period, the treasurer must file a statement to that effect on
the due date for the regular report. An inactive candidate or committee
that files a report of inactivity does not have to file any additional
financial disclosure reports so long as the can­didate or committee
remains inactive \[72\].

**4. 48‑Hour Reports.** A political committee, political party, or
referendum committee that receives a contribution or transfer of funds
from any political committee must disclose within 48 hours of receipt a
contribution or transfer of \$1,000 or more received after the last
preelection report but before an election. The disclosure must be made
by report to the State Board of Elections that is in the form and manner
prescribed by the State Board and identifies the source and amount of
the funds \[73\].

**D. Reports by Candidates and Political Committees in Municipalities**

**1. Appointment of Treasurer.** Each candidate and political committee
in a municipal election regulated by the municipal campaign reporting
law must appoint a treasurer and report the name and address of the
treasurer to the county board of elections. A candidate may appoint
himself or herself or any other individual as treasurer, including any
relative except the candidate\'s spouse. If the candidate fails to
designate a treasurer, he or she is deemed to have appointed himself or
herself. A candidate or committee may remove its treasurer \[74\].

**2. Organizational Report.** The organization report of the candidate
or po­litical committee must state the bank account and number of the
campaign fund. Each report also must reflect all contributions,
expenditures, and loans made in behalf of a candidate. The
organizational report must be filed with the munici­pal board of
elections within 10 days after the candidate files a notice of candid­acy
with the board or within 10 days following the organization of the
political committee, whichever occurs first \[75\].

**3. Periodic Financial Disclosure Reports.** Periodic financial
disclosure reports must be submitted to the municipal board of
elections. Each report must be current within 7 days prior to the date
the report is due and list all con­tributions received and expenditures
made that have not been previously report­ed \[76\]. The reports must be
submitted by the treasurer according to the follow­ing schedule:

\(1\) For an election conducted on a partisan basis: 35-day report--35
days before the primary; pre‑primary report‑‑no lat­er than the 10th day
preceding each primary election; pre‑election report‑‑10 days before the
election unless a second primary is held and the candidate ap­peared on
the ballot in the second primary, then 10 days before the second
primary; and semiannual reports if contributions are received or
expenditures made during any part of a calendar year for which no
reports are otherwise required--due on the last Friday in July (covering
the period through June 30th) and the last Friday in January (covering
the period through December 31^st^ of the previous year) \[77\].

\(2\) For an election conducted under the nonpartisan election and
run‑off ba­sis: 35-day report--35 days before the election; pre‑election
report‑‑no later than 10 days before the election; pre-runoff report--10
days before the runoff if the candidate is in a runoff; and semiannual
reports if contributions are received or expenditures made during any
part of a calendar year for which no reports are otherwise required--due
on the last Friday in July (covering the period through June 30th) and
the last Friday in January (covering the period through December 31^st^
of the previous year) \[78\].

\(3\) For an election conducted under the nonpartisan primary method:
35-day report--35 days before the primary if the candidate is in a
primary or 35 days before the election if the candidate is not in a
primary; pre‑primary report or pre-election report‑‑10 days before the
primary if the candidate is in a primary or 10 days before the election
if the candidate is not in a primary; and semiannual reports if
contributions are received or expenditures made during any part of a
calendar year for which no reports are otherwise required--due on the
last Friday in July (covering the period through June 30th) and the last
Friday in January (covering the period through December 31^st^ of the
previous year) \[79\].

\(4\) For an election conducted under the nonpartisan plurality method:
35-day report--35 days before the election; pre‑election report‑‑10 days
prior to the election; and semiannual reports if contributions are
received or expenditures made during any part of a calendar year for
which no reports are otherwise required--due on the last Friday in July
(covering the period through June 30th) and the last Friday in January
(covering the period through December 31^st^ of the previous year)
\[80\].

**D. Reports of Independent Expenditures.** Individuals and other
entities not otherwise prohibited from doing so may make independent
expenditures. In the event an individual or other entity making
independent expenditures but not otherwise required to report them makes
independent expenditures in excess of \$100, that individual or entity
must file a statement of such independent expenditure with the
appropriate board of elections in the manner prescribed by the State
Board of Elections. The State Board must require the identification of
each entity making a donation of more than \$100 to the entity filing
the report of independent expenditures if the donation was made for the
purpose of furthering the reported independent expenditure.
Contributions or expenditures required to be reported as an independent
expenditure must be reported within 30 days after they exceed \$100 or
10 days before an election the contributions or expenditures affect,
whichever occurs earlier \[81\].

An "independent expenditure" is an expenditure to support or oppose the
nomination or election of one or more clearly identified candidates that
is made without consultation or coordination with a candidate or agent
of a candidate whose nomination or election the expenditure supports or
whose opponent's nomination or election the expenditure opposes.
Supporting or opposing the election of clearly identified candidates
includes supporting or opposing the candidates of a clearly identified
political party. A contribution is *not* an independent expenditure. As
applied to referenda, the term "independent expenditure" applies if
consultation or coordination does not take place with a referendum
committee that supports a ballot measure the expenditure supports or a
referendum committee that opposes the ballot measure the expenditure
opposes \[82\].

**E. Reports of Otherwise Unreported Contributions of \$100 or More.**
Any entity other than an individual that is permitted to make
contributions but is not otherwise required to report them must report
each contribution in excess of \$100 to the appropriate board of
elections in the manner prescribed by the State Board of Elections.
Contributions must be reported within 30 days after they exceed \$100 or
10 days before an election the contributions affect, whichever occurs
earlier \[83\].

**F. Annual Reports of Political Parties Financing Fund Expenditures.**
The state chairman of each political party and the treasurer of each
candidate or political committee receiving funds from the North Carolina
political parties fi­nancing fund or the presidential election year
candidates fund must maintain a full and complete record of their
receipts and all expenditures and disburse­ments and by December 31st of
each year in which funds were received file with the State Board of
Elections an itemized statement reporting all receipts, ex­penditures,
and disbursements from the date of the last report, with an attached
verification that all such funds received were expended in accordance
with the law \[84\].

If the executive secretary of the State Board of Elections determines
that any such funds were not disbursed or expended lawfully, he or she
must order the recipient to reimburse the amount improperly expended or
disbursed to the state general fund and no further disbursements from
the special fund may be received until reimbursement has been made in
full \[85\].

**G. Statement of Economic Interest by Legislative Candidates.** Every
person who files as a candidate for nomination or election to a seat in
either house of the general assembly is required to file a statement of
economic inter­est within 10 days of the filing deadline for the office
sought at the same place and in the same manner as the notice of
candidacy that a candidate seeking party nomination for a general
assembly office is re­quired to file \[86\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Political Parties Fund**

**1. Establishment of Special Funds.** All money designated by taxpayers
with an income tax liability of \$1 or more (\$2 for a married couple
filing a joint return) as a contribution for the use of eligible
political parties is paid by the secretary of revenue to the State Board
of Elections for deposit with the state treasurer in an interest‑bearing
account known as the \"North Carolina political parties financing
fund.\" The political parties fund is administered by the State Board of
Elections \[87\].

In each year in which no general election is held, the state treasurer,
upon the direction of the State Board of Elections, must place 50% of
the then available money credited to the account of each political party
in the political parties fi­nancing fund into a separate interest‑bearing
account known as the \"presidential election year candidates fund of the
(name of the party) party\" upon application by the state chairman of a
political party for payment of money credited to the party\'s account in
the political parties financing fund \[88\].

**2. Allocation of Money in the Political Parties Financing Fund.** The
money deposited in the political parties financing fund is allocated
among the eligible political parties according to the designation of the
taxpayers. Where any taxpayer elects to designate but does not specify a
particular political party, those funds are to be distribution among the
political parties on a pro rata basis according to their respective
party voter registrations in the most recent certifi­cation of the State
Board of Elections; however, no political party with less than 1% of the
total number of registered voters in the state may receive any money
from the fund, and the registration of such parties is not included in
calculating the pro rata distribution. An eligible political party is
(1) a party that at the last preceding general state election received
at least 10% of the entire vote cast for governor or for presidential
electors or (2) a group of voters who by July 1st of the preceding
calendar year had qualified as a new political party \[89\].

**3. Disbursement of Money in Special Funds**

**a. Non‑General Election Year.** In each year in which no general
elec­tion is held, the state chairman of a political party in whose
behalf funds have been deposited in the political parties financing fund
may apply between August 1st and September 1st to the State Board of
Elections for payment of not more than 50% of the then available funds
(including any interest earned) credited to the party\'s account. The
State Board must pay over the amount requested and direct the state
treasurer to place 50% of the available funds in the party\'s
pres­idential election year candidates fund for future disbursement
\[90\]. After the distribution of money from the political parties
financing fund has been com­pleted, any remaining funds of a political
party in the hands of the state treasur­er must thereafter be held by the
state treasurer until eligible for future distribu­tion by the State
Board of Elections \[91\]. In each year in which no general elec­tion is
held, the state chairman of every political party must disburse to that
po­litical party all funds received from the political parties financing
fund \[92\].

**b. General Election Year.** Following the conclusion of the last
primary or nominating convention held by a political party in a general
election year, the state chairman of the political party may apply to
the State Board of Elections for the disbursement of the funds
(including any interest earned) deposited with the state treasurer on
behalf of the political party in the political parties financing fund.
The State Board of Elections must forthwith and every 30 days thereafter
pay over all funds held by the state treasurer on behalf of the party
until 30 days after the State Board has certified all of the results of
the general election to the secretary of state. In addition, upon
receipt of the application from the state chairman of a political party
in a presidential election year, the State Board of Elections must pay
over to the state chairman all money currently held in the party\'s
presidential election year candidates fund. After the distribution of
the money from the special funds has been completed, any remaining funds
of the political party in the hands of the state treasurer must
thereafter be held by the state treasurer until eligible for future
distribution \[93\].

In a non‑presidential general election year, the state chairman of each
political party must disburse to that political party 50% of all money
received from the political parties financing fund, and the remaining
50% of the money must be al­located to a special committee of the
political party and used, in the sole discre­tion of the committee, for a
permitted purpose. If the special party committee allocates money to a
candidate, it must be disbursed by the state chairman of the party only
to the treasurer of the candidate or political committee conduct­ing the
candidate\'s campaign. A candidate may elect to decline in whole or in
part any money that a political party chooses to distribute to the
candidate \[94\].

During a presidential general election year, the state chairman of a
political party is required to disburse the money received from both the
political parties financing fund and the party\'s presidential election
year candidates fund in the same manner and under the same conditions as
disbursements from the political parties financing fund are made in a
non‑presidential general election year \[95\].

**4. Use and Reporting of Special Fund Disbursements.** Money
distrib­uted from the special campaign funds of a political party may be
expended only for legitimate campaign expenses of the party or a
candidate, including, for ex­ample: (1) radio, television, newspaper, and
billboard advertising; (2) leaflets, fliers, buttons, and stickers; (3)
campaign staff salaries; (4) travel expenses, lodg­ing, and food for a
candidate and staff, (5) expenses to ensure compliance with federal and
state campaign finance and reporting laws; (6) contributions to or
expenses on behalf of candidates of the party; and (7) party
headquarters opera­tions related to upcoming general elections \[96\].

No person, candidate, political committee, or political party may use,
either di­rectly or indirectly, any part of funds distributed from the
North Carolina politi­cal parties financing fund or the presidential
election year candidates fund of any political party (1) for the support
or assistance of any candidate in a primary election, (2) for the
support or assistance relating to the selection of a candidate at a
political convention or by the executive committee of a party, (3) for
the payment or repayment of any debt or obligation of any kind incurred
in a prim­ary election or in the selection of a candidate at a political
convention or by the executive committee of a party, or (4) for the
support, promotion, or opposition of any referendum, bond election, or
constitutional amendment \[97\].

**B. Candidates Fund for Gubernatorial Candidates**

**1. Establishment of Special Fund.** Money contributed by taxpayers
from income tax refunds for the political campaigns of candidates for
governor is placed in the \"North Carolina candidates financing fund,\"
which is established in the state treasury. The State Board of Elections
administers the candidates fund and is required to establish rules for
the administration and enforcement of the candidates fund law \[98\].

**2. Eligibility Requirements and Expenditure Limitations.** To be
eligi­ble to receive grants from the candidates fund, a candidate must
meet the fol­lowing requirements:

\(1\) Have opposition on the ballot in the general election.

\(2\) Agree to abide by the expenditure limits.

\(3\) Raise qualifying matching contributions equal to 5% of the
expenditure limits. \"Qualifying matching contributions\" are
contributions from political committees or individuals and are limited
to contributions raised after the can­didate\'s certification as a
nominee or before the candidate\'s certification but left unspent after
certification.

\(4\) Agree to submit to a post‑election audit of the campaign account
by the State Board of Elections \[99\].

A candidate for governor who requests grants from the candidates fund
must limit total expenditures after certification as party nominee as
follows: \$1 times the number of votes cast for governor in the last
general election in which more than one candidate appeared on the ballot
for governor \[100\].

A candidate may use money received from the candidates fund only to
further that candidate\'s election through expenditures allowable under
state law \[101\].

**3. Pre‑Election Requirements and Procedures.** Each candidate for
governor who seeks grants from the candidates fund must file an
application for the grants with the State Board of Elections on forms
provided by the State Board. An application may be filed after the
candidate has been certified as a party\'s nominee for the office but
not after June 15th. By June 30th, the State Board is to notify each
candidate in a contested election of all the applications made by
candidates in the same contest \[102\].

The State Board of Elections is to review each request for grants from
the can­didates fund and certify by July 15th before the general election
whether the candidate is eligible to receive the grants. The State Board
then notifies the can­didate of the certification decision in that
candidate\'s case within 7 days after the decision is made \[103\].

A candidate certified to receive money from the candidates fund is
entitled to distribution of the funds on a one‑to‑one basis for all
qualifying matching con­tributions. A candidate may not, however, receive
money from the fund in ex­cess of half the amount of the candidate\'s
expenditure limit \[104\].

Certification and distribution of all money is to be based on
contributions to the candidate reported in required reports of
contributions, expenditures, and loans and required reports pursuant to
the candidates fund law. In addition to the regular reports of
contributions, expenditures, loans that must be submitted by a
candidate, a candidate who seeks to receive contributions from the
candi­dates fund must file reports of contributions and expenditures on
the second Wednesday in August and September before the general
election. Both reports must be filed on forms prescribed by the State
Board. The candidate is required to continue regular reporting of
contributions, expenditures, and loans \[105\].

Funds are to be distributed to candidates by September 1st before the
general election based on the August reports submitted by the applicant
candidates. Further distribution is made within 7 days after the filing
of each succeeding pre‑election contribution report, including both
regular reports and special can­didates fund reports \[106\].

A candidate may withdraw the application to receive money from the
candi­dates fund by filing written notice with the State Board of
Elections before July 10th. If withdrawal by any other candidates leaves
a person as the only can­didate in a contest applying for money from the
candidates fund, that candidate may withdraw by filing written notice
with the State Board before August 22nd. A candidate will receive no
money from the fund after filing notice of with­drawal, and if the
withdrawal is timely, the candidate will not be subject to the
limitations and penalties provided by the candidates fund law \[107\].

If a party nominee who has been certified to receive money from the
candi­dates fund dies, resigns, or for any reason become ineligible or
disqualified be­fore the general election but after the applicable
deadline for withdrawal, the candidate\'s application for the candidates
fund is automatically withdrawn with­out penalty, but the candidate must
return all money received from the fund that is unspent at the time the
candidate leaves the race \[108\].

If a party nominee is replaced, the new candidate may either forgo
participa­tion in the candidates fund or assume the position of the
former candidate with respect to the fund \[109\].

If participation in the fund is forgone, the new candidate is not
eligible for any of the money the former candidate received or became
entitled to before leav­ing the race and is not subject to the
expenditure limit for candidates who re­ceive candidates fund grants
\[110\].

If the new candidate assumes the position of the former candidate, the
new candidate (1) is eligible for the unspent money the former candidate
returned to the candidates fund and for any money to which the former
candidate had be­come entitled through qualifying matching contributions
but had not received before leaving the race, (2) is eligible for any
money from the fund the new candidate may earn through matching
contributions, (3) is subject to the re­mainder of the former
candidate\'s expenditure limit, and (4) is subject to all other
requirements for participation in the candidates fund that the
candidate\'s late entry into the race does not make inappropriate
\[111\].

If the new candidate elects to forgo the candidates fund, any other
candidate in the race may withdraw his or her application within 7 days
after the new can­didate notified the State Board of Elections of a
decision to forgo the candidates fund if the candidate seeking to
withdraw is left as the only publicly funded can­didate in the race. The
withdrawing candidate must return all money received from the fund at
the time of withdrawal \[112\].

**4. Post‑Election Requirements and Procedures.** The treasurer of each
candidate must keep a complete record of receipts from the candidates
fund and of all subsequent expenditures and disbursements, which must be
substantiated by any records, receipts, and information that the state
director of elections may require \[113\].

By 60 days after each general election, the treasurer of each candidate
receiv­ing funds in that general election must file with the State Board
of Elections an itemized statement reporting all receipts of fund monies
and of all subsequent expenditures and disbursements and attach to the
report the treasurer\'s verifica­tion that all funds were spent in
accordance with the candidates fund law \[114\].

The State Board of Elections is required to conduct an audit of the
60‑day post‑election report. If the secretary of the State Board finds
that any funds were not disbursed or expended in accordance with the
candidates fund law, the secretary must order the candidate to reimburse
to the fund the amount improperly ex­pended or disbursed \[115\].

Any money a candidate received from the candidates fund that is unspent
within 90 days after the general election must be returned to the fund.
One‑half of any amount in the candidate\'s campaign account will be
deemed to be money received from the candidates fund; however, if the
candidate received grants from the fund on less than a one‑to‑one ratio,
that same proportion of the can­didate\'s campaign account will be deemed
to be money received from the fund \[116\].

**VI. TAX PROVISIONS**

**A. Income Tax Checkoff for the Benefit of the Political Parties
Fund.** An individual whose income tax liability for the taxable year is
\$1 or more may designate on his or her income tax return that \$1 of
the tax paid by the taxpayer to the state department of revenue be
credited to the North Carolina political parties financing fund for the
use of the political party designated by the taxpay­er. In the case of a
married couple filing a joint return whose income tax liabili­ty is \$2
or more, each spouse may designate that \$1 of the tax be credited to
the fund for the use of the political party designated by the taxpayer.
Designations of tax to the fund may be made without designating a
specific political party \[117\].

The first page of the income-tax return must give an individual an
opportunity to make the political contribution, and the return or
accompanying explanatory instructions must readily indicate that a
contribution neither increases nor decreases an individual\'s tax
liability. A paid preparer of tax returns may not designate that the
taxpayer does or does not desire to make a political contribution unless
the taxpayer or taxpayer\'s spouse has con­sented to the designation
\[118\].

**B. Deductible Income Tax Surcharge From a Taxpayer Refund for the
Benefit of the Candidates Fund for Gubernatorial Candidates.** A
taxpayer who is entitled to a refund of income taxes withheld or
estimated taxes paid may elect to contribute all or a part of the refund
to the North Carolina candidates financing fund for the use of political
campaigns. The secretary of revenue is required to provide appropriate
language and space on the individual income tax return form in which to
make the election and note in the instructions for the tax return that a
contribution from a tax refund qualifies as an income tax deduc­tion. The
election to make a contribution becomes irrevocable upon the filing of
the taxpayer\'s income tax return for the taxable year. The secretary of
revenue is required to transmit on a quarterly basis the remainder of
the contributions to the state treasurer for deposit in the candidate
fund. Any interest earned on the funds deposited with the state
treasurer are credited to the candidates fund \[119\].

**VII. OFFENSES AND PENALTIES**

**A. Criminal Penalties.** An individual, candidate, political
committee, refer­endum committee, treasurer, person, medium, or entity
that violates the provisions of the regulations on political campaign
contributions and expenditures (Article 22A) is guilty of a class 2
misdemeanor \[120\]. Whenever a board of elections has knowledge of or
has reason to believe there has been a criminal violation, it must
report that fact, together with accompanying details, to the appropriate
dis­trict attorney \[121\].

An individual, person, candidate, political committee, or treasurer who
willful­ly and intentionally violates the political parties financing
fund law (Article 22B) is guilty of a class 2 misdemeanor \[122\].

A candidate who receives contributions from the candidates fund and
exceeds the applicable expenditure limit or falsely reports qualifying
matching contribu­tions and thereby receives contributions from the
candidates fund to which the candidate was not entitled must be fined an
amount equal to the amount at issue plus 10% \[123\]. An individual,
person, candidate, political committee, or treas­urer who willfully and
intentionally violates the candidates fund law (Article 22C) is guilty
of a class I felony \[124\].

A person who violates the law concerning political contributions and
support by or from state employees subject to the Personnel Act is
guilty of a class 2 misdemeanor \[125\].

A violation of the restrictions on the solicitation and making of
contributions during a regular session of the general assembly is a
class 2 misdemeanor \[126\].

**B. Election‑Related Penalties.** A declaration of nomination and a
certifi­cate of election may not be granted to any candidate until the
candidate\'s or the candidate\'s treasurer has filed all required
statements \[127\].

**C. Injunctive Relief.** The superior courts of the state have
jurisdiction to is­sue injunctions or grant any other equitable relief
appropriate to enforce the provisions of the law regulating political
campaign contributions and expen­ditures upon application by any
registered voter of the state \[128\].

**D. Civil Penalties and Remedies.** If a required report, statement, or
other document is not filed on time, the person responsible for filing
must pay to the State Board of Elections election enforcement costs and
a civil late penalty: (1) \$250 to \$10,000 per day for each day the
filing is late for a report that affects statewide elections and (2)
\$50 to \$500 per day for each day the filing is late for a report that
affects only nonstatewide elections; however, no late file may be
assessed for any day after the date of postmark if the form was filed by
mail or for any day when the board office at which the report is due is
closed \[129\].

If an individual, person, political committee, referendum committee,
candidate, or other entity intentionally makes or accepts a contribution
in violation of regulating contributions and expenditures in political
campaigns, then that entity must pay to the State Board of Elections, in
an amount to be determined by that board, a civil penalty and the costs
of investigation, assessment, and collection. The civil penalty may not
exceed \$20,000 or three times the amount of the unlawful contribution
or expenditure involved in the violation, whichever amount is greater
\[130\].

The State Board of elections, in lieu of or in addition to imposing a
civil penalty for a late filing or illegal contribution, may take one or
more of the following actions: (1) issue an order requiring the violator
to cease and desist from the violation found, (2) issue an order to
cease receiving contributions and making expenditures until a delinquent
report has been filed and any civil penalty satisfied, (3) issue an
order requiring the violator to take any remedial action deemed
appropriate by the State Board, (4) issue an order requiring the
violator to file any report, statement, or other information as required
by statute or State Board rules, or (5) publicly reprimand the violator
for the violation \[131\].

An individual or other entity notified that a penalty has been assessed
against it may submit an affidavit to the State Board of Elections
stating the facts in mitigation. The State Board may waive a civil
penalty in whole or in part if it determines there is good cause for the
waiver \[132\].

If a violator does not pay a civil penalty assessed by the State Board
within 30 days after it is due, the State Board must request the
attorney general to institute a civil action to recover the amount of
the assessment \[133\].

**VIII. RESPONSIBLE STATE AGENCIES**

**A. State Board of Elections.** The State Board of Elections is the
appropriate filing office for campaign financial disclosure reports
concerning candidates for state and multi‑county offices and statewide
referenda \[134\]. The State Board has the duty and power (1) to
prescribe and furnish required forms, (2) to prepare, pub­lish, and
distribute a manual on the election campaign reporting law, (3) to
pre­scribe a uniform system of accounts, (4) to make investigations to
the extent it deems necessary with respect to statements filed and
alleged failure to file any required statement and upon voter complaint
with respect to alleged violations, (5) after investigation, to report
apparent violations to the proper district attor­ney, (6) to calculate,
assess, and collect civil penalties for late filings, and (7) to require
county boards of election to hold hearings, make investigations, and
make reports to the State Board if deemed necessary \[135\].

The executive secretary‑director of the State Board must (1) cause each
state­ment filed with the State Board to be inspected within 30 days
after filing; (2) advise each candidate or treasurer whose
organizational report has been filed of the specific date each required
report is due 5‑30 days before the due date; (3) im­mediately notify any
individual, candidate, treasurer, political committee, refer­endum
committee, media, or other entity required to file a statement if no
statement or a non‑conforming statement has been filed; (4) issue
written opinions to candidates, the communications media, polit­ical
committees, referendum committees, or other entities upon request; and
(5) cause the required state­ments filed with the State Board to be
examined and determine within 4 months after the date of each election
or referendum whether the statements conform to law and to the truth
\[136\].

The State Board of Elections administers the North Carolina political
parties financing fund and the North Carolina candidates financing fund,
which provide voluntary financing by taxpayers for political parties and
candidates for state constitutional office \[137\].

**B. County Board of Elections.** The county board of elections is the
appro­priate filing office for political campaign reports concerning
candidates for sin­gle‑county district and county offices and referendum
committees involved with county referenda \[138\]. The supervisor of the
board must advise each municipal candidate or treasurer whose
organizational report has been filed of the specific date each required
report is due within 5‑15 days before the due date and must immediately
notify an individual candidate, treasurer, or political committee to
file a statement if no statement or a non‑conforming statement has been
filed \[139\]. The county board is also required to investigate
irregularities, non‑per­formance of duties, and violations to the State
Board of Elections \[140\].

**C. Municipal Board of Elections.** The municipal board of elections is
the appropriate filing office for political campaign reports concerning
candidates for municipal offices or referendum committees involved with
municipal referenda \[141\].

**References**

1\. General Statutes of North Carolina (hereafter GSNC) § 163‑278.6(6)

2\. GSNC § 163‑278.6(6)

3\. GSNC § 163‑278.6(6)

4\. GSNC § 163‑278.13(a)‑(e)

5\. GSNC § 163‑278.19(a)

6\. GSNC § 163‑278.19(a)

7\. GSNC § 163‑278.19(b)

8\. GSNC § 163‑278.19B. North Carolina Session Law 1999-426, which
includes the political party headquarters building fund authorization,
was awaiting preclearance by the U.S. Department of Justice on November
30, 1999.

9\. GSNC § 163‑278.19(f)

10\. GSNC § 163‑278.19(b)

11\. GSNC § 163‑278.19(e)

12\. GSNC § 163‑278.15

13\. GSNC § 163‑278.20(a)

14\. GSNC § 163‑278.16(a)

15\. GSNC §§ 163‑278.19A; 163‑278.6(13)

16\. GSNC § 163‑278.13(e1)

17\. GSNC § 163‑278.8(c)

18\. GSNC §§ 163‑278.14(a); 163‑278.8(d)

19\. GSNC § 163‑278.8(d)

20\. GSNC § 163‑278.14(b)

21\. GSNC § 126‑13(a)(2)

22\. GSNC § 126‑14

23\. GSNC § 126‑14.1

24\. GSNC § 126‑15

25\. GSNC § 163‑278.36

26\. GSNC § 163‑278.14(c)

27\. GSNC, Annotated Rules of North Carolina, Code of Judicial Conduct
(hereafter CJC), Canon 7(A)

28\. CJC, Canon 7(B)

29\. 8 North Carolina Administrative Code (hereafter Admin. Code)
§ 1.0004(B)(5)

30\. GSNC § 163‑278.13B(c)

31\. GSNC § 163‑278.13B(b), (c)

32\. GSNC § 163‑278.13B(d)

33\. GSNC § 163‑278.13B(a)(2)

34\. GSNC § 163‑278.13B(a)(1)

35\. GSNC §§ 153A‑99(b)-(d); 160A‑169(c), (d)

36\. GSNC § 163‑278.7A

37\. GSNC §§ 163‑38; 163-39(3)

38\. GSNC § 163‑278.6(9)

39\. GSNC § 163‑278.8(e), (f)

40\. GSNC § 163‑278.16A

41\. GSNC §§ 163‑278.6‑‑163‑278.10; 163‑278.40‑‑163‑278.40E; *see
specifically* § 163‑278.6(18); 163‑278.9(d); 163‑278.40(2)

42\. GSNC § 163‑278.6(4), (18)

43\. GSNC § 163‑278.6(14)

44\. GSNC § 163‑278.6(18)

45\. GSNC § 163‑278.6(18b)

46\. GSNC § 163‑278.6(18b)

47\. GSNC § 163‑278.6(18a)

48\. GSNC §§ 163‑278.6‑‑163‑278.10; 163‑278.406‑‑163‑278.40E

49\. GSNC §§ 163‑278.6(1);

163‑278.40(1)

50\. GSNC § 163‑278.34(a)

51\. GSNC § 163‑278.10A(a)

52\. GSNC § 163‑278.10A(a)

53\. GSNC § 163‑278.10A(d)

54\. GSNC § 163‑278.7(a), (d)

55\. GSNC § 163‑278.7(b)

56\. 8 Admin. Code § 1 .0004(A)

57\. 8 Admin. Code § 1 .0004(B)(3), (4)

58\. GSNC § 163‑278.8(a)

59\. GSNC §§ 163‑278.9(a)(1); 163‑278.9A(a)(1)

60\. GSNC § 163‑278.7(c)

61\. GSNC § 163‑278.7(b)

62\. GSNC § 163‑278.7(b)(1)

63\. GSNC §§ 163‑278.11(a)(1); 163‑278.8(d)

64\. GSNC §§ 163‑278.11(a)(2); 163‑278.8(e), (f)

65\. GSNC §§ 163‑278.11(a)(3); 163‑278.8(g)

66\. GSNC § 163‑278.11(b)

67\. GSNC § 163‑278.11(c)

68\. GSNC § 163‑278.9(a)(5a), (6).

69\. GSNC § 163‑278.9A(a)(2)-(4), (b)

70\. GSNC §§ 163‑278.9(b); 163‑278.9A(b)

71\. GSNC § 163‑278.9(j)

72\. GSNC § 163‑278.10

73\. GSNC §§ 163‑278.9(a)(4a); 163‑278.9A(a)(2a)

74\. GSNC § 163‑278.40A(a)

75\. GSNC §§ 163‑278.6(1); 163‑278.40A(b)

76\. GSNC §§ 163‑278.6(1); 163‑278.40G

77\. GSNC § 163‑278.40B

78\. GSNC § 163‑278.40C

79\. GSNC § 163‑278.40D

80\. GSNC § 163‑278.40E

81\. GSNC §§ 163‑278.6(1);

163‑278.12(a), (c), (d)

82\. GSNC § 163‑278.6(9a)

83\. GSNC § 163‑278.12(b), (d)

84\. GSNC § 163‑278.43(a), (b)

85\. GSNC § 163‑278.43(b)

86\. GSNC § 120‑89

87\. GSNC §§ 105‑159.1(a), (b); 163‑278.41(a)

88\. GSNC § 163‑278.41(c)

89\. GSNC § 105‑159.1(a)

90\. GSNC §§ 105‑159.1(b); 163‑278.41(c)

91\. GSNC § 163‑278.41(a), (b)

92\. GSNC § 163‑278.42(c)

93\. GSNC § 163‑278.41

94\. GSNC § 163‑278.42(b), (d)

95\. GSNC §§ 163‑278.41(a), (c); 163‑278.42(a), (d)

96\. GSNC § 163‑278.42(e)

97\. GSNC § 163‑278.42(g)

98\. GSNC §§ 105‑269.6; 163‑278.46; 163‑278.47(a); 163‑278.48;
163‑278.56

99\. GSNC § 163‑278.47(c)

100\. N.C. Constitution art. III, § 8; GSNC § 163‑278.48(a)

101\. GSNC § 163‑278.49

102\. GSNC § 163‑278.47 (a), (b)

103\. GSNC § 163‑278.50(a)

104\. GSNC § 163‑278.50(b)

105\. GSNC § 163‑278.50(c)

106\. GSNC § 163‑278.50(d)

107\. GSNC § 163‑278.51(a)‑(c)

108\. GSNC § 163‑278.51(d)

109\. GSNC § 163‑278.51(d)

110\. GSNC § 163‑278.51(d)

111\. GSNC § 163‑278.51(d)

112\. GSNC § 163‑278.51(d)

113\. GSNC § 163‑278.54(a)

114\. GSNC § 163‑278.54(b)

115\. GSNC § 163‑278.54(c)

116\. GSNC § 163‑278.55

117\. GSNC § 105‑159.1(a)

118\. GSNC § 105‑159.1(d), (e)

119\. GSNC § 105‑269.6

120\. GSNC § 163‑278.27(a); *see also* §§ 163‑278.13(f); 163‑278.19(c);
163‑278.20(b).

121\. GSNC § 163‑278.27(b)

122\. GSNC § 163‑278.44.

123\. GSNC § 163‑278.52

124\. GSNC § 163‑278.53.

125\. GSNC §§ 126‑13(a); 126‑14(b); 126‑14.1(b).

126\. GSNC § 163‑278.13B(d)

127\. GSNC § 163‑278.25

128\. GSNC § 163‑278.28(a)

129\. GSNC § 163‑278.34(a)

130\. GSNC § 163‑278.34(b)

131\. GSNC § 163‑278.34(c)

132\. GSNC § 163‑278.34(a),(c)

133\. GSNC § 163‑278.34(e)

134\. GSNC §§ 163‑278.6‑‑163‑278.12; *see specifically* § 63‑278.6(1)

135\. GSNC §§ 163‑278.22

136\. GSNC §§ 163‑278.23; 163‑278.24

137\. GSNC §§ 163‑278.41(a); 163‑278.46

138\. GSNC §§ 163‑278.6(1); 163‑278.40‑‑163‑278.40E

139 GSNC § 163‑278.40H

140\. GSNC § 163‑33(3)

141\. GSNC § 163‑278.6(1)

**CAMPAIGN FINANCE LAW**

**IN NORTH DAKOTA**

**I. INTRODUCTION**

North Dakota requires candidates for statewide or legislative office who
re­ceive contributions and political parties that receive contributions
to file pre‑election and year‑end statements of contributions. A
corpora­tion, cooperative corporation, limited liability company, or
association may not make direct contributions or expenditures other than
for the passage or defeat of ballot measures or to promote a general
political philosophy, but may form a political committee to establish
and admin­ister a separate segregated fund for political purposes. A
political committee that administers a separate segregated fund must
file pre‑election and year‑end statements of contributions and
expenditures. The Secretary of State is respon­sible for administering
the campaign finance and corrupt practices provisions of the state
election code.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is a gift,
subscription, loan, advance, or deposit of money made for the purpose of
(1) influencing the nomi­nation for election or election of any person to
public office or (2) aiding or op­posing the circulation or passage of a
statewide initiative or referendum petition or measure. The term
\"contribution\" also means a contract, promise, or agree­ment, express
or implied, whether or not legally enforceable, to make a contri­bution
for any of the above‑listed purposes and includes funds received by a
candidate for public office or a po­litical party or committee that are
transferred or signed over to that candidate, party, or committee from
another candidate, party, or political committee or other source. The
term does not include (1) a loan of money from a bank or other lending
institution made in the regular course of business, (2) time spent by
volunteer campaign or political party workers, (3) money spent by a
candidate on the candidate\'s own behalf, or (4) any money received by a
candidate for legislative office that is immediately transferred or
signed over to a district committee within 30 days of the candidate
receiving the money \[1\].

**B. Contribution by a Corporation, Cooperative Corporation, Limited
Liability Company, or Association.** A corporation (including a
nonprofit corporation), cooperative corporation, limited liability
company, or association may not make a direct contribution (1) to aid
any political party, political committee, or organization; (2) to aid
any corporation, limited liability company, or association organized or
maintained for political purposes; (3) to aid any candidate for
political office or for nomina­tion to political office; (4) for any
political purpose; (5) for the reimbursement or indemnification of any
person for money or property used for a political pur­pose; or (6) for
the influencing of any measure before the legislative assembly, except
as specifically authorized \[2\].

A corporation, cooperative corporation, limited liability company, or
associa­tion is not prohibited from exercising the right to make
contributions and ex­penditures for the purpose of promoting the passage
or defeat of initiated or re­ferred measures or for promoting any general
political philosophy or belief, oth­er than a \"political purpose,\"
deemed in the best interest of its employees, stock­holders, patrons, or
members \[3\].

A \"political purpose\" is any activity undertaken in support of or in
opposition to the nomination or election of a candidate to public office
whether the activity is undertaken by a candidate, a political
committee, a political party, or any per­son. The term does not include
activities undertaken in the performance of a duty of a state office
\[4\].

A \"political committee\" is any committee, club, association, or other
group of persons that receives contributions or makes expenditures
primarily for political purposes \[5\].

An \"association\" is any club, association, union, brotherhood,
fraternity, organ­ization, or group of any kind of two or more persons,
including labor unions, trade associations, professional associations,
or governmental associations, that is united for any purpose, business,
or object and that assesses any dues, member­ship fees, or license fees
in any amount or maintains a treasury fund in any amount. The term
\"association\" does not include a corporation, cooperative corporation,
limited liability company, political committee, or political party
\[6\].

**C. Contributions to a Separate Segregated Fund of a Political
Commit­tee.** A corporation, cooperative corporation, limited liability
company, or asso­ciation may form a political committee to establish,
administer, and solicit con­tributions to a separate and segregated fund
to be utilized for political purposes, that is, for activities in
support of or in opposition to the election or nomination of a candidate
\[7\].

The solicitation of contributions to and acceptance of contributions by
a sepa­rate and segregated fund must meet the following requirements:

\(1\) The persons controlling a fund may not make contributions or
expen­ditures utilizing (a) money or anything of value secured by
physical force, job discrimination, financial reprisals, or the threat
of them; (b) money from dues, fees, treasury funds, or other money
required as a condition of membership in an association or as a
condition of employment; or (c) money obtained in any commercial
transaction; however, money from fees, dues, treasury funds, or money
obtained in a commercial transaction may be used to pay the costs of
administration of the fund.

\(2\) A person soliciting an employee, stockholder, patron, or member
for a contribution to a fund must inform the employee or member of the
political purposes of the fund at the time of the solicitation or of the
general political phi­losophy intended to be advanced through committee
activities.

\(3\) A person soliciting an employee or member for a contribution to a
fund must inform the employee or member at the time of the solicitation
of the right to refuse to contribute without any reprisal.

\(4\) A contribution may not be accepted without keeping an accurate
record of the contributor, the amount contributed, and the amounts
expended for polit­ical purposes.

\(5\) No contribution may be accepted from any person who is not an
em­ployee, stockholder, patron, or member of the corporation, cooperative
corpora­tion, limited liability company, or association maintaining the
political committee \[8\].

**D. Payment of Money in the Name of the Supplier of the Money.** A
person may not make a payment of that person\'s own money or of another
per­son\'s money to any other person for a political purpose in any name
other than that of the person who supplies such money, and a person may
not knowingly receive the payment or enter or cause the payment to be
entered in that per­son\'s account or record in any name other than that
of the person by whom it actually was furnished \[9\].

A \"person\" is an individual, partnership, committee, association,
corporation, cooperative corporation, limited liability company, or
other organization or group of persons \[10\].

**E. Making, Solicitation, and Acceptance of Contributions by Judges and
Candidates for Judicial Office.** The Code of Judicial Conduct restricts
the political activities of judges and candidates for election or
appointment to judicial office \[11\].

A judge or candidate for election to judicial office may not solicit
funds for, pay an assessment to, or make a contribution to a political
organization or can­didate. For the purpose of this prohibition, a judge
is anyone who is an officer of a judicial system and performs judicial
functions, including a magistrate, court commissioner, special master or
referee, or surrogate judge; however, the pro­hibition does not apply to
a judge pro tempore while acting as such or to a part‑time judge or a
retired judge eligible for recall to judicial service except when using
the judge\'s office or title or when a candidate for judicial office
\[12\].

A candidate for appointment to judicial office or a judge seeking
non‑judicial governmental office may not solicit or accept funds,
personally or through a committee or otherwise, to support his or her
candidacy \[13\].

A candidate for election to judicial office may not personally solicit
or accept campaign contributions; however, a candidate may establish
committees of re­sponsible persons to conduct the campaign for the
candidate, solicit and accept reasonable campaign contributions,
including contributions from lawyers, and manage the expenditure of
funds for the candidate\'s campaign. A candidate\'s committees may
solicit contributions for the candidate\'s campaign no earlier than one
year before an election and no later than 90 days after the election in
which the candidate participates during the election year \[14\].

A candidate for election or appointment to judicial office is required
to pro­hibit officials who serve at the pleasure of the candidate and to
discourage em­ployees and other officials subject to the candidate\'s
direction and control from doing on the candidate\'s behalf what the
candidate is prohibited from doing and, except to the extent permitted
by the Code of Judicial Conduct, may not author­ize or knowingly permit
any other person to do for the candidate what the can­didate is
prohibited from doing \[15\].

In the Code of Judicial Conduct, a \"candidate\" is a person seeking
selection for or retention in judicial office by election or
appointment. A person becomes a candidate for judicial office as soon as
he or she makes an public announcement of candidacy, declares or files
as a candidate with the election or appointment authority, or authorizes
solicitation or acceptance of contributions or support. The term
\"candidate\" has the same meaning when applied to a judge seeking
election or appointment to non‑judicial office \[16\].

**F. Solicitation and Canvassing for Campaign Funds by Public
Em­ployees.** State officers and employees may not solicit or canvass for
campaign funds while on duty or in uniform. The governing body of a
political subdivi­sion may adopt appropriate ordinances prohibiting local
public employees from soliciting or canvassing for campaign funds while
on duty or in uniform \[17\].

**G. Statewide-Measure‑Related Contributions From Out‑of‑State
Contributors.** A person who is soliciting or accepting a contribution
for the purpose of aiding or opposing the circulation or passage of a
statewide initiative or referendum measure placed upon a statewide
ballot by action of the legislative assembly may not accept a
contribution of more than \$100 from a person who does not reside in
North Dakota or from an out‑of‑state political committee unless the
contribution is accompanied by a certified statement from the
contributor. The certified statement must indicate if no in­dividual
person contributed in excess of \$100 of the out‑of‑state person\'s or
po­litical committee\'s overall contribution and list the name, address,
and amount contributed by and the occupation, employer, and principal
place of business of each person who contributed more than \$100 of the
contribution. The certified statement must be included with the
contribution statement required to be filed in accordance with the same
filing timetable for contribution statements (*see* Section IV.B
*infra*) \[18\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is (1) a purchase,
pay­ment, distribution, loan, advance, deposit, or gift of money or
property (except a loan of money from a bank or other lending
institution made in the regular course of business) made for the purpose
of influencing the nomination for elec­tion or election of any person to
office; (2) a contract, promise, or agreement, express or implied,
whether or not legally enforceable, to make any expenditure; and (3) the
transfer of funds by a political committee to another political
com­mittee \[19\].

**B. Expenditures From a Separate Segregated Fund of a Political
Com­mittee.** The political committee formed by a corporation,
cooperative corpora­tion, limited liability company, or association to
establish, administer, and solicit contributions to a separate and
segregated fund may make expenditures for po­litical purposes, that is,
to support or oppose the nomination or election of a candidate for
public office \[20\]. An accurate record of the amounts expended for
political purposes must be maintained by the committee \[21\].

**C. Expenditures by a Corporation, Cooperative Corporation, Limited
Liability Company, or Association.** A corporation, cooperative
corporation, limited liability company, or association may make
expenditures to promote the passage or defeat of initiated or referred
measures or to promote a general polit­ical philosophy or belief, except
a \"political purpose,\" deemed in the best interest of its employees,
stockholders, patrons, or members \[22\].

**D. Use of State Property or Services.** Property belonging to or
leased by or any service that is provided to or carried on, either
directly or by contract, by the state may not be used for any political
purpose. A \"political purpose\" is any activity directly undertaken by
a candidate for any office in support of the can­didate\'s own election
to such office or any aid and assistance to a candidate, po­litical
party, political committee, or organization, but does not include
activities undertaken in the performance of a duty of state office
\[23\].

**E. Payment to Influence an Editorial Position.** A person may not pay
or give anything of value to the owner, editor, publisher, or agent of
any newspa­per, other periodical, or radio or television station to
induce the recipient to ad­vocate or oppose editorially any candidate for
nomination or election, and the owner, editor, publisher, or agent may
not accept such inducement \[24\].

**F. Private Use of the Campaign Funds of a Judicial Candidate.** A
can­didate for election to judicial office may not use or permit the use
of campaign funds for the private benefit of the candidate or others
\[25\].

**IV. REPORTING REQUIREMENTS**

**A. Statements of Contributions by Statewide and Legislative
Candi­dates, Political Committees, and Political Parties**

**1. General Provisions.** A candidate for statewide or legislative
office who receives contri­butions, a political committee that solicits
or accepts contributions, and a political party that receives
contributions are required to file peri­odic statements of contributions
with the Secretary of State \[26\].

A \"candidate\" an individual who seeks nomination for election or
election to public office \[27\].

A \"political committee\" is any committee, club, association, or other
group of persons that receives contributions or makes expenditures
primarily for political purposes \[28\].

A \"political party\" is any association, committee, or organization
that nomi­nates a candidate (1) for election to any office which may be
filled by a vote of the electors of the state or any of its political
subdivisions and (2) whose name appears on the election ballot as the
candidate of such association, committee, or organization \[29\].

A \"political purpose\" is any activity undertaken in support of or in
opposition to the nomination or election of a candidate to public office
whether the activity is undertaken by a candidate, a political
committee, a political party, or any per­son. The term does not include
activities undertaken in the performance of a duty of a state office
\[30\].

In determining the amount of individual contributions from any
contributor, all amounts received from the same contributor during the
reporting period must be aggregated to report an overall total
contribution for the purposes of the required statements. Aggregate
contributions must reference the date of the most recent contribution.
Contributions made separately by different persons from joint accounts
are considered separate contributions for reporting purposes \[31\].

A statement of contributions is deemed properly filed when deposited
with or delivered to the Secretary of State within the prescribed time.
A statement that is mailed is deemed properly filed when it is
postmarked and directed to the Secretary of State within the prescribed
time. If a statement is not re­ceived by the Secretary of State, a
duplicate of the statement must be promptly filed upon notice by the
Secretary of State of its non‑receipt \[32\].

If a filing date falls on a Saturday, Sunday, or holiday when the office
of the Secretary of State is closed, a statement must be filed on the
next available day when the office of the Secretary of State or county
auditor is open \[33\].

**2. Candidates for Statewide or Legislative Office.** A candidate for a
statewide or legislative office to which persons may be elected by a
vote of the people who is soliciting or accepting contributions for any
political purpose must make and file statements of contributions \[34\].

Each statement must include the name and mailing address of all
contributors who contributed in excess of \$200 in the aggregate to the
candidate during the reporting period, the amount of each reportable
contribution, and the date each reportable contribution was received
\[35\].

The statements of contributions must be filed in the office of the
secretary of state as follows even if the candidate has not received any
contributions in excess of \$200 during the reporting period:

\(1\) A pre‑election statement must be filed no later than the 12th day
before to the date of the election in which the candidate\'s name
appears on the ballot or in which the candidate seeks election through
write‑in votes. The statement must be complete from the beginning of the
current calendar year through the 20th day before to the date of the
election.

\(2\) A year‑end statement that is complete for the entire calendar year
must be filed no later than January 31st of the following year,
regardless of whether the candidate\'s name appeared on the ballot for
any office during that calendar year or whether the candidate did not
seek election at any election through write‑in votes \[36\].

**3. Political Committees.** A political committee that solicits or
accepts contributions for any political purpose must file a statement of
contributions containing a detailed list showing the name and mailing
address of each contributor who contributed in excess of \$200 in the
aggregate to the committee during a reporting period, the amount of each
reportable contribution in excess of \$200, and the date each reportable
contribution was received \[37\].

Statements must be filed as follows in office of secretary of state even
if a political committee has not received any contribution in excess of
\$200 during the reporting period:

\(1\) A pre-election statement must be no later than the 12^th^ day
before the date of any primary, special, or general election. The
statement must be complete from the beginning of that calendar year
through the 20^th^ day before the date of the election.

\(2\) A complete statement for the entire calendar year must be filed no
later than January 31^st^ of the following year in which the political
committee received a reportable contribution \[38\].

**4. Political Parties.** A political party that receives contributions
in excess of \$200 in the aggregate during a reporting period must file
a statement that contains a detailed list of all contributions received
from a person or political committee that exceed \$200 in amount \[39\].

Each statement must include the name and mailing address of all
contribu­tors listed, the amount of each reportable contribution, and the
date each re­portable contribution was received \[40\].

Any money received by a candidate for legislative office that is
immediately transferred or signed over to a district committee within 30
days of the candidate receiving the money must be reported as a
contribution, and the origin of the contribution to the legislative
candidate must be shown \[41\].

The statements must be filed as follows with the Secretary of State even
if the political party has not received any contributions in excess of
\$200 during the reporting period:

\(1\) A pre‑election statement must be filed no later than the 12th day
before any election at which the party has endorsed or will nominate a
candidate. The statement must be complete from the beginning of the
calendar year through the 20th day before the election.

\(2\) A year‑end statement covering the entire calendar year must be
filed no later than January 31st of the following year \[42\].

**B. Statements of Contributions Concerning Statewide Initiatives and
Referenda.** Any person who is soliciting or accepting a contribution
for the purpose of aiding or opposing the circulation or passage of a
statewide initiative or referendum petition or measure placed upon a
statewide ballot by action of the legislative assembly at any election
must file a statement of con­tributions if the person has received any
contributions from a person in excess of \$100 \[43\].

Each statement must include the name and mailing address of all
contributors who contributed in excess of \$100 to the person, the
amount of each reportable contribution, and the date each reportable
contribution was received \[44\].

The statements must be filed with the Secretary of State as follows even
if a person who was required to report has not received any
contributions in excess of \$100 during the reporting period:

\(1\) A pre‑election statement must be filed no later than the 12th day
prior to the date of the election in which the measure appears or would
have appeared on the ballot. The statement must be complete from the
beginning of that cal­endar year through the 20th day prior to the date
of the election.

\(2\) A year‑end statement that is complete for the entire calendar year
must be filed no later than January 31st of the following year \[45\].

**C. Measure‑Related Statements of Contributions and Expenditures by
Corporations, Cooperative Corporations, Limited Liability Companies, and
Associations.** A corporation, cooperative corporation, limited
liability company, or association that receives contributions from any
person in excess of \$100 or spends money to promote passage or defeat
of initiated or referred measures, other than a contribution to another
person promoting passage or de­feat of an initiated or referred measure,
must file a (1) a statement of contribu­tions that includes the name and
mailing address of all contributors who con­tributed in excess of \$100
to the person, the amount of each reportable contribu­tion, and the date
each reportable contribution was received and (2) a statement listing
the total amount of money spend for that purpose \[46\].

The statements must be filed with the Secretary of State no later than
the 12th day before the date of the election in which the measure
appears or would have appeared on the ballot and be complete from the
beginning of that calendar year through the 20th day before the date of
the election \[47\].

**D. Supplemental Statement for a Contribution of \$500 or More.** If a
statewide or legislative office candidate, a political party, a
committee, or a person soliciting or accepting contributions for the
purpose of aiding the circulation of statewide initiative or referendum
peti­tions or of promoting the passage or defeat of a statewide initiated
or referred measure receives any contribution in excess of \$500 in the
20‑day period before any election from any individual contributor, the
recipient must make and file a supplemental statement in the same form
as required for an original statement stating the name and street
address of the contributor and the amount of the contribution. The
statement must be filed in the appropriate office within 48 hours of the
receipt of the contribution \[48\].

**E. Candidate‑Related Statements of Contributions to and Expen­ditures
by a Separate Segregated Fund of a Political Committee.** A politi­cal
committee formed for the purpose of administering a separate, segregated
fund to be used for political purposes by a corporation, cooperative
corporation, limited liability company, or association must file a
statement that includes (1) the amount of each reportable contribution
and the date it was received, (2) the name and mailing address of each
contributor of over \$200 in the aggregate for the reporting period, (3)
the amount of each reportable expenditure and the date it was made, and
(4) a listing of all expenditures of over \$200 in the ag­gregate made
for political purposes \[49\].

The statement of contributions and expenditures must be filed as follows
with the Secretary of State even if the political committee has not
received any contributions or made any expenditures in excess of \$200
during the reporting period:

\(1\) A pre‑election statement is to be filed not later than the 12th
day before any primary, special, or general election and must be
complete from the begin­ning of the calendar year through the 20th day
before the election.

\(2\) A year‑end statement covering the entire calendar year is to be
filed not later than January 31st of the following year \[50\].

An expenditure, except a contract, promise, or agreement, express or
implied, to make an expenditure, that is made for political purposes may
not be reported before control of the expenditure has been released by
the political committee administering the separate segregated fund
\[51\].

**F. Registration of a Political Committee.** A political committee,
other than a political party and a committee organized in support of a
legislative can­didate, and a person aiding or opposing a measure to be
voted upon by the vot­ers of the state is required to register its name
and address and its agent\'s name and address with the Secretary of
State each calendar year in which it receives any contribution. The
registration must be completed within 5 days of the re­ceipt of any
contribution and be submitted with a registration fee of \$5 \[52\].

A political committee that organizes and registers according to federal
law and makes a disbursement in excess of \$200 to a nonfederal
candidate seeking public office in North Dakota is not required to
register as a political committee, but must file a copy of that portion
of the committee's federal report detailing the disbursement made to the
candidate. A copy of the committee's federal report is to be filed with
the Secretary of State at the time of filing the report with the
applicable federal agency. The report must include (1) the name, mailing
address, and treasurer of the political committee, (2) the disbursement
recipient's name and mailing address, and (3) the date and amount of the
disbursement made \[53\].

A \"political committee\" is a committee, club, association, or other
group of persons that receives contributions or makes expenditures
primarily for political purposes \[54\].

A \"person\" is an individual, partnership, committee, association,
corporation, cooperative corporation, limited liability company, or
other organization or group of persons \[55\].

**G. Statement of Financial Interests.** Every candidate for elective
office is required to file a statement of financial interests with the
officer with whom the candidate files his or her certificate of
nomination, certificate of endorsement, petition of nomination, or
certificate of write-in candidacy at the time the certificate or
petition is filed. A person who has filed a statement as a result of
candidacy in a primary election need not file before running in the
following general election. A write-in candidate who is not required to
file a certificate of write-in candidacy is to file the statement after
the candidate's election at the time of filing the required oath of
office \[56\].

**V. OFFENSES AND PENALTIES**

**A. Corrupt Practices.** It is a corrupt practice for a person to
willfully en­gage in the use of the property or services of the state or
a political subdivision for political purposes or the expen­diture of any
money or anything of value to a newspaper, other periodical, or radio or
television station to induce editorial advocacy of or opposition to a
can­didate \[57\].

A person who is guilty of a corrupt practice for which another penalty
is not specifically provided is guilty of a class A misdemeanor \[58\].
If a person is found guilty of a corrupt practice, the person must be
punished by being de­prived of his government job or having his or her
nomination or election de­clared void, as the case may be. A person who
is already in office and who has entered upon the discharge of his or
her duties may not be removed from office if the office is subject to
the impeachment provisions of the state constitution \[59\].

**B. Violation of Filing Requirements.** Except as otherwise provided, a
person who willfully violates the provisions concerning the filing of
statements of contributions by candidates and political parties is
guilty of an infraction \[60\].

**C. Violation by a Corporation, Cooperative Corporation, Limited
Li­ability Company, Association, or Political Committee Administering a
Separate Segregated Fund.** It is a class A misdemeanor for an officer,
direc­tor, stockholder, manager, governor, member, attorney, agent, or
representative of any corporation, cooperative corporation, limited
liability company, or asso­ciation to violate or to counsel or consent to
any violation of any of the provi­sions concerning (1) contributions by
corporations, cooperative corporations, limited liability companies, and
associations, (2) the operation of a separate, seg­regated fund by a
political committee, and (3) the filing of contribution and ex­penditure
statements by a political committee. Any person who solicits or
knowingly receives any contribution in violation of these provisions is
guilty of a class A misdemeanor. An officer, director, stockholder,
manager, governor, member, attorney, agent, or representative who makes,
counsels, or consents to the making of a prohibited contribution is
liable to the company, corporation, limited liability company, or
association for the amount so contributed \[61\].

**VI. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is the designated
officer for receipt of (1) statements of contributions from statewide
and legislative office candidates, political committees, and politi­cal
parties, (2) political committee registrations and statements of
contributions and disbursements from political committees administering
separate, segregated funds, and (3) statements of financial interests
from candidates for elective of­fice who are required to file a
certificate of nomination, certificate of endorse­ment, or petition of
nomination with the Secretary of State \[62\].

The Secretary of State may arrange an audit of any statement filed and
must arrange an audit of any statement that the attorney general
requests to be audi­ted. The results of the audit must be reported to the
attorney general \[63\]. The Secretary of State may not charge a fee for
filing of any statement with the Secretary unless otherwise provided by
law \[64\].

**B. County Auditor.** Statements of financial interests of candi­dates
for elective office who are required to file a certificate of
nomination, cer­tificate of endorsement, or petition of nomination with
the county auditor are also filed with the county auditor \[65\].

**References**

1.  North Dakota Century Code (hereaft­er NDCC) § 16.1‑08.1‑01(3)

2.  NDCC §§ 16.1-08.1-01(4); 16.1‑08.1‑03.3(1)

3.  NDCC § 16.1‑08.1‑03.5

4.  NDCC § 16.1‑08.1‑01(10)

5.  NDCC § 16.1‑08.1‑01(8)

6.  NDCC § 16.1‑08.1‑01(1)

7.  NDCC §§ 16.1‑08.1‑0110); 16.1‑08.1‑03.3(2)

8.  NDCC § 16.1‑08.1‑03.3(2)

9.  NDCC § 16.1‑08.1‑03.3(4)

10. NDCC § 16.1‑08.1‑01(7)

11. North Dakota Code of Judicial Con­duct (hereafter Code of Judicial
    Con­duct), Canon 5

12. Code of Judicial Conduct, Canon 5(A)(1)(e), \"Compliance With the
    Code of Judicial Conduct\"

13. Code of Judicial Conduct, Canon 5(B)(1)

14. Code of Judicial Conduct, Canon 5(C)(2)

15. Code of Judicial Conduct, Canon 5(A)(3)(a), (b)

16. Code of Judicial Conduct, \"Terminol­ogy\"

17. NDCC §§ 39‑01‑04; 44‑08‑19

18. NDCC §§ 16.1‑08.1‑03.1(2)

19. NDCC §§ 16.1‑08.1‑01(5)

20. NDCC §§ 16.1‑08.1‑01(5), (8), (10); 16.1‑08.1‑03.3(2)

21. NDCC § 16.1‑08.1‑03.3(2)(d)

22. NDCC § 16.1‑08.1‑03.5

23. NDCC § 16.1‑10‑02

24. NDCC § 16.1‑10‑05

25. Code of Judicial Con­duct, Canon 5(C)(2)

26. NDCC §§ 16.1-08.1-01(11); 16.1‑08.1‑02; 16.1‑08.1‑03; 16.1‑08.1‑03.8

27. NDCC § 16.1‑08.1‑01(2)

28. NDCC § 16.1‑08.1‑01(8)

29. NDCC § 16.1‑08.1‑01(9)

30. NDCC § 16.1‑08.1‑01(10)

31. NDCC § 16.1‑08.1‑06(2)

32. NDCC § 16.1‑08.1‑06(1)(A)

33. NDCC § 16.1‑08.1‑06(2)

34. NDCC §§ 16.1‑08.1‑02(1); 16.1‑08.1‑01(11)

35. NDCC § 16.1‑08.1‑02(2)

36. NDCC §§ 16.1‑08.1‑02(3), (4); 16.1-12-02.2(4)

37. NDCC § 16.1‑08.1‑03.8(1), (2)

38. NDCC § 16.1‑08.1‑03.8(3), (4)

39. NDCC § 16.1‑08.1‑03(1)

40. NDCC § 16.1‑08.1‑03(1)

41. NDCC § 16.1‑08.1‑01(3)

42. NDCC § 16.1‑08.1‑03(2), (3)

43. NDCC § 16.1‑08.1‑03.1(1)

44. NDCC § 16.1‑08.1‑03.1(1)

45. NDCC § 16.1‑08.1‑03.1(3)

46. NDCC §§ 16.1‑08.1‑3.1(1); 16.1‑08.1‑03.5

47. NDCC § 16.1‑08.1‑03.5

48. NDCC § 16.1‑08.1‑04

49. NDCC § 16.1‑08.1‑03.3(3)

50. NDCC § 16.1‑08.1‑03.3(3)

51. NDCC § 16.1‑08.1‑03.3(2)(f)

52. NDCC § 16.1‑08.1‑03.2

53. NDCC §§ 16.1‑08.-03.2; 16.1‑08.1-03.7

54. NDCC § 16.1‑08.1‑01(8)

55. NDCC § 16.1‑08.1‑01(7)

56. NDCC § 16.1‑09‑02

57. NDCC §§ 16.1‑10‑01; 16.1‑10‑02; 16.1‑10‑05

58. NDCC § 16.1‑10‑08

59. NDCC § 16.1‑10‑07

60. NDCC § 16.1‑08.1‑07

61. NDCC § 16.1‑08.1‑03.3(5), (7) & (8)

62. NDCC §§ 16.1‑08.1‑02; 16.1‑08.1‑03; 16.1‑08.1‑03.1; 16.1‑09‑02

63. NDCC § 16.1‑08.1‑05

64. NDCC § 16.1‑08.1‑06(3)

65. NDCC § 16.1‑09‑02

**CAMPAIGN FINANCE LAW**

**IN THE COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS**

**I. INTRODUCTION**

Candidates for commonwealth office must file a detailed post-election
campaign statement of account with contribution and expense information.
The Election Commission, in cooperation with the Office of the Public
Auditor, administers the Northern Mariana Islands Election Law,
including its campaign financing disclosure requirements.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A "contribution" is a payment, gift,
subscription, assessment, contract, payment for services, dues, advance,
pledge or promise of any money or anything of value, whether or not
legally enforceable, to a candidate, committee, or holder of an elective
office made for the purpose of influencing the nomination or election of
any candidate or for the qualification, passage, or defeat of any
measure \[1\].

The term "contribution" includes (1) the purchase of tickets for events,
such as dinners, luncheons, rallies, and similar fundraising events, (2)
the candidate's own money or property used on behalf of his or her
candidacy, (3) the granting of discounts or rebates by television or
radio stations and newspapers not extended on an equal basis to all
candidates for the same office, (4) 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 a person whose expenditures the
candidate or committee must report under the Election Law, and (5) any
transfer of anything of value received by a committee from another
committee \[2\].

The term "contribution" does *not* include (1) loans, except forgiveness
of loans or payment of loans, (2) volunteer personal services provided
without compensation, in payments made by an individual for his or her
travel expenses if such payments are made voluntarily without any
understanding or agreement that they will be, directly or indirectly
repaid to him or her, or the use of private property when utilized
directly by the owner or lessee thereof in the course of rendering such
services, or (3) amounts received pursuant to a pledge or promise to the
extent those amounts have been reported previously as a contributions
\[3\].

**B. Restrictions on Nature of Contributions.** Public officials and
public employees (1) may not hand over to other officials or employees
any money or other thing of value to promote any political objective,
(2) may not be obliged to contribute to any political fund, and (3) may
not solicit or receive any political contributions from anyone while on
government time on government property or in government offices \[4\]. A
candidate for election, a public official, or a public employee may not
solicit or assess any contribution from any member of the civil service
\[5\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expense.** "Expenses" are funds promised or expended
by a person in aid of the campaign of a candidate or individual prior to
his or her becoming a candidate and services or property promised or
furnished by a person in aid of the campaign of the campaign of a
candidate or individual prior to his or her becoming a candidate \[6\].

The term "expenses" does *not* mean expenditures for the operation of a
permanent political party headquarters or for general voter registration
drives or editorial comments made in connection with the normal
publication of a newspaper or other periodical or the normal programming
of a broadcasting station \[7\].

**B. Apportionment of Multi-Candidate Expenses.** Multi-candidate
expenses are those spent by a person in aid of more than one candidate.
Such expenses are to be treated as an expense by each candidate
supported thereby and apportioned equally among them, except that
candidates may agree in advance of the contracting of any
multi-candidate expenses as to the amount attributable to each if such
agreement is filed in advance of contracting the expenses with the
Election Commission. Each candidate participating in such an agreement
must retain documents supporting the apportionment under the agreement
for one year after the election to which the expense relates \[8\].

**C. Authorization to Incur or Contract Campaign Expenses.** No person
other than a candidate or his campaign committee may incur or contract
for any expense in aid of such candidate's campaign unless the person
applies in writing to the candidate's treasurer at least 5 days prior
thereto for authorization. The request for authorization must state in
detail the amount and nature of any specific expense listed in the
request. No person may incur or contract for any expense if such expense
has been disapproved by the treasurer of the candidate in writing within
3 days of receipt of the request for authorization \[9\].

**IV. REPORTING REQUIREMENTS**

**A. Post-Election Campaign Statements of Account for All Candidates.**
The Northern Mariana Islands Election Law requires each candidate to
file a detailed financial statement of account prepared with the advice
and co-signature of the candidate's treasurer or the election or
re-election committee within 50 days after a primary, special, or
general election \[10\]. The filing deadline may be extended by the
Election Commission by not more than 15 days for good cause upon written
request by a candidate \[11\]. The original campaign statement of
account is filed with the Office of the Public Auditor and a copy with
the Election Commission \[12\].

The campaign statement of account**,** subject to the limitations as to
what constitutes a contribution and expense, is to include the names and
contributions of supporters contributing in cash or in-kind and a
detailed statement of campaign spending \[13\]. A "campaign statement of
account' is defined as an itemized statement prepared by a candidate or
potential candidate showing the specific source, names of contributors,
and amount of contributions and expenses, including the names of persons
receiving an expense, except where the aggregate fair market value of an
expense or contribution is less than \$100 \[14\].

All campaign statements of account must be verified under oath by the
candidate and his or her treasurer and state that the candidate has used
all reasonable diligence in its preparation and that it is true, full,
and explicit \[15\].

A "candidate" is an individual who filed nomination papers or whose
nominations has been certified to the Election Commission by a political
party or committee pursuant to the Northern Mariana Islands Election Law
\[16\]. A "potential candidate" is anyone who receives a contribution
given or received in contemplation that he or she may become a
candidate, whether or not that eventually occurs \[17\].

A "person" is any individual (including a candidate), committee,
association, political party, partnership, or other group. The term
"person" does *not* mean a domestic, foreign, or alien corporation
\[18\]. A "committee" is a group of individuals organized for the
purpose of aiding the campaign of any candidate \[19\].

**B. Designation of a Candidate's Campaign Committee and Treasurer.**
Upon becoming a candidate, an individual may designate one committee to
serve as his or her campaign committee \[20\].

The candidate is required to appoint a treasurer. The appointed
treasurer is also the treasurer of the candidate's campaign committee
and in that capacity must keep a record of all contributions and
expenses received and made thereby \[21\].

**V. OFFENSES AND PENALTIES**

**A. Administrative Penalty.** A candidate must be fined a non-waivable
\$100 penalty for each day the campaign statement of account is late
without an extension period approved by the Election Commission \[22\]

**B. Criminal Penalty.** Any person who violates the campaign financing
disclosure requirements of the Election Law, upon conviction, must be
fined not more than \$50,000, imprisoned for not more than one year, or
both fined and imprisoned \[23\].

**VI. RESPONSIBLE STATE AGENCIES**

**A. Election Commission.** The Commonwealth of the Northern Mariana
Islands Election Commission is a 9-member independent election
commission that administers all elections in the Commonwealth,
promulgates rules, regulations, and instructions necessary to conduct
and administer elections, and appoints an executive director as its
executive officer \[24\]. The executive director is responsible for the
administration of the Northern Mariana Islands Election Law and rules
and regulations promulgated under the Election Law and supervises all
Commonwealth elections \[25\].

**B. Office of the Public Auditor.** Candidates' campaign statements of
account are filed with the Office of the Public Auditor \[26\]. The
Public Auditor is required to refer any candidate who fails to comply
with the campaign financing disclosure requirements of the Election Law
to the office of the Attorney General for prosecution \[27\].

**References**

1.  Northern Mariana Islands Commonwealth Code (hereafter NMICC) §
    6421(e)

2.  NMICC) § 6421(e)

3.  NMICC) § 6421(e)

4.  Government Ethics Code Act, Office of the Public Auditor (September
    12, 1997)

5.  Government Ethics Code Act, Office of the Public Auditor (September
    12, 1997)

6.  NMICC) § 6421(f)

7.  NMICC) § 6421(f)

8.  NMICC) § 6426

9.  NMICC) § 6427

10. NMICC) §§ 6421(g); 6424

11. NMICC) § 6429

12. NMICC) § 6424

13. NMICC) § 6424

14. NMICC) § 6421(a)

15. NMICC) § 6424

16. NMICC) § 6421(b)

17. NMICC) § 6421(c)

18. NMICC) § 6421(h)

19. NMICC) § 6421(d)

20. NMICC) § 6422

21. NMICC) § 6422

22. NMICC) § 6429

23. NMICC) § 6428

24. NMICC) §§ 6101; 6102; 6105(a), (b) & (e)

25. NMICC) § 6109(a)

26. NMICC) § 6424

27. NMICC) § 6430

**CAMPAIGN FINANCE LAW**

**IN OHIO**

**I. INTRODUCTION**

Ohio requires campaign committees, political action committees,
legislative campaign funds, political parties, and political
contributing entities to file pre‑election, post‑election, and annual
statements of contributions and expenditures if contributions were made
or received or expenditures made in connection with a candidate or
ballot issue. The circulator or committee in charge of an initiative or
referendum petition is required to report after the petition papers have
been filed. Corporations and labor organizations are to submit
pre‑election and post‑election reports on the use of corporate funds or
property in support of or opposition to a ballot issue. Additional
reporting requirements apply to state­wide office candidates and general
assembly office candidates who have filed a personal funds notice or
no‑limits declaration.

Corporations are not permitted to contribute to political parties,
candidates, and political committees that support or oppose candidates.
Contri­bution limits relating to statewide and legislative office
candidates per primary and general election and to candidates for state
and local judicial office per election cam­paign have been established.
Campaign committees for statewide and general assembly office candidates
must provide notice before expending personal funds of the can­didate in
excess of the statutory threshold amount. A campaign committee that
fails to file a timely personal funds notice cannot spend personal funds
in excess of the statu­tory threshold. An opponent of a candidate filing
a personal funds notice is not subject to the statutory limits on
contributions that may be accepted if a timely declaration of no limits
is filed. Special requirements mandating the disposition of excess
aggregate contributions and excess funds by candidates for statewide or
general assembly office are prescribed.

Each taxpayer may designate that \$1 (\$2 if a joint return is filed) of
the taxpayer\'s income tax liability be paid for the use of major
political parties. A state income tax credit is allowed for monetary
contributions made to statewide and general assembly candidates up to an
\$50 annually (\$100 on a joint return). The Secretary of State, the
Ohio Elections Commission, and county prosecutors are responsible for
the administration and enforcement of the state campaign finance law;
the Department of Taxation is responsible for administration of the tax
credit.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" required to be
reported is a loan, gift, deposit, forgiveness of indebtedness,
donation, advance, payment, transfer of funds, or transfer of anything
of value, including a transfer of funds from an inter vivos or
testamentary trust or decedent\'s estate, and the payment by any person
other than the person to whom services are rendered for the personal
services of another person that is made, received, or used for the
purpose of influencing the results of an election \[1\].

The term \"contribution\" does *not* include (1) services provided
without compensation by individuals volunteering a portion or all of
their time on behalf of a person, (2) ordinary home hospitality, (3) the
personal expenses of a volunteer paid for by that volunteer campaign
worker, and (4) a gift given to state or county major political party to
defray the cost of construction, renovation, or purchase of an office
facility \[2\]. \"Personal expenses\" include but are not limited to
ordinary expenses for accommodations, clothing, food, personal motor
vehicle or airplane, and home telephone \[3\].

**B. Contributions Received by a Candidate Campaign Committee, Political
Action Committee, Legislative Campaign Fund, Political Party, or
Political Contributing Entity.** Prior to receiving any contribution,
every campaign committee, political action committee, legislative
campaign fund, political party, and political contributing entity must
appoint a treasurer and file the appointment with the filing office with
which statements of contributions and expenditures are required to be
filed \[4\]. A campaign committee may not receive a contribution other
than through the campaign treasurer \[5\].

**C. Solicitation and Making of Contributions by a Corporation or Labor
Organization.** A corporation, nonprofit corporation, or labor
organization may not, directly or indirectly, (1) pay, use, offer,
advise, consent, or agree to pay or use its money or property (a) for or
in aid of or opposition to a political party, a candidate for nomination
or election to a public office, a political action committee, or any
organization that supports or opposes any such candidate or (b) for any
partisan political purpose; (2) violate any law requiring the filing of
an affidavit or statement respecting the use of such funds; or (3) pay
or use the corporation\'s or labor organization's money for the expenses
of a social fund‑raising event for its political action committee if an
employee\'s or member's right to attend such an event is predicated on
the employee\'s or member's contribution to the corporation\'s or labor
organization's political action committee \[6\]. Officers, stockholders,
attorneys, and agents of the corporation or members of a labor
organization and candidates, political party officials, and other
indi­viduals may not knowingly aid, advise, solicit, or receive money or
other property in violation of the proscription of specified corporate
political activities \[7\].

The prohibition of certain corporate and labor organization political
activities does not apply to lawful activities associated with (1) the
establishment and administration of and solicitation of contributions
for a political action committee or separate segregated fund (*see*
Section II.E, *infra*) or (2) the solicitation, deduction, and
transmission of authorized amounts from the wages and salaries of its
employees for political purposes (*see* Section II.K, *infra*) \[8\].
Corporations and labor organizations are also permitted to use their
funds or property for or in aid of or opposition to any proposed or
certified ballot issue \[9\].

**D. Gift to Major Political Party for Office Facility**. Any person,
including a corporation engaged in business in the state but not
including a public utility, may make a gift to a state or county major
political party if the gift is specifically designated and used to
defray any cost for the construction, renovation, or purchase of any
office facility that is not used solely for the purpose of directly
influencing the election of any individual candidate in any particular
election for any office. Such a gift is not considered to be a
contribution prohibited by any provision of the state code. A gift of
money from a corporation engaged in business in the state may not exceed
10% of the cost of the construction, renovation, or purchase \[10\].

**E. Political Action Committee or Separate Segregated Fund Established
by a Corporation or Labor Organization.** Any corporation or labor
organization may estab­lish, administer, and solicit contributions for
(1) a political action committee of the corporation or labor
organization with respect to state and local elections and (2) a
separate segregated fund pursuant to the Federal Election Campaign Act
of 1971, as amended \[11\].

A corporation or nonprofit corporation may solicit contributions for an
authorized corporate political action committee or separate segregated
fund from its stockholders, officers, directors, trustees that are not
corporations or labor organizations, and employees. A nonprofit
corporation may also solicit contributions from its members that are not
corporations or labor organizations and the officers, directors,
trustees that are not corporations or labor organizations, and employees
of any members of the nonprofit corporation. A labor organization may
solicit contributions from its members, officers, and employees \[12\].

**F. Contributions in Cash.** No person may make cash contributions to
any person totaling more than \$100 in each primary, special, or general
election \[13\].

**G. Concealment or Misrepresentation of Contributions.** No person may
knowingly conceal or misrepresent contributions given or received or
expenditures made in connection with an election \[14\].

**H. Contributions in the Name of Another Person.** No person may make a
contribution in the name of another person. A person does not make a
contribution in the name of another when either of the following
applies: (1) an individual makes a contribution from a partnership or
unincorporated business account if the contribution is reported by
listing both the name of the partnership or unincorporated business and
the name of the partner or owner making the contribution or (2) a person
makes a contribution in that person's spouse's name or in both of their
names \[15\].

**I. Contributions for Illegal Purposes.** No person may, directly or
indirectly, in connection with any election, pay, lend, contribute, or
offer or promise to pay, lend, or contribute any money or other valuable
consideration in the election or defeat of any candidate or the adoption
or defeat of any ballot question or issue for any purposes other than
those enumerated in the election code \[16\].

**J. Solicitation of Contributions From a Candidate or Campaign
Committee.** No person or committee may solicit, ask, invite, or demand,
directly or indirectly, orally or in writing, any contribution,
subscription, or payment from any candidate for nomination or election
or from the candidate\'s campaign committee, and no person may solicit,
ask, invite, or demand that the candidate or campaign committee
subscribe to the support of any club or organization, buy tickets to any
entertainment, ball, supper, or other meeting, or pay for space in any
book, program, or publication. This prohibition does not apply to
regular advertisements in periodicals having an established circula­tion,
to regular payments to civic, political, fraternal, social, charitable,
or religious organizations of which the candidate was a member or
contributor 6 months before his or her candidacy, or to regular party
assessments made by a political party against its own candidates \[17\].

**K. Solicitation of Contributions by or From Classified Service
Personnel.** An officer or employee in the classified service of the
state or a county, city, city school dis­trict, or civil service township
may not, directly or indirectly, orally or by letter, solicit, receive,
or be in any manner concerned in soliciting or receiving an assessment,
sub­scription, or contribution for any political party or any candidate
for public office nor may any person solicit, directly or indirectly,
orally or by letter, or be in any manner concerned in soliciting an
assessment, contribution, or payment from any classified‑service officer
or employee \[18\].

**L. Contributions Deducted From Employee Wages or Salaries.** Any
employer may deduct from the wages and salaries of its employees such
amounts for an employee account for the support of a candidate, a
separate segregated fund, a political action committee of the employer,
a political action committee of a labor organization of the employer\'s
employees, a political action committee of an association of which the
employer is a member, a political party, a legislative campaign fund, or
a ballot issue; a separate segregated fund; a political action committee
of the employer; a political action committee of a labor organization of
the employer\'s employees; a political action committee of an
association of which the employer is a member; a political party; or a
ballot issue as the employee by written authorization may designate, and
the employer must trans­mit the amounts deducted as directed by the
authorization. The authorization may be on a form that is used to apply
for or authorize payment of dues or fees to any organ­ization \[19\].

The employer may either deduct from the amount to be transmitted a
uniform amount determined by the employer to be necessary to defray the
actual cost of making such a deduction and transmittal or may utilize
its own funds in an amount it determines is necessary to defray the
actual administrative cost, including making the deduc­tion and
transmittal \[20\].

**M. Contributions From a Medicaid Provider.** A candidate for attorney
general or county prosecutor or the candidate\'s campaign committee may
not knowingly accept a contribution from a provider of services or goods
under contract with the department of human services pursuant to the
medicaid program of Title XIX of the \"Social Secur­ity Act\" or from a
person having an ownership interest in the provider \[21\].

**N. Contributions and Loans Relating to Judges or Judicial Candidates
and Their Campaign Committees.** The Code of Judicial Conduct adopted by
the supreme court regulates the political activities of judges and
judicial candidates \[22\].

A judge or judicial candidate may not jointly raise funds with a
candidate for nonjudicial office, but a judicial candidate may conduct
joint fundraising activities with other judicial candidates and
participate with judicial and nonjudicial candidates in fundraising
activities organized or sponsored by a political party \[23\].

A judicial candidate must complete a 2‑hour course in campaign
practices, finance, and ethics accredited by the Commission on
Continuing Legal Education no earlier that one year prior to and no
later than 30 days after certification of his or her candidacy by the
election authority \[24\].

A judicial candidate may not personally solicit or receive funds and
must prohibit employees subject to his or her direction or control from
soliciting or receiving cam­paign fund contributions \[25\].

A judicial candidate may establish a committee to secure and manage the
expenditure of funds for the candidate\'s campaign. The campaign
committee is prohibited from receiving for any political or personal
purpose any of the following:

\(1\) A contribution from any employee of the court or person who does
business with the court in the form of a contractual or other
arrangement in which the person, in the current year or any of the
previous 6 calendar years, received as payment for goods or services
aggregate funds or fees, regardless of the source, in excess of \$250.
The committee may receive campaign contributions from lawyers who are
not employees of the court or doing business with the court in the form
a contractual or other arrangement.

\(2\) A contribution from any appointee of the court unless the
committee, on its campaign contribution and expenditure statement,
reports the name, address, occupation, and employer of the appointee,
identifies the person as an appointee of the court, and indicates
whether the appointee, in the current year or in any of the previous 6
calen­dar years, received aggregate compensation from court appointments
in excess of \$250.

\(3\) A contribution from a political party unless the contribution is
made from a separate fund established by the political party solely to
receive donations for judicial candidates and the political party
reports on the contribution and expenditure statements filed by the
party the name, address, occupation, and employer of each person who
contributed to the separate fund established by the political party
\[26\].

The campaign committee of a judicial candidate may solicit and receive
contributions no earlier than 120 days before the first Tuesday after
the first Monday in May of the year in which the general election held.
If the general election is held in 2000 or any fourth year thereafter,
the campaign committee of a judicial candidate may begin soliciting and
receiving contributions no earlier than 120 days before the first
Tuesday after the first Monday in March of the year in which the general
election is held. The solicitation and receipt of contributions may
continue until 120 days after the general election unless the candidate
is defeated prior to the general election, in which case the
solicitation and receipt of contributions may continue until such time
as the contributions solicited are sufficient to pay the campaign debts
and obligations of the judicial candidate incurred on or before the date
of the primary election, plus the costs of solicitation incurred after
the date of the primary election, but in no event may the solicitation
or receipt of contributions continue beyond 120 days after the election
at which the defeat occurred. In the case of death or withdrawal of a
judicial candidate, the solicitation and receipt of contributions may
continue until such time as the contributions solicited are sufficient
to pay the campaign debts and obligations of the judicial candidate
incurred on or before the date of death or withdrawal, but in no event
may the solicitation or receipt of contributions continue beyond 120
days after the date of death or withdrawal \[27\].

The campaign committee of a judicial candidate may not directly or
indirectly solicit or receive in the fundraising period allowed by the
Code of Judicial Conduct a campaign contribution aggregating more in a
primary election period if opposed or in a general election period than
the following:

\(1\) From an individual other than the judicial candidate or a member
of the candidate\'s immediate family: \$2,200‑‑candidate for chief
justice or justice of the supreme court, \$550‑‑candidate for the court
of appeals, or \$275‑‑candidate for the court of common pleas, municipal
court, or county court.

\(2\) From any organization: \$5,500‑‑candidate for chief justice or
justice of the supreme court or \$2,750‑‑all other judicial candidates.

\(3\) From a political party: \$268,000--candidate for chief justice of
the supreme court, \$192,000--candidate for justice of the supreme
court, \$48,000\--candidate for the court of appeals,
\$48,000\--candidate for the court of common pleas, municipal court, or
county court that serves a territorial jurisdiction with a population of
more than 750,000, \$38,400\--candidate for the court of common pleas,
municipal court, or county court that serves a territorial jurisdiction
with a population of more than 250,000 but not more than 750,000 \[28\].

A loan made to a campaign committee of a judicial candidate by a person
other than the candidate or the candidate\'s immediate family may not
exceed an amount equal to two times the applicable contribution limit.
Loan amounts in excess of the applicable contribution limit must be
repaid with the fundraising period allowed by the Code of Judicial
Conduct. A debt remaining at the end of the fundraising period is to be
treated as a contribution and is subject to the applicable contribution
limit \[29\].

A judicial candidate is responsible for the content of any statement
communicated in any medium by the candidate\'s campaign committee and
for compliance by the candi­date\'s campaign committee with the
limitations on campaign solicitations, contributions, and expenditures
contained in the Code of Judicial Conduct if the candidate knew of the
statement, solicitation, contribution, or expenditure \[30\].

**O. Coercion of Contributions From Public Employees.** No person for
the benefit of a political party, campaign committee, legislative
campaign fund, political action committee, or political contributing
entity may coerce any contribution in consideration of (1) appointing or
securing, maintaining, or renewing the appointment of any person to any
public office, em­ployment, or agency or (2) preferring or maintaining
the status of any public employee with respect to compensation, duties,
placement, location, promotion, or other material aspects of employment.
The making or receiving of voluntary contributions, however, are not
prohibited \[31\].

**P. Solicitation of Contributions by State or County Candidates or
Office-holders.** State or county elected officers, candidates for state
or county elective office, cam­paign committees for state or county
elected officers and candidates, and other persons or entities are
prohibited from soliciting a contribution on behalf of the officer,
candidate, or campaign committee from employees whose appointing
authority is or would be that state or county officer (or whose
appointing authority is or would be appointed by that state or county
officer) or who function or are employed in or by or would function or
be employed in or by the same public agency, department, division, or
office as the state or county officer or candidate for state or county
office. Public employees may not solicit or be solicited for
contributions while performing their offi­cial duties or while they are
in those areas of a public building where official business is
transacted or conducted \[32\].

**Q. Payments to Candidates and to Public Officials and Employees for
Personal or Business Use.** No candidate or public official or employee
may accept for personal or business use anything of value from a
political party, political action committee, political contributing
entity, legislative campaign fund, or campaign committee other than the
candidate\'s or public official\'s or employee\'s own campaign
committee, and no person may knowingly give to a candidate or public
official or employee anything of value from a political party, political
action committee, legislative campaign fund, or such a campaign
committee, except for the following:

\(1\) Reimbursement for legitimate and verifiable ordinary and necessary
prior expenses not otherwise prohibited by law incurred by the candidate
or public official or employee while engaged in any legitimate activity
of the political party, political action committee, political
contributing entity, legislative campaign fund, or such campaign
committee. Without limita­tion, reimbursable expenses include those
incurred while (a) engaged in activities in support of or opposition to
another candidate, political party, or ballot issue, (b) raising funds
for a political party, legislative campaign fund, campaign committee, or
another candidate, or (c) attending a political party convention or
other political meeting.

\(2\) Compensation not otherwise prohibited by law for actual and
valuable personal services rendered under a written contract to the
political party, political action committee, political contributing
entity, legislative campaign fund, or such campaign committee for any
legitimate activity of the political party, political action committee,
political contributing entity, legislative campaign fund, or campaign
committee \[33\].

A candidate or public official or employee may not accept and no person
may knowingly give to a candidate or public official or employee from a
political party, political action committee, legislative campaign fund,
or campaign committee other than the candidate\'s or public official\'s
or employee\'s own campaign committee anything of value for activities
primarily related to the candidate\'s or public official\'s or
employee\'s own campaign for election, except for contributions to the
candidate\'s or public official\'s or employee\'s campaign committee
\[34\].

An expense is incurred when a candidate or public official or employee
has made payment or is obligated to make payment, as by the use of a
credit card or other credit procedure, or by the use of goods or
services on account \[35\].

**R. Solicitation of Contributions From Contracted Deputy Registrars of
Motor Vehicles.** No person may knowingly solicit directly or
indirectly, orally or by letter, or be in any manner concerned in
soliciting any assessment, subscription, or contribution for any
political party, the governor or the governor\'s campaign committee, or
a can­didate for public office or the candidate\'s campaign committee
from a person known by the solicitor to be a deputy registrar under
contract with the registrar of motor vehicles. Neither the registrar nor
any person may award or promise to award or withhold, terminate, or
threaten to withhold or terminate a deputy registrar contract because a
person pays or fails to pay an assessment to or makes or fails to make a
contribution to a political party, the governor or the governor\'s
campaign committee, or any candidate for public office or the
candidate\'s campaign committee \[36\].

**S. Maximum Limits on the Making and Acceptance of Contributions.** A
contribution or contributions aggregating more than the following
amounts may not be made or accepted:

\(1\) By an individual: \$2,500 to the campaign committee of any one
statewide candidate in a primary election period or general election
period; \$2,500 to the campaign committee of any one state senator or
state representative candidate in a primary election period or general
election period; \$5,000 to any one county political party for the
party\'s state candidate fund or to any one legislative campaign fund in
a calendar year; \$16,000 to any one state political party for the
party\'s state candidate fund in a calen­dar year; \$5,000 to any one
political action committee in a calendar year; and \$5,000 to any one
political contributing entity.

\(2\) By a political action committee: \$2,500 to the campaign committee
of any one statewide candidate in a primary election period or general
election period; \$2,500 to the campaign committee of any one state
senator or state representative candidate in a primary election period
or general election period; \$5,000 to any one county political party
for the party\'s state candidate fund or to any one legislative campaign
fund in a calendar year; \$16,000 to any one state political party for
the party\'s state candidate fund in a calendar year; and \$2,500 to
another political action committee or political contributing entity,
except a political action committee or political contributing entity
affiliated with the contributing committee, in a calendar year. Ballot
issue political action committees are not subject to limits.

\(3\) By a political contributing entity: \$2,500 to the campaign
committee of any one statewide candidate in a primary election period or
general election period; \$2,500 to the campaign committee of any one
state senator or state representative in a primary election period or
general election period; \$5,000 to any one county political party for
the party's state candidate fund or to any legislative campaign fund in
a calendar year; \$16,000 to any one state political party for the
party's state candidate fund in a calendar year; and \$2,500 to another
contributing political entity or political party, except a political
contributing entity or political action committee affiliated with, in a
calendar year. Ballot issue political contributing entities are not
subject to contribution limits.

\(4\) By a campaign committee: \$2,500 to the campaign committee of any
one statewide candidate in a primary election period or general election
period; \$2,500 to the campaign committee of any one state senator or
state representative candidate in a primary election period or general
election period; \$2,500 to any one political action committee in a
calendar year; except a designated state campaign committee, \$16,000 to
any one state political party for the party\'s state candidate fund in a
calendar year; except a designated state campaign committee, \$5,000 to
any one legislative campaign fund in a calendar year; and except a
designated state campaign committee, \$5,000 to any one county political
party for the party\'s state candidate fund in a calendar year.

\(5\) By a political party (national, state, and county): \$2,500 to any
one political action committee or to any one political contributing
entity in a calendar year.

\(6\) By a state candidate fund of a county political party: except to a
designated state campaign committee, \$2,500 to the campaign committee
of any one state senator candidate or any one state representative
candidate in a primary election period or general election period.

\(7\) By a county political party that has no state candidate fund and
is located in a county having a population of less than 150,000: \$2,500
from other accounts to any one designated state campaign committee in
any primary election period or general election period \[37\].

A transfer, a contribution, or transfers or contributions of cash or
cash equivalents (excluding in‑kind contributions) aggregating more than
the following amounts may not be made or accepted:

\(1\) By a state candidate fund of a state or county political party:
\$523,000 to a designated state campaign committee of any one statewide
candidate in a primary election period or general election period;
\$104,500 to a designated state campaign committee of any one state
senator candidate in a primary election period or general election
period; and \$52,000 to a designated state campaign committee of any one
state representative candidate in a primary election period or general
election period.

\(2\) By a legislative campaign fund: \$52,000 in a primary election
period or \$104,500 in a general election period to the designated state
campaign committee of any one state senator candidate and \$26,500 in a
primary election period and \$52,000 in a general election period to the
designated state campaign committee of any one state repre­sentative
candidate. A legislative campaign fund may contribute only to a
designated state campaign committee or to the state candidate fund of a
political party \[38\].

Whenever the campaign committee of a candidate has unpaid debt at the
end of a primary election period (i.e., the day of the primary election)
or a the end of a general election period (i.e., December 31st following
the general election), the committee may accept additional contributions
during the immediately following election period up to the applicable
limitation from an individual, political action committee, political
contributing entity, or other campaign committee who during the period
for which debt remains unpaid contributed less that the applicable
contribution limitation. A separate statement is required to be filed
with statements of contributions and expenditures that includes (1) the
name and address of each contributor who makes an additional
contribution, (2) how the contribution was applied to the unpaid debt,
and (3) the balance of the unpaid debt after each contribution was
applied to it \[39\].

The Secretary of State is required to adjust the contribution limits in
January of each odd‑numbered by year. The adjustment is to be based on
the yearly average of the previous two years of the Consumer Price Index
for All Urban Consumers or its successive equivalent \[40\].

A \"designated state campaign committee\" is:

\(1\) In the case of contributions to or from a state political party, a
campaign committee of a statewide candidate, statewide officeholder,
senate candidate, house candidate, or member of the general assembly.

\(2\) In the case of contributions to or from a county political party,
a campaign committee of a statewide candidate, statewide officeholder,
senate candidate, or house candidate whose candidacy is to be submitted
to some or all of the electors in that county or a member of the general
assembly whose district contains all or part of that county.

\(3\) In the case of contributions to or from a legislative campaign
fund, a campaign committee of (a) a senate or house candidate who, if
elected, will be a member of the same party that established the
legislative campaign fund and the same house with which the legislative
campaign fund is associated or (b) a state senator or state
represen­tative who is a member of the same party that established the
legislative campaign fund and the same house with which the legislative
campaign fund is associated \[41\].

**T. Use of Personal Funds by Statewide and General Assembly Candidates
and Relationship to Contribution Limits.** If the campaign committee of
any statewide candidate or any state senator or state representative
candidate has received or expended or expects to expend more than the
following maximum amounts of personal funds, it must file a personal
funds notice indicating that the committee has received or expended or
expects to expend more than the maximum amount:

\(1\) By the campaign committee for a statewide candidate: \$100,000
during a primary election period or \$150,000 during a general election
period.

\(2\) By the campaign committee for a legislative candidate: \$25,000
during a primary election period or \$25,000 during a general election
period \[42\].

The personal funds notice must be filed with the office where statements
of contributions and expenditures are filed not later than the earlier
of (1) 120 days before a primary or general election in the case of
personal funds received, expended, or expected to be expended during a
primary or general election or (2) two business days after the
candidate\'s campaign committee receives or makes an expenditure of
personal funds on behalf of the candidate\'s campaign committee during
that election period that exceeds in aggregate the threshold the amount
above which a notice must be filed. If a campaign committee does not
file a required personal funds notice, it may not expend any personal
funds in excess of the threshold amount requiring the filing of the
notice \[43\].

Whenever a campaign committee files a personal funds notice and the
campaign committee of an opponent files a declaration of no limits
within 30 days of the filing of the personal funds notice, the
applicable contributions limitations no longer apply to the campaign
committee of the candidate\'s opponent \[44\].

A declaration of no limits must be filed with the office where
statements of contributions and expenditures are filed not later than 30
days after a candidate\'s opponent has filed the personal funds notice;
however, a candidate who was not an opponent of a candidate who filed a
personal funds notice on the date the notice was filed may file a
declaration of no limits within 30 days after becoming an opponent
\[45\].

A campaign committee may not accept any contribution in excess of the
applicable contribution limitations unless a declaration of no limits
has been filed or once the candidate who filed the personal funds notice
fails to file a declaration of candidacy or nominating petition or that
candidate dies or withdraws \[46\]. If a campaign commit­tee required to
file a declaration of no limits accepts a contribution that exceeds the
otherwise applicable contribution limits before the declaration is
filed, the committee must return that contribution to the contributor
\[47\].

If the candidate whose campaign committee filed a personal funds notice
fails to file a declaration of candidacy for the office listed on the
designation of treasurer filed by the candidate or files a declaration
of candidacy or nominating petition and dies or withdraws, the following
apply to the campaign committee of that candidate\'s opponent if the
opponent has filed a declaration of no limits:

\(1\) No contribution from a contributor may be accepted that, when
added to the aggregate total of all contributions received by that
committee from that contributor during the primary election period or
the general election period, whichever is applicable, would cause that
committee to exceed the applicable contribution limits for the
applicable election period.

\(2\) The statement of primary‑day finances or the year‑end statement
required to be filed must be filed not later than 14 days after the date
the candidate\'s opponent fails to file a declaration of candidacy or
nominating petition by the appropriate filing deadline or dies or
withdraws for the purpose of calculating \"permitted funds.\" The
prim­ary or general election period, whichever is applicable, is to be
considered to have ended on the filing deadline or on the date of the
opponent\'s death or withdrawal, whichever is applicable. In such an
event, the filing of a statement of primary‑day finances or year‑end
finances and the required disposing of any excess funds satisfies the
candidate\'s obligation to file such a statement for that election
period \[48\].

**U. Disposition of Excess Aggregate Contributions and Excess Funds by
Statewide and General Assembly Office Candidates.** Beginning in
calendar year 1998 for state representative candidates and in calendar
year 2000 for statewide candidates (including joint candidates for
governor and lieutenant governor) and state senator candidates, each
candidate who files for state office must dispose of any excess funds
not later than the filing date for candidacy petitions for the office.
In calendar year 1998, each candidate who files for statewide office or
state senate must dispose of any excess aggregate contributions not
later than the filing date for the office \[49\]. A candidate may not
appear on the ballot unless the candidate\'s campaign committee has
disposed of excess funds and excess aggregate contributions as required
\[50\].

According to the Secretary of State, excess aggregate contributions are
calculated by identifying the aggregate contribution made by each
contributor during the period beginning with the start of the
candidate\'s primary election period through the petition filing
deadline. If the contributor\'s aggregate contribution exceeds the
applicable contribution limit, the excess amount is that contributor\'s
excess aggregate contribution \[51\].

According to the Secretary of State, excess funds are calculated by
adding together all allowable aggregate contributions (i.e., the lesser
of the aggregate contribution or the applicable contribution limit) and
the appropriate carry‑in amount. The carry‑in amounts are \$35,000 for
state representative and state board of education candidates, \$100,000
for state senator candidates, and \$250,000 for statewide office
candidates. The sum of the allowable aggregate contributions and the
carry‑in amount is the com­mittee\'s permitted funds. Excess funds are
the amount, if any, by which the sum of all cash on hand and the assets
worth more than \$500 that will be consumed or depleted during the
campaign and are available to the candidate on the petition filing
deadline exceed the amount of permitted funds \[52\].

A campaign committee may dispose of an excess amount by giving the
amount to (1) the state treasurer for deposit into the state treasury to
the credit of the Ohio Elections Commission fund, (2) individuals who
made contributions to that campaign committee as a refund of all or part
of their contributions, or (3) a corporation exempt from federal income
taxation \[53\].

The campaign committee of each candidate required to dispose of excess
amounts must file a report on a form prescribed by the Secretary of
State with the official or board with which the candidate files
statements of contributions and expenditures by the 7th day following
the filing deadline for the office sought \[54\].

**V. Solicitation of Employees and Labor Organization Members.** An
employer or labor organization that directly or through another person
solicits an employee of the employer or a member of the labor
organization for a contribution to a candidate, campaign committee,
political action committee, legislative campaign fund, or political
party must inform the employee or member at the time of the solicitation
that making a contribution is voluntary and that a decision of the
employee to make a contribution or not to make a contribution will not
benefit the employee or member or placer the employee or member at an
disadvantage with respect to his or her employment by the employer or
his or her membership in the labor organization \[55\].

**W. Transfer of Funds From a Federal Campaign Committee to a State
Campaign Committee of a Candidate.** A person who is a candidate for
state elective office and who previously sought nomination or election
to a federal office may not transfer any funds or assets from the
person\'s federal campaign committee for nomination or elec­tion to the
federal office to the person\'s campaign committee as a candidate for
state elective office, and the person\'s campaign committee may not
accept such funds or assets \[56\].

**X. Solicitation of Contributions From or by Conservation Program
Participants.** No officer or employee of the state, whether elective or
appointive or in the classified or unclassified service, may (1)
solicit, receive, or assist others in soliciting or receiving from any
participant in a conservation program established under Chapter 1553 of
the Revised Code any assessment, subscription, or contribution for any
political party or for any candidate for public office;(2) select,
employ, suspend, lay off, dismiss, or discharge any participant in a
conservation program or promise or threaten to do so or harass,
discipline, or coerce such participant for giving, withholding, or
refusing to support any political party or candidate for public office;
or (3) otherwise use any participant in a conservation program for
political purposes. No participant in a civilian conservation program
may solicit, receive, or assist others in soliciting or receiving any
assessment, subscription, or contribution for any political party or for
any candidate for public office or otherwise use any other program
participant for political purposes \[57\].

**Y. Solicitation of Contributions by Vocational Rehabilitation
Personnel.** No officer or employee of the Rehabilitation Services
Commission or any person engaged in the administration of a vocational
rehabilitation program sponsored or affiliated with the state may
solicit or receive money for a partisan political purpose or require any
other person to contribute any service or money for partisan political
purpose \[58\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure,\" as a general rule,
is the disbursement or use of a contribution for the purpose of (1)
influencing the results of an elec­tion or (2) making a charitable
donation to certain charitable organizations (*see* Section III.D,
*infra*) \[59\].

**B. Expenditures by a Candidate Campaign Committee, Political Action
Committee, Political Party, or Political Contributing Entity.** Prior to
making any expenditure, every campaign committee, political action
committee, legislative campaign fund, political party, or political
contributing entity must appoint a treasurer and file the appointment
with the filing office with which statements of contributions and
expenditures are filed \[60\]. A campaign committee may not make an
expenditure other than through the campaign treasurer \[61\].

**C. Payment for Political Endorsement in Publications.** An owner,
editor, writer, or employee of a newspaper, magazine, or other
publication, whether published regu­larly or irregularly, may not
directly or indirectly solicit, receive, or accept any payment, promise,
or compensation for influencing or attempting to influence votes through
any printing matter except through matter inserted in such publication
as \"paid advertisement\" and so designated \[62\].

**D. Donation to a Charitable Organization.** An expenditure for the
purpose of a charitable donation may be made if it is made to an
organization that is (1) exempt from federal income taxation under
subsection 501(a) and described in subsection 501(c)(3), 501(c)(4),
501(c)(8), 501(c)(10), or 501(c)(19) of the Internal Revenue Code or (2)
is approved by advisory opinion of the Ohio Elections Commission as a
legitimate charitable organization \[63\].

**E. Payments to the Beneficiary of a Campaign Fund for Personal or
Business Use.** No beneficiary of a campaign fund or other person may
convert for personal use and no person may knowingly give to a
beneficiary of a campaign fund or any other person for the
beneficiary\'s or any other person\'s personal use anything of value
from the beneficiary\'s campaign fund, including, without limitation,
payments to a beneficiary for services the beneficiary personally
performs, except as reimbursement for any of the following:

\(1\) Legitimate and verifiable prior campaign expenses incurred by the
beneficiary.

\(2\) Legitimate and verifiable ordinary and necessary prior expenses
incurred by the beneficiary in connection with duties as the holder of a
public office, including, without limitation, expenses incurred through
participation in nonpartisan or bipartisan events where the
participation of the holder of a public office would normally be
expected.

\(3\) Legitimate and verifiable ordinary and necessary prior expenses
incurred by the beneficiary while (a) engaged in activities in support
of or opposition to a candidate other than the beneficiary, a political
party, or a ballot issue; (b) raising funds for a political party,
political action committee, political contributing entity, legislative
campaign fund, campaign commit­tee, or other candidate; (c) participating
in the activities of a political party, political action committee,
political contributing entity, legislative campaign fund, or campaign
committee; or (d) attending a political party convention or other
political meeting \[64\].

An expense is incurred whenever a beneficiary has either made payment or
is obligated to make payment, as by the use of a credit card or other
credit procedure or by the use of goods or services received on account
\[65\].

No beneficiary of a campaign fund may knowingly accept and no person may
knowingly give to the beneficiary of a campaign fund reimbursement for
an allowable ex­pense to the extent that the expense previously was
reimbursed or paid from another source of funds \[66\].

A campaign committee, however, may make a direct advance or post payment
from contributions to vendors for goods and services for which
reimbursement is permitted, except that no campaign committee may pay
its candidate or other beneficiary for services personally performed by
the candidate or other beneficiary \[67\].

A \"campaign fund\" includes money or other property, including
contributions \[68\]. The \"beneficiary of a campaign fund\" is a
candidate, a public official or employee for whose benefit a campaign
fund exists, and any other person who has ever been a candidate or a
public official or employee and for whose benefit a campaign fund exists
\[69\].

**F. Expenditures by Judicial Candidates and Their Campaign
Committees.** A judicial candidate may not expend funds in a judicial
campaign that have been contribut­ed to the candidate to promote his or
her candidacy for a nonjudicial office \[70\].

A judge or judicial candidate may not contribute or expend campaign
funds in support of or in opposition to a candidate for a public office
other than the office to which the judge or judicial candidate is
seeking election \[71\].

The total amount of expenditures made by the campaign committee of a
judicial candidate in the fundraising period allowed by the Code of
Judicial Conduct may not exceed the following:

\(1\) Candidate for chief justice of the supreme court‑‑\$700,000 in a
general election and \$350,000 in a primary election if opposed.

\(2\) Candidate for justice of the supreme court‑‑\$500,000 in a general
election and \$250,000 in a primary election if opposed.

\(3\) Candidate for the court of appeals‑‑\$125,000 in a general
election and \$62,500 in a primary election if opposed.

\(4\) Candidate for the court of common pleas, municipal court, or
county‑‑\$50,000 to \$125,000 in a general election depending on the
population of the territorial jurisdic­tion served by the court and
\$25,000 to \$62,500 in a primary election if opposed depending on the
population of the territorial jurisdiction served by the court \[72\].

**G. Use of Personal Funds by Statewide and General Assembly Candidates
and Relationship to Expenditures.**. A statewide candidate (i.e., joint
candidates for gover­nor/lieutenant governor or candidate for secretary
of state, auditor of state, treasurer of state, attorney general, or
member of the state board of education) or candidate for office of the
general assembly may not make expenditures of personal funds (i.e.
contributions to the candidate\'s campaign committee by the candidate
and designated family members) exceeding the aggregate total of \$500 at
any time during an election period to influence the results of an
election for that candidate\'s nomination or elec­tion to office unless
the personal funds are first deposited into the campaign fund of that
candidate\'s committee \[73\].

If the campaign committee of a candidate for statewide or general
assembly office does not file a required personal funds notice, it may
not expend any personal funds in excess of the threshold amount
requiring the filing of the notice (*see* Section II.S, *supra*) \[74\].

**IV. REPORTING REQUIREMENTS**

**A. Statements of Contributions and Expenditures**

**1. General Provisions.** A campaign committee, political action
committee, legislative campaign fund, political party, and political
contributing entity that made or received a contribution or made an
expenditure in connection with the nomination or election of any
candidate or in connection with any ballot issue or question at any
election held or to be held in the state must file on forms prescribed
by the Secretary of State a full, true, and itemized statement, made
under penalty of election falsification, setting forth in detail the
contributions and expenditures \[75\]. Electronic filing is either
mandatory or permissive depending on the calendar year, the type of
filer, and the amount to be reported \[76\].

A \"candidate,\" in connection with whose nomination or election
contributions and expenditures must be reported, is (1) a qualified
person certified for placement on the official ballot of a primary,
general, or special election; (2) a qualified person who represents
himself or herself to be a write‑in candidate or who knowingly assents
to such representation by another at a primary, general, or special
election; or (3) a person who, at any time prior to or after an election
for the purpose of bringing about his or her nomination or election to
public office, receives contributions or makes expenditures or other use
of contributions, has given consent for another to receive contributions
or make expenditures or other use of contributions, or appoints a
campaign treasurer; however, the term does not include a candidate for
election to the office of member of a political party state or county
central committee, presidential elector, or delegate to a national
convention or conference of a political party \[77\]. The term
\"candidate,\" in the case of two persons who jointly seek the offices
of governor and lieutenant governor, means the pair of candidates
jointly \[78\].

A \"public office\" is any state, county, municipal, township, or
district office, other than an office of a political party, that is
filled by an election and the offices of U.S. senator and congressman
\[79\].

Each statement of contributions and expenditures, which must be signed
by the person completing the statement form, is to contain the following
information:

\(1\) The full name and address of the campaign committee, political
action committee, legislative campaign fund, political party, or
political contributing entity, including its treasurer, filing the
statement and, in the case of a campaign committee, the candidate\'s
full name and address. Political action committees registered with the
Secretary of State must also include their registration number.

\(2\) The date of the election and whether it was or will be a general,
primary, or special election.

\(3\) A statement of contributions received, which must include the
month, day, and year of the contribution; the full name and address of
each person political party, campaign committee, political action
committee, legislative campaign fund, or political contributing entity
from whom a contribution has been received and the political action
committee\'s registration number if the committee is registered with the
Secretary of State; a description of the contribution received, if other
than money; and the value in dollars and cents of the contribution. All
contributors are required to provide their full name and address to the
recipient of the contribution at the time the contribution is made;
however, the requirement of filing the full address does not apply to
any statement filed by a political party state or local committee or its
finance committee or to a committee rec­ognized by a political party
state or local committee as its fundraising auxiliary.

\(4\) A list of each anonymous contribution, the circumstances under
which it was received, and the reason it cannot be attributed to a
specific donor.

\(5\) A statement of expenditures, which must include the month, day,
and year of expenditure; the full name and address of each person,
political party, campaign com­mittee, legislative campaign fund,
political action committee, or political contributing fund to whom the
expenditure was made; the object or purpose for which the expenditure
was made; and the amount of each expenditure. A receipted bill (which
may be a canceled check), stating the purpose of an expenditure, must be
filed with the statement of expenditures for every expenditure over
\$25. Each expenditure for the purpose of a charitable donation to an
approved charitable organization must be itemized separately.

\(6\) The balance in the hands of the campaign committee, political
action committee, legislative campaign fund, political party, or
political contributing entity and the disposition intended to be made of
the balance \[80\].

All contributions and expenditures must be itemized separately
regardless of the amount, except a receipt of a contribution from a
person in the sum of \$25 or less or an in‑kind contribution aggregating
\$250 or less from one contributor at one social or fund‑raising
activity. An account of the total contributions from each such social or
fund‑raising activity must be listed separately, together with the
expenses incurred and paid in connection with the activity.
Contributions that are "other income" (defined as a loan, investment
income, or interest income) must be itemized separately from all other
contributions \[81\]. The net contribution of each social or fundraising
activity is calculated by totaling all contributions to the activity
minus the expenditures made for the activity \[82\].

An expenditure for the purchase of goods or services is to be attributed
to the election when the disbursement of funds is made rather than at
the time the goods or serv­ices are used \[83\].

Whenever any campaign committee, legislative campaign fund, political
action committee, or political contributing entity makes an independent
expenditure in support of or opposition to any candidate or ballot issue
or question, the independent expenditure must be reported and the
candidate or ballot issue or question identified on a statement filed as
part of the statement of contributions and expenditures \[84\].

Statements of contributions and expenditures must be filed no later than
4 p.m. on the dates specified in the following schedule:

\(1\) A pre‑election statement is due on the 12th day before the
election and must reflect the contributions received and expenditures
made from the close of business on the last day reflected in the last
previously filed statement, if any, to the close of business on the 20th
day before the election.

\(2\) A post‑election statement is due on the 38th day after the
election and must reflect the contributions received and expenditures
made from the close of business on the last day reflected in the last
previously filed statement, if any, to the close of business on the 7th
day before the filing of the statement. If a candidate has no activity
before January 1 of the year in which he or she runs and both spends
\$500 or less and receives \$500 or less, only the cover page of the
statement is required to be filed at either the post‑primary or
post‑general election filing deadline instead of a complete report. If
the candidate lost the primary, he or she must also terminate to qualify
to file a \"cover page only\" post‑primary report.

\(3\) A monthly statement of only the contributions received during each
of the months of July, August, and September in the year of the general
election in which a candidate seeks office must be filed only by the
campaign committee of a statewide candidate. Expenditures made during
the same time period must be reflected in the next pre‑general election
or post‑general election report, whichever is required to be filed
first. The monthly statement is due no later than three business days
after the last day of the month covered by the statement. The
contributions reflected within these report should not appear again in
any subsequent reports.

\(4\) An annual statement is due on the last business day of January of
every year and must reflect the contributions received and expenditures
made from the close of business on the last day reflected in the
previously filed statement, if any, to the close of business on the last
day of December of the previous year. The annual statement is not
required (1) in any year in which a campaign committee, political action
committee, or political party is required to file a
post‑general‑election statement, although an annual statement may be
filed or (2) if the campaign committee, political action committee, or
political party received no contributions or made no expenditures since
the last date reflected in its last previously filed statement, although
it must file a statement to that effect on the prescribed form.

\(5\) For the period from the 19th day before the general election
through general election day, a two‑business‑day statement must be filed
not later than two business days after receipt of a contribution each
time a campaign committee of any statewide candidate receives a
contribution that causes the aggregate amount of contributions from a
contributor to exceed \$2,500 during the general election period and
each time a campaign committee of a candidate for chief justice or
justice of the supreme court re­ceives a contribution that causes the
aggregate amount of contributions from a contributor to exceed \$500
during the general election.

\(6\) During the period from the 19th day before a primary election in
which a candidate for statewide office seeks nomination through primary
election day, each time the campaign committee of a statewide office
candidate who has filed a personal funds notice or declaration of no
limits receives a contribution from a contributor that causes the
aggregate amount of contributions received from that contributor to
exceed \$2,500, the campaign committee must file a two‑business‑day
statement reflecting that con­tribution. Contributions reported on a
two‑business‑day statement also are to be included in the post‑primary
election report required to be filed by that campaign commit­tee \[85\].

A statement that is found to be incomplete or inaccurate by the officer
to whom it is submitted must be accepted on a conditional basis, and the
person who filed it must be notified by certified mail as to the
incomplete or inaccurate nature of the statement. The recipient then
must file an addendum to the statement providing the informa­tion
necessary to complete or correct the statement within 21 days after
receipt of notice in the case of a pre‑election statement, post‑election
statement, monthly statement, or annual statement \[86\].

Campaign committees of candidates for statewide offices or the state
board of education; political action committees or political
contributing entities that make contributions to the campaign committees
of candidates that must file the statements of contributions and
expenditures with the Secretary of State; political action committees or
political contributing entities that make contributions to campaign
committees of candidates for member of the general assembly; political
action committees or political contributing entities that make
contributions to state and national political parties and to legislative
campaign funds; political action committees or political contributing
entities that receive contributions or make expenditures in connection
with a statewide ballot issue; political action committees or political
contributing entities that make contributions to other political action
committees or political contributing entities, political parties, and
campaign committees, except as set forth below; legislative campaign
funds; and state and national political parties file the required
statements with the Secretary of State \[87\].

Campaign committees of candidates for all other offices file the
statements with the board of elections where their candidates are
required to file their petitions or other papers for nomination or
election \[88\].

The campaign committee of a judicial candidate who is elected to the
supreme court, court of common pleas, municipal court, or county court
must file a copy of all re­quired contribution and expenditure statements
with the clerk of the court. The campaign committee of a judicial
candidate who is elected to the court of appeals must file a copy of all
required contribution and expenditure statements with the clerk of court
of each county in the appellate district. The statements must be filed
with the clerk within 10 days after the judicial candidate's term of
office begins \[89\].

Political action committees or political contributing committees that
only (1) contribute to a county political party, (2) contribute to
campaign committees of candidates whose nomination or election is to be
submitted only to electors within a county, subdivision, or district,
excluding candidates for member of the general assembly, or (3) receive
contributions or make expen­ditures in connection with ballot questions
or issues to be submitted only to electors within a county, subdivision,
or district file the statements with the board of elections in that
county or in the county contained in whole or part within the
subdivision or district having a population greater than that of any
other county contained in whole or part within that subdivision or
district, as the case may be \[90\].

County political parties file with their county board of elections
\[91\].

**2. Candidate Campaign Committee.** A campaign committee of a candidate
for nomination or election may required to file a pre‑election and
post‑election statement of contributions and expenditures and is
required to file a post-election statement of contributions and
expenditures in connection with the nomination or election of the
committee\'s candidate \[92\]. A \"campaign committee\" is considered to
be a candidate or combination of two or more persons authorized by a
candidate to receive contributions and make expen­ditures \[93\].

A pre‑election statement is not required of any campaign committee that
has received contributions and made expenditures of less than \$1,000 at
the close of business on the 20th day before the election. The
contributions and expenditures then are reported in the post‑election
statement; however, if the campaign committee has spent \$500 or less
and received \$500 or less in the combined pre‑ and post‑election
periods, a cover page only may be filed. If a person becomes a candidate
less than 20 days before an election, his or her campaign committee is
not required to file the pre‑election statement \[94\].

If an election to select candidates to appear on the general election
ballot is held within 60 days before a general election, the campaign
committee of a successful can­didate in the earlier election may file the
pre‑election statement for the general election instead of the
post‑election statement required for the earlier election if the
pre‑general‑election statement reflects the status of contributions and
expenditures for the period 20 days before the earlier election to 20
days before the general election \[95\].

In addition to filing a designation of appointment of a treasurer, the
campaign committee of a candidate for an elected municipal office paying
\$5,000 or less annually, a candidate for member of a board of education
(except the state board of education), or a candidate for township
trustee or clerk may sign a certificate attesting that the commit­tee
will not accept contributions during an entire election period that
exceed \$2,000 in the aggregate from all contributors or \$100 from any
one individual (including the candidate) and that the campaign committee
will not make expenditures during an election period that exceed \$2,000
in the aggregate. A committee that files this certificate (known as a
local candidate waiver) is not required to file the periodic statements
of contributions and expenditures; however, if the committee exceeds any
of the reporting‑exemption limits during an election period, the
certificate is void and the committee must file the required statements
of contributions and expenditures. An "election period" has a different
meaning here than how that term is used in regard to contribution
limitations \[96\].

The campaign committee of any person who attempts to become a candidate
and, for any reason, does not become certified in accordance with the
election code for placement on the official ballot at a primary,
general, or special election to be held in the state and who at any time
prior to or after an election receives contributions or makes
expenditures or has given consent for another to receive contributions
or make expenditures for the purpose of bringing about the person\'s
nomination or election to public office must file all required
statements, including a termination statement, if applicable. This
requirement does not apply to any person with respect to an election to
the offices of member of a political party county or state central
committee, presidential elector, or delegate to a national convention or
conference of a political party \[97\].

The personal expenses of a candidate paid for by the candidate from his
or her personal funds are not considered to be a contribution or an
expenditure by the candidate and are not required to be reported \[98\].
\"Personal expenses\" include but are not limited to ordinary expenses
for accommodations, clothing, food, personal motor vehicle or airplane,
and home telephone \[99\]. The expenses of maintaining a constituent
office paid for from personal funds by a candidate who is a member of
the general assem­bly at the time of the election are not considered to
be a contribution by or an expenditure by or on behalf of the candidate
and are not to be reported if the constituent office is not used for any
candidate\'s campaign activities \[100\].

An expenditure by a continuing association, political contributing
entity, or political party is not considered to be a contribution to any
campaign committee or an expenditure by or on behalf of any campaign
committee if the purpose of the expenditure is for the staffing and
maintenance of the continuing association\'s, political contributing
entity's, or political party\'s headquarters or for a political poll,
survey, index, or other type of measurement that is not on behalf of a
specific candidate \[101\]. An expenditure by a political action
committee or political contributing entity is not considered to be a
contribution by the committee or entity or an expenditure by or on
behalf of the candidate if the purpose of the expenditure is to inform
only its members by means of mailed publications or other direct
communication of its activities or endorsements \[102\].

Each statement of a campaign committee of a candidate who holds public
office is required to contain a designation of each contributor who is
an employee in any unit or department under the candidate\'s direct
supervision and control. In the space provided in the statement, the
person filing the statement must affirm that each such contri­bution was
voluntarily made \[103\].

**3. Political Action Committee or Political Contributing Entity.** A
political action committee and a political contributing entity must file
the required statements of contributions and expenditures \[104\].

A \"political action committee\" is a combination of two or more
persons, excluding a political party, legislative campaign fund,
campaign committee, or political contributing entity, whose primary or
incidental purpose is to support or oppose any candidate, political
party, or ballot issue or to influence the result of any election and
includes a continuing association that makes a political contribution
\[105\].

A \"continuing association\" is an association, other than a campaign
committee, political party, legislative campaign fund, political
contributing entity, or labor organization, that is intended to be a
permanent organization, has a primary purpose other than supporting or
opposing specific candidates, political parties, or ballot issues, and
functions on a regular basis throughout the year \[106\].

A "political contributing entity" is any entity, including a corporation
or labor organization, that may lawfully make contributions and
expenditures and that is not an individual or political action
committee, continuing association, campaign committee, political party,
legislative campaign fund, designated state campaign committee, or state
candidate fund. "Lawfully" means not prohibited by an provision of Ohio
law or authorized by a final judgment of a court of competent
jurisdiction \[107\].

A pre‑election statement is not required of any political action
committee or political contributing entity that has received
contributions and made expenditures of less than \$1,000 at the close of
busi­ness on the 20th day before the election. The contributions and
expenditures thus are reported in the post‑election statement \[108\].

An expenditure by a political action committee or political contributing
entity is not considered to be a contribution by the committee or entity
if the purpose of the expenditure is to inform only its members by
mailed publications or other direct communication of its activities or
endorsements \[109\]. An expenditure by a continuing association is not
considered to be a contribution to a campaign committee if the
expenditure is for the staffing and maintenance of the association\'s
headquarters or for a political poll, survey, index, or other type of
meas­urement not on behalf of a specific candidate \[110\].

A political action committee sponsored by a corporation or labor
organization (1) must itemize the amounts and purposes of the costs
expended by the corporation that are associated with establishing,
administering, and soliciting contributions to the committee and are
required to be reported to the committee by the corporation or labor
organization and (2) must file them as part of the committee\'s report
\[111\].

**4. Political Party or Legislative Campaign Fund.** A political party
or legislative campaign fund must file the required statements of
contributions and expenditures \[112\].

A \"political party\" is any group of voters that (1) at the most recent
regular state election polled for its candidate for governor in the
state or nominees for presidential electors at least 5% of the entire
vote cast for such office or (2) filed with the Secretary of State
subsequent to any election in which it received less than 5% of such
vote a petition signed by qualified electors equal in number to at least
1% of the total vote for governor or nominees for presidential electors
at the most recent election, declar­ing their intention to organize a
political party and to participate in the next succeeding primary
election held in an even‑numbered year that occurs more than 120 days
after the date of filing \[113\].

A \"legislative campaign fund\" is a fund that is established as an
auxiliary of a state political party and associated with one of the
houses of the general assembly \[114\].

A pre‑election statement is not required of any political party or
legislative campaign fund that has received contributions and made
expenditures of less than \$1,000 at the close of business on the 20th
day before the election. The contributions and expenditures then are
reported in the post‑election statement \[115\].

An expenditure by a political party is not a contribution by the party
if the expenditure is for the staffing and maintenance of the political
party\'s headquarters or for a political poll, survey, index, or other
type of measurement that is not on behalf of a specific candidate
\[116\]. An expenditure by a political party is not considered to be a
contribution by the party or an expenditure by or on behalf of the
candidate if the purpose of the expenditure is to inform predominantly
the party\'s members by means of mailed publications or other direct
communication of its activities or endorsements or for voter contact
such as sample ballots, absent voter\'s ballots application mailings,
voter registration, or get‑out‑the‑vote activities \[117\].

The requirement for filing the full address of each person, political
party, campaign committee, legislative campaign fund, political action
committee, or political contributing committee from whom con­tributions
have been received does not apply to a statement filed by a state or
local committee of a political party, a finance committee of such party
committee, or a com­mittee recognized by a state or local committee as
its fundraising auxiliary \[118\].

**B. Statement of No Contributions and Expenditures by a Campaign
Committee.** A campaign committee that did not receive contributions or
make expenditures in connection with the nomination or election of a
candidate must file a statement to that effect on the prescribed form on
the date required for submission of a post‑election statement (38th day
after an election) \[119\].

A campaign committee, political committee, political party, or political
contributing entity may elect not to file an annual statement of
contributions and expenditures in the event it received no con­tributions
or made no expenditures since the last date reflected in its last
previously filed statement. It must, however, file a statement to that
effect on the prescribed form \[120\].

**C. Appointment of a Treasurer**

**1. General Provisions.** Every campaign committee, political action
committee, legislative campaign fund, political party, and political
contributing entity must appoint a treasurer and file, on the form
prescribed by the Secretary of State, a designation of the appointment,
including the full name and address of the treasurer and the appointing
body. The designation is filed with the official with whom the
appointing body is required to file statements of contributions and
expenditures. The treasurer must keep a strict account of all
contri­butions, from whom received, and the purpose for which they were
disbursed. Every expenditure in excess of \$25 must be vouched for by a
receipted bill filed with the statement stating the purpose of the
expenditures. A canceled check with a notation of the purpose of the
expenditure is considered to be a receipted bill \[121\].

**2. Candidate Campaign Committee.** A candidate may not have more than
one campaign committee at any given time for all of the offices for
which he or she is a candidate or holds office to receive contributions
and make expenditures. The campaign committee must include at least the
last name of the committee\'s candidate. The campaign committee may not
receive any contribution or make any expenditure other than through the
designated campaign treasurer \[122\].

A candidate must designate himself or herself or a member of the
candidate\'s campaign committee as his or her campaign treasurer prior
to the receipt of any contribu­tion or the making of any expenditure. It
is the responsibility of the campaign treasurer to receive
contributions, make expenditures, and file the required statements of
contributions and expenditures for the campaign committee \[123\].

The campaign treasurer may appoint deputy campaign treasurers as
required. Deputy campaign treasurers may exercise any of the powers and
duties of a campaign treasurer when specifically authorized to do so by
the campaign treasurer or the candidate \[124\].

A candidate must file the required written designation appointing a
campaign treasurer and setting forth the full name and address of the
campaign treasurer and each deputy treasurer. A candidate must also file
supplemental statements giving the full name and address of each deputy
treasurer at the time of appointment \[125\].

A candidate may remove the campaign treasurer or any deputy campaign
treasurer at any time. In the case of death, resignation, or removal of
the treasurer or deputy treasurer before compliance with all obligations
of a campaign treasurer, the candidate must fill the vacancy thus
created in the same manner as provided in the case of an original
appointment \[126\].

**3. Legislative Campaign Fund.** Each state political party must have
only one legislative campaign fund for each house of the general
assembly. Each fund is to be separate from any other funds or accounts
of the state party. A legislative campaign fund is authorized to receive
contributions and to make expenditures for the primary purpose of
furthering the election of candidates who are members of that political
party to the house of the general assembly with which that fund is
associated. Each fund is administered and controlled in a manner
designated by the caucus for the particular house and political party
\[127\].

**D. Report of Expenditures by a Corporation or Labor Organization to
Its Political Action Committee.** Any corporation or labor organization
must report to a political action committee or separate segregated fund
with respect to state and local elections the following costs expended
by the corporation that are associated with establishing, administering,
and soliciting contributions to the corporate political action committee
or separate segregated fund:

\(1\) Mailing and printing expenses for direct solicitation of
contributions from employees.

\(2\) The portion of an employee\'s salary or wages attributable to time
the employee spends in activities related to establishing,
administering, or soliciting contributions to a political action
committee or separate segregated fund if during a reporting period such
time exceeds 50% of the time for which the employee is compensated by
the corporation or labor organization.

\(3\) The cost associated with the purchase, lease, operation, and use
of equipment for activities related to establishing, administering, and
soliciting contributions to a political action committee or separate
segregated fund if during a reporting period more than 50% of the use of
the equipment is for such activities.

\(4\) Professional fees paid by the corporation or labor organization
for establishing, administering, and soliciting contributions to a
political action committee or separate segregated fund \[128\].

A \"labor organization\" is a labor union; an employee organization; a
federation of labor unions, groups, locals, or other employee
organizations; an auxiliary of a labor union, employee organization, or
federation of labor unions, groups, locals, or other employee
organizations; or any other bona fide organization in which employees
partic­ipate and that exists for the purpose, in whole or in part, of
dealing with employers concerning grievances, labor disputes, wages,
hours, and other terms and conditions of employment \[129\].

**E. Federal and State Campaign Finance Reports of a Separate Segregated
Fund.** A separate segregated fund is required to file with the
Secretary of State a copy of the portion of each report and statement
required under the Federal Election Campaign Act of 1971, as amended,
that applies to state and local elections at the same time that the
entire original report is filed in accordance with the federal act
\[130\].

When, during any calendar year, a federal political committee makes a
contribution from its federal account in connection with a state or
local election in Ohio to a state or local political action committee
and the federal political committee and state or local political action
committee are established, financed, maintained, or controlled by the
same corporation, organization, continuing association, or other person,
including any parent, subsidiary, division, department, or unit of that
corporation, organization, continuing association, or other person, the
federal political committee must file a statement with the Secretary of
State no later than the last business day of January of the next
calendar year. The statement must be on a form prescribed by the
Secretary of State and include a list of names and addresses of
contributors who are residents of Ohio and who made contributions to the
federal political committee during the calendar year covered by the
statement and, for each name listed, the aggregate total amount
contributed by each contributor during the reporting period \[131\].

**F. Corporation or Labor Organization Report of Contributions
Concerning Ballot Issues.** A corporation or labor organization must
report on a form prescribed by the Secretary of State the use of its
funds or property for or in aid of or opposition to a proposed or
certified ballot issue. Reports of contributions in connection with
state­wide ballot issues are filed with the Secretary of State, while
reports of contributions in connection with local issues are filed with
the board of elections of the most populous county of the district in
which the issue is submitted or is to be submitted to the voters
\[132\].

Reports must be filed according to the following schedule:

\(1\) A pre‑election report is due on the 12th day before the election
and must reflect the contributions received and expenditures made from
the close of business on the last day reflected in the last previously
filed report, if any, to the close of business on the 20th day before
the election.

\(2\) A post‑election report is due on the 38th day after the election
and must reflect the contributions received and expenditures made from
the close of business on the last day reflected in the last previously
filed report, if any, to the close of business on the 7th day before the
filing of the report \[133\].

**G. Statement of Consideration for the Circulation of an Initiative or
Referendum Petition.** The circulator or committee in charge of an
initiative or referendum peti­tion or a supplementary petition for
additional signatures for the submission of a constitutional amendment,
proposed law, section, or item of any law must file, within 30 days
after the petition papers are filed, with the Secretary of State on a
form prescribed by the Secretary of State an itemized statement showing
the following information in detail:

\(1\) All money or things of value paid, given, or promised for
circulating such petitions.

\(2\) All appointments, promotions, or increases in salary in positions
that were given or promised or to obtain which assistance was given or
promised as a consideration for work done in circulating petitions.

\(3\) Full names and addresses, including street, city, and state, of
all persons to whom the payments or promises were made.

\(4\) Full names and addresses, including street, city, and state, of
all persons who contributed anything of value to be used in circulating
the petitions.

\(5\) Time spent and salaries earned while soliciting signatures to
petitions by persons who were regular salaried employees of some person
or whom the employer author­ized to solicit as part of their regular
duties.

If no money or things of value were paid or if no promises were made or
received as a consideration for work done in circulating the petition,
the statement is to contain words to that effect \[134\].

**H. Candidate Personal Financial Statement.** Unless exempted, person
who is a candidate for a state, county, or city office, the office of
member of the United States congress, or the office of member of a
designated local board of education, every person who is appointed to
fill a vacancy for an unexpired term in such an elective office, and
other specified persons must file with the appropriate ethics commission
a personal financial statement disclosing, for example, sources of
income received during the preceding year, corporations in which the
candidate or other person for the candidate\'s use and benefit had an
investment of over \$1,000 during the preceding calendar year, persons
whom the candidate owes or who owe the candidate more than \$1,000, and
sources of gifts over \$75 (\$25 for a member of the general assembly if
received from a legislative agent) \[135\].

The following persons are not required to file the financial disclosure
statement: a person elected or appointed to the office of precinct,
ward, or district committee member, a presidential elector, a delegate
to a national convention, village or township officials and employees,
and other specified persons\[136\].

A candidate for elective office must file the statement, accompanied by
the applicable filing fee, if any, no later than the 30th day before the
primary, special, or general election at which the candidacy is to be
voted on, whichever election occurs sooner; however, a write‑in
candidate must file his or her statement no later than the 20th day
before the earliest election at which his or her candidacy is to be
voted on. A person who holds elective office, unless the person is a
candidate, must file by April 15^th^. A filing fee is imposed \[137\].

**I. Judicial Candidate Campaign Activities and Reports.** A candidate
for judicial office may establish a committee to secure and manage the
expenditure of funds for his or her campaign. Each candidate may have no
more than one campaign committee for purposes of receiving contributions
and making expenditures. No campaign committee may receive any
contributions or make any expen­ditures other than through the campaign
treasurer. The campaign treasurer must file all statements required of a
candidate or campaign committee \[138\].

Each judicial candidate must file not later than the date he or she
becomes a candidate a written statement setting forth the full name and
address of the campaign treas­urer with the clerk of the court in which
the candidate seeks nomination or election to judicial office. In
judicial districts having more than one county, the statement must be
filed with the clerk of the court of the most populous county of the
district. If the office of campaign treasurer becomes vacant, the
judicial candidate is required to promptly appoint a successor campaign
treasurer and file a statement concerning the appointment with the
appropriate clerk of the court \[139\].

The personal expenses of a judicial candidate paid for by the candidate
from the candidate\'s personal funds are not to be considered as a
contribution or expenditure by the candidate for the candidate\'s own
campaign \[140\].

**J. Affidavit of No Political Contributions by Corporation or Public
Utility.** Every corporation and public utility required by law to make
returns, statements, or reports to the State Tax Commissioner must file
with the commissioner an affidavit subscribed and sworn to by a person
or officer having knowledge of the facts setting forth that the
corporation or public utility has not during the preceding year, except
as permitted by law for its corporate political action committee or
separate segregated fund, for corporate support in aid of or in
opposition to a ballot issue, or for voluntary employee deductions for
political support, directly or indirectly, paid, used, or offered,
con­sented, or agreed to pay or use any of its money or property (1) for
or in aid of or opposition to any political party, (2) for or in aid of
any candidate for nomination or elec­tion to public office, (3) for or in
aid of any legislative campaign fund or political action committee (or
legislative campaign fund or organization in the case of a pubic
utili­ty) that supports or opposes any such candidate, (4) for any
partisan political purpose whatever, or (5) for the reimbursement or
indemnification of any person for money or property so used. The
affidavit must be attached to or made a part of the return, statement,
or report required to made by the corporation or public utility \[141\].

**K. Individual, Partnership, and Other Entity Statement of Independent
Expenditures.** Whenever any individual, partnership, or other entity,
except a corporation, labor organization, campaign committee,
legislative campaign fund, political action committee, political
contributing entity or political party makes one or more independent
expenditures in support of or opposition to any candidate or one or more
independent expenditures in excess of \$100 in support of or opposition
to any ballot issue or question, a statement must be filed with the
appropriate filing office itemizing all independent expenditures made.
The statement must be filed with the Secretary of State in the case of a
statewide can­didate or with the board of elections in the county in
which the candidate files petitions for nomination or election for
district or local office not later than the 12th day before an election,
the 38th day after an election, and annually by the last business day of
January and itemize all independent expenditures made during the period
since the close of business on the last day reflected in the last
previously filed statement, if any \[142\].

**L. Declaration of Filing‑Day Finances by Statewide and General
Assembly Office Candidates.** Beginning in calendar year 1998, each
campaign committee of a can­didate who has filed a declaration of
candidacy or a nominating petition for a statewide or general assembly
office must also file a declaration of filing‑day finances not later
than 7 days after the filing deadline for the office sought with the
office where statements of contributions and expenditures are filed
\[143\].

A declaration of filing‑day finances must list (1) the amount of cash on
hand in the candidate\'s campaign fund on the date of the filing
deadline for the office sought, (2) the value and description of
campaign assets worth \$500 or more available to the candidate on the
date of the filing, (3) the total of all aggregate contributions, (4)
the total of all allowable aggregate contributions, (5) the total of all
excess aggregate contributions, (6) for each contributor, if any, for
whom there is an excess aggregate contribu­tion, the name, address,
aggregate contribution, and excess aggregate contribution, and (7) the
applicable carry‑in limit, if any \[144\].

A campaign committee of a candidate is not required to file a
declaration of filing‑day finances if (1) the campaign committee has not
accepted any aggregate contribution greater than the applicable limit,
(2) the campaign committee has less than the carry‑in amount in cash on
hand (*see* Section II.T, *supra*) at the beginning of the pre‑filing
period, if applicable, and (3) the candidate files a declaration with
the office where statements of contributions and expenditures are filed
not later than 7 days after the filing deadline for the office that
candidate is seeking, stating that the candidate\'s campaign committee
has not accepted aggregate contributions greater than the applicable
limit and has less than the carry‑in amount in cash on hand \[145\].

**M. Declaration of Primary‑Day or Year‑End Finances by Personal‑Funds
and No‑Limits Candidates for Statewide or General Assembly Office.**
When the campaign committee of a candidate for statewide office or the
general assembly files a personal funds notice or a declaration of no
limits, the campaign committee of each such can­didate must file in the
case of a primary election period a declaration of primary‑day finances
not later than 14 days after the primary election day or in the case of
a general election a declaration of year‑end finances not later than the
last business day of January of the next calendar year immediately
following the general election day \[146\].

The declaration of primary‑day finances and declaration of year‑end
finances must be filed on a form prescribed by the Secretary of State
and list the following:

\(1\) The amount of net cash on hand in the candidate\'s campaign
committee fund at the end of the day on which the primary election was
held or cash on hand on December 31st immediately following the day on
which the general election was held, whichever is appropriate.

\(2\) In the case of a declaration of primary‑day finances, any debt or
other obligation incurred by the committee during the primary election
period and related to the primary election of the campaign committee\'s
candidate.

\(3\) The value and description of all campaign assets worth \$500 or
more available to the candidate at the end of the day on which the
primary election was held or on December 31st immediately following the
day on which the general election was held.

\(4\) The total of all aggregate contributions received by the
candidate\'s campaign committee during the primary or general election
period.

\(5\) The total of all allowable aggregate contributions received by the
candidate\'s campaign committee during the primary or general election
period, whichever is appli­cable. The allowable aggregate contribution of
each contributor is calculated as if the applicable contribution
limitations were in effect.

\(6\) A description of all excess funds and aggregate contributions
disposed of by the candidate\'s campaign committee for that election
\[147\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Establishment of Political Party Fund.** The Ohio political party
fund exists in the state treasury. All moneys received as a result of
individuals exercising the checkoff option on their state income tax
returns are deposited in this fund for allocation to qualifying
political parties \[148\].

**B. Allocation of Moneys in the Fund.** Only major political parties
are eligible to apply for and receive public moneys from the Ohio
political party fund \[149\]. A \"major political party\" is a political
party organized under the laws of the state whose candidate for governor
or nominees for presidential electors received no less than 20% of the
total vote cast for such office at the last preceding regular state
election \[150\].

At the end of each even‑numbered calendar year, the Secretary of State
is to announce the names of all major political parties, indicating that
they may apply to the State Tax Commissioner to receive such moneys
during the ensuing two years. Application for the moneys must be made on
a form prescribed by the State Tax Commissioner no later than the last
day of January of the odd‑numbered year following the announcement of
the party\'s qualification for the funding. If a political party fails
to make a timely application, it is not eligible to receive public
moneys during the 2‑year period \[151\].

Public moneys in the Ohio political party fund are provided during the
appropriate 2‑year period to each major political party that makes a
timely application. At the beginning of each calendar quarter, the State
Tax Commissioner divides equally among all qualified political parties
the moneys that have accrued in the Ohio political party fund during the
previous quarter as follows:

\(1\) One‑half is paid to the treasurer of the state executive committee
of the political party.

\(2\) One‑half is distributed to the treasurer of each county executive
committee of the various counties in accordance with the ratio that the
number of checkoffs in each county bears to the total number of
checkoffs as determined by the State Tax Commissioner \[152\].

**C. Use of Fund Monies**. A political party receiving moneys from the
Ohio political party fund may expend the moneys only for the following
purposes:

\(1\) Defraying of operating and maintenance costs associated with
political party headquarters, including rental or leasing costs, staff
salaries, office equipment and sup­plies, postage, and the purchase,
lease, or maintenance of computer hardware and software.

\(2\) Organization of voter registration programs and get‑out‑the‑vote
campaigns and the costs associated with voter registration and
get‑out‑the‑vote activities, including but not limited to rental costs
for booth spaces at fairs, festivals, or similar events if voter
registration forms are available at those booths, printing costs for
registration forms, mailing costs for communications soliciting voter
registration, and payments for the services of persons conducting voter
registration and get‑out‑the‑vote activities.

\(3\) Administration of party fundraising drives.

\(4\) Paid advertisements in the electronic or printed media sponsored
jointly by two or more qualified political parties to publicize the Ohio
political party fund and to encourage taxpayers to support the income
tax checkoff program.

\(5\) Direct mail campaigns or other communications with the registered
voters of a party that are not related to any particular candidate or
election.

\(6\) Preparation of reports required by law \[153\].

Moneys from the fund may *not* be used for any of the following
purposes:

\(1\) To further the election or defeat of any particular candidate or
to influence directly the outcome of any candidate or issue election.

\(2\) To pay party debts incurred as a result of any election.

\(3\) To make a payment clearly in excess of the market value of that
which is received for the payment \[154\].

The Ohio Elections Commission will provide an advisory opinion to the
designated agent of a political party that receives moneys from the Ohio
political party fund upon a request made before a party expenditure of
public moneys if there is a question about the legitimacy of the
expenditure \[155\].

**D. Accountability for and Reporting of the Disposition of Fund
Monies.** Each political party treasurer who receives public moneys from
the political party fund must maintain the moneys in an account separate
from all other assets of the political party \[156\].

The party treasurer is required to file statements of contributions and
expenditures as required when contributions are received or expenditures
are made. The state­ments must clearly indicate the amounts of public
moneys received and the manner of their expenditure. The statements are
filed with the Secretary of State by the treasur­er of a state executive
committee and with the appropriate local board of elections by the
treasurer of a county executive committee \[157\].

**VI. TAX PROVISIONS**

**A. Taxpayer Designation on Income Tax Return.** An individual whose
income tax liability for a tax year is \$1 or more may designate that
\$1 be paid into the Ohio politi­cal party fund to be divided among
qualifying political parties. If a husband and wife who file a joint
income tax return have a tax liability of \$2 or more, each spouse may
designate that \$1 be paid into the fund \[158\].

The State Tax Commissioner is required to provide on the face of the
individual income tax return form a place where a taxpayer may make the
checkoff designation. The form must include language informing the
taxpayer of the purpose of the designation and indicating that a
designation will not increase or decrease the taxpayer\'s tax liabili­ty
\[159\].

**B. Income Tax Credit.** A nonrefundable credit against income tax is
allowed for contributions of money made to the campaign committee of
candidates for governor, lieutenant governor, secretary of state,
auditor of state, treasurer of state, attorney general, member of the
state board of education, chief justice of the supreme court, jus­tice of
the supreme court, or member of the general assembly. The amount of the
credit for a taxable year is the lesser of the total contributions made
during the year by each taxpayer filing a return or \$50 in the case of
an individual return or \$100 in the case of a joint return \[160\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Statement of Termination of a Campaign Committee or Political
Action Committee.** If a campaign committee or political action
committee has no balance on hand and no outstanding obligations and
desires to terminate itself, it must file a statement to that effect on
the prescribed form with the official with whom it files statements of
contributions and expenditures; however, the committee first must file a
final statement of contributions and expenditures if contributions have
been received or expen­ditures made since the period reflected in the
last previously filed statement \[161\].

**B. Disposition of Excess Funds by a Legislative Campaign Fund.** A
legislative campaign fund that has kept a total amount of contributions
exceeding \$150,000 at the close of business on the 7th day before the
post‑general election statement of contributions and expenditures
required to be filed must dispose of the excess amount not later than 90
days after the date the post‑general election statement is due by either
giving the amount to (1) the treasurer of the state for deposit into the
state treasury to the credit of the Ohio Elections Commission fund, (2)
individuals who made contributions to that fund as a refund of all or
part of their contributions, or (3) a 501(c) tax‑exempt corporation. A
statement concerning the excess contributions and their disposition must
be filed on the 90th day after the deadline for the post‑general
election statement \[162\].

**C. Disposition of Excess Funds by Personal‑Funds or No‑Limits
Candidates for Statewide or General Assembly Office.** The campaign
committee of any candidate who has filed a declaration of no limits and
to which the applicable contribution limitations no longer apply during
a primary election or general election period must dispose of any excess
funds not later than 14 days after the day on which the primary election
or not later than December 31st after general election day, whichever is
applicable \[163\].

The campaign committee of any candidate that has filed a personal funds
notice must do one of the following at the end of the primary election
period:

\(1\) Return that portion of the personal funds remaining in the
candidate\'s campaign committee fund at the end of the primary election
period that is excess funds not later than 14 days after the primary
election day.

\(2\) Retain the personal funds remaining in the candidate\'s campaign
committee fund at the end of the primary election period and file a
statement with the Secretary of State declaring that the campaign
committee will retain those remaining personal funds in the committee\'s
campaign fund and indicating the amount of remaining personal funds that
would be characterized as excess funds \[164\].

The campaign committee of any candidate that has expended personal funds
in excess of the threshold amounts above which a personal funds notice
is required must either dispose of any excess funds not later than 14
days after primary election day or December 31st after the general
election day, whichever is applicable, or choose to retain personal
funds and file a statement with the Secretary of State. The calculation
of excess funds is made in the same manner that a campaign committee for
a no‑limits candidate is required to dispose of excess funds, depending
on the applicable election period \[165\].

The campaign committee of a candidate is not required to dispose of
excess funds or excess aggregate contributions if the campaign committee
(1) has not accepted any aggregate contributions greater than the
applicable amount and (2) files on a form prescribed by the Secretary of
State with the office where statements of contributions and expenditures
are filed a statement that the committee has not accepted aggregate
contributions greater than the applicable amount \[166\].

\"Excess funds\" are the amount by which the sum of the campaign
committee\'s cash on hand on the date specified in the declaration of
primary‑day finances or declaration of year‑end finances and total
reported campaign assets exceeds permitted funds \[167\].

Any campaign committee that is required to dispose of excess funds or
excess aggregate contributions must dispose of the excess amounts in the
same manner as excess amounts are required to be disposed before the
candidacy‑petition filing deadline (*see* Section II.T, *supra*)
\[168\].

Any candidate who knowingly fails to dispose of excess funds or excess
aggregate contributions as required, except a candidate whose campaign
committee has been given a letter of substantial compliance, may not
appear on the ballot \[169\].

**VIII. OFFENSES AND PENALTIES**

**A. Enforcement Procedure.** The Secretary of State or the local board
of elections, as appropriate, must examine all statements of
contributions and expenditures for compliance with the statutory
requirements, but the Secretary of State may contract for the
examination of statements filed by statewide candidates \[170\]. In the
event of a failure to file a state­ment or if a filed statement or any
required addendum to the statement is incomplete, inaccurate, or appears
to disclose a violation of law, the examining official must promptly
file a complaint with the Ohio Elections Commission if the violation is
the law is one over which the Commission has jurisdiction or to the
board of elections, which must promptly report the violation to the
prosecuting attorney. The Commission is then required to investigate
and, if the Commission finds a violation, it must do only one of the
following within 30 days after all the evidence has been presented: (1)
impose a fine not to exceed the fine specified in the schedule of fines
established by the Commission; (2) report its findings to the
appropriate prosecuting authority; (3) enter a finding that good cause
has been shown for the Commission not to impose a fine or report its
findings to the appropriate prosecuting authority; or (4) direct the
Secretary of State or appropriate board of elections to remove the
candi­date\'s name from the ballot if the candidate is barred because of
a violation applicable to personal‑funds and no‑limits candidates for
statewide or general assembly office \[171\].

**B. Campaign Finance Offenses.** Violators of the campaign finance
requirements of the election code are subject to the following
penalties:

\(1\) A candidate for a statewide office whose campaign committee fails
to file a required monthly or two‑day business report or a treasurer of
the committee must be fined not more than \$100 per day.

\(2\) A candidate whose campaign committee fails to file a pre‑election
statement of contributions and expenditures must be fined \$100 for each
day of violation.

\(3\) A person other than a campaign committee that knowingly fails to
file a required statement of contributions and expenditures or a
treasurer of the committee must be fined not more than \$100 for each
day of violation.

\(4\) A candidate whose campaign committee fails to file a post‑election
or annual statement of contributions and expenditures or a treasurer of
the committee must be fined not more than \$100 for each day of
violation.

\(5\) A person who knowingly conceals or misrepresents contributions
given or received or expenditures made in an election must be fined not
more than \$10,000 or if the person was elected to public office,
required to forfeit his or her nomination, the office to which he or she
was elected, or both.

\(6\) A person who makes cash contributions totaling more than \$100 in
an election must be fined an amount equal to three times the amount
contributed.

\(7\) A state or county executive committee that uses moneys from the
Ohio political party fund for other than a permitted purpose must be
fined not more than twice the amount of the improper expenditure.

\(8\) A person who violates the election code requirements concerning
payments to campaign fund beneficiaries, candidates, and public
officials and employees for their personal or business use is guilty of
a misdemeanor of the first degree.

\(9\) An individual or committee that violates the limits on the making
or acceptance of contributions must be fined an amount equal to three
times the amount contrib­uted in excess of the amount permitted \[172\].

**C. Personal Financial Statement Offense.** A candidate who knowingly
fails to file a personal financial statement on or before the applicable
deadline is guilty of a misdemeanor of the fourth degree \[173\]. A
candidate who knowingly files a false personal financial statement is
guilty of a misdemeanor of the first degree \[174\].

**D. Use of Corporate or Labor Organization Resources for Prohibited
Political Purposes.** Anyone who violates the prohibition against using
the funds or property of a corporation or labor organization for certain
political purposes must be fined not less than \$500 nor more than
\$5,000 \[175\]. A gift to a state or county major political party for
the construction, renovation, or purchase of an office facility that is
not used solely for the purpose of directly influencing the election of
any individual candidate in any particular election for any office is
not a prohibited contribution \[176\]. An officer, stockholder,
attorney, or agent of a corporation, a member, officer, attorney, or
agent of a labor organization, or a candidate, political party official,
or other individual who knowingly aids, advises, solicits, or receives
money or property in violation of the prohibition of the use of
corporate funds or property for specified political purposes must be
fined not more than \$1,000, imprisoned for not more than one year, or
both \[177\].

**E. Campaign-Finance Violations Involving Foreign Nationals.** Foreign
nationals are prohibited from making, directly or indirectly through any
other person or entity, a contribution, expenditure, or promise, either
expressly or implicitly, to make a contribution, expenditure, or
independent expenditure in support or opposition to a candidate for any
elective office in Ohio, including an office of a political party.
Candidates, campaign committees, political action committees, political
contributing entities, legislative campaign funds, state candidate
funds, political parties, and separate segregated funds are prohibited
from soliciting or accepting a contribution, expenditure, or independent
expenditure from a foreign national. The Secretary of State may direct a
violator to return an unlawful contribution, expenditure, or independent
expenditure or, if return of the item is not possible, then to return
its value to the contributor. Whoever knowingly violates either ban on
campaign-finance transactions involving foreign nationals must be fined
an amount that is three times the amount involved or \$10,000, whichever
is greater \[178\]

**F. Other Campaign Finance Offenses.** Whoever violates any provision
of the campaign finance and campaign practices provisions of the
election code, unless otherwise provided, is guilty of a misdemeanor of
the first degree for the first offense \[179\]. Any person convicted of
a second offense, whether or not the conviction is for the same offense,
is guilty of a felony of the fourth degree and, in addition, must be
disfranchised \[180\].

A person who violates the prohibition against soliciting political
assessments, subscriptions, or contributions from a deputy registrar of
motor vehicles or against awarding or promising to award or withholding,
terminating, or threatening to withhold or terminate a deputy registrar
contract because a person pays or fails to pay a political assessment or
subscription or makes or fails to make a political contribution is to be
fined \$10,000 \[181\].

**G. Penalty for Perjury.** A person who either orally or in writing, on
oath lawfully administered or in a statement made under penalty of
election falsification, knowingly states a falsehood as to a material
matter relating to an election in a proceeding before a court, tribunal,
or election official or in a matter in relation to which an oath or
statement under penalty of election falsification is authorized by law
is guilty of election falsification, which is a felony of the fifth
degree \[182\].

**H. Withholding of Certification and Exclusion From Office.** A
certificate of nomination or election may not be issued to a person nor
may a person elected to an office enter upon the performance of the
duties of such office until the person or the person\'s campaign
committee, as appropriate, has fully complied with the requirements
concerning the filing of statements of contributions and expenditures
\[183\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is the designated
filing officer for receiving appointments of treasurers and statements
of contributions and expenditures from campaign committees of candidates
for statewide offices or the state board of education; legislative
campaign funds; political action committees and political contributing
entities that make contribu­tions to campaign committees of candidates
that must file the statements of contributions and expenditures with the
Secretary of State; political action committees and political
contributing entities that make contributions to campaign committees of
candidates for member of the general assembly; political action
committees and political contributing entities that make contributions
to state and national political parties; political action committees and
political contributing entities that receive contributions or make
expenditures in connection with a statewide ballot issue; political
action committees and political contributing entities that make
contributions to other political action committees, political
contributing entities, political parties, and campaign committees, with
certain exceptions; and state and national political parties \[184\]. A
failure to comply with the campaign finance requirements is to be
reported by filing a complaint with the Ohio Elections Commission
\[185\].

The Secretary of State must adopt those rules necessary for the
administration and enforcement of the campaign finance provisions of the
election code \[186\]. The Secretary of State must also establish rules
for the attribution of expenditures to an individual who is a candidate
for more than one office during a reporting period and for expenditures
made in a year in which no election is held. The Secretary of State must
further define by rule those expenditures that are or are not by or on
behalf of a candidate \[187\].

The form for all statements of contributions and expenditures to be
filed is to be prepared by the Secretary of State and furnished to the
county boards of elections; the local boards must supply printed copies
of the form without charge \[188\]. The Secretary of State must ensure
that every paper, card, or other document relating to any elec­tion
matter that calls for a statement to be made under penalty of election
falsification is accompanied by the following statement in bold face
capital letters: \"Whoever commits election falsification is guilty of a
felony of the fifth degree" \[189\].

The Secretary is required to provide each candidate, political action
committee, and political party with written instructions and
explanations in order to ensure com­pliance with the campaign finance
provisions of the election code \[190\].

**B. County Board of Elections.** The county board of elections is the
designated filing officer for receiving and examining statements of
contributions and expenditures from campaign committees, political
action committees, and political contributing entities in connection
with district, county, and local office candidates (except state board
of education candidates) and issues voted upon by electors of less than
the entire state and from county political parties and for receiving
appointments of treasurers for those organizations. County boards are
also responsible for the examination of all statements filed there
except for those concerning general assembly candidates \[191\].

**C. Secretary of State and County Board of Elections.** The official
with whom petitions and other documents for nomination or election to
public office are filed must furnish each candidate at the time of such
filing a copy of the campaign finance provisions of the election code
and such other materials as the Secretary of State may re­quire. Each
candidate receiving the materials must acknowledge their receipt in
writing \[192\].

On or before the 10th day before the dates on which statements of
contributions and expenditures are required to be filed, a candidate
subject to the filing provisions must be notified of the filing
requirements and applicable penalties. The Secretary of State must
notify all candidates required to file such statements with his or her
office, and the board of elections of every county must notify all
candidates required to file such statements with the local board
\[193\].

**D. State Tax Commissioner.** The State Tax Commissioner is required to
provide on the face of individual income tax return forms a place where
a taxpayer may make a designation for a contribution to the Ohio
political party fund \[194\]. The commissioner is to pay moneys from the
Ohio political party fund to qualified political parties that make a
timely application to the commissioner for such funding and to prescribe
an application form for such purpose \[195\].

**E. State Auditor.** During the first quarter of each calendar year,
the State Auditor is responsible for auditing the statements of
contributions and expenditures filed by the state executive committee
and each county executive committee of a political party that received
public moneys collected during the previous year to ascertain whether
such moneys were expended in accordance with law \[196\].

**F. Ohio Elections Commission.** The Ohio Elections Commission
investigates charges of a violation of the campaign finance provisions
of the election code and, upon a finding of a violation, may impose a
fine according to a fine schedule it is required to establish, refer its
findings to the appropriate prosecuting authority, or take no action
upon good cause being shown. The Commission also is authorized to render
advisory opinions concerning the campaign finance provisions for persons
over whose acts it has or may have jurisdiction \[197\].

**G. Prosecuting Attorneys.** The appropriate prosecuting attorney is
responsible for bringing criminal charges against a person violating the
election code when the violation carries a criminal penalty \[198\].

**References**

1.  Ohio Revised Code Annotated (Anderson) (hereafter ORCA) §§
    3517.01(B)(5), (10); 1.03

2.  ORCA § 3517.01(B)(5)

3.  ORCA § 3517.01(B)(7)

4.  ORCA § 3517.10(D)

5.  ORCA § 3517.081

6.  ORCA § 3599.03(A)

7.  ORCA § 3599.03(B). The prohibition against a labor organization
    using its money for political purposes was declared unconstitutional
    in *United Auto Workers Local Union 1112 v. Philomena*, 121 Ohio
    App.3d 760, 700 N.E.2d 936 (10^th^ App.Dist. 1998) and *Toledo Area
    AFL-CIO Council v. Pizza*, 154 F.3d 307 (6^th^ Cir. 1998);
    therefore, although the statute has not been repealed, it is
    unenforceable.

8.  ORCA §§ 3599.03(A); 3517.082(A), (B); 3599.031(A)

9.  ORCA § 3599.03(C)

10. ORCA § 3517.101(A), (B)

11. ORCA § 3517.082(A)

12. ORCA § 3517.082(B). The solicitation restrictions imposed on labor
    organizations violate equal-protection guarantees and therefore are
    unconstitutional pursuant to *United Auto Workers Local Union
    1112 v. Philomena*, *supra*. The *Philomena* decision and *Toledo
    Area AFL-CIO Council v. Pizza*, *supra*, also held that the
    requirement of ORCA § 3517.082(D) that solicitations of a labor
    organization's employees be in writing and made no more than four
    times a year was unconstitutional.

13. ORCA § 3517.13(F)

14. ORCA § 3517.13(G)(1)

15. ORCA § 3517.13(G)(2)

16. ORCA §§ 3599.04; 3517.08; 3517.12

17. ORCA § 3517.09(A)

18. ORCA § 124.57; Ohio Administrative Code (hereafter OAC) §
    123:1-46-02

19. ORCA § 3599.031(A). A public employer is prohibited by statute from
    deducting from the wages and salaries of its employees any amounts
    for the support of any candidate, separate segregated fund,
    political action committee, legislative campaign fund, political
    party, or ballot issue, but such requirement has been held to be
    unconstitutional and is unenforceable. ORCA § 3559.031(H), (J);
    *United Auto Workers Local Union 1112 v. Philomena*, *supra*.

20. ORCA § 3599.031(A)

21. ORCA § 3599.45(A)

22. Rules Governing the Courts of Ohio, Code of Judicial Conduct, Canon
    7 (hereafter Judicial Canon 7)

23. Judicial Canon 7(B)

24. Judicial Canon 7(B)

25. Judicial Canon 7(C)

26. Judicial Canon 7(C)

27. Judicial Canon 7(C)

28. Judicial Canon 7(C)

29. Judicial Canon 7(C)

30. Judicial Canon 7(F)

31. ORCA § 2921.43(C)

32. ORCA § 3517.092

33. ORCA § 3517.13(Q)

34. ORCA § 3517.13(Q)

35. ORCA § 3517.13(Q)

36. ORCA § 4503.032(A)‑(C)

37. ORCA § 3517.102(A)‑(C); Secretary of State, Ohio Campaign Finance
    Report­ing Handbook (1999) (hereafter 1999 Ohio Handbook) 44

38. ORCA § 3517.102(A)‑(C); 1999 Ohio Handbook 44

39. ORCA § 3517.108

40. ORCA § 3517.104

41. ORCA § 3517.102(A)

42. ORCA § 3517.103(C)

43. ORCA § 3517.103(C), (E)

44. ORCA § 3517.103(D)

45. ORCA § 3517.103(C), (D)

46. ORCA § 3517.103(E)

47. ORCA § 3517.992(W)

48. ORCA § 3517.103(D)

49. ORCA § 3517.109(A), B)

50. ORCA § 3517.109(D)

51. ORCA § 3517.109(A); 1999 Ohio Handbook 13

52. ORCA § 3517.109(A); 1999 Ohio Handbook 13

53. ORCA § 3517.109(C)

54. ORCA § 3517.109(E)

55. ORCA § 3517.09(C). The requirement that corporations and labor
    organizations provide certain information when soliciting employees
    or members was held to be unconstitutional in *United Auto Workers
    Local Union 1112 v. Philomena*, *supra*, and *Toledo Area AFL-CIO
    Council v. Pizza*, *supra*; therefore, although the statute has not
    been repealed, it is unenforceable.

56. ORCA § 3517.13(S)

57. ORCA § 1553.09

58. ORCA § 3304.22

59. ORCA §§ 3517.01(B)(6); 3517.08(G)

60. ORCA § 3517.10(D)

61. ORCA § 3517.081

62. ORCA § 3599.08

63. ORCA § 3517.08(G)

64. ORCA § 3517.13(O)

65. ORCA § 3517.13(O)

66. ORCA § 3517.13(P)

67. ORCA § 3517.13(R)(1)

68. ORCA § 3517.01(B)(12)

69. ORCA § 3517.01(B)(11)

70. Judicial Canon 7(C)

71. Judicial Canon 7(C)

72. Judicial Canon 7(C)

73. ORCA § 3517.103(A), (B)

74. ORCA § 3517.103(C), (E)

75. ORCA §§ 3517.10(A), (C); 3517.13

76. 1999 Ohio Laws, H.B. 119, § 1

77. ORCA §§ 3517.01(B)(3); 3501.01(H)

78. ORCA § 3517.01(B)(3)

79. ORCA § 3517.01(B)(9)

80. ORCA §§ 3517.10(B)‑(F); 3517.08(G)

81. ORCA § 3517.10(B)(4)(e)

82. ORCA § 3517.08(E)

83. ORCA § 3517.08(F)

84. ORCA § 3517.105(B)

85. ORCA § 3517.10(A)

86. ORCA § 3517.11(B)

87. ORCA § 3517.11(A)(1)

88. ORCA § 3517.11(A)(2)

89. Judicial Canon 7(C)

90. ORCA § 3517.11(A)(3)

91. ORCA § 3517.11(A)(4)

92. ORCA §§ 3517.10(A); 3517.13(A)‑(D)

93. ORCA § 3517.01(B)(1)

94. ORCA § 3517.10(A), (H)

95. ORCA § 3517.10(A)

96. ORCA § 3517.10(K)

97. ORCA § 3517.10(C)

98. ORCA § 3517.08(A)

99. ORCA § 3517.01(B)(7)

100. ORCA § 3517.08(D)

101. ORCA § 3517.08(C)

102. ORCA § 3517.08(B)(1)

103. ORCA § 3517.10(C)

104. ORCA §§ 3517.10(A); 3517.13(E)

105. ORCA § 3517.01(B)(8)

106. ORCA § 3517.01(B)(4)

107. ORCA § 3517.01(B)(21)

108. ORCA § 3517.10(A)

109. ORCA § 3517.08(B)

110. ORCA § 3517.08(C)

111. ORCA § 3517.082(C)

112. ORCA §§ 3517.10(A); 3517.13(E)

113. ORCA § 3517.01(A)

114. ORCA § 3517.01(B)(15)

115. ORCA § 3517.10(A)

116. ORCA § 3517.08(C)

117. ORCA § 3517.08(B)(2), (C)

118. ORCA § 3517.10(B)(4)(b)

119. ORCA § 3517.10(C)

120. ORCA § 3517.10(A)

121. ORCA § 3517.10(D)

122. ORCA §§ 3517.081; 3517.10(D)

123. ORCA §§ 3517.081; 3517.10(D)

124. ORCA § 3517.081

125. ORCA § 3517.081

126. ORCA § 3517.081

127. ORCA §§ 3517.01(B)(14), (15); 3517.10(D)

128. ORCA § 3517.082(A), (C)

129. ORCA § 3517.01(B)(18)

130. ORCA §§ 3517.082(C); 3517.107; OAC § 111‑4‑04

131. ORCA § 3517.107

132. ORCA § 3599.03(C)

133. ORCA §§ 3599.03(C); 3517.10(A)(1), (2)

134. ORCA § 3517.12

135. ORCA § 102.02(A)

136. ORCA § 102.02(H)

137. ORCA § 102.02(A), (E)

138. ORCA §§ 3517.081; 3517.10(D); Judicial Canon 7

139. ORCA § 3517.10; Judicial Canon 7

140. ORCA § 3517.08; Judicial Canon 7

141. ORCA §§ 5727.61; 5733.27

142. ORCA §§ 3517.01(B)(17); 3517.105(B), (C)

143. ORCA §§ 3517.109(F)

144. ORCA §§ 3517.109(F)

145. ORCA §§ 3517.109(G)

146. ORCA §§ 3517.1010(E)

147. ORCA §§ 3517.1010(F)

148. ORCA §§ 3517.16; 5747.03(A)(3)

149. ORCA § 3517.17(B)

150. ORCA § 3501.01(F)(1)

151. ORCA § 3517.17(B)

152. ORCA § 3517.17(A)

153. ORCA § 3517.18(A)

154. ORCA § 3517.18(B)

155. ORCA § 3517.18(C)

156. ORCA § 3517.17(A)

157. ORCA § 3517.17(A)

158. ORCA § 5747.081

159. ORCA § 5747.081

160. ORCA §§ 5747.29; 5747.98

161. ORCA § 3517.10(A)

162. ORCA § 3517.102(E)

163. ORCA § 3517.1010(B)

164. ORCA § 3517.1010(B)

165. ORCA § 3517.1010(B)

166. ORCA § 3517.1010(G)

167. ORCA § 3517.1010(A)

168. ORCA § 3517.1010(C)

169. ORCA § 3517.1010(D)

170. ORCA § 3517.11(B)

171. ORCA §§ 3517.11(C)(1); 3517.153; 3517.155; 3517.992

172. ORCA §§ 3517.992; 3517.13(A)‑(G); 3517.18(B)

173. ORCA §§ 102.02(C); 102.99(A)

174. ORCA §§ 102.02(D); 102.99(B)

175. ORCA § 3599.03(A). The prohibition associated with this crime is
     unconstitutional as it applies to unincorporated labor
     organizations and is unenforceable pursuant to *United Auto Workers
     Local Union 1112 v. Philomena*, *supra*.

176. ORCA §§ 3599.03(D); 3517.101(B)

177. ORCA § 3599.03(B). The prohibition associated with this crime is
     unconstitutional as it applies to unincorporated labor
     organizations and is unenforceable pursuant to *United Auto Workers
     Local Union 1112 v. Philomena*, *supra*.

178. ORCA §§ 3517.13(W); 3517.992(AA)

179. ORCA § 3599.40

180. ORCA § 3599.39

181. ORCA § 4503.032(D)

182. ORCA § 3599.36

183. ORCA § 3517.11(D)

184. ORCA §§ 3517.10(D); 3517.11(A)

185. ORCA § 3501.05(N)

186. ORCA § 3517.23

187. ORCA § 3517.08(F)

188. ORCA § 3517.10(C)

189. ORCA § 3599.36

190. ORCA § 3517.23

191. ORCA §§ 3517.11(A), (B); 3517.10(D)

192. ORCA § 3517.11(B)

193. ORCA § 3517.11(B)

194. ORCA § 5747.081

195. ORCA § 3517.17

196. ORCA § 3517.17(A)

197. ORCA §§ 3517.155; 3517.992

198. ORCA § 309.08

**CAMPAIGN FINANCE LAW**

**IN OKLAHOMA**

**I. INTRODUCTION**

Campaigns for elective state office and for statewide ballot measures
are regu­lated by rules adopted by the State Ethics Commission. Candidate
committees for state office candidates that accept more than \$500 in
aggregate contributions, political action committees that support or
oppose state candidates or ballot measures and contribute or expend at
least \$500 in a calendar year, and party committees of political
parties that have state office candidates are required to submit
periodic and pre‑election reports of contributions and expenditures to
the State Ethics Commission.

Corporations are not permitted to contribute to candidates or their
candidate committees, political party committees, or
non‑corporation‑related political ac­tion committees but may make
contributions to campaigns supporting or oppos­ing ballot measures or to
a political action committee to be used for political purposes by the
corporation. A person or family may not contribute (1) more than \$5,000
to a state office candidate, a county office candidate in a county with
over 250,000 population, a municipal office candidate in a municipality
with over 250,000 population, or a candidate committee authorized by
such a can­didate during a campaign or to a political action committee or
a political party committee in a calendar year or (2) more than \$1,000
to a candidate for other local office or to a candidate committee for
such a local‑office candidate during a campaign. An income‑tax deduction
of not more than \$100 for political con­tributions is allowed.

The Political Subdivisions Ethics Act enacted by the state legislature
pre­scribes a separate set of campaign finance regulations applicable to
county and municipal campaigns concerning candidates and ballot
measures. These re­quirements are to be administered by the State Ethics
Commission (county campaigns) and the applicable municipal clerk
(municipal campaigns). The provisions of the Political Subdivisions
Ethics Act are *not* included in this state summary.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution is:

\(1\) A gift, subscription, loan, guarantee or forgiveness of a loan,
conveyance, advance, payment, distribution, or deposit of money or
anything of value made to and with the knowledge and for the benefit of
a committee for use in a cam­paign or for reducing the debt of a
committee.

\(2\) expenditure made by a person or committee, other than a candidate
committee, with the cooperation of or in consultation with a committee,
a can­didate, candidate committee, or candidate\'s agent or that is made
in concert with or at the request or suggestion of a candidate,
candidate committee, or candida­te\'s agent.

\(3\) The difference between the payment to a person, other than a
candidate or committee, of compensation for personal services or
products to the can­didate or committee and the reasonable and customary
rate charged by the per­son for like services or products in like
quantities when the candidate or commit­tee has knowledge of the
discounted services or products.

\(4\) Anything of value received by a committee that is transferred from
another committee or other source.

\(5\) Sums paid for tickets for a political event such as a reception,
rally, or a similar fundraising event; however, the amount of any such
contribution may be reduced for the purpose of complying with the
reporting and contribution limita­tions requirements by the actual cost
of consumables furnished by the commit­tee in connection with the
purchase of the tickets, and only the excess over the actual cost of the
consumables is deemed a contribution.

\(6\) The candidate\'s own money used on behalf of that candidate\'s
candidacy.

\(7\) The difference between the open market value and a discount or
rebate not extended to the public generally or by a television or radio
station not ex­tended equally to all candidates for the same office
\[1\].

The term \"contribution\" does *not* include:

\(1\) The value of services provided without compensation by any
individual who volunteers on behalf of a candidate or committee.

\(2\) For purposes of the contribution limits, the transfer of any funds
by a po­litical action committee to an affiliated or connected political
action committee or by a political party committee to an affiliated or
connected political party committee if the committees have been
established as provided by law and the transferring committee and the
receiving committee have been established, di­rectly or indirectly, and
are administered or financially supported, directly or in­directly, by a
common entity.

\(3\) Any payment or obligation incurred by a corporation, labor
organization, membership organization, cooperative, or corporation
without capital stock for the establishment, administration, and
solicitation of contributions to a separate segregated fund or political
action committee to be utilized for political purpos­es.

\(4\) A nonreimbursed payment made by an individual for the
individual\'s own travel expenses on behalf of a committee.

\(5\) A payment made by an occupant of a residence or office for costs
related to a meeting or fundraising event held in the occupant\'s
residence or office if the costs for the meeting or fundraising event do
not exceed \$500; however, if the occupant hosts more than one event in
an election cycle for the same benefici­ary, all subsequent payments that
exceed \$500 in the aggregate are contribu­tions.

\(6\) A loan of money made in the ordinary course of business by a
financial institution authorized to transact business in the state at
terms and interest rates generally available to a member of the public
without regard to that person\'s status as a state officer or state
employee or a candidate for state office by the institution.

\(7\) A communication by a corporation, labor organization, or
association aimed at its members, owners, stockholders, directors,
executive administrative personnel, or their families.

\(8\) A tender of a contribution if the tender is not accepted,
including use as collateral, or is transferred to the state.

\(9\) The fair market value earnings of a sole proprietorship,
partnership, limited partnership, limited liability partnership, or
limited liability company \[2\].

An \"affiliated entity\" or \"connected entity\" is any entity that
directly or indi­rectly establishes, administers, or financially supports
a political entity \[3\].

**B. Limitations on Contributions From Persons and Families**

**1. Contributions to State Office Candidates and Candidate Commit­tees,
Political Action Committees, and Political Parties.** No person or
fam­ily may contribute more than \$5,000 to a candidate for state office
or to a can­didate committee authorized by the candidate to accept
contributions or make expenditures on the candidate\'s behalf during a
campaign, and no candidate or candidate committee may knowingly accept a
contribution in excess of \$5,000 from a person or family during a
campaign \[4\].

No person or family may contribute more than \$5,000 to a political
action committee or a political party committee in any calendar year,
and no political action committee or political party committee may
knowingly accept a contribu­tion from a person or family in excess of
\$5,000 in a calendar year \[5\].

These contribution restrictions do not apply to a committee supporting
or op­posing a ballot measure or to a candidate making a contribution of
the candida­te\'s own funds to his or her campaign \[6\].

For purposes of the contribution limitations, two or more political
action committees or political party committees are treated as a single
entity if the committees share the majority of members on their boards
of directors, are owned or controlled by the same majority shareholder
or shareholders, are in a parent‑subsidiary relationship, have by‑laws
so stating, or are affiliated or con­nected entities, and a candidate
committee and a committee other than a can­didate committee are treated
as a single committee if the committees both have the candidate or a
member of the candidate\'s immediate family as an officer \[7\].

Contributions by a husband and wife are to be aggregated, and
contributions by children under 18 years of age are considered to be
contributions made by their parent, parents, or legal guardian and are
to be attributed to the family lim­it. In the case of a single custodial
parent, the total amount of a contribution is considered to be a
contribution made by the single custodial parent \[8\].

A \"person\" subject to the contribution limits applicable to state
office candi­dates and candidate committees, political action committees,
and political parties is an individual, corporation, limited liability
company, association, proprietor­ship, firm, partnership, limited
partnership, joint venture, joint stock company, syndicate, business
trust, estate, trust, company, organization, committee, club, or group
of persons who are voluntarily acting in concert \[9\].

**2. Contributions to Local Office Candidates and Candidate
Commit­tees.** No person or family may contribute more than \$5,000 to a
candidate for municipal office in a municipality with a population of
over 250,000, to a can­didate for county office in a county with a
population of over 250,000, or to a candidate committee authorized by a
candidate for an office in a municipality or county with a population of
over 250,000 to receive contributions or make ex­penditures on the
candidate\'s behalf for any campaign, and no such candidate or candidate
committee may knowingly accept a contribution in excess of \$5,000 from
a person or family for any campaign \[10\].

No person or family may contribute more than \$1,000 to a candidate for
other local office or to a candidate committee authorized by the
candidate to accept contributions or make expenditures on his behalf for
any campaign, and no such candidate or candidate committee may knowingly
accept a contribution in excess of \$1,000 from a person or family
during a campaign \[11\].

These contribution restrictions do not apply to a candidate making a
contribu­tion of the candidate\'s own funds to his or her own campaign
\[12\].

A \"person\" subject to the contribution limits applicable to local
office candi­dates and candidate committees is an individual,
corporation, association, pro­prietorship, firm, partnership, limited
partnership, joint venture, joint stock company, syndicate, business
trust, estate, trust, company, organization, commit­tee, club, or group
of persons who are voluntarily acting in concert \[13\].

**C. Contributions by a Corporation.** The state constitution
specifically prohibits a corporation that is organized or doing business
in the state from in­fluencing elections or official duty by
contributions of money or anything of val­ue \[14\].

No corporation may contribute to any campaign fund of any party
committee of this state or to any other person for the benefit of such
party committee or its candidates nor may it, through any agent,
officer, representative, employee, at­torney, or any other person or
persons, so contribute. A corporation may not, directly or through such
other person, make any loan of money or anything of value or give or
furnish any privilege, favor, or other thing of value to any party
committee, any representative of a party committee, or any other person
for it or to any candidate upon the ticket of any political party
\[15\].

A corporation is not permitted to make a contribution, expenditure, or
independent expenditure to or for the benefit of a candidate or
committee in connection with an election; however, this prohibition does
not apply to a campaign or committee solely for or against a ballot
measure or local question or to the establishment, administration, and
solicitation of contributions to a political action committee to be
utilized for po­litical purposes by a corporation \[16\].

There are two exceptions to the ban on corporate contributions,
expenditures, and independent expenditures:

\(1\) The prohibitions in the previous two paragraphs do not apply to a
bank, sav­ings and loan association or credit union loaning money to a
candidate in con­nection with the candidate\'s own campaign that is to be
repaid with interest at a rate comparable to that of equivalent loans
for other purposes.

\(2\) The prohibition of independent expenditures by corporations does
not apply to independent expenditures may by a corporation that (a) has
an express purpose promoting social, educational, or political ideas and
not to generate business income, (b) does not have shareholders or other
persons who have a financial interest in its assets and earnings, and
(c) was not established by a business corporation or other business
entity, by a professional association, or by a labor union and does not
receive substantial revenue (i.e., more than 10% of total revenues in a
calendar year) from such entities \[17\].

A candidate, candidate committee, political party committee, or
political ac­tion committee may not knowingly accept prohibited corporate
contributions \[18\].

**D. Contributions and Expenditures by a Bank.** It is unlawful for a
bank to make a contribution or expenditure in connection with any
election to any po­litical office or in connection with any primary
election or political convention or caucus held to select candidates for
any political office. No candidate, political committee, or other person
may accept or receive a contribution from a bank \[19\].

**E. Contributions by a Highway Patrol Officer.** No commissioned
officer of the Highway Patrol Division of the Department of Public
Safety, while in such position, may contribute any money or other thing
of value, directly or indirectly, to any political campaign or to any
candidate for public office \[20\].

**F. Solicitation and Making of Contributions by or for a Judge or
Judi­cial Candidate.** A judge or judicial candidate should not solicit
funds for or pay an assessment to or make a contribution to a political
organization or can­didate or purchase tickets for political party
dinners or other functions \[21\].

A judicial candidate subject to public election should not personally
solicit campaign contributions or personally solicit publicly stated
support. A judicial candidate may, however, establish committees of
responsible persons to conduct campaigns for the candidate through any
means not prohibited by law. A can­didate\'s campaign committees may
solicit and accept reasonable campaign con­tributions, manage the
expenditure of funds for the candidate\'s campaign, and obtain public
statements of support for the candidacy. The committees are not
prohibited from soliciting and accepting reasonable campaign
contributions from lawyers. A candidate\'s committees may solicit and
accept contributions and public support for the candidate\'s campaign no
earlier than 90 days before an election filing period and no later than
30 days after the last election in which the candidate participates
during the election year. A candidate should not use or permit the use
of campaign contributions for the private benefit of the can­didate or
others \[22\].

A candidate for judicial office should prohibit employees and officials
who serve at the pleasure of the candidate and should discourage other
employees and officials subject to the candidate\'s direction and
control from doing on the candidate\'s behalf what the candidate is
prohibited from doing politically. Ex­cept to the extent permitted for
judicial candidates subject to public election, a candidate for judicial
office should not authorize or knowingly permit any other person to do
for the candidate what the candidate is prohibited from doing
po­litically \[23\].

No supreme court justice or court of criminal appeals judge may make,
direct­ly or indirectly, any contribution to or hold office in a
political party or organiza­tion \[24\].

**G. Contributions to a Corporation Commission Candidate.** No person
who is subject to the regulations of the corporation commission or has
interests in any firm, corporation, or business that is subject to
regulation by the commis­sion may furnish transportation, presents, or
other gratuities other than is pro­vided by the State Ethics Commission
Act to any member of the corporation commis­sion or any commission
employee; however, during a period beginning 120 days prior to a primary
election and ending 120 days after a general election, any person may
make contributions not otherwise prohibited to the cost of any cur­rent
candidate\'s political campaign \[25\].

**H. Solicitation by a State Government Officer or Employee.** An
elected or appointed state official, the official\'s employees, or
others in behalf of and for the elected or appointed state official may
not, directly or indirectly, solicit or accept contributions from
employees in the official\'s department or agency for the benefit of or
in behalf of any person who is a candidate for other political office
\[26\].

**I. Solicitation by an Corporation Commission Employee.** An employee
of the corporation commission in the unclassified service may not (1)
directly or indirectly solicit, receive, or in any manner be concerned
in soliciting or receiv­ing any assessment, subscription, or contribution
for any political organization, candidacy, or other political purpose or
(2) solicit or receive any such assess­ment, subscription, or
contribution from an employee in the unclassified service \[27\].

**J. Solicitation by the Probation Officer in Certain Counties.** The
coun­ty probation officer in a county with a population of 190,000 or
more with a city of 100,000 or more may not in any manner be concerned
in demanding, solicit­ing, or receiving any assessments, subscriptions,
or contributions, whether volun­tary or involuntary, from any person to
any political party \[28\].

A classified employee may not (1) directly or indirectly solicit
contributions or other funds for a partisan political candidate or party
committee, (2) directly or indirectly solicit, accept, collect, handle,
disburse, or account for assessments, contributions, or other funds for
a partisan political purpose or (3) organize, sell tickets to, promote,
or actively participate in a fundraising activity of a candidate in a
partisan election or of a party committee \[29\].

An elective officer or the officer\'s agent may not knowingly solicit,
directly or indirectly, a campaign contribution from an employee in the
officer\'s govern­mental entity \[30\].

**K. Solicitation by a Member of the State Tax Commission.** A member of
the Oklahoma Tax Commission may not, directly, or indirectly, solicit,
re­ceive, or in any manner be concerned in soliciting or receiving any
assessment, subscription, or contribution for any political
organization, candidacy, or other political purpose \[31\].

**L. Contributions by a Supernumerary Tax Consultant.** A supernumer­ary
tax consultant of the state may not contribute any money or other thing
of value, directly or indirectly, to any political campaign for public
office \[32\].

**M. Use of Lobbyist Registration Forms.** Information copied from
lobbyist registration forms or from lists compiled from such forms and
reports may not be sold or utilized by any person for the purpose of
soliciting campaign contri­butions or selling tickets to a testimonial or
similar fundraising affair or for any commercial purpose \[33\].

**N. Statement From a Contributor of More Than \$50.** Persons accepting
contributions must obtain from each contributor a contributor statement
before accepting a single contribution exceeding \$50 or multiple
contributions from a single source that exceed \$50 in the aggregate
\[34\]. The requirement to obtain a contributor statement does not apply
to contributions accepted by a political ac­tion committee or political
party committee until such time as the committee has accepted
contributions or made expenditures in excess of \$500 during a calendar
in support of or in opposition to state candidates or ballot measures.
Once the \$500 threshold in either contributions or expenditures has
been exceeded, the acceptance of each new contribution in excess of \$50
must be accompanied by a contributor statement \[35\].

A contributor statement is to include (1) the date the contribution was
given, (2) the name and address, occupation (e.g.\"retail sales
clerk\"), and employer (e.g.\"Dillard\"), or principal business activity
of the contributor, (3) the amount or, if in‑kind, a description of the
contribution and a good faith estimate of its fair market value, (4) a
declaration that the contribution is freely and voluntarily given from
the contributor\'s personal property, if an individual, or the person or
committee\'s property, if other than an individual, (5) a declaration
that the con­tributor has not been directly or indirectly compensated or
reimbursed for the contribution, if an individual, and, if a person
other than an individual or a committee, that the person or committee
has not been compensated or reim­bursed for the contribution by persons
other than those from whom contributor statements have been received and
of whom disclosure has or will be made or, if from persons exempted from
the definition of political action committee, by other persons, and (6)
the signature of the contributor or, in the case of a com­mittee, the
treasurer or, in the treasurer\'s absence, the deputy treasurer of the
committee \[36\].

Persons accepting contributions from contributors who contribute by
payroll deduction, dues check‑off, or similar process are required to
obtain only one contributor statement annually or at such other times as
a change is made in the deduction, check‑off, or similar process. A
contribution from a person other than an individual or a committee must
be reported by the name of the person or committee and not the
individual who signed the check \[37\].

**O. Prohibitions Relating to Committee Solicitations and Funds.** A
polit­ical action committee may not accept a contribution or make an
expenditure (1) by using anything of value secured by physical force,
job discrimination, finan­cial reprisals, or threat of the same or (2) by
dues, fees, or other monies re­quired as a condition of membership in a
labor organization or as a condition of employment, unless the making of
such contributions is authorized by the organ­ization\'s members \[38\].

No person may solicit a contribution from an employee in exchange for
any advantage or promise of an advantage conditioned upon making a
contribution, or reprisal or threat of reprisal related to the failure
to make a contribution \[39\].

A corporation or political action committee of a corporation may not
solicit contributions to the political action committee from a person
other than its shareholders, directors, executive and administrative
personnel, and their fa­milies \[40\].

Corporate contributions to a committee or person for or against a ballot
measure may not be commingled with a fund established by such person or
committee to contribute to candidate committees or committees that
support or oppose candidates \[41\].

**P. Prohibition on Transfer of Funds Between Committees.** A candidate
committee may not make a contribution to another candidate or make an
inde­pendent expenditure on behalf of another candidate. The principal
candidate committee or an authorized committee of a person, as such
terms are defined 2 U.S.C. § 431, may not make a contribution to a
candidate or make an independent expenditure on behalf of a candidate. A
candidate or candidate committee is not permitted to accept such a
contribution. These restrictions on the transfer of funds between
committees do not prohibit (1) a candidate or any other person from
making a contribution from the candidate\'s or person's per­sonal funds
to his or her own candidate committee or on behalf of his or her own
candidacy or to the committee of another candidate for a different
office or (2) a candidate committee from providing its surplus funds or
material assets to the state or local central committee of a political
party in accordance with the prescribed procedures for dissolution of a
candidate committee \[42\].

**Q. Restrictions on Loans.** A loan is considered a contribution from
the lender, guarantor, and endorser of the loan and is subject to the
limitations on contributions; the proceeds of a loan, regardless of the
amount, that is made to a candidate by a commercial lending institution
in the regular course of business on the same terms ordinarily available
to members of the public and that is se­cured or guaranteed solely by the
candidate are not subject to the contribution limits \[43\].

A loan to a candidate or the candidate committee must be by written
agree­ment \[44\].

**R. Anonymous and Earmarked Contributions.** A person may not make to a
committee and a committee may not accept an anonymous contribution in
excess of \$50. The recipient of an anonymous contribution in excess of
\$50 re­mit the contribution within two business days to the State Ethics
Commission to be de­posited with the state treasurer \[45\].

For purpose of compliance with the limitations on contributions, all
contribu­tions made by a person, either directly or indirectly, to or for
the benefit of a particular candidate committee, including contributions
that are in any way ear­marked or otherwise directed through an
intermediary or conduit to such can­didate committee are to be treated as
contributions from such person to such candidate committee. An
intermediary or a conduit may not make a contribu­tion to a committee in
his or her own name rather than the name of the original source of such
contribution. Reports of contributions and expenditures are to show the
correct name of the person actually making the contribution. An
\"in­termediary\" or \"conduit\" is a person, who is not the treasurer,
deputy treasurer, or agent of a committee, but who is given a
contribution by another with the understanding that it will be
contributed to that committee \[46\].

**S. Reimbursement for Contributions.** A person may not, directly or
indi­rectly, reimburse a person for a contribution to a candidate or
committee \[47\].

**T. Cash Contributions.** An individual may not make to a candidate
com­mittee or a committee supporting or opposing a ballot measure and a
candidate committee or a committee supporting or opposing a ballot
measure may not ac­cept a contribution of more than \$50 in cash during a
campaign. Agents accept­ing and delivering cash are to deliver
contributor statements disclosing cash con­tributions equal to the
aggregate amount of cash delivered. A committee or a person other than
an individual is not permitted to make a contribution in cash \[48\].

**U. Contributions by Written Instrument.** An individual may not make a
contribution of more than \$50, other than an in‑kind contribution,
except by written instrument containing the name of the contributor and
the name of the payee during a campaign. A committee or a person other
than an individual may not make a contribution, other than in‑kind,
except by written instrument containing the name of the contributor and
the name of the payee \[49\].

**V. Solicitation and Use of Anything of Value.** Anything of value that
is solicited from the public in the name of or for the benefit of an
elective officer or candidate and that is accepted by an elective
officer or candidate is subject to the reporting requirements of the
campaign reporting law. This would include but is not limited to things
of value given for an inauguration or renovation of public property.
Anything of value accepted by an agent or representative of an elective
officer or candidate or by a committee established by, in the name of,
or for the benefit of an elective officer or candidate is deemed to be
accepted by such elective officer or candidate. The use of such things
of value are to be lim­ited to the stated purpose or purposes for which
such things of value were solici­ted \[50\].

Any surplus things of value that are not needed for the stated purpose
of pur­poses are to be returned to the donors pursuant to a formula by
which no donor receives more than his or her original donation or
deposited with the state treasurer \[51\].

**W. Auctions.** When an auction is held by a committee as a fundraiser,
a con­tributor statement is required with respect to each person donating
an item to be auctioned and must include the fair market value of each
item donated \[52\].

**X. Limitations on Fundraisers in Oklahoma County.** No fundraising
ev­ent for a member of the state legislature may be held in Oklahoma
County dur­ing the regular session of the legislature, beginning the
first Monday in February and continuing through its adjournment or the
last Friday in May, whichever is earlier; however, this restriction does
not apply to any member of the legislature whose legislative district or
the legislative district of the office sought includes any portion of
Oklahoma County or any member of the legislature for fundrais­ing events
in Oklahoma County in support of his or her candidacy for a state­wide
elective office or for election to the U.S. house of representatives,
U.S. senate, or other elective federal office \[53\].

**Y. Agreement to Obtain State Employment in Exchange for Campaign
Contributions.** A candidate for state office may not, directly or
indirectly, so­licit, receive, or agree to receive anything of value or
campaign contributions for agreeing to appoint, appointing, or procuring
the appointment of another person to any state office or agreeing to
employ, employing, or procuring the employ­ment of another person in any
position as a state employee \[54\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is a purchase,
payment, distribution, loan, advance, compensation, reimbursement, fee
deposit, transfer of funds between committees, or a gift made by a
committee \[55\].

An \"expenditure\" does not include:

\(1\) A loan of money made in the ordinary course of business by a
financial institution authorized to transact business in the state.

\(2\) A communication by a corporation, labor organization, or
association aimed at its members, owner, stockholders, executive
administrative personnel, or their families, except a communication by
the corporation\'s political action committee promoting or opposing a
candidate or candidates.

\(3\) Uncompensated services provided by an individual volunteering the
indi­vidual\'s time.

\(4\) A transfer of funds to another committee if the transfer is not
accepted \[56\].

A \"campaign expenditure\" is an expenditure not otherwise prohibited
that is used to defray the costs of a candidate\'s campaign including,
without limitation, advertising, travel and food while campaigning, and
costs for campaign workers, whether paid or volunteers \[57\].

**B. Use of Public Funds, Property, Time, and Personnel.** No official
in the state may direct or authorize the expenditure of any public funds
under the official\'s care, except as specifically authorized by law, to
be used either in sup­port of or in opposition to any measure that is
being referred to a vote of the people by means of an initiative or
referendum or that citizens of the state are attempting to have referred
to a vote of the people by an initiative or referen­dum \[58\].

A person may not use or authorize the use of public funds, property, or
time to participate or assist in the organization of or preparation for
a fundraiser for a campaign or in any solicitation of funds for or
against a candidate for state office or a ballot measure \[59\].

A person may not authorize the use of state officers or state employees
for a prohibited purpose while in a uniform that identifies him or her
as a state officer or state employee or during the hours that the state
officer or state employee is officially in work status for a
governmental entity \[60\].

A person may not solicit, verbally or in writing, in a facility
ordinarily used for the conduct of state government business, a
contribution from a state employee \[61\].

**C. Expenditures by the Treasurer or Deputy Treasurer of a Commit­tee.**
An expenditure may not be authorized or made by a committee while there
is a vacancy in the office of treasurer except by the deputy treasurer,
if designated \[62\].

**D. Restrictions on Expenditures of More Than \$50.** An expenditure of
more than \$50, except for expenditures made by a candidate from his or
her own funds may not be made in cash and must be made by written
instrument drawn upon a campaign account containing the name of the
committee and the name of the recipient. An expenditure of more than
\$50 must be accounted for by a written receipt indicating the date of
the expenditure, the amount of the expenditure, the name and address of
the recipient and the item or service pur­chased \[63\].

**E. Expenditures by an Agent, Independent Contractor, or Advertising
Agency for a Committee.** An expenditure may not be made, other than for
overhead or normal operating expenses, by an agent, independent
contractor, or advertising agency on behalf or for the benefit of a
committee unless the expen­diture is reported by the committee as if the
expenditure were made directly by the committee. The agent, independent
contractor, or advertising agency must make all information required to
be reported available to the committee \[64\].

**F. Prohibition of Expenditures in Excess of Fair Market Value.** An
ex­penditure may not be made that is in excess of the fair market value
of services, materials, facilities, or other things of value received in
exchange \[65\].

**G. Use of Campaign Contributions.** Contributions accepted by a
can­didate committee may not be converted by any person to any personal
use, but must be used, together with any interest income earned on such
contributions, to defray any campaign expenditures or any ordinary and
necessary nonreimbursed expenses incurred by the person in connection
with his or her duties as a holder of the state office, including but
not limited to expenses for use in a future elec­tion campaign, for
political activity, for community activity, or for nonreim­bursed
office‑related expenses. Campaign contributions shall not be used for
any other purposes except as permitted for the disposition of surplus
funds \[66\].

Contributions accepted by any political action committee or party
committee may not be converted by any person to any personal use and
must be used to defray any campaign expenditures and to further the
committee\'s purposes. Campaign contributions may not be used for any
other purposes except as per­mitted for the disposition of surplus funds.
A committee with an unexpended balance of funds not otherwise obligated
for the payment of expenses to further the committee\'s purposes must
designate how the surplus funds are to be dis­posed of on the
committee\'s statement of organization, and surplus funds may not be
expended for any other purpose. The designated use or uses for surplus
funds may be changed by the committee by filing an amended statement of
or­ganization, but no contributions received prior to the date the
amended state­ment of organization is filed with the State Ethics
Commission may be used for the amended use or uses \[67\].

**IV. REPORTING REQUIREMENTS**

**A. General Requirements.** The State Ethics Commission is the filing
officer or of­ficial repository for statements of financial interests,
statements of organization, last minute contribution reports, last
minute independent expenditures reports, statements of inactivity,
campaign contributions and expenditures reports, lobby­ist expenditure
reports, and such other documents filed by committees, state of­ficers,
state employees, lobbyists, and other persons as pertain to its duties
\[68\].

In order to be deemed timely filed, reports, registrations, statements,
or any other documents required to be filed with the State Ethics
Commission must be re­ceived by the Commission by hand, mail, facsimile
transmission, telegram, or ex­press delivery service not later than 5
p.m. on the day specified for filing \[69\].

In lieu of filing paper copies of all required reports, a committee may
file such reports by delivering or mailing a computer diskette or
electronically transmit­ting the required form containing the
appropriation information to the State Ethics Commission on form
software provided by the Commission. All required reports filed by
computer diskette or electronic transmission must be followed by
deliv­ering, faxing, or mailing a signed and, if required, notarized copy
of the form only without schedules or attachments. The date of receipt
of the diskette or electronic transmission constitutes the date of
receipt of the report if, and only if, the paper copy is received or
postmarked by the date the report was due \[70\].

The treasurer of a committee or, in the treasurer\'s absence, the deputy
treas­urer is to file in a timely manner the appropriate reports or
statements on the forms prescribed by the State Ethics Commission or, at
the committee\'s option, on computer diskettes or by electronically
transmitting the required data on form software provided by the State
Ethics Commission. Filing on computer diskettes or by electronic
transmission is required for the next quarterly or preelection reporting
period following the date on which a committee exceeds the applicable
threshold beginning July 1, 1997, as follows:

\(1\) A candidate committee of a candidate for statewide elective office
that accepts contributions or makes expenditures in excess of \$5,000
during a cam­paign.

\(2\) A political action committee or political party committee that
accepts con­tributions or makes expenditures in excess of \$10,000 during
a calendar year \[71\].

The State Ethics Commission is required to send by first class mail a
notice of obliga­tion to file and appropriate paper forms for filing the
necessary report or state­ment no less than 10 days before the first day
a report is due for each period for which a committee is required to
file or electronically transmit such statement or report. The State
Ethics Commission must notify each registered committee no less than 10
days before each filing date for a monthly or quarterly report. The
Commission is to send a notice of obligation to file a pre‑election
report to a committee if information provided on the statement of
organization indicates probable involvement in a particular election
\[72\].

A committee is not relieved of its reporting responsibilities if the
State Ethics Commission fails to send a notice or form or the committee
does not receive a notice or form \[73\].

Reports must be filed on a form or computer diskette or by electronic
submis­sion using form software specified by the State Ethics Commission.
Electronic filings must be followed by delivering, faxing, or mailing a
signed and notarized paper copy of the form only without schedules or
attachments received or postmarked by the date the report was due.
Except for a report submitted on a computer­ized printout, a paper copy
of a report filed must be typed or printed in black ink on forms
supplied by the State Ethics Commission or on legible direct
reproduc­tions of the forms. A report may be filed with the State Ethics
Commission on a com­puterized printout if the Commission reviews and
approves the proposed format for use by the committee before the format
is used to file a report, the printer used is of a double‑strike or
laser quality, individual sheets are separated, and the Commission
reviews and approves a proposed amendment to the format for use by the
committee before the amended format is used to file a report \[74\].

**B. Key Terminology.** The following terms are used in the campaign
report­ing law:

A \"ballot measure\" is an initiative, referendum, legislative
referendum, legisla­tive initiative, state question, or any proposition
or measure submitted to voters for their approval or rejection at a
statewide election \[75\].

A \"candidate\" is a person who seeks nomination or election to state
office, which includes state executive officer, state senator, state
representative, district judge, associate district judge, and district
attorney. An individual is a candidate when the individual (1) has filed
a declaration of candidacy for any state office with the secretary of
the state election board, (2) has filed a declaration of can­didacy with
the secretary of state and has drawn active opposition, (3) is nomi­nated
as a \"substitute candidate,\" or (4) solicits or accepts contributions,
makes expenditures, or gives consent to an individual, organization,
party committee, or other committee to solicit or accept contributions
or make expenditures to se­cure election to any state 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, the contribution is
accepted, or the expenditure is made. The term \"can­didate\" includes a
person whose candidacy is unopposed \[76\].

A \"candidate committee\" is the committee, consisting of one or more
persons who may be the candidate only, designated by a candidate to
promote the can­didate\'s candidacy and serve as the recipient of all
contributions and the dis­burser of all expenditures for the candidate
\[77\].

A \"committee\" is a candidate committee, political action committee, or
party committee \[78\].

A \"party committee\" is a political party or any affiliated or
connected entity \[79\].

A \"political action committee\" is a combination of at least two
individuals or a person other than an individual (1) with the primary
purpose of supporting or opposing a candidate or candidates or a party
committee, except those required to file with the Federal Election
Commission, or supporting or opposing a ballot measure and (2) that
accepts or gives contributions or makes expenditures from a joint
account aggregating at least \$500 during a calendar year \[80\].

The term \"political action committee\" does not include (1) a party
committee or a candidate committee, (2) a person other than an
individual when that per­son makes an expenditure or expenditures from an
account to which contribu­tions have not been solicited or accepted from
any other persons or individuals and the expenditure or expenditures are
required by State Ethics Commission rules to be reported by the
recipient committee or committees as a contribution or con­tributions,
and (3) a combination of individuals or a person other than an
indi­vidual if the combination of individuals or a person other than an
individual so­licits contributions on behalf of a committee, any
contributions received as a re­sult of the solicitation are forwarded to
the committee without being deposited in any account, and the
contributions are required by these rules to be reported by the
committee that receives the contributions \[81\].

A \"political party\" is any political party so recognized for the
purpose of hav­ing candidates appear on the ballot \[82\].

**C. Statement of Organization**

**1. Candidate Committee.** A candidate shall designate one candidate
committee by filing a statement of organization no later than 10 days
after ac­cepting or expending in excess of \$500 or filing a declaration
of candidacy, whichever is earlier \[83\].

A candidate may not designate more than one candidate committee, the
name of which must include the name of the candidate designating the
committee. No committee, other than the designated candidate committee,
is permitted to in­clude in its name the name of the candidate or any
words identifying that com­mittee with a candidate; however, the use of
the name of one candidate by another candidate with a duplicate name
does not constitute a violation of this restriction \[84\].

The statement of organization for a candidate committee is to include
(1) the full name of the candidate and the candidate\'s committee and,
if amending a former statement of organization, the number assigned by
the State Ethics Commission for the committee pursuant to the initial
registration, (2) the party affiliation, if any, of the candidate, (3)
the complete mailing address and telephone number of the candidate and
the candidate\'s residence address, if different from the mailing
address, (4) the date the committee was organized, (5) the office being
sought by the candidate and the year of the general election to fill the
office, (6) the full name, mailing address, telephone number, and
principal place of business of the chair, the treasurer, and, if
appointed, a deputy treasurer, (7) the full name and address of each
depository in which the committee will maintain a campaign ac­count, (8)
written acceptance of appointment by the chair and treasurer and, if
appointed, deputy treasurer, (9) a designation of the use or uses of
surplus funds, and (9) a certification of the statement by the candidate
and the treasurer or, in the treasurer\'s absence, the deputy treasurer
\[85\].

The candidate is required to notify the State Ethics Commission in
writing or by elec­tronic transmittal of a change in information
previously reported in a statement of organization no later than 10
business days after the change, except for a change in information
relating to committee officer vacancies \[86\].

**2. Political Action Committee or Political Party Committee.** A
com­mittee other than a candidate committee, including an out‑of‑state
committee, that accepts one or more contributions or makes one or more
expenditures in excess of \$500 in the aggregate in the state in a
calendar year must file or elec­tronically transmit a statement of
organization with the State Ethics Commission no later than 5 days after
accepting the contributions or making the expenditures. A new statement
of organization is to be filed or electronically transmitted bet­ween
January 1st and January 15th of each year thereafter. Electronic filing
is to be followed by mailing or faxing a signed and certified paper copy
of the form. A committee may also file a statement of intent indicating
the committee's intention neither to accept contributions nor make
ex­penditures in excess of \$500 in the aggregate during the current
calendar year. The statement of intent must be filed on or before the
final day for filing the quarterly report due between April 1^st^ and
15^th^ in order to avoid filing quarterly reports for that calendar
year. If the committee thereafter accepts or expends in excess of \$500
in the aggregate in the same or a future calendar year, a new statement
of organization must be filed within 5 days after accepting the
contributions or making the expenditures \[87\].

The statement of organization for a committee other than a candidate
com­mittee is to include:

\(1\) The full name of the committee, which may not include the name of
a candidate, and, if amending a former statement of organization, the
number as­signed by the State Ethics Commission for the committee
pursuant to the initial regis­tration.

\(2\) The complete mailing address and telephone number of the
committee.

\(3\) The date the committee was organized.

\(4\) The purpose of the committee including its FEC number if the
committee is registered under the laws of the United States.

\(5\) An indication as to whether the committee is a party committee.

\(6\) The name and mailing address of a corporation, labor organization,
or other association that sponsors the committee or is affiliated with
the committee or, if the committee is not sponsored by or affiliated
with a corporation, labor organization, or other association, the trade,
profession, or primary interest of contributors to the committee.

\(7\) The full name, mailing address, telephone number, and principal
place of business of the chair.

\(8\) The full name, mailing address, telephone number, and principal
place of business of the treasurer and, if appointed, a deputy
treasurer.

\(9\) An indication of whether the committee was formed to support or
oppose a specific ballot measure or measures and, if so, a brief
description of the ques­tion.

\(10\) The full name, mailing address, telephone number, and principal
place of business of the custodian of the books and accounts if other
than the designated officers.

\(11\) The full name and address of each depository in which the
committee will maintain its campaign account.

\(12\) Written acceptance of appointment by the chair and treasurer and
depu­ty treasurer, if appointed.

\(13\) Designation of the use or uses of surplus funds.

\(14\) A certification of the statement by the chair and the treasurer
or, in the treasurer\'s absence, the deputy treasurer \[88\].

The chair is to notify the State Ethics Commission in writing or by
electronic trans­mittal of a change in information previously reported in
a statement of organiza­tion no later than 10 business days after the
change, except for a change in in­formation relating to committee officer
vacancies \[89\].

**3. Exemptions.** The requirement to file a statement of organization
and reports of contributions and expenditures does not apply to
out‑of‑state political action committees that accept contributions and
that contribute in Oklahoma only through an affiliated or connected
Oklahoma political action committee that registers and files reports of
contributions and expenditures pursuant to the campaign reporting law
\[90\].

**D. Appointment of Committee Officers.** A committee officer must
accept his or her appointment in writing on the statement of
organization. A person may be chair, treasurer, or both chair and
treasurer of the committee; however, a candidate may not serve as the
treasurer or deputy treasurer, except as the treasurer of the
candidate\'s own committee. A deputy treasurer may also be appointed and
serve in the treasurer\'s capacity in the absence of the treasurer. The
designation of the deputy treasurer also must be on the statement of
organ­ization. A treasurer, deputy treasurer, or agent of the committee,
other than an out‑of‑state committee, must be a resident of this state
\[91\].

The committee treasurer or, in the treasurer\'s absence, the deputy
treasurer is to maintain and preserve an account of (1) the total of
contributions accepted by the committee, (2) the contributor statement
and a copy of an accepted check or written instrument evidencing the
contribution, (3) the total of expenditures made by or on behalf of the
committee, (4) all receipted bills, canceled checks, or other proofs of
payment, with an explanation of each, for each expenditure, and (5) any
other documentation necessary to file the reports required by the
campaign reporting law \[92\].

Campaign contributions and expenditures reports for a candidate
committee are to be signed by the candidate and the treasurer or, in the
treasurer\'s ab­sence, the deputy treasurer. Campaign contributions and
expenditures reports for a committee other than a candidate committee
are to be signed by the chair and the treasurer or, in the treasurer\'s
absence, the deputy treasurer of the committee. The signers are to
attest to the report\'s accuracy and veracity. All signatures shall be
notarized \[93\].

A treasurer, a deputy treasurer, or chair of a candidate committee may
be re­moved from office by the candidate. When a vacancy occurs in a
committee of­fice, the State Ethics Commission must be notified no later
than 5 business days after the vacancy occurs, and when an officer has
been appointed to fill the vacancy, the State Ethics Commission must be
notified as to the appointment and be provided all information required
by the statement of organization for the new appointee no later than 5
business days after the appointment \[94\].

**E. Establishment of Campaign Depositories and Campaign Accounts.** A
committee, other than an out‑of‑state committee, is required to
establish one or more campaign depositories in financial institutions
that ordinarily conduct business within the state and in offices located
within the state that ordinarily conduct business with the general
public. The committee is to maintain a cam­paign account in each
depository in the name of the committee, with no use of acronyms
permitted. The location of a campaign account or accounts must be
disclosed to the State Ethics Commission \[95\].

All contributions, other than in‑kind contributions, accepted by the
committee, directly or indirectly, are to be deposited in a campaign
account within 10 days after acceptance. All contributions received by a
deputy treasurer or agent of the committee, including the candidate, on
behalf of a committee must be pro­vided to the treasurer or, in the
treasurer\'s absence, the deputy treasurer not later than 5 days after
receipt \[96\].

Expenditures of a committee of more than \$50, except for expenditures
made by the candidate from his or her own funds, are to be drawn from a
campaign account and issued on a check signed by the candidate, the
treasurer or, in the treasurer\'s absence, the deputy treasurer, or the
chair of the committee \[97\].

**F. Reports of Contributions and Expenditures**

**1. General Requirements.** The treasurer or, in the treasurer\'s
absence, the deputy treasurer of each candidate committee for a state
office candidate that accepts more than \$500 in aggregate
contributions, each political action committee that supports or opposes
state candidates or ballot measures and con­tributes or expends at least
\$500 in a calendar year, and each party committee of a political party
that has state office candidates is required to file periodic and
pre‑election reports of contributions and expenditures unless the
committee is exempted or another reporting schedule is prescribed
\[98\].

The beginning of the reporting period for the initial report of a
candidate committee is the date the first contribution was accepted or
expenditure was made or declaration of candidacy was filed, whichever is
earlier. The beginning of the reporting period for subsequent reports is
the day following the last day of the previous reporting period \[99\].

The beginning of the reporting period for the initial report of a
committee, other than a candidate committee, is the date the first
contribution was accepted or expenditure was made for a new reporting
committee. The beginning of the reporting period for subsequent reports
is the day following the last day of the previous reporting period
\[100\].

**2. Exemptions.** The following committees are exempted from the
re­quirement to file state reports of contributions and expenditures:

\(1\) Committees registered under the laws of the United States that
contribute more than \$500 in the aggregate or make expenditures
exceeding \$500 in the aggregate in support of or in opposition to a
candidate for state office in an elec­tion cycle, in lieu of filing the
reports prescribed by campaign reporting law, may disclose only
contributions from Oklahoma residents or contributions to Oklahoma state
campaigns for the period prior to and periods following the pe­riod
during which the contribution to a state candidate for office was made.

\(2\) A candidate committee that does not accept contributions exceeding
\$500 in the aggregate will be exempted from filing required reports if
it files an affi­davit with the State Ethics Commission stating either
the committee will not accept contributions or make expenditures
exceeding \$500 in the aggregate. If the committee later determines it
will exceed the threshold, it must file an amended affidavit at least 5
days following the activity and file the next and all succeeding
required reports until dissolution.

\(3\) A statement of intent for minimal calendar year activity may be
filed by a candidate committee by January 15^th^ of any year for the
same year, other than the year of the general election during which the
office sought will be filled. The statement of intent, signed and
certified by the treasurer, must include the name and address of the
candidate committee, the treasurer's name, address, and telephone
number, and a statement that the committee does not intend to accept
contributions nor make expenditures exceeding \$500 during the calendar
year. If the committee later determines it has exceeded \$500 in
contributions or expenditures during the calendar year for which the
statement was filed, it must file an amended statement of organization
within 5 days of such time and file the next and all succeeding
quarterly reports. All required disclosures for which a statement of
intent is filed must be reported for the calendar year in an annual
campaign contributions and expenditures report filed between January
1^st^ and 15^th^ following the end of the calendar year for which the
statement of intent was filed.

\(4\) The requirement to file reports of contributions and expenditures
does not apply to a candidate committee that (a) has accepted a transfer
from that candidate\'s former campaign but which has neither accepted
other contributions nor made expenditures in excess of \$500 in the
aggregate in addition to such transfer and (b) has complied with the
requirements of Section IV.F.2(2), *supra*, concerning the exemption of
a candidate committee that does not accept contri­butions exceeding \$500
in the aggregate \[101\].

**3. Periodic Reports**

**a. Quarterly Reports by Candidate Committees, Political Party
Committees, and Political Action Committees Supporting or Opposing
Candidates.** Quarterly reports of contributions and expenditures are to
be filed no later than January 31st, April 30th, July 31st, and October
31st and include all con­tributions accepted and expenditures made as of
December 31st, March 31st, June 30th, and September 30th, respectively.
Quarterly reporting periods may be extended to include the month
following the end of the quarter when filing a quarterly and final
report on the same form as long as the report is filed not later than
the due date for the quarterly report (*see also* Section VI.A, *infra*)
\[102\].

The first report filed by a candidate committee is the next report due
follow­ing the filing of a statement of organization. The first quarterly
report due after a general election in which a committee supported or
opposed candidates or is­sues on the ballot covers a period beginning
with the first day following the end of the reporting period of the
pre‑election report for the general election and end with the last day
of the quarter \[103\].

**b. Monthly Reports by Political Action Committees Supporting or
Opposing Ballot Measures.** A committee supporting or opposing a ballot
measure or supporting or opposing a candidate and a ballot measure is to
file monthly reports of contributions accepted and expenditures made no
later than the 10th day of each month and include all contributions and
expenditures made the previous month. The first report filed is the next
report due following the filing of a statement of organization \[104\].

**c. Statements of Inactivity.** If a committee has accepted no
contribu­tions and has made no expenditures during a reporting period,
the treasurer or, in the treasurer\'s absence, the deputy treasurer is
to file a statement of inactivity \[105\].

**4. Pre‑Election Reports.** A committee is required to file a
pre‑election report for each primary, runoff primary, and general
election and for any special election, including a special primary
election, if any, for which a registered committee accepts a
contribution or makes an expenditure in support of or in opposition to a
candidate for office in that election cycle or a ballot measure on the
ballot in that election \[106\].

A pre‑election report is to be filed no later than 8 days and no earlier
than 14 days before an election and include information for all
transactions made since the end of the last reporting period through 15
days before the date of the elec­tion. The pre‑election report filed
prior to the primary and runoff primary sub­stitute for the quarterly
report due on October 31st for a candidate committee during an election
year of the candidate or a committee supporting or opposing only
candidates in an election cycle \[107\].

**5. Contents of Reports of Contributions and Expenditures and
State­ments of Inactivity.** The campaign contributions and expenditures
report is to include:

\(1\) Administrative information: (a) committee name and address, (b)
candi­date\'s name and mailing address if a candidate committee or title
or number of the ballot measure if supporting or opposing a ballot
measure, (c) type of report (required, amended, or final), (d) period
covered by the report, and (e) the of­fice sought and the year of the
general election or special general election for the candidate that is
supported or opposed by the committee or the date of the election for
the ballot measure, if known, that is supported or opposed by the
committee.

\(2\) The difference between the sum of contributions (other than
in‑kind con­tributions), loans, and other receipts reported and
expenditures (other than in‑kind expenditures) reported on the last
campaign contributions and expenditures report.

\(3\) Information about monetary contributions accepted from persons
other than political action committee: (a) the total sum of all
con­tributions accepted during the current reporting period less
contributions from the lender, guarantor, or endorser of a reported
loan, (b) the total of contribu­tions accepted for the campaign to date
or calendar year to date less contribu­tions from the lender, guarantor,
or endorser of a reported loan, (c) the number of contributors making
contributions of \$50 or less accepted and the total amount of
contributions in the amount of \$50 or less in the aggregate accepted
during the reporting period less contributions from the lender,
guarantor, or endorser of a reported loan, (d) the name, address,
occupation, and employer or principal business activity of each
contributor contributing in excess of \$50 in the aggregate during the
reporting period, (e) the date accepted, amount, and nature (cash,
draft, or in‑kind) of each contribution by the contributor during the
reporting period and (f) the total contributions of the contributor to
the campaign to date for candidate committees and year to date for other
committees.

\(4\) Information about monetary contributions from political action
committees: (a) the total sum of all con­tributions accepted during the
current reporting period, (b) the total of contribu­tions accepted for
the campaign to date or calendar year to date, (c) the number of
political action committees making contributions of \$50 or less
accepted and the total of contributions in the amount of \$50 or less in
the aggregate accepted during the reporting period, and (d) the name,
address, and principal interest or principal business activity of each
political action committee contributing in excess of \$50 in the
aggregate during the reporting period, (e) the date accepted, amount,
and nature (cash, draft, or in‑kind) of each contribution by the
political action committee during the reporting period, and (f) the
total contributions of the political action committee to the campaign to
date for candidate committees and year to date for other committees.

\(5\) Information about loans, promissory notes, or security agreements
the proceeds of which are to be used by or for the benefit of the
candidate\'s cam­paign or the committee: (a) the total amount of all
loans, promissory notes, or security agreements received during the
reporting period and the total amount of loans, promissory notes, or
security agreements for the campaign to date for candidate committees
and year to date for other committees, (b) the amount of each loan,
promissory note, or security agreement during the reporting period and
the date and amount of each loan, promissory note, or security
agreement, the name and address of the lending institution, the name and
address of each lender, guarantor or endorser, the year‑to‑date or
campaign‑to‑date total, and the terms of the loan, promissory note, or
security agreement, including the in­terest rate and repayment schedule.

\(6\) Written agreements to make a contribution to be reported
separately and in the same manner as other monetary contributions.

\(7\) The same information for in‑kind contributions as for monetary
contribu­tions, including a description of the in‑kind contribution.

\(8\) Information about other receipts: (a) the total of refunds,
rebates (other than those that qualify as contributions), interest, or
other receipts not previous­ly identified during the reporting period and
the campaign‑to‑date total for can­didate committees and year‑to‑date
total for other committees.

\(9\) The amount of funds loaned or donated by a corporation, labor
organiza­tion, or other person to its political action committee for the
establishment and for solicitation costs of the committee.

\(10\) The aggregate total of contributions, loans, and other receipts,
including payment of solicitation costs for a political action committee
by a corporation, labor organization, or other person, during the
reporting period and the cam­paign‑to‑date aggregate total for candidate
committees and year‑to‑date ag­gregate total for other committees.

\(11\) Information about expenditures: (a) the total of expenditures
made dur­ing the reporting period and the year‑to‑date or
campaign‑to‑date total, (b) the amount, the date, and a brief
description of what was purchased for each indi­vidual campaign
expenditure in excess of \$50 in the aggregate to one entity made during
the reporting period and the purpose of the expenditure (disburse­ments
to consultants, advertising agencies, and similar firms, credit card
expens­es, and candidate reimbursements are to be itemized to permit a
reasonable per­son to determine the ultimate intended purpose of the
expenditure), and (c) the total amount of all campaign expenditures not
required to be reported. Com­mittees may file all expenditures in lieu of
the additional bookkeeping require­ment of grouping together all
expenditures aggregating \$50 or less to one entity and all expenditures
aggregating more than \$50 to one entity. A committee may not divide
expenditures that would otherwise be made individually for the pur­pose
of evading the reporting requirements.

\(12\) Information about independent expenditures: (a) the total of
independ­ent expenditures made during the reporting period and the
year‑to‑date or cam­paign‑to‑date total, (b) the amount, the date and a
brief description of what was purchased for each individual independent
expenditure in excess of \$50 in the aggregate made during the reporting
period and the purpose of the expenditure and (c) the total of
independent expenditures not required to be reported. Committees may
file all independent expenditures in lieu of the additional bookkeeping
requirement of grouping together all independent expenditures
ag­gregating \$50 or less to one entity and all independent expenditures
aggregating more than \$50 to one entity. A committee may not divide
independent expen­ditures that would otherwise be made individually for
the purpose of evading the reporting requirements.

\(13\) Information about transfers to other committees: (a) the total
amount of transfers to other committees for the reporting period, (b)
the total amount of all transfers to other committees for the campaign
to date for candidate commit­tees and the year to date for other
committees, and (c) the amount of each transfer during the reporting
period, the name and address of each recipient, the date tendered, the
nature of the transfer, and the total transfers to the recipient for the
campaign to date for candidate committees and year to date for other
committees;

\(14\) Information about expenditures incurred: (a) the total amount of
all ex­penditures incurred, (b) the amount of each expenditure incurred
if the amount is in excess of \$50 in the aggregate to one entity, a
brief description of what was purchased, the purpose of the purchase,
and the date the goods or services were delivered, and (c) the total
amount of expenditures incurred but not required to be reported.
Committees may file all expenditures incurred in lieu of the addi­tional
bookkeeping requirement of grouping together all expenditures incurred
aggregating \$50 or less to one entity and all expenditures incurred
aggregating more than \$50 to one entity. An expenditure incurred must
be reported on each report filed after the date of receipt of goods or
services until payment is made to the vendor. A payment is to be listed
as an expenditure when the payment is made; however, committee may not
divide expenditures incurred which would otherwise be made individually
for the purpose of evading the reporting re­quirements.

\(15\) Information about unpaid loans, promissory notes, or security
agree­ments the proceeds of which were used by or for the benefit of the
candidate\'s campaign or the committee: (a) the total balance of loans,
promissory notes, and security agreements owed by the committee during
the reporting period, (b) each loan, promissory note, or security
agreement owed by the committee item­ized by name and address and the
date of the loan, promissory note and/or se­curity agreement, (c) the
total balance of loans, promissory notes, and security agreements owed
to the committee, and (d) each loan, promissory note, or se­curity
agreement owed to the committee itemized by name and address and the
date of the loan, promissory note, or security agreement.

\(16\) The difference between the sum of contributions (other than
in‑kind contributions), loans, and other receipts reported and
expenditures (other than in‑kind expenditures) as of the end of the
reporting period.

\(17\) For a candidate committee, other than a committee of a candidate
for judicial office, the notarized signatures of the candidate and the
treasurer or, in the treasurer\'s absence, the deputy treasurer and, for
a committee other than a candidate committee, the notarized signature of
the treasurer or, in the treasurer\'s absence, the deputy treasurer of
the committee, certifying that prior to accepting any contribution
requiring a contributor state­ment during this campaign or calendar
year‑to‑date, the treasurer or, in the treasurer\'s absence, the deputy
treasurer received a contributor statement there­for and attesting to the
report\'s accuracy and veracity \[108\].

A statement of inactivity must include the following information:

\(1\) Administrative information: (a) committee name and address, (b)
candi­date\'s name and mailing address if a candidate committee or title
or number of the ballot measure if supporting or opposing a ballot
measure, (c) type of report (required, amended, or final), (d) period
covered by the report, and (e) the of­fice sought and the year of the
general election or special general election for the candidate that is
supported or opposed by the committee or the date of the election for
the ballot measure, if known, that is supported or opposed by the
committee.

\(2\) A statement that a contribution was not accepted and an
expenditure was not made during the reporting period.

\(3\) For a candidate committee, the notarized signatures of the
candidate and the treasurer or, in the treasurer\'s absence, the deputy
treasurer and, for a committee other than a candidate committee, the
notarized signature of the treasurer or, in the treasurer\'s absence,
the deputy treasurer of the committee, attesting to the report\'s
accuracy and veracity \[109\].

Interest earned, filing fees paid, or service charges to financial
institutions paid are not considered to be activity by the committee
that would prevent the com­mittee from filing a statement of inactivity
but must be reported on the next campaign contributions and expenditures
report filed \[110\].

**G. Report of Last Minute Contributions or Loan Proceeds.** A
contribu­tion or contributions of \$500 or more in the aggregate accepted
from one person or family or loan proceeds received in the amount of
\$500 or more after the closing date for the pre‑election reporting
period but before the election (except for prior reported contributions
or loan proceeds) must be reported to the State Ethics Commission on the
appropriate form within 24 hours of receipt. Reports are to be made on
the appropriate form or computer diskette containing form software
provided by the State Ethics Commission by U.S. mail, hand delivery,
facsimile transmission, telegram, or express delivery service to the
State Ethics Commission or electronically transmitted within 24 hours of
receipt. Electronic fil­ings must be followed by delivering, faxing, or
mailing a signed paper copy of the form received or postmarked by the
date the report was due \[111\].

Reports are not required by a candidate committee that does not have its
can­didate on the following ballot, by a ballot measure committee that is
not sup­porting or opposing a ballot measure on the following ballot, or
by committees that are not supporting or opposing candidates in that
election cycle or ballot measures on the following ballot \[112\].

The report is to include (1) the name and address, occupation and
employer or principal interest or principal business activity of the
contributor, the date ac­cepted, the amount of the contribution or
contributions, and the total of contributions accepted from the
contributor for the campaign to date or calendar year to date or (2) the
name and ad­dress of the lender and the date of the loan, promissory
note, or security agree­ment resulting in the loan proceeds. With respect
to a candidate committee, the report must be signed by the candidate or
treasurer or, in the treasurer\'s ab­sence, the deputy treasurer; with
respect to a committee other than a candidate committee, the report must
be signed by the chair or the treasurer or, in the treasurer\'s absence,
the deputy treasurer of the committee. This contribution must also be
included on the next report of contributions and expenditures filed or
electronically transmitted by the committee \[113\].

**H. Report of Last Minute Independent Expenditures.** A person that
makes an independent expenditure of \$500 or more after the closing date
for the pre‑election reporting period but before the election must
report the total amount, the date, a brief description of the
consideration for the expenditure, and the purpose of the expenditure to
the State Ethics Commission within 24 hours of making the expenditure.
Reports are to be made on the paper form or by com­puter diskette or
electronically transmitting the information on the form or form software
provided by the State Ethics Commission to the Commission office by U.S.
mail, hand delivery, facsimile transmission, telegram, or express
delivery service. Electronic filings must be followed by delivering,
faxing, or mailing a signed pa­per copy of the form received or
postmarked by the date the report was due. The report must be signed by
the person making the expenditure or the treasur­er or, in the
treasurer\'s absence, the deputy treasurer of a reporting committee, who
is to attest to the report\'s accuracy and veracity. This information
must be included on the next report of contributions and expenditures
filed on paper or computer diskette or electronically transmitted by the
reporting committee or person \[114\].

**I. Statement of Financial Interests.** A person who is a candidate for
elec­tive state office must file either a statement of financial
interests or, if applicable, a statement of no change by paper form,
com­puter diskette, or electronic transmittal with the State Ethics
Commission on or before the 10^th^ day following the last day for filing
the declaration of candidacy and include the required information for
the preceding calendar year. Information concerning governmental
entities from which income of more than \$5,000 was received, persons
from which income in cash or in‑kind of more than \$5,000 was received,
lobbyists from which income of more than \$5,000 was received, and
businesses or entities in which securities valued at \$5,000 or more
were held must be reported \[115\].

**V. TAX PROVISIONS**

**A. Income Tax Deduction**. A person who contributes money to a
political party or candidate is entitled to deduct the amount
contributed but not more than \$100 in any one taxable year from the
person\'s adjusted gross income in the computation of state income tax
owed \[116\].

**VI. POST‑ELECTION REQUIREMENTS**

**A. Dissolution Procedures and Final Report of Contributions and
Expenditures.** A candidate committee may not dissolve until (1) after a
primary election, a special primary, or a run‑off primary election in
which the candidate who designated the committee is elected or defeated,
(2) af­ter the general election or special general election in which such
candidate\'s name appears on the ballot, (3) after the last day for
filing a declaration of can­didacy for the candidate who is unopposed in
the primary, run‑off primary and general election, or special primary
and special general election, (4) after the candidate\'s name has been
stricken from the ballot, (5) after withdrawal of such candidate\'s
candidacy, or (6) after the committee determines that it will not ac­cept
contributions or make expenditures \[117\].

A political action committee or a party committee may dissolve only
after it determines that it will not accept contributions or make
expenditures. A politi­cal action committee formed to support or oppose
one or more related ballot measures may not accept or make expenditures
toward a new unrelated ballot measure but may file a final report
transferring surplus funds to a new commit­tee form such purpose. The new
committee then must register and report as re­quired by the campaign
reporting law \[118\].

Upon dissolution, a committee is required to file a final campaign
contribu­tions and expenditures report by paper form, computer diskette,
or electronic transmittal at the time or before a scheduled filing is
due. Electronic filings must be followed by delivering, faxing, or
mailing a signed and notarized paper copy of the form only without any
schedules or attachments received or post­marked by the date the report
was due. The form or transmittal must be marked \"final\" and include a
list of the material assets worth \$50 or more and detail their
disposition \[119\].

A final report and a quarterly report may be filed on the same form or
the final report may be filed separately. A quarterly report designated
as a final report must include contributions or expenditures, if any,
that occur from the end of the quarterly reporting period until the time
the report is filed without changing the due date of the quarterly
report \[120\].

If a committee owes or is owed money, the committee may dissolve, but
must report the status of the debts on the same dates as campaign
contributions and expenditures reports would be due until all debts are
resolved. The methods of resolution must also be detailed. Committee
assets must be disposed of in accordance with the campaign re­porting law
before dissolution \[121\].

**B. Disposition of Surplus Funds**

**1. Candidate Committee.** A candidate whose candidate committee has an
unexpected balance of funds not otherwise obligated for authorized
purposes must designate how the surplus funds are to be distributed.
Surplus funds may be disposed of for the following uses, which must be
set forth on the commit­tee\'s statement of organization, and may not be
expended for any other purpose:

\(1\) Deposited with the state treasurer.

\(2\) Returned to the contributors pursuant to any formula approved by
the candidate, but any amount returned to a contributor may not exceed
the amount of the original contribution.

\(3\) Contributed to a charitable organization.

\(4\) Retained by the candidate or candidate committee for use in a
future election for a 6‑year period following the general election for
the same or a dif­ferent office.

\(5\) Used to defend legal actions or proceedings arising out of the
campaign, election, or the performance of the candidate\'s official
duties as a state officer; however, a candidate/officeholder who, in the
course of such legal actions or proceedings, is found to have violated
statutes or any provision of the campaign reporting law must repay funds
used for his or her legal defense to his or her candidate committee.

\(6\) Used for a community activity.

\(7\) Used for political activity.

\(8\) Transferred to the state or local central committee of a political
party.

\(9\) Distributed using a combination of these options \[122\].

The designated use or uses for surplus funds may be changed by the
candidate committee by filing an amended statement of organization, but
no contributions received prior to the date the amended statement of
organization is filed with the State Ethics Commission may be used for
the amended use or uses \[123\].

**2. Political Action Committee Supporting or Opposing Candidates.**
Surplus funds of committees other than candidate committees formed
solely to support or oppose candidates may be (1) deposited with the
state treasurer, (2) returned to the contributors pursuant to any
formula approved by the commit­tee (but any amount returned to a
contributor must not exceed the amount of the original contribution), or
(3) donated to another committee \[124\].

**3. Political Action Committee Supporting or Opposing Ballot
Meas­ures.** Surplus funds of committees formed to support or oppose
ballot measures may be (1) deposited with the state treasurer, (2)
returned to the contributors pursuant to any formula approved by the
committee (but any amount returned to a contributor must not exceed the
amount of the original contribution), (3) donated to a charitable
organization, a community activity, or other committees formed solely to
support or oppose ballot measures \[125\].

**VII. OFFENSES AND PENALTIES**

**A. Constitutional Enforcement Authority of State Ethics Commission.**
The State Ethics Commission is required to investigate and, when it
deems appropriate, prosecute in the district court of the county where
the violation occurs, viola­tions of its rules governing campaigns, state
officers, and state employees. The Commission may settle investigations
and accept payment of fines without court order \[126\].

**B. Administrative Enforcement Procedure.** The State Ethics Commission
is to review a random sample of filed registrations, reports, and
statements for com­pliance with the campaign reporting law and notify the
individual, if a candidate, the treasurer or deputy treasurer, if a
committee other than a candidate commit­tee, on whose behalf the report
or statement is filed, or other filer of any mate­rial omission or
deficiency \[127\].

The State Ethics Commission is to conduct investigations and hearings
concerning al­leged violations of its rules governing ethical conduct for
campaigns for elective state office and for initiatives and referenda
and ethical conduct of state officers and employees and to certify its
own acts and records and determine whether to investigate and act upon
an allegation \[128\].

When it deems appropriate, the State Ethics Commission must prosecute in
the dis­trict court of the county where the violation occurred violations
of the State Ethics Commission rules governing ethical conduct of
campaigns, state officers, state employees, and lobbyists. The
Commission may settle allegations or investiga­tions and accept payment
of fines without court order \[129\].

**C. Civil Penalties.** The State Ethics Commission may recommend to the
district court and the district court, upon finding that a respondent
has violated the State Ethics Commission regulations, may assess one of
the following penalties:

\(1\) Non‑willful violations: (a) not to exceed one \$1,000 per
violation for in­advertent disclosure violations in registrations,
reports, or statements filed, (b) not to exceed \$2,000 per violation
for inadvertent failure to file registrations, re­ports, statements, or
changes in information relating to committee officer vacan­cies or for
inadvertent non‑disclosure violations, and (c) for other inadvertent
violations, not to exceed \$15,000 per violation or an amount up to
three times the amount of the total amount of an unlawful contribution
or expenditure, whichever is greater.

\(2\) Willful violations: (a) a fine not to exceed \$50,000 and/or (b)
censure, suspension, or removal from office, if authorized fifty
thousand dollars (\$50,000).

\(3\) Third and subsequent violations: a fine not to exceed \$25,000 per
viola­tion for inadvertent violations or \$50,000 for willful violations
or an amount up to three times the amount of the total amount of an
unlawful contribution or ex­penditure, whichever is greater.

\(4\) Violations relating to or arising out of a candidacy: require the
candidate, elective officer, or committee to either forfeit a prohibited
contribution or the excessive portion of a contribution to be deposited
with the state treasurer to the credit of the general revenue fund or
return a prohibited contribution or the excessive portion of a
contribution to the original contributor \[130\].

**C. Criminal Penalties.** A person who knowing and willful violates any
re­striction on contributions that may be made to or accepted by a
candidate, can­didate committee, political action committee, or political
party committee is sub­ject upon conviction to the following criminal
penalties for the designated crime: (1) where the aggregate amount
contributed exceeds the applicable contribution limitation by \$5,000 or
more‑‑a felony punishable by a fine of up to four times the amount
exceeding the contribution limitation, imprisonment in the state
penitentiary for up to one year, or both or (2) where the ag­gregate
amount contributed is less than \$5,000 in excess of the applicable
con­tribution limitation‑‑a misdemeanor punishable by a fine of not more
than three times the amount exceeding the contribution limitation or
\$1,000, whichever is greater, imprisonment in the county jail for up to
one year, or both \[131\].

A state official who directs or authorizes the expenditure of public
funds in support of or in opposition to an initiative or referendum is
guilty of a misde­meanor, and the office held must be adjudged vacant
\[132\].

An elected or appointed state official, the official\'s employee, or
another on behalf of and for the state official who violates the
prohibition against solicita­tion or acceptance of contributions for a
candidate for other political office from employees in the state
official\'s department or agency is subject to prosecution by the
appropriate district attorney upon resolution of the state legislature
or either house thereof or upon the authority of the district attorney
on his or her own motion in the absence of legislative resolution. If
the legislature or appro­priate district attorney fails to act within a
reasonable time, any citizen taxpayer may institute a suit against the
violator. Upon conviction, the guilty official or employee must be
removed immediately from office or position and is subject to bond
forfeiture or so much thereof as necessary to reimburse the state for
monies wrongfully expended because of the violation \[133\].

Violations of the restrictions on contributions to a candidate for
corporation commissioner are punishable, upon conviction, as a
misdemeanor \[134\].

A commissioner office of the Highway Patrol Division of the Department
of Public Safety who con­tributes any money or other thing of value to a
political campaign or candidate for public office is guilty of a
misdemeanor \[135\].

A supernumerary tax consultant who contributes to a campaign for public
office commits a misdemeanor and, upon conviction, must be removed from
office \[136\].

A bank that makes a prohibited contribution or expenditure must be fined
not more than \$5,000. Every officer or director who consents to such
contribution or expenditure by a bank and any person who accepts or
receives any such con­tribution must be fined not more than \$1,000,
imprisoned not more than one year, or both fined and imprisoned. If the
violation was willful, the violator must be fined not more than
\$10,000, imprisoned not more than two years, or both \[137\].

**D. Late Filing Fees.** Every candidate or candidate committee for
state or county office and every other committee failing to file
registrations and reports of contributions and expenditures or
statements of inactivity by the prescribed deadline must be assessed by
the State Ethics Commission a late filing fee of up to \$100 for each
day after a report is due that the report remains unfiled; however, the
total amount of late filing fees assessed per report may not exceed
\$1,000 \[138\].

Committees campaigning for or against an initiative or referendum
petition, legislative referendum, or a state question who fail to file
reports of contribu­tions and expenditures by the prescribed deadline
must be assessed by the State Ethics Commission a late filing fee of up
to \$1,000 for each day after a report is due that the report remains
unfiled; however, the total fee assessed per report filing may not
exceed \$10,000.00 \[139\].

Every person failing to file a statement of financial interests or
financial dis­closure statement on or before the prescribed deadline must
be assessed by the State Ethics Commission a late filing fee of up to
\$100 for each day the statement re­mains unfiled; however, the total
amount of late filing fees assessed per state­ment may not exceed \$1,000
\[140\].

The treasurer, except for treasurers for candidates or candidate
committees, may be liable for the late fee. Failure to file a
registration, report, or statement is deemed to be a separate offense
for each day that the registration, report, or statement remains unfiled
after it becomes due. Candidates or candidate com­mittees are not
permitted to pay late filing fees from campaign funds \[141\].

**VIII. RESPONSIBLE STATE AGENCIES**

**A. Oklahoma Ethics Commission.** A 5‑member constitutional Oklahoma
Ethics Commission was created in September 1990 and began operation in
July 1991. The State Ethics Commission is required to promulgate, after
public hearing, rules of ethical conduct for campaigns for elective
state office, initiatives, and referenda and for state officers and
employees, including civil penalties for vio­lations of the rules.
Effective State Ethics Commission rules are to be published in the
official statutes of the state \[142\].

Newly promulgated rules of the State Ethics Commission are to be
presented to each house of the state legislature and to the governor on
the second day of each ses­sion of the legislature. The rules become
effective if they are not disapproved by joint resolution of legislature
during the same legislative session. A joint res­olution of disapproval
is subject to veto by the governor; however, a gubernato­rial veto may be
overridden pursuant to the procedure applicable to the veto of any other
bill or joint resolution. Rules of the State Ethics Commission that
become effective may subsequently be modified or repealed by the
Commission, and the modification or repeal must be submitted to the
state legislature and governor in the same manner as newly promulgated
rules. Effective State Ethics Commission rules may also be modified or
repealed by law passed by a majority vote of the each house of the state
legislature. The law is subject to veto by the governor; how­ever, a
gubernatorial veto may be overridden pursuant to the procedure
appli­cable to the veto of any other bill or joint resolution \[143\].

The State Ethics Commission is the filing officer or official repository
for statements of financial interests, statements of organization, last
minute contribution re­ports, last minute independent expenditures
reports, statements of inactivity, campaign contributions and
expenditures reports, lobbyist expenditure reports, and such other
documents filed by committees, state officers, state employees,
lobbyists, and other persons as pertain to its duties \[144\].

The State Ethics Commission may issue official interpretations of its
ethics rules, and these interpretations are binding on the Commission
\[145\]. Ethics interpretations and informal written opinions issued by
the executive director or general coun­sel of the Commission must be
published annually. The Commission is required to devise and distribute
necessary forms, form software on computer diskettes, and publications,
initiate and continue educational programs, publish and make available
explanatory information, and prepare an annual report and may take other
actions it deems appropriate to fulfill its constitutional or statutory
duties \[146\].

**IX. EXCLUDED PROVISIONS**

**A. Political Subdivisions Ethics Act.** The state legislature has
enacted a separate set of campaign finance regulations applicable to
county and municipal campaigns concerning candidates and ballot measures
in the Political Subdivi­sions Ethics Act. These requirements are to be
administered by the State Ethics Commission (county campaigns) or the
applicable municipal clerk (municipal campaigns). The provisions of the
Political Subdivisions Ethics Act are not in­cluded in this summary
\[147\].

**References**

1.  1\. Oklahoma Statutes Annotated (West) (hereafter OSA) tit. 74, ch.
    62, Ap­pendix: Oklahoma Ethics Commission Rules (hereafter Commission
    Rules) § 257:1‑1‑2

2.  Commission Rules § 257:1‑1‑2

3.  Commission Rules § 257‑1‑1‑2

4.  Commission Rules § 257:10‑1‑2(a); *see also* OSA tit. 21, § 187.1(A)

5.  Commission Rules § 257:10‑1‑2(a); *see also* OSA tit. 21, § 187.1(A)

6.  Commission Rules § 257:10‑1‑2(a); *see also* OSA tit. 21, § 187.1(A)

7.  Commission Rules § 257‑10‑1‑2(f)

8.  Commission Rules § 257:10‑1‑2(g)

9.  Commission Rules § 257:1‑1‑2

10. OSA tit. 21, § 187.1(A)

11. OSA tit. 21, § 187.1(A)

12. OSA tit. 21, § 187.1(A)

13. OSA tit. 21, § 187(12)

14. Oklahoma Const. art. IX, § 40

15. OSA tit. 21, § 187.2(A); Commission Rules § 257:10‑1‑2(c)

16. OSA tit. 21, § 187.2(B); Commission Rules § 257:10‑1‑2(c)

17. OSA tit. 21, § 187.2(D); Commission Rules § 257:10‑1‑2(c)

18. OSA tit. 21, § 187.2(C); Commission Rules § 257:10‑1‑2(c)

19. OSA tit. 6, § 808(A)

20. OSA tit. 47, § 2‑105(B)(3)

21. Oklahoma Court Rules and Procedure, Code of Judicial Conduct, Canon
    5 (hereafter Judicial Canon 5)

22. Judicial Canon 5

23. Judicial Canon 5

24. Oklahoma Const. art. VII‑B, §§ 1, 6

25. OSA tit. 17, § 48(A); Op. Att\'y Gen. 80‑278 (November 19, 1980)

26. OSA tit. 74, § 3114

27. OSA tit. 17, § 180.4

28. OSA tit. 10, §§ 116, 116a(b)

29. Commission Rules § 257:10‑1‑4(a)

30. Commission Rules § 257:10‑1‑5(a)

31. OSA tit. 68, § 102.2

32. OSA tit. 68, § 50009

33. OSA tit. 74, § 4253

34. Commission Rules § 257:10‑1‑2(b)

35. Commission Rules § 257:10‑1‑11(b)

36. Commission Rules § 257:10‑1‑2(b)

37. Commission Rules § 257:10‑1‑2(b)

38. Commission Rules § 257:10‑1‑2(d)

39. Commission Rules § 257:10‑1‑2(d)

40. Commission Rules § 257:10‑1‑2(d)

41. Commission Rules § 257:10‑1‑2(d)

42. Commission Rules § 257:10‑1‑2(e)

43. Commission Rules § 257:10‑1‑2(h)

44. Commission Rules § 257:10‑1‑2(h)

45. Commission Rules § 257:10‑1‑2(i)

46. Commission Rules § 257:10‑1‑2(i); *see also* OSA tit. 21, § 187.1(B)

47. Commission Rules § 257:10‑1‑2(j)

48. Commission Rules § 257:10‑1‑2(k)

49. Commission Rules § 257:10‑1‑2(l)

50. Commission Rules § 257:10‑1‑2(m)

51. Commission Rules § 257:10‑1‑2(m)

52. Commission Rules § 257:10‑1‑2(n)

53. Commission Rules § 257:10‑1‑6

54. Commission Rules § 257:20‑1‑2(a)

55. Commission Rules § 257:1‑1‑2

56. Commission Rules § 257:1‑1‑2

57. Commission Rules § 257:1‑1‑2

58. OSA tit. 26, § 16‑119

59. Commission Rules § 257:10‑1‑3(a)

60. Commission Rules § 257:10‑1‑3(d)

61. Commission Rules § 257:10‑1‑3(f)

62. Commission Rules § 257:10‑1‑7(a)

63. Commission Rules § 257:10‑1‑7(a)

64. Commission Rules § 257:10‑1‑7(a)

65. Commission Rules § 257:10‑1‑7(a)

66. Commission Rules § 257:10‑1‑20(a)(1)

67. Commission Rules § 257:10‑1‑20(b)(1)

68. Commission Rules § 257:1‑1‑6(a)

69. Commission Rules § 257:1‑1‑3(b)

70. Commission Rules § 257:1‑1‑3(d)

71. Commission Rules § 257:10‑1‑9(d)

72. Commission Rules § 257:10‑1‑17(a)

73. Commission Rules § 257:10‑1‑17(b)

74. Commission Rules §§ 257:10-1-9(d); 257:10‑1‑18

75. Commission Rules § 257:1‑1‑2

76. OSA tit. 26, § 5‑102; Commission Rules § 257:1‑1‑2

77. Commission Rules § 257:1‑1‑2

78. Commission Rules § 257:1‑1‑2

79. Commission Rules § 257:1‑1‑2

80. Commission Rules § 257:1‑1‑2

81. Commission Rules § 257:1‑1‑2

82. Commission Rules § 257:1‑1‑2

83. Commission Rules § 257:10‑1‑8(a)

84. Commission Rules § 257:10‑1‑8(b), (c)

85. Commission Rules § 257:10‑1‑12(a)

86. Commission Rules §§ 257:10‑1‑8(a); 257:10‑1‑12(a)

87. Commission Rules § 257:10‑1‑11(a)

88. Commission Rules § 257:10‑1‑12(b)

89. Commission Rules § 257:10‑1‑12(b)

90. Commission Rules § 257:10‑1‑11(b)

91. Commission Rules § 257:10‑1‑9(a)

92. Commission Rules § 257:10‑1‑9(d)

93. Commission Rules § 257:10‑1‑9(d)

94. Commission Rules § 257:10‑1‑9(b), (c)

95. Commission Rules § 257:10‑1‑10(a), (b), (e)

96. Commission Rules § 257:10‑1‑10(d)

97. Commission Rules § 257:10‑1‑10(c)

98. Commission Rules §§ 257:1‑1‑2; 257:10‑1‑13

99. Commission Rules § 257:10‑1‑14(a)

100. Commission Rules § 257:10‑1‑14(a)

101. Commission Rules §§ 257:10‑1‑13(c); 257:10‑1‑11(b)

102. Commission Rules § 257:10‑1‑13(a)

103. Commission Rules § 257:10‑1‑13(a), (b)

104. Commission Rules § 257:10‑1‑13(a)

105. Commission Rules § 257:10‑1‑13(a)

106. Commission Rules § 257:10‑1‑13(b)

107. Commission Rules § 257:10‑1‑13(b)

108. Commission Rules § 257:10‑1‑14(a)

109. Commission Rules § 257:10‑1‑14(b)

110. Commission Rules § 257:10‑1‑14(b)

111. Commission Rules § 257:10‑1‑15

112. Commission Rules § 257:10‑1‑15

113. Commission Rules § 257:10‑1‑15

114. Commission Rules § 257:10‑1‑16

115. Commission Rules §§ 257:15‑1‑3(a); 257:15‑1‑4(a); 257:15‑1‑7(a)

116. OSA tit. 68, § 2358.3

117. Commission Rules § 257:10‑1‑19(a)

118. Commission Rules § 257:10‑1‑19(b)

119. Commission Rules § 257:10‑1‑19(c)

120. Commission Rules § 257:10‑1‑19(c)

121. Commission Rules § 257:10‑1‑19(d), (e)

122. Commission Rules § 257:10‑1‑20(a)(2), (3)

123. Commission Rules § 257:10‑1‑20(a)(2)

124. Commission Rules § 257:10‑1‑20(b)(2)

125. Commission Rules § 257:10‑1‑20(b)(3)

126. Oklahoma Const. art. XXIX, § 4

127. Commission Rules § 257:1‑1‑6(d)

128. Commission Rules §§ 257:1‑1‑6(i); 257:30‑1‑2; 257:30‑1‑3

129. Commission Rules §§ 257:1‑1‑6(j), (k); 257:30‑1‑4; 257:30‑1‑5

130. Commission Rules § 257:1‑1‑11(a)

131. OSA tit. 21, §§ 187.1(C), (D); 187.2(E), (F)

132. OSA tit. 26, § 16‑119

133. OSA tit. 74, § 3114

134. OSA tit. 17, § 48(B)

135. OSA tit. 47, § 2‑105(B)(3)

136. OSA tit. 68, § 50009

137. OSA tit. 6, § 808(B)

138. OSA tit. 74, § 4256(A)

139. OSA tit. 74, § 4256(B)

140. OSA tit. 74, § 4256(D)

141. OSA tit. 74, § 4256(D)

142. Oklahoma Const. art. XXIX, §§ 1, 3; Commission Rules § 257:1‑1‑6(m)

143. Oklahoma Const. art. XXIX, § 3

144. Commission Rules § 257:1‑1‑6(a)

145. Oklahoma Const. art. XXIX, § 5; Commission Rules §§ 257:1‑1‑6(g);
     257:1‑1‑9

146. Commission Rules §§ 257:1‑1‑6(c), (l), (n); 257:1‑1‑7

147. OSA tit. 51, § 301 *et seq.*

**CAMPAIGN FINANCE LAW**

**IN OREGON**

**I. INTRODUCTION**

Oregon requires all candidates or their principal campaign committees
and all other political committees to file pre‑election and
post‑election statements of contributions and expenditures; however,
political committees and non‑federal and non‑political‑party office
candidates may be exempted from filing detailed contribu­tion and
expenditure statements if aggregate contributions or expenditures are
not expected to exceed \$2,000 by timely filing of a certificate of
limited contributions and expenditures. A tax credit of not more than
\$50 (\$100 for a joint return) is allowed for polit­ical contributions.
The Secretary of State is responsible for the administration of the
election laws, including the election campaign finance regulations.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" includes:

\(1\) The payment, loan, gift, forgiving of indebtedness, or furnishing
without equivalent compensation or consideration of money, services
other than personal service for which no compensation is asked or given,
supplies, equip­ment, or any other thing of value (1) for the purpose of
influencing an election for public office or an election on a measure or
reducing the debt of a candidate for nomination or election to public
office or the debt of a political committee or (2) to or on behalf of a
candidate, political committee, or measure.

\(2\) Any unfulfilled pledge, subscription, agreement, or promise,
whether or not legally enforceable, to make a contribution.

Only the excess value of a contribution made for compensation or
consideration of less than equivalent value is considered to be a
contribution \[1\].

The terms \"contribute\" and \"contribution\" do *not* include:

\(1\) Any written news story, commentary or editorial distributed
through the facilities of any broadcasting station, newspaper, magazine,
or other regularly published publication unless a political committee
owns the facility.

\(2\) An individual\'s use of the individual\'s own personal residence,
including a community room associated with the individual\'s residence,
to conduct a recep­tion for a candidate or a political committee and the
individual's cost of invitations, food, and beverages provided at the
reception.

\(3\) A vendor\'s sale of food and beverages for use in a candidate\'s
or political committee's campaign at a charge less than the normal
comparable charge if the charge is at least equal to the cost of the
food or beverages to the vendor.

\(4\) Any unreimbursed payment for travel expenses an individual,
including a candidate, makes on behalf of a candidate or political
committee.

\(5\) Any loan of money made by a financial institution, other than any
over­draft made with respect to a checking or savings account, if the
loan bears the usual and customary interest rate for the category of
loan involved, is made on a basis that assures repayment, is evidenced
by a written instrument, and is sub­ject to a due date or amortization
schedule. However, each endorser or guaran­tor of the loan is considered
to have contributed that portion of the total amount of the loan for
which that person agreed to be liable in a written agreement, ex­cept if
the endorser or guarantor is the candidate\'s spouse.

\(6\) Nonpartisan activity designed to encourage individuals to vote or
to reg­ister to vote.

\(7\) Any communication a membership organization or corporation makes
to its members, shareholders, or employees if the membership
organization or cor­poration is not organized primarily for the purpose
of influencing an election to office.

\(8\) The payment of compensation for legal and accounting services
rendered to a candidate or political committee 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 insuring
compliance with the campaign finance law.

\(9\) The payment by a state or local committee of a political party of
the costs 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 three or more candidates for any
public office for which an election is held in the state. This exclusion
does not apply to costs incurred by the committee with respect to a
display of any such listing made on broadcasting stations or in
newspapers, magazines, or similar types of general public political
advertising \[2\].

**B. Appointment of Candidate or Political Committee Treasurer.** Not
later than the third business day after an unexempted candidate or a
political committee first receives a contribution or makes an
expenditure, the candidate or political committee must (1) appoint a
treasurer, who must be an elector of the state, (2) certify the name and
address of the treasurer to the filing officer, and (3) file a statement
of organization. Contributions must be received and expenditures made by
through the treasurer \[3\].

**C. Contributions by an Out‑of‑State Political Committee.** If a
candidate or treasurer receives a contribution of more than \$50 from an
out‑of‑state politi­cal committee, the candidate or treasurer is required
to file the following state­ment or affidavit within 10 business days
after receiving a request for the infor­mation from the Secretary of
State:

\(1\) A written statement certified as true by an officer of the
contributing po­litical committee that contains the name, occupation, and
address of each person and the name, address, and primary nature of each
political committee that con­tributed more than \$50 of the contribution.
An address required includes the street number and name, rural route
number, or post of­fice box and the city and state.

\(2\) An affidavit that to the best of the candidate\'s or treasurer\'s
knowledge and belief the contributing political committee will not make
contributions to candidates and treasurers in the state that exceed
two‑thirds in total amount of all contributions made by it in this state
and elsewhere during the period for which the statement is filed \[4\].

The statement or affidavit must be filed if requested by the Secretary
of State or the Secretary of State receives a request the filing of the
statement or affi­davit from any person no later than 6 months after the
deadline for filing a statement of contributions and expen­ditures if a
candidate or treasurer files a statement reporting a contribution
re­ceived from an out‑of‑state political committee \[5\].

**D. Contributions in Name of the Actual Contributor.** No person may
make a contribution to any other person relating to a nomination or
election of any candidate or the support or opposition to any measure in
any name other than that of the person who in truth provides the
contribution, and no person may knowingly receive the contribution or
enter or cause it to be entered in ac­counts or records in another name
than that of the person by whom it was actu­ally provided; however, if
the contribution is received from the treasurer of a political
committee, it is sufficient to enter it as received from the treasurer
\[6\].

**E. Contribution of Compensation as a Condition of Employment.** A
person may not accept employment with the understanding or agreement,
ex­press or implied, that the person will contribute any of the
compensation to be received because of the employment to or on behalf of
a candidate or political committee in support of the nomination or
election of the candidate or in sup­port of or in opposition to a measure
\[7\].

**F. Solicitation of Contributions From or by Public Employees.** No
per­son may attempt to or actually coerce, command, or require a public
employee (excluding an elected official) to influence or give money,
service, or other thing of value to promote or oppose any political
committee or to promote or oppose the nomination or election of a
candidate, the gathering of signatures on an ini­tiative, referendum, or
recall petition, the adoption of a measure, or the recall of a public
officeholder. No public employee may solicit any money, influence,
service, or other thing of value or otherwise promote or oppose any
political committee or promote or oppose the nomination or election of a
candidate, the gathering of signatures on an initiative, referendum, or
recall petition, the adop­tion of a measure, or the recall of a public
officeholder while on the job during working hours \[8\].

**G. Special Privileges Rendered by a Public Utility.** A public utility
or telecommunications utility may not offer or give to a political
committee, a can­didate for or incumbent of any public office, or any
person at the request of or for the advantage of any of them any reduced
rate or privilege withheld from any person for service that is or will
be rendered by the utility, and a political committee, candidate, or
incumbent may not ask for or accept from a public util­ity or
telecommunications utility or use in any manner or for any purpose a
re­duced rate, frank, or privilege withheld from any person for any
service that is or will be rendered by the utility \[9\].

**H. Contribution as a Condition Precedent to Election Participation.**
No payment or contribution for any purpose may be made a condition
precedent to putting a name on any caucus or convention ballot,
nomination paper, or peti­tion or to the performance of any duty imposed
by law on a political committee \[10\].

**I. Undue Influence to Contribute or Not Contribute.** No person,
acting either alone or with or through any other person, may directly or
indirectly sub­ject any person to undue influence with the intent to
induce the person to con­tribute or refrain from contributing to any
candidate, political party, or political committee, and no person may
solicit or accept money or other thing of value as an inducement to
contribute or refrain from contributing \[11\].

**J. Gifts Offered to or Solicited by Public Officials and Candidates.**
No public official, candidate for office, or relative of the public
official or candidate may solicit or receive, directly or indirectly,
during any calendar year any gift or gifts with an aggregate value in
excess of \$100 from any single source who could reasonably be known to
have a legislative or administrative interest in any gov­ernmental agency
in which the official has or the candidate if elected would have any
official position or over which the official exercises or the candidate
if elected would exercise any authority. No person may offer during any
calendar year any gifts with an aggregate value in excess of \$100 to
any public official or candidate therefor or a relative of the public
official or candidate if the person has a legislative or administrative
interest in a governmental agency in which the official has or the
candidate if elected would have any official position or over which the
official exercises or the candidate if elected would exercise any
au­thority \[12\].

A "gift" does not mean (1) campaign contributions, (2) gifts from family
members, (3) the giving or receiving of food, lodging, and travel when
participating in an event that bears a relationship to the public
official's office and when appearing in an official capacity, (4) the
giving or receiving of food or beverage if the food or beverage is
consumed by the public official in the presence of the purchaser or
provider, or (5) the giving or receiving of entertainment if the
entertainment is experienced by the public official in the presence of
the purchaser or provider and the value of the entertainment does not
exceed \$100 per person on a single occasion and is not greater than
\$250 in any one calendar year \[13\].

A \"public official\" is any person who is serving the state or any of
its political subdivisions or any other public body of the state as an
officer, employee, agent, or otherwise, irrespective of whether the
person is compensated for such servic­es \[14\].

A \"legislative or administrative interest\" is an economic interest,
distinct from that of the general public, in one or more bills,
resolutions, regulations, propo­sals, or other matters subject to the
action or vote of a person acting in the ca­pacity of a public official
\[15\].

**K. Solicitation and Making of Contributions During a Legislative
Ses­sion.** The following campaign‑financing acts are prohibited during
any special session of the legislative assembly and during the period
beginning January 1st immediately preceding a regular biennial session
of the legislative assembly and ending as indicated:

\(1\) A legislative official, statewide official, or candidate therefor
may not at­tempt to receive or to solicit or receive or solicit a
contribution to the official or candidate or the official\'s or
candidate\'s principal campaign committee or attempt to solicit or
solicit an expenditure in support of the official or candidate from any
person or political committee. The period of prohibited activity ends
upon adjournment of a regular session.

\(2\) The governor, governor‑elect, or a candidate for governor may not
at­tempt to receive or solicit or to receive or solicit a contribution to
the governor or candidate for governor or candidate\'s principal
campaign committee or attempt to solicit or solicit an expenditure in
support of the governor or candidate for governor from any person or
political committee. The period of prohibited activity ends 30 business
days following adjournment of the regular session.

\(3\) A person or political committee may not attempt to make or promise
to make or make or promise to make a contribution to a legislative
offi­cial, statewide official, or candidate therefor or to the
official\'s or candidate\'s principal campaign committee or promise to
make an expenditure in support of the official or candidate. The period
of prohibited activity ends upon adjournment of a regular session.

\(4\) A person or political committee may not attempt to make or promise
to make or make or promise to make a contribution to the governor,
governor‑elect, or candidate for governor or to the governor\'s or
candidate\'s principal campaign committee or promise to make an
expenditure in support of the governor or candidate for governor. The
period of prohibited ac­tivity ends 30 business days following
adjournment of the regular session.

\(5\) A person or political committee affiliated with a political party,
caucus of either house of the legislative assembly, legislative
official, or statewide official or with the governor, governor‑elect, or
candidate for governor may not attempt to receive or solicit or receive
or solicit a contribution on behalf of a legislative official, a
statewide official, or a candidate therefor. The period of prohibited
activity ends upon adjournment of a regular session.

\(6\) A person or political committee affiliated with a political party,
caucus of either house of the legislative assembly, legislative
official, or statewide official or with the governor, governor‑elect, or
candidate for governor may not attempt to receive or solicit or receive
or solicit a contribution on behalf of the governor, the governor‑elect,
or a candidate for governor. The period of pro­hibited activity ends 30
business days following adjournment of the regular session \[16\].

The following acts are *not* prohibited:

\(1\) The making of a contribution by a legislative official, statewide
official, or a candidate therefor as an individual from his or her
personal funds to himself or herself as legislative official, statewide
official, or candidate or to the candida­te\'s principal campaign
committee.

\(2\) The making of a contribution by the governor, the governor‑elect,
or a candidate for governor as an individual from his or her personal
funds to himself or herself as the governor, governor‑elect, or
candidate for governor or to the candidate\'s principal campaign
committee \[17\].

A \"legislative official\" is a member or member‑elect of the
legislative assem­bly, a member of an agency, board, or committee that is
part of the legislative branch, or a staff person, assistant, or
employee thereof \[18\].

A \"statewide official\" is the secretary of state or secretary of
state‑elect, the state treasurer or state treasurer‑elect, the
superintendent of public instruction or superintendent of public
instruction‑elect, the attorney general or attorney general‑elect, or
the commissioner of the bureau of labor and industries or the
commissioner‑elect of the bureau of labor and industries \[19\].

**L. State‑Assigned Identification Number With a Political Committee
Contribution**. A political committee for which the Secretary of State
is the fil­ing officer must include with each contribution it makes the
identification number assigned to the committee by the Secretary \[20\].

**M. Solicitation and Use of Contributions by Judges and Judicial
Candi­dates**. The Code of Judicial Conduct prohibits judges from
personally soliciting funds for any political organization or permitting
the use of the prestige of the judicial office for that purpose \[21\].

A judge or candidate or elective judicial office may not:

\(1\) Personally solicit campaign contributions in money or in kind, but
may es­tablish one or more committees to obtain and manage finances,
including con­tributions, and pay expenses to promote the judge\'s
election.

\(2\) Use or permit the use of campaign contributions for the private
benefit of the judge or candidate except as may be specifically
authorized by law \[22\].

All judges, except county judges, and candidates (i.e., persons who have
an­nounced their candidacy) for elective judicial office other than
county judge are subject to th provisions of Code of Judicial Conduct
concerning political activity \[23\].

**III. LIMITATIONS ON EXPENDITURES**

**A. Definition of Expenditure.** An \"expenditure\" includes the
payment or furnishing of money or any thing of value or the incurring or
repayment of in­debtedness or obligation by or on behalf of a candidate,
political committee, or person in consideration for any services,
supplies, equipment, or other thing of value performed or furnished in
support of or opposition to a candidate, political committee, or
measure. Contributions made by a candidate or political commit­tee to or
on behalf of another candidate or political committee are considered to
be an expenditure \[24\].

The terms \"expend\" and \"expenditure\" do *not* include:

\(1\) Any written news story, commentary or editorial distributed
through the facilities of any broadcasting station, newspaper, magazine,
or other regularly published publication unless a political committee
owns the facility.

\(2\) An individual\'s use of the individual\'s own personal residence,
including a community room associated with the individual\'s residence,
to conduct a recep­tion for a candidate or political committee and the
individual's cost of invitations, food, and beverages provided at the
reception.

\(3\) A vendor\'s sale of food and beverages for use in a candidate\'s
or political committee's campaign at a charge less than the normal
comparable charge if the charge is at least equal to the cost of the
food or beverages to the vendor.

\(4\) Any unreimbursed payment for travel expenses an individual,
including a candidate, makes on behalf of a candidate or political
committee.

\(5\) Any loan of money made by a state bank, a federally chartered
deposi­tory institution, or a depository institution insured by the
Federal Deposit In­surance Corporation, Federal Savings and Loan
Insurance Corporation, or the National Credit Union Administration,
other than any overdraft made with re­spect to a checking or savings
account, if the loan bears the usual and customary interest rate for the
category of loan involved, is made on a basis that assures repayment, is
evidenced by a written instrument, and is subject to a due date or
amortization schedule. However, each endorser or guarantor of the loan
is con­sidered to have contributed that portion of the total amount of
the loan for which that person agreed to be liable in a written
agreement, except if the en­dorser or guarantor is the candidate\'s
spouse.

\(6\) Nonpartisan activity designed to encourage individuals to vote or
to reg­ister to vote.

\(7\) Any communication a membership organization or corporation makes
to its members, shareholders, or employees if the membership
organization or cor­poration is not organized primarily for the purpose
of influencing an election to office.

\(8\) The payment of compensation for legal and accounting services
rendered to a candidate or political committee 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 insuring
compliance with the campaign finance law.

\(9\) The payment by a state or local committee of a political party of
the costs 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 three or more candidates for any
public office for which an election is held in the state. This exclusion
does not apply to costs incurred by the committee with respect to a
display of any such listing made on broadcasting stations or in
newspapers, magazines, or similar types of general public political
advertising \[25\].

**B. Appointment of Candidate or Political Committee Treasurer.** Not
later than the third business day after an unexempted candidate or a
political committee first receives a contribution or makes an
expenditure, the candidate or political committee must (1) appoint a
treasurer, who must be an elector of the state, (2) certify the name and
address of the treasurer to the filing officer, and (3) file a statement
of organization. Contributions must be received and expenditures made by
or through the treasurer \[26\].

**IV. REPORTING REQUIREMENTS**

**A. Statements of Contributions and Expenditures by
Candidates/Can­didates\' Principal Campaign Committees and Other
Political Committees**

**1. General Requirements.** As a general rule, pre‑ and post‑election
statements of contributions and expenditures must be filed with the
appropriate filing officer (1) by each unexempted candidate seeking
nomination or election at the biennial primary election, general
election, or other election or by the candidate\'s principal campaign
committee at the election and (2) by each political committee, other
than a candidate\'s principal campaign committee, sup­porting or opposing
one or more candidates or measures at the biennial primary election,
general election, or other election \[27\].

A \"candidate\" is:

\(1\) An individual whose name is printed on a ballot, for whom a
declaration of candidacy, nominating petition, or certificate of
nomination has been filed or whose name is expected to be or has been
presented with the individual\'s cons­ent, for nomination or election to
public office.

\(2\) An individual who has solicited or received and accepted a
contribution, made an expenditure, or given consent to an individual,
organization, political party, or political committee to solicit or
receive and accept a contribution or make an expenditure on the
individual\'s behalf to secure nomination or election to any public
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,
the contribution is received and retained, or the expenditure is made
and whether or not the name of the individual is printed on the ballot.

\(3\) A public office holder against whom a recall petition has been
completed and filed.

The term \"candidate does not include a candidate for the office of
precinct committee person \[28\].

A \"measure\" is a proposed law, an act or part of an act of the
legislative as­sembly, a revision of or amendment to the Oregon
Constitution, local, special, or municipal legislation, or a proposition
or question submitted to the people for approval or rejection at an
election \[29\].

A \"person\" is an individual, corporation, limited liability company,
labor or­ganization, association, firm, partnership, joint stock company,
club, organiza­tion, or other combination of individuals having
collective capacity \[30\].

A \"political committee\" is a combination of two or more individuals or
a per­son other than an individual that has received a contribution for
the purpose of supporting or opposing a candidate, measure, or politi­cal
party or has made an expenditure for the purpose of supporting or
opposing a candidate, measure, or political party (excluding (a) a
contribution to a candidate or political committee that is required to
report the contribution on a statement of contributions and expenditures
or a certificate that contributions and expenditures will not exceed
\$2,000 or (b) an independent expenditure that is required to be filed
by a person); however, a person is considered to be a political
committee and must file pre‑ and post‑election statements of
con­tributions and expenditures if either of the following occurs:

\(1\) Notwithstanding the definition of "political committee," the
person solicits and receives any contribution or contributions; however,
the person is not a political committee if all contributions received by
the person are designated to a candidate or political committee and are
required to be reported as a contribution by a candidate or committee in
a statement of contributions and expenditures or a statement of limited
contribu­tions and expenditures. A person who is a political committee is
required to file the statement of organization and, for any reporting
period during which any contribution was received, the statement of
contributions and expenditures ap­plicable to political committees other
than principal campaign committees. The accounting period begins on the
date that a contribution is received.

\(2\) In preparing to become a candidate in a general election, but not
a prim­ary or nominating election, a person receives a contribution,
receives a loan, whether repaid or not, or makes an expenditure
(excluding any contribu­tion to a candidate or political committee that
reports the contribution in a statement of contributions and
expenditures) in a total amount of more than \$2,000 before the date of
the biennial primary election. The person is required to file the
statements of contributions and expenditures applicable to a candidate
or candidate\'s principal campaign committee as if he or she were a
candidate in the biennial primary election \[31\].

A \"public office\" is any national, state, county, district, or city
office or posi­tion (except a political party office) filled by the
electors \[32\].

A \"state office\" is the office of governor, secretary of state, state
treasurer, at­torney general, commissioner of the bureau of labor and
industries, superin­tendent of public instruction, state senator, state
representative, district attorney, and judge of the state supreme court,
court of appeals, circuit court, or Oregon tax court \[33\].

Notwithstanding the definition of a "political committee," an unexempted
candidate must designate one political committee as the candidate\'s
principal campaign committee; however, a political committee may not be
designated as the principal campaign committee of more than one
candidate \[34\[.

**2. Contents of Statements.** Each statement of contributions and
expen­ditures must list the following information:

\(1\) Under \"contributions,\" all contributions received must be
reported. The statement must list the name, occupation, and address of
each person and the name and address of each political com­mittee that
contributed an aggregate amount of more than \$50 on behalf of a
candidate or to a political committee and the total amount contributed
by the person or political committee. The statement may list as a single
item the total amount of other contributions, but must specify how those
contributions were obtained.

\(2\) Under \"expenditures,\" all expenditures made must be reported,
showing the name of the payee and the amount and purpose of each.

\(3\) All contributions made by the candidate or political committee.

\(4\) All loans, whether repaid or not, made to the candidate or
political com­mittee must be reported. The statement must list the name
and address of each person shown as a cosigner or guarantor on a loan,
the amount of the obligation undertaken by each cosigner or guarantor,
and the name of the lender holding the loan \[35\].

Anything of value paid for or contributed by any person is required to
be list­ed as both an in‑kind contribution and an expenditure by the
candidate or com­mittee for whose benefit the payment or contribution was
made. If candidate, political committee, or chief petitioner makes an
expenditure that must be reported as an in‑kind contribution and an
expenditure, the candidate or political committee making the original
expenditure, in any pre‑primary‑election state­ment, must identify the
expenditure as an in‑kind contribution and identify the candidate or
political committee for whose benefit the expenditure was made \[36\].

If a political committee makes an expenditure that qualifies as an
independent expenditure, the listing of the expenditure must identify
the candidate or candidates who are the subject of the independent
expenditure and state whether the independent expenditure was used to
advocate the election or defeat of the candidate or candidates. \[37\].

Expenditures made by an agent of a political committee on behalf of the
committee are reported in the same manner as if the expenditures had
been made by the committee itself \[38\]. Each statement and
supplemental statement must be signed and certified as true by the
candidate or treasurer required to file it \[39\].

If the account of a candidate or a political committee or a statement of
contri­butions and expenditures is required to list the occupation of a
contributor, the occupation, if known, must be listed in the account and
on the first statement filed after the contribution is received. If the
occupation is not listed, documen­tation of a written request to the
contributor to furnish the contributor\'s occupa­tion must be filed with
the account and with the filing officer with the first statement that is
filed at least 7 days after receipt of the contribution. The writ­ten
request to the contributor must be made within 7 days after receipt of
the contribution. If information identifying the occupation of a
contributor is re­ceived after a written request was made, the
contributor\'s occupation must be included in the account and in the
next statement filed \[40\].

**3. Filing Schedule.** Statements of contributions and expenditures
must be submitted according to the following schedule:

**First Pre‑Election Statement**. A first pre‑election statement is due
not sooner than the 46th day nor later than the 36th day before the
election. The accounting period ends on the 47th day before the
election; however, the begin­ning date varies \[41\].

\(1\) *Pre‑Primary/Pre‑Non‑General Election (All Filers)*. The
accounting pe­riod for the first pre‑primary election or pre‑non‑general
election statement of a candidate or the candidate\'s campaign committee
and of a political committee begins on the date that the name of a
treasurer was certified to the filing officer unless a post‑election or
supplemental statement has been filed for a previous election showing an
unexpended balance of contributions or an expenditure de­ficit. If such a
statement has been filed, the accounting period begins on the day
following the last day of the accounting period for the statement filed
for the previous election. The beginning balance on the statement is the
amount of the unexpended balance of contributions or expenditure
deficit. If a post‑election or supplemental statement has been filed for
a previous election showing no bal­ance or no deficit, the accounting
period begins on the next day that a contribu­tion is received or an
expenditure made \[42\].

\(2\) *Pre‑General Election (Candidate or Candidate Committee)*. The
account­ing period for the first pre‑general election statement for a
candidate nominated at the primary election or that candidate\'s
principal campaign committee begins on the 21st day after the primary
election. For a candidate not nominated at the primary election or that
candidate\'s principal campaign committee, the account­ing period begins
on the date that the name of a treasurer was certified to the filing
officer unless a candidate or a candidate\'s principal campaign
committee has filed a post‑election or supplemental statement showing an
unexpended bal­ance of contributions or an expenditure deficit for a
previous election other than the preceding primary election. If such a
statement has been filed, the account­ing period begins on the day
following the last day of the accounting period for the statement filed
for the previous election. The beginning balance on the statement is the
amount of the unexpended balance of contributions or expendi­ture
deficit. If a candidate or a candidate\'s principal campaign committee
has filed a post‑election or supplemental statement for a previous
election other than the preceding primary election showing no balance or
no deficit, the accounting period begins on the next day that a
contribution is received or an expenditure made \[43\].

\(3\) *Pre‑General Election (Political Committee)*. The accounting
period for the first pre‑general election statement for a political
committee that supported or opposed one or more candidates or measures
at the biennial primary election begins on the 21st day after the
primary election at which the committee supported or opposed one or more
candidates or measures. If the political committee did not support or
op­pose candidates or measures at the biennial primary election, the
accounting period be­gins on the date that the name of a treasurer was
certified to the filing officer unless the committee has filed a
post‑election or supplemental statement of con­tributions and
expenditures showing an unexpended balance of contributions or an
expenditure deficit for a previous election. If such a statement has
been filed, the accounting period begins on the day following the last
day of the accounting period for the statement filed for the previous
election. The beginning balance on the statement is the amount of the
unexpended balance of contributions or expenditure deficit. If a
political committee has filed a post‑election or supple­mental statement
showing no balance or no deficit, the accounting period begins on the
day when the committee next receives a contribution or makes an
expen­diture \[44\].

**Second Pre‑Election Statement**. A second pre‑election statement is
due not sooner than the 15th day nor later than the 12th day before the
election. The ac­counting period for the statement begins on the 46th day
and ends on the 16th day before the election \[45\].

**Pre‑Election Supplements.** If the aggregate amount of contributions,
including loans, whether repaid or not, received from a single political
committee or other person exceeds \$500 or the aggregate amount of
expenditures made by or on behalf of the candidate or candidate's
principal campaign committee or the political committee to a single
payee exceeds \$1,000 during the period from the 15^th^ to the 5^th^ day
before the election, a supplement to the pre-election statement must be
filed. If the threshold reporting amount was received or paid during the
accounting period from the 15^th^ through the 9^th^ day before the
election, the supplement must be filed not later than the 8^th^ day
before the election; if the threshold reporting amount was received or
paid during the accounting period from the 8^th^ through the 4^th^ day
before the election, a second supplement must be filed not later than
the 4^th^ day before the election.

The supplemental statement must be written but may be transmitted to the
filing officer by any expeditious means available. If the can­didate or
treasurer of the candidate\'s principal campaign committee or the
treasurer of a political committee previously filed a certificate that
neither ag­gregate contributions nor aggregate expenditures were expected
to exceed \$2,000 for the election, the candidate or committee must file
a pre‑election supplemen­tal statement if the aggregate contributions
exceed \$2,000 because of contributions received or expenditures made
during the accounting periods for the two pre-election supplements
\[46\].

**Post‑Election Statement**. A post‑election statement is due not sooner
than the 21st day and not later than the 30th day after the election.
The accounting period for the statement begins on the 15th day before
the election and ends on the 20th day after the election \[47\].

**Post‑Election Supplement**. A written supplement to a post‑election
state­ment, which is due between the first business day in January and
the Friday be­fore the second Monday in January and may be transmitted to
the filing officer by any means available, must be filed by the
following candidates or candidates\' principal campaign committees and
political committees:

\(1\) *Certain State Office Candidates and Candidate Committees*. A
candidate for governor, secretary of state, state treasurer, attorney
general, commissioner of the bureau of labor and industries, state
senator, or state representative or a candidate\'s principal campaign
committee is required to (1) file a supplement to the post‑election
statement if the aggregate contributions received from any po­litical
committee or other person exceed \$500 during the period from the 20th
day after the election to December 31st and (2) disclose only those
aggregate contributions. The candidate or committee is also required to
file a post‑election supplemental statement if a certificate that
aggregate contributions and ag­gregate expenditures would not exceed
\$2,000 had been filed previously and the aggregate contributions now
exceed \$2,000 because of contributions received after the 20th day
following the election and before January 1st of the following year
\[48\].

\(2\) *Certain Political Committees*. A political committee affiliated
with a po­litical party, a caucus of either house of the legislative
assembly, a \"legislative of­ficial,\" \"statewide official,\" or the
governor, governor‑elect, or a candidate for governor is required to (1)
file a written supplement to the post‑election state­ment if the
aggregate contributions received from any political committee or other
person exceed \$500 during the period from the 20th day after the
election to December 31st and (2) disclose only those aggregate
contributions. The treasurer of the political committee is also required
to file a post‑election sup­plemental statement if a certificate that
aggregate contributions and aggregate expenditures would not exceed
\$2,000 had been filed previously and the aggregate contributions now
exceed \$2,000 because of contributions received after the 20th day
following the election and before January 1st of the following year
\[49\].

**Annual Supplemental Statement**. A supplemental statement must be
filed if the post‑election statement shows an unexpended balance of
contributions or an expenditure deficit. It is required to be filed
annually no later than Septem­ber 10th until a statement is filed
containing no balance or no deficit. The ac­counting period for the
statement begins on the day following the last day of the accounting
period for the previous statement filed and ends on September 1st
\[50\].

A candidate or committee that is active and reports during both the
biennial primary and the general election does not file a September
supplemental report in that even‑numbered year \[51\].

**Statements of Federal Office Candidates.** A candidate for federal
office must file with the Secretary of State the statements required by
the federal elec­tion laws in lieu of the statements required by the
state on or before the federal filing dates \[52\].

**4. Filing Offices.** The appropriate filing officers with whom
statements of contributions and expenditures are to be filed are the
following:

\(1\) The Secretary of State regarding a candidate for any state office
or any office to be voted for in the state at large or in a
congressional dis­trict or for statements regarding a measure to be voted
on in the state at large.

\(2\) The county clerk regarding a candidate for any county of­fice or
any district or precinct office within the county or regarding a measure
to be voted on in one county or in a district situated wholly within one
county.

\(3\) The chief city elections officer regarding a candidate for any
city office or a measure to be voted on in a city only.

\(4\) The county clerk of the county in which the office of the chief
administra­tive officer or administrative board is located regarding a
can­didate for office for any district or regarding a measure to be voted
on in a dis­trict when the district is situated in more than one county.

\(5\) In the case of an irrigation district, (a) the county clerk
regarding any candidate for office or measure at an irrigation-district
formation election where the proposed district is situated wholly in one
county, (b) the county clerk of the county in which the office of the
secretary of the proposed irrigation district will be located regarding
any candidate for office or measure at an irrigation-district formation
election where the proposed district is situated in more than one
county, or (c) the secretary of the irrigation district for any election
other than an irrigation-district formation election \[53\].

**5. Electronic Filing.** A candidate, political committee, or chief
petitioner required to file a statement of contributions and
expenditures (or a statement of contributions and expenditures by an
independent person for reduction of a campaign deficit) must file the
statement or any amendment to such statement in electronic format if (1)
the filing officer is the secretary of state and (2) during the total
period covered for a biennial primary, general, or other election the
aggregate amount of contributions received and expenditures made is
\$50,000 or more. The statements must be filed unless the Secretary of
State determines that extraordinary and unforeseeable circumstances have
made it impracticable to continue filing electronically. The
electronically filed statements must conform to the technical
specifications prescribed by rule of the Secretary of State (e.g., the
transmission must be contained in an ASCII tab-delimited file that is
formatted to match the Secretary of State's reporting requirements), and
signatures required on a statement are to be supplied in the manner
prescribed by rule of the Secretary of State \[54\].

**B. Certificate of Limited Contributions and Expenditures.** A
candidate (other than a candidate for federal) or a political committee
treasurer who ex­pects neither the aggregate contributions to be received
nor the aggregate ex­penditures to be made by or on behalf of the
candidate or political committee to exceed \$2,000 in total amount
during the total period covered by pre‑ and post‑election statements of
contributions and expenditures must file a certificate to that effect. A
candidate must file the certificate not sooner than the date on which
the candidate files a declaration of candidacy or nominating petition,
ac­cepts a nomination, or is nominated to fill a vacancy in a nomination
or in a par­tisan elective office and not later than the 29th day before
the date of the elec­tion. A political committee treasurer must file the
certificate not sooner than the committee files a statement of
organization and later than the 29th day before the election. The
candidate or political committee must keep contribution and expenditure
records during this period \[55\].

If at any time following the filing of a certificate and during the
total period involved either the aggregate contributions or aggregate
expenditures exceed \$2,000, the candidate or political committee
treasurer, as appropriate, must file a contribution and expenditure
statement at the time a statement for the reporting period in which the
contributions or expenditures exceeded \$2,000 is due. The filed
statement must reflect all contributions received and expenditures made
by or on behalf of the candidate or political committee to that date,
beginning with the start of the reporting period for the first
pre‑election statement \[56\].

**C. Certification of a Treasurer**

**1. Candidates and Political Committees.** Not later than the third
business day after an unexempted candidate or political committee first
receives a contribution or makes an expenditure, the candidate or
political committee must (1) appoint a treasurer, who must be an elector
of the state, (2) certify the name and address of the treasurer to the
filing officer, and (3) file a statement of organization. Any change in
the name or address of the political committee treasurer must be
indi­cated in an amended certification filed not later than 10 days after
the change \[57\].

A candidate may serve as his or her own treasurer or may appoint a
treasurer. A candidate\'s treasurer must perform all the duties
prescribed for the candidate \[58\].

An individual may be appointed and serve as treasurer of one or more
candi­dates and political committees. A candidate or political committee
may remove a treasurer. In the event of the death, resignation, or
removal of a treasurer be­fore compliance with all obligations of a
treasurer, a candidate may and a politi­cal committee must appoint a
successor and certify the name and address of the successor in the
manner for an original appointment \[59\].

Each candidate (other than a candidate for political party office) and
the treasurer of each political committee must keep detailed accounts.
The 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 must be cur­rent as of not later than the 7th day after
the date of receiving a contribution or making an expenditure. The
accounts must list all information required to be reported \[60\].

Accounts kept by a candidate or treasurer are required to be preserved
by the candidate or treasurer for at least two years after the date of
the election to which the accounts refer or at least two years after the
date the last supplemen­tal statement is filed, whichever is later
\[61\].

**2. Chief Petitioners of Statewide Initiative or Referendum Petition or
Recall Petition.** The chief petitioners of a statewide initiative or
refer­endum petition or a recall petition must, in addition to filing a
statement of organization, appoint a treasurer, who must be an elector
of the state, and certi­fy the name and address of the treasurer to the
appropriate filing officer (*see* Section IV.A.4, *supra*). Any change
in the information submitted in a statement or organization must be
indi­cated in an amended certification or statement of organization filed
no later than 10 days after the change. Contributions are to be received
and expenditures made by or through the treasurer \[62\].

**D. Statement of Organization**

**1. Definition.** A "committee director" is a person who directly and
substantially participates in decision making on behalf of a political
committee concerning the solicitation or expenditure of funds and
support or opposition to candidates or measures. The officers of a
political party are considered the directors of any political party
committee of that party unless otherwise provided in the party's bylaws
\[63\].

**2. Political Committee.** The treasurer of a political committee,
other than a political committee that is a principal campaign committee
or a political committee exclusively support or opposing one or more
candidates for federal or political party office, must file a statement
of organization with the appropriate filing officer not later than the
third business day after a contribution is first received or an
expenditure is first made. The statement must include:

\(1\) The name, address, and nature of the committee.

\(2\) The name, address, and occupation of the committee director or
directors.

\(3\) The name and address of the committee treasurer.

\(4\) The name and address of any other political committee of which two
or more committee directors are also directors of the committee filing
the state­ment.

\(5\) A statement of whether the committee presently intends to remain
in ex­istence for more than one year,

\(6\) The name, office sought, and party affiliation of each candidate
whom the committee is supporting or specifically opposing or intends to
support or specifi­cally oppose, when known, or if the committee is
supporting or specifically op­posing all the candidates of a given party,
the name of that party.

\(7\) A designation of any measure that the committee is opposing or
support­ing or intends to support or oppose.

\(8\) A statement of how the committee intends to solicit funds. Any
change in information submitted in a statement of organization is to be
indicated in an amended statement of organization filed not later than
the 10th day after the change in information \[64\].

**3. Candidate Who Is Own Treasurer.** A candidate who serves as the
candidate\'s own treasurer, unless exempted, is required to file a
statement of organization with the appropriate filing officer not later
than the third business day after a contribution is first received or an
expenditure is first made \[65\].

The statement is to include (1) the name, address, occupation, office
sought, and party affiliation of the candidate and (2) a statement of
how the candidate intends to solicit funds. The address provided must be
the address of a resi­dence office, headquarters, or similar location
where the candidate may be con­veniently located; however, a different
address may be used if the candidate first files with the filing officer
the candidate\'s residence address and the address proposed to be used
\[66\].

A candidate, other than a candidate for federal office, who services as
the candidate's own treasurer and who expects neither the aggregate
contributions to be received nor the aggregate expenditures to be made
by or on behalf f the candidate to exceed \$300 in total amount at the
biennial primary election (or at any other than the general election) or
at the general election is not required to file a statement of
organization; however, the candidate must keep contribution and
expenditure records during the applicable total biennial primary or
general election period. If at any time following the filing of a
nominating petition, declaration of candidacy, or certificate of
nomination and during the total election period either the aggregate
contributions or aggregate expenditures exceed \$300, the candidate must
file a statement of organization \[67\].

**4. Principal Campaign Committee of a Candidate.** The treasurer of the
principal campaign committee of a candidate is required to file a
statement of organization with the appropriate filing officer at the
same time a candidate serving as the candidate\'s own treasurer is
required to file \[68\].

The statement is to include:

\(1\) The name, address, occupation, office sought, and party
affiliation of the candidate.

\(2\) A statement of how the candidate intends to solicit funds.

\(3\) The name and address of the committee. The address must be the
ad­dress of a residence, office, headquarters, or similar location where
the political committee or a responsible officer of the committee may be
conveniently locat­ed; however, a different address may be used if the
committee officer first files with the filing officer the committee
officer\'s residence address and the address proposed to be used.

\(4\) The name, address, and occupation of the committee director or
directors, if any.

\(5\) The name and address of the committee treasurer.

\(6\) The name and address of any other political committee of which two
or more committee directors are also directors of the committee filing
the state­ment.

\(7\) A statement of whether the committee presently intends to remain
in ex­istence for more than one year \[69\].

**5. Chief Petitioners of Statewide Initiative or Referendum Petition or
Recall Petition.** The chief petitioners of a statewide initiative or
refer­endum petition or a recall petition must certify the name of the
treasurer and file a statement of organization with the appropriate
filing of­ficer (*see* Section IV.A.4, *supra*) not later than the third
business day after the chief petitioners receive a contribution or make
an expenditure relating to the petition. The statement must include (1)
the name and address of the chief petitioners, (2) the name and address
of the treasurer, (3) a designation of the statewide initiative or
referendum petition or the recall peti­tion, which must include the name
of the officer whose recall is demanded, and (4) a statement of how the
petitioners intend to solicit funds. Any change in the statement of
organization must be indicated in an amended statement filed no later
than 10 days after the change \[70\].

Before a petition for the recall of a public office is circulated, the
chief peti­tioner is required to file with the officer authorized to
order the recall election a statement of organization of the political
committee the chief petitioner repre­sents, if any, as well as a signed
copy of the petition and a statement of contribu­tions and expenditures
to the date of filing the prospective petition \[71\].

**E. Statements of Chief Petitioners of an Initiative, Referendum, or
Re­call Petition.** The chief petitioner of a petition for the recall of
a public officer is required to file with the officer authorized to
order the recall election a state­ment of contributions received and
expenditures made by or on behalf of the chief petitioner and the
political committee he or she represents, if any, to the date of filing
the prospective petition as well as a signed copy of the petition and a
statement of organization of the political committee he or she
represents, if any. The statement of contributions and expenditures must
include the same in­formation required to be listed in statements of
contributions and expenditures filed by candidates or political
committees (*see* Section IV.A.2, *supra*) \[72\].

The treasurer appointed by the chief petitioners of initiative,
referendum, or recall petitions is required to file a post‑circulation
statement of contributions and expenditures with the appropriate filing
officer even if the petition was withdrawn (*see* Section IV.A.4,
*supra*) \[73\].

A statement of contributions and expenditures for a statewide initiative
or referendum petition or a recall petition must be filed not later than
the 15th day after the deadline for filing the petition with the filing
officer for verification of signatures, wheth­er or not the petition was
completed or filed. The accounting period for a statewide initiative
petition statement begins on the 15^th^ day before the biennial primary
and ends on the deadline for submitting signatures for verification. The
accounting period for a statewide referendum petition statement begins
on the date that the name of the treasurer was certified to the filing
officer and ends on the deadline for submitting signatures for
verification. That accounting period for a recall petition statement
begins on the day after the date on which a statement of contributions
and expenditures up to the date of filing the prospective petition was
to be filed and ending on the deadline for submitting signatures for
verification \[74\].

Additional statements of contributions and expenditures must be filed
for statewide initiative petitions:

\(1\) A statement must be filed by the treasurer from the 15^th^ to the
12^th^ day before the biennial primary election. The accounting period
for this statement begins on the date that the name of the treasurer was
certified to the Secretary of State or on the day following the last day
of the accounting period for the previous statement filed and ends on
the 16^th^ day before the biennial primary.

\(2\) Beginning with the period during which the aggregate amount of
contributions received or expenditures made exceeds \$2,000, the
treasurer must file a statement with the Secretary of State no later
than September 10^th^ of an odd-numbered year and no later than February
6^th^ of an even-numbered year. The accounting period for the
odd-numbered year begins on the date the treasurer was appointed and
ends on September 1^st^; the accounting period for the even-numbered
year begins on the date the treasurer was appointed or on the day
following the last day of the accounting period for the previous
statement filed and ends on January 28^th^ \[75\].

If a statement filed for a statewide initiative or referendum petition
or a recall petition that did not qualify for the ballot shows an
unexpended balance of con­tributions or an expenditure deficit and the
chief petitioner's committee *does not* intend to support or oppose a
measure that is on the subsequent general election ballot, a
supplemental statement must be filed an­nually by September 10th. The
accounting period begins on the day following the last day of the
accounting period for the previous statement filed and ends on September
1st \[76\].

If a statement filed for a statewide initiative or referendum petition
or a recall petition that did not qualify for the ballot shows an
unexpended balance of con­tributions or an expenditure deficit and the
chief petitioner's committee *does* intend to support or oppose a
measure that is on the subsequent general election ballot, the committee
does not file a supplemental statement in that year but must file the
statements of contributions and expenditures for the general-election
period. Supplemental statements are to be filed annually for each
following year no later than September 10^th^. The accounting period
begins on the day following the last day of the accounting period for
the previous statement filed and ends on September 1st \[76\].

The statement of contributions and expenditures for an non‑statewide
initia­tive or referendum must be filed not later than the 15th day after
date an initia­tive or referendum petition that is not statewide is filed
with the filing officer for verification of signatures. The accounting
period begins on the date the prospec­tive petition is filed and ends on
the date that signatures are submitted for ver­ification \[77\].

A statement of contributions and expenditures must include (1) the name
and address of the chief petitioner, (2) a designation of the
initiative, referendum, or recall petition (including for a recall
petition the officer whose recall is demand­ed), and (3) a statement of
contributions received and expenditures made, in­cluding the same
information required to be listed in statements of contributions and
expenditures filed by candidates or political committees (*see* Section
IV.A.2, *supra*). If a statement of for a recall petition is filed , the
statement need only report the contributions received and the
expenditures made by or on behalf of the chief petitioner and political
committee the chief petitioner represents, if any, after the date on
which the pre‑circulation state­ment of contributions and expenditures
was filed \[77\].

**F. Statements of Independent Expenditures.** A person is required to
file a statement of independent expenditures if the person makes
expenditures in a total amount of more than \$50 in support of or in
opposi­tion to a candidate, a measure, or a political committee. A
con­tribution to a candidate or political committee that is required to
report the con­tribution in a statement of contributions and expenditures
or a certificate of lim­ited contributions and expenditures is not an
expenditure, and an expenditure does not include a contribution to an
exempted candidate who is not required to file a statement of
organization \[80\].

Statements of independent expenditures are to be filed according to the
filing deadlines applicable to political committees other than principal
campaign com­mittees for any accounting period during which the total
amount of expenditures exceeds \$50. The initial accounting period
begins on the date that an expenditure is made. The statement must
specify the candidate, measure, or political committee supported or
opposed by the expenditure. If a statement is filed for the supplement
to the second pre-election statement, a second statement for the same
expenditure does not need to be filed in the post-election reporting
period \[81\].

An \"independent expenditure\" is an expenditure by a person for a
communica­tion expressly advocating the election or defeat of a clearly
identified candidate that is not made with the cooperation or with the
prior consent of or in consulta­tion with or at the request or suggestion
of, a candidate or any agent or author­ized committee of the candidate
\[82\].

**G. Special Reports by Certain Corporations**. If the major source of
reve­nue of a corporation is paid‑in capital, the primary purpose of the
corporation is to support or oppose any candidate, measure, or political
party, and the corpora­tion has made a contribution or expenditure for
that purpose, the corporation must report to the Secretary of State (1)
the names, addresses, and occupations of its shareholders, (2) the
amount of paid‑in capital attributable to each share­holder, and (3)
information on the nature and amount of all expenditures of money and
in‑kind contributions made by the corporation on the same dates and for
the same reporting periods for statements of contributions and
expenditures required to be filed by political committees \[83\].

**H. Statements of Economic Interest.** State public officeholders,
including candidates for certain elective public offices, are required
to file statements of economic interest with the Oregon governmental
ethics commission. Any can­didate for governor, secretary of state, state
treasurer, attorney general, commis­sioner of the bureau of labor and
industries, superintendent of public instruction, district attorney,
member of the legislative assembly, or judicial officer (except a
municipal judge in certain cities) is required to file a statement of
economic in­terest by April 15th following the filing date for the
biennial primary election or, if the candidate was not a candidate in
the preceding biennial primary election, within 30 days after the filing
date for the statewide general election \[84\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Statement of Contributions and Expenditures by Independent Person
for Reduction of Campaign Deficit.** A person (1) who receives or
expends money or any other thing of value after the date of an election
for the purpose of reducing an expenditure deficit shown by a statement
of contributions and expenditures filed by a candidate or treasurer, (2)
who is not the candidate or treasurer, and (3) who does not receive or
expend the money or other thing of value through the candidate or
treasurer must file with the appropriate filing of­ficer a statement
showing the source of all money or other things of value so re­ceived or
expended. The statement must list the name, occupation, and address of
each person or the name, address, and primary nature of each political
com­mittee that contributed an aggregate amount of more than \$100 on
behalf of a candidate for statewide office or regarding a statewide
measure or more than \$50 on behalf of a candidate for non‑statewide
office or regarding a non‑state­wide measure. The statement may list as a
single item the total amount of other contributions, but must specify
how those contributions were obtained. The statement is required to be
signed and certified as true by the person required to file it or by the
person\'s authorized representative \[85\].

**B. Disposition of Excess Contributions.** Amounts as contributions by
a candidate or the principal campaign committee of a candidate for
public office that are in excess of any amount necessary to defray
campaign expenditures and any other funds donated to a holder of public
office may be (1) used to defray any expenses incurred in connection
with the recipient\'s duties as a holder of public office, (2)
transferred to any national, state, or local political committee of any
political party, (3) contributed to any organization de­scribed in
section 170(c) of title 26 of the United States Code or to any
charit­able corporation, or (4) used for any other lawful purpose. The
amounts re­ceived as contributions by a candidate for public office that
are in excess of any amount necessary to defray campaign expenditures
and other funds donated to a holder of public office may not be
converted by any person to any personal use other than to defray any
ordinary and necessary expenses incurred in connection with the
person\'s duties as a holder of public office or to repay to a candidate
any loan the proceeds of which were used in connection with the
candidate\'s campaign \[86\].

**VI. TAX PROVISIONS**

**A. Tax Credit.** A taxpayer is allowed a credit against taxes for
voluntary contributions made in the taxable year (1) to a major
political party or a com­mittee of the party, (2) to a minor political
party or a committee of the party, (3) to or for the use of a candidate
for nomination or election to a federal, state, or local elective office
in any biennial primary election, general election, or special election
or (4) to a political committee if the political committee has certified
the name of its treasurer to the filing officer in the manner required
by law \[87\].

The credit allowed is the lesser of (1) the total contribution but not
to exceed \$50 on a separate return or \$100 on a joint return or (2)
the tax liability of the taxpayer. The claim for a tax credit must be
substantiated by submitting with the tax return the official receipts of
the candidate, agent, political party or party committee, or political
committee to whom the contribution was made \[88\].

**VII. OFFENSES AND PENALTIES**

**A. Enforcement of Filing Requirements.** A filing officer must inspect
each statement filed by not later than the business 10th day after the
filing deadline or the 10^th^ business day after the statement is filed,
whichever is later; however, the post‑election statement of
contributions and expenditures is to be inspected by the 30th business
day after the filing deadline or the 30^th^ business day after the
statement is filed, whichever is later. The filing officer must
immediately notify a person required to file a statement with the filing
of­ficer if it appears to the filing officer that the person has failed
to file a required statement or that a statement filed is insufficient
or if a sworn complaint has been filed with the filing officer by an
elector stating that a statement filed is in­sufficient or that the
person has failed to file a required statement \[89\].

Not later than the 3rd month after the date of a biennial primary
election or general election and not later than the 3rd month after an
initiative, referendum, or recall petition has been filed, the filing
officer must examine each statement filed with the officer to determine
whether the statement is sufficient \[90\].

Upon petition of the Secretary of State, an elector, or any other filing
officer with whom a report is required to be filed, the circuit court
for the county in which the principal office of the filing officer is
located may compel a candidate, treasurer, or person who fails to file a
statement required to be filed or who files an insufficient statement to
file a proper statement with the filing officer \[91\].

**B. Civil or Criminal Action Upon Complaint.** An elector may file with
a filing officer a written, non‑anonymous complaint alleging that a
violation of an election law or rule of the Secretary of State has
occurred and stating the reason for believing that the violation
occurred and any evidence relating to it. A com­plaint alleging a
violation subject to a civil penalty must be filed no later than 90 days
after the election at which the violation is alleged to have occurred or
90 days after the date the violation is alleged to have occurred,
whichever is later. A complaint alleging a violation involving the
secretary of state, a candidate for the office of secretary of state, or
any political committee or person supporting the secretary of state or a
candidate for the office of secretary of state may be filed with the
Attorney General. A filing officer having reason to believe that a
violation of the election laws has occurred is to proceed promptly as
though the officer had received a complaint, but not later than two
years following the elec­tion at which the violation of an election law
or rule is alleged to have occurred or two years following the date the
violation is alleged to have occurred, whichever is later \[92\].

The Secretary of State must prescribe by rule the procedure for
processing a complaint filed with any person other than the Secretary of
State. If the com­plaint concerns the secretary of state, any candidate
for the office of the secre­tary of state, or any political committee or
person supporting the candidacy of the secretary of state or of another
person for the office of secretary of state, the complaint and
additional information instead must be sent to the Attorney General.
Upon receipt of a complaint, the Secretary of State or Attorney General,
as appropriate, immediately must examine the complaint to determine
whether a violation of an election law has occurred and make any
investigation considered necessary \[93\].

If the Secretary of State believes after an investigation that a
violation of an election law or rule of the Secretary has occurred, the
Secretary (1) in the case of a violation that is subject to a criminal
penalty, immediately must report the findings to the Attorney General
and request prosecution (however, if the viola­tion involves the attorney
general, a candidate for that office, or a political committee or person
supporting or opposing the attorney general or a candidate for that
office, the Secretary of State is required to appoint another prosecutor
for that purpose) or (2) in the case of a violation not subject to a
criminal penal­ty, may impose a civil penalty \[94\].

Upon receipt of a complaint or report involving an alleged violation
subject to a criminal penalty, the Attorney General or other prosecutor
immediately must examine the complaint or report to determine whether a
violation of an election law has occurred. If it is determined that a
violation has occurred, the Attorney General or prosecutor immediately
must begin prosecution in the name of the state. The Attorney General or
other prosecutor has the powers in any county of this state as the
district attorney for the county \[95\].

Upon receipt of a complaint involving an alleged violation of an
election law or rule of the Secretary of State not subject to a criminal
penalty, the Attorney General must examine the complaint to determine
whether a violation of an elec­tion law has occurred and make any
investigation considered necessary. If the Attorney General believes
after an investigation that a violation of an election law has occurred,
the Attorney General may impose a civil penalty \[96\].

Following an investigation, the Secretary of State or Attorney General
may im­pose a civil penalty not to exceed \$250 for each violation of any
provision of state law relating to the conduct of any election, any rule
adopted by the Secretary of State, or any other matter preliminary to or
relating to an election for which no penalty is otherwise provided. The
person who is the subject of a vio­lation for which a civil penalty is
imposed must be accorded the administrative due process provided by
state law, including the right to request a hearing \[97\].

**C. Civil Penalties.** The Secretary of State may impose a civil
penalty of not more than \$10,000, in addition to any other penalty that
may be imposed, after providing notice and an opportunity for a hearing
for (1) failure to file a state­ment or certificate concerning
contributions and expenditures that is required to be filed and (2)
failure to include required information in a statement concern­ing
contributions and expenditures that has been filed. The Secretary of
State, however, upon a showing of mitigating circumstances, may reduce
the amount of the penalty \[98\].

**D. Withholding of Name From General Election Ballot.** A candidate\'s
name may not be placed on the general election ballot if the required
statements of contributions and expenditures relating to the
candidate\'s nomination are not filed before the 61st day before the
general election \[99\].

**E. Withholding of Certificate of Election or Nomination.** A
certificate of election or certificate of nomination may not be granted
to any candidate un­til the candidate has filed the required statements
relating to the election \[100\].

**VIII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is the chief election
officer of the state, and it is the Secretary\'s responsibility to
obtain and maintain uniformi­ty in the application, operation, and
interpretation of the election laws \[101\]. The Secretary is required
to prepare and distribute digests of state election law statutes and may
adopt necessary rules and regulations \[102\]. The Secretary of State is
the appropriate filing officer for all statements and reports regarding
candidates or measures voted for statewide, in a congressional district,
or in a multi‑county district, as well as statements of expenditures on
behalf of or in opposition to a candidate \[103\]. The Secretary of
State is required to inspect and examine all required statements filed
with his or her office, investigate com­plaints of a violation of the
election laws or rules adopted by the Secretary of State, and request
prosecution, if appropriate \[104\]. The Secretary has the au­thority to
impose civil penalties for the violation of certain campaign finance
regulations \[105\].

The Secretary of State is also required (1) to adopt rules for the
manner of de­termining and reporting expenditures and contributions; (2)
to prepare for each election and make available a summary of statements
of contributions and ex­penditures filed with the Secretary; (3) to
prescribe a uniform system for can­didate and political committee
accounts of contributions and expenditures; (4) to prescribe and furnish
forms for statements, certifications, and other information required by
the election campaign finance regulations; and (5) to furnish copies of
the election campaign finance regulations and election offenses to local
filing officers \[106\].

**B. Local Filing Officers.** The county clerk is the appropriate filing
officer for statements and reports regarding county, district, or
precinct candidates and measures voted for in one county, while a chief
city election officer is the filing officer for city office candidates
and measures voted for in a city only. The local filing officer is
required to inspect and examine all required statements filed with his
or her office and to forward complaints of violations election laws and
Secretary of State rules to the appropriate state officer \[107\]. Each
local filing officer must deliver a copy of the election campaign
finance regulations to each can­didate or person who the officer has
reason to believe is required to file a re­quired statement with the
officer \[108\]. The county clerk must publish a sum­mary of statements
of contributions and expenditures regarding county office candidates and
county measures \[109\].

**References**

1.  Oregon Revised Statutes (hereafter ORS) § 260.005(3)

2.  ORS §§ 260.007; 706.008(9)

3.  ORS §§ 260.035(1), (2); 260.039(2); 260.043; Oregon Secretary of
    State, 2000 Cam­paign Finance Manual (December 1999) (hereafter
    Campaign Finance Manual) 11, 12, 17

4.  ORS § 260.045(1)

5.  ORS § 260.045(2)

6.  ORS § 260.402

7.  ORS § 260.422

8.  ORS § 260.432(1), (2), (4)(a)

9.  ORS § 260.615

10. ORS § 260.655

11. ORS § 260.665

12. ORS § 244.040(2), (5)

13. ORS § 244.020(8)

14. ORS § 244.020(15)

15. ORS § 244.020(11)

16. ORS § 260.174(1)‑(6)

17. ORS § 260.174(7)

18. ORS § 260.174(8)(a)

19. ORS § 260.174(8)(b)

20. ORS § 260.052

21. Oregon Code of Judicial Conduct (hereafter Judicial Code), JR
    3‑102(A)

22. Judicial Code, JR 4‑102(E), (F); JR 4‑104

23. Judicial Code, JR 4‑104; JR 5‑102(A)

24. ORS § 260.005(6)

25. ORS § 260.007

26. ORS §§ 260.035(1), (2); 260.039(2); Campaign Finance Manual 11, 12,
    17

27. ORS §§ 260.058; 260.063; 260.068; 260.073

28. ORS § 260.005(1)

29. ORS § 260.005(12)

30. ORS § 260.005(14)

31. ORS §§ 260.005(15); 260.044(3), (4)(b), (5)

32. ORS § 260.005(16)

33. ORS § 260.005(10), (21)

34. ORS § 260.041; 260.043

35. ORS §§ 260.078; 260.083

36. ORS § 260.083(3), (4)

37. ORS §§ 260.005(8); 260.083(6)

38. ORS § 260.083(5)

39. ORS §§ 260.058(4); 260.063(3); 260.068(5); 260.073(3)

40. ORS § 260.085

41. ORS §§ 260.058(1)(a); 260.063(1)(a); 260.068(1)(a); 260.073(1)(a)

42. ORS §§ 260.058(1)(a); 260.063(1)(a)

43. ORS § 260.068(1)(a)

44. ORS § 260.073(1)(a)

45. ORS §§ 260.058(1)(b); 260.063 (1) (b); 260.068(1)(b); 260.073(1)(b)

46. ORS §§ 260.058(1)(c); 260.063(1)(c); 260.068(1)(c); 260.073(1)(c)

47. ORS §§ 260.058(1)(d); 260.063(1)(d); 260.068(1)(d); 260.073(1)(d)

48. ORS § 260.068(2)

49. ORS §§ 260.073(2); 260.174(8)

50. ORS §§ 260.058(2); 260.063(2); 260.068(3); 260.073(2)

51. Campaign Finance Manual 44

52. ORS §§ 260.058(3); 260.068(4)

53. ORS § 260.005(7)

54. ORS §§ 260.246.021(4); 260.159; Campaign Finance Manual 39

55. ORS §§ 260.112(1); 260.063(1)(a); 260.073(1)(a)

56. ORS § 260.112(2)

57. ORS §§ 260.035(1)-(3); 260.037; Campaign Finance Manual 11, 12, 17

58. ORS § 260.037

59. ORS § 260.038

60. ORS § 260.055(1)

61. ORS § 260.055(3)

62. ORS § 260.118(1)(a), (3)

63. 260.005(2)

64. ORS §§ 260.035(1), (2); 260.042; Campaign Finance Manual 17

65. ORS §§ 260.035(1), (2) 260.039(1), (3)‑(5); Campaign Finance Manual
    11

66. ORS § 260.039(1)(a), (b)

67. ORS § 260.043

68. ORS §§ 260.035(1), (2) 260.039(1), (3)‑(5); Campaign Finance Manual
    11

69. ORS § 260.039(1)

70. ORS § 260.118(1)(b), (3)

71. ORS § 249.865(1)

72. ORS § 249.865(1)

73. ORS § 260.118(3), (4), (8)

74. ORS § 260.118(7), (9)

75. ORS § 260.118(4)

76. ORS § 260.118(8)

77. ORS § 260.118(8)

78. ORS § 260.118(5), (7)

79. ORS § 260.118(6)

80. ORS § 260.044(1), (4)(a)

81. ORS § 260.044(2)

82. ORS § 260.005(8)

83. ORS § 260.049

84. ORS § 244.050 (1), (3), (4), (6)

85. ORS § 260.102

86. ORS § 260.407

87. ORS §§ 316.102(1), (4), (5); 248.006; 248.008; Oregon Administrative
    Rules § 150‑316.102

88. ORS § 316.102(2), (3)

89. ORS § 260.205

90. ORS § 260.215

91. ORS § 260.225

92. ORS §§ 260.205(3); 260.345(1), (7), (8)

93. ORS § 260.345(2), (3)

94. ORS § 260.345(4)

95. ORS § 260.345(5)

96. ORS § 260.345(6)

97. ORS § 260.995(1), (3)

98. ORS § 260.232

99. ORS § 260.241

100. ORS § 260.245

101. ORS § 246.110

102. ORS §§ 246.150; 246.160

103. ORS §§ 260.005(7)(a); 260.153(1)

104. ORS §§ 260.205; 260.215; 260.345

105. ORS §§ 260.232; 260.345(4); 260.995(1)

106. ORS §§ 260.156(1); 260.200; 260.255(2); 260.315(1)

107. ORS §§ 260.005(7)(b)‑(d); 260.205; 260.215; 260.345(2)

108. ORS § 260.315(2)

109. ORS § 260.255(2)

**CAMPAIGN FINANCE LAW**

**IN PENNSYLVANIA**

**I. INTRODUCTION**

Pennsylvania requires political committees that receive aggregate
contributions of \$250 or more to file a registration statement with the
appropriate filing officer and prohibits political contributions by a
political committee until it has regis­tered. Political committees and
candidates, with certain exceptions, are required to file pre‑election
and post‑election reports of receipts and expenditures when the amount
received or expended during a reporting period exceeds \$250. A sworn
statement must be filed in lieu of a required report if receipts or
expendi­tures are below the threshold amount. Annual reports are required
until there is no balance or debt in the report of a candidate or
political committee. Persons who make independent expenditures exceeding
\$100 in a calendar year are re­quired to file reports at the times
specified for political committees.

Banks, corporations, and unincorporated associations not founded for
political purposes may not make contributions and expenditures for
political purposes; however, a corporation or unincorporated association
may establish and adminis­ter a separate segregated fund created by
voluntary contributions. There are no limitations on the amount of
contributions that may be made. The Secretary of the Commonwealth is the
state officer responsible for the administration of the election
campaign finance law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is any payment,
gift, subscrip­tion, assessment, contract, payment for services, dues,
loan, forbearance, advance, or deposit of money or any valuable thing to
a candidate or political committee made for the purpose of influencing
any election or for paying debts incurred by or for a candidate or
committee before or after any election \[1\].

A \"contribution\" also includes:

\(1\) The purchase of tickets for events such as dinners, luncheons,
rallies, and all other fundraising events.

\(2\) The granting of discounts or rebates not available to the general
public 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.

\(3\) Any payments provided for the benefit of any candidate, including
pay­ments for the services of a person serving as an agent of a candidate
or commit­tee by a person other than the candidate or committee or by a
person whose ex­penditures the candidate or committee must report.

\(4\) Any receipt or use of anything of value received by a political
committee from another political committee.

\(5\) Any return on investments by a political committee \[2\].

A \"valuable thing\" means all securities, goods, facilities, equipment,
supplies, personnel, advertising, services, membership lists commonly
offered or used commercially, or other in‑kind contributions provided
without compensation or at compensation that is below the usual and
normal compensation for the items. The dollar value of a contribution of
a valuable thing is the difference between the usual and normal charge
for goods or services at the time of the contribution and the amount
charged the candidate or political committee. The following categories
are excluded from the definition of \"valuable thing\" and, therefore,
are not considered to be contributions or expenditures for the purposes
of reporting or recordkeeping:

\(1\) Voluntary personal services provided by individuals who volunteer
a por­tion or all of their time on behalf of a candidate or political
committee.

\(2\) The operation of a motor vehicle owned or leased by a candidate or
a member of the candidate\'s immediate family or for consumption of food
or bev­erages by a candidate or the candidate\'s immediate family.

\(3\) The use of real or personal property, including a community room
or a church used on a regular basis by members of a community for
non‑commercial purposes, and the cost of invitations, food, and
beverages voluntarily provided by an individual to any candidate in
rendering voluntary personal services on the in­dividual\'s residential
premises or in the church or community room for candi­date‑related
activities, to the extent that the cumulative value of such invitations,
food, and beverages provided on behalf of any single candidate does not
exceed \$250 with respect to any single election.

\(4\) The sale of any food or beverage by a vendor other than a
corporation or unincorporated association for use in any candidate\'s
campaign at a charge less than the normal comparable charge if such
charge is at least equal to the cost of the food or beverage to the
vendor to the extent that the cumulative value of the reduced charge on
behalf of any single candidate does not exceed \$250 with re­spect to any
single election.

\(5\) Any unreimbursed payment for travel expenses made by any
individual on behalf of any candidate to the extent that the cumulative
value of the travel activi­ty on behalf of any single candidate does not
exceed \$250 with respect to any sin­gle election.

\(6\) The use of the personal residence or the business or office space
of the candidate, other than a corporation or unincorporated
association, and the use of personal property owned or leased by the
candidate if the cumulative value of the use of the property does not
exceed \$1,000 with respect to any single election.

\(7\) The use of the personal residence or the business or office space
of any volunteer, other than a corporation or unincorporated
association, and the use of personal property owned or leased by a
volunteer if the cumulative value of the use of the personal property
does not exceed \$250 with respect to any single elec­tion \[3\].

An \"election\" is any retention, primary, special, municipal, or
general election at which candidates appear on the ballot for nomination
or election or at which questions are to be voted on by the electors of
the commonwealth \[4\].

**B. General Contribution Restrictions.** No person may make a
contribution with funds designated or given to him or her for that
purpose by any other per­son, firm, or corporation; each person making a
contribution must do so only in his or her own name. A candidate or
political committee may not disburse mon­ey received from an anonymous
source; all such money must be handed over to the state treasurer within
20 days of receipt. Contributions of U.S. or foreign cur­rency to or for
the benefit of any candidate that in the aggregate exceed \$100 are not
permitted \[5\].

**C. Contributions by a Bank, Corporation, or Unincorporated
Association.** A national or state bank, domestic or foreign
corporation, or unincorporated asso­ciation, except a corporation formed
primarily for political purposes or as a polit­ical committee, may not
make a contribution or expenditure in connection with the election of a
candidate or for any political purpose whatever except in connec­tion
with a question to be voted on by the electors of the commonwealth. No
candidate, political committee, or other person may knowingly accept or
receive any prohibited contribution nor may any officer or director of a
corporation, bank, or unincorporated association consent to a prohibited
contribution or ex­penditure by the corporation, bank, or unincorporated
association \[6\].

These restrictions do not apply to (1) lawful bank loans made in the
ordinary course of business, (2) the receipt of interest or dividends on
investments where received lawfully in the ordinary course of business,
(3) direct private communica­tions to a corporation\'s stockholders or
unincorporated association\'s members and their families on any subject,
(4) nonpartisan registration and get‑out‑the‑vote campaigns aimed at a
corporation\'s stockholders or unincorporated associa­tion\'s members and
their families, or (5) the establishment and administration by a
corporation or an unincorporated association of a separate segregated
fund created by voluntary individual contributions, including those
solicited by the cor­poration or unincorporated association, and used for
political purposes \[7\].

**D. Political Assessments.** A political committee (including a member,
em­ployee, or agent), public officer or employee, or any other person may
not de­mand, directly or indirectly, any assessment or percentage of
money, profit, or equivalent thing of value with the understanding that
it will be used for political purposes:

\(1\) from any public officer, subordinate, or employee holding any
office or po­sition of honor, trust, or profit in the commonwealth,
otherwise engaged or em­ployed in the service of the commonwealth, or
employed by or in any way en­gaged in the service of any political
subdivision;

\(2\) from any person receiving state or federal public assistance
directly or through employment on public works; or

\(3\) from any person, association, or corporation desiring or having a
contract with or a certificate, license, or permit from the commonwealth
or any political subdivision; however, this prohibition does not prevent
otherwise lawful voluntary contributions from being made to a political
committee or organization for legit­imate political and campaign purposes
\[8\].

**E. Employee Organization Contributions.** No employee organization may
make a contribution out of the funds of the employee organization,
either directly or indirectly, to any political party or organization or
in support of any political candidate for public office \[9\].

**F. Demand of Contributions From Conservation Corps Personnel.** No one
may demand from any public officer, corps member, or crew leader
associated with a work experience project of the state conservation
corps any assessment or percentage of any money or profit or its
equivalent in support, service, or other thing of value with the
understanding, express or implied, that it may or must be used for
political purposes; however, this proscription does not prohibit
voluntary contributions to any political committee or organization for
legitimate political and campaign purposes to the extent such
contributions are not prohibited by law \[10\].

**G. Solicitation, Acceptance, and Making of Contributions by a Judge or
Judi­cial Candidate.** The Code of Judicial Conduct provides that a judge
or candidate for election to judicial office 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 or other functions. The ethical rules specifically applicable to
district justices and candidates for district justice generally prohibit
such district justices and candidates from making or soliciting
political contributions; however, there are major exceptions to this
proscription. A district justice or candidate for such office may make
political contributions to a campaign of a member of his or her
immediate family, and in the year the district justice or candidate runs
for office, he or she may contribute to his or her own campaign, a
political party, or a political organization (including purchasing
tickets for political party dinners or other functions \[11\].

A candidate (including an incumbent judge) for a judicial office that is
filled by public election between competing candidates and a incumbent
judge who is a candidate for retention in or reelection to office
without a competing candidate should not solicit or accept campaign
funds, but may estab­lish committees of responsible persons to secure and
manage the expenditure of funds for the candidate\'s campaign. Such
committees are not prohibited from so­liciting campaign contributions
from lawyers. A candidate\'s committees may so­licit funds for the
candidate\'s campaign no earlier than 30 days prior to the first day for
filing nominating petitions (or the last day for filing a declaration of
inten­tion to seek reelection on a retention basis). All fundraising
activities in connection with the campaign must terminate no later than
the last calendar day of the year of the election year. A candidate
should not use or permit the use of campaign contributions for the
private benefit of the candidate and members of the candidate\'s family
\[12\].

**H. Use of the Governor\'s or Lieutenant Governor\'s Mansion for
Fundraising.** The governor\'s and lieutenant governor\'s mansions may
not be employed or used for holding political fundraising events, and
any funds raised on behalf of a candi­date or committee at either mansion
must be reimbursed to the contributors \[13\].

**I. Political Activity by a State Classified Service Employee.** A
person in the state classified service may not take an active part in
political management or in a political campaign and is prohibited from
engaging in the following activities:

\(1\) Directly or indirectly soliciting, receiving, collecting,
handling, disbursing, or accounting for assessments, contributions, or
other funds of a partisan political nature.

\(2\) Organizing, selling tickets to, promoting, or actively engaging in
a fundrais­ing activity of a candidate in a partisan election, a
political party, or a political club.

\(3\) Soliciting, paying, collecting, or receiving a contribution at or
in the work­place from any employee for any political party, political
fund, or other partisan recipient.

\(4\) Paying a contribution at or in the workplace to any employee who
is the employer or employing authority of the person making the
contribution for any political party, political fund, or other partisan
recipient.

A person in the classified service may, however, make a financial
contribution to a political party or organization \[14\].

**J. Solicitation of Political Contributions From or by a County Board
of Health Employee**. No person may orally or by written or printed
communication, directly or indirectly, demand, solicit, collect, or
receive or be in any manner con­cerned in demanding, soliciting,
collecting, or receiving any money or valuable thing or any assessment,
subscription, or contribution, whether voluntary or in­voluntary, from
any officer or employee of a county board of health for any politi­cal
purpose whatever, and no officer or employee of a county board of health
may orally or by written or printed communication, directly or
indirectly, demand, so­licit, collect, or receive or be in any manner
concerned in demanding, soliciting, collecting, or receiving any money
or valuable thing for any political purpose whatever \[15\].

**K. Solicitation of Contributions by Public Utility Commission
Personnel.** The commissioners and administrative law judges of the
state public utility com­mission must refrain from the solicitation of
funds for any political purposes \[16\].

**L. Political Fundraising by a Community Action Agency.** A community
ac­tion agency or limited purpose agency receiving funds under the
Community Serv­ices Act may not engage in organized political activity,
including political fundrais­ing or provision of similar assistance in
connection with an election \[17\].

**M. Contributions by State Ethics Commission Personnel.** No individual
while a member or employee of the State Ethics Commission may contribute
to any political campaign \[18\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is:

\(1\) The payment, distribution, loan, or advancement of money or any
valuable thing by a candidate, political committee, or other person for
the purpose of in­fluencing the outcome of an election.

\(2\) The payment, distribution, loan, advance, or transfer of money or
other valuable thing between or among political committees.

\(3\) The providing of a service or other valuable thing for the purpose
of influ­encing the outcome of a nomination or election of any person to
any public office.

\(4\) The payment or providing of money or other valuable thing by any
person other than a candidate or political committee to compensate any
person for serv­ices rendered to a candidate or political committee
\[19\].

**B. Lawful Expenditures.** No candidate or chairman or treasurer of a
political committee may make or agree to make an expenditure or incur
any liability ex­cept as provided by law \[20\].

**IV. REPORTING REQUIREMENTS**

**A. General Provisions for All Reports.** Any statement or report
required to be filed must be filed with the following filing officers or
supervisors:

\(1\) A candidate, individual, or committee required to file a report
concerning any candidate files in the office of the \"supervisor,\" that
is, the Secretary of the Commonwealth or the appropriate county board of
elections, with whom the can­didate filed a nomination paper, nomination
certificate, or nomination petitions or with the supervisor with whom
the candidate would have filed the nomination‑related documents if the
candidate had sought nomination in that manner. How­ever, if a report of
a political committee concerns both candidates who filed for nomination
with the Secretary of the Commonwealth and candidates who filed with a
county board of elections, then the report is to be filed with the
Secretary of the Commonwealth. A candidate and a political committee
authorized by a candi­date and created solely for the purpose of
influencing the election of the candi­date that files with the Secretary
of the Commonwealth must also file copies in the county in which the
candidate resides \[21\].

\(2\) A statement or report concerning an issue to be voted on by the
electors of the state at large is filed with the Secretary of the
Commonwealth. A statement or report concerning any other issue is filed
in the county where the electors reside \[22\].

Each required report must be subscribed and sworn to by the individual
sub­mitting the report, and, in addition, any report filed by a political
committee au­thorized by a candidate and created solely for the purpose
of influencing an elec­tion on behalf of that candidate must be
accompanied by an affidavit from the candidate providing that, to the
best of the candidate\'s knowledge, the political committee has not
violated any provision of the campaign reporting law \[23\].

A \"political committee\" is a committee, club, association, or other
group of per­sons that receives contributions or makes expenditures
\[24\]. A \"political action committee\" is a political committee that
receives contributions and makes ex­penditures to or on behalf of any
candidate other than a candidate\'s own author­ized political committees
or the political committees of any state or local regular­ly constituted
party committee of a political party or political body \[25\]. A
\"can­didate\'s political committee\" is a political committee formed on
behalf of and au­thorized by a specified candidate \[26\].

A \"candidate\" is an individual who seeks nomination or election to
public office, other than a judge of elections or inspector of
elections, whether or not the indi­vidual is nominated or elected. An
individual is deemed to be seeking nomina­tion or election to public
office if that individual (1) has received a contribution, made an
expenditure, or given consent for any other person or committee to
re­ceive a contribution or make an expenditure for the purpose of
influencing that individual\'s nomination or election to office, whether
or not the individual has made known the specific office for which he or
she will seek nomination or elec­tion at the time the contribution is
received or expenditure made or (2) has taken the action necessary to
qualify for nomination or election to public office \[27\].

**B. Political Committees: Registration Statement, Chairman/Treasurer
Ap­pointment, and Candidate Authorization.** A political committee that
receives contributions in an aggregate amount of \$250 or more must file
a registration statement with the appropriate supervisor within 20 days
after the date on which it receives that amount. A political committee
that receives an aggregate amount of contributions of \$250 or more may
not make a contribution to any candidate or political committee unless
it has registered with the appropriate supervisor \[28\].

Each registration statement must contain (1) the name, address, and
phone number of the political committee, the committee\'s treasurer, and
the commit­tee\'s chairman; (2) the names, addresses, and relationships
of other affiliated or connected organizations; (3) the candidates, if
any, and their names and address­es; (4) the ballot questions, if any,
that the committee intends to support or op­pose; (5) the banks, safety
deposit boxes, or other repositories used by the com­mittee and their
addresses; and (6) the proposed period of operation of the committee.
The committee must inform the appropriate supervisor of any changes in
the information contained in the registration statement within 30 days
of the change \[29\].

Every political committee must have a treasurer and a chairman. No
contribu­tion may be received nor any expenditure made when there is a
vacancy in either one of these offices. All money received and disbursed
by a political committee must be done through the treasurer of the
committee \[30\].

A treasurer of a political committee may not receive any money on behalf
of a candidate until the committee has been so authorized in writing by
the candidate; however, the treasurer of a regularly constituted party
committee of a political party or political body is authorized to
receive money on behalf of the candidates of the political party or
political body in a general, municipal, or special election without
special written authorization from a candidate. A copy of the
authoriza­tion must be filed with the appropriate supervisor \[31\].

Every candidate who authorizes political committees to receive and
disburse funds on behalf of his or her candidacy must name a sole
treasurer to receive and disburse funds for all authorized committees;
however, a candidate may receive or expend moneys on his or her own
behalf, and a treasurer of a political party committee or a committee
authorized to receive and distribute funds on behalf of more than one
candidate may receive or expend moneys on behalf of the candi­date
without the appointment of a sole treasurer. A sole treasurer may
delegate authority in writing to any number of assistant treasurers
\[32\].

Each candidate and committee must keep a record of the names and
addresses of each person from whom a contribution of over \$10 has been
received and of all other information required to be reported. These
records must be retained for 3 years after the information is reported
\[33\].

Any person receiving a contribution on behalf of a political committee
or can­didate must turn over the contribution to the treasurer of the
committee or the candidate within 10 days of receipt \[34\].

**C. Reports of Receipts and Expenditures**

**1. Pre‑Election and Post‑Election Reports.** Each treasurer of a
political committee and each candidate must file with the appropriate
supervisor pre‑election and post‑election reports of receipts and
expenditures if the amount re­ceived or expended or liabilities incurred
during a reporting period exceed \$250. If the amount does not exceed
\$250, then the candidate or the committee treasur­er must file with the
appropriate supervisor a sworn statement to that effect rath­er than the
report of receipts and expenditures \[35\]. The reporting requirements
apply to campaign financing activities associated with a retention,
primary, spe­cial, municipal, or general election at which candidates
appear on the ballot for nomination or election or at which questions
are to be voted on by the electors of the commonwealth \[36\].

Each report must include the following information preceded by a summary
page:

\(1\) The full name, mailing address, occupation, and name of the
employer, if any, or the principal place of business, if self‑employed,
of each person who has made one or more contributions to or for the
committee or candidate within the reporting period in an aggregate
amount or value of over \$250, together with the amount and date of the
contributions.

\(2\) The full name and mailing address of each person who has made one
or more contributions to or for the committee or candidate within the
reporting pe­riod in an aggregate amount or value of over \$50, together
with the amount and date of the contributions.

\(3\) The total sum of other individual contributions made to or for the
commit­tee or candidate during the reporting period.

\(4\) Each expenditure, the date made, the full name and address of the
person to whom made, and the purpose of the expenditure.

\(5\) Any unpaid debts and liabilities, with the nature and amount of
each, the date incurred, and the full name and address of the person
owed.

\(6\) Any unexpended balance of contributions or other receipts
appearing from the last account filed \[37\].

An expenditure from a candidate\'s political committee to another
political committee must be reported as a contribution by the committee
receiving the contribution, but need not be reported by the contributing
committee until the time required by law for the candidate\'s committee
to report; however, if the amount of the contribution exceeds \$250 to a
single political committee or \$1,000 in aggregate contributions to more
than one political committee, then receipts and expenditures must be
reported by the contributing committee at the same time as required by
law for the committee receiving the contributions \[38\].

Vouchers or copies of vouchers for all sums expended of more than \$25
must be retained by the candidate or the committee treasurer \[39\].

Pre‑election reports by candidates for statewide offices and all
political commit­tees that have expended money to influence a statewide
office candidate\'s elec­tion must be filed not later than the 6th
Tuesday and the 2nd Friday before each election. The initial
pre‑election report is to be complete as of 50 days prior to the
election and the subsequent pre‑election report complete as of 15 days
prior to the election. Pre‑election reports by all other candidates and
political commit­tees that have received contributions or made
expenditures to influence an elec­tion must be filed not later than the
second Friday before an election and be complete as of 15 days prior to
the election \[40\].

All candidates or political committees required to file receipt and
expenditure reports must also file a post‑election report not later than
30 days after an elec­tion that is complete as of 20 days after the
election. In the case of a special elec­tion, the post‑election report
must be complete as of 10 days after the election \[41\].

All required reports and statements must cover the campaign activity of
a can­didate only from the last prior report or statement \[42\].

A political action committee must also report to the Secretary of the
Commonwealth all expenditures to or made on behalf of any statewide
office candidate, candidate for the state house of representatives, or
candidate for the state senate in the same manner as a candidate\'s
political committee \[43\].

**2. Annual Reports and Termination Report.** All candidates and
political committees, including those committees and candidates filing
pre‑ and post‑elec­tion reports, must file a cumulative report on January
31st of each year, complete as of December 31st of the prior year, until
there is no balance or debt in the re­port of the candidate or political
committee. If there has been no change in the account, the candidate or
political committee must file a statement to that effect with the
appropriate supervisor. If a post‑election report has been designated as
a termination report or if an authorized local office candidate has
elected not to file pre‑ and post‑election reports and annual reports,
then the annual report does not need to be filed unless contributions
were received or expenditures made subsequent to the time period for
filing the termination report. No candi­date or political committee may
terminate by way of a statement when the unpaid balance indicated in the
previous report was greater than \$250. An annual report is to cover the
campaign activity of a candidate or political committee from the last
prior report or statement \[44\].

A political committee required to be registered, other than a
candidate\'s politi­cal committee, a state or county committee of a
political party or political body, or a political action committee of a
corporation or unincorporated association, that does not file pre‑ and
post‑election reports must file an annual report only if it makes
aggregate expenditures of \$250 or more or incurs an aggregate debt of
\$250 or more during the calendar year to influence an election \[45\].

**3. Waiver of Reporting by Local Candidates.** By filing an affidavit,
a candi­date for local office who does not form a political committee may
be excused from filing pre‑ and post‑election reports and annual reports
if the candidate does not intend to and does not actually receive
contributions or make expenditures in excess of \$250 during any
reporting period \[46\].

**D. Report of Independent Expenditures.** Every person, other than a
political committee or candidate, who makes independent expenditures
expressly advocat­ing the election or defeat of a clearly identified
candidate or question appearing on the ballot in an aggregate amount in
excess of \$100 during a calendar year, other than by contribution to a
political committee or candidate, must file with the appropriate
supervisor a report that includes the same information required of a
candidate or political committee receiving such a contribution and,
addition­ally, the name of the candidate or question supported or
opposed. Reports of in­dependent expenditures must be filed on the dates
when reports by political committees making expenditures are required to
be filed \[47\].

An \"independent expenditure\" is an expenditure by a person made for
the pur­pose of influencing an election without cooperation or
consultation with any can­didate or political committee authorized by
that candidate and that is not made in concert with or at the request or
suggestion of any candidate or political commit­tee or its agent \[48\].

**E. Report of a Late Contribution or Independent Expenditure of \$500
or More.** A can­didate or political committee authorized by a candidate
and created solely for the purpose of influencing an election on behalf
of that candidate that receives any contribution or pledge of \$500 or
more and any person making an independent expenditure of \$500 or more
after the final pre‑election report has been deemed completed must
report such contribution, pledge, or expenditure must be reported to the
appropriate supervisor within 24 hours of receipt. The report must be
sent by the candidate, chairman, or treasurer of the political committee
by telegram, mailgram, overnight mail, or facsimile transmission;
however, a candidate in his own behalf or the chairman, treasurer, or
candidate on behalf of the political committee may also comply by
appearing personally before the supervisor and reporting the late
contributions or pledges \[49\].

**F. Statements by a Lobbyist.** Any lobbyist who has given a
contribution or pledge, regardless of amount, to any candidate is
subject to the same registration and reporting provisions as political
committees \[50\].

**G. Reports by a Business Entity.** A business entity that has been
awarded a non‑bid contract from the commonwealth or its political
subdivisions during the preceding calendar year must report by February
15th of each year to the Secretary of the Commonwealth an itemized list
of all political contributions known to the business entity that have
been made by any officer, director, associate, part­ner, limited partner,
or individual owner or member of his or her immediate fam­ily when the
contributions by any one individual exceed an aggregate of \$1,000
during the preceding year or by any employee or member of his or her
immediate family whose political contributions exceeded \$1,000 during
the preceding year \[51\].

**H. Candidate and Nominee Statement of Financial Interests.** A
candidate for state-level public office is required to file a statement
of financial interests for the preceding calendar year with the State
Ethics Commission on or before the last day for filing a petition to
appear on the ballot for election. A copy of the statement of financial
interests must be appended to the petition \[52\].

A candidate for county-level or local office is required to file a
statement of financial interests for the preceding calendar year with
the governing authority of the political subdivision in which he or she
is a candidate on or before the last day for filing a petition to appear
on the ballot for election. A copy of the statement of financial
interests must be appended to the petition \[53\].

All information requested on the statement of financial interests form
prescribed by the State Ethics Commission must be provided to the best
of the knowledge, information, and belief of the person required to file
and must be signed under oath or equivalent affirmation \[54\].

A "candidate" required to file a statement of financial interests is any
individual who seeks nomination or election to public office by vote of
the electorate, other than a judge of elections, inspector of elections,
or official of a political party, whether or not such individual is
nominated or elected \[55\].

**I. Candidate Acknowledgment of Campaign Financial Reporting
Require­ments.** Each candidate is required to file with his or her
nomination petition an affidavit that includes a statement that the
candidate is aware of the provisions requiring pre‑election and
post‑election reporting of campaign contributions and expenditures
\[56\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Disposition of Residual Funds.** In the event that a candidate or
political committee terminates its financial activity as such, any
residual funds remaining in an account may be used for any
\"expenditure\" or returned on a pro rata basis to the contributors by
the candidate or treasurer of the political committee. After the
disbursement of residual funds, a final report must be made by the next
Janu­ary 31st \[57\].

**VI. OFFENSES AND PENALTIES**

**A. Criminal Penalties.** Any member of a political committee who
receives or disburses any money or incurs any liability for primary or
election expenses, ex­cept through the treasurer of the political
committee, and any person not a candi­date or member of a political
committee who receives or disburses any money or incurs any liability
for primary or election expenses is guilty of a misdemeanor and upon
conviction must be sentenced to pay a fine not exceeding \$1,000, to
un­dergo imprisonment of not less than one month nor more than two years,
or both, in the discretion of the court \[58\]. Any candidate or
treasurer of a political com­mittee or person acting as treasurer who
fails to file an account of primary or election expenses as required is
guilty of a misdemeanor and upon conviction must be sentenced to pay a
fine not exceeding \$5,000, to undergo imprisonment of not less than one
month nor more than two years, or both, in the discretion of the court
\[59\]. Any person or political committee that receives money on behalf
of any candidate without being authorized to do so is guilty of a
misdemeanor and upon conviction must be sentenced to pay a fine not
exceeding \$5,000, to undergo imprisonment of not less than one month
nor more than two years, or both, in the discretion of the court \[60\].

Any corporation or unincorporated association that pays, gives, lends,
or agrees to pay, give, or lend any money belonging to the corporation
or unincorporated association or in its custody or control in violation
of the provisions on corporate and association contributions is guilty
of a misdemeanor and upon conviction must be sentenced to pay a fine of
not less than \$1,000 nor more than \$10,000. Any director, officer,
agent, or employee of any corporation or unincorporated association who
on behalf of the corporation or unincorporated association pays, gives,
lends, or authorizes to be paid, given, or lent any money belonging to
the corporation or unincorporated association or in its custody or
control in violation of the provisions on corporation and association
contributions is guilty of a mis­demeanor and upon conviction must be
sentenced to pay a fine not exceeding \$10,000, to undergo imprisonment
of not less than one month nor more than two years, or both \[61\].

Any willfully false, fraudulent, or misleading statement or entry made
by any candidate or treasurer in any statement or report under oath
constitutes the crime of perjury and is punishable as such according to
the laws of the common­wealth. Any person convicted of such an act must
be disqualified from holding public office \[62\].

**B. Independent Audits.** The Secretary of the Commonwealth must select
by lottery at a public drawing 40 days after each primary, general, and
municipal election 3% of all public offices for which candidates must
file nominating peti­tions or papers with the Secretary for the purpose
of conducting an independent audit by a certified public accountant. The
certified public accountant is required to audit the reports of all
candidates for each public office selected and the com­mittees authorized
and created solely for the purposes of influencing an election on behalf
of those candidates. The accountant must report the findings of the
audit to the Secretary of the Commonwealth and to the Attorney General
for the institution of such criminal proceedings as the Attorney General
may deem neces­sary \[63\].

**C. Voter Petition for Audit.** Within 90 days after the last day for
filing any re­port and affidavit required by the election campaign
finance law, any 5 electors may present a petition to the court of
common pleas of the county where an orig­inal report has been filed or
with the commonwealth court in the case of an origi­nal report filed with
the Secretary of the Commonwealth for an audit of such re­port. If the
court decides after the audit that any person, whether a candidate or
not, has accepted contributions, incurred expenses, or expended or
disbursed money in contravention of the law or has otherwise violated
any of the provisions of the law, it must certify its decision to the
appropriate prosecutorial officer to institute criminal proceedings if
deemed necessary by the prosecutor \[64\].

**D. Election‑Related Penalties.** If a candidate who has been nominated
or elected is found by any court in criminal proceedings to have
willfully accepted any contributions or made any expenditures in
contravention of the election cam­paign finance law, directly or
indirectly, that fact must be certified by the court to the Attorney
General, who, in the case of a candidate for nomination, may make a
motion to the proper court to remove the candidate\'s name from the
ballot. In the case of an elected candidate, the Attorney General must
file in the proper court a suggestion for a writ of quo warranto against
the candidate. If upon the hearing of the motion or writ, it is
determined that the candidate has willfully ac­cepted any contribution or
made any expenditure in contravention of the law, a judgment of ouster
from nomination or office must be entered against the candi­date;
however, in the case of a candidate elected as state senator or state
repre­sentative, the decision of the court must be certified to the
presiding officer of the appropriate house of the general assembly
\[65\].

No person is deemed elected to a public office or may enter upon the
duties of the office or receive any salary or emoluments from the office
until all of the due reports of contributions and expenditures required
to be filed by any candidate and treasurers of committees authorized by
the candidate have been filed \[66\].

**E. Late Filing Fees.** A late filing fee for each report of
expenditures and con­tributions that is not filed within the prescribed
period must be imposed. The fee is \$20 per day for the first 6 days a
report is overdue and \$10 per day thereafter, up to a maximum of \$250
for a single overdue report \[67\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of the Commonwealth**. The Secretary of the Commonwealth
is required (1) to serve as the state clearinghouse for information
concerning the administration of the election campaign financing law;
(2) to prescribe suitable rules and regulations to carry out the
provisions of the law; (3) to develop the prescribed forms for making
the reports and statements required to be filed with the appropriate
supervisor; (4) to prepare a manual setting forth recommended uniform
methods of bookkeeping and reporting that must be furnished by the
su­pervisor to the persons required to file the reports; and (5) to
examine the contri­butions to state legislative and statewide office
candidates and publish a list of all those political committees who have
contributed to candidates and have failed to file reports as required
within 6 days of their failure \[68\].

**B. Secretary of the Commonwealth and the County Boards of Election.**
The Secretary of the Commonwealth and the county boards of election are
required (1) to furnish to the persons subject to the election campaign
financing law a bookkeeping and reporting manual and the prescribed
forms for reporting; (2) from time to time to make inquiries and field
investigations with respect to re­ports and statements filed and with
respect to alleged failures to file any report or statement required;
(3) to report apparent violations to the appropriate law en­forcement
authorities; (4) to collect any fines relating to the filing of late
reports; (5) to inform each candidate or committee that has failed to
file of that fact; and (6) to publish a list of candidates and their
committees who have failed to file re­ports as required within 6 days of
their failure \[69\].

**C. Attorney General and District Attorneys.** The Attorney General has
pro­secutorial jurisdiction over all violations connected with any
statement or report and the contents thereof that is to be filed with
the Secretary of the Commonwealth. The district attorneys of the
respective counties have jurisdiction over any other violations
committed under the election campaign financing law, and the district
attorney of any county in which a violation occurs has concurrent powers
and responsibilities with the Attorney General over such violations
\[70\].

**References**

1.  Purdon\'s Pennsylvania Statutes Annotated (hereafter PSA) tit. 25,
    §3241(b)

2.  PSA tit. 25, § 3241(b)

3.  PSA tit. 25, § 3241(k)

4.  PSA tit. 25, § 3241(c)

5.  PSA tit. 25, § 3254

6.  PSA tit. 25, § 3253(a)

7.  PSA tit. 25, § 3253(b), (c)

8.  PSA tit. 25, § 2374

9.  PSA tit. 43, § 1101.1701

10. PSA tit. 32, §§ 5502; 5509(4)

11. Pennsylvania Rules of Court, Code of Judicial Conduct (hereafter
    Code of Judicial Conduct), Canon 7(A); *see* *also* Pennsylvania
    Rules of Court, Rules of Conduct, Office Standards and Civil
    Procedure for District Justices (hereafter District Justice Rules),
    Rule 15(B), (C)

12. Code of Judicial Conduct, Canon 7(B); *see* *also* District Justice
    Rules, Rule 15(D)

13. PSA tit. 71, § 782.5

14. PSA tit. 71, §§ 741.3(d); 741.905b(b), (c), (g)

15. PSA tit. 16, § 2193.2

16. 66 Pennsylvania Consolidated Statutes Annotated (hereafter PCSA) §
    319(a)(10)

17. PSA tit. 62, §§ 2983; 2985(c)

18. 65 PCSA § 1106(d)

19. PSA tit. 25, § 3241(d)

20. PSA tit. 25, § 3254.1

21. PSA tit. 25, §§ 3241(j); 3251(1), (3)

22. PSA tit. 25, § 3251(2)

23. PSA tit. 25, § 3249(a)

24. PSA tit. 25, § 3241(h)

25. PSA tit. 25, § 3241(l)

26. PSA tit. 25, § 3241(m)

27. PSA tit. 25, § 3241(a)

28. PSA tit. 25, § 3244(a), (d)

29. PSA tit. 25, § 3244(b)

30. PSA tit. 25, § 3242(a)

31. PSA tit. 25, § 3243

32. PSA tit. 25, § 3242(b)

33. PSA tit. 25, § 3242(c)

34. PSA tit. 25, § 3242(d)

35. PSA tit. 25, § 3246(a)

36. PSA tit. 25, §§ 3241(c); 3246

37. PSA tit. 25, § 3246(b), (f)

38. PSA tit. 25, § 3246(i)

39. PSA tit. 25, § 3246(c)

40. PSA tit. 25, § 3246(d)

41. PSA tit. 25, § 3246(e)

42. PSA tit. 25, § 3246(h)

43. PSA tit. 25, § 3246(j)

44. PSA tit. 25, § 3247(a). Although § 3247(a) states that annual
    reports are to be \"cumulative,\" the Secretary of the Commonwealth
    requires annual reports to reflect only the financial activity for
    the reporting period up to and includ­ing December 31st (*see*
    Pennsylvania Department of State, Campaign Ex­pense Reporting Law
    (n.d.) ).

45. PSA tit. 25, § 3247(b)

46. PSA tit. 25, § 3246.1

47. PSA tit. 25, § 3246(g)

48. PSA tit. 25, § 3241(e)

49. PSA tit. 25, § 3248

50. PSA tit. 25, § 3245(a)

51. PSA tit. 25, § 3260a(a)

52. 65 PCSA § 1104(b)(1)

53. 65 PCSA § 1104(b)(2)

54. 65 PCSA § 1105(a)

55. 65 PCSA § 1102

56. PSA tit. 25, § 2870

57. PSA tit. 25, § 3250

58. PSA tit. 25, § 3540

59. PSA tit. 25, § 3545

60. PSA tit. 25, § 3541

61. PSA tit. 25, § 3543

62. PSA tit. 25, § 3249(b), (c)

63. PSA tit. 25, § 3255

64. PSA tit. 25, § 3256(a), (b)

65. PSA tit. 25, § 3257

66. PSA tit. 25, § 3252(b)

67. PSA tit. 25, § 3252(a)

68. PSA tit. 25, § 3260

69. PSA tit. 25, §§ 2872.2(c); 3241(j); 3259(1)

70. PSA tit. 25, § 3260b

**CAMPAIGN FINANCE LAW**

**IN THE COMMONWEALTH OF PUERTO RICO**

**I. INTRODUCTION**

The Commonwealth of Puerto Rico requires political parties, candidates,
and persons or independent political groups to file quarterly, monthly,
or fortnightly statements of contributions and expenses with the
Commonwealth Election Commission.

Contributions by natural or juridical persons are limited as follows:
(1) in a nonelection year: (a) to a candidate of a political party, a
municipal or central directing body of a party, or an independent
candidate‑‑up to \$1,000 per year and (b) to all candidates and
parties‑‑maximum total annual amount of \$5,000; (2) in an election
year: (a) to a candidate for governor, a political party, or a
combination of both‑‑\$2,500 per year, (b) to any other
candidate‑‑\$1,000 per year but not to exceed \$2,500 per year for all
other candidates, (c) to an independent group or committee that supports
a candidate or political party‑‑\$500 per year, and (d) to all
independent committees or candidates‑‑maximum total annual amount of
\$5,000; and (3) in a primary election: to any candidate‑‑\$500.

Puerto Rico provides public funding of political parties and
gubernatorial candidates. In non‑general‑election years, participating
political parties may draw not more than \$300,000 from a special
electoral fund. In a general‑election year, political parties may draw
against the surplus left from preceding years, and each participating
political party and its candidate for governor have the right to draw on
the fund not more than \$600,000. The political parties and candidates
for governor that avail themselves of the benefits of the electoral fund
in an election year may incur additional campaign expenses up to a
maximum of \$5,000,000.

The Commonwealth Election Commission administers the Puerto Rico
Electoral Act. The Commission and the Secretary of the Treasury carry
out the public‑funding provisions of the Act.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is any contract;
promise or agreement to execute a contract, whether it is legally
enforceable or not; donation in cash or otherwise; subscription, loan,
advance, transfer, or deposit of money or any other thing of value; or
the act of securing, jointly and severally, a loan or obligation of any
kind. The term \"contribution\" also means every donation made by any
person, including the candidates themselves and their relatives, at any
fundraising activity held by a political party or candidate, including
but not limited to banquets, raffles, and fundraising drives \[1\].

**B. Maximum Contribution Limits.** No natural or juridical person may,
directly or indirectly, make contributions in excess of the following
amounts, either inside or outside of Puerto Rico, to a political party
or any of its candidates, to a coalesced political party, or to an
independent candidate for any election campaign in behalf of any
candidate, political committee, or other organization devoted to
promote, foster, or advocate the election of any candidate of a
political party or the victory of any political party:

\(1\) In a nonelection year: (a) to a candidate of a political party, a
municipal or central directing body of a party, or an independent
candidate‑‑up to \$1,000 per year and (b) to all candidates and
parties‑‑maximum total annual amount of \$5,000.

\(2\) In an election year: (a) to a candidate for governor, a political
party, or a combination of both‑‑\$2,500 per year, (b) to any other
candidate‑‑\$1,000 per year but not to exceed \$2,500 per year for all
other candidates, (c) to an independent group or committee that supports
a candidate or political party‑‑\$500 per year, and (d) to all
independent committees or candidates‑‑maximum total annual amount of
\$5,000.

\(3\) In a primary election: to any candidate‑‑\$500 \[2\].

Municipal or district bodies of political parties may not contribute
amounts of money in excess of the specified limits to their party\'s
general funds. Contributions made to coalesced political parties are
subject to the limitations applicable to a single political party \[3\].

**C. Contributions of Over \$100 by Check, Money Order, or Legal
Tender.** A contribution that exceeds \$100 must be made by check, money
order, or legal tender that identifies the contributor and is payable to
the candidate or party to which it is drawn \[4\].

**D. Identification of Contributors to Independent Groups or
Committees.** The names and addresses of all donors who make
contributions to independent groups or committees in excess of \$25 must
be identified \[5\].

**E. Solicitation or Receipt of Contributions in Excess of Maximum
Contribution Limits.** No person may solicit, receive, or agree to
receive any contribution whatsoever in excess of the amounts provided in
the Puerto Rico Electoral Act, either in the person\'s own behalf or in
behalf of or in representation of the central committee, a local
committee, or a candidate of any political party or of an independent
candidate \[6\].

**F. Transfer of Contributions by Candidates.** No candidate who has
received campaign contributions may transfer them in whole or in part,
directly or indirectly, to any political candidate or party \[7\].

**G. Contributions by Persons Who Have Control of or Majority Interest
in a Business Organization.** A person who has control of or majority
interest in a corporation, a society, or a firm and who has made a
personal contribution may not make another such contribution through and
in behalf of the corporation, society, or firm in which the person has
control or majority interest if the total of the contributions exceeds
the allowable limits for one single natural or juridical donor \[8\].

A person who chooses to make his or her contribution through and in
behalf of one or more persons, corporations, partnerships, or firms in
which he exercises control or has a majority interest may not repeat the
same in his or her personal capacity if the sum of the contributions
exceeds the allowable limits for one single natural or juridical donor
\[9\].

**H. Contributions by Banks.** Any contribution by a banking institution
for electoral purposes is illegal \[10\].

**I. Contributions Made Through Intermediaries.** No person may make
contributions, directly or indirectly, with money or property belonging
to another person, and no person may provide funds, directly or
indirectly, for any party or candidate without using the name of the
real donor. No candidate or representative of a political party may
knowingly receive a contribution made in violation of either of these
prohibitions \[11\].

**J. Anonymous Contributions.** Any contribution in excess of \$100 made
to a political party or a candidate whose donor cannot be identified is
prohibited except when (1) the contribution is made in a collective
political act in accordance with the other applicable statutory
provisions concerning the making of contributions or (2) the political
party is exempted from the obligation of identifying the donor. A
political party or candidate who receives an anonymous contribution in
excess of \$100 may not retain the contribution but must remit it to the
Commonwealth Elections Commission within 30 days after receipt \[12\].

**K. Contributions From Judges.** According to the canons of judicial
ethics in effect in 1995, a judge should abstain from participating in
the political process and should not make direct or indirect
contributions to political candidates, organizations, or parties \[13\].

**L. Solicitation or Granting of Public Services Privileges.** All
political parties, candidates, and independent groups are to have the
same access and opportunity to obtain the public services offered by the
agencies of the commonwealth. It is prohibited (1) to solicit from the
public service enterprises or instrumentalities of the commonwealth that
offer services, such as electric power, aqueducts, public
transportation, and telephones, or (2) to grant special privileges to a
candidate or a candidate\'s campaign committee, a political party or its
agents, or a person or group to collect political contributions or to
make independent campaign expenditures. No party, candidate, or
independent group of persons or their agents may knowingly accept
special privileges from the public service instrumentalities of the
commonwealth \[14\].

**M. Solicitation and Making of Contributions Related to the Granting of
Permits and Franchises.** It is prohibited for any natural or juridical
person in the process of being granted permits or franchises, of
adjudication, or of being granted one or more contracts for the purchase
and sale of real property, the rendering of services, materials, rental
of land, buildings, equipment, or construction of public works with the
Commonwealth of Puerto Rico or its agencies, public instrumentalities,
municipalities, or that is subject to the regulations thereof, to offer
or make, directly or indirectly, during the adjudication or granting
process any contribution, be it in cash or of any other sort, for the
purpose of obtaining, accelerating, or deriving benefits from the
permit, franchise, adjudication, grant, or rendering in support of a
political party, a candidate, or a person that acting independently
collects contributions for such purposes \[15\].

It is prohibited for a mayor of a municipality, elected official, head
of an agency or public instrumentality of the commonwealth, or official
or employee of the commonwealth who is involved and has adjudicative
power in the process of granting permits or franchises and of
adjudication or granting one or more purchase and sale contracts of real
or personal property, rendering of services, materials, rental of land,
buildings, or public work construction equipment to solicit
contributions from the natural or juridical persons who are awaiting the
determination or adjudication of the official or are subject to the
listed cases \[16\].

**N. Solicitation, Coercion, and Making of Contributions by Commonwealth
Officials and Employees.** In the representation of a political party, a
candidate, or an independent group of electors, no person may solicit or
receive from an official or employee of the government of the
commonwealth or its agencies any contribution or service in benefit of
any candidate or political party while the official or employee is
performing the official duties of his or her office or is in the
building or work area. Prohibited solicitation includes requests for
contributions made personally as well as by leaflets or similar
brochures \[17\].

During working hours or in the work area, officials and employees of the
government of the commonwealth or its agencies may not, directly or
indirectly, coerce or try to coerce any official or public employee, by
ordering or advising him or her to pay, loan, or contribute part of his
or her salary or any other thing of value to the political campaign of
any party, candidate, or independent committee of electors \[18\].

No person may enter or remain in a public building during working hours
with the purpose of soliciting contributions from the officials or
public employees for a party or candidate \[19\].

**O. Donations to Political Parties and Candidates for Delegate by
Natural Persons.** In a year in which a presidential primary is not
held, a natural person may make donations to candidates for delegate or
alternate delegate of the affiliated political parties, their central or
municipal directing bodies, political committees, or other related
organizations up to a maximum of \$400 per individual donation. The
total amount given or donated cannot exceed \$800 per year\[20\].

In a year in which a presidential primary is held, a natural person may
make donations to candidates for delegate or alternate delegate of the
affiliated political parties, their central or municipal directing
bodies, political committees, or other related organizations up to a
maximum of \$600 per individual donation. The total amount given or
donated cannot exceed \$1,000 per year \[21\].

Donors are subject to the requirements for accounting and income and
expense reports (*see* Section III.A, *infra*). The reports are due
starting on January 15^th^ of the presidential-election year,
subsequently on the first day of each month, and finally within 30 days
after the date of the presidential primary \[22\].

**P. Contributions by Marshals of the Court of First Instance.** No
marshal of the court of first instance of the commonwealth may make any
contribution, directly or indirectly, to any political group or party
\[23\].

**Q. Contributions by Vocational Rehabilitation Division Personnel.** No
officer or employee of the Vocational Rehabilitation Division may
solicit or receive, or may be compelled to contribute against his or her
will, or to render any service, or to give any assistance and
subscription, donation, or contribution for any political purpose
whatsoever \[24\].

**III. REPORTING REQUIREMENTS**

**A. Statements of Contributions and Expenses.** Every political party,
candidate (excluding candidates for municipal assemblymen), and person
or independent political group must keep a complete and detailed
accounting of every contribution received in or outside of Puerto Rico
and every expense incurred that has not been charged to the electoral
fund and must file statements of contributions and expenses under oath
with the Commonwealth Election Commission on the dates provided through
regulations by the Commission \[25\].

Each statement must list the reportable contributions and expenses, the
date on which each was received or incurred, the full name and address
of the person making the contribution or receiving the payment, and the
purpose for which each expense was incurred \[26\].

Statements are to be rendered every three months in non-election years.
Aspirants to a candidacy must file under oath by the 15^th^ day of the
month following the presentation of their intention of aspiring to a
candidacy to submit a first cumulative report of contributions received
and incurred up to May 31^st^ of the year in which primaries are held.
Beginning September 1^st^ of the year preceding a general election, a
statement must be rendered each month to the Commonwealth Election
Commission before the 5th day of the month following the report month.
From October 1st of the election year until the last day of that year,
statements must be rendered every fortnight on the 1st and 15th day of
each month. The last statement, which covers the transactions made after
January 1st of the year following an election year, is to be filed 90
days after the election \[27\].

The reporting requirement is applicable to every election, referendum,
plebiscite, or process of an electoral nature \[28\].

For the purpose of filing statements of contributions and expenses, a
\"candidate\" is any person who at any time prior to his or her
nomination by himself or herself or through another person, group, or
entity has received a contribution to be used in an election in which
the recipient is to appear as a candidate \[29\].

A \"political party\" is a principal party, party by petition, local
party by petition, or coalesced party \[30\].

**B. Fundraising Statements.** When any funds are raised at any group
political activity, including a mass meeting, a political rally,
gathering, or picnic, or other similar activity, the fundraisers must
prepare a sworn notarial statement after the activity has been held that
provides the following information: (1) the type of political activity
held, (2) an estimate of the number of persons attending, (3) the total
amount of money raised, and (4) an attestation that none of the donors
contributed any amount in excess of the amounts stipulated in the Puerto
Rico Electoral Act. The statement must be filed with the Commonwealth
Election Commission within 5 days following the date the activity was
held \[31\].

**C. Registration of Independent Persons or Groups.** A person or group
of persons not attached to a party or to the campaign committee of a
candidate that receives contributions or incurs an independent expense
in excess of \$500 to campaign in favor of or against a party or
candidate must register with the Commonwealth Election Commission within
the 10 days following the date of its organization as a group or the
date on which the contribution was received or the expense incurred in
excess of \$500 \[32\].

A \"person\" is any natural or juridical person, regardless of how it is
constituted, as well as any association, organization, partnership,
entity, or group of persons acting independently or collectively \[33\].

**D. Reports by Advertising Agencies and Communications Media.** All
agencies rendering advertising services and all communications media
that render services to political parties on the central level, to the
candidates for governor, and to persons and independent groups are bound
to render monthly reports to the Commonwealth Election Commission,
beginning with January of each general‑election year, stating the cost
of the services rendered by them for political advertisements \[34\].

The reports are to be filed under oath no later than the 10th day of the
month following the month covered by the report. On and after October
1st in an election year, the reports must be filed on October 16th and
31st and cover the expenses incurred up to the day before the date of
the filing thereof. The report corresponding to the last fortnight of
the month of October is to be filed before midnight on October 31st. The
report for the remaining period up to the day before that election is to
be filed before midnight of the day before the date the election is
held. The report of the expenses corresponding to election day is filed
before midnight of election day \[35\].

**IV. PUBLIC FINANCING PROVISIONS**

**A. Public Funding of Political Parties and Candidates for Governor**

**1. Establishment of the Electoral Fund.** An \"electoral fund\" is
established in the Department of the Treasury accounts. This fund is
placed at the disposal of the Secretary of the Treasury to fulfill the
purposes of Puerto Rico Electoral Act and to allow each of the political
parties the amounts needed as authorized from any funds available in the
commonwealth treasury \[36\].

**2. Participation in the Electoral Fund.** In non‑general‑election
years, each principal political party or party by petition whose central
directive body previously requested the Commonwealth Election Commission
to avail the party of the benefits of the fund may draw a sum against
the electoral fund not exceeding \$300,000 annually. In a
general‑election year, the political parties may draw against the
surplus left from preceding years, but the right to accumulate the
surplus is effective only from the year in which the party avails itself
of the benefits of the fund. A political party is held to have availed
itself of the benefits of fund from the first time it draws on the
electoral fund. In a general‑election year, each political party and its
candidate for governor entitled to the benefits of the electoral fund
have the right to draw on the fund an amount not to exceed \$600,000
\[37\].

**3. Limitation on Additional Campaign Expenses.** The political parties
and candidates for governor that avail themselves of the benefits of the
electoral fund in an election year may incur additional campaign
expenses up to a maximum sum not exceeding \$5,000,000. When a political
party or candidate for governor avails itself of the electoral fund in a
general‑election year and afterwards chooses to waive the use of the
same or notifies the Commonwealth Election Commission that it will not
avail itself of the benefits of the fund that year, the amount it is
entitled to is transferred in equal parts to all the other political
parties and candidates for governor \[38\].

**4. Use of Monies in the Electoral Fund.** The sums appropriated to
political parties qualifying to participate in the electoral fund are
only to be used by the political parties in benefit of all the
candidates nominated and must be devoted to administrative campaign
expenses and political propaganda in Puerto Rico, including without
limitation radio, television, and movie programs; advertisements in
newspapers circulated locally; printing of party programs and
publications; postage; printing, distribution and transportation of
propaganda material in Puerto Rico; expenses for the general election,
referenda, plebiscites, primaries, conventions, assemblies, and
registration in Puerto Rico; expenses for printed matter, recordings,
symbols, flags, films, and printing of political newspapers to be
circulated in Puerto Rico; general office expenses, including rent,
telephone, telegraph, and mail services in Puerto Rico; and water and
power services, travel expenses, equipment, and machinery \[39\].

**5. Limitations on Expenses in Communications Media.** Every central
committee of a political party and its candidate for governor that have
availed themselves of the electoral fund may spend up to \$2,250,000 in
a general‑election year to purchase time and space in the communications
media. The Commonwealth Election Commission, through a resolution or
order, may adjust the maximum sum in tune with the inflationary
increment in the cost of purchasing time and space in the communications
media \[40\].

**6. Attribution of Expenses.** An expenditure is considered as
chargeable to the sum available to a political party or its candidate to
governor if incurred by the party at a central level in support of or
against the nomination, candidacy, or election of any candidate for
governor, the candidate\'s platform, or the platform of the candidate\'s
party \[41\].

Any person or group of persons not attached to a political party or to a
candidate\'s campaign committee that independently requests or accepts
contributions or that incurs independent expenses for the benefit of a
party or candidate must publicly reveal and specify that the expense has
not been approved by the party or candidate in question. Any oral or
written communication through which contributions are requested or
accepted or through which independent expenses are incurred for the
benefit of a party or candidate must state in a clear and unmistakable
manner that the activity or announcement made public has been done
without the authorization of the party or candidate that has benefitted
thereby \[42\].

Any expense incurred that does not comply with these provisions is to be
charged to the available limits of the political party or the candidate
supported by the person or group of persons concerned or with which they
are affiliated \[43\].

**7. Accounting and Reporting of Expenses.** Every political party
entitled to participate in the electoral fund must keep a complete and
detailed account of any expenses incurred that are chargeable to the
fund. Participating parties must render a statement under oath to the
Commonwealth Election Commission and the Secretary of the Treasury,
certifying their fund‑chargeable expenses and indicating the date they
were incurred, the full name and address of the person in whose name the
payment was made, and the item for which the expense was incurred. The
expenses statement must be presented every three months within the first
10 days following the close of the reporting period \[44\].

**B. Additional Public Funding**

**1. Credit for Political Parties Based on Voter Registration.** In a
general‑election year, there is an additional credit, which is the
amount based on a credit of \$1.50 for each elector appearing in the
general register of electors. This credit is available for those
political parties whose candidates for governor avail themselves of the
provisions and limits established for the public funding of political
parties and gubernatorial candidates. The amount of the credit is to be
distributed in equal parts among all political parties, together with
their candidates for governor \[45\].

**2. Credit for Transportation of Electors.** An additional amount for
the transportation expenses of electors on general‑election day is also
provided. This credit is determined by prorating the sum of \$1,200,000
among all political parties and independent candidates for governor on
the basis of the percentage of the total votes that the candidates for
governor of the political parties and the independent candidates for
governor may obtain in the general election of that year. Each party and
independent candidate receives an advance that is determined by
statutory formula, but is never less than \$25,000 \[46\].

**V. OFFENSES AND PENALTIES**

**A. Criminal Penalties**

**1. Illegal Contributions by Natural Persons.** A natural person who
makes contributions, directly or indirectly, in excess of the amounts
provided in the Puerto Rico Electoral Act to a political party, a
candidate of a political party, or a campaign in behalf of any
candidate, political committee, or other organization engaged in
promoting or advocating the election of any political party must be
punished by imprisonment for a maximum term of 6 months or a fine not
exceeding \$500 \[47\].

**2. Illegal Contributions by Juridical Persons.** A juridical person
that makes contributions, directly or indirectly, in excess of the
amount provided in the Puerto Rico Electoral Act to a political party, a
candidate of a political party, a coalesced party, or an independent
candidate for any election campaign in behalf of any candidate,
political committee, or other organization engaged in sponsoring,
promoting, or advocating a candidate\'s election must be punished by a
fine of \$5,000 or, in the case of recidivism, by a fine not exceeding
\$50,000. The Commonwealth Election Commission further may order the
annulment of the certificate of incorporation, the dissolution, the
suspension of operations, or the revocation of the license, as the case
may be, of a juridical person that makes illegal contributions \[48\].

**3. Illegal Contributions Related to the Granting of Permits and
Franchises.** A natural person who is in the process of granting permits
or franchises, of adjudicating or granting one or more purchase and sale
contracts of real property, or of rendering services, materials, rental
of land, buildings, or equipment, or construction of a public work with
the Commonwealth of Puerto Rico or its agencies, public
instrumentalities, or municipalities, or is subject to the regulations
thereof, that offers, makes, receives, or solicits, directly or
indirectly, during the adjudication or granting process any
contribution, be it monetary or of any other kind, with the purpose of
obtaining, accelerating, or gaining profit of a permit, franchise,
adjudication, grant, or rendering in support of a political party, a
candidate, or a person who, acting independently, collects contributions
for such purposes must be punished by imprisonment for a fixed term of 9
years. If there were aggravating circumstances, the fixed penalty
established may be increased up to a maximum of 15 years; if there were
extenuating circumstances, the fixed penalty may be reduced to a minimum
of 6 years. A juridical person that commits such a violation must be
sanctioned with a fine of \$100,000, and the Commonwealth Election
Commission may request and obtain from the Secretary of State
cancellation of the incorporation charter, dissolution, suspension of
activities, or revoking of the license, as the case may be, of the
juridical person \[49\].

**4. Violations by Officials of Business Organizations.** An officer,
director, manager, promoter, or executive of a banking institution,
corporation, partnership, or association, whether or not organized under
the laws of Puerto Rico, who authorizes or consents that a contribution
or payment be made in violation of the provisions of the Puerto Rico
Electoral Act must be punished by imprisonment for a term not to exceed
three months, a fine not exceeding \$500, or both penalties, at the
discretion of the court \[50\].

**5. Illegal Solicitation or Receipt of Contributions in Excess of
Statutory Limits.** A person who solicits, receives, or agrees to
receive in the name of or in behalf of the central committee of any
municipal directing body of a political party or of any

candidate any contribution in excess of the amounts provided the Puerto
Rico Electoral Act must be punished by imprisonment for a maximum term
of 6 months or by a fine not exceeding \$500 \[51\].

**6. Illegal Contributions by Banking Institutions.** A banking
institution that makes contributions, directly or indirectly, for the
electoral purposes covered by the Puerto Rico Electoral Act must be
punished by a fine not exceeding \$15,000 or, in the case of recidivism,
by a minimum fine of \$15,000 and a maximum fine of \$30,000. The
Commonwealth Election Commission further may request and obtain from the
Secretary of the Treasury annulment of the certificate of incorporation,
dissolution, suspension of operations, or revocation of the license of
the banking institution, as the case may be \[52\].

**7. Illegal Campaign Expenses.** A person who pays or incurs in
campaign information media expenses on behalf of any candidate,
political party, or alternative or who solicits or receives any payment
or disbursement for such account in excess of the limits established in
the Puerto Rico Electoral Act must be punished by imprisonment for a
maximum term of 6 months or a fine not exceeding \$500. If the violation
is committed by a political party, the officers of the board of
directors of the party must be punished by imprisonment for a maximum
term of 6 months or a fine not exceeding \$500. The political party also
is to be penalized by a minimum fine of \$1,000 and a maximum fine of
\$5,000 \[53\].

**8. Failure to Render Required Reports.** A person who fails or refuses
to render the reports required by the Puerto Rico Electoral Act must be
punished by imprisonment for a maximum term of 6 months or a fine not
exceeding \$500 \[54\].

**9. False Reporting of a Bill of Expense or Electoral Receipts.** A
person who willfully and knowingly presents or signs a false bill of
expense or electoral receipts or who refuses to rectify an incomplete or
erroneous bill for such expenses or receipts or fails to do so when
legally required by competent authority must be punished by imprisonment
for a term not to exceed one year \[55\].

**10. Offer or Agreement to Reward a Contributor With Appointive
Office.** A candidate or person on behalf of a candidate who offers or
agrees to appoint or to obtain the appointment of a specific person for
any public office as an incentive or reward for contributing to the
candidate\'s campaign and a person who accepts or seeks such an offer
must be punished by imprisonment for a maximum term of 6 months or a
fine not exceeding \$500 \[56\].

**B. Election‑Related Penalties.** A candidate convicted by the
Commonwealth Election Commission for having committed any electoral
offense, in addition to other penalties provided in the Puerto Rico
Electoral Act, is subject to disqualification as a candidate by the
Superior Court, as provided by the Act \[57\].

**VI. RESPONSIBLE STATE AGENCIES**

**A. Commonwealth Election Commission.** The Commonwealth Election
Commission administers the Puerto Rico Election Act, and its duties
include (1) dealing with, investigating, and resolving matters or
controversies submitted for its consideration by any interested party,
(2) filing any legal recourses deemed necessary to carry out and put
into effect the purposes of the Act, and (3) approval and adoption of
rules and regulations needed to implement the provisions of the Act
under its jurisdiction \[58\]. The Commission is the filing office for
statements of contributions and expenses, fundraising reports,
independent person/group registrations, advertising agency and
communications media reports, statements of electoral‑fund expenses
\[59\].

**B. Secretary of the Treasury.** The Secretary of the Treasury manages
the electoral fund for public funding of political parties and
gubernatorial candidates and receives statements of electoral‑fund
expenses \[60\]

**References**

1.  Laws of Puerto Rico Annotated (hereafter LPRA) tit. 16, § 3003(12)

2.  LPRA tit. 16, § 3105

3.  LPRA tit. 16, §§ 3105; 3107

4.  LPRA tit. 16, § 3105

5.  LPRA tit. 16, § 3105

6.  LPRA tit. 16, § 3106

7.  LPRA tit. 16, § 3107

8.  LPRA tit. 16, § 3108

9.  LPRA tit. 16, § 3108

10. LPRA tit. 16, § 3108

11. LPRA tit. 16, § 3108a

12. LPRA tit. 16, § 3108b: see also LPRA tit. 16, § 3105

13. LPRA tit. 4, App. IV‑A, Canons of Judicial Ethics of Puerto Rico,
    Canon XIII

14. LPRA tit. 16, § 3108d

15. LPRA tit. 16, § 3108e

16. LPRA tit. 16, § 3108e

17. LPRA tit. 16, § 3108f(a), (c)

18. LPRA tit. 16, § 3108(b)

19. LPRA tit. 16, § 3108(c)

20. LPRA tit. 16, § 1349

21. LPRA tit. 16, § 1349

22. LPRA tit. 16, § 1350

23. LPRA tit. 4A, App.VI, Rule 8

24. LPRA tit. 18, § 1060

25. LPRA tit. 16, § 3111(a), (d)

26. LPRA tit. 16, § 3111(a)

27. LPRA tit. 16, § 3111(a), (c)

28. LPRA tit. 16, § 3111(d)

29. LPRA tit. 16, § 3111(e)

30. LPRA tit. 16, § 3003(38)

31. LPRA tit. 16, § 3111(b)

32. LPRA tit. 16, § 3112a

33. LPRA tit. 16, § 3003(45)

34. LPRA tit. 16, § 3113

35. LPRA tit. 16, § 3113

36. LPRA tit. 16, § 3114

37. LPRA tit. 16, §§ 3115; 3116

38. LPRA tit. 16, § 3117a

39. LPRA tit. 16, § 3118

40. LPRA tit. 16, § 3110

41. LPRA tit. 16, § 3112

42. LPRA tit. 16, § 3112

43. LPRA tit. 16, § 3112

44. LPRA tit. 16, § 3109

45. LPRA tit. 16, § 3117

46. LPRA tit. 16, § 3119(a)‑(c)

47. LPRA tit. 16, § 3361

48. LPRA tit. 16, § 3362

49. LPRA tit. 16, § 3362a

50. LPRA tit. 16, § 3363

51. LPRA tit. 16, § 3364

52. LPRA tit. 16, § 3365

53. LPRA tit. 16, § 3366

54. LPRA tit. 16, § 3367

55. LPRA tit. 16, § 3368

56. LPRA tit. 16, § 3369

57. LPRA tit. 16, § 3370

58. LPRA tit. 16, § 3013(e), (f), (l)

59. LPRA tit. 16, §§ 3109; 3111(b), (c); 3112a; 3113

60. LPRA tit. 16, §§ 3109; 3114

**CAMPAIGN FINANCE LAW**

**IN RHODE ISLAND**

**I. INTRODUCTION**

Rhode Island requires candidates, political action committees, and
municipal and state political party committees to file periodic reports
of contributions and expenditures if in a calendar year contributions
received from a single source exceed \$100 in the aggregate or
expenditures relating to a candidacy or ballot question exceed \$1,000
in the aggregate. Independent expenditures over \$100 in the aggregate
within a calendar year are also required to be reported.

Only individuals, political action committees, political party
committees, and candidate or officeholder committees may be make
contributions. The ag­gregate contributions that made by a contributor in
a calendar year are limited: (1) by a person or political action
committee‑‑\$1,000 per recipient (except con­tributions to a political
party for organizational and party‑building activities), (2) by a person
to all recipients‑‑\$10,000, (3) by a non‑ballot‑question political
ac­tion committee to all recipients‑‑\$25,000, (4) by a person, political
action com­mittee, or political party committee to a political party
committee for organiza­tional and party building activities‑‑\$10,000,
(5) by a political party to any one party candidate‑‑\$25,0000 (no limit
on allowable in‑kind contributions), and (6) by a political party
committee to all candidates of the party‑‑unlimited. The lim­it on
contributions by a person or political action committee to a candidate
for general office increases to \$2,000 if the candidate qualifies to
receive public funding. Candidate contributions to the candidate\'s own
campaign generally are unlimited; however, for a candidate for general
office who has qualified for and elected to receive public funding,
contributions (and loans) by the candidate may not exceed 5% of the
total the candidate is permitted to spend in the cam­paign.

Public financing is provided for political parties and for candidates
for general office (governor, lieutenant governor, secretary of state,
attorney general, and general treasurer) in a general election. A tax
credit of \$5 (\$10 for a joint re­turn) is allowed for a political
contribution made on a personal income tax re­turn for the public
financing of the electoral system. The State Board of Elections is
responsible for implementation of the Campaign Contributions and
Ex­penditures Reporting Act, including the public financing provisions.
The Rhode Island Ethics Commission administers the state code of ethics
law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution**. \"Contributions\" include all
transfers of money, paid personal services, or other things of value to
or by any candidate, political party committee, or political action
committee. \"Paid personal services\" are personal services of every
kind and nature, the cost or consideration for which is paid or provided
by someone other than the committee or candidate for whom the services
are rendered, but do not include personal services provided without
compensation by persons volunteering their time. \"Other things of
val­ue\" are any items of tangible real or personal property of a fair
market value in excess of \$100. A loan is considered to be a
contribution of money until it is re­paid \[1\].

**B. Authorized Contributors.** Contributions to a candidate, political
action committee, or political party may not be made by an entity other
than an indi­vidual, duly registered and qualified political action
committee, authorized polit­ical party committee, or authorized committee
of an elected official or candidate \[2\].

**C. Maximum Contribution Amounts**. The following limitations on
contri­butions may not be exceeded within a calendar year:

\(1\) Contributions made to his or her own campaign by a candidate who
is not eligible for or has not elected to receive public
funding‑‑unlimited.

\(2\) Contributions (and loans) made to his or her own campaign by a
can­didate for general office (i.e., governor, lieutenant governor,
secretary of state, attorney general, and general treasurer) who has
qualified for and elected to re­ceive public funding‑‑5% of the total
amount the candidate is permitted to ex­pend in a campaign for the
office.

\(3\) Contributions made by any person (including contributions by the
per­son\'s dependent children and excluding contributions by a candidate
to his or her own campaign) or political action committee to any
candidate, political ac­tion committee, or political party
committee‑‑\$1,000 in the aggregate. The \$1,000 limit on contributions
to political party committees applies to funds to be used for other than
organizational and party‑building activities.

\(4\) Contributions made by any person, political action committee, or
political party committee to a political party committee to be used for
organizational and party‑building activities‑‑\$10,000 in the aggregate.
These contributions do not count toward the annual limit on total
aggregate contributions by persons and political action committees.

\(5\) Contributions made by a dependent child to any candidate or
political ac­tion committee‑‑an amount that when added to contributions
already made by the child\'s parent or legal guardian and other
dependent children does not exceed \$1,000 in the aggregate.

\(6\) Contributions made by any person (including contributions by the
per­son\'s dependent children) to more than one candidate, political
action commit­tee, or political party or a combination of candidates and
committees‑‑\$10,000 in the aggregate.

\(7\) Contributions made by a dependent child to all candidates and
political action committees‑‑an amount that when added to contributions
already made by the child\'s parent or legal guardian and other
dependent children does not exceed \$10,000.

\(8\) Contributions made by any political action committee to more than
one candidate, political action committee, or political party or a
combination of can­didates and committees‑‑\$25,000 in the aggregate;
however a political action committee organized exclusively to promote or
oppose a ballot question may expend more than \$25,000 to promote or
oppose the referendum.

\(9\) Aggregate contributions made by a political party committee to all
candi­dates of the party‑‑unlimited.

\(10\) Contributions, other than allowable in‑kind contributions, made
by a po­litical party committee to any one candidate of the
party‑‑\$25,000 in the ag­gregate.

\(11\) Contributions, other than allowable in‑kind contributions,
accepted by a candidate from all committees of the candidate\'s
political party‑‑\$25,000 in the aggregate.

\(12\) Allowable in‑kind contributions made by a political party
committee to any one candidate of the party‑‑unlimited. The cost of
preparation and airing of television and/or radio advertisements and the
cost of any print advertisements are *not* allowable in‑kind
contributions.

\(13\) Contributions accepted by a candidate, political action
committee, or po­litical party committee from any person or political
action committee‑‑\$1,000 in the aggregate.

\(14\) Contributions accepted by a candidate who qualifies to receive
public funding from any person or political action committee‑‑\$2,000 in
the aggregate \[3\].

The maximum contribution limits do not restrict the amount of money that
a candidate can borrow in his or her own name and subsequently
contribute to his or her own campaign \[4\].

A \"person\" subject to the limitations on contributions to candidates
is an indi­vidual, partnership, committee, association, corporation, and
any other organiza­tion \[5\].

**D. Contributions Made by or Accepted From Corporations and Busi­ness
Entities.** A corporation, whether profit or non‑profit, domestic or
foreign, or other business entity may not make any campaign contribution
to or for any candidate, political action committee, or political party
committee, and a can­didate, political action committee, or political
party committee may not accept a campaign contribution from a
corporation or other business entity. A contribu­tion made in the
personal name of an employee of a corporation or other busi­ness entity
for which the employee received or will receive reimbursement from the
corporation or business entity is considered to be a prohibited
contribution by the corporation or business entity. A voluntary payroll
deduction or contribution made by an employee of a corporation or other
business entity, however, is not deemed to be a contribution of a
corporation or other business entity notwithstanding that the
contribution was sent to the recipient by the corporation or other
business entity \[6\].

A \"business entity\" is a corporation, whether for profit or not for
profit, do­mestic corporation, financial institution, cooperative,
association, receivership, trust, limited partnership, holding company,
firm, joint stock company, public utility, sole proprietorship,
partnership, limited partnership, or any other entity recognized by U.S.
or state laws for the purpose of doing business. The term does not
include a political action committee, political party committee, or
au­thorized campaign committee of a candidate or officeholder \[7\].

**E. Contributions by a Political Action Committee**. Only political
action committees that have accepted contributions from 15 or more
persons in amounts of \$10 or more within a 24‑month election cycle are
permitted to make contributions. Except for political action committees
organized exclusively to promote or oppose a ballot question, political
action committees must make con­tributions to at least 5 candidates for
state or local office within an election cycle \[8\]. An "election
cycle\" is the 24‑month period commencing on January 1st of an
odd‑numbered year and ending on December 31st of the following
even‑numbered year \[9\].

**F. Attribution of Contributions and Expenditures to a Candidate**. A
contribution to a named candidate made to any political committee
authorized by the candidate to accept contributions on the candidate\'s
behalf is considered to be a contribution made to the candidate. A
contribution to a candidate by a political committee for another person
is considered to be a contribution by that person. Expenditures made by
any person in cooperation, consultation, or con­cert with or at the
request or suggestion of a candidate, the candidate\'s author­ized
political committees, or their agents are considered to be a
contribution to the candidate. The financing by any person of the
dissemination, distribution, or republication, in whole or in part, of
any broadcast or any written, graphic, or other form of campaign
materials prepared by the candidate, the candidate\'s campaign
committees, or their authorized agents are considered to be a
contri­bution to the candidate \[10\].

**G. Contributions and Expenditures Through the Campaign Treasurer.** A
contribution may not be made or received and expenditures may not be
di­rectly made or incurred to support or defeat a candidate or to
advocate the ap­proval or rejection of any question in any election
except through the duly ap­pointed campaign treasurer or deputy campaign
treasurers of the candidate, po­litical party committee, or political
action committee \[11\].

**H. Anonymous or Third‑Party Contributions and Expenditures.**
Con­tributions may not be made and expenditures may not be made or
incurred anonymously, in a fictitious name, or by one person or group in
the name of another. A treasurer or candidate may not solicit or
knowingly accept any such contribution. An anonymous contribution may
not be used or expended and must be returned to the donor if the
donor\'s identity can be ascertained; if it cannot, the contribution
escheats to the state \[12\].

**I. Cash Contributions.** A candidate may accept contributions in cash
that do not exceed \$25 in the aggregate from an individual in a
calendar year. A cash contribution must be delivered directly by the
donor to the candidate or his or her campaign treasurer or deputy
treasurer, and the treasurer or deputy treasurer must maintain a record
of the name and address of all individuals mak­ing cash contributions.
All other contributions of funds are to be by check or money order
identifying the source of the funds \[13\].

**J. Gambling Question Contributions.** A contribution over \$1,000 in
the aggregate may not be made to any political action committee for
advocating the approval or rejection of any gambling question \[14\].

**K. Solicitation of Contributions by and From a State Classified
Em­ployee.** No classified employee or member of the personnel appeal
board may solicit contributions for nor may the employee or member be
solicited to con­tribute to any political party or campaign. Every state
government officer, agent, clerk, or employee who has charge or control
in any building, office, or room occupied for any state government
purpose must not permit any person to enter to make, collect, receive,
or give notice of any political assessment, sub­scription, or
contribution, and no person may enter or remain in any such facili­ty or
send or direct any letter or other notice there for the purpose of
giving no­tice of, demanding, or collecting a political assessment,
subscription, or contribu­tion \[15\].

**L. Access Peddling by a General Officer or Candidate for General
Of­fice.** A general officer or candidate for general office may not
solicit campaign contributions by guaranteeing to all contributors of a
specified minimum amount of money, as a quid pro quo for their
contributions, the right to meet with the general officer or candidate
on a predetermined number of occasions. The phrase \"right to meet\"
does not include the holding of a one‑time public fundrais­ing event at
which the general officer or candidate is present \[16\]. A \"general
officer\" is the governor, lieutenant‑governor, secretary of state,
attorney‑general, and general treasurer \[17\].

**M. Making, Solicitation, and Acceptance of Contributions by Judges and
Candidates for Judicial Office.** The Code of Judicial Conduct restricts
the political activities of judges and candidates for election or
appointment to judicial office. Anyone, whether or not a lawyer, who is
an officer of a judicial system and performs judicial functions,
including but not limited to justices and judges of the supreme court,
superior court, family court, district court, and workers\' compensation
court and the masters who serve in those courts, judges in the
administrative adjudication court, and judges of the probate, municipal,
and housing courts of cities and towns. All judges are to comply with
the Code \[18\].

A judge or candidate for election or appointment to judicial office may
not so­licit funds for, pay an assessment to, or make a contribution to a
political organi­zation or candidate; however, the prohibition does not
apply at any time to a continuing part‑time judge, a periodic part‑time
judge, or a pro tempore part‑time judge, and a non‑judge candidate for
appointment to judicial office, unless otherwise prohibited by law, may
continue to pay ordinary assessments and con­tributions to a political
organization or candidate \[19\].

A candidate for appointment to judicial office or a judge seeking
non‑judicial governmental office may not solicit or accept funds,
personally or through a committee or otherwise, to support his or her
candidacy \[20\].

A candidate for judicial office is required to prohibit officials who
serve at the pleasure of the candidate and to discourage employees and
other officials sub­ject to the candidate\'s direction and control from
doing on the candidate\'s behalf what the candidate is prohibited from
doing and may not authorize or knowingly permit any other person to do
for the candidate what the candidate is prohibited from doing \[21\].

In the Code of Judicial Conduct, a \"candidate\" is a person seeking
selection for judicial office by election or appointment. A person
becomes a candidate for judicial office as soon as he or she makes an
public announcement of candidacy, declares or files as a candidate with
the election or appointment authority, or au­thorizes solicitation of
support. The term \"candidate\" has the same meaning when applied to a
judge seeking election or appointment to non‑judicial office \[22\].

**N. Solicitation or Making of Contributions to Influence a Public
Offi­cial or Employee or a Candidate for Public Office.** The following
public officials and employees are subject to the state code of ethics
(\"covered public servants\"): elected or appointed state or municipal
officials and employees of state or local government (including state
and municipal agencies and public or quasi‑public state or municipal
boards, commissions, or corporations) \[23\].

A covered public servant or candidate for public office, the spouse (if
not es­tranged), dependent children, and business associates of the
public servant or candidate, and any business that employs or is
represented by the public servant or candidate may not solicit or accept
a political contribution based on any un­derstanding that the vote,
official action, or judgment of the public servant or candidate would be
influenced thereby \[24\].

No person may give or offer to give a political contribution to a
covered pub­lic servant or candidate for public office, the spouse (if
not estranged), depend­ent children, and business associates of the
public servant or candidate, and any business that employs or is
represented by the public servant or candidate based on any
understanding that the vote, official action, or judgment of the public
servant or candidate would be influenced thereby \[25\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** \"Expenditures\" include all transfers
of mon­ey, paid personal services, or other things of value to or by any
candidate, politi­cal party committee, or political action committee
\[26\].

**B. Authorized Makers of Expenditures.** Expenditures on behalf of or
in opposition to a candidate, ballot question, political action
committee, or political party may not be made by an entity other than an
individual, duly registered and qualified political action committee,
authorized political party committee, or authorized committee of an
elected official or candidate \[27\].

**C. Expenditures by Corporations and Business Entities.** A
corporation, whether profit or non‑profit, domestic or foreign, or other
business entity may not make any campaign expenditure for any candidate,
political action commit­tee, or political party committee; however, a
voluntary payroll deduction or contribution made by an employee of a
corporation or other business entity is not deemed to be a contribution
of a corporation or other business entity notwithstanding that the
contribution was sent to the recipient by the corporation or other
business entity \[28\].

**D. Independent Expenditures.** A person not otherwise prohibited by
law and not acting in concert with any other person or group may expend
personally from the person\'s own funds a sum that is not to be repaid
to the person for any purpose not prohibited by law to support or defeat
a candidate or to advocate the approval or rejection of any question;
however, a person is required to re­port all such expenditures and
expenses if the total of the money so expended exceeds \$100 within a
calendar year. The report is to be made within 7 days of making such
expenditure to the State Board of Elections and the campaign treas­urer
(or the treasurer\'s deputy) of the candidate or political party
committee on whose behalf the expenditure or contribution was made
\[29\].

**E. Pre‑Election Political Advertising Paid by Public Funds.** An
elected official may not permit the expenditure of public funds from any
official budget under the official\'s authority for any publication,
advertisement, broadcast, or telecast of the official\'s photograph,
voice, or other likeness to be broadcast or distributed to the public
during the 120 days before a primary or general elec­tion in which the
official is a candidate. An elected official is not prohibited from
appearing on regular capitol television programing operated by the
general assembly or on television stations operated by the Rhode Island
public tele­communications authority during the 120‑day pre‑election
period \[30\].

**F. Personal Use of Campaign Funds.** An elected public officeholder or
candidate for public office may not use campaign funds for personal use.
Any expense that results from campaign or officeholder activity is a
permitted use of campaign funds \[31\].

"Personal use\" is any use other than expenditures related to gaining or
holding public office and for which the candidate for public office or
elected public official would be required to treat the amount of the
expenditure as gross income under § 61 of the Internal Revenue Code of
1986, 26 U.S.C. § 61, or any subsequent corresponding Internal Revenue
Code of the United States, as from time to time amended \[32\].

**G. Personal Use of Testimonial Proceeds.** A candidate for public
office or any elected public officeholder may not accept the proceeds of
a testimonial for personal use \[33\].

**H. Use of Contributions to Repay Personal Loans.** Campaign
contribu­tions may not be used to repay cumulative personal loans made to
a campaign by a candidate in excess of \$200,000 during an election
cycle \[34\].

**IV. REPORTING REQUIREMENTS**

**A. Designation of Campaign Treasurer.** Each candidate in an election,
po­litical action committee, and state or municipal committee of a
political party must appoint a campaign treasurer and file with the
State Board of Elections the name and address of the treasurer and any
deputy campaign treasurers appoint­ed \[35\]. Candidates are to include
the campaign treasurer appointment information in the notice of
organization filed with the State Board \[36\].

A \"candidate\" is (1) any individual who undertakes any action, whether
pre­liminary or final, that is necessary under the law to qualify for
nomination for election or election to public office or (2) any
individual who receives a contri­bution, makes an expenditure, or gives
his or her consent for any other person to receive a contribution or
make an expenditure with a view to bringing about his or her nomination
or election to any public office, whether or not the specific office is
known at the time the contribution is received or the expenditure is
made and whether or not the individual has announced his or her
candidacy or filed a declaration of candidacy at such time \[37\].

A \"political action committee\" is any group of two or more persons
that ac­cepts any contributions to be used for advocating the election or
defeat of any candidate or candidates or for advocating the approval or
rejection of any ques­tion or questions submitted to the voters \[38\].

A campaign treasurer must be appointed by (1) a candidate before
receiving any contribution or expending any money in furtherance or aid
of his or her candidacy, (2) a political action committee before
receiving any contribution or expending any money for the purpose of
advocating the election or defeat of any candidate or the approval or
rejection of any question, and (3) a state or municipal political party
committee on or before January 31st each year \[39\]. A candidate may
serve as his or her own campaign treasurer, and a candidate who fails to
appoint a treasurer will be designated as his or her own treasurer
\[40\].

In case of the death, resignation, or removal of a campaign treasurer, a
succes­sor must be appointed as soon as practicable and the successor\'s
name and ad­dress filed with the State Board of Elections within 10 days
\[41\].

A campaign treasurer is required to keep accurate records \[42\]. For
every report filed after November 1, 2001, (1) the campaign treasurer of
each candidate seeking nomination for election or election to public
office must maintain and preserve all records and supporting
documentation for four years from the filing date, and (2) the treasurer
of each political party committee and political action committee must
maintain and preserve all records in support of the committee reports of
contributions and expenditures filed for four years from the filing date
\[43\].

**B. Candidate Notice of Organization.** Each candidate in any election
is required to file with the State Board of Elections a notice of
organization, which includes the name and address of the candidate, the
campaign treasurer, and the committee being establish \[44\].

**C. Notice of Formation of a Political Action Committee.** A political
ac­tion committee must file notice of its organization with the State
Board of Elections before accepting any contribution or making any
expenditure. The notice must contain (1) the names of any candidates
whose election or defeat the committee intends to advocate and/or the
questions whose approval or rejection the committee intends to advocate,
(2) the names and addresses of all officers of the committee, (3) the
mailing addresses of the committee, (4) the goals and purposes of the
committee, and (5) a statement indicating whether the member­ship and/or
contributor base of the committee is derived primarily from the
employees of one corporation or business entity or from one business or
profes­sional group or association or labor union and, if so, the
identity of that employ­er, group, association, or union. A political
action committee may not advocate the election or defeat of any
candidates or questions other than those set forth in its initial or
amended notice of organization \[45\].

If a political action committee derives more than 50% of its funds from
the employees, officers, directors, investors, and/or stockholders of a
corporation or other business entity, the name of the committee must
incorporate the name of that corporation or business entity. If a
political action committee derives more than 50% of its funds from
persons affiliated with one industry, profession, trade organization, or
association or labor union, the name of the committee must identify that
industry, profession, trade organization, association, or labor union.
The State Board of Elections may reject the use by a political committee
of a name that is misleading or does not accurately identify the
membership or contributor base of the committee \[46\].

A political action committee that advocates the approval or rejection of
any gambling question, that is, a referendum that relates to a proposal
to institute gambling in any form, must also register with the secretary
of state by submit­ting its name and the name and address of the chairman
and treasurer \[47\].

**D. Reports of Contributions and Expenditures.** The campaign treasurer
of a candidate, political action committee, and municipal or state
political party committee must file with the State Board of Elections
reports containing an ac­count of contributions received and expenditures
made in furtherance of the nomination, election, or defeat of any
candidate or the approval or rejection of any question submitted to the
voters if within a calendar year (1) contributions in excess of a total
of \$100 from any one source are received by a candidate, po­litical
action committee, or political party committee or (2) the total amount
ex­pended in behalf of a candidacy or question by the candidate,
political action committee, or political party committee exceeds \$1,000
in the aggregate \[48\].

*Exemption From Reporting.* A candidate, political action committee, or
polit­ical party committee may be excused from filing all reports for a
campaign other than the final report due on the 28th day following the
election if, on or before the first date for filing contribution and
expenditure reports, the campaign treas­urer files a sworn statement that
he or she will not accept contributions in excess of \$100 from any one
source nor make aggregate expenditures in excess of \$1,000 within a
calendar year \[49\].

*Electronic Reporting.* The filing of campaign finance reports to the
State Board of Elections will commence in accordance with the following
schedule (unless the State Board delays implementation by up to 90
days):

\(1\) Candidates for general office---beginning with the report required
to be filed for the first quarterly reporting period in 2002.

\(2\) All other candidates for public office and political parties,
other than state political parties---beginning with the first quarterly
reporting period in 2004; however, all candidates may commence filing
campaign finance reports electronically beginning with the first report
required to be filed for the first quarterly reporting period in 2002
Any candidate who raises or expends more than \$5,000 annually or whose
report shows a balance of \$5,000 or more in his or her campaign fund as
of December 31^st^ of the previous year shall file his or her campaign
finance reports electronically beginning with the first report required
to be filed for the first quarterly reporting period in 2004.

\(3\) State political parties, political action committees and vendors
required to file campaign finance reports---beginning with the first
report required to be filed for the first quarterly reporting period in
2002 \[50\].

*Contents of Reports.* A report of the account of contributions and
expen­ditures must contain for the reporting period (1) the name and
address and place of employment of each person or source from whom
contributions in ex­cess of a total of \$100 were received within a
calendar year and the amount con­tributed by each person or source, as
well as the contributions received from any testimonial affair, and (2)
the name and address of each person to whom expenditures in excess of
\$100 were made and the amount and purpose of each such expenditure
\[51\].

If the total aggregate amount expended for a candidacy does not exceed
\$1,000, reports of expenditures are not required, but reports of
contribu­tions must be made: (1) the sources and amounts of all
contributions in excess of a total of \$100 from any one source within a
calendar year must be listed, and (2) if no contribution from any one
source within a calendar year exceeds \$100, the aggregate amount of all
contributions received must be stated. The contri­bution reports must
also state the amount of aggregate contributions from indi­viduals,
political action committees, and political party committees \[52\].

When payments are made to the issuer of a credit or charge card who, in
turn, has paid or will pay the actual provider of services or other
things of value, the name and address of the card issuer and the amount
and purpose of the pay­ment to the issuer if in excess of \$25 must be
reported, together with the name and address of the actual provider of
the services or other things of value ex­ceeding \$25 in amount and the
amount and purpose of each such expenditure. The report must clearly
indicate that the amount paid to the issuer and the amounts owed to the
actual providers are related \[53\].

*Additional Contents of Reports of Political Action Committees.* A
political action committee is also required to include in its reports of
contributions and expenditures:

\(1\) The source and amount of all funds received by the committee in
excess of \$100 in the aggregate from a single source in a calendar
year. The report of funds received through a regular payroll checkoff
plan in which the aggregate contribution from each individual does not
exceed \$100 per calendar year must include the name and address of each
entity transferring the funds to the committee, the aggregate amount
received from the payroll checkoff, and the total number of
contributors. The report of funds received by the political action
committee of a labor organization from the members of the labor
organization in amounts not exceeding \$25 per calendar year from a
single source must include the aggregate amount received and the total
number of members of the labor organization contributing.

\(2\) The name and address of each person to whom expenditures were made
and the amount and purpose of each expenditure.

\(3\) The name and address of each elected official and candidate for
elected office to whom a contribution was made and the amount of the
contribution \[54\].

*Pre‑Election Reports.* Pre‑election reports, which are to cover the
period from the date of the last report or, in the case of the initial
report, from the date a person becomes a declared or undeclared
candidate or the date of appoint­ment of a committee campaign treasurer,
whichever is applicable, must be sub­mitted according to the following
schedule:

\(1\) At 90‑day intervals (calendar quarters) by no later than 30 days
after the 90-day period (April 30^th^, July 30^th^, October 30^th^, and
January 30th) notwithstanding that the initial report may cover a period
of less than 90 days (pre‑election quarterly report). If the 30-day
deadline following the initial 90-day reporting period occurs less than
28 days before an election, the 28^th^ and 7^th^ day pre-election
reports will be filed. If any 90-day reporting period ends less than 40
days prior to an election, the 90-day report is included as part of the
report required to be filed on the 28^th^ day next preceding the day of
the primary, general, or special election.

\(2\) In a contested election, on the 28th and 7th days preceding a
primary, general, or special election; however, in the case of a primary
election for a special election where the 28th day before the primary
occurs before the first day for filing declarations of candidacy, the
pre‑primary reports are due on the 14th and 7th days before the primary
election \[55\].

*Post‑Election Reports.* Post‑election reports must be submitted
according to the following schedule:

\(1\) By the 28th day following the election (final report). *See also*
Section V.A., *infra*.

\(2\) Until the campaign treasurer certifies that the campaign fund has
completed its business and been dissolved, at 90‑day intervals (calendar
quarters), commencing with the next quarterly report following the
election, by no later than 30 days after the 90-day period (January
30^th^, April 30^th^, July 30^th^, and October 30^th^) (ongoing
quarterly reports); however, if the 30-day filing deadline after a
90-day reporting period is less than 28 days before an election, the
28^th^ and 7^th^ day pre-election reports are filed \[56\].

*Political Party Annual Report.* A state and municipal committee of a
political party must also file not later than March 1st each year an
annual report setting forth in the aggregate all contributions received
and all expenditures made dur­ing the previous calendar year, whether or
not expenditures were made, in­curred, or authorized in furtherance of
the election or defeat of any candidate \[57\].

*Filing Extension.* The State Board of Elections may grant a 7-day
extension for filing a report for good cause shown and upon receipt of a
written or electronic request received no later than the date upon which
the report is due to be filed \[58\].

**E. Affidavits of State Vendors.** In connection with contracts for
goods or services to be provided at a cost of \$5,000 or more between a
state vendor and a state agency, whether written or unwritten, the state
vendor must execute, under oath, an affidavit concerning reportable
campaign If the state vendor has within the 24 months preceding the date
of the contract contributed an aggregate amount in excess of \$250
within a calendar year to any general officer (i.e., the governor,
lieutenant gov­ernor, secretary of state, attorney general, or general
treasurer), any candidate for a general office, or any political party,
the state vendor is required file the affidavit with the State Board of
Elections and list the name of the general officer, candidate or
political party, the amount and date of each contribution made during
the preceding 24 months, and the total gross amount in dollars of
contracts entered into between the state vendor and all state agencies
during that period of time \[59\].

The affidavit is to be filed, with a copy of the contract, with the
State Board of Elections. If the contract is in writing, the affidavit
is to be filed within 60 days of the execution of the contract. If the
contract is not in writing, the affidavit is to be filed within 60 days
of the date when the state vendor first is notified by the contracting
state agency that it has reached the \$5,000 threshold \[60\].

A \"state vendor\" is (1) a person or business entity that sells goods
or provides services to any state agency, (2) a person or business
entity that has an owner­ship interest of 10% or more in a business
entity that sells goods or provides services to any state agency, (3) a
person who is an executive officer of a busi­ness entity that sells goods
or provides services to any state agency, (4) a spouse or minor child of
a person qualifying as a state vendor unless the spouse works for a
vendor in competition for state business with the reporting business
entity, or (5) a business entity that is a parent or subsidiary of a
business entity that sells goods or provides services to any state
agency. The term \"state vendor\" does not include a municipality, §
501(c)(3) corporation, hospital, state or feder­al agency, or person
receiving reimbursement for an approved state expense. The director of
administration is authorized to provide a list of further exemp­tions
consistent with this reporting law \[61\].

**F. Candidate Financial Statement.** A candidate for an office as an
elected officer, except a candidate for moderator and clerk of a voting
district of the cities and towns, is required to file a sworn financial
statement with the Rhode Island Ethics Commission. The financial
statement must include an account of designated financial activity of
the candidate and the candidate\'s spouse (if not estranged) and
dependent children for the preceding calendar year \[62\].

A candidate\'s financial statement is due within 30 days after the
filing deadline for the office sought by the candidate. An extension of
the filing deadline of not more than 15 days may be granted by the
Ethics Commission for good cause shown if a request for the extension is
received by the Ethics Commission before the filing deadline. A
candidate who, as an elected or appointed state or munic­ipal official,
has filed a financial statement for the preceding calendar year is not
required to file another statement for that year if written notification
of the previous filing is given to the Ethics Commission \[63\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Certification of Completion of Business.** Concurrent with the
report of contributions and expenditures filed on the 28th day following
an election or at any time thereafter, the campaign treasurer of a
candidate, political party committee, or political action committee may
certify to the State Board of Elections that the campaign fund of the
candidate or committee instituted for the purposes of the past election
has completed its business and been dissolved or, in the event the
committee will continue its activities beyond the election, that its
business regarding the past election has been completed. The
certification must be accompanied by a final accounting of the campaign
fund or of the transactions relating to the election, including the
final disposition of any remain­ing balance at the time of dissolution or
the arrangements made for the dis­charge of any obligations remaining
unpaid at the time of dissolution \[64\].

Once the campaign treasurer certifies that the campaign fund has
completed its business and been dissolved, no contribution intended to
defray expenditures incurred on behalf of or in opposition to a
candidate or to advocate the approval or rejection of any question
during the campaign can be accepted \[65\].

Political committees organized exclusively to promote or oppose a ballot
ques­tion are required to terminate all campaign activity within 30 days
after the ref­erendum election \[66\].

**B. Disposition of Surplus Campaign Funds.** Any campaign funds not
used to pay for the expenses of gaining or holding public office may (1)
be maintained in campaign accounts, (2) be donated to a candidate for
public of­fice, a political organization, or a political action
committee, subject to the statu­tory limitations on contributions, (3) be
transferred in whole or in part to a new­ly established political action
committee, (4) be donated to a tax‑exempt charit­able organization, (5)
be donated to the state, or (6) be returned to the donor \[67\].

**VI. PUBLIC FINANCING PROVISIONS**

**A. Public Financing of Political Parties and Gubernatorial
Candidates.** Rhode Island provides for the public financing of
political parties and of qualify­ing candidates for general office at the
general election through a combination of (1) the political
contributions allowed as tax credits and made by individual taxpayers on
their personal income tax returns and (2) state appropriations if the
tax credit contributions are insufficient to meet the requirements for
public financing of campaigns for general office. The first \$2 (or \$4
in the case of a joint return) of a political contribution made on a
state personal income tax re­turn goes to the political party designated
by the taxpayer or to a nonpartisan account if so indicated, up to a
total of \$200,000 collectively for all parties and the nonpartisan
account. The remainder is deposited as general revenue \[68\].

**1. Political Parties**. The state general treasurer remits annually by
Sep­tember 1st the designated partisan contributions to the chairman of
the appro­priate political party. The political contributions made to the
nonpartisan gener­al account are also remitted by the state general
treasurer to each political party: (1) 5% of the amount in the account
is allocated to the party for each general officer elected in the
previous statewide election and (2) the remainder is allo­cated in
proportion to the combined number of votes the party\'s candidates for
governor received in the previous election. Any remaining funds are
allocated for the public financing of campaigns for governor \[69\].

A \"political party\" eligible to receive taxpayer political
contributions is a politi­cal organization that at the last preceding
general election nominated a candidate for governor who at the election
polled at least 5% of the entire vote cast for governor \[70. A
\"general office\" is the office of governor, lieutenant‑governor,
secretary of state, attorney general, and general treasurer \[71\].

Each political party that receives taxpayer political contributions may
expend the moneys received for all purposes and activities permitted by
the state and U.S. laws; however, the moneys may not be utilized for
expenditures to be made or incurred directly to support or defeat a
candidate in a primary, general, or special election or town meeting or
in an election for a political party nomina­tion or political party
office \[72\].

**2. General Office Candidates**. The nominees for general office of
each political party and independent candidates for general office are
eligible to re­ceive \$2 of public funds for each qualified \$1 of
private funds contributed that do not exceed an aggregate of \$500 from
a single source within an election cycle and \$1 of public funds for
each qualified \$1 of private funds contributed that exceed an aggregate
of \$500 from a single source within an election cycle but do not exceed
the limitations on aggregate contributions that are eligible to be
matched. The total amount of matching public funds that may be provided
to a candidate may not exceed \$750,000 (for a total of \$1,500,000) for
candidates for governor and \$187,500 (for a total of \$375,000) for
candidates for other general office \[73\].

A \"political party\" whose nominees for general office are eligible to
receive public financing is a political organization that at the last
preceding general elec­tion nominated a candidate for governor who at the
election polled at least 5% of the entire vote cast for governor \[74\].
An \"election cycle\" is the 48‑month pe­riod commencing on January 1st
of an odd‑number year and ending on Decem­ber 31st of an even‑number year
\[75\].

Only the first \$2,000 of the aggregate private monetary contributions
from a single private source within an election cycle are eligible for
matching public funds for candidates for governor, and only the first
\$1,000 of the aggregate pri­vate monetary contributions from a single
private source are eligible for match­ing public funds for candidates for
lieutenant governor, secretary of state, attor­ney general, and general
treasurer. The entire amount contributed, however, is considered toward
the limit for total public and private funds that may be re­ceived or
expended. Only private funds lawfully contributed during the current
election cycle are eligible for matching public funds \[76\].

No participating candidate for governor may receive or expend for
election purposes more than a total sum of \$1,500,000 in public and
private funds in an election cycle, and no participating candidate for
other general office may re­ceive or expend for election purposes more
than a total sum of \$375,000 in pub­lic and private funds in an election
cycle. The direct costs incurred in connection with raising campaign
funds on behalf of a candidate are not deemed to be ex­penditures subject
to the expenditure limitations \[77\].

The specified dollar limitations on the contributions received from
private sources, the matching funds available from the state, and the
total permitted ex­penditures apply to the 1994 general election and will
increase by a percentage to be determined by the State Board of
Elections in January of each general‑elec­tion year, beginning in 1998.
Any increase may not exceed the total increase in the consumer price
index since the month in which the previous general election was held
\[78\].

A candidate eligible for and electing to receive public funds who is
challenged in a political party primary is permitted to raise and spend
prior to the primary election additional, unmatchable private funds
equal to 1/3 of the maximum al­lowable expenditure amount or equal to the
total amount spent by the candida­te\'s opponents in the primary,
whichever is less \[79\].

Any candidate eligible for and electing to receive public funds whose
oppon­ent in the general election does not elect to receive public funds
is permitted to raise additional private contributions and make
additional expenditures for elec­tion purposes in an amount in excess of
the candidate\'s maximum allowable ex­penditure limit equal to the amount
by which the expenditures of the opponent exceed the maximum allowable
expenditure limit that would have applied to the opponent\'s
expenditures had the opponent elected to receive public funds \[80\].

In order to receive matching public funds, a qualifying candidate is
required to sign, at the time he or she becomes a candidate, an
irrevocable statement under oath pledging to comply with the limitations
on contributions and expenditures and with the statutory terms and
conditions \[81\]. A candidate who fails to file the statement with the
candidate\'s declaration for office is ineligible to receive public
funds. Independent candidates are required to meet additional
require­ments: (1) raise qualified private contributions equal to 20% of
the total amount eligible to be matched with public funds, (2) receive
private contribu­tions from a minimum of 250 individuals contributing at
least \$25 each, and (3) comply with all applicable nomination
provisions and qualify for the general election ballot \[82\].

A candidate who complies in full with all eligibility criteria for
public funding is entitled to (1) receive free time on community antenna
television and on any public broadcasting station operating under the
jurisdiction of the Rhode Island public telecommunications authority and
(2) accept contributions that in the ag­gregate do not exceed \$2,000
from any person or political action committee in a calendar year \[83\].

The matching public funds may not be dispersed until after the date of
the primary election. Qualifying candidates must submit to the State
Board of Elections proof of receipt of qualifying private contributions
and supporting docu­mentation as may be required. Within 5 business days
of the receipt of a request for payment of matching funds, the State
Board is required to either pay over funds or disallow all or a portion
of the request and state in writing the reasons for disallowance.
Supplemental applications for public funds may be submitted un­til such
time as the permitted limits are reached \[84\].

The public funds received and the private funds used to qualify for the
public funds may not be expended by the candidate for any purpose except
to pay rea­sonable and necessary expenses directly related to the
candidate\'s campaign. Acceptable uses, if directly related to the
campaign, are:

\(1\) Purchase of time on radio or television stations; rental space on
outdoor signs or billboards; advertising space in newspapers and
regularly published magazines and periodicals; and signs, bumper
stickers, campaign buttons, and other campaign paraphernalia.

\(2\) Payment of the cost of producing the material aired or displayed
on radio, television, outdoor signs, or billboards and in newspapers,
regularly published magazines and periodicals; printing and mailing
campaign literature and brochures; legal and accounting expenses
incurred in complying with the public financing law and regulations;
telephone deposits, installation charges, and monthly billings in excess
of deposits; public opinion polls and surveys; and rent, utilities, and
associated expenses connected with the operation of an election
headquarters or satellite election offices \[85\].

Within 90 days after the completion of the election cycle, a candidate
receiving public funds must transfer to the general treasurer for
deposit in the general fund 50% of total campaign funds unexpended as of
the last day of the election cycle. The candidate may convert the
remaining 50% to a use for any political purposes not otherwise
prohibited by law, but not to personal use by the can­didate \[86\].

**VII. TAX PROVISIONS**

**A. Tax Credit.** A credit is allowed an individual taxpayer against
the per­sonal income tax otherwise due for a taxable year for a
contribution of \$5 (\$10 if married and filing a joint return) to the
account for the public financing of the electoral system. The first \$2
(or \$4 in the case of a joint return) of a political contribution made
on a state personal income tax return goes to the political party
designated by the taxpayer or to a nonpartisan account if so indicated,
up to a total of \$200,000 collectively for all parties and the
nonpartisan account. The remainder is deposited as general revenue. The
credit for the public financ­ing of the electoral system must appear on
the face of the state personal income tax return \[87\].

**VIII. OFFENSES AND PENALTIES**

**A. Criminal Penalties.** Any person who willfully and knowingly
violates the provisions of the Campaign Contributions and Expenditures
Reporting Act upon conviction is guilty of a misdemeanor and must be
fined not more than \$1,000 per violation \[8.

Any person who willfully and knowingly violates the provisions of the
Elec­tion Law concerning gambling questions upon conviction is guilty of
a felony and must be imprisoned for not more than two years, fined not
more than \$5,000, or both \[89\].

A person who violates the statutory provisions concerning the
solicitation of contributions from and by state classified‑service
employees and personnel ap­peal board members and the solicitation of
contributions in state‑government facilities is guilty of a misdemeanor
and must fined not more than \$500, impris­oned for not more than 60
days, or both. A person holding a position in the classified service who
is convicted must be dismissed from the service imme­diately \[90\].

**B. Investigation by the State Board of Elections.** The State Board of
Elections may conduct confidential investigations and closed hearings
relative to alleged violations of the Campaign Contributions and
Expenditures Reporting Act on its own initiative or upon receipt of a
verified written complaint. Upon completion of its investigation or
hearings, if the State Board has reason to believe that a violation of
the reporting law has occurred, it may require the violator to be
prosecuted by the Attorney General \[91\].

**C. Civil Penalties for Violation of Reporting Act.** Whenever the
State Board of Elections has reason to believe that a candidate,
political party commit­tee, or political action committee or its campaign
treasurer or deputy campaign treasurer has accepted a contribution or
made an expenditure in violation of the Campaign Contributions and
Expenditures Reporting Act, willfully and know­ingly has made a false
statement in any required report, has failed to file a re­quired report,
or has otherwise violated the reporting law, the State Board, in
addition to all other actions authorized by law, may request the
Attorney General to bring an action in the name of the state in the
superior court against the person or committee to enjoin it from
continuing such violation or doing any acts in fur­therance thereof and
for such other relief as the court deems appropriate, in­cluding the
forfeiture of any or all contributions that have not been reported or
have been accepted in violation of the reporting law. The court also
must im­pose a civil penalty of not more than three times the amount of
(1) contributions made or accepted in violation of the Act, (2)
expenditures made in violation of the Act, and/or (3) contributions or
expenditures not reported as required by the Act. All forfeitures and
civil penalties are to be deposited in the fund for the public financing
of the electoral system \[92\].

**D. Administrative Files for Reporting Violations.** Persons or
entities required to file reports with the State Board of Election are
to be fined for the following violations, although the State Board has
the authority to waive late filing fees for good cause shown:

\(1\) Failure to file a report by the date required unless an extension
had been granted---\$25.

\(2\) Failure to file a required report within 7 days of the receipt of
a notice of non-compliance sent by the State Board by certified
mail---\$2 per day from the day of receipt of the notice until the day
the report is received by the State Board.

\(3\) Violation of the provisions of the campaign contributions and
expenditures reporting law (Chapter 17-25)---not more than \$100 \[93\].

**E. Administrative Enforcement of the Public Funding Law**. The State
Board of Elections may conduct investigations and hearings relative to
alleged violations of the law on public financing of campaigns of
candidates for general office, either on its own initiative or upon
receipt of a verified written complaint. Upon receipt of a complaint or
upon receipt of evidence that is deemed suffi­cient, the State Board may
initiate a preliminary investigation. If the preliminary in­vestigation
fails to indicate reasonable cause for belief that the law has been
vio­lated, the State Board is to terminate the investigation immediately.
If reasonable cause is indicated, the State Board may initiate a full
investigation and appropriate proceedings to determine whether there has
been a violation. Within 14 days af­ter the end of the proceedings, the
State Board must review the evidence, and within 30 days after its
deliberations, it must publish a written report of its findings and
conclusions \[94\].

Upon a finding that there has been a violation, the State Board may
issue an order requiring the violator to cease and desist from such
violation, file any report, statements, or other required information,
and pay a civil fine for each violation in the amount authorized by law
or, if no specific authorization exists, in an amount not to exceed the
greater of \$1,000 or three times the amount the viola­tor failed to
report properly or unlawfully contributed, expended, gave, or re­ceived.
The State Board may turn over to the Attorney General any evidence that
may be used in a subsequent criminal proceeding against any violator.
The State Board is also authorized to file a civil action in superior
court to enforce an order it has issued \[95\].

**F. Penalties for Violation of the Public Funding Law**. If a candidate
for general office who has accepted public funding makes expenditures in
excess of the permitted amounts, the candidate is liable for a civil
assessment payable to the state in an amount equal to three times the
amount of excess funds expend­ed and is ineligible for further
participation in the public financing program dur­ing the same election
cycle \[96\].

**G. Penalties for Violation of the State Ethics Code.** A person who
knowingly and willfully violates the state code of ethics, including the
provisions on the use of contributions to influence public servants and
candidates for public office and the requirement for the filing of
financial statements by candidates, is guilty of a misdemeanor
punishable by a fine of not more than \$1,000, impris­onment for not more
than one year, or both \[97\].

Violators of the state ethics code are also subject to a civil penalty
of not more than \$25,000 for each violation that may be imposed by the
Rhode Island Ethics Commission. An elected or appointed public official
who solicits or accepts a po­litical contribution with the understanding
that the vote, official action, or judg­ment of the official will be
influenced by the contribution may be removed from office by the Ethics
Commission if the offense is found to be a serious, knowing, and willful
violation and was committed with fraudulent intent to secure unjust
enrichment or with malicious intent to inflict pecuniary or other
substantial in­jury \[98\].

**H. Penalties for Violation of State Vendor Contribution Reporting
Law.** A state vendor found by the State Board of Elections to have
willfully and knowingly violated the provisions of the Election Law
concerning the reporting of political contributions by state vendors is
subject to a civil penalty of not more than \$1,000 per offense. The
State Board may declare a state vendor that has committed a willful and
knowing violation to be ineligible for the award of any additional state
contracts for such time as the State Board reasonably deems
proportionate to the severity of the violation if it was committed (1)
in connec­tion with the commission of or in an attempt to commit fraud or
bribery, (2) to conceal any political contribution unlawful under the
Campaign Contributions and Expenditures Reporting Act, or (3) in an
effort to induce a public official to violate the state code of ethics
\[99\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. State Board of Elections.** The State Board of Elections is the
filing office for all campaign‑finance‑related reports \[100\]. The
State Board has authority to per­form such duties as are necessary to
implement the provisions of the Campaign Contributions and Expenditures
Reporting Act, including developing required reports, preparing and
publishing a manual prescribing the requirements of the law, adopting
rules and regulations, ascertaining whether candidates, political party
committees, and political action committees have failed to file reports
or have filed defective reports, extending the dates upon which reports
are required to be filed for good cause, investigating violations and
conducting hearings con­cerning alleged violations, seeking injunctions
against violators, issuing advi­sory opinions upon request, conducting
compliance reviews and audits, and administering the
electronic-reporting provisions \[101\].

The State Board is required to furnish timely and adequate information
to every candidate or prospective candidate for public office who
becomes or is likely to become subject to the provisions of the
reporting law and to every treasurer duly designated, informing them of
their actual or prospective obligations and responsibilities under the
law. The State Board is to send a postcard by regular mail to each
person and entity required to file a report that notifies the person or
entity that a report required to be filed is due within 14 days \[102\].

The State Board of Elections also administers the law concerning the
public fi­nancing of candidates for general office. The State Board may
adopt and enforce rules, regulations, and auditing procedures, conduct a
post‑audit of all accounts and transactions for any election cycle and
such other special audits and post‑audits it deems necessary, ascertain
whether contribution and expenditure limits have been exceeded, issue
advisory opinions, and conduct investigations and hearings concerning
alleged violations \[103\].

The State Board is responsible for the enforcement of the provisions of
the Election Code concerning the reporting of political contributions by
state vendors and is to prepare a form affidavit for use by vendors in
complying with the reporting requirements \[104\].

**B. Rhode Island Ethics Commission.** The Rhode Island Ethics
Commission is the filing office for financial statements filed by
candidates pursuant to the state code of ethics \[105\]. The Ethics
Commission administers the state code of ethics law \[106\].

**References**

1.  General Laws of Rhode Island (here­after GLRI) § 17‑25‑3(3), (6), (7)

2.  GLRI § 17‑25‑10.1(j)

3.  GLRI §§ 17‑1‑2(3); 17‑2‑1; 17‑25‑10.1(a), (e), (f); 17‑25‑15(f);
    17‑25‑10(10); 17‑25‑30; 36‑14‑2(11); R.I. Const. art. IV, § 9; art.
    XV, § 4; R.I. State Board of Elections, Manual‑‑Rhode Island
    Campaign Con­tributions and Expenditures Reporting Act (hereafter
    Campaign Manual) (1992) 29‑30

4.  GLRI § 17‑25‑10.1(g)

5.  GLRI § 17‑25‑3(8)

6.  GLRI § 17‑25‑10.1(h)

7.  GLRI § 17‑25‑3(1)

8.  GLRI §§ 17‑25‑3(9); 17‑25‑15(f)

9.  GLRI § 17‑25‑3(5)

10. GLRI § 17‑25‑10.1(b)‑(d)

11. GLRI § 17‑25‑10(a)

12. GLRI §§ 17‑25‑10(c); 17‑25‑12

13. GLRI § 17‑25‑10.1(i)

14. GLRI § 17‑25.1‑1(b)

15. GLRI § 36‑4‑53

16. GLRI § 17‑23‑16

17. GLRI § 17‑2‑1

18. R.I. Court Rules Ann., Supreme Court Rules, art. VI, rule 1 (Code of
    Judicial Conduct) (hereafter Code of Judicial Conduct), Canon 5 &
    Application of the Code of Judicial Conduct

19. Code of Judicial Conduct, Canon & Application of the Code of
    Judicial Conduct

20. Code of Judicial Conduct, Canon 5

21. Code of Judicial Conduct, Canon 5

22. Code of Judicial Conduct, Terminolo­gy

23. GLRI §§ 36‑14‑2(4), (8)‑(10); 36‑14‑4

24. GLRI § 36‑14‑5(g), (l)

25. GLRI § 36‑14‑5(i)

26. GLRI § 17‑25‑3(3)

27. GLRI § 17‑25‑10.1(j)

28. GLRI §§ 17‑25‑3(1); 17‑25‑10.1(h)

29. GLRI § 17‑25‑10(b). *See* § 17‑25‑23 for the standards to determine
    wheth­er a person is \"acting in concert with any other person or
    group.\"

30. GLRI § 17‑23‑18

31. GLRI § 17‑25‑7.2(a)-(c)

32. GLRI § 17‑25‑7.2(a)

33. GLRI §§ 17‑25‑3(12); 17-25‑7.2; 17‑25‑7.3

34. GLRI § 17‑25‑7.4

35. GLRI §§ 17‑25‑8; 17‑25‑8.1; 17‑25‑9

36. GLRI § 17‑25‑8(a)

37. GLRI § 17‑25‑3(2)

38. GLRI § 17‑25‑3(9)

39. GLRI §§ 17‑25‑8; 17‑25‑8.1; 17‑25‑9

40. GLRI § 17‑25‑8

41. GLRI §§ 17‑25‑8; 17‑25‑8.1; 17‑25‑9

42. GLRI § 17‑25‑7(a)

43. GLRI § 17‑25‑11.1

44. GLRI § 17-25-8(a)

45. GLRI § 17‑25‑15(a), (b)

46. GLRI § 17‑25‑15(d), (e)

47. GLRI § 17‑25.1‑1(a)

48. GLRI §§ 17‑25‑7(a), (b); 17‑25‑11(a)‑(d), (f); R.I. Const. art. IV,
    § 9

49. GLRI § 17‑25‑11(e)

50. GLRI § 17‑25‑7.6

51. GLRI §§ 17‑25‑7(a), (c); 17‑25‑11(a), (c), (f)

52. GLRI § 17‑25‑11(d)

53. State Board of Elections Regulation (April 10, 1987)

54. GLRI § 17‑25‑15(c)(1)-(c)(3)

55. GLRI §§ 17‑25‑3(2); 17‑25‑7(a); 17‑25‑11(a); Campaign Manual 12‑13;
    State Board of Elections Regulation (January 24, 1986)

56. GLRI §§ 17‑25‑7(a); 17‑25‑11(a), (c), (f); Campaign Manual 13; State
    Board of Elections Regulation (January 24, 1986)

57. GLRI § 17‑25‑7(b)

58. GLRI § 17‑25‑11(g)(1)

59. GLRI §§ 17‑27‑1(1), (3), (6); 17‑27‑2

60. GLRI § 17‑27‑3

61. GLRI § 17‑27‑1(2), (7)

62. GLRI §§ 36‑14‑16(c); 36‑14‑17

63. GLRI § 36‑14‑16(a)‑(c), (e)

64. GLRI § 17‑25‑11(b)

65. GLRI § 17‑25‑11(c)

66. GLRI § 17‑25‑15(f)

67. GLRI § 17‑25‑7.2(d)

68. GLRI §§ 44‑30‑2(d); 17‑25‑19; 17‑25‑29; R.I. Const. art. IV, § 10;
    art. XV, § 4

69. GLRI § 44‑30‑2(d)(2)

70. GLRI §§ 44‑30‑2(d); 17‑1‑2(9); 17‑12.1‑12(1)

71. GLRI § 17‑2‑1

72. GLRI §§ 44‑30‑2(d)(2); 17‑25‑3(4); ch. 17‑12

73. GLRI § 17‑25‑19. *See* *also* § 17‑25‑23 for the criteria for
    determining wheth­er funds expended by a person, politi­cal party
    committee, or political action committee to directly influence the
    outcome of the election contest involv­ing a candidate for governor
    are a contribution received or an expendi­ture made by the candidate.

74. GLRI §§ 17‑25‑19; 17‑1‑2(9); 17‑12.1‑12(1)

75. GLRI § 17‑25‑3(5)

76. GLRI § 17‑25‑20(3)

77. GLRI § 17‑25‑20(2), (4)

78. GLRI § 17‑25‑20(2)

79. GLRI § 17‑25‑21

80. GLRI § 17‑25‑24

81. GLRI §§ 17‑25‑19; 17‑25‑20(1)

82. GLRI § 17‑25‑20(6)

83. GLRI §§ 17‑25‑30; 17‑25‑30.1

84. GLRI § 17‑25‑22

85. GLRI § 17‑25‑20(7), (8)

86. GLRI § 17‑25‑25

87. GLRI §§ 44‑30‑2(d)(1); 17‑1‑2(9); 17‑12.1‑12(1)

88. GLRI § 17‑25‑13

89. GLRI § 17‑25.1‑2

90. GLRI § 36‑4‑56

91. GLRI § 17‑25‑5(a)(7)

92. GLRI § 17‑25‑16

93. GLRI § 17‑25‑11(g)(2), (g)(3)

94. GLRI § 17‑25‑28(3)

95. GLRI § 17‑25‑28(3)

96. GLRI § 17‑25‑20(5)

97. GLRI § 36‑14‑19

98. GLRI §§ 36‑14‑5(g); 36‑14‑13(d); 36‑14‑14(a), (b)(1)

99. GLRI § 17‑27‑5

100. GLRI §§ 17‑25‑7(a), (b); 17‑25‑8; 17‑25‑8.1; 17‑25‑9; 17‑25‑11;
     17‑25‑15, 17‑25.1‑1

101. GLRI §§ 17‑25‑5(a), (c); 17‑25‑5.1; 17‑25‑7.6(c)

102. GLRI § 17‑25‑5(b)

103. GLRI §§ 17‑25‑27; 17‑25‑28

104. GLRI § 17‑27‑4(a), (c)

105. GLRI § 36‑14‑16(a), (c)

106. GLRI §§ 36‑14‑9‑‑36‑14‑14

**CAMPAIGN FINANCE LAW**

**IN SOUTH CAROLINA**

**I. INTRODUCTION**

South Carolina requires all candidates and committees to file
pre‑election and quarterly campaign reports. Special reports are
required from committees that make large independent expenditures within
20 days before an election. Contri­butions to candidates by other than
political parties are limited per each election to \$3,500 for any
statewide office candidate or \$1,000 for any other candidate. A
political party may not contribute in the aggregate during an election
cycle more than \$50,000 for any statewide office candidate or \$5,000
for any other candidate. Contributions to a committee are limited to
\$3,500 in a calendar year. The State Ethics Commission administers the
Ethics, Government Ac­countability, and Campaign Reform Act of 1991.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is a gift,
subscription, loan, guarantee upon which collection is made, forgiveness
of a loan, an advance, in‑kind contribution or expenditure, a deposit of
money, or anything of value made to a candidate or committee to
influence an election or (2) payment or compen­sation for the personal
service of another person that is rendered for any pur­pose to a
candidate or committee without charge. The term \"contribution\" does
not include volunteer personal services on behalf of a candidate or
committee for which the volunteer receives no compensation from any
source \[1\].

A \"loan\" is a transfer of money, property, guarantee, or anything of
value in exchange for an obligation, conditional or not, to repay in
whole or in part \[2\]. An \"in‑kind contribution or expenditure\" is
goods or services that are provided to or by a person at no charge or
for less than their fair market value \[3\].

**B. Limitations on Non‑Party Contributions to Candidates.** Within an
election cycle, a candidate or anyone acting on the candidate\'s behalf
may not solicit or accept:

\(1\) A contribution that exceeds \$3,500 in the case of a candidate for
state­wide office or \$1,000 in the case of a candidate for any other
office.

\(2\) A cash contribution from an individual unless the cash
contribution is \$25 or less and is accompanied by a record of the
amount of the contribution and the name and address of the contributor.

\(3\) A contribution from a registered lobbyist if that lobbyist engages
in lob­bying the public office or public body for which the candidate is
seeking elec­tion.

\(4\) Contributions for two elective offices simultaneously except as
authorized for party expenditures for partisan multi‑candidate
promotions (*see* Section II.C, *infra*) \[4\].

The restrictions on maximum contributions and cash contributions do not
ap­ply to a candidate making a contribution to his or her own campaign
\[5\].

An \"election cycle\" is the period of a term of office beginning on the
day after the general election for the office up to and including the
following general elec­tion for the same office, including a primary,
special primary, or special election; however, the contribution limits
apply only to elections occurring on or after January 1, 1992, and are
for each primary, runoff, or special election in which a candidate has
opposition and for each general election. If the candidate remains
unopposed during an election cycle, one contribution limit applies
\[6\].

A contribution made on or before the 7th day after a primary or primary
run­off is attributed to the primary or primary runoff, respectively, and
a contribu­tion made on or before the end of the quarter immediately
following a general election or special election is attributed to the
general election or special elec­tion, respectively \[7\].

Contributions by each spouse are considered separate contributions and
are not attributable to the other spouse. Contributions by unemancipated
children under 18 years of age are considered contributions by their
parents. Fifty per­cent of the contributions is attributed to each parent
or, in the case of single cus­todial parent, the total amount is
attributed to the custodial parent \[8\].

**C. Limitations on Party Contributions to Candidates.** Within an
election cycle (*see* Section II.B, *supra*), a candidate may not accept
or receive contribu­tions from a political party through its party
committees or legislative caucus committees that total in the aggregate
more than \$50,000 in the case of a can­didate for statewide office or
\$5,000 in the case of a candidate for any other of­fice \[9\].

Party expenditures for partisan multi‑candidate promotions for four or
more candidates including candidates for the U.S. senate or house of
representatives, where each candidate receives substantially equal
treatment, both in terms of time or length discussed and prominence in
presentation, are not included in the contribution limits. However,
multi‑candidate promotional expenditures are limited to (1) the
operation of telephone banks, (2) the preparation, mailing, and
distribution of campaign materials, including newspaper, television, and
radio advertisements, and (3) voter registration and ballot information
\[10\].

**D. Limitations on Contributions to or From a Committee.** A person may
not contribute to a committee (other than a separate ballot-measure
committee) and a committee (other than a separate ballot-measure
committee) may not accept from a person contributions aggregating more
than \$3,500 in a calendar year \[11\].

A person may not contribute to a committee and a committee may not
accept from a person a cash contribution unless the cash contribution is
\$25 or less for each election and is accompanied by a record of the
amount of the contribution and the name and address of the contributor
\[12\].

A \"person\" is an individual, proprietorship, firm, partnership, joint
venture, joint stock company, syndicate, business trust, estate,
company, committee, asso­ciation, a corporation, club, labor
organization, or any other organization or group of persons acting in
concert \[13\].

A committee may not make a contribution or expenditure by using:

\(1\) Anything of value secured by physical force, job discrimination,
financial reprisals, or threat of the same.

\(2\) Dues, fees, or other monies required as a condition of membership
in a labor organization or as a condition of employment.

\(3\) Monies obtained by the committee in a commercial transaction
\[14\].

**E. Limitations on Contributions by Candidates.** A candidate may not
make a contribution to another candidate or make an independent
expenditure on behalf of another candidate. Assets or funds that are the
proceeds of a cam­paign contribution and that are held by or under the
control of a public official or a candidate for public office on January
1, 1992, are considered to be funds held by a candidate and subject to
this prohibition \[15\].

A candidate is permitted, however, to:

\(1\) Make a contribution from the candidate\'s own personal funds on
behalf of the candidate\'s candidacy or to another candidate for a
different office.

\(2\) Provide the candidate\'s surplus funds or material assets upon
final dis­bursement to a legislative caucus committee or party committee
in accordance with the procedures for the final disbursement of a
candidate \[16\].

**F. Regulations Concerning Loans.** A loan is considered a contribution
from the maker or the guarantors of the loan and is subject to the
limitations on contributions; however, the proceeds of a loan made to a
candidate are not sub­ject to the contribution limits if the loan was
made by a commercial lending in­stitution in the regular course of
business on the same terms ordinarily available to members of the public
and is secured or guaranteed upon which collection is not made. A loan
to a candidate must be by written agreement \[17\].

A candidate for statewide office or the candidate\'s family member must
not be repaid for a loan made to the candidate more than \$25,000 in the
aggregate after the election. A candidate for other elective office or
the candidate\'s family member must not be repaid for a loan made to the
candidate more than \$10,000 in the aggregate after the election \[18\].

**G. Contributions to Retire a Campaign Debt.** If a candidate has a
debt from a campaign for an elective office, the candidate may accept
contributions to retire the debt even if the candidate accepts
contributions for another elective office or the same elective office
during a subsequent election cycle, as long as those contributions
accepted to retire the debt are (1) within the contribution limits
applicable to the last election in which the candidate sought the
elective office for which the debt was incurred and (2) reported as
required \[19\].

**H. Anonymous Contributions.** A person may not make an anonymous
contribution to a candidate or committee and a candidate or committee
may not accept an anonymous contribution from an individual except at a
ticketed event where food or beverages are served or where political
merchandise is distribut­ed and where the price of the ticket is \$25 or
less and goes toward defraying the cost of food, beverages, or political
merchandise in whole or in part. The recipi­ent of an anonymous
contribution given in violation of this restriction or the re­cipient of
any other anonymous contribution may not keep the contribution but
within 7 days must remit the contribution to the children\'s trust fund
\[20\].

**I. Reimbursement for Contributions.** A person may not, directly or
indi­rectly, reimburse a person, except for the person\'s immediate
family, for a con­tribution to a candidate, committee, or political party
\[21\].

**J. Solicitation of Contributions by Employers.** An employer may not
provide an advantage or disadvantage to an employee concerning the
em­ployee\'s employment or conditions of employment based on the
employee\'s con­tribution, promise to contribute, or failure to
contribute to a candidate, commit­tee, or political party \[22\].

A person may not solicit an employee for a contribution and fail to
inform the employee of the political purposes of the committee for which
the contribution is solicited and of the employee\'s right to refuse to
contribute without any ad­vantage or promise of an advantage conditioned
upon making the contribution or reprisal or threat of reprisal related
to the failure to make the contribution \[23\].

**K. Contributions by State Ethics Commission Members and Staff.** No
member of the State Ethics Commission or its staff may make a
contribution to a candidate or knowingly attend a fundraiser held for
the benefit of a candidate. Violation of this provision subjects the
employee to immediate dismissal and the commissioner to removal by the
governor \[24\].

**L. Contributions and Expenditures by Public Utilities.** A public
utility may not include in its operating expenses a contribution or
expenditure to in­fluence an election or to operate a political action
committee \[25\].

**M. Contributions From Government Contractors.** No person who has been
awarded a contract with the state, a county, a municipality, or a
political subdivision thereof, other than contracts awarded through
competitive bidding practices, may make a contribution after the
awarding of the contract or invest in a financial venture in which a
public official has an interest if that official was in a position to
act on the contract\'s award. No public official or public em­ployee may
solicit campaign contributions or investments in exchange for the prior
award of a contract or the promise of a contract with the state, a
county, a municipality, or a political subdivision thereof \[26\].

**N. Solicitation of Contributions by Corporations, Organizations, and
Their Committees.** A corporation or committee of a corporation may not
so­licit contributions to the corporation or committee from a person
other than its shareholders, directors, executive or administrative
personnel, and their families; however, a non-profit corporation or a
committee formed by a non-profit corporation may solicit contributions
from the general public for ballot measures only \[27\].

An organization or committee of an organization may not solicit
contributions to the organization or committee from a person other than
its members and their families \[28\].

A corporation or organization and their committees may, however, through
biennial seminars or at the time of hiring nonexecutive and
nonadministrative personnel provide, educational materials to such
personnel explaining their or­ganization, purposes, and operation and
also may request contributions to their committees if the committees
certify in their campaign reports that the require­ments concerning the
solicitation of contributions have been met \[29\].

**O. Solicitation of Money as a Condition for Endorsement.** A person
may not solicit from a candidate, committee, political party, or other
person, money or other property as a condition or consideration for an
endorsement, ar­ticle, or other communication in the news media promoting
or opposing a can­didate, committee, or political party \[30\].

**P. Solicitation or Receipt of Contributions on State Capitol Grounds
and Other State Facilities.** No public official, candidate, public
employee, or committee may (1) accept or solicit campaign contributions
on the state capitol grounds, including the office complexes located
there, or in any building which houses the principal office of a
statewide officer or (2) accept or collect cam­paign contributions on the
grounds of or in any building that houses the official residence of a
statewide officer. Contributions delivered by mail are excluded from
this prohibition \[31\].

**Q. Solicitation of Contributions by Certain Justice System
Personnel.** A contribution to a candidate may not be solicited
personally, either verbally or in writing, by:

\(1\) A law enforcement officer while in uniform.

\(2\) A judge or candidate for judicial office.

\(3\) A solicitor, an assistant solicitor, or an investigator in a
solicitor\'s office.

\(4\) The attorney general, a deputy attorney general, an assistant
attorney general, or an investigator in the attorney general\'s office
\[32\].

A law enforcement officer while in uniform may not solicit a
contribution to any political party or candidate \[33\].

These restrictions on solicitation of contributions do not apply to a
candidate soliciting a contribution to the candidate\'s own campaign or
a part‑time assistant solicitor \[34\].

**R. Solicitation or Making of Contributions by a Lobbyist.** A lobbyist
or a person acting on behalf of a lobbyist may not offer, solicit,
facilitate, or provide a contribution to or on behalf of any member of
the general assembly, the governor, the lieutenant governor, any other
statewide constitutional officer, any public official of any state
agency who engages in covered agency actions, or any of their employees
\[35\]. \"Covered agency actions\" are the proposal, draft­ing,
development, consideration, amendment, withdrawal, or promulgation of an
administrative regulation \[36\].

**S. Making and Solicitation of Contributions by and for Judicial Office
Candidates.** A judge or a candidate for election to judicial office is
not permitted to so­licit funds for or pay an assessment to a political
organization or make a contribution to a candidate, but may, except as
prohibited by law, contribute to a political organization \[37\].

A candidate for judicial office subject to public election may not
personally solicit or accept campaign contributions, but may establish
committees of responsible per­sons to conduct campaigns for the
candidate. Such committees may solicit and accept reasonable campaign
contributions, including contributions from lawyers, and manage the
expenditure of funds for the candidate's campaign. A candidate\'s
committees may solicit contributions no earlier than one year before an
election and no later than 90 days after the last elec­tion in which the
candidate participates during the election year. A candidate may not use
or permit the use of campaign contributions for the private benefit of
the candidate or others \[38\].

**T. Solicitation of Contributions by Elective Officials and Their
Agents.** State, county, municipal, and political-subdivision elective
officials and their agents may not knowingly solicit a contribution from
an employee in the elective official's area of official responsibility
\[39\].

**U. Coercion of Contributions From State Personnel by Judicial
De­partment Employees and Officers.** An employee or officer of the
judicial department of the state may not directly or indirectly coerce,
attempt to coerce, command, or advise a state officer or employee to
pay, lend, or contribute any­thing of value to a party, committee,
organization, agency, or person for political purposes \[40\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is a purchase,
payment, loan, forgiveness of a loan, an advance, in‑kind contribution
or expenditure, a deposit, transfer of funds, gift of money, or anything
of value for any purpose \[41\].

**B. Expenditures From Petty Cash Fund.** A candidate or a duly
authorized officer of a committee may not withdraw more than \$100 from
the campaign account to establish or replenish a petty cash fund for the
candidate or commit­tee at any time, and at no time may the fund exceed
\$100. Expenditures from the petty cash fund may be made only for office
supplies, food, transportation expenses, and other necessities and may
not exceed \$25 for each expenditure \[42\].

**C. Expenditures at Fair Market Value.** An expenditure may not be made
that is clearly in excess of the fair market value of services,
materials, facilities, or other things of value received in exchange
\[43\].

**D. Expenditures by Written Instrument.** An expenditure of more than
\$25 must be made by a written instrument drawn upon the campaign
account containing the name of the candidate or committee and the name
of the recipi­ent. Expenditures of \$25 or less that are not made by a
written instrument con­taining the name of the candidate or committee and
the name of the recipient must be accounted for by a written receipt or
written record \[44\].

**E. Use of Contributions to Further Candidacy for a Different Office.**
A candidate for elective office may use or permit the use of
contributions solici­ted for or received by the candidate for that office
to further the candidacy of the individual for a different office as
long as the contributions have been re­ceived on or before December 31,
1992, and have been transferred to a cam­paign account for the different
office on or before December 31, 1992. A con­tribution solicited for or
received on behalf of the candidate is considered solici­ted or received
for the candidacy for which the individual is then a candidate if the
funds or contributions are solicited or received before the general
election for which the candidate is a nominee or is unopposed. The
prohibition on the use or solicitation of funds does not limit in any
way a candidate from retaining funds for use in a subsequent race for
the same elective office \[45\].

Any assets or funds that are the proceeds of a campaign contribution
that are held by or under the control of a public official or a
candidate for public office on January 1, 1993, and continue to be held
by or under the control of a public official or a candidate for public
office on January 1, 1993, are subject to these provisions \[46\].

Notwithstanding the provisions noted above, a candidate may use or
permit the use of contributions solicited for or received by the
candidate to further the candidacy of the individual for an elective
office other than the elective office for which the contributions were
received if (1) the person originally making the contribution gives
written authorization for its use to further the candidacy of the
individual for a specific office that is not the office for which the
contribu­tion was originally intended and (2) the contribution is
otherwise permitted by law \[47\].

**F. Use of Campaign Funds for Non‑Campaign Personal Expenses or for
Personal Use.** No candidate, committee, public official, or political
party may use campaign funds to defray personal expenses that are
unrelated to the campaign or the office if the candidate is an
officeholder nor may these funds be converted to personal use. This
prohibition does not extend to the incidental personal use of campaign
materials or equipment nor to an expenditure used to defray any ordinary
expenses incurred in connection with an individual\'s duties as a holder
of elective office. The payment of reasonable and necessary travel
expenses or for food or beverages consumed by the candidate or members
of the candidate\'s immediate family while at and in connection with a
political ev­ent are permitted \[48\].

**G. Use of Public Resources to Influence an Election or Ballot
Meas­ure.** A person may not use or authorize the use of public funds,
property, or time to influence the outcome of an election, and a
governmental entity may not use public funds, property, or time in an
attempt to influence the outcome of a ballot measure. These prohibitions
do not preclude the incidental use of time and materials for the
preparation of a newsletter reporting activities of the body of which a
public official is a member or the expenditure of public resources by a
governmental entity to prepare informational materials, conduct public
meet­ings, or respond to news media or citizens\' inquiries concerning a
ballot measure affecting the governmental entity \[49\].

**IV. REPORTING REQUIREMENTS**

**A. Committee Statement of Organization.** A committee, except an
out‑of‑state committee, that receives or expends more than \$500 in the
ag­gregate during an election cycle to influence the outcome of an
elective office or ballot measure must file a statement of organization
with the State Ethics Commission no later than 5 days after receiving
the contribution or making the ex­penditure. An out‑of‑state committee
that expends more than \$500 in the ag­gregate during an election cycle
to influence the outcome of an elective office or a ballot measure must
file a statement of organization with the State Ethics Commission no
later than 5 days after making the expenditure \[50\].

The statement of organization of a committee must include:

\(1\) The full name of the committee.

\(2\) The complete address and telephone number of the committee.

\(3\) The date the committee was organized.

\(4\) A summary of the purpose of the committee.

\(5\) The name and address of a corporation or an organization that
sponsors the committee or is affiliated with the committee. If the
committee is not spon­sored by or affiliated with a corporation or an
organization, the committee must specify the trade, profession, or
primary interest of contributors to the commit­tee.

\(6\) The full name, address, telephone number, occupation, and
principal place of business of the chairman and treasurer of the
committee.

\(7\) The full name, address, telephone number, occupation, and
principal place of business of the custodian of the books and accounts
if other than the desig­nated officers.

\(8\) The full name and address of the depository in which the committee
maintains its campaign account and the number of the account.

\(9\) A certification of the statement by the chairman and the treasurer
\[51\].

The name of the committee designated on the statement of organization
must incorporate the full name of the sponsoring entity, if any. An
acronym or ab­breviation may be used in other communications if the
acronym or abbreviation commonly is known or clearly recognized by the
general public \[52\].

The chairman must notify the State Ethics Commission in writing of a
change in information previously reported in a statement of organization
no later than 10 business days after the change \[53\].

A \"committee\" is (1) an association, a club, an organization, or a
group of per­sons that, to influence the outcome of an elective office or
a ballot measure, re­ceives contributions or makes expenditures in excess
of \$500 in the aggregate during an election cycle or (2) an individual
who, to influence the outcome of an elective office or a ballot measure,
makes contributions aggregating at least \$50,000 during an election
cycle to or at the request of a candidate, a committee, or a combination
of candidates and/or committees. The term \"committee\" in­cludes a party
committee, a legislative caucus committee, a noncandidate com­mittee, or
a committee that is not a campaign committee for a candidate but is
organized for the purpose of influencing an election \[54\].

A \"party committee\" is a committee established by a political party
\[55\].

A \"legislative caucus committee\" is:

\(1\) A committee of either house of the general assembly controlled by
the caucus of a political party or a caucus based upon racial or ethnic
affinity or gender.

\(2\) A party or group of either house of the general assembly based
upon ra­cial or ethnic affinity or gender; however, each house may
establish only one committee for each racial‑, ethnic‑, or gender‑based
affinity \[56\].

A \"noncandidate committee\" is a committee that is not a campaign
committee for a candidate but is organized to influence an election or
to support or oppose a candidate or public official that receives
contributions or makes expenditures in excess of \$500 in the aggregate
during an election cycle. The term \"noncan­didate committee\" does not
include political action committees that contribute solely to federal
campaigns \[57\].

**B. Candidate and Committee Reports**

**1. Campaign Reports**. Upon the receipt or expenditure of campaign
con­tributions totaling \$500 or more in an accumulated aggregate, a
candidate or a committee required to file a statement of organization
must file an initial certi­fied campaign report within 10 days of these
receipts or expenditures. Howev­er, a candidate or a committee that does
not receive or expend campaign contri­butions totaling \$500 or more in
an accumulated aggregate must file an initial certified campaign report
15 days before an election \[58\].

Following the filing of an initial certified campaign report, additional
certified campaign reports must be filed within 10 days following the
end of each calen­dar quarter both before and after an election.
Subsequent pre‑election and quarterly reports (i.e., statements of
inactivity) are required even when there have been no contributions
received or expenditures made \[59\].

At least 15 days before an election, a certified campaign report must be
filed showing contributions of more than \$100 and expenditures to or by
the can­didate or committee for the period ending 20 days before the
election. The can­didate or committee must maintain a current list during
the 20‑day before the election of all contributions of more than \$100.
The list must be open to public inspection upon request \[60\]. If a
pre‑election campaign report is required to be filed within 30 days of
the end of the prior quarter, a candidate or committee must combine the
quarterly report and pre‑election report and file the combined report no
later than 15 days before the election \[61\].

In the event of a runoff election, candidates of committees are not
required to file another campaign report in addition to the reports
already required \[62\].

Campaign reports filed by a candidate must be certified by the
candidate. Campaign reports filed by a committee must be certified by a
duly authorized officer of the committee \[63\].

A \"candidate\" is a person who (1) seeks appointment, nomination for
election, or election to a statewide or local office or (2) authorizes
or knowingly permits the collection or disbursement of money for the
promotion of his or her candid­acy or election. The term \"candidate\"
includes a person on whose behalf write‑in votes are solicited if the
person has knowledge of the solicitation, but does not include a
candidate within the meaning of Section 431(b) of the Federal Election
Campaign Act of 1976 \[64\].

An \"election\" is (1) a general, special, primary or runoff election,
(2) a conven­tion or caucus of a political party held to nominate a
candidate, (3) the election of delegates to a constitutional convention
for proposing amendments to the U.S. Constitution or the state
constitution, or (4) a ballot measure \[65\].

Certified campaign reports detailing campaign contributions and
expenditures must contain:

\(1\) The total of contributions accepted by the candidate or committee.

\(2\) The name and address of each person making a contribution of more
than \$100 and the date of receipt of each contribution.

\(3\) Total expenditures made by or on behalf of the candidate or
committee.

\(4\) The name and address of each person to whom an expenditure is made
from campaign funds, including the date, amount, purpose, and
beneficiary of the expenditure \[66\].

Certified campaign reports must be filed on a format specified by the
State Ethics Commission. The reports filed must be typed or printed in
ink on forms supplied by the Commission. A report may be filed with the
Commission on a computerized printout if the Commission approves the
proposed format and style \[67\].

The State Ethics Commission is required to develop a contribution and
expendi­ture reporting form, which must include:

\(1\) A designation as a pre‑election or quarterly report and, if a
pre‑election report, the election date.

\(2\) The candidate\'s name and address or, in the case of a committee,
the name and address of the committee.

\(3\) The balance of campaign accounts on hand at the beginning and at
the close of the reporting period and the location of those campaign
accounts.

\(4\) The total amount of all contributions received during the
reporting period, the total amount of contributions of \$100 or less in
the aggregate from one source received during the reporting period, the
name and address of each per­son contributing more than \$100 aggregate
during the reporting period, the date and amount of the contribution,
and the year‑to‑date total for each contributor. Written promises or
pledges to make a contribution must be reported separately in the same
manner as other monetary contributions.

\(5\) The total amount of all loans received during the reporting period
and the total amount of loans for the year to date. The report also must
include the date and amount of each loan from one source during the
reporting period, the name and address of each maker or guarantor of
each loan, the year‑to‑date total of each maker or guarantor, and the
terms of the loan, including the interest rate, repayment terms, loan
payments, and existing balances on each loan.

\(6\) The date and amount of any in‑kind contributions of more than
\$100 in the aggregate by one person during the reporting period, and
the contributor\'s name, address, and year‑to‑date total.

\(7\) The total amount of all refunds, rebates, interest, and other
receipts not previously identified during the reporting period and their
year‑to‑date total, the total amount of other receipts received of \$100
or less in the aggregate from one source during the reporting period,
the date and amount of each refund, rebate, interest, or other receipt
not previously identified of more than \$100 in the ag­gregate from one
source, and the year‑to‑date total for each source.

\(8\) The aggregate total of all contributions, loans, and other
receipts during the reporting period and the year‑to‑date total, the
amount, date, and a brief de­scription of each expenditure made during
the reporting period, the name and address of the entity to which the
expenditure was made, and the year‑to‑date total of expenditures to that
entity. Credit card expenses and candidate reim­bursements must be
itemized so that the purpose and recipient of the expendi­ture are
identified.

\(9\) The total amount of all loans made during the reporting period and
the year‑to‑date total. The report also must include the date and amount
of each loan to one entity during the reporting period, the name and
address of each re­cipient of the loan, and the terms of the loan,
including the interest rate, repay­ment terms, purpose of the loan, the
year‑to‑date total, and existing balances \[68\].

A candidate or committee must disclose all information required on the
form developed by the Commission \[69\].

A committee registered with the Federal Election Commission may file a
copy of the appropriate FEC report in lieu of the state campaign report
but must ad­here to the state deadlines and other regulations \[70\].

All persons required to file certified campaign reports must file those
reports with the appropriate supervisory office \[71\]. The appropriate
supervisory office is:

\(1\) The State Ethics Commission for all candidates for public office
except for members of or candidates for the office of state senator or
state representative.

\(2\) The senate ethics committee for members of or candidates for the
office of state senator and the house of representatives ethics
committee for members of or candidates for the office of state
representative.

\(3\) The State Ethics Commission for all committees, except legislative
caucus committees, supporting or opposing a ballot measure or supporting
or opposing a candidate.

\(4\) The senate ethics commission for all legislative caucus committees
affili­ated with the senate, the house of representatives ethics
committee for all legis­lative caucus committees affiliated with the
house of representatives, and both ethics committees for all legislative
caucus committees affiliated with both houses \[72\].

The senate ethics committee and the house of representatives ethics
commit­tee must forward a copy of each statement filed with it to the
State Ethics Commission within five business days of receipt. Within
five days of receipt, a copy of all campaign reports received by the
State Ethics Commission must be for­warded to the State Election
Commission and the clerk of court in the county of residence of the
person required to file \[73\].

The State Election Commission must review all statements forwarded to it
by the State Ethics Commission for inadvertent and unintentional errors
or omissions \[74\].

The appropriate supervisory office must send a notice of obligation to
report and reporting forms by first class mail no less than 30 days
before the filing date for each reporting period. A candidate or
committee is not relieved of reporting responsibilities if the notice or
forms are not sent or if the candidate or commit­tee does not receive a
notice or forms \[75\].

A candidate or committee shall maintain and preserve an account of:

\(1\) The total of contributions accepted by the candidate or committee.

\(2\) The name and address of each person making a contribution and the
date of receipt of each contribution.

\(3\) The total of expenditures made by or on behalf of the candidate or
com­mittee.

\(4\) The name and address of each person to whom an expenditure is
made, including the date, amount, purpose, and beneficiary of the
expenditure.

\(5\) All receipted bills, canceled checks, or other proof of payment
for each expenditure \[76\].

The candidate or committee must maintain and preserve all required
receipted bills and accounts for four years \[77\].

**2. Statements of Inactivity**. If a candidate or committee has not
accepted any contributions and has not made any expenditures during a
reporting period, the candidate or a duly authorized officer of the
committee must file a statement of inactivity with the appropriate
supervisory office \[78\].

A statement of inactivity must include (1) the candidate\'s or
committee\'s name and address, (2) the type of report, pre‑election or
quarterly, and (3) a statement by the candidate or a duly authorized
officer of the committee verify­ing that no contributions were received
and no expenditures were made during the reporting period. For the
purpose of this report, interest earned is not a con­tribution \[79\].

**C. Candidate Campaign Accounts.** A candidate may not establish more
than one campaign checking account and one campaign savings account for
each office sought, and a committee may not establish more than one
checking ac­count and one savings account unless federal or state law
requires additional ac­counts. Certificates of deposit or other interest
bearing instruments are not con­sidered separate accounts. A candidate\'s
accounts must be established in a fi­nancial institution that conducts
business within the state and in an office located within the state that
conducts business with the general public \[80\].

The candidate of a duly authorized officer of a committee must maintain
the accounts in the name of the candidate or committee. An acronym must
not be used in the case of a candidate\'s accounts. An acronym or
abbreviation may be used in the case of a committee\'s accounts if the
acronym or abbreviation com­monly is known or clearly recognized by the
general public \[81\].

Expenses over \$25 paid on behalf of a candidate or committee must be
drawn from the campaign account and issued on a check signed by the
candidate or a duly authorized officer of a committee. All contributions
received by the can­didate or committee, directly or indirectly, must be
deposited in the campaign account by the candidate or committee within
10 days after receipt. All contri­butions received by an agent of a
candidate or committee must be forwarded to the candidate or committee
not later than 5 days after receipt. A contribution must not be
deposited until the candidate or committee receives information
re­garding the name and address of the contributor. If the name and
address can­not be determined within 10 days after receipt, the
contribution must be remit­ted to the children\'s trust fund \[82\].

**D. Committee Report of a Large Pre‑Election Expenditure.** A commit­tee
shall file immediately a campaign report listing expenditures if it
makes an independent expenditure or an incurred expenditure within 20
days before the election in excess of \$10,000 in the case of a
candidate for statewide office or \$2,000 in the case of a candidate for
any other office \[83\].

An \"independent expenditure\" is an expenditure made by a person to
advocate the election or defeat of a clearly identified candidate or
ballot measure and, when taken as a whole and in context, the
expenditure made by a person ex­pressly to urge a particular result in an
election but which is not made to, con­trolled by, coordinated with,
requested by, or made upon consultation with a candidate or an agent of
a candidate. Expenditures by party committees or ex­penditures by
legislative caucus committees based upon party affiliation are
con­sidered to be controlled by, coordinated with, requested by, or made
upon con­sultation with a candidate or an agent of a candidate \[84\].

\"Expenditures incurred\" are an amount owed to a creditor for purchase
of de­livered goods or completed services \[85\].

**E. Candidate Statement of Economic Interests.** A candidate must file
a statement of economic interests for the preceding calendar year at the
same time and with the same official with whom the candidate files a
declaration of can­didacy or petition for nomination unless the candidate
is a public official who has a current disclosure statement on file with
the appropriate supervisory office \[86\]. If the candidate files for
office before January 1st of the year in which the election is held, he
or she must file a supplementary statement covering the pre­ceding
calendar year no later than April 1st of the year in which the election
is held \[87\].

The official with whom the candidate files a declaration of candidacy or
peti­tion for nomination must, no later than 5 business days after
candidacy books close, file a copy of the statement with the appropriate
supervisory office \[88\].

An individual who becomes a candidate other than by filing must, no
later than 15 business days after becoming a candidate, file a statement
of economic interests for the preceding calendar year with the
appropriate supervisory office \[89\].

An officer authorized to receive declarations of candidacy and petitions
for nominations may not accept a declaration of candidacy or petition
for nomina­tion unless the declaration or petition is accompanied by a
statement of econom­ic interests. If the candidate\'s name inadvertently
appears on the ballot, the of­ficer authorized to receive declarations of
candidacy or petitions for nomination must not certify the candidate
subsequent to the election \[90\].

A candidate who is not a public official otherwise filing a statement
has the same disclosure requirements as a public official with the
exception of reporting gifts \[91\].

The State Ethics Commission must furnish to each clerk of court in the
state forms on which the statement of economic interests are to be filed
\[92\].

**F. Expenditure Report of a Lobbyist\'s Principal.** Each lobbyist\'s
princi­pal, no later than April 10th and October 10th of each year, must
file a report with the State Ethics Commission covering that lobbyist\'s
principal\'s expenditures attributable to lobbying during that filing
period. The filing periods are from January 1st to March 31st for the
April 10th report and from April 1st to Sep­tember 30th for the October
10th report. Any lobbying activity not reflected on the October 10th
report and not reported in a termination report must be re­ported no
later than December 31st of that year. Each report must be in a form
prescribed by the Commission and be limited to and contain, among other
in­formation, any contribution made by the lobbyist\'s principal to any
candidate or public official, including an itemization of (1) the name
and address of the public official or candidate to whom the contribution
was made, (2) the amount of the contribution, and (3) the date of the
contribution \[93\].

A \"lobbyist\'s principal\" is the person on whose behalf and for whose
benefit a lobbyist engages in lobbying and who directly employs,
appoints, or retains a lobbyist to engage in lobbying. The term does not
include a person who belongs to an association or organization that
employs a lobbyist or an employee, offic­er, or shareholder of a person
who employs a lobbyist \[94\].

**G. Reports by Candidates for Offices Elected by the General
Assem­bly.** No person who is a candidate for public office that is
filled by election by the general assembly may be voted upon by the
general assembly or either house thereof until at least 10 days
following the date on which the candidate files a statement of economic
interests with the chairman of the senate ethics committee and the
chairman of the house of representatives ethics committee \[95\].

A person running for an office elected by the general assembly must file
a re­port with the chairman of the senate ethics committee and the
chairman of the house of representatives ethics committee of money in
excess of \$100 spent by the person in his or her behalf in seeking the
office. The report must include the period beginning with the time the
person first announces his or her intent to seek the office. The report
must not include travel expenses or room and board while campaigning.
Contributions made to members of the general assembly during the period
from the announcement of intent to the election date must be included.
The report must be updated quarterly with an additional report filed 5
days before the election and the final report filed 30 days after the
election. Persons soliciting votes on behalf of candidates must submit
expenses in excess of \$100 to the candidate, and these expenses must be
included on the candidate\'s report. A copy of all reports received by
the senate ethics committee and the house of representatives ethics
committee must be forwarded to the State Ethics Commission within two
business days of receipt \[96\].

No candidate for an office elected by the general assembly may seek
directly the pledge of the vote of a member of the general assembly\'s
until the qualifica­tions of all candidates for that office have been
determined by the appropriate joint committee to review candidates for
that office. No member of the general assembly may offer a pledge until
the qualifications of all candidates for that of­fice have been
determined by the appropriate joint committee to review candi­dates for
that office \[97\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Final Report.** A candidate is not exempt from the campaign filing
re­quirements until after an election in which the candidate is a
candidate or is de­feated and after the candidate no longer accepts
contributions, incurs expen­ditures, or pays for expenditures incurred
\[98\].

Committees may dissolve only after no longer accepting contributions,
incur­ring expenditures, or paying for expenditures incurred. If a
committee owes or is owed money, the committee may dissolve but must
report the status of the debt annually on the same schedule as active
committees until all debts are re­solved. The method of resolution to
eliminate these debts, including contribu­tions accepted and payment for
expenditures incurred, must be stated on the re­port \[99\].

A final report may be filed at the time or before a scheduled filing is
due. The form must be marked \"final\" and include a list of the
material assets worth \$100 or more and state their disposition \[100\].

A final report may be filed when there are no further contributions
being so­licited or made, there are no outstanding obligations, and the
account balance is zero \[101\].

**B. Disposition of Excess Funds**

**1. Candidates.** Contributions received by a candidate that are in
excess of expenditures during an election cycle must be used by the
candidate upon final disbursement:

\(1\) To defray ordinary and necessary expenses incurred in connection
with the candidate\'s duties in his or her public office.

\(2\) To be contributed to an organization exempt from tax under Section
501(c)(3) of the Internal Revenue Code of 1986, a political party, or a
commit­tee.

\(3\) To be maintained in the campaign account for a subsequent race for
the same elective office.

\(4\) To further the candidacy of the individual for a different
elective office (*see* Section III.E, *supra*).

\(5\) To be returned pro rata to all contributors.

\(6\) To be contributed to the state\'s general fund.

\(7\) To be distributed using a combination of these options \[102\].

**2. Committees.** A committee required to file reports that has an
unex­pended balance of funds upon final disbursement not otherwise
obligated for expenditures incurred to further the committee\'s purposes
must designate how the surplus funds are to be distributed. The surplus
funds must be:

\(1\) Contributed to the state\'s general fund.

\(2\) Returned pro rata to all contributors.

\(3\) Contributed to a political party or to another committee.

\(4\) Contributed to an organization exempt from tax under Section
501(c)(3) of the Internal Revenue Code of 1986.

\(5\) Distributed using a combination of these options \[103\].

**VI. OFFENSES AND PENALTIES**

**A. Technical Violations.** The State Election Commission, in its
discretion, may determine that errors or omissions on campaign reports
are inadvertent and unintentional and not an effort to violate a
reporting requirement and may be handled as technical violations that
are not subject to the provisions pertaining to ethical violations. In
lieu of all other penalties, the State Election Commission may assess a
technical violations penalty not to exceed \$50. A violation, other than
an inadvertent or unintentional violation, must be referred to the
appro­priate supervisory office for appropriate action \[104\].

**B. Civil Penalties.** A person required to file a report or statement
who files a late statement or report or fails to file a required
statement or report must be assessed a civil penalty as follows:

\(1\) A fine of \$100 if not filed within 5 days after the established
deadline.

\(2\) After notice has been given by certified or registered mail that a
required statement or report has not been filed, a fine of \$10 a day
for each additional calendar day in which the required statement is not
filed, but not over \$500 \[105\].

**C. Criminal Penalties.** A person who violates any provision of the
ethics, government accountability, and campaign reform law is guilty of
a misdemeanor and, upon conviction, must be fined not more than \$5,000
or be imprisoned for not more than one year, or both \[106\].

**D. Violations by Lobbyists and Lobbyists\' Principals.** A lobbyist or
a lobbyist\'s principal who willfully violates the provisions of the
ethics, govern­ment accountability, and campaign reform law is guilty of
a misdemeanor and, upon conviction, must be fined not more than \$2,500,
imprisoned for not more than one year, or both \[107\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. State Ethics Commission**. The State Ethics Commission administers
the ethics, government accountability, and campaign reform law. The
Commission has the following duties and powers:

\(1\) To prescribe forms for statements required to be filed and to
furnish these forms to persons required to file statements.

\(2\) To prepare and publish a manual setting forth recommended uniform
methods of reporting for use by persons required to file statements.

\(3\) To accept and file information voluntarily supplied that exceeds
the statu­tory requirements.

\(4\) To develop a filing, coding, and cross‑indexing system.

\(5\) To make the notices of registration and reports filed available
for public inspection and copying as soon as may be practicable after
receipt and to permit copying of a report or statement by hand or by
duplicating machine, as request­ed by a person, at the expense of the
person.

\(6\) To preserve the originals or copies of notices and reports for
four years from the date of receipt.

\(7\) To ascertain whether a person has failed to comply fully and
accurately with the disclosure requirements and promptly to notify the
person to file the necessary notices and reports to satisfy the legal
requirements.

\(8\) To request the attorney general, in the name of the Commission, to
ini­tiate, prosecute, defend, or appear in a civil or criminal action for
the purpose of enforcing the provisions of the law, including a civil
proceeding for injunctive re­lief and presentation to a grand jury.

\(9\) To conduct its investigations, inquiries, and hearings in the
statutorily pre­scribed manner.

\(10\) To issue, upon request by persons covered by the law and publish
advi­sory opinions.

\(11\) To promulgate and publish rules and regulations to carry out the
law \[108\].

**B. Legislative Ethics Committees**. The house of representatives
legislative ethics committee and a senate legislative ethics committee
created within the general assembly share with the State Ethics
Commission responsibility for en­forcement of the ethics, government
accountability, and campaign reform law. Each ethics committee is
required:

\(1\) Upon the filing of a complaint, to investigate an alleged breach
of a rule governing a member or candidate for member of the house,
misconduct of a member or candidate, or a violation of the ethics,
government accountability, and campaign reform law by a member or
candidate.

\(2\) To receive and hear complaints against a member or candidate for
mem­ber of the house; however, no complaint may be accepted during the
50‑day pe­riod before an election in which the member or candidate is a
candidate, and ac­tion on a complaint that cannot be disposed of or
dismissed at least 30 days be­fore the election must be postponed until
after the election.

\(3\) If probable cause exists to support an alleged violation by a
member or candidate, then, as appropriate, to render an advisory opinion
and require com­pliance within a reasonable time or convene a formal
hearing within 30 days af­ter a respondent\'s failure to comply with an
advisory opinion.

\(4\) If after a formal hearing the committee finds there was a
violation, to administer or recommend appropriate sanctions to the full
house.

\(5\) To recommend any changes in the law or rules relating to ethics
consid­ered proper to its house \[109\].

**References**

1.  Code of Laws of South Carolina 1976 Annotated (hereafter CLSCA) §
    8‑13‑1300(7)

2.  CLSCA § 8‑13‑1300(22)

3.  CLSCA § 8‑13‑1300(20)

4.  CLSCA § 8‑13‑1314(A)

5.  CLSCA § 8‑13‑1314(B)

6.  CLSCA § 8‑13‑1300(10)

7.  CLSCA § 8‑13‑1320

8.  CLSCA § 8‑13‑1330

9.  CLSCA § 8‑13‑1316(A)

10. CLSCA § 8‑13‑1316(B)

11. CLSCA § 8‑13‑1322(A); S.C. State Ethics Comm'n Adv. Op. (hereafter
    SEC Adv. Op.) AO2O00-003 (September 15, 1999); *Legacy Alliance,
    Inc. v. Condon*, 76 F.Supp.2d 674 (D.S.C. 1999)

12. CLSCA § 8‑13‑1322(B)

13. CLSCA § 8‑13‑1300(25)

14. CLSCA § 8‑13‑1332(1)

15. CLSCA § 8‑13‑1340(A), (B)

16. CLSCA § 8‑13‑1340(B)

17. CLSCA § 8‑13‑1326

18. CLSCA § 8‑13‑1328

19. CLSCA § 8‑13‑1318

20. CLSCA § 8‑13‑1324

21. CLSCA § 8‑13‑1344(D)

22. CLSCA § 8‑13‑1344(C)

23. CLSCA § 8‑13‑1332(2)

24. CLSCA § 8‑13‑1330(C)

25. CLSCA § 8‑13‑1344(A)

26. CLSCA § 8‑13‑1342

27. CLSCA § 8‑13‑1332(3); SEC Adv. Op. AO2O00-003 (September 15, 1999);
    *Legacy Alliance, Inc. v. Condon*, 76 F.Supp.2d 674 (D.S.C. 1999)

28. CLSCA § 8‑13‑1332(4)

29. CLSCA § 8‑13‑1334

30. CLSCA § 8‑13‑1344(B)

31. CLSCA § 8‑13‑1336

32. CLSCA § 8‑13‑1338(A)

33. CLSCA § 8‑13‑1338(C)

34. CLSCA § 8‑13‑1338(B)

35. CLSCA § 2‑17‑80(A)

36. CLSCA § 2‑17‑10(2)

37. CLSCA, S.C. App. Ct. Rules, Rule 501 (Code of Judicial Conduct),
    Canon 5 (hereafter Judicial Canon 5)

38. Judicial Canon 5

39. CLSCA § 8‑13‑1180(A)

40. CLSCA, S.C. App. Ct. Rules, Rule 507, § 1

41. CLSCA § 8‑13‑1300(12)

42. CLSCA § 8‑13‑1348(E)

43. CLSCA § 8‑13‑1348(D)

44. CLSCA § 8‑13‑1348(C)

45. CLSCA § 8‑13‑1350(A)

46. CLSCA § 8‑13‑1350(B)

47. CLSCA § 8‑13‑1352; SEC Adv. Op. AO2002-003 (July 18, 2001); SEC Adv.
    Op. AO2002-001 (September 19, 2001)

48. CLSCA § 8‑13‑1348(A), (B)

49. CLSCA § 8‑13‑1346

50. CLSCA § 8‑13‑1304

51. CLSCA § 8‑13‑1306(A)

52. CLSCA § 8‑13‑1306(B)

53. CLSCA § 8‑13‑1306(C)

54. CLSCA § 8‑13‑1300(6)

55. CLSCA § 8‑13‑1300(24)

56. CLSCA § 8‑13‑1300(21)

57. CLSCA § 8‑13‑1300(23)

58. CLSCA § 8‑13‑1308(A)

59. CLSCA § 8‑13‑1308(B); CLSCA, Administrative Regulations (hereafter
    S.C. Admin. Reg.) § 52‑504(B), (D)

60. CLSCA § 8‑13‑1308(D)(1)

61. CLSCA § 8‑13‑1308(E)

62. CLSCA § 8‑13‑1308(D)(3)

63. CLSCA § 8‑13‑1308(C)

64. CLSCA § 8‑13‑1300(4)

65. CLSCA § 8‑13‑1300(9)

66. CLSCA § 8‑13‑1308(F)

67. CLSCA § 8‑13‑1358

68. CLSCA § 8‑13‑1360(A)

69. CLSCA § 8‑13‑1360(B)

70. S.C. Admin. Reg. § 52‑505

71. CLSCA § 8‑13‑1310(A)

72. CLSCA § 8‑13‑1300(1)

73. CLSCA § 8‑13‑1310(B), (C)

74. CLSCA § 8‑13‑1310(D)

75. CLSCA § 8‑13‑1364

76. CLSCA § 8‑13‑1302(A)

77. CLSCA § 8‑13‑1302(B)

78. CLSCA §§ 8‑13‑1362(A); 8‑13‑1310(A)

79. CLSCA § 8‑13‑1362(B)

80. CLSCA § 8‑13‑1312

81. CLSCA § 8‑13‑1312

82. CLSCA §§ 8‑13‑1312; 8‑13‑1348(C)

83. CLSCA § 8‑13‑1308(D)(2)

84. CLSCA § 8‑13‑1300(17)

85. CLSCA § 8‑13‑1300(13)

86. CLSCA § 8‑13‑1356(A), (B)

87. CLSCA § 8‑13‑1356(C)

88. CLSCA § 8‑13‑1356(D)

89. CLSCA § 8‑13‑1356(E)

90. CLSCA § 8‑13‑1356(F)

91. CLSCA § 8‑13‑1356(G)

92. CLSCA § 8‑13‑1356(H)

93. CLSCA § 2‑17‑35(A), (A)(8)

94. CLSCA § 2‑17‑10(14)

95. CLSCA § 8‑13‑910(A)

96. CLSCA § 8‑13‑920

97. CLSCA § 8‑13‑930

98. CLSCA § 8‑13‑1368(A)

99. CLSCA § 8‑13‑1368(B), (C)

100. CLSCA § 8‑13‑1368(D)

101. S.C. Admin. Reg. § 52‑504(D)(3)

102. CLSCA § 8‑13‑1370(A)

103. CLSCA § 8‑13‑1370(C)

104. CLSCA § 8‑13‑1372

105. CLSCA § 8‑13‑1510

106. CLSCA § 8‑13‑1520

107. CLSCA § 2‑17‑130(A)

108. CLSCA §§ 2‑17‑5; 8‑13‑320

109. CLSCA §§ 8‑13‑520; 8‑13‑530; 8‑13‑540

**CAMPAIGN FINANCE LAW**

**IN SOUTH DAKOTA**

**I. INTRODUCTION**

South Dakota requires candidates for state executive, state legislative,
and county office or their candidate\'s committees, candidates for
school board seat in districts of more than 2,000 students or their
candidate\'s committees, political action committees, political party
committees, and persons and committees in­volved with a ballot question
or constitutional amendment at a statewide or lo­cal election to file
periodic statements of contributions and expenditures. Elect­ed or
appointed state officeholders must submit annual statements of
contribu­tions and expenditures. Candidates for designated congressional,
state, and local offices are required to file a post‑nomination
statement of financial interest.

No individual may contribute in a calendar year more than \$1,000 to or
on behalf of a state office candidate or more than \$250 to or on behalf
of a legisla­tive or county office candidate; however, there is no limit
for the candidate, the candidate\'s spouse, and certain relatives of the
candidate and their spouses. Contributions to a political party by an
individual are limited to \$3,000 in a cal­endar year. Candidates and
candidate\'s committees, political action committees, and political
party committees may receive contributions only from individuals,
political action committees, and political party committees.

Corporations may not make contributions except to a ballot question
commit­tee, and associations may make contributions but not out of dues
or treasury funds. Both corporations and associations may establish
political action commit­tees and administer and solicit contributions and
use their property for their committees.

The Secretary of State administers the state campaign finance law. The
gov­erning body of a municipal, school district, or other governmental
subdivision may make the state campaign finance law, with or without
amendments, appli­cable to its elections.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is any valuable
considera­tion in whatever form received by any candidate, candidate\'s
committee, politi­cal party committee, ballot question committee, or
political action committee \[1\].

**B. Contributions by Individuals to a Candidate.** A person may not
con­tribute more than \$1,000 to or in behalf of any individual candidate
for state­wide office in any calendar year or more than \$250 to or in
behalf of any indi­vidual candidate for legislative or county office in
any calendar year; however, this limitation on individual contributions
to an individual candidate does not apply to contributions from the
candidate, the candidate\'s spouse, or a relative or spouse of a
relative within the third degree of kinship with the candidate or
candidate\'s spouse \[2\].

A contribution \"in behalf of\" an individual candidate does not include
costs in­curred without the consent of a candidate or a candidate\'s
agent \[3\]. \"Within the third degree of kinship\" includes a parent,
child, grandparent, brother, sister, grandchild, aunt, uncle, nephew,
niece, great grandparent, and great grandchild \[4\].

According to the Attorney General, the statutory limitation on
contributions to a candidate or a candidate\'s committee by \"persons\"
does not apply to a political committee (i.e, political action committee
or political party committee) \[5\].

**C. Contributions to a Political Party.** An individual may not
contribute more than \$3,000 to or in behalf of any political party in a
calendar year \[6\].

**D. Authorized Sources of Contributions.** A candidate, candidate\'s
com­mittee, political action committee, or political party committee may
receive a contribution only from an individual, political action
committee, or political par­ty \[7\].

**E. Contributions by an Association.** An association may contribute
any valuable consideration out of funds contributed for the purpose of
making politi­cal contributions, but may not make contributions out of
dues or treasury funds \[8\]. The administration of and solicitation of
contributions for a political action committee established by an
association or the use of an association\'s real prop­erty or personal
property located on its business premises are not considered to be
contributions and are not prohibited or required to be reported \[9\].

**F. Contributions by a Corporation.** A corporation may not contribute
or attempt to contribute any valuable consideration to any candidate,
committee, or political party except a ballot question committee \[10\].
The administration of and solicitation of contributions for a political
action committee established by a corporation and the use of a
corporation\'s real property or personal property lo­cated on its
business premises are not considered to be contributions and are not
prohibited or required to be reported \[11\].

**G. Contribution of Voluntary Work.** The campaign financing law does
not prohibit voluntary work for or on behalf of any candidate for public
office, but all expenses for such purpose by candidates or committees
must be set forth in their statements of contributions and expenditures
\[12\].

**H. Making, Solicitation, and Acceptance of Contributions by Judges and
Candidates for Judicial Office.** The Code of Judicial Conduct restricts
the political activities of judges and candidates for election or
appointment to judicial office. Anyone, whether or not a lawyer, who is
an officer of a judicial system, magistrate, special master, or referee
is a judge within the meaning of the Code \[13\].

A judge or candidate for election or appointment to judicial office may
not so­licit funds for, pay an assessment to, or make a contribution to a
political organi­zation or candidate; however, the prohibition does not
apply at any time to a continuing part‑time judge, a periodic part‑time
judge, or a pro tempore part‑time judge. A judge or candidate for
judicial office subject to public election may, except as prohibited by
law, contribute to a political organization or can­didate at any time
\[14\].

A candidate for appointment to judicial office or a judge seeking
non‑judicial governmental office may not solicit or accept funds,
personally or through a committee or otherwise, to support his or her
candidacy. A non‑judge candidate for appointment to judicial office may,
however, unless otherwise prohibited by law, continue to pay ordinary
assessments and ordinary contributions to a politi­cal organization or
candidate \[15\].

A candidate for judicial office subject to public election may not
personally so­licit or accept campaign contributions; however, a
candidate may establish committees of responsible persons to conduct
campaigns for the candidate, solic­it and accept reasonable campaign
contributions, including contributions from lawyers, and manage the
expenditure of funds for the candidate\'s campaign. A candidate\'s
committees may solicit contributions for the candidate\'s campaign no
earlier than 90 days before a primary election and no later than 90 days
after the last election in which the candidate participates during the
election year \[16\].

A candidate for election or appointment to judicial office is required
to pro­hibit officials who serve at the pleasure of the candidate and to
discourage other employees and officials subject to the candidate\'s
direction and control from do­ing on the candidate\'s behalf what the
candidate is prohibited from doing and, except to the extent permitted
by the Code of Judicial Conduct, may not author­ize or knowingly permit
any other person to do for the candidate what the can­didate is
prohibited from doing \[17\].

In the Code of Judicial Conduct, a \"candidate\" is a person seeking
selection for or retention in judicial office by election or
appointment. A person becomes a candidate for judicial office as soon as
he or she makes an public announcement of candidacy, declares or files
as a candidate with the election or appointment authority, or authorizes
solicitation or acceptance of contributions or support. The term
\"candidate\" has the same meaning when applied to a judge seeking
election or appointment to non‑judicial office \[18\].

**1. Use of Campaign Finance Reports for the Solicitation of
Contribu­tions.** Information copied or otherwise obtained from any
report or statement, including a copy, reproduction, or publication of
the report or statement, that is filed with the Secretary of State
pursuant to the state campaign finance law may not be sold or utilized
by any person for the purpose of soliciting contributions or for any
commercial purpose \[19\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"election expense\" (or
\"expenditure\") is an expenditure of money or other valuable thing (1)
in furtherance of the nomi­nation of any person as a candidate for public
office, (2) in furtherance of the election of any person to public
office, (3) to defeat the nomination or election to public office of any
person, or (4) in furtherance of or to defeat any constitu­tional
amendment, initiated measure, referred law, or other question submitted
to the voters of the whole state \[20\].

**B. Ordinary and Usual Campaign Expenses.** The campaign finance law
does not prevent the necessary expenditure of money for any ordinary or
usual expense of conducting a political campaign unless expressly
forbidden, but all expenses for such a purpose by a candidate or
committee must be set forth in a statement of contributions and
expenditures \[21\].

**C. Private Use of Contributions to Judicial Candidates.** A candidate
for judicial office at public election may not use or permit the use of
campaign con­tributions for the private benefit of the candidate or
others \[22\].

**IV. REPORTING REQUIREMENTS**

**A. Statements of Contributions and Expenditures by a Candidate or
Candidate\'s Committee, Political Action Committee, or Political Party
Committee**

**1. General Provisions.** A candidate for state executive, state
legislative, or county office or the candidate\'s committee at a primary
or general election, a candidate for school board seat in a district
with an average daily membership of more than 2,000 students during the
previous calendar year or the candidate\'s committee, a political action
committee, and a political party committee must file with the
appropriate filing officer detailed statements of all valuable
considerations received, obligated, or paid by the candidate, the
com­mittee, or a person authorized by the candidate or committee \[23\].

A candidate for judicial, municipal, school district (2,000 or fewer
students), or other governmental subdivision office is expressly
exempted from the state campaign financing law, including the
requirement to file statements of contribu­tions and expenditures, but is
subject to the provisions concerning the filing of statements of
financial interest. However, the governing body of a municipal, school
district (2,000 or fewer students), or other governmental subdivision
may adopt an ordinance or resolution to make the provisions of the state
campaign finance law, with or without amendments, applicable to
municipal, school dis­trict, or other governmental subdivision elections
\[24\].

A detailed statement of valuable considerations received, obligated, or
paid by the candidate or committee or by any person authorized by the
candidate or committee must include (1) an itemization of all
contributions and expenditures received or incurred since the last
statement filed, (2) the name, residence address, and place of
employment of any person who has contributed an aggregate amount of more
than \$100 or the equivalent in a calendar year, and (3) with regard to
po­litical action committees, the name of any political action committee
that con­tributed any amount \[25\].

A statement by a candidate or treasurer of a committee must be on the
forms and verified in the manner prescribed by the Secretary of State
\[26\].

A candidate or committee is exempt from filing further statements when
the most recent statement shows all money has been expended and all
debts have been paid and the candidate or committee anticipates no
further campaign finance activity \[27\].

All candidates and committees are required to maintain accurate records
of contributions of \$100 or less in the event of an audit, and these
records must be kept for one year after the election in which the
committee participates \[28\].

A \"candidate\" required to file statements of contributions and
expenditures in­cludes a candidate for nomination and a candidate for
election \[29\]. A \"can­didate for nomination\" is a person who has
filed a nominating petition for office at a primary election \[30\]. A
\"candidate for election\" is a person who has quali­fied through
nomination in a primary election or at a party convention or by fil­ing a
petition as an independent candidate for the general election \[31\].

A \"candidate\'s committee\" is any two or more people who cooperate for
the purpose of raising, collecting, or disbursing money to secure the
nomination or election of a person to public office \[32\].

A \"political action committee\" is any two or more people who cooperate
for the purpose of raising, collecting, or disbursing money to influence
the outcome of an election and who are not candidates for nomination or
election, a candida­te\'s committee, or a political party \[33\].

A \"political party committee\" is the state central committee or a
county central committee of a political party qualified to participate
in a primary election and any auxiliary organization of a political
party committee \[34\].

**2. State Office Candidate or Candidate\'s Committee.** A statement of
contributions and expenditures of a state office candidate or a
candidate\'s com­mittee at a primary or general election must be filed
with the Secretary of State on the last Tuesday prior to the election
and be complete through the 10th day prior to the election; however, if
the candidate has no opposition in the primary, neither the candidate
nor the candidate\'s committee needs to file a pre‑primary report. A
statement for the preceding calendar year or the remainder of a prev­ious
calendar year not covered by a previous statement must be filed by
Febru­ary 1st. All statements are to be consecutive and taken together
cover the entire calendar year\'s receipts and expenditures. Statements
postmarked on or before the date due are properly filed \[35\].

A \"state office\" is the office of governor, lieutenant governor,
secretary of state, attorney general, state auditor, state treasurer,
commissioner of school and public lands, and public utilities
commissioner \[36\].

**3. Legislative or County Office Candidate or Candidate\'s Committee.**
A statement of contributions and expenditures of a state legislative or
county of­fice candidate or a candidate\'s committee at a general or
special election must be made and filed by July 1st and December 31st of
the election year; however, if the candidate has no opposition in the
primary, neither the candidate nor the candidate\'s committee needs to
file a pre‑primary report. A candidate or candi­date\'s committee must
file a detailed statement by December 31^st^ of each even-numbered year
until the disposition of all funds and payment of all obligations
\[37\].

A candidate for legislative office and the candidate\'s committee must
file with the Secretary of State; a candidate for county office and the
candidate\'s commit­tee file with the county auditor \[38\].

**4. School Board Candidate or Candidate\'s Committee**. A candidate or
candidate\'s committee for any school district board subject to the
campaign fi­nancing and financial disclosure requirements prescribed by
state law is required to file pre‑election statements of contributions
and expenditures unless the can­didate has no opposition \[39\].

A detailed statement of all valuable considerations received, obligated,
or paid by the candidate or committee or by persons authorized by the
committee, complete through the 10th day before the election, must be
filed with the school business manager 7 days before any election. A
pre‑election statement must in­clude an itemization of all contributions
and expenditures and the name, resi­dence address, and place of
employment of any person who contributed an ag­gregate amount of more
than \$100 or the equivalent thereof in that calendar year. A
termination statement must be filed with the school business manager
following the disposition of all funds and payment of all obligations
\[40\].

**5. Political Action Committee.** A political action committee that
partici­pates in a primary or general election is required to file
statements of contribu­tions and expenditures \[41\].

If a political committee that files reports with the Federal Election
Commis­sion makes a contribution to a South Dakota candidate, it is the
policy of the Secretary of State to accept a copy of the FEC report
listing the contribution in lieu of the state report \[42\].

If an out‑of‑state political action committee has its headquarters in a
state that requires regular filing of campaign finance reports, the
Secretary of State will ac­cept the filing of a copy of the out‑of‑state
report that shows contributions to in‑state candidates if the filing
dates in the other state are compatible with the South Dakota filing
dates \[43\].

A statement of contributions and expenditures of a political action
committee must be filed with the Secretary of State on the last Tuesday
prior to the election and be complete through the 10th day prior to the
election. A statement for the preceding calendar year or the remainder
of a previous calendar year not cov­ered by a previous statement must be
filed by February 1st. All statements are to be consecutive and taken
together cover the entire calendar year\'s receipts and expenditures.
Statements postmarked on or before the date due are proper­ly filed
\[44\].

**6. Political Party Committees.** Political party committees, including
state central committees, county central committees, and party
organizations, are re­quired to report all receipts and expenditures
whether or not they are connected with a specific campaign \[45\].

A statement of contributions and expenditures of a political party
committee must be filed with the Secretary of State on the last Tuesday
prior to the election and be complete through the 10th day prior to the
election; however, a county political party committee need not file a
pre‑primary report. A statement for the preceding calendar year or the
remainder of a previous calendar year not covered by a previous
statement must be filed by February 1st. All statements are to be
consecutive and taken together cover the entire calendar year\'s
re­ceipts and expenditures. Statements postmarked on or before the date
due are properly filed \[46\].

**B. Statements of Contributions and Expenditures by a Ballot Question
Committee**

**1. General Provisions.** A person or ballot question committee
involved in the referral or initiation of a question or proposed
constitutional amendment at a statewide election and a person or
political committee involved in the referral or initiation of a question
at a non‑statewide election are also required to file with the
appropriate filing officer detailed statements of all valuable
considera­tions received, obligated, or paid by the person or committee,
with regard to po­litical action committees, the name of any political
action committee that con­tributed any amount, and, in the case of a
statewide ballot question, the fair market value of paid and unpaid
advertising time). Statements postmarked on or before the date due are
properly filed \[47\].

A committee is exempt from filing further statements when the most
recent statement shows all money has been expended and all debts have
been paid and the committee anticipates no further campaign finance
activity \[48\].

A statement by the treasurer of a committee must be on the forms and
veri­fied in the manner prescribed by the Secretary of State \[49\].

All committees are required to maintain accurate records of
contributions of \$100 or less in the event of an audit, and these
records must be kept for one year after the election in which the
committee participates \[50\].

A \"ballot question committee\" is any two or more people who cooperate
for the purpose of raising, collecting, or disbursing money for the
adoption or defeat of a question submitted to the voters at any election
\[51\].

**2. Person or Committee Involved With a Statewide Ballot Question or
Constitutional Amendment.** A legal or natural person or ballot question
committee that is involved in the referral or initiation of any question
or pro­posed constitutional amendment at any general election must file a
detailed statement with the Secretary of State by July 1st in the
election year and by the last Tuesday prior to the election. The
statement must be complete through the 10th day prior to the general
election. By February 1st of each calendar year, the person or committee
must file a statement for the preceding calendar year or the remainder
of the preceding calendar year. All statements are to be con­secutive and
taken together cover the entire calendar year\'s receipts and
expen­ditures \[52\].

A statement must itemize all contributions and expenditures and include
the name, residence address, and place of employment of each person who
contrib­uted an aggregate amount of more than \$100 or the equivalent in
a calendar year \[53\].

**3. Person or Committee Involved With a Non‑Statewide Ballot
Ques­tion.** A person or ballot question committee involved in the
referral or initia­tion of any question at any election other than a
statewide election must file the detailed statements with the person in
charge of the election \[54\].

A pre‑election statement must be filed 10 days prior to the election and
be complete through the 17th day prior to the election. A post‑election
termination statement is to be filed 30 days following the election and
include all receipts and expenditures not included in the pre‑election
report and indicate the disposi­tion of any remaining funds or
obligations \[55\].

All statements are to include the name and address of each person who
con­tributed an aggregate of \$100 or more to the person or committee for
the elec­tion \[56\].

The \"person in charge of the election\" is the county auditor in all
cases except local elections for a municipality, school district,
township, or other political subdivision, in which case it is the
officer having a position comparable to the auditor in that unit of
government if not otherwise specifically designated by law \[57\].

**C. Supplemental Statement for a Large Contribution.** If a candidate
for state office or the candidate\'s committee, a candidate for school
board seat in a district of more than 2,000 students or the candidate\'s
committee, a political ac­tion committee, or a political party committee
receives any contribution of \$500 or more within 9 days immediately
prior to a primary or general election from any individual contributor,
the candidate or committee must make and file a supplement to its
statement of contributions and expenditures with the appro­priate filing
officer within 48 hours of receipt of the contribution. The supple­ment
must state the name, residence address, and place of employment of an
in­dividual contributor or the name and address of the committee and the
amount of the contribution \[58\].

**D. Candidate Statement of Financial Interest.** A candidate for
congres­sional, state, or local office, as enumerated by statute, is
required to file a state­ment of financial interest with the Secretary of
State, county auditor, or local election official, as appropriate,
within 15 days after the filing of nominating pe­titions or the
certification of nomination, whichever is applicable, or, in the case of
a supreme court justice candidate, within 15 days after notifying the
Secretary of State of an intention to place the candidate\'s name on the
retention ballot \[59\].

**E. Reports of Contributions and Expenditures by State Officeholders.**
A person elected or appointed to state office is required to file
annually with the Secretary of State a detailed statement of valuable
considerations received, obli­gated, or paid. The statements are to be
made and filed as prescribed for candi­dates for state office and are due
by February 1st of each calendar year \[60\].

**V. OFFENSES AND PENALTIES**

**A. Criminal Penalties.** It is a class 2 misdemeanor to violate the
provisions of the state campaign finance law, specifically (1) the
\$3,000 limitation on an­nual contributions to a political party, (2) the
limitation on contributions by a corporation or association, (3) the
requirement for a candidate or committee to list contributed voluntary
work and ordinary and usual campaign expenses on a statement of
contributions and expenditures, (4) the requirement for a can­didate,
committee, or person to file a statement of contributions and
expen­ditures, (5) the requirement for a candidate or committee to file a
supplemental statement for a large pre‑election contribution, (6) the
requirement for a can­didate to file a statement of financial interest,
or (7) the prohibition of the sale or use of campaign finance statements
and reports filed with the Secretary of State for the purpose of
soliciting contributions \[61\].

A person who makes a false statement in a sworn statement required by
the state campaign finance law is guilty of perjury \[62\].

**B. Election‑Related Penalties.** A person nominated or elected to any
of­fice who is proved in a contest of the election or in any other manner
provided by law to have violated any provision of the state campaign
finance law, except a provision punishable as a petty offense or class 2
misdemeanor, must forfeit the office, be removed from the ballot, or not
be certified for election \[63\].

**VI. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is the designated
filing officer to receive (1) statements of contributions and
expenditures and supplemental statements of large pre‑election
contributions from state office candidates and their committees,
political action committees, and political party committees, (2)
statements of contributions and expenditures from ballot question
committees and persons involved with a statewide ballot question or
constitutional amend­ment, (3) statements of contributions and
expenditures from state executive of­ficeholders, and (4) statements of
financial interest from congressional, state ex­ecutive, and state
legislative office candidates and state supreme court justice and
circuit court judge candidates \[64\]. The Secretary of State is to
prepare after each legislative session a report that summarizes the
reports of receipts and ex­penditures filed by all the legislative
candidates and candidates\' committees \[65\].

**B. County Auditor.** The county auditor is the filing officer for (1)
state­ments of contributions and expenditures filed by county office
candidates and their committees and by persons and political committees
involved with a local ballot question in an election of which the county
auditor has charge and (2) statements of financial interest filed by
designated local office candidates \[66\].

**C. Person in Charge of an Election.** The person in charge of an
election is the filing officer for statements of contributions and
expenditures filed by per­sons and political committees involved with a
local ballot question \[67\].

**D. Attorney General.** It is the duty of the Attorney General to
investigate any expenditures or statements filed under the provisions of
the state campaign finance law and to prosecute any violations \[68\].

**References**

1.  South Dakota Codified Laws Anno­tated (hereafter SDCLA) § 12‑25‑1(5)

2.  SDCLA § 12‑25‑1.1

3.  SDCLA § 12‑25‑1(6)

4.  Secretary of State, South Dakota Campaign Finance Reporting
    Guide­lines (2000) (hereafter Reporting Guidelines) 5

5.  Opinions of the South Dakota Attor­ney General 80‑3 (January 10,
    1980)

6.  SDCLA § 12‑25‑1.2

7.  SDCLA § 12‑25‑2

8.  SDCLA § 12‑25‑2

9.  SDCLA § 12‑25‑12.1

10. SDCLA § 12‑25‑2

11. SDCLA § 12‑25‑12.1

12. SDCLA § 12‑25‑12

13. SDCLA, Appendix to Chapter 16‑2, South Dakota Code of Judicial
    Con­duct (hereafter Code of Judicial Con­duct), Canon 5, \"Application
    of the Code of Judicial Conduct\"

14. Code of Judicial Conduct, Canon 5, \"Application of the Code of
    Judicial Conduct\"

15. Code of Judicial Conduct, Canon 5

16. Code of Judicial Conduct, Canon 5

17. Code of Judicial Conduct, Canon 5

18. Code of Judicial Conduct, \"Terminol­ogy\"

19. SDCLA § 12‑25‑34

20. SDCLA § 12‑25‑1(7)

21. SDCLA § 12‑25‑12

22. Code of Judicial Conduct, Canon 5

23. SDCLA §§ 12‑25‑6.1; 12‑25‑13; 12‑25‑13.3

24. SDCLA §§ 8‑3‑21; 12‑1‑2.1; 12‑25‑6.1

25. SDCLA §§ 12‑25‑13; 12‑25‑13.3

26. SDCLA §§ 12‑25‑14; 12‑25‑18

27. Reporting Guidelines 5

28. SDCLA § 12‑25‑13.4

29. SDCLA § 12‑25‑1(2), (3)

30. SDCLA § 12‑25‑1(3)

31. SDCLA § 12‑25‑1(2)

32. SDCLA § 12‑25‑1(4)

33. SDCLA § 12‑25‑1(8)

34. SDCLA § 12‑25‑1(9)

35. SDCLA § 12‑25‑13

36. SDCLA § 12‑25‑1(11)

37. SDCLA § 12‑25‑13.3

38. SDCLA § 12‑25‑13.3

39. SDCLA § 12‑25‑6.2

40. SDCLA § 12‑25‑6.2

41. SDCLA § 12‑25‑13; Reporting Guide­lines 3, 7

42. Reporting Guidelines 7

43. Reporting Guidelines 7

44. SDCLA § 12‑25‑13

45. SDCLA § 12‑25‑13; Reporting Guide­lines 3

46. SDCLA §§ 12‑25‑13; 12‑25‑13.3

47. SDCLA §§ 12‑25‑19.1; 12‑25‑19.2

48. Reporting Guidelines 5

49. SDCLA § 12‑25‑18

50. SDCLA § 12‑25‑13.4

51. SDCLA § 12‑25‑1(9)

52. SDCLA § 12‑25‑19.1

53. SDCLA § 12‑25‑19.1

54. SDCLA § 12‑25‑19.2

55. SDCLA § 12‑25‑19.2

56. SDCLA § 12‑25‑19.2

57. SDCLA § 12‑1‑3(11)

58. SDCLA § 12‑25‑13.1; Reporting Guidelines 3‑4

59. SDCLA §§ 12‑25‑28‑‑12‑25‑30

60. SDCLA §§ 12‑25‑1(7); 12‑25‑13.5

61. SDCLA §§ 12‑25‑1.2; 12‑25‑2; 12‑25‑6.2; 12‑25‑12; 12‑25‑13.1;
    12‑25‑13.3; 12‑25‑19.1; 12‑25‑19.2; 12‑25‑28‑‑12‑25‑30; 12‑25‑34

62. SDCLA § 12‑25‑22

63. SDCLA § 12‑25‑26

64. SDCLA §§ 12‑25‑13; 12‑25‑13.1; 12‑25‑13.3; 12‑25‑13.5; 12‑25‑19.1;
    12‑25‑28; 12‑25‑29

65. SDCLA § 12‑25‑19.3

66. SDCLA §§ 12‑25‑13.3; 12‑25‑19.2; 12‑25‑30

67. SDCLA §§ 12‑1‑3(7); 12‑25‑19.2

68. SDCLA § 12‑25‑24

**CAMPAIGN FINANCE LAW**

**IN TENNESSEE**

**I. INTRODUCTION**

Tennessee requires candidates and political campaign committees in an
elec­tion to file pre‑election and post‑election statements of
contributions and expen­ditures; however, detailed statements are not
required if neither contributions nor expenditures exceed \$1,000 during
a reporting period. A large contribution, loan, or transfer of funds
(\$5,000 if it concerns a state office candidate; \$2,500 if it concerns
a local office candidate) received and accepted by a candidate or
po­litical campaign committee within 10 days of an election must be
reported with­in 72 hours. A corporation is not permitted to use its
funds to elect or defeat a candidate or to contribute to a political
party campaign fund.

Persons, excluding candidates and multicandidate political campaign
commit­tees, may make aggregate contributions per election of not more
than \$2,500 for a statewide office candidate and \$1,000 for a
candidate for other office. Multi­candidate political campaign committees
may contribute in the aggregate per election not more \$7,500 to a
statewide office or state senate candidate and \$5,000 to a candidate
for other office. A candidate may make contributions in the aggregate
per election to the candidate\'s own campaign using personal funds of
not more than \$250,000 for a statewide office, \$40,000 for the state
senate, and \$20,000 for other office. A candidate for statewide office
may accept in the aggregate from non‑party multicandidate political
campaign committees no more than 50% of the candidate\'s total
contributions, and a candidate for any other office may accept in the
aggregate no more than \$75,000 from such committees. All contributions
made by all political campaign committees controlled by a po­litical
party or party caucus may not in the aggregate exceed \$250,000 per
elec­tion for a statewide office candidate, \$40,000 per election for a
state senate can­didate, or \$20,000 per election for any other candidate
for office.

The Registry of Election Finance administers the Campaign Financial
Disclosure Act of 1980, the Campaign Contribution Limits Act of 1995,
and the Gubernatorial Inauguration Finance Disclosure Act.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution is any advance,
con­veyance, deposit, distribution, transfer of funds, loan, loan
guaranty, personal funds of a candidate, payment, gift, pledge, or
subscription of money or like thing of value and any contract,
agreement, promise, or other obligation, wheth­er or not legally
enforceable, made for the purpose of influencing a measure or the
nomination for election or election of any person for public office or
for the purpose of defraying any expenses of an officeholder incurred in
connection with the performance of the officeholder\'s duties,
responsibilities, or constituent services \[1\].

The term \"contribution\" does *not* include:

\(1\) Services including expenses provided without compensation by a
can­didate or individual volunteering a portion of all of his or her time
on behalf of a candidate or campaign committee.

\(2\) Any news story, commentary, or editorial distributed through the
facilities of any broadcasting station, newspaper, magazine, or other
periodic publication, unless the facilities are owned wholly or in part
or controlled by any political party, political committee, or candidate.

\(3\) Nonpartisan activity designed to encourage individuals to register
to vote or to vote.

\(4\) Any written, oral, or electronically transmitted communication by
any membership organization or corporation to its members or
stockholders, if the membership organization or corporation is not
organized primarily for the pur­pose of influencing the nomination for
election or election of any person to pub­lic office.

\(5\) The use of real or personal property and the cost of invitations,
food, and beverages not exceeding \$100 that are voluntarily provided on
an individual\'s residential premises for candidate‑related activities.

\(6\) For a county executive committee that has annual receipts and
expen­ditures of less than \$10,000, receipts and expenditures, including
a reasonable amount for rent, when performing the duties imposed upon it
by law, if the re­ceipts and expenditures are segregated from and
maintained in a fund separate and apart from any funds used by the party
as a political campaign committee \[2\].

**B**. Corporation Contributions and Expenditures. It is unlawful for
the executive officers or other representatives of any corporation doing
business in the state to use any of the funds, moneys, or credits of the
corporation for the purpose of aiding, either in the election or defeat
in any primary or final elec­tion, of any candidate for national, state,
county, or municipal office or in any way contributing to the campaign
fund of any political party for any purpose whatsoever \[3\].

The prohibition on corporate campaign funding does not apply to a
contribu­tion made by a national committee of a political party (as
defined in 2 U.S.C. § 431(14) and (16)) that has incorporated in
accordance with 11 C.F.R. § 114.12(a) when the national committee
contributes to a state political party ex­ecutive committee as long as
the funds contributed do not contain any corporate contributions to the
national committee \[4\].

**C. Solicitation of Contributions by or From a State Public Officer or
Employee.** Under the \"Little Hatch Act,\" it is unlawful for any
public officer or employee knowingly to solicit directly or indirectly
for political purposes or campaign expense any contribution of money,
thing of value, facilities, or servic­es of any person who has received
contracts, compensation, employment, loans, grants, or benefits or any
person whose organization, agency, or firm has re­ceived such benefits
financed by state, federal, or local public funds \[5\].

It is also unlawful to knowingly solicit, accept, or collect directly or
indirectly any contribution from a public officer or employee if the
solicitor or his or her principal is directly or indirectly in a
supervisory capacity over the officer or employee or is otherwise able
to control the retention, promotion, demotion, or terms or conditions of
employment of the officer or employee. The solicitation restrictions of
the \"Little Hatch Act\" are not to be construed to prevent volun­tary
contributions from political action committees and associations of
public of­ficers and/or employees \[6\].

A \"public officer or employee\" includes all employees of the executive
branch of state government and all appointed officers and employees of
educational in­stitutions, establishments, corporations, and agencies
supported principally by state funds, but does not include popularly
elected officials, officials elected by the general assembly, qualified
candidates for public office, teachers, and mem­bers of the governor\'s
cabinet and staff \[7\].

**D. Solicitation of Contributions by a State Career Service Employee.**
No person holding a position in the state career service may solicit or
be in any manner concerned with soliciting subscriptions or
contributions for any political party or political purpose \[8\].

**E. Solicitation of Contributions by Sheriff\'s Department Personnel in
a County Subject to the County Sheriff\'s Civil Service Law.** An
employee of a sheriff\'s department in a county that is subject to the
\"County Sheriff\'s Civil Service Law of 1974\" may not under any
circumstances solicit money for politi­cal campaigns, and if this
prohibition on solicitation of contributions is violated, the employee
must be dismissed \[9\].

**F. Contributions by and Solicitation of an Insurance Company.** No
of­ficer, trustee, director, stockholder, attorney, agent, or
representative of any in­surance company or association, including a
fraternal beneficiary association, do­ing business in the state may,
directly or indirectly, pay, use, or offer, consent, or agree to pay or
use any of the funds of the company or association nor may any person
solicit or knowingly receive any money or property of an insurance
com­pany or association to be used (1) for or in aid of any political
party, committee, or organization, (2) for or in aid of any corporation,
joint stock, or other associa­tion organized or maintained for political
purposes, (3) for or in aid of any can­didate for political office or for
nomination for such office, (4) for any political purpose whatsoever, or
(5) for the reimbursement or indemnification of any person for money or
property so used \[10\].

**G. Identification of the Payer of a Public Solicitation.** Whenever
any person makes an expenditure for the purpose of financing a
communication that solicits any contribution through any broadcasting
station, newspaper, magazine, outdoor advertising facility, poster, yard
sign, direct mailing, or any other form of general public political
advertising, a disclaimer meeting the statutory re­quirements must appear
and be presented in a clear and conspicuous manner to give the reader,
observer, or listener adequate notice of the identity of the per­sons who
paid for and, where required, who authorized the communication \[11\].

**H. Solicitation, Making, and Use of Contributions by or for a Judge or
Judicial Candidate.** Judges and candidates for election to judicial
office may not solicit funds for or pay an assessment to a political
organization or political candidate or make a contribution to a
political candidate except as expressly permitted by the code. The code
provides that, except as prohibited by law, a judge or candidate subject
to election may contribute at any time to a political organization or a
political candidate in an amount up to the limitations provided in the
Campaign Contribution Limits Act of 1995 ( Tenn. Code Anno. §§ 2-10-301
*et seq.*) \[12\].

Candidates for judicial office must comply with all requirements of
state law with regard to campaign finances, including but not limited to
all statutes relating to financial disclosure and campaign contribution
limits \[13\].

A candidate may not personally solicit or accept campaign contributions;
how­ever, a candidate may personally solicit publicly stated support and
establish committees of responsible persons to conduct campaigns for the
candidate through media advertisements, brochures, mailings, candidate
forums, and other means not prohibited by law. A judicial candidate\'s
committees may solicit and accept campaign contributions (including
contributions from lawyers), manage the expenditure of funds for the
candidate\'s campaign, and obtain public state­ments of support for his
or her candidacy. A candidate\'s committees may solicit contributions
for the candidate\'s campaign no earlier than 180 days before an
election and no later than 90 days after the last election in which the
candidates participates during the election year \[14\].

A candidate may not use or permit the use of campaign contributions for
the private benefit of the candidate or others \[15\].

A candidate for judicial office must prohibit employees and officials
who serve at the pleasure of the candidate and must discourage other
employees and officials subject to the candidate\'s direction and
control from doing on the can­didate\'s behalf what the candidate is
prohibited from doing under the code of judicial conduct. Except to the
extent expressly permitted by the code, a can­didate for judicial office
may not authorize or knowingly permit any other per­son to do for the
candidate what the candidate is prohibited from doing under the code
\[16\].

A \"candidate for judicial office\" is a person seeking selection for or
retention in judicial office by election. A person becomes a candidate
for judicial office as soon as he or she makes a public announcement of
candidacy, declares or files as a candidate with the election or
appointment authority, or authorizes solicita­tion or acceptance of
contributions or support \[17\]. The term \"election\" includes primary
and general elections and partisan, nonpartisan, and retention elections
\[18\].

**I. Acceptance of Contributions by a Member of or a Candidate for the
Public Service Commission.** While any contested case is pending before
the public service commission or is on appeal, a public service
commissioner or can­didate for public service commissioner may not
knowingly accept a contribution for a campaign for election or
reelection to the office of public service commis­sioner from any
employee, owner, major stockholder, or officer of a company or business
entity regulated by the commission that is a party to the contested case
or from a committee that obtains more than 50% of its funds from a
regulated individual or regulated industry that is a party to the
contested case \[19\].

**J. Limitations on Maximum Aggregate Contributions.** The Campaign
Contribution Limits Act of 1995 sets the following limits on aggregate
contribu­tions with respect to any election:

\(1\) No person may make contributions to any candidate that exceed
\$2,500 for an office elected by statewide election or \$1,000 for any
other state or local public office.

\(2\) No multicandidate political campaign committee may make
contributions to any candidate that exceed \$7,500 for an office elected
by statewide election or the state senate or \$5,000 for any other state
or local public office.

\(3\) No candidate may make contributions to the candidate\'s own
election us­ing personal funds that exceed \$250,000 for an office
elected by statewide elec­tion, \$40,000 for the state senate, and
\$20,000 for any other state or local public office \[20\].

With respect to contributions from multicandidate political campaign
commit­tees for each election, no candidate for an office elected by
statewide election may accept in the aggregate more than 50% of the
candidate\'s total contribu­tions from such committees, and no candidate
for any other state or local public office may accept in the aggregate
more than \$75,000 from such committees. Contributions made to a
candidate by a committee controlled by a political par­ty on the
national, state, or local level or by a caucus of such party established
by members of either house of the general assembly are not included in
the de­termination of the aggregate limits on total contributions by
multicandidate po­litical campaign committees \[21\].

The following contributions or expenditures are considered to be
contributions made to a candidate:

\(1\) Contributions made to any political campaign committee authorized
by the candidate to accept contributions on the candidate\'s behalf.

\(2\) Contributions made by a person, either directly or indirectly, on
behalf of the candidate, including contributions that are in any way
earmarked or other­wise directed through an intermediary or conduit to
such candidate.

\(3\) Expenditures made by any person in cooperation, consultation, or
concert with or at the request or suggestion of the candidate, the
candidate\'s political campaign committees, or their agents \[22\].

Contributions made by a political campaign committee authorized by a
can­didate to make expenditures on the candidate\'s behalf are considered
contribu­tions made by the candidate. All contributions made by
affiliated political campaign committees are consid­ered to have been
made by a single committee \[23\].

The contribution limits do not apply to any loan of money by a financial
insti­tution that (1) is made in accordance with applicable law and in
the ordinary course of business, (2) is made on a basis reasonably
designed to assure repay­ment, evidenced by a written instrument, and
subject to a payment due date or amortization schedule, and (3) bears
the usual and customary interest rate of the lending institution \[24\].

An endorsement or guaranty of such a loan is considered to be a
contribution in the amount of the endorsement or guaranty and is subject
to the limits on contributions. If the written instrument does not
specify the portion of the loan for which the endorser or guarantor is
liable, each endorser or guarantor is con­sidered to have made a
contribution in that proportion of the unpaid balance that each endorser
or guarantor bears to the total number of endorsers or guar­antors
\[25\].

The contribution limits do not apply to (1) the retention of unspent
funds by a candidate, (2) the transfer of unspent funds to a candidate
to a campaign fund of the same candidate for election to a different
state or local public office, or the transfer of unspent funds by a
candidate for election to a federal office to a campaign fund of the
same candidate for election to a state or local public office \[26\].

All contributions made by political campaign committees controlled by a
polit­ical party on the national, state, or local level or by a caucus of
such political party established by members of either house of the
general assembly are con­sidered to have been made by a single committee
and may not in the aggregate exceed \$250,000 per election to any
candidate in a statewide election, \$40,000 per election to any
candidate for the state senate, or \$20,000 per election to any
candidate for any other state or local public office \[27\].

For the purpose of the contribution limits applicable to political party
political campaign committees, \"contribution\" does not include:

\(1\) Payment of the costs of preparation, display or mailing or other
distribu­tion with respect to printed slate cards, sample ballots, or
other printed listings of three or more candidates who are opposed for
election; however, this exemp­tion does not apply to costs incurred with
respect to the preparation and display of listings made on broadcasting
stations or in newspapers, magazines, and simi­lar types of general
public political advertising such as billboards.

\(2\) Payment of the costs of voter registration and get‑out‑the‑vote
activities conducted by party committees unless the payments are made on
behalf of a clearly identified candidate and the payment can be directly
attributed to that candidate.

\(3\) Expenditures for rent, personnel, overhead, general
administrative, fun­draising, and other day‑to‑day costs of party
committees unless the expenditures are made on behalf of a clearly
identified candidate and the expenditure can be directly attributed to
that candidate.

\(4\) Expenditures for education campaign seminars and for training of
cam­paign workers unless the expenditures are made on behalf of a clearly
identified candidate and the expenditure can be directly attributed to
that candidate \[28\].

A "person" is an individual, partnership, committee, association,
corporation, labor organization, or any other organization or group of
persons \[29\].

**K. Prohibition of Fundraisers During a Legislative Session.** A
fundrais­er may not be conducted and contributions may not be solicited
or accepted for the benefit of the caucus, a caucus member, or a
candidate for the general as­sembly or governor from the convening of the
general assembly in organizational session through the earlier of the
last day of regular session or June 1 in odd years and from the
convening of the general assembly in regular session to the earlier of
May 15 or the conclusion of the annual session in even years by either
(1) a member of the general assembly or a mem­ber\'s campaign committee
or (2) a political campaign committee controlled by a political party on
the national, state, or local level or by a caucus of such political
party established by members of either house of the general as­sembly
that makes contributions to a candidate for the general assembly or
gov­ernor for election or to defray the expenses of such person\'s office
\[30\].

**L. Contributions by Multicandidate Political Campaign Committees
Within 10 Days of an Election.** No multicandidate political campaign
com­mittee, other than a committee controlled by a political party on the
national, state, or local level or by a caucus of such political party
established by mem­bers of either house of the general assembly, may make
a contribution to any candidate in a period from 10 days before an
election until the day of the elec­tion \[31\].

**M. Contributions by Lobbyists and Employers of Lobbyists During a
Legislative Session.** Lobbyists, employers of lobbyists, and
multicandidate po­litical campaign committees controlled by a lobbyist or
employer of a lobbyist may not make a contribution to a candidate for
the office of governor, member of the general assembly, or member of the
public service commission during the time that the general assembly is
in a regular annual legislative session \[32\].

**N. Contributions and Transfers for the Gubernatorial Inauguration
Expense Fund.** Contributions for a gubernatorial inauguration may not
exceed in the aggregate the following amounts from the designated
contributors:

\(1\) A person: \$2,500.

\(2\) A multicandidate political campaign committee: \$7,500.

\(3\) A corporation or executive officers or other representatives of a
corporation doing business within Tennessee: \$7,500 \[33\].

The governor-elect may transfer funds from his or her campaign fund to
the gubernatorial inauguration expense fund \[34\].

**O. Transfers From Candidate's Federal Campaign Committee or Account.**
Transfer of funds or assets from a candidate's campaign committee or
account for a federal election to a political campaign committee of or
for such candidate for public office in Tennessee is prohibited \[35\].

**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 a measure or the
nomination for election or elec­tion of any person to public office. The
term includes the use of campaign funds by an officeholder for the
furtherance of the office of the officeholder \[36\].

**B. Specific Authorized Expenditures.** A candidate in any political
conven­tion or primary or final election or any person may employ and
maintain a proper clerical or office force employed and maintained in
good faith. A politi­cal party, candidate, nominee, or organization may
disseminate literature, defray the expense of public speakers, and
announce any candidacy in any newspaper. Conveyances may be hired for
voters who may be sick or otherwise unable to go to the polls \[37\].

**C. Use of Campaign Funds by Candidate for Non‑Political Purposes.** A
candidate for public office may not use any campaign funds, except as
specifi­cally authorized for the allocation of unspent contributions
\[*see* Section V.B, *in­fra*\], prior to, during, or after an election
for the candidate\'s own personal finan­cial benefit or any other
non‑political purpose as defined by the federal internal revenue code
\[38\].

**IV. REPORTING REQUIREMENTS**

**A. General Provisions of Campaign Financial Disclosure Act.** The
Campaign Financial Disclosure Act of 1980 does not apply to any
candidate for public office for which the service is part‑time and the
compensation is less than \$500 per month other than a candidate for a
public office as a chief administra­tive officer or a candidate whose
expenditures exceed \$1,000 \[39\]. The municipality of Knoxville is
authorized to enact more stringent financial disclosure requirements for
candidates for municipal local public office than are imposed by the
Campaign Financial Disclosure Act \[40\].

All statements required by the Act must be sworn to or affirmed before a
no­tary public or some other person authorized by law to administer oaths
as being true and correct by the person filing the statements \[41\]. A
document is consid­ered to be \"filed\" (1) on the date actually
deposited with or received by the ap­propriate filing office or (2) on
the date of the postmark if it is postmarked and sent by registered or
certified mail of the U.S. postal service \[42\]. Notwithstanding any
provision of law, rule, or regulation to the contrary, if any report is
required to be filed in December under the provisions of the Cam­paign
Financial Disclosure Act, the date of the reporting period for the
report ends on December 31st, and the report must be filed not later
than January 31st of the following year \[43\].

A \"candidate\" is an individual who (1) has made a formal announcement
of his or her candidacy for state or local public office, (2) has
qualified to seek nomi­nation for election to state or local public
office, (3) has received contributions or made expenditures, except for
incidental expenditures to determine if one will be a candidate for
state or local office, or (4) has given consent for a campaign committee
to receive contributions or make expenditures with a view to bring­ing
about his or her nomination for election or election to state public
office \[44\].

A \"state public office\" is the office of governor, member of the
general assembly, delegate to a state constitutional convention,
district attorney general, district public defender, judge of the court
of criminal appeals, judge of the court of appeals, and supreme court
justice \[45\].

A \"local public office\" is any state, county, municipal, school, or
other district or precinct office or position, including judge and
chancellor, that is filled by the voters, but does not include any
office that is a \"state public office\" \[46\].

A \"political campaign committee\" is:

\(1\) A combination of two or more individuals, including any state or
local po­litical party governing body, making expenditures not considered
to be a contri­bution to support or oppose any candidate for public
office or measure, but does not include a voter registration program.

\(2\) Any corporation or other organization making expenditures not
consid­ered to be a contribution to support or oppose a measure.

\(3\) Any committee, club, association, or other group of persons that
receives contributions or makes expenditures to support or oppose any
candidate for public office or measure during a calendar quarter in an
aggregate amount ex­ceeding \$250 \[47\].

A \"multicandidate political campaign committee\" is a political
campaign com­mittee to support or oppose two or more candidates for
public office or two or more measures \[48\].

A \"measure\" is any proposal submitted to the people of the entire
state or of any political subdivision of the state for their approval or
rejection at an elec­tion, including any proposed law, act, or part of an
act of the general assembly or revision of or amendment to the state
constitution \[49\].

**B. Certification of a Political Treasurer by a Candidate, Political
Campaign Committee, or State Officeholder.** Each candidate for state or
local public office and political campaign committee must certify the
name and address of the candidate\'s or committee\'s political treasurer
to the Registry of Election Finance (state office or election), county
election commission (local of­fice or election), or both (office of
general assembly member) before the can­didate or committee may receive a
contribution or make an expenditure in a state or local election \[50\].

An appointment of a political treasurer may be cumulative, and one such
ap­pointment is sufficient for both a primary and general election for
the same of­fice in the same year. A successful primary candidate is not
required to certify a political treasurer for the general election if he
or she has previously certified a political treasurer prior to the
primary election \[51\]. A candidate may appoint himself or herself as
the political treasurer. A candidate or political campaign committee
must notify the Registry of Election Finance or county election
com­mission of any changes in its political treasurer \[52\].

A public officeholder must also certify the name and address of the
officehol­der\'s political treasurer to the Registry of Election Finance
(state public office­holder) or the appropriate county election
commission (local public officehold­er) before the officeholder or the
officeholder\'s political committee may accept a contribution to defray
the expenses incurred in connection with the perfor­mance of the
officeholder\'s duties or responsibilities \[53\].

**C. Statements of Contributions and Expenditures.** Each candidate for
state or local public office and political campaign committee in a
primary, gen­eral, special, or run‑off election and must file with the
appropriate filing officer peri­odic statements of contributions received
and expenditures made by or on be­half of the candidate or committee
\[54\]. Any state or local political party or caucus of such political
party established by members of either house of the general assembly
that controls or operates one or more political campaign committees must
report all receipts and disbursements by the party \[55\]. Separate
reporting is required for both a primary and a general election \[56\].

A statement of contributions and expenditures must consist of either (1)
a statement that neither the contributions received nor the expenditures
made dur­ing the period for which the statement is submitted exceeded
\$1,000 or (2) a statement setting forth the contributions received,
in‑kind contributions received, and expenditures made \[57\]. The
reports are not to be cumulative; each report must reflect the total for
its own reporting period \[58\].

The statement setting forth contributions and expenditures must include:

\(1\) Under \"contributions,\" a list of all the contributions received,
other than in‑kind contributions, including the full name and complete
address of each per­son who contributed a total amount of more than \$100
during the period for which the statement is submitted, the amount
contributed by that person, and (for candidate reporting only) the date
of receipt of each contribution. The total amount of contributions of
\$100 or less are to be listed as a single item.

\(2\) Under \"in‑kind contributions,\" a list of in‑kind contributions
of more than \$100 during the period for which the statement is
submitted, including for each listed in‑kind contribution the name and
address of each person who contributed it, (for candidate reporting
only) the date of receipt of each in‑kind contribution, and (for
political campaign committee reporting only) the date of each
expendi­ture that is an in‑kind contribution to a candidate. In‑kind
contributions of \$100 or less may be listed as a single item.

\(3\) Under \"expenditures,\" a list of all expenditures made, including
the full name and address of each person to whom a total amount of more
than \$100 was paid during the period for which the statement is
submitted, the total amount paid to that person, the purpose of the
expenditure, and (for political campaign committee reporting only) the
date of each expenditure that is a con­tribution to a candidate. The
total amount of expenditures of \$100 or less are to be listed by
category without showing the exact amount of or vouching for each such
expenditure. Payments to a person as reimbursement for expenditures made
by the person on behalf of the candidate or committee are to be
disclosed as payments to the person who provided the item or service to
the candidate or committee.

\(4\) A list of any unexpended balance, any deficit, and any continuing
finan­cial obligations of the candidate, campaign, or committee \[59\].

An \"in‑kind contribution\" is a contribution for which no monetary
considera­tion is paid or promised. An in‑kind contribution is deemed to
be made and is reportable in the period when the contribution is made or
performed and not when the cost is billed or paid. The actual cost of an
in‑kind contribution, if known, is reported in the period when it is
made or performed; if the actual cost is not known, an estimate of the
cost is reported in the period the contribution is made or performed,
and the statement is to indicate that the amount reported is estimated.
If the actual cost, as indicated on the bill, is different from the
amount reported, the reported amount must be amended or adjusted on a
later statement covering the period in which payment of the cost of the
contribution is made \[60\].

When any candidate or political campaign committee desires to close out
a campaign account, it may file a statement to that effect at any time;
however, the statement must show on its face no unexpended balance,
continuing debts or obligations, or deficit \[61\].

Each candidate, single‑candidate political campaign committee, and
single‑measure political campaign committee files statements as follows:

\(1\) For any primary election or referendum, the statement must be
filed not later than 7 days before the election and cover the period
from and including the day that the first contribution was received or
the first expenditure made, whichever was earlier, through the 10th day
before the election or referendum. Each independent candidate for a
state or local public office that has a primary election must file all
primary reports even though the candidate is not included on the ballot
in the primary election.

\(2\) For any special or general election or referendum, the statement
must be filed not later than 7 days before the election and cover the
period from and in­cluding the day that the first contribution was
received or the first expenditure made, whichever was earlier, or from
the last day included in any prior report, whichever is later, through
the 10th day before the election or referendum.

\(3\) For any run‑off election, the statement must be filed not later
than 7 days before the election and cover the period from the last day
included in any prior report through the 10th day before the election.

\(4\) For all elections and referenda, a statement must be filed not
later than 48 days after the election or referendum and cover the period
from the last day of the prior report through the 45th day after the
election or referendum. This post‑election statement is the final
statement if no subsequent report is required or the statement has a
zero balance of contributions and expenditures \[62\].

Any candidate or political campaign committee that files a statement
certify­ing its political treasurer more than one year before the
election in which the candidate or committee expects to be involved is
required to file statements of contributions and expenditures on the
February 1st immediately after the filing the political treasurer
certification and annually thereafter through the year of the election;
however, no pre‑election annual report need be made if the report­ing
date is within 60 days of a statement of contributions and expenditures
otherwise required \[63\].

A state or local political party or caucus of such political party
established by members of either house of the general assembly that
controls or operates one or more political campaign committees must
report in the same manner and at the same time that it reports
contributions and expenditures by the party's political campaign
committee \[64\].

Each multicandidate political campaign committee must file reports
quarterly within 10 days following the first day of January, April,
July, and October. Each report must include transactions occurring since
the preceding report \[65\].

Each candidate for state public office and each political campaign
committee in a state election files with the Registry of Election
Finance; however, a can­didate for member of the general assembly and
each political campaign commit­tee for such candidate must also file a
copy of the statement with the county election commission in the county
where the candidate is a resident. Each can­didate for local public
office and each political campaign committee for a local election files
with each county election commission in a county where the elec­tion is
held \[66\].

**D. Reporting of Large Pre‑Election Contributions, Loans, or Transfers
of Funds**. During the period beginning at midnight of the 10th day
prior to a primary, general, runoff, or special election or a referendum
and extending through midnight of election or referendum day, each
candidate or political campaign committee is required to file a report
concerning a contribution, loan, or transfer of funds received and
accepted by the candidate or committee during the reporting period in
excess of the following amounts: (1) a committee partic­ipating in the
election of a candidate for any state public office‑‑\$5,000 or (2) a
committee participating in the election of a candidate for any local
public office‑‑\$2,500. If a committee is participating in the election
of candidates for offices with different reporting threshold amounts,
the amount that triggers re­porting is the lowest for any candidate in
whose election the committee is partic­ipating or in which any committee
is participating to which it makes or from which its receives a transfer
of funds \[67\].

The report must contain (1) the full name and address of each person
from whom the candidate or committee has received and accepted a
contribution, loan, or transfer of funds in excess of the threshold
amount and the date of the receipt of each contribution in excess of the
threshold amount, (2) the amount and date of each contribution or loan
reported, and (3) a brief description and valuation of each in‑kind
contribution. If a loan is reported, the report must also provide (1)
the name and address of the lender, (2) the name and address of the
recipient of the proceeds of the loan, and (3) the name and address of
any per­son who makes any type of security agreement binding himself or
herself or his or her property, directly or indirectly, for the
repayment of all or any part of the loan \[68\].

The report must be filed by telegram, facsimile machine, hand delivery,
or overnight mail delivery with the same filing office with which
statements of con­tributions and expenditures are filed within 72 hours
after the time the contribu­tion, loan, or transfer is received. If that
time falls other than during regular working hours, the report is to be
filed after the opening of the filing office on the next working day
after the time when the report is otherwise due \[69\].

**E. Reporting of Contributions by Conduits or Intermediaries.** An
in­termediary or conduit must report the original source and intended
recipient of any contribution that is in any way earmarked or otherwise
directed through the intermediary or conduit to the recipient candidate
\[70\].

**F. Candidate Disclosure of Financial Interests.** Candidates and
appoin­tees to enumerated state executive, legislative, and judicial
offices and all city or county offices must file a disclosure statement
with the Registry of Election Finance or county election commission, as
appropriate, not later than 30 days fol­lowing the last day for
qualifying as a candidate or 30 days after the date of ap­pointment
\[71\]. The statement must disclose major sources of income, large
loans, and other significant interests of the filer and his or her
family \[72\].

**G. Annual Report of a Registered Lobbyist.** A registered lobbyist is
re­quired annually to file a sworn report concerning lobbying activities.
The report covers the period through June 30th or through the day
following the end of the regular annual session of the general assembly,
whichever is later, and must be filed with the Registry of Election
Finance not later than 30 days after the end of the period covered
\[73\].

The report of lobbying activities must include, in addition to other
informa­tion, an itemized list by date, beneficiary, amount, and
circumstance of the transaction of each political contribution of more
than \$100 made by the lobby­ist or anyone acting at the specific
direction of the lobbyist to benefit a can­didate for public office, an
official in the executive or legislative branch of state government, a
member of the candidate\'s or official\'s staff or immediate family, or
a campaign committee or testimonial committee established for the
benefit of the candidate or official \[74\].

**H. Gubernatorial Inauguration Fund Financial Disclosure Statements.**
A governor-elect is required to establish a gubernatorial inauguration
expense fund not later than 30 days after being elected as governor to
finance any event held for the purpose of celebrating the governor's
inauguration \[75\]. The governor-elect must file with the Registry of
Election Finance financial disclosure statements of all contributions
received and all expenditures made on behalf of the gubernatorial
inauguration fund. The statement must consist of either (1) a statement
that neither the contributions received nor the expenditures made during
the period for which the statement is submitted exceed \$1,000 or (2) a
statement listing the contributions received and expenditures made with
the required specificity as to amount and source or recipient. Each
statement must be filed no later than 10 days before the governor's
inauguration for contributions made up until 30 days before any
inauguration event and no later than 30 days after the inauguration for
all other contributions. If the governor donates any remaining unused
funds, a statement disclosing who received the funds and the amount of
the donation must be filed \[76\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Supplemental Annual Statements of Contributions and Expen­ditures.**
If the final statement of a candidate shows an unexpended balance of
contributions, continuing debts and obligations, or an expenditure
deficit, the campaign treasurer is required to file with the Registry of
Election Finance or the county election commission, as appropriate, a
supplemental annual statement of contributions and expenditures.
Beginning after filing the post‑election state­ment of contributions and
expenditures due 48 days after the election, subse­quent supplemental
statements are to be filed on an annual basis by candidates until the
account shows no unexpended balance, continuing debts and obliga­tions,
or deficit; however, a candidate may close out a campaign account by
transferring any remaining funds to any campaign fund subject to the
require­ments of the Campaign Financial Disclosure Act and commence
annual pre‑election filing \[77\].

A supplemental annual statement must consist of either (1) a statement
that neither the contributions received nor the expenditures made during
the period for which the statement is submitted exceeded \$1,000 or (2)
a statement setting forth the contributions received, in‑kind
contributions received, and expen­ditures made. The statement must also
indicate whether an unexpended balance of contributions, continuing
debts and obligations, or an expenditure deficit ex­ists and list the
balance, obligation, or deficit \[78\].

**B. Disposition of Unspent Contributions.** A candidate for public
office with an unexpended balance of contributions after the election is
required to elect one or a combination of the authorized methods for
allocation of the un­spent funds within 60 days of the election. The
funds may be:

\(1\) Retained or transferred to any campaign fund pursuant to the state
re­porting requirements. Excess funds for election to a local public
office are not eligible for transfer to a campaign account for election
to the general assembly or governor.

\(2\) Returned to any or all of the candidate\'s contributors in
accordance with a formula or plan specified in the candidate\'s
disclosure of the allocation.

\(3\) Distributed to the executive committee of the candidate\'s
political party.

\(4\) Deposited in the volunteer public education trust fund established
under title 49, chapter 3, part 4.

\(5\) Distributed to any organization described in 26 U.S.C. § 170(c).

\(6\) Distributed to an organization that has received a determination
of ex­emption from the U.S. internal revenue service pursuant to 26
U.S.C. § 501(c)(3) or (4) if the organization is currently operating
under such exemption.

\(7\) Used to defray any ordinary and necessary expenses incurred in
connec­tion with the office of the officeholder. The expenses may include
but are not limited to the cost of advertisements, membership fees, and
donations to com­munity causes \[79\].

If the allocation of unspent contributions is made after a required
post‑election report then a report of the allocation must be filed
within 12 calendar days with the same filing officer and with the same
expenditure information as required for a report of contributions and
expenditures \[80\].

Special rules apply to the disposition of an unexpended balance in a
candidate's campaign account upon the death of a candidate for public
office or an incumbent while in office \[81\].

**C. Disposition of Unused Funds in a Gubernatorial Inauguration Fund.**
A governor may dispose of unused funds in a Gubernatorial Inauguration
Fund (1) by holding over the funds for use in a second inauguration if
the governor is reelected or (2) if the governor is in a second term,
chooses not to run for reelection, or is not reelected, by donating the
remaining funds to a 501(c)(3) nonprofit organization \[82\].

**D. Recordkeeping.** All records used by a candidate or political
campaign committee to complete a statement of contributions and
expenditures must be retained for at least one year after the date of
the election to which the records refer \[83\].

**VI. OFFENSES AND PENALTIES**

**A. Civil Penalties**. The Registry of Election Finance may impose a
civil pen­alty for a violation of the Campaign Financial Disclosure Act
and the Campaign Contribution Limits Act of 1995. The county
administrator of elections may impose a civil penalty for a violation of
the Campaign Financial Disclosure Act, but only for class 1 offenses
\[84\]. The treasurer of a multicandidate political campaign committee
is personally liable for any civil penalty levied by the Registry
against the committee \[85\].

**1. Class 1 Offenses**. A class 1 offense is the late filing of any
required re­port or statement and is punishable by a civil penalty of not
more than \$25 per day up to a maximum of \$750 \[86\].

For local public offices, the county administrator of elections must
personally serve upon or send by return‑receipt‑requested mail an
assessment letter to any candidate or committee upon the
administrator\'s discovery that a due report has not been filed. A civil
penalty of \$25 per day begins to accrue 5 days after per­sonal service
or receipt of the letter and continues to accrue until the report is
filed or for 30 days, whichever occurs first. To request a waiver or
reduction or to in any way contest a penalty imposed by a county
administrator of elections, a candidate must file a petition with the
Registry of Election Finance \[87\].

For state public offices, the Registry of Election Finance must
personally serve upon or send by return‑receipt‑requested mail an
assessment letter to any can­didate or committee upon the Registry or its
staff discovering that a due report has not been filed. A civil penalty
of \$25 per day begins to accrue 5 business days after personal service
or receipt of the letter and continues to accrue until the report is
filed or for 30 days, whichever occurs first. To request a waiver or
reduction or to in any way contest a penalty imposed by the staff of the
Registry, a candidate must file a petition with the Registry. The
petition may be consid­ered as a contested case proceeding under the
state uniform administrative pro­cedures act \[88\].

**2. Class 2 Offenses**. A class 2 offense is (1) the failure to file a
report re­quired by the Campaign Financial Disclosure Act within 35 days
after service of process or receipt of notice by registered or certified
mail of an assessment, (2) the use of campaign funds by a candidate,
except as specifically authorized for the allocation of unspent
contributions, prior to, during, or after an election for the
candidate\'s own personal financial benefit or any other non‑political
pur­pose, or (3) any other violation of the Campaign Financial Disclosure
Act. A class 2 offense is punishable by a maximum penalty of not more
than \$10,000 or 15% of the amount in controversy (i.e., as appropriate
to the case, the greater of the total expenditures or total
contributions either or both of which are shown on a late report
subsequently filed or the amount of an expenditure or contribu­tion that
was not reported or was incorrectly reported) if 15% is greater than
\$10,000. For state and local public offices, the Registry of Election
Finance may impose a civil penalty for any class 2 offense. County
administrators of elec­tions are required to notify the Registry of any
class 2 violation of which they have knowledge \[89\].

For a class 2 offense, the Registry of Election Finance is required to
send an as­sessment letter to a candidate or committee in a form
sufficient to advise the candidate or committee of the factual basis of
the violation, the maximum penal­ty, and the date a response to the
letter must be filed. To request a waiver or reduction or to in any way
contest a penalty imposed by the Registry, a candidate or committee must
file a petition with the Registry. The petition may be consid­ered as a
contested case proceeding under the state uniform administrative
pro­cedures act \[90\].

**3. Violations of the Campaign Contribution Limits Act of 1995.** A
candidate or political campaign committee may not accept any
contributions or make any expenditures in violation of the Campaign
Contribution Limits Act of 1995. An officer or employee of a political
campaign committee may not accept a contribution made for the benefit or
use of a candidate or make any expendi­ture on behalf of a candidate in
violation of any limitation imposed on contribu­tions and expenditures by
the Act. In keeping with the federal law, a contribu­tion made or
accepted in excess of the limitations established by the Act is not a
violation if the candidate or the political campaign committee returns
or refunds the contribution to the person who made the contribution
within 60 days of the candidate\'s or committee\'s receipt of the
contribution \[91\].

The Registry of Election Finance may impose a maximum civil penalty for
a violation of the Campaign Contribution Limits Act of 1995 of not more
than the greater of \$10,000 or 115% of the amount of all contributions
made or accepted in excess of the limitations established by the Act. If
a civil penalty lawfully as­sessed against a candidate is not paid within
30 days after the assessment becomes final, the candidate will be
ineligible to qualify for election to any state or local public office
until the penalty is paid \[92\].

**B. Criminal Penalties**. An executive officer, agent, or other
representative of any corporation doing business in the state who
knowingly consents to, ap­proves, or aids in the use of the funds of the
corporation in violation of the pro­hibition against election‑related
contributions and expenditures is guilty of a misdemeanor and upon
conviction must be fined not less than \$500 nor more than \$2,000 and
imprisoned in the county jail or workhouse not less than 2 nor more than
6 months \[93\].

Any person who violates the provisions of the \"Little Hatch Act\"
concerning the solicitation of contributions by or from public officers
or employees is guilty of a misdemeanor \[94\].

A person who violates the law concerning contributions made by or the
solici­tation or receipt of contributions from insurance companies or
associations is guilty of a misdemeanor \[95\]. The license of an
insurance company whose funds have been used in violation of that law is
subject to revocation \[96\].

A responsible party (i.e., the appointed treasurer or, if no treasurer
has been appointed, any person who organizes or directs the fundraising
activities of the committee) of a multicandidate political campaign
committee who has a prior assessment record and intentionally fails to
file a required report within 35 days after service of process or
receipt of notice from the Registry of Election Finance by registered or
certified mail commits a class E felony. A responsible party has a prior
assessment record if during the person\'s service as a responsible party
to one or more multicandidate campaign committees, the committee(s)
violated the Campaign Contribution Limits Act of 1995 or the Campaign
Financial Disclo­sure Act of 1980 on two or more occasions and the
violations resulted in the committee(s) being assessed a penalty by the
Registry \[97\].

**C. Election‑Related Penalties.** A candidate for state or local public
office who fails to file any statement or report required by the
Campaign Financial Disclosure Act is ineligible to qualify for election
to the office until the state­ment or report is filed with the Registry
of Election Finance and/or the appro­priate county election commission
\[98\]. If a civil penalty lawfully assessed by the Registry of Election
Finance or a county administrator of elections and any lawfully assessed
costs attendant thereto are not paid within 30 days after the assessment
becomes final, the candidate owing the civil penalty is ineligible to
qualify for election to any state or local public office until the
penalty and costs are paid \[99\].

**D. Forfeiture of Corporate Charter**. A corporation that violates the
pro­hibition against candidate‑ or political‑party‑related contributions
and expen­ditures by corporations must forfeit its charter and right to
business in the state \[100\].

**E. Sworn Voter Complaint.** A registered voter may file a sworn
complaint alleging that a statement of contributions and expenditures
filed regarding an election for which the voter was qualified to vote
does not conform to law or to the truth or that a person has failed to
file a statement required by law. A sworn complaint on a statement of a
candidate for state public office or a politi­cal campaign committee for
such candidate must be filed in the office of the Registry of Election
Finance. A sworn complaint on a statement of a candidate for local
public office or a political campaign committee for such candidate must
be filed in the office of the district attorney general who represents
the judicial dis­trict in which the voter resides \[101\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Registry of Election Finance.** The Registry of Election Finance is
an in­dependent, 7‑member entity of state government that has the
jurisdiction to ad­minister and enforce the Campaign Financial Disclosure
Act, the Lobbyist Reg­istration and Disclosure Act, and the Conflict of
Interest Disclosure Act \[102\]. For administrative purposes, the
Registry is attached to the department of state for all administrative
matters relating to receipts, disbursements, expense ac­counts, budget,
audit, and other related items; however, the autonomy and au­thority of
the Registry are not affected by this relationship, and the secretary of
state has no administrative or supervisory control over the Registry
\[103\].

The Registry is the filing office for political treasurer certifications
and state­ments of contributions and expenditures in state office
elections \[104\]. The Registry is required to (1) develop prescribed
forms for statements required to be filed that are as simple and
understandable as possible, (2) make reports filed available for public
inspection and copying, (3) review all filed statements to en­sure
compliance with the applicable disclosure law, (4) prepare and publish a
manual for all candidates and committees detailing the requirements of
the law, including uniform methods of bookkeeping and reporting and
requirements as to reporting dates and the length of time that
candidates and committees are re­quired to keep any records, (5) prepare
an annual report concerning the admin­istration and enforcement of the
disclosure laws, (6) investigate any alleged vio­lation upon sworn
complaint or upon its own motion (and if it investigates the records of
any selected candidate, it must also investigate the records of all
other candidates running for the same position in the same district or
other appro­priate geographic area), and (7) notify all candidates for
state public office in a state election of the requirements for filing
any required disclosure statement 14 days before any fixed deadline
provided \[105\].

The Registry has the power to (1) promulgate rules and regulations, (2)
hold hearings, subpoena witnesses, administer oaths, and compel
production of books, correspondence, papers, and other records, (3)
issue advisory opinions to candidates concerning compliance with the
appropriate disclosure statutes, (4) conduct contested case hearings in
determining whether an actual violation oc­curred and issue an
appropriate order following a determination, (5) assess a civil penalty
for any violation of the various disclosure laws and the Campaign
Contribution Limits Act after notice and opportunity for hearing, (6)
where an investigation indicates a willful or fraudulent violation has
occurred, refer the matter for criminal prosecution to the district
attorney of the district where the alleged violator resides, and (7)
petition the chancery court through the Attorney General for enforcement
of any order it has issued \[106\]. The Registry may not establish or
levy any penalty or sanction for any action alleged to be a violation of
the rules and regulations of the Registry unless the action is also a
violation of a statutory requirement \[107\].

**B. County Election Commission/County Election Registrar.** The
ap­propriate county election commission is the filing office for
political treasurer certifications and statements of contributions and
expenditures in an election in a county \[108\]. It is the duty of each
county election commission to notify all candidates for local public
office in a local election of the requirements for filing any required
statement 7 days before any deadline \[109\]. The county administra­tor
of elections is authorized to impose a civil penalty for a class 1
offense (i.e., the late filing of report or statement required by the
Campaign Financial Disclo­sure Act) \[110\].

**C. Attorney General and District Attorneys General.** The Attorney
General is required (1) to provide opinions on the requirements of the
Campaign Financial Disclosure Act, (2) to advise county election
commissions, primary boards, and administrators of elections of their
duties and responsibilities under the Campaign Financial Disclosure Act,
and (3) to represent the Registry of Election Finance in any action or
lawsuit in any court \[111\].

District attorneys general are required (1) to investigate any sworn
complaint on a statement of a candidate for local public office or the
candidate\'s political campaign committee and (2) to seek injunctions or
fines to enforce the Cam­paign Financial Disclosure Act against any
candidate or political campaign committee about whom a sworn complaint
has been filed, if such action is justi­fied \[112\].

**VIII. EXCLUDED PROVISIONS**

**A. Municipal Charter Campaign Finance Provisions**. Any charter
provi­sions of municipalities regarding campaign financial disclosures of
candidates for public office apply to candidates for public office to
the extent they do not con­flict with the provisions of the Campaign
Financial Disclosure Act of 1980 \[113\]. Municipal charter provisions
are not included in this summary.

**References**

1.  Tennessee Code Annotated (hereafter TCA) § 2‑10‑102(3)

2.  TCA § 2‑10‑102(3)

3.  TCA § 2‑19‑132(a)

4.  TCA § 2‑19‑132(b)

5.  TCA § 2‑19‑203(a), (b)(1)

6.  TCA § 2‑19‑203

7.  TCA § 2‑19‑201(1)

8.  TCA §§ 8‑30‑208(a), (c); 8‑30‑221

9.  TCA §§ 8‑8‑401; 8‑8‑402; 8‑8‑419

10. TCA § 56‑3‑601

11. TCA § 2‑19‑120

12. TCA, Court Rules Annotated, Rules of the Supreme Court of Tennessee,
    Rule 10 (Code of Judicial Conduct), Canon 5 (hereafter Judicial
    Canon 5)

13. Judicial Canon 5

14. Judicial Canon 5

15. Judicial Canon 5

16. Judicial Canon 5

17. Judicial Canon 5

18. Judicial Canon 5

19. TCA § 3‑6‑112(b)

20. TCA § 2‑10‑302(a)‑(c)

21. TCA § 2‑10‑302(d)

22. TCA § 2‑10‑303(a), (c), (e)

23. TCA § 2‑10‑102(13); 2‑10‑303(b), (d)

24. TCA § 2‑10‑304(a)

25. TCA § 2‑10‑304(b)

26. TCA § 2‑10‑305

27. TCA § 2‑10‑306(a)

28. TCA § 2‑10‑306(b)

29. TCA § 2‑10‑306(b)

30. TCA § 2‑10‑310(a), (b)

31. TCA § 2‑10‑117

32. TCA §§ 3‑6‑102(13), (21); 3‑6‑108(i)

33. TCA §§ 2‑10-402; 2-10-404(a)-(c)

34. TCA § 2-10-404(d)

35. TCA § 2-10-119

36. TCA § 2‑10‑102(5)

37. TCA § 2‑19‑139

38. TCA §§ 2‑10‑114(b); 2‑10‑115(b)

39. TCA § 2‑10‑101(b)

40. TCA § 2‑10‑101(e)

41. TCA § 2‑10‑104

42. TCA § 2‑10‑102(6)

43. TCA § 2‑10‑113

44. TCA § 2‑10‑102(11)(A)

45. TCA § 2‑10‑102(11)(B)

46. TCA § 2‑10‑102(10)

47. TCA § 2‑10‑102(12)

48. TCA § 2‑10‑102(7)

49. TCA § 2‑10‑105(e)

50. TCA § 2‑10‑105(g)

51. TCA § 2‑10‑105(e)

52. TCA § 2‑10‑105(e)

53. TCA § 2‑10‑102(2), (11)

54. TCA §§ 2‑10‑105(a), (b); 2‑10‑102(4)

55. TCA § 2‑10‑105(i)

56. TCA § 2‑10‑105(g)

57. TCA § 2‑10‑107(a), (c)(1)

58. TCA §§ 2‑10‑105(j)

59. TCA §§ 2‑10‑105(a), (b); 2‑10‑107(a)(2), (c)(1), (e), (f)

60. TCA § 2‑10‑107(c)(1), (d)

61. TCA § 2‑10‑107(b)

62. TCA § 2‑10‑105(c)(1)‑(4)

63. TCA § 2‑10‑105(c)(5)

64. TCA § 2‑10‑105(i)

65. TCA § 2‑10‑105(d)

66. TCA § 2‑10‑105(a), (b)

67. TCA § 2‑10‑105(h)

68. TCA § 2‑10‑105(h)

69. TCA § 2‑10‑105(h)

70. TCA § 2‑10‑303(c)

71. TCA § 8‑50‑501

72. TCA § 8‑50‑502

73. TCA § 3‑6‑106(a)

74. TCA §§ 3‑6‑102(4), (15), (16), (18); 3‑6‑106(b)(2)

75. TCA § 2-10-403

76. TCA §§ 2-10-405; 2-10-406(b)

77. TCA § 2‑10‑106

78. TCA § 2‑10‑107(a)(1)

79. TCA §§ 2-10-114(a); 2-10-115(a); 2-10-310(c)

80. TCA §§ 2‑10‑114(c); 2‑10‑115(c)

81. TCA § 2‑10‑114(d)

82. TCA § 2‑10‑406(a)

83. TCA § 2‑10‑105(f)

84. TCA §§ 2‑10‑110(a); 2‑10‑308(a)

85. TCA § 2‑10‑110(f)

86. TCA § 2‑10‑110(a)(1)

87. TCA § 2‑10‑110(a)(1)

88. TCA § 2‑10‑110(a)(1)

89. TCA §§ 2‑10‑110(a)(1), (a)(2); 2‑10‑114(b); 2‑10‑115(b)

90. TCA § 2‑10‑110(a)(1), (a)(2)

91. TCA § 2‑10‑307

92. TCA § 2‑10‑308(a), (d)

93. TCA §§ 2‑19‑132(a); 2‑19‑133; 2‑19‑140(a)

94. TCA § 2‑19‑208

95. TCA § 56‑3‑602

96. TCA § 56‑3‑603

97. TCA § 2‑10‑118

98. TCA § 2‑10‑110(d)

99. TCA § 2-10-110(c)(2)

100. TCA § 2‑19‑140(b)

101. TCA § 2‑10‑108(a)‑(c)

102. TCA §§ 2‑10‑203(a); 2‑10‑205; 2‑10‑101(d)

103. TCA § 2‑10‑203(b)

104. TCA § 2‑10‑105(a), (e)

105. TCA §§ 2‑10‑105(h)(3); 2‑10‑206

106. TCA §§ 2‑10‑207; 2‑10‑209

107. TCA § 2‑10‑210

108. TCA § 2‑10‑105(b), (e)

109. TCA § 2‑10‑103(b)

110. TCA § 2‑10‑110(a)

111. TCA § 2‑10‑109(a)

112. TCA § 2‑10‑109(b)

113. TCA § 2‑10‑101(c)

**CAMPAIGN FINANCE LAW**

**IN TEXAS**

**I. INTRODUCTION**

Texas requires candidates, political committees (specific‑purpose and
general‑purpose committees), and officeholders to file semiannual
reports of contribu­tions, loans, and expenditures. Opposed candidates,
non‑officeholder‑related specific‑purpose committees, and
general‑purpose committees are required to file pre‑election reports. A
final report by a candidate or by a candidate‑related or measure‑related
specific‑purpose committee and a dissolution report by an
officeholder‑related specific‑purpose committee or by a general‑purpose
com­mittee may be filed whenever reportable activity is not expected to
occur after the previous report filed. An opposed candidate or
specific‑purpose committee may file only semiannual reports if the
candidate or committee does not intend to accept aggregate contributions
or expend aggregate expenditures exceeding \$500 in connection with an
election. A general‑purpose committee may file monthly reports as an
alternative to semiannual and pre‑election reports.

Large aggregate contributions accepted by certain candidates and
specific‑purpose committees and large aggregate direct expenditures
affecting one or more candidates made by a general‑purpose committee
must be reported within 48 hours to the Texas Ethics Commission if
accepted or made from the 9th to the 2nd day (noon) before an election.
Former officeholders and unsuccessful can­didates must file an annual
report for each year in which unexpended contribu­tions are retained.

There generally are no limits on the amounts of contributions that may
be made except in judicial elections. Corporations, business
associations, and labor organizations are generally restricted in making
political contributions and ex­penditures; however, certain specified
contributions and expenditures may be made, such as contributions to
political‑party committees for normal operating costs and expenditures
to finance the establishment or administration of and the solicitation
of contributions to a general‑purpose committee.

Judicial elections are regulated by the Judicial Campaign Fairness Act.
Volun­tary compliance with expenditure limits is authorized. The
aggregate expen­ditures by a voluntarily complying judicial candidate for
each election may not exceed \$2,000,000 for a statewide judicial office
or \$100,000 to \$500,000 for a non‑statewide judicial office (depending
on the population of the judicial dis­trict). Contributions from a person
other than a general‑purpose committee may not in the aggregate exceed
for each election \$5,000 for a statewide judicial office or \$1,000 to
\$5,000 for a non‑statewide judicial office (depending on the population
of the judicial district). Contributions accepted from a general‑purpose
committee may not exceed 15% of the expenditure limit applicable to the
judicial office for an election. A voluntarily complying candidate is
not re­quired to observe the expenditure and contribution limits if
another candidate does not comply with the expenditure limits, but the
contribution limits do apply to non‑complying candidates.

The Texas Ethics Commission administers the law regulating political
funds and campaigns.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution,\" as used in the
act regulat­ing political funds and campaigns, is a direct or indirect
transfer of money, goods, services, or any other thing of value and
includes an agreement made or other obligation incurred, whether legally
enforceable or not, to make a transfer. The term \"contribution\"
includes a loan or extension of credit, other than those expressly
excluded, and a guarantee of a loan or extension of credit. A
contri­bution does *not* include a loan made in the due course of
business by a corpora­tion that is legally engaged in the business of
lending money and that has con­ducted the business continuously for more
than one year before the loan is made or an expenditure required to be
reported in a lobbyist\'s expenditures re­port \[1\].

An expense incurred in connection with a meeting of an organization or
club affiliated with a political party at which a candidate for office
regularly filled at the general election for state and county officers
or a person holding that office appears before the members of the
organization or club is not considered to be a political contribution or
expenditure if no political contributions are made to or solicited for
the candidate or officeholder at the meeting. An organization or club is
\"affiliated with a political party\" if it supports the nominees of
that politi­cal party but does not support any candidate seeking the
party\'s nomination for an office over any other candidate seeking that
nomination and is recognized by the political party as an auxiliary of
the party \[2\].

The act regulating political funds and campaigns includes a number of
addi­tional contribution‑related definitions:

\(1\) A \"campaign contribution\" is a contribution to a candidate or
political committee that is offered or given with the intent that it be
used in connection with a campaign for elective office or on a measure.
Whether a contribution is made before, during, or after an election does
not affect its status as a campaign contribution \[3\].

\(2\) An \"officeholder contribution\" is a contribution to an
officeholder or polit­ical committee that is offered with the intent that
it be used to defray expenses that are incurred by the officeholder in
performing a duty or engaging in an ac­tivity in connection with the
office and are not reimbursable with public money \[4\].

\(3\) A \"political contribution\" is a campaign contribution or
officeholder con­tribution \[5\].

**B. \"Acceptance\" of a Contribution.** A determination to accept or
refuse a political contribution that is received by a candidate,
officeholder, or political committee must be made not later than the end
of the reporting period during which the contribution was received. If
the determination is not made before the time required, the contribution
is considered to have been accepted on the last day of the reporting
period during which the contribution was received \[6\].

A political contribution that is received but not accepted by a
candidate, offi­ceholder, or political committee must be returned to the
contributor not later than the 30th day after the deadline for filing a
report for the reporting period during which the contribution was
received. A contribution not returned within that time is considered
accepted \[7\].

**C. Contribution in Another Person\'s Name.** A person may not
knowingly make or authorize a political contribution in the name of or
on behalf of another unless the person discloses in writing to the
recipient the name and address of the person actually making the
contribution in order for the recipient to make the proper disclosure
\[8\].

**D. Cash Contributions.** A candidate, officeholder, or
specific‑purpose committee may not knowingly accept from a contributor
in a reporting period political contributions in cash that in the
aggregate exceed \$100 \[9\].

**E. Unlawful Contributions by a General‑Purpose Committee Assisted by a
Corporation or Labor Organization.** A general‑purpose committee
as­sisted by a corporation or labor organization may not make a political
contribu­tion in whole or in part from money that is known by a member or
officer of the committee to be dues, fees, or other money required as a
condition of em­ployment or condition of membership in a labor
organization \[10\].

**F. Contributions to State Officeholders, State Legislators, and
Related Specific‑Purpose Committees During a Regular Legislative
Session.** Dur­ing the period beginning on the 30th day before the date a
regular legislative session convenes and continuing through the day of
final adjournment, a person may not knowingly make a political
contribution to a statewide officeholder, member of the legislature, or
specific‑purpose committee for supporting, oppos­ing, or assisting a
statewide officeholder or member of the legislature, and a statewide
officeholder, member of the legislature, or specific‑purpose committee
for supporting, opposing, or assisting a statewide officeholder or
member of the legislature may not knowingly accept and must refuse a
political contribution that is received during the proscribed period
unless the contribution was mailed before the beginning of the period. A
contribution received and refused during the prohibited period must be
returned to the contributor by the 30th day after the date of receipt
\[11\].

This prohibition does not apply to the following political
contributions:

\(1\) A political contribution that was made and accepted with the
intent that it be used (1) in an election held or ordered during the
restricted time period in which the person accepting the contribution is
a candidate if the contribution was made after the person appointed a
campaign treasurer with the appropriate filing officer and before the
person was sworn in for that office, (2) to defray expenses incurred in
connection with an election contest, or (3) by a person who holds a
state office or a member of the legislature if the person or member was
defeated at the general election held immediately before the session is
convened or by a specific‑purpose committee that supports or assists
only that person or member.

\(2\) A political contribution made to or accepted by a holder of an
office to which the Judicial Campaign Fairness Act applies (*see*
Section II.O, *infra*) \[12\].

**G. Contributions Accepted From Out‑of‑State Committees**

**1. Contributions of More Than \$500 in a Reporting Period.** In a
re­porting period, a candidate, officeholder, or political committee may
not know­ingly accept political contributions totaling more than \$500
from an out‑of‑state political committee unless the recipient receives
from the committee before ac­cepting a contribution that would cause the
total to exceed \$500 (1) a written statement certified by an officer of
the out‑of‑state committee that lists the full name and address of each
person who contributed more than \$100 to the out‑of‑state committee
during the 12 months immediately preceding the date of the contribution
or (2) a copy of the out‑of‑state committee\'s statement of organiza­tion
filed as required by law with and certified by the Federal Election
Commis­sion. This requirement does not apply to a contribution from an
out‑of‑state po­litical committee if the committee appointed a campaign
treasurer by filing a campaign treasurer appointment before the
contribution was made and is sub­ject to the requirements for reporting
contributions, loans, and expenditures \[13\].

A candidate, officeholder, or political committee must include the
out‑of‑state committee\'s contributor statement or copy of its statement
of organization filed with the Federal Election Commission as a part of
the report of contributions, loans, and expenditures filed that covers
the reporting period when contributions totaling over \$500 were
accepted from an out‑of‑state committee \[14\].

An \"out‑of‑state political committee\" is a political committee that
makes politi­cal expenditures outside the state and in the 12 months
immediately preceding the making of a political expenditure by the
committee inside the state (other than an expenditure made in connection
with a campaign for a federal office or made for a federal officeholder)
makes 80% or more of the committee\'s total political expenditures in
any combination of elections outside the state and fed­eral offices not
voted on in the state \[15\].

**2. Contributions of \$500 or Less.** A candidate, officeholder, or
political committee that accepts political contributions totaling \$500
or less from an out‑of‑state political committee must include as part of
the report of contributions, loans, and expenditures filed that covers
the reporting period in which the con­tribution was accepted (1) the same
information for the out‑of‑state committee as is required to be included
in a written campaign treasurer appointment by a general‑purpose
committee or (2) a copy of the out‑of‑state committee\'s state­ment of
organization filed as required by law with and certified an officer of
the out‑of‑state committee \[16\].

**H. Retention and Disposition of Unexpended Contributions by Candi­dates
and Officeholders.** A person may not retain political contributions,
as­sets purchased with the contributions, or interest and other income
earned on the contributions for more than 6 years after the date the
person ceases to be an officeholder or candidate or files a final report
of contributions, loans, and ex­penditures, whichever is later. If the
person becomes a candidate within the 6‑year period, the 6‑year maximum
retention limit for political contributions does not apply until the
person again ceases to be an officeholder or candidate \[17\].

At the end of the 6‑year period, the former officeholder or candidate
must remit any unexpended political contributions to one or more of the
following: (1) the political party with which the person was affiliated
when the person\'s name last appeared on a ballot, (2) a candidate or
political committee, (3) the comptroller of public accounts for deposit
in the state treasury for financing primary elections, (4) one or more
persons from whom contributions were re­ceived, but not more than the
aggregate amount accepted from a person during the last two years that
the officeholder or candidate accepted political contribu­tions, (5) a
recognized tax‑exempt charitable organization formed for education­al,
religious, or scientific purposes, or (6) a public or private
post‑secondary ed­ucational institution or an institution of higher
education solely for the purpose of assisting or creating a scholarship
program. Contributions remitted to a can­didate or political committee
must be reported by the former officeholder or candidate as if he or she
were a campaign treasurer of a specific‑purpose com­mittee \[18\].

**I. Solicitation of Contributions by Corporations, Labor Organizations,
and Political Committees Assisted by a Corporation or Labor
Organiza­tion.** A corporation, labor organization, or political
committee assisted by a corporation or labor organization through
political expenditures (*see* Section III.H, *infra*) may not use or
threaten to use physical force, job discrimination, or financial
reprisal to obtain money or any other thing of value to be used to
in­fluence the result of an election or to assist an officeholder. The
assisted politi­cal committee may not accept or use money or any other
thing of value that is known by a member or officer of the committee to
have been obtained by means of a prohibited coercive method \[19\].

**J. Contributions by a County Elections Administrator.** A county
elec­tions administrator is not permitted to make a political
contribution \[20\].

**K. Making or Accepting Contributions in the Capitol.** A person may
not knowingly make or authorize a political contribution while in the
Capitol to a candidate, officeholder, political committee, or person
acting on behalf of a can­didate, officeholder, or political committee. A
candidate, officeholder, political committee, or person acting on behalf
of a candidate, officeholder, or political committee may not knowingly
accept a political contribution in the Capitol and must refuse a
political contribution that is received in the Capitol. This ban does
not prohibit contributions made in the Capitol through the U.S. postal
service or a common or contract carrier \[21\].

**L. Coercion, Restriction, or Prevention of a Contribution by a State
Employee.** A state employee may not coerce, attempt to coerce, command,
re­strict, attempt to restrict, or prevent the payment, loan, or
contribution of any thing of value to a person or political organization
for a political purpose \[22\].

**M. Corporation and Labor Organization Contributions to Political
Par­ties.** A corporation or labor organization may make a contribution
from its own property to a political party for a permitted use; however,
an authorized contribution may not be made during the period beginning
on the 60th day be­fore the date of a general election for state and
county officers and continuing through the day of the election \[23\].

**N. Limitations on Acceptance of Contributions Related to Judicial
Candidates or Judicial Officeholders.** The Judicial Campaign Fairness
Act applies to political contributions in connection with statewide
judicial offices (i.e., the office of chief justice or justice of the
supreme court and presiding judge or judge of the court of criminal
appeals) and non‑statewide judicial offic­es (i.e., chief justice or
justice of the court of appeals, district judge, judge of the statutory
county court, and judge of the statutory probate court) \[24\].

**1. Filing of Required Candidate Declaration**. When a person becomes a
candidate for a judicial office, the person must file with the authority
with whom the candidate\'s campaign treasurer appointment is required to
be filed (1) a sworn declaration of compliance stating that the person
voluntarily agrees to comply with the expenditure limits prescribed by
the Act or (2) a written decla­ration of the person\'s intent to make
expenditures that exceed the statutorily prescribed expenditure limits
\[25\].

A judicial candidate may not knowingly accept a campaign contribution or
make or a authorize a campaign expenditure before the candidate files a
decla­ration of compliance or a declaration of intent to exceed the
statutory expendi­ture limits (*see also* Section III.S, *infra*) \[26\].
A write‑in candidate for judicial of­fice or a specific‑purpose committee
for supporting a write‑in candidate for judi­cial office may not
knowingly accept a political contribution before the can­didate files a
declaration of write‑in candidacy \[27\].

A \"complying candidate\" is a judicial candidate who files the sworn
statement of compliance; a \"noncomplying candidate\" is a judicial
candidate who (1) files a declaration of intent to exceed the
expenditure limits, (2) files a declaration of compliance but later
exceeds the expenditure limits, or (3) fails to file either dec­laration
\[28\].

**2. Time Period for Acceptance of Contributions**. A judicial candidate
or officeholder, a specific‑purpose committee for supporting or opposing
a judi­cial candidate, or a specific‑purpose committee for assisting a
judicial officehold­er may not knowingly accept a political contribution
except during the period:

\(1\) Beginning on (a) the 210th day before the date an application for
a place on the ballot or for nomination by convention for the office is
required to be filed if the election is for a full term or (b) the later
of the 210th day before the date an application for a place on the
ballot or for nomination by convention for the office is required to be
filed or the date a vacancy in the office occurs if the election is for
an unexpired term.

\(2\) Ending on the 120th day after the date of (a) the general election
for state and county officers if the candidate or officeholder has an
opponent in the gen­eral election, (b) the runoff primary election if the
candidate or officeholder is candidate in the runoff primary election
and does not have an opponent in the general election (unless another
person files a declaration of write‑in candidacy opposing the
candidate), or (c) the primary election if the candidate or office­holder
does not have an opponent in the general election (unless another person
files a declaration of write‑in candidacy opposing the candidate)
\[29\].

A person appointed to fill a vacancy in an office covered by the
Judicial Cam­paign Fairness Act who at the time of appointment does not
hold another office covered by the Act may accept officeholder
contributions beginning on the date the person assumes the duties of
office and ending on the 60th day after that date \[30\].

**3. Aggregate Contribution Limits**. The Act prescribes limits on
contri­butions that are applicable to complying judicial candidates
unless suspended by law and also to noncomplying candidates regardless
of whether the limits on contributions, expenditures, and reimbursement
of personal funds are suspended for complying candidates \[31\].

A judicial candidate or officeholder may not knowingly accept and must
re­turn political contributions from a person, other than an individual
related to the recipient within the 2nd degree of consanguinity or a
general‑purpose commit­tee, that in the aggregate exceed the following
limits in connection with each election in which the contributing person
is involved: (1) a statewide judicial of­fice‑‑\$5,000; (2) a judicial
office in a judicial district whose population is more than
1,000,000‑‑\$5,000; (3) a judicial office in a judicial district whose
popula­tion is 250,000 to 1,000,000‑‑\$2,500; and (4) a judicial office
in a judicial district whose population is less than 250,000‑‑\$1,000
\[32\].

A judicial candidate, officeholder, or specific-purpose committee for
supporting or opposing a judicial candidate may not accept and must
return a political contribution in excess of \$50 from a person if the
person is a law firm, a member of a law firm, or a general‑purpose
committee established or con­trolled by a law firm and when aggregated
with all political contributions ac­cepted by the candidate,
officeholder, or committee from the law firm, other members of the law
firm, or a general‑purpose committee established or controlled by the
law firm in connection with the election the contribution would exceed 6
times the applicable limit on contributions for the judicial office
\[33\].

A judicial candidate or officeholder or a specific‑purpose committee for
sup­porting or opposing a judicial candidate or assisting a judicial
officeholder may not knowingly accept and must return a political
contribution from a general‑purpose committee that, when aggregated with
each other political contribution from a general‑purpose committee in
connection with an election, exceeds 15% of the applicable limit on
expenditures, regardless of whether the limit on ex­penditures is
suspended \[34\].

In determining whether aggregate contribution limits have been exceeded,
a contribution to a specific‑purpose committee for the purpose of
supporting a ju­dicial candidate, opposing the candidate\'s opponent, or
assisting the candidate as an officeholder is considered to be a
contribution to the candidate \[35\].

An expenditure by a general‑purpose committee for the purpose of
supporting a candidate, for opposing the candidate\'s opponent, or for
assisting the candidate as an officeholder is considered to be a
contribution to the candidate unless the campaign treasurer of the
general‑purpose committee, in an affidavit filed with the authority with
whom the candidate\'s campaign treasurer appointment is re­quired to be
filed, states that the committee has not directly or indirectly
com­municated with the candidate\'s campaign or a specific‑purpose
committee in re­gard to a strategic matter in connection with the
candidate\'s campaign \[36\].

**4. Exception to Contribution Limits**. A complying candidate or a
specif­ic‑purpose committee for supporting a complying candidate is not
required to comply with the limits on contributions, expenditures, and
the reimbursement of personal funds if another candidate for the same
office becomes a noncomplying candidate. The Texas Ethics Commission
must issue an order suspending the limits on contributions and
expenditures for a specific judicial office not later than the 5th day
after it is determined that a person has become a noncomplying candidate
for judicial office \[37\].

A complying candidate for judicial office or a specific‑purpose
committee for supporting the complying candidate is not required to
comply with the limits on contributions if a person other than the
candidate\'s opponent or the principal po­litical committee of the state
executive committee or a county executive commit­tee of a political party
makes expenditures that in the aggregate exceed \$5,000 for a
non‑statewide judicial office or \$25,000 for a statewide judicial
office for the purpose of supporting the candidate\'s opponent, opposing
the candidate, or assisting the candidate\'s opponent as an officeholder
\[38\]. The Texas Ethics Commission must issue an order suspending the
limits on contributions, expen­ditures, and the reimbursement of personal
funds for a specific judicial office not later than the 5th day after it
is determined that a declaration of intent to make expenditures that
exceed the \$5,000 or \$25,000 limit, as appropriate, has been filed in
connection with the office or a political expenditure that exceeds the
applicable limit has been made \[39\].

**5. Use of Contributions Received to Make Subsequent Contributions.** A
judicial candidate or a specific‑purpose committee for supporting or
opposing a judicial candidate may not use a political contribution to
knowingly make (1) political contributions that in the aggregate exceed
\$100 in a calendar year to a candidate or officeholder, (2) a political
contribution to a political committee in connection with a primary
election, or (3) a political contribution to a political committee that
when aggregated with each other political contribution to a political
com­mittee in connection with a general election exceeds \$500 \[40\].

A judicial officeholder or a specific‑purpose committee for assisting a
judi­cial officeholder may not (1) use a political contribution to
knowingly make political con­tributions that in the aggregate exceed
\$100 in a calendar year to a candidate or officeholder or (2) in any
calendar year in which the office held is not on the ballot, use a
political contribution to knowingly make a political contribution to a
political committee that, when aggregated with each other political
contribution to a political committee in that calendar year, exceeds
\$250 in any year in which the office is not on the ballot \[41\].

The prohibitions as to the subsequent use of political contributions by
judi­cial candidates or officeholders and related specific‑purpose
committees do not apply to a political contribution made to the
principal political committee of the state executive committee or a
county executive committee of a political party that (1) is made in
return for goods or services, including political advertising or a
campaign communication, the value of which substantially equals or
exceeds the amount of the contribution or (2) is in an amount that is
not more than the candidate's or officeholder's pro rata share of the
committee's normal overhead and administrative or operating costs\[42\].

**O. Contributions to Members and Employees of the Texas Lottery
Commission**. The following persons may not make a gift or political
contribu­tion to a person known by the donor or contributor to be a
present or former member or employee (including executive director) of
the Texas lottery com­mission whose service in office or employment with
the commission has not ceased for at least two years, and a present or
former member or employee (in­cluding executive director) of the
commission may not intentionally or knowing­ly accept a gift or political
contributions from any such person: (1) a person who has a significant
financial interest in the lottery, (2) a person related in the first
degree of consanguinity or affinity to a person that has a significant
finan­cial interest in the lottery, (3) a person that owns more than a
10% interest in an entity that has a significant financial interest in
the lottery, (4) a political com­mittee that is directly established,
administered, or controlled, in whole or in part, by a person that has a
significant financial interest in the lottery, or (5) a person who
within the two years preceding the date of the gift or contribution won
a lottery prize exceeding \$600 in amount or value \[43\].

A member of the Texas lottery commission may not directly or indirectly
co­erce, attempt to coerce, command, or advise a person to pay, lend, or
contribute anything of value to another person for political purposes
\[44\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure,\" as used in the act
regulat­ing political funds and campaigns, is a payment of money or any
other thing of value and includes an agreement made or other obligation
incurred, whether legally enforceable or not, to make a payment \[45\].

The act regulating political funds and campaigns includes a number of
addi­tional expenditure‑related definitions:

\(1\) A \"campaign expenditure\" is an expenditure made by any person in
con­nection with a campaign for elective office or on a measure. Whether
an expen­diture is made before, during, or after an election does not
affect its status as a campaign expenditure \[46\].

\(2\) A \"direct campaign expenditure\" is a campaign expenditure that
does not constitute a campaign contribution by the person making the
expenditure \[47\].

\(3\) An \"officeholder expenditure\" is an expenditure made by any
person to defray expenses that are incurred by an officeholder in
performing a duty or en­gaging in an activity in connection with the
office and are not reimbursable with public money \[48\].

\(4\) A \"political expenditure\" is a campaign expenditure or
officeholder ex­penditure \[49\].

**B. \"Making\" of an Expenditure.** A political expenditure is not
considered to have been made until the amount is readily determinable by
the person mak­ing the expenditure; however, if the character of an
expenditure is such that un­der normal business practice the amount is
not disclosed until receipt of a peri­odic bill, the expenditure is not
considered made until the date the bill is re­ceived \[50\].

**C. Appointment of Campaign Treasurer as Precondition for Making
Expenditures and Accepting Contributions.** A candidate may not
knowingly make or authorize a campaign expenditure or accept a campaign
contribution and a political committee may not knowingly make or
authorize political expen­ditures totaling more than \$500 or accept
political contributions totaling more than \$500 at a time when a
campaign treasurer appointment for the candidate or committee is not in
effect. A political committee may not knowingly make or authorize a
campaign expenditure supporting or opposing a candidate for a statewide
office, a district office filled by the voters of more than one county,
state senator, state representative, or the state board of education in
a primary or general election unless the committee\'s campaign treasurer
appointment has been filed not later than the 30th day before the
appropriate election day. These restrictions do not apply to (1) a
political party\'s county executive com­mittee unless the committee
accepts contributions or makes political expen­ditures that exceed
\$5,000 in the aggregate in a calendar year or (2) an out‑of‑state
political committee unless the committee has become subject to the
re­quirements for reporting contributions, loans, and expenditures
\[51\].

**D. Expenditures and Contributions by General‑Purpose Committees.** A
general‑purpose committee may not knowingly make or authorize a
political contribution or political expenditure totaling more than \$500
unless the commit­tee has (1) filed its campaign treasurer appointment
not later than the 60th day before the date the contribution or
expenditure was made and (2) accepted po­litical contributions from at
least 10 persons. This restriction does not apply to (1) a political
party\'s county executive committee that has not accepted contri­butions
or made expenditures exceeding \$5,000 in the aggregate in a calendar
year or (2) a general‑purpose committee that accepts contributions from
a multi‑candidate political committee (as defined by the Federal
Election Campaign Act) that is registered with the Federal Election
Commission if the general‑pur­pose committee is in compliance with the
requirements as to contributions from out‑of‑state political committees
\[52\].

A general‑purpose committee may not knowingly make a political
contribu­tion to another general‑purpose committee unless the other
committee is listed in the campaign treasurer appointment of the
contributor committee \[53\].

**E. Use of Public Funds for Political Advertising.** An officer or
employee of a political subdivision may not spend or authorize the
spending of public funds for political advertising; however, this
prohibition does not apply to a communication that factually describes
the purposes of a measure if the com­munication does not advocate the
passage or defeat of the measure \[54\].

\"Political advertising\" is a communication supporting or opposing a
candidate for nomination or election to a public office or political
party office, a political party, a public officer, or a measure that (1)
in return for consideration is pub­lished in a newspaper, magazine, or
other periodical or is broadcast by radio or television or (2) appears
in a pamphlet, circular, flier, billboard, or other sign, bumper
sticker, or similar form of written communication \[55\].

**F. Authorized Direct Campaign Expenditures.** A person may not
know­ingly make or authorize a direct campaign expenditure except in the
case of an individual, corporation, or labor organization that makes a
permissible expendi­ture, a candidate that makes or authorizes an
expenditure for the candidate\'s own election, a political committee, or
a campaign treasurer or assistant cam­paign treasurer acting in an
official capacity \[56\].

**G. Direct Campaign Expenditures by Individuals.** Except as otherwise
provided by law, an individual not acting in concert with another person
may make one or more direct campaign expenditures in an election from
his or her own property if the individual does not receive any
reimbursement for the ex­penditures. If the expenditures exceed \$100 on
any one or more candidates or measures, the individual is required to
comply with the requirements for report­ing political contributions and
expenditures as if the individual were a campaign treasurer of a
political committee. If the total expenditures on any one or more
candidates or measures do not exceed \$100 or the expenditures consist
of per­sonal travel expenses incurred by the individual, the individual
is not required to comply with the reporting requirements \[57\].

**H. Contributions and Expenditures by Corporations and Labor
Organ­izations.** A corporation or labor organization may not make
political contribu­tions and political expenditures not authorized by the
act regulating political funds and campaigns. A corporation or labor
organization is specifically pro­hibited from making a political
contribution or political expenditure in connec­tion with a recall
election, including the circulation and submission of a petition to call
an election \[58\].

A corporation or labor organization may make campaign contributions from
its own property in connection with an election on a measure only to a
political committee for supporting or opposing measures exclusively, and
a corporation or labor organization not acting in concert with another
person may make one or more direct campaign expenditures from its own
property in connection with an election on a measure if the corporation
or labor organization makes the ex­penditure in accordance with the law
concerning direct campaign expenditures by individuals as if the
corporation or labor organization were an individual \[59\].

A corporation or labor organization also is permitted to make one or
more di­rect campaign expenditures from its own property for the purpose
of communi­cating directly with its stockholders or members, as
applicable, or with the fa­milies of its stockholders or members and to
make one or more expenditures to finance nonpartisan voter registration
and get‑out‑the‑vote campaigns aimed at its stockholders or members, as
applicable, or at the families of its stockholders or members \[60\].

A corporation acting alone or with one or more other corporations may
make one or more political expenditures to finance the establishment or
administra­tion of a general‑purpose committee, and a corporation may
make political ex­penditures to finance the solicitation of political
contributions to such a commit­tee from the stockholders or members,
employees, or families of stockholders, members, or employees of one or
more corporations. A labor organization act­ing alone or with one or more
other labor organizations may make one or more political expenditures to
finance the establishment or administration of a gener­al‑purpose
committee, and a labor organization may make political expenditures to
finance the solicitation of political contributions to such a committee
from the members, employees, or families of members or employees of one
or more la­bor organizations. A general‑purpose committee is not required
to report the authorized corporation or labor organization expenditures
as a political contribu­tion \[61\].

A corporation may not make a loan to a candidate, officeholder, or
political committee for campaign or officeholder purposes unless (1) the
corporation has been legally and continuously engaged in the business of
lending money for at least one year before the loan is made and (2) the
loan is made in the due course of business. This prohibition does not
apply to a loan that is a campaign contribution from a corporation\'s
own property in connection with an election on a measure made to a
political committee for supporting or opposing meas­ures exclusively
\[62\].

A \"corporation\" subject to the restrictions on contributions and
expenditures by corporations is (1) a corporation organized under the
Texas Business Corpo­ration Act, the Texas Non‑Profit Corporation Act,
federal law, or the law of another state or nation or (2) an
association, whether incorporated or not, that is a bank, trust company,
savings and loan association or company, insurance com­pany, reciprocal
or interinsurance exchange, railroad company, cemetery com­pany,
government‑regulated cooperative, stock company, or abstract or title
in­surance company \[63\]. If a political committee whose only principal
purpose is accepting political contributions and making political
expenditures incorporates for liability purposes only, the committee is
not considered to be a corporation \[64\].

A \"labor organization\" subject to the restrictions on contributions
and expen­ditures by labor organizations is an agency, committee, or any
other organiza­tion in which employees participate that exists for the
purpose, in whole or in part, of dealing with employers concerning
grievances, labor disputes, wages, rates of pay, hours of employment, or
conditions of work \[65\].

**I. Expenditures by a County Elections Administrator.** A county
elec­tions administrator is not permitted to make a political expenditure
\[66\].

**J. Use of Officeholder Contributions.** An officeholder who lawfully
ac­cepts officeholder contributions may use those contributions in
connection with the officeholder\'s campaign for elective office after
appointing a campaign treasurer \[67\].

**K. Expenditure in Another Person\'s Name.** A person may not knowingly
make or authorize a political expenditure in the name of or on behalf of
another unless the person discloses in writing to the person on whose
behalf the expendi­ture is made the name and address of person actually
making the expenditure in order for the person on whose behalf the
expenditure is made to make the proper disclosure \[68\].

**L. Political Expenditures from Unlawful Contributions.** A person may
not knowingly make or authorize a political expenditure wholly or partly
from a political contribution the person knows to have been made in
violation of the law on contribution and expenditure restrictions
\[69\].

**M. Unlawful Expenditures by a General‑Purpose Committee Assisted by a
Corporation or Labor Organization.** A general‑purpose committee
as­sisted by a corporation or labor organization may not make a political
expendi­ture in whole or in part from money that is known by a member or
officer of the committee to be dues, fees, or other money required as a
condition of em­ployment or condition of membership in a labor
organization \[70\]. (*See* Section III.H, *supra*, for the definitions
of \"corporation\" and \"labor organization.\")

**N. Personal Use of Contributions.** A person who accepts a political
con­tribution as a candidate or officeholder may not convert the
contribution to per­sonal use, and a specific‑purpose committee that
accepts a political contribution may not convert the contribution to the
personal use of a candidate, officehold­er, or former candidate or
officeholder \[71\].

\"Personal use\" means a use that primarily furthers individual or
family pur­poses not connected with the performance of duties or
activities as a candidate for or holder of a public office and includes
the personal use of an asset pur­chased with the contribution and the
personal use of any interest or other in­come earned on the contribution.
It does not include (1) payments made to de­fray ordinary and necessary
expenses incurred in connection with activities as a candidate or in
connection with the performance of duties or activities as a pub­lic
officeholder, including the payment of rent, interest, utility, and
other reason­able housing or household expenses incurred in maintaining a
residence in Tra­vis County by members of the legislature who do not
ordinarily reside in that county, but not including payments to purchase
real property, (2) payments of federal income taxes due on interest and
other income earned on political con­tributions, (3) the use of
contributions for defending a criminal action or prose­cuting or
defending a civil action brought by or against a person in his or her
status as a candidate or officeholder, and (4) the use of contributions
for partici­pating in an election contest or participating in a civil
action to determine the person\'s eligibility to be a candidate for or
elected or appointed to a public of­fice in the state \[72\].

**O. Reimbursement of a Candidate or Officeholder for Expenditures From
Personal Funds.** Except for reimbursement of reported loans, a
can­didate or officeholder who makes expenditures from his or her
personal funds for campaign or officeholder purposes may reimburse the
personal funds from political contributions in the amount of those
expenditures only if:

\(1\) The expenditures from personal funds were fully reported as
political ex­penditures, including the payees, dates, purposes, and
amounts of the expen­ditures, in the regular report of contributions,
loans, and expenditures required to be filed that covers the period in
which the expenditures from personal funds were made.

\(2\) The report on which the expenditures from personal funds are
disclosed clearly designates those expenditures as having been made from
the person\'s personal funds and that the expenditures are subject to
reimbursement \[73\].

**P. Payment for Personal Services of a Candidate, Officeholder, or
Family Member of a Candidate or Officeholder From Contributions.** A
candidate, officeholder, or specific‑purpose political committee for
supporting, opposing, or assisting the candidate or officeholder may not
knowingly make or authorize payment from a political contribution if the
payment is made for per­sonal services rendered by the candidate or
officeholder or by the spouse or de­pendent child of the candidate or
officeholder to either of the following:

\(1\) A business in which the candidate or officeholder has a
participating in­terest of more than 10%, holds a position on the
governing body of the business, or serves as an officer of the business.

\(2\) The candidate, officeholder, or spouse or dependent child of the
candidate or officeholder \[74\].

A political contribution to a permissible business may not exceed the
amount necessary to reimburse the business for actual expenses it has
made \[75\].

**Q. Reimbursement of Personal Funds and Repayment of Loans of a
Non‑Judicial Candidate or Officeholder.** A non‑judicial candidate or
office­holder who makes political expenditures from personal funds may
not reimburse the personal funds from political contributions that in
the aggregate for each election in which the person\'s name appears on
the ballot exceed \$250,000 for a statewide office other than governor
or \$500,000 for governor \[76\].

A non‑judicial candidate or officeholder who accepts one or more
political contributions in the form of loans, including an extension of
credit or a guaran­tee of a loan or extension of credit, from one or more
persons related to the candidate or officeholder within the second
degree by affinity or consanguinity may not use political contributions
to repay the loans that in the aggregate exceed \$250,000 for a
statewide office other than governor or \$500,000 for gov­ernor \[77\].

The total amount of both reimbursements of personal funds and repayments
of loans made by a non‑judicial candidate or officeholder may not exceed
the \$250,000/\$500,000 limit. A person who is both a candidate and an
officeholder may reimburse the person\'s personal funds or repay loans
from political contri­butions only in one capacity \[78\].

The payment of interest on loans at a commercially reasonable rate are
not prohibited; however, the interest on loans from a non‑judicial
candidate\'s or of­ficeholder\'s personal funds or on loans from the
personal funds of any person related to the candidate or officeholder
within the second degree by affinity or consanguinity are counted toward
the \$250,000/\$500,000 limit \[79\].

A non‑judicial candidate or officeholder who makes political
expenditures from personal funds may report the amount expended as a
loan and may reim­burse his or her personal funds from political
contributions in the amount of the reported loan \[80\].

**R. Purchase of Real Property With Contributions.** A candidate,
office­holder, or specific‑purpose political committee for supporting,
opposing, or as­sisting the candidate or officeholder may not knowingly
make or authorize a payment from a political contribution to purchase
real property or to pay the in­terest on or principal of a note for the
purchase of real property \[81\].

**S. Limitations on Expenditures Related to Judicial Candidates or
Offi­ceholders.** The Judicial Campaign Fairness Act applies to political
expen­ditures in connection with statewide judicial offices (i.e., the
office of chief jus­tice or justice of the supreme court and presiding
judge or judge of the court of criminal appeals) and non‑statewide
judicial offices (i.e., chief justice or justice of the court of
appeals, district judge, judge of the statutory county court, and judge
of the statutory probate court) \[82\].

**1. Filing of Required Candidate Declaration**. When a person becomes a
candidate for a judicial office, the person must file with the authority
with whom the candidate\'s campaign treasurer appointment is required to
be filed (1) a sworn declaration of compliance stating that the person
voluntarily agrees to comply with the expenditure limits prescribed by
the Act or (2) a written decla­ration of the person\'s intent to make
expenditures that exceed the statutorily prescribed expenditure limits
\[83\].

A judicial candidate may not knowingly accept a campaign contribution or
make or a authorize a campaign expenditure before the candidate files a
decla­ration of compliance or a declaration of intent to exceed the
statutory expendi­ture limits \[84\].

A candidate who files a declaration of compliance and then later files a
decla­ration of intent to exceed the statutory expenditure limits or a
specific‑purpose committee for supporting the candidate may not make a
political expenditure that causes the candidate to exceed the applicable
limits on expenditures before the 60th day after the date the candidate
files the declaration of intent to the exceed the expenditure limits
\[85\].

A \"complying candidate\" is a judicial candidate who files the sworn
statement of compliance; a \"noncomplying candidate\" is a judicial
candidate who (1) files a declaration of intent to exceed the
expenditure limits, (2) files a declaration of compliance but later
exceeds the expenditure limits, or (3) fails to file either dec­laration
\[86\].

**2. Use of Contributions Received to Make Expenditures**. A judicial
candidate or officeholder or a specific‑purpose committee for supporting
or op­posing a judicial candidate or assisting a judicial officeholder
may not use a po­litical contribution to make a campaign expenditure for
judicial office or to make an officeholder expenditure in connection
with a judicial office if the contribu­tion was accepted while the
candidate or officeholder was a candidate for an of­fice other than a
judicial office or held an office other than a judicial office, un­less
the person had become a candidate for judicial office \[87\].

A candidate, officeholder, or specific‑purpose committee for supporting,
op­posing, or assisting the candidate or officeholder may not use a
political contri­bution to make a campaign expenditure for an office
other than a judicial office or to make an officeholder expenditure in
connection with an office other than a judicial office if the
contribution was accepted while the candidate or officehold­er was a
candidate for a judicial office or held a judicial office, unless the
person had become a candidate for another office \[88\].

**3. Reimbursement of Personal Funds Used for Expenditures**. A judi­cial
candidate or officeholder who makes political expenditures from the
per­son\'s personal funds may not reimburse the personal funds from
political contri­butions in amounts that in the aggregate exceed for each
election in which the person\'s name appears on the ballot \$100,000 for
a statewide judicial office or 5 times the applicable contribution limit
for a non‑statewide judicial office \[89\]. The limits on reimbursement
of personal funds apply to complying judicial can­didates unless
suspended by law and also to noncomplying candidates regardless of
whether the limits on contributions, expenditures, and reimbursement of
per­sonal funds are suspended for complying candidates \[90\]. (*See
also* Section III.S.6, *infra*.)

**4. Filing of Declaration of Intent to Make Independent Expenditures
Exceeding \$5,000 or \$25,000**. A person other than a candidate,
officeholder, or the principal political committee of the state
executive committee or a county executive committee of a political party
may not make political expenditures that in the aggregate exceed \$5,000
for the purpose of supporting or opposing a candidate for a
non‑statewide judicial office or assisting such a candidate as an
officeholder or \$25,000 for the purpose of supporting or opposing a
candidate for a statewide judicial office or assisting such a candidate
as an officeholder un­less the person files with the authority with whom
a campaign treasurer ap­pointment is required to be filed or the Texas
Ethics Commission, as appropriate, a written declaration of the
person\'s intent to make expenditures that exceed the statutorily
prescribed limit. The declaration must be filed not later than the
ear­lier of (1) the date the person makes the political expenditure that
causes the person to exceed the \$5,000 or \$25,000 limit or the 60th
day before the date of the election in connection with which the
political expenditures are intended to be made \[91\].

**5. Aggregate Expenditure Limits**. Complying candidates for judicial
of­fice may not knowingly make or authorize political expenditures that
in the ag­gregate exceed for each election in which the candidate is
involved the following limits: (1) statewide judicial
office‑‑\$2,000,000; (2) office of chief justice or jus­tice of the court
of appeals‑‑\$500,000 if the population of the judicial district is more
than 1,000,000 or \$350,000 if the population of the judicial district
is 1,000,000 or less; and (3) other non‑statewide judicial
offices‑‑\$350,000 if the population of the judicial district is more
than 1,000,000, \$200,000 if the popula­tion of the judicial district is
250,000 to 1,000,000, and \$100,000 if the population of the judicial
district is less than 250,000 \[92\].

An expenditure by a specific‑purpose committee for the purpose of
supporting a candidate, for opposing the candidate\'s opponent, or for
assisting the candidate as an officeholder is considered to be an
expenditure by the candidate unless (1) the candidate or officeholder
has not received timely notice from the committee that it has accepted
political contributions or made political expenditures for the candidate
or officeholder and (2) the candidate, in an affidavit filed with the
au­thority with whom the candidate\'s campaign treasurer appointment is
required to be filed, states that the candidate\'s campaign has not
directly or indirectly communicated with the committee in regard to a
strategic matter in connection with the candidate\'s campaign \[93\]. A
political contribution to or a direct cam­paign expenditure on behalf of
a complying candidate that is made by the prin­cipal political committee
of the state executive committee or a county executive committee of a
political party is generally considered to be a political expendi­ture by
the candidate for the purposes of the expenditure limits \[94\].

**6. Exceptions to Compliance with Expenditure Limits**. A complying
candidate or a specific‑purpose committee for supporting a complying
candidate is not required to comply with the limits on contributions,
expenditures, and the reimbursement of personal funds if another
candidate for the same office becomes a noncomplying candidate. The
Texas Ethics Commission must issue an order suspending the limits on
contributions and expenditures for a specific judicial office not later
than the 5th day after it is determined that a person has become a
noncomplying candidate for judicial office \[95\].

A complying candidate for judicial office or a specific‑purpose
committee for supporting the complying candidate is not required to
comply with the limits on contributions, expenditures, and the
reimbursement of personal funds if a person other than the candidate\'s
opponent or the principal political committee of the state executive
committee or a county executive committee of a political party makes
expenditures that in the aggregate exceed \$5,000 for a non‑statewide
ju­dicial office or \$25,000 for a statewide judicial office for the
purpose of support­ing the candidate\'s opponent, opposing the candidate,
or assisting the candidate\'s opponent as an officeholder \[96\]. The
Texas Ethics Commission must issue an order suspending the limits on
contributions, expenditures, and the reimburse­ment of personal funds for
a specific judicial office not later than the 5th day af­ter it is
determined that a declaration of intent to make expenditures that exceed
the \$5,000 or \$25,000 limit, as appropriate, has been filed in
connection with the office or a political expenditure that exceeds the
applicable limit has been made \[97\]

.

**T. Candidate Accounts With Financial Institutions**. A bank, savings
and loan association, savings bank, or credit union may not open an
account in the name of a can­didate without obtaining the candidate\'s
consent and signature; however, the candidate need not be a signatory to
the account \[98\].

**U. Support of Candidates by State Agencies**. A state agency may not
use any money under its control, including appropriated money, to
finance or otherwise support the candidacy of a person for an office in
the legislative, executive, or judicial branch of federal or state
government. A state officer or employee may not use a state-owned motor
vehicle for supporting such a candidacy \[99\].

**IV. REPORTING REQUIREMENTS**

**A. Act Regulating Political Funds and Campaigns‑‑General Provisions**

**1. Coverage of the Act.** The political contribution and expenditure
limita­tions of the act regulating political funds and campaigns apply to
all persons ex­cept federal office candidates; the political reporting
provisions apply to all non‑federal‑office candidates, officeholders,
and political committees other than out‑of‑state political committees
that do not opt to be covered by the act \[100\]. The officeholders
subject to the act are persons who hold an elective public office. A
state officer‑elect or member‑elect of the legislature is considered to
be an of­ficeholder beginning on the day after the date of the general or
special election at which the officer‑elect or member‑elect was elected
\[101\].

The act does not apply to a candidate for an office of the federal
government; however, a candidate for an elective office of the federal
government is required to file with the Texas Ethics Commission a copy
of each document relating to the individual\'s candidacy that is
required to be filed under federal law. An affected document is to be
filed within the same period in which it is required to be filed under
the federal law \[102\].

The county executive committee of a political party is not required to
appoint a campaign treasurer or make regular reports of contributions,
loans, and ex­penditures but is required to maintain records of
reportable activity if it accepts political contributions or makes
political expenditures; however, if the commit­tee accepts political
contributions or makes political expenditures that exceed \$5,000 in the
aggregate in a calendar year, it is required to file (1) a campaign
treasurer appointment not later than the 15th day after the threshold
amount is exceeded and (2) the regular reports of contributions, loans,
and expenditures, including in its first report all political
contributions accepted and all political expenditures made before the
effective date of the campaign treasurer appoint­ment \[103\].

An out‑of‑state political committee is not subject to the requirements
of the act concerning the appointment of campaign treasurers or the
reporting of con­tributions, loans, and expenditures; however, an
out‑of‑state political committee may decide to file a campaign treasurer
appointment, and at the time the ap­pointment is filed, the committee
becomes subject to the act to the same extent as other political
committees. In addition, if an out‑of‑state political committee performs
an activity that removes the committee from its out‑of‑state status, the
committee becomes subject to the act to the same extent as other
political com­mittees \[104\].

**2. Definitions.** The following definitions are provided for key terms
used throughout the act:

\(1\) A \"candidate\" is a person who knowingly and willingly takes
affirmative action for the purpose of gaining nomination or election to
public office or for the purpose of satisfying financial obligations
incurred by the person in connec­tion with the campaign for nomination or
election. Examples of \"affirmative ac­tion\" are (1) the filing of a
campaign treasurer appointment, (2) the filing of an application for a
place on the ballot, (3) the filing of an application for nomina­tion by
convention, (4) the filing of a declaration of intent to become an
inde­pendent candidate or a declaration of write‑in candidacy, (5) the
making of a public announcement of a definite intent to run for public
office in a particular election, regardless of whether the specific
office is mentioned in the announce­ment, (6) before a public
announcement of intent, the making of a statement of definite intent to
run for public office and the soliciting of support by letter or other
mode of communication, (7) the soliciting or accepting of a campaign
con­tribution or the making of a campaign expenditure, and (7) the
seeking of the nomination of an executive committee of a political party
to fill a vacancy \[105\].

\(2\) A \"general‑purpose committee\" is a political committee that has
among its principal purposes (1) supporting or opposing (a) two or more
candidates who are unidentified or are seeking offices that are unknown
or (b) one or more measures that are unidentified or (2) assisting two
or more officeholders who are unidentified \[106\].

\(3\) A \"measure\" is a question or proposal submitted in an election
for an ex­pression of the voters\' will and includes the circulation and
submission of a peti­tion to determine whether a question or proposal is
required to be submitted in an election for an expression of the
voters\' will \[107\].

\(4\) An \"officeholder\" is a person who holds an elective public
office or the Texas Ethics Commission \[108\].

\(5\) An \"out‑of‑state political committee\" is a political committee
that makes political expenditures outside the state and in the 12 months
immediately pre­ceding the making of a political expenditure by the
committee inside the state (other than an expenditure made in connection
with a campaign for a federal of­fice or made for a federal officeholder)
makes 80% or more of the committee\'s total political expenditures in
any combination of elections outside the state and federal offices not
voted on in the state \[109\].

\(6\) A \"political committee\" is a group of persons that has as a
principal pur­pose accepting political contributions or making political
expenditures \[110\].

\(7\) A \"reportable activity\" is a political contribution, political
expenditure, or other activity required to be reported under the act
regulating political funds and campaigns \[111\].

\(8\) A \"specific‑purpose committee\" is a political committee that
does not have among its principal purposes those of a general‑purpose
committee, but does have among its principal purposes (1) supporting or
opposing (a) one or more candidates, all of whom are identified and are
seeking offices that are known, or (b) one or more measures, all of
which are identified, (2) assisting one or more officeholders, all of
whom are identified, or (3) supporting or opposing only one candidate
who is unidentified or who is seeking an office that is unknown \[112\].

When a reference is made to an \"election\" in the act regulating
political funds and campaigns, it refers to the \"elections\" specified
in the election code: a prim­ary election, a general election, or a
special election \[113\].

**3. Recordkeeping by Candidates, Officeholders, and Political
Com­mittees.** Every candidate, officeholder, and campaign treasurer of a
political committee is required to maintain a record of all reportable
activity, including the information necessary for filing required
reports. A person required to maintain a record of reportable activity
must preserve the record for at least two years, beginning on the filing
deadline for the report containing the informa­tion in the record
\[114\].

**4. Filing of Documents.** The deadline for filing a required report is
5 p.m. on the last day permitted for filing the report \[115\]. If the
last day for filing a report is a Saturday, Sunday, or legal state or
national holiday, the report is filed timely if filed on the next
regular business day, except as otherwise provided by the election code
\[116\]. There is no charge for filing a document \[117\].

When a notice, report, or other document or paper is required to be
delivered, submitted, or filed within a specified period or before a
specified deadline, a de­livery, submission, or filing by first‑class
United States mail or common or con­tract carrier is timely, except as
otherwise provided in the act, if it is properly addressed with postage
or handling charges prepaid and it bears a post‑office cancellation mark
or a receipt mark of a common or contract carrier indicating a time
within the period or before the deadline or if the person required to
take the action furnishes satisfactory proof that it was deposited in
the mail or with a common or contract carrier within the period or
before the deadline \[118\].

**B. Appointment of a Campaign Treasurer**. Each candidate and political
committee is required to appoint a campaign treasurer \[119\]. An
individual may appoint himself or herself as campaign treasurer \[120\].

Each specific‑purpose committee for supporting or opposing a candidate
for a statewide office, a district office filled by the voters of more
than one county, state senator, state representative, or state board of
education or for supporting or opposing a statewide or district measure
and each general‑purpose committee may appoint an assistant campaign
treasurer by written appointment. In the campaign treasurer\'s absence,
an assistant campaign treasurer has the same au­thority as the campaign
treasurer \[121\].

A campaign treasurer or assistant campaign treasurer appointment takes
effect at the time it is filed with the appropriate filing officer and
continues in effect until terminated \[122\].

A campaign treasurer appointment must be in writing and include the
cam­paign treasurer\'s name, residence or business street address, and
telephone number and the name of the person making the appointment
\[123\].

A campaign treasurer appointment by a candidate must also include the
can­didate\'s telephone number and a statement signed by the candidate
that the can­didate is aware of the nepotism law (Chapter 573 of the
Government Code). If the appointment is filed in a manner other than by
use of an officially prescribed form, it is not invalid because it fails
to comply with the requirement for ac­knowledgment of awareness of the
nepotism law \[124\].

The name of a specific‑purpose committee for supporting a candidate for
a statewide office, a district office filled by voters of more than one
county, a judicial district office filled by voters of only one county,
state senator or representative, the state board of education must
include the name of the committee that the committee supports, and the
campaign treasurer ap­pointment by a specific‑purpose committee for
supporting or opposing a such a candidate must include the name of and
the office sought by the candidate. If that information changes, the
committee must immediately file an amended ap­pointment reflecting the
change \[125\].

A campaign treasurer appointment of a general‑purpose committee also is
to include:

\(1\) The full name, as well as any acronym of the name that will be
used in the name of the committee, of each corporation, labor
organization, or other as­sociation or legal entity that directly
establishes, administers, or controls the committee, if applicable, or
the name of each person who determines to whom the committee makes
contributions or the name of each person who determines for what
purposes the committee makes expenditures. The name of a general‑purpose
committee must include the name of each corporation, labor organiza­tion,
or other association or legal entity other than an individual that
directly es­tablishes, administers, or controls the committee. The name
of an entity that is required to be included in the name of the
committee may be a commonly rec­ognized acronym by which the entity is
known.

\(2\) The full name and address of each general‑purpose committee to
whom the committee intends to make political contributions.

\(3\) The name of the committee (which may not be the same as or
deceptively similar to the name of any other general‑purpose committee
whose campaign treasurer appointment is filed with the Texas Ethics
Commission) and if the name is an acronym, the words the acronym
represents \[126\].

Campaign treasurer appointments are filed with the following filing
officers:

\(1\) Candidate for a statewide office, a district office filled by the
voters of more than one county, a judicial district office filled by
voters of only one county, state senator, state representative, or the
state board of education‑‑with the Texas Ethics Commission.

\(2\) Candidate for a county office, a precinct office, or a district
office filled by the voters of not more than one county‑‑with the county
clerk.

\(3\) Candidate for an office of a political subdivision other than a
county‑‑with the clerk or secretary of the governing body of the
political subdivision or if the political subdivision has no clerk or
secretary, with the governing body\'s presid­ing officer.

\(4\) Candidate for an office of a political subdivision other than a
county when the governing body for the political subdivision has not
been formed and no boundary of the political subdivision crosses a
boundary of a county‑‑with the county clerk.

\(5\) Candidate for an office of a political subdivision other than a
county when the governing body for the political subdivision has not
been formed and the po­litical subdivision is situated in more than one
county‑‑with the Texas Ethics Commission.

\(6\) Specific‑purpose committee for supporting or opposing a
candidate‑‑with the same filing officer with whom the campaign treasurer
appointment of the candidate for the office involved is filed.

\(7\) Specific‑purpose committee for assisting an officeholder‑‑with the
same filing officer with whom the campaign treasurer appointment of a
candidate for the office involved is filed.

\(8\) Specific‑purpose committee for supporting or opposing a measure to
be submitted to the voters of the entire state‑‑with the Texas Ethics
Commission.

\(9\) Specific‑purpose committee for supporting or opposing a measure to
be submitted to the voters of a single county in an election ordered by
a county au­thority‑‑with the county clerk.

\(10\) Specific‑purpose committee for supporting or opposing a measure
to be submitted at an election ordered by an authority of a political
subdivision other than a county‑‑with the secretary of the governing
body of the political subdivi­sion or if it has no secretary, with the
governing body\'s presiding officer.

\(11\) Specific‑purpose committee for supporting or opposing a measure
that concerns a political subdivision other than a county when the
governing body for the political subdivision has not been formed and no
boundary of the politi­cal subdivision crosses a boundary of a
county‑‑with the county clerk.

\(12\) Specific‑purpose committee for supporting or opposing a measure
that concerns a political subdivision other than a county when the
governing body for the political subdivision has not been formed and the
political subdivision is situated in more than one county‑‑with the
Texas Ethics Commission.

\(13\) Specific‑purpose committee required to file its campaign
treasurer ap­pointment with more than one filing officer‑‑with the Texas
Ethics Commission (and if so filed, need not be filed with the other
filing officers).

\(14\) General‑purpose committee‑‑with the Texas Ethics Commission
\[127\].

The written appointment of an assistant campaign treasurer of a
specific‑pur­pose committee for supporting or opposing a candidate for a
statewide office, a district office filled by the voters of more than
one county, state senator, state representative, or state board of
education or for supporting or opposing a statewide or district measure
and the written appointment of an assistant cam­paign treasurer of a
general‑purpose committee is filed with the Texas Ethics Commission
\[128\].

A specific‑purpose or general‑purpose committee that files its campaign
treas­urer appointment with the Texas Ethics Commission must notify the
Commission in writing of any change in the campaign treasurer\'s address
not later than the 10th day after the date on which the change occurs
\[129\]. If any of the informa­tion required to be included in a
general‑purpose committee\'s campaign treasur­er\'s appointment is
changed, other than a reportable change in the campaign treasurer\'s
address, the committee is required to file an amended appointment with
the Texas Ethics Commission not later than the 30th day after the date
the change occurs \[130\].

If a candidate who has filed a campaign treasurer appointment decides to
seek a different office that would require the appointment to be filed
with another fil­ing officer, a copy of the appointment certified by the
filing officer with whom it was filed originally must be filed with the
other filing officer, in addition to the new campaign treasurer
appointment. The original appointment terminates on filing a copy with
the appropriate filing officer or on the 10th day after the date the
decision to seek a different office was made, whichever is earlier
\[131\].

An appointed campaign treasurer or assistant campaign treasurer may be
re­moved at any time by the appointing authority by filing the written
appointment of a successor in the same manner as the original
appointment. The appoint­ment of a successor terminates the appointment
of the campaign treasurer or as­sistant campaign treasurer who is removed
\[132\]. If the campaign treasurer or assistant campaign treasurer of a
specific‑purpose committee required to file its campaign treasurer or
assistant campaign treasurer appointment with the Texas Ethics
Commission or of a general‑purpose committee is removed by the
com­mittee, the departing campaign treasurer or assistant campaign
treasurer is re­quired to file immediately a written notification of the
termination of appoint­ment with the Texas Ethics Commission \[133\].

If a campaign treasurer or assistant campaign treasurer resigns or
otherwise vacates the position, the appointment is terminated at the
time the vacancy oc­curs. A campaign treasurer or assistant campaign
treasurer who vacates the po­sition must notify the appointing authority
immediately in writing of the vacancy \[134\]. If the campaign treasurer
or assistant campaign treasurer of a specific‑purpose committee required
to file its campaign treasurer or assistant campaign treasurer
appointment with the Texas Ethics Commission or of a general‑purpose
committee resigns or otherwise vacates the position, the departing
campaign treasurer or assistant campaign treasurer is required to file
immediately a writ­ten notification of the vacancy with the Texas Ethics
Commission \[135\].

**C. Regular Reporting of Contributions, Loans, and Expenditures by
Candidates, Officeholders, and Political Committees**

**1. General Provisions.** Candidates, political committees
(specific‑purpose committees and general‑purpose committees), and
officeholders are required to file semiannual reports of contributions,
loans, and expenditures and, except for officeholders who are not
candidates and specific‑purpose committees support­ing only candidates
who do not have opponents whose names are to appear on the ballot,
pre‑election reports of contributions, loans, and expenditures \[136\].

A report of contributions, loans, and expenditures must include the
following information:

\(1\) The full name and address of each person who made political
contribu­tions that exceed \$50 in the aggregate and that were accepted
during the report­ing period by the person or committee required to file
the report and the amount and dates of the contributions.

\(2\) The full name and address of the person or financial institution
that made loans that exceed \$50 in the aggregate and that were made
during the reporting period for campaign or officeholder purposes to the
person or committee re­quired to file the report, the amount of the
loans, the dates the loans were made, the interest rate, the maturity
date, the type of collateral for the loans, if any, the full name and
address, principal occupation, and name of the employer of each
guarantor of the loans, the amount of the loans guaranteed by each
guarantor, and the aggregate principal amount of all outstanding loans
as of the last day of the reporting period.

\(3\) The full name and address of the person to whom political
expenditures were made that exceed \$50 in the aggregate and that were
made during the re­porting period, the amount of the expenditures, and
the dates and purposes of the expenditures.

\(4\) The full name and address of the person to whom a payment was made
during the reporting period from a political contribution if the payment
was not a political expenditure, the amount of each payment, and the
date and purpose of the payment.

\(5\) The total amount or a specific listing of the political
contributions of \$50 or less accepted during the reporting period.

\(6\) The total amount or a specific listing of the political
expenditures of \$50 or less made during the reporting period.

\(7\) The total amount of all political contributions accepted during
the report­ing period.

\(8\) The total amount of all political expenditures made during the
reporting period.

\(9\) The name of each candidate or officeholder who benefits from a
direct campaign expenditure made during the reporting period by the
person or com­mittee required to file the report and the office sought or
held; however, a direct campaign expenditure that is made by the
principal political committee of a po­litical party on behalf of a slate
of two or more nominees is excluded from this requirement \[137\].

A political contribution consisting of personal travel expense incurred
by an individual is not required to be reported if the individual
receives no reim­bursement for the expense, and a political contribution
consisting of an individu­al\'s personal service is not reportable if the
individual receives no compensation for the service \[138\].

If no reportable activity occurred during a reporting period, the person
re­quired to file the report must indicate that fact in the report
\[139\].

Each report filed with an authority other than the Texas Ethics
Commission must be on a form prescribed by the Commission and be written
in black ink or typed with black typewriter ribbon unless the report is
a computer printout. If the re­port is a computer printout, the printout
must conform to the same format and paper size as the form prescribed by
the Commission \[140\].

Unless the filer is exempted, each report filed with the Texas Ethics
Commission must be filed by computer diskette, modem, or other means of
electronic transfer, using computer software provided by the Commission
or computer software that meets Commission specifications. Each person
required to file reports with the Commission must file with the
Commission a written statement providing the manner of electronic
transfer that the person will use to file the report. This statement
must be filed not later than the 30^th^ day before the filing deadline
for the first report a person is required to file by electronic transfer
\[141\].

The following filers required to file reports with the Commission are
exempt from electronic filing and may file by paper form or computer
printout: (1) A candidate, officeholder, or political that files an
affidavit with the Commission stating that the filer, the filer's agent,
or the person with whom the filer contracts does not use computer
equipment to keep the current records of contributions, expenditures, or
contributors, (2) a filer (other than a candidate for or holder of a
statewide office or a specific-purpose committee for supporting or
opposing such a candidate or assisting such an officeholder) that in a
calendar year does not accept political contributions that exceed
\$20,000 in the aggregate or make political expenditures the exceed
\$20,000 in the aggregate, (3) a candidate for an office of a political
subdivision other than a county that is situated in more than one
county, (4) an individual required to file a report in connection with a
direct campaign expenditure, and (5) a person required to file a report
in connection with the office of district judge, district attorney, or
judge of a multicounty statutory county court \[142\].

Each report that is not filed by electronic transfer must be accompanied
by an affidavit executed by the person re­quired to file the report. The
affidavit is required to contain the statement \"I swear, or affirm,
under penalty of perjury, that the accompanying report is true and
correct and includes all information required to be reported by me under
Title 15, Election Code.\" Each report filed by electronic transfer must
be under oath by and contain the digitized signature of the person
required to file the report \[143\].

**2. Candidate Reports.** Each report of contributions, loans, and
expen­ditures by a candidate also must include the following information:

\(1\) The candidate\'s full name and address, telephone number, the
office sought, and the identity and date of the election for which the
report is filed.

\(2\) The campaign treasurer\'s full name, residence or business street
address, and telephone number.

\(3\) For each political committee from which the candidate received
written notice that the committee had accepted political contributions
or made political expenditures for the candidate, the committee\'s full
name and address, an indi­cation of whether the committee is a
general‑purpose committee or a specific‑purpose committee, and the full
name and address of the committee\'s campaign treasurer.

\(4\) The full name and address of each individual who is acting as a
campaign treasurer of a political committee after having made direct
campaign expen­ditures exceeding \$100 for the candidate and from whom
the candidate has re­ceived written notice that the individual has made
political expenditures for the candidate.

\(5\) On a separate page or pages of the report, the identification of
any pay­ment from political contributions made to a business in which the
candidate has a participating interest of more than 10%, holds a
position on the governing body of the business, or serves as an officer
of the business \[144\].

Each report by a candidate for judicial office covered by the Judicial
Cam­paign Fairness Act must also include:

\(1\) The total amount of political contributions, including interest or
other in­come, maintained in one or more accounts in which political
contributions are deposited as of the last day of the reporting period.

\(2\) for each individual from whom the person filing the report has
accepted political contributions that in the aggregate exceed \$50 and
are accepted during the reporting period, the principal occupation and
job title of the individual and the full name of the employer of the
individual or of the law firm of which the individual or the
individual\'s spouse is a member, if any, or, if the individual is a
child, the full name of the law firm of which either of the
individual\'s parents is a member, if any.

\(3\) A specific listing of each asset valued at \$500 or more that was
purchased with political contributions and on hand as of the last day of
the reporting peri­od.

\(4\) For each political contribution accepted by the person filing the
report but not received as of the last day of the reporting period, the
full name and address of the person making the contribution, the amount
of the contribution, and the date of the contribution.

\(5\) For each outstanding loan to the person filing the report as of
the last day of the reporting period, the full name and address of the
person or financial in­stitution making the loan and the full name and
address of each guarantor of the loan other than the candidate \[145\].

If an officeholder who becomes a candidate has reportable activity that
is not reported in the individual\'s report of contributions, loans, and
expenditures as an officeholder before the end of the period covered by
the first report the individ­ual is required to file as a candidate, the
reportable activity is to be included in the first report the individual
files as a candidate instead of in the next semian­nual report to be
filed as an officeholder (*see* Section IV.C.5, *infra*) \[146\].

***Semiannual Reports***. For each year, candidates are required to file
two semiannual reports of contributions, loans, and expenditures:

\(1\) Not later than July 15th, covering the period beginning January
1st, the day the candidate\'s campaign treasurer appointment was filed,
or the first day after the period covered by the last report required to
be filed, as applicable, and continuing through June 30th.

\(2\) Not later than January 15th, covering the period beginning July
1st, the day the candidate\'s campaign treasurer appointment was filed,
or the first day after the period covered by the last report required to
be filed, as applicable, and continuing through December 31st \[147\].

***Pre‑Election Reports by Opposed Candidates***. In addition to other
re­quired reports, an individual is required to file two reports for each
election (and an additional report if there is a runoff election) in
which the individual is a candidate and has an opponent whose name is to
appear on the ballot:

\(1\) Not later than the 30th day before election day, covering the
period be­ginning the day the candidate\'s campaign treasurer appointment
was filed or the first day after the period covered by the last report
required to be filed, as ap­plicable, and continuing through the 40th day
before election day.

\(2\) Not later than the 8th day before election day, covering the
period begin­ning the 39th day before election day and continuing through
the 10th day be­fore election day.

\(3\) In the event of a runoff election in which an individual is an
opposed can­didate, not later than the 8th day before runoff election
day, covering the period beginning the 9th day before the date of the
main election and continuing through the 10th day before runoff election
day \[148\].

If an individual becomes an opposed candidate after a pre‑election
reporting period, the first report must be filed not later than the
regular deadline for the report covering the period during which the
individual became an opposed can­didate. This first report covers the
period beginning the day the candidate\'s campaign treasurer appointment
was filed \[149\].

***Final Report***. If a candidate expects no reportable activity in
connection with the candidacy to occur after the period covered by a
report of contribu­tions, loans, and expenditures filed, the candidate
may designate the report as a \"final report.\" The designation of a
report as a final report relieves the can­didate of the duty to file
additional reports unless subsequent reportable activity occurs and
terminates the candidate\'s campaign treasurer appointment \[150\].

If reportable activity with respect to the candidacy occurs after a
candidate\'s final report is filed, the candidate is required to file
the appropriate reports of contributions, loans, and expenditures and is
otherwise subject to the provisions of the act regulating political
funds and campaigns applicable to candidates. A subsequent report filed
may be designated as a final report if no reportable ac­tivity is
expected to occur after the period covered by the report filed \[151\].

Reports of contributions, loans, and expenditures by candidates are
filed with the filing officer with whom the candidate\'s campaign
treasurer appointment is required to be filed (*see* Section IV.B,
*supra*) and, in the case of a candidate for a judicial district office
filled by voters only one county, with the county clerk \[152\].

**3. Specific‑Purpose Committee Reports.** Each report of contributions,
loans, and expenditures by the campaign treasurer of a specific‑purpose
commit­tee also must include the following information:

\(1\) The committee\'s full name and address.

\(2\) The campaign treasurer\'s full name, residence or business street
address, and telephone number.

\(3\) The identity and date of the election for which the report is
filed, if appli­cable.

\(4\) The name of each candidate and measure supported or opposed by the
committee, indicating for each whether the committee supports or
opposes.

\(5\) The name of each officeholder assisted by the committee.

\(6\) The amount of each political expenditure in the form of a
political contri­bution that was made to a candidate, officeholder, or
another political commit­tee and that was returned to the committee
during the reporting period, the name of the person to whom the
expenditure originally was made, and the date it was returned.

\(7\) On a separate page or pages of the report, the identification of
any pay­ment from political contributions made to a business in which the
candidate or officeholder has a participating interest of more than 10%,
holds a position on the governing body of the business, or serves as an
officer of the business.

\(8\) On a separate page or pages of the report, the identification of
any per­mitted contribution made by a corporation or labor organization
and accepted \[153\].

Each report by a specific‑purpose committee for supporting or opposing a
candidate for or assisting a holder of a judicial office covered by the
Judicial Campaign Fairness Act must also include:

\(1\) The total amount of political contributions, including interest or
other in­come, maintained in one or more accounts in which political
contributions are deposited as of the last day of the reporting period.

\(2\) for each individual from whom the person filing the report has
accepted political contributions that in the aggregate exceed \$50 and
are accepted during the reporting period, the principal occupation and
job title of the individual and the full name of the employer of the
individual or of the law firm of which the individual or the
individual\'s spouse is a member, if any, or, if the individual is a
child, the full name of the law firm of which either of the
individual\'s parents is a member, if any.

\(3\) A specific listing of each asset valued at \$500 or more that was
purchased with political contributions and on hand as of the last day of
the reporting peri­od.

\(4\) For each political contribution accepted by the person filing the
report but not received as of the last day of the reporting period, the
full name and address of the person making the contribution, the amount
of the contribution, and the date of the contribution.

\(5\) For each outstanding loan to the person filing the report as of
the last day of the reporting period, the full name and address of the
person or financial in­stitution making the loan and the full name and
address of each guarantor of the loan other than the candidate \[154\].

Reports of contributions, loans, and expenditures by specific‑purpose
commit­tees are filed with the filing officer with whom the committee\'s
campaign treas­urer appointment is required to be filed (*see* Section
IV.B, *supra*) and, in the case of a specific-purpose committee for
supporting or opposing a candidate for or assisting a holder of a
judicial district office filled by voters only one county, with the
county clerk\[155\].

***Semiannual Reports (All Committees)***. For each year, the campaign
treasurer of a specific‑purpose committee is required to file two
semiannual re­ports of contributions, loans, and expenditures:

\(1\) Not later than July 15th, covering the period beginning January
1st, the day the committee\'s campaign treasurer appointment was filed,
or the first day after the period covered by the last report required to
be filed, as applicable, and continuing through June 30th.

\(2\) Not later than January 15th, covering the period beginning July
1st, the day the committee\'s campaign treasurer appointment was filed,
or the first day after the period covered by the last report required to
be filed, as applicable, and continuing through December 31st \[156\].

***Pre‑Election Reports (Candidate‑Related or Measure‑Related
Commit­tees)***. In addition to other required reports, the committee\'s
campaign treasurer is required to file two reports for each election
(and one additional report if there is a runoff election) in which a
specific‑purpose committee supports or op­poses a candidate or measure:

\(1\) Not later than the 30th day before election day, covering the
period be­ginning the day the committee\'s campaign treasurer appointment
was filed or the first day after the period covered by the last report
required to be filed, as applicable, and continuing through the 40th day
before election day.

\(2\) Not later than the 8th day before election day, covering the
period begin­ning the 39th day before election day and continuing through
the 10th day be­fore election day.

\(3\) By a political committee that supports or opposes a candidate in
an elec­tion and an ensuing runoff election, not later than the 8th day
before runoff election day, covering the period beginning the 9th day
before the date of the main election and continuing through the 10th day
before runoff election day \[157\].

If a committee supports or opposes a candidate or measure in an election
after a pre‑election reporting period (excluding a runoff election), the
committee\'s campaign treasurer is required to file the first report not
later than the regular deadline for the report covering the period
during which the committee became involved in the election. The period
covered by the first report begins the day the committee\'s campaign
treasurer appointment was filed or the first day after the period
covered by the committee\'s last required report, as applicable \[158\].

If a specific‑purpose committee for supporting or opposing more than one
candidate becomes involved in more than one election for which the
reporting periods overlap, the reportable activity that occurs during
the overlapping period is not required to be included in a report of
contributions, loans, and expen­ditures filed after the first report in
which the activity is required to be reported \[159\].

***Final Report (Candidate‑Related or Measure‑Related Committees)***. If
a specific‑purpose committee for supporting or opposing a candidate or
measure expects no reportable activity in connection with the election
to occur after the period covered by a report of contributions, loans,
and expenditures filed, the committee\'s campaign treasurer may
designate the report as a \"final report.\" The designation of a report
as a final report relieves the campaign treasurer of the duty to file
additional reports unless subsequent reportable activity occurs and
terminates the committee\'s campaign treasurer appointment \[160\].

If reportable activity with respect to the election occurs after a
committee\'s final report is filed, the committee is required to file
the appropriate reports of contributions, loans, and expenditures and is
otherwise subject to the provisions of the act regulating political
funds and campaigns applicable to political com­mittees. A subsequent
report filed may be designated as a final report if no re­portable
activity is expected to occur after the period covered by the report
filed \[161\].

***Dissolution Report (Officeholder‑Related Committees)***. If a
specific‑purpose committee for assisting an officeholder expects no
reportable activity to occur after the period covered by a report of
contributions, loans, and expen­ditures, the committee\'s campaign
treasurer may designate the report as a \"disso­lution report.\" The
filing of a dissolution report relieves the campaign treasurer of the
duty to file additional reports and terminates the committee\'s campaign
treasurer appointment. The dissolution report must contain an affidavit
execut­ed by the campaign treasurer that states that all the committee\'s
reportable ac­tivity has been reported \[162\].

***Termination Report (All Committees)***. If the campaign treasurer
appoin­tment of a specific‑purpose committee is terminated, the campaign
treasurer is required to file a \"termination report\"; however, a
termination report is not re­quired if the termination occurs on the last
day of a reporting period and a re­port for that period is filed. The
report must be filed not later than the 10th day after the date the
campaign treasurer appointment is terminated, covering the period
beginning the day after the period covered by the last required report
filed and continuing through the day the appointment was terminated.
Report­able activity contained in a termination report is not required to
be included in any subsequent report of contributions, loans, and
expenditures of the commit­tee that is filed. The period covered by the
committee\'s first report filed after a termination report begins the
day after the date the campaign treasurer ap­pointment was terminated
\[163\].

***Reporting Exemption for Certain Specific‑Purpose Committees***. The
pre‑election reports are not required to be submitted by a
specific‑purpose committee supporting only candidates who do not have
opponents whose names are to appear on the ballot \[164\].

**4. General‑Purpose Committee Reports.** Each report of contributions,
loans, and expenditures by the campaign treasurer of a general‑purpose
commit­tee also must include the following information:

\(1\) The committee\'s full name and address.

\(2\) The campaign treasurer\'s full name, residence or business street
address, and telephone number.

\(3\) The identity and date of the election for which the report is
filed, if appli­cable.

\(4\) The name of each identified candidate or measure or classification
by po­litical party of candidates supported or opposed by the committee,
indicating for each whether the committee supports or opposes each
listed candidate, measure, or classification by party of candidates.

\(5\) The name of each identified officeholder or classification by
political par­ty of officeholders assisted by the committee.

\(6\) The principal occupation of each person from whom political
contribu­tions that in the aggregate exceed \$50 are accepted during the
reporting period.

\(7\) The amount of each political expenditure in the form of a
political contri­bution made to a candidate, officeholder, or another
political committee that was returned to the committee during the
reporting period, the name of the per­son to whom the expenditure
originally was made, and the date it was returned.

\(8\) On a separate page or pages, the identification of any permitted
contribu­tion made by a corporation or labor organization and accepted
\[165\].

If a general‑purpose committee makes a political expenditure in the form
of a political contribution to another general‑purpose committee or to
an out‑of‑state political committee and the contributing committee does
not intend that the con­tribution be used in connection with a particular
election, the contributing com­mittee must include the expenditure in the
first report of contributions, loans, and expenditures required to filed
after the expenditure was made \[166\].

Reports of contributions, loans, and expenditures by general‑purpose
commit­tees are filed with the Texas Ethics Commission \[167\].

***Semiannual Reports***. For each year, the campaign treasurer of a
general‑purpose committee is required to file two semiannual reports of
contributions, loans, and expenditures:

\(1\) Not later than July 15th, covering the period beginning January
1st, the day the committee\'s campaign treasurer appointment was filed,
or the first day after the period covered by the last report required to
be filed, as applicable, and continuing through June 30th.

\(2\) Not later than January 15th, covering the period beginning July
1st, the day the committee\'s campaign treasurer appointment was filed,
or the first day after the period covered by the last report required to
be filed, as applicable, and continuing through December 31st \[168\].

***Pre‑Election Reports***. In addition to other required reports, the
committee\'s campaign treasurer is required to file two reports for each
election (and an addi­tional report if there is a runoff election) in
which a general‑purpose committee is involved:

\(1\) Not later than the 30th day before election day, covering the
period be­ginning the day the committee\'s campaign treasurer appointment
was filed or the first day after the period covered by the last report
required to be filed, as applicable, and continuing through the 40th day
before election day.

\(2\) Not later than the 8th day before election day, covering the
period begin­ning the 39th day before election day and continuing through
the 10th day be­fore election day.

\(3\) By a committee involved in an election and an ensuing runoff
election, not earlier than the 10th day or later than the 8th day before
runoff election day, covering the period beginning the 9th day before
the date of the main elec­tion and continuing through the 10th day before
runoff election day \[169\].

If a committee becomes involved in an election after a pre‑election
reporting period (excluding a runoff election), the committee\'s
campaign treasurer is re­quired to file the first report not later than
the regular deadline for the report covering the period during which the
committee became involved in the elec­tion. The period covered by the
first report begins the day the committee\'s campaign treasurer
appointment was filed or the first day after the period cov­ered by the
committee\'s last required report, as applicable \[170\].

***Alternative Monthly Reports***. A general‑purpose committee may file
monthly reports of contributions, loans, and expenditures as an
alternative to fil­ing semiannual and pre‑election reports. To be
entitled to file monthly reports, the committee must deliver written
notice of the committee\'s intent to file monthly to the Texas Ethics
Commission not earlier than January 1st or later than January 15th of
the year in which the committee intends to file monthly. The notice for
a committee formed after January 15th must be delivered at the time the
committee\'s campaign treasurer appointment is filed \[171\].

Each monthly report must include the information required for semiannual
and pre‑election reports, except that the maximum amount of a political
contri­bution, expenditure, or loan that is not required to be reported
individually is \$10 in the aggregate \[172\].

The committee\'s campaign treasurer is required to file a monthly report
with the Texas Ethics Commission not later than the 5th day of the month
following the period covered by the report for the period beginning the
26th day of each month and continuing through the 25th day of the
following month, except that the period covered by the first report
begins January 1st and continues through January 25th \[173\].

If the campaign treasurer appointment of a general‑purpose committee
filing monthly reports is filed after January 1st of the year in which
monthly reports are filed, the period covered by the first monthly
report begins the day the ap­pointment was filed and continues through
the 25th day of the month in which the appointment was filed; however,
if the appointment was filed on the 25th or a succeeding day of the
month, the period covered continues through the 25th day of the month
following the month in which the appointment was filed \[174\].

A committee that files monthly reports may revert to the regular filing
sched­ule by delivering written notice of the committee\'s intent to the
Texas Ethics Commission not earlier than January 1st or later than
January 15th of the year in which the committee intends to revert to the
regular reporting schedule. The notice must include a report of all
political contributions accepted and all politi­cal expenditures made
that were not previously reported \[175\].

***Dissolution Report***. If a general‑purpose committee expects no
reportable activity to occur after the period covered by a report of
contributions, loans, and expenditures, the committee\'s campaign
treasurer may designate the report as a \"dissolution report.\" The
filing of a dissolution report relieves the campaign treasurer of the
duty to file additional reports and terminates the committee\'s campaign
treasurer appointment. The dissolution report must contain an affida­vit
executed by the campaign treasurer that states that all the committee\'s
re­portable activity has been reported \[176\].

***Termination Report***. If the campaign treasurer appointment of a
general‑purpose committee is terminated, the campaign treasurer is
required to file a \"termination report\"; however, a termination report
is not required if the termi­nation occurs on the last day of a reporting
period and a report for that period is filed. The report must be filed
not later than the 10th day after the date the campaign treasurer
appointment is terminated, covering the period beginning the day after
the period covered by the last required report filed and continuing
through the day the appointment was terminated. Reportable activity
contained in a termination report is not required to be included in any
subsequent report of contributions, loans, and expenditures of the
committee that is filed. The pe­riod covered by the committee\'s first
report filed after a termination report be­gins the day after the date
the campaign treasurer appointment was terminated \[177\].

**5. Officeholder Reports.** Each report of contributions, loans, and
expen­ditures by an officeholder also must include:

\(1\) The officeholder\'s full name and address and the office held.

\(2\) For each political committee from which the officeholder received
writ­ten notice that the committee had accepted political contributions
or made polit­ical expenditures for the officeholder, the committee\'s
full name and address, an indication of whether the committee is a
general‑purpose committee or a specif­ic‑purpose committee, and the full
name and address of the committee\'s cam­paign treasurer.

\(3\) On a separate page or pages of the report, the identification of
any pay­ment from political contributions made to a business in which the
officeholder has a participating interest of more than 10%, holds a
position on the governing body of the business, or serves as an officer
of the business \[178\].

Each report by a holder of a judicial office covered by the Judicial
Campaign Fairness Act must also include:

\(1\) The total amount of political contributions, including interest or
other in­come, maintained in one or more accounts in which political
contributions are deposited as of the last day of the reporting period.

\(2\) for each individual from whom the person filing the report has
accepted political contributions that in the aggregate exceed \$50 and
are accepted during the reporting period, the principal occupation and
job title of the individual and the full name of the employer of the
individual or of the law firm of which the individual or the
individual\'s spouse is a member, if any, or, if the individual is a
child, the full name of the law firm of which either of the
individual\'s parents is a member, if any.

\(3\) A specific listing of each asset valued at \$500 or more that was
purchased with political contributions and on hand as of the last day of
the reporting peri­od.

\(4\) For each political contribution accepted by the person filing the
report but not received as of the last day of the reporting period, the
full name and address of the person making the contribution, the amount
of the contribution, and the date of the contribution.

\(5\) For each outstanding loan to the person filing the report as of
the last day of the reporting period, the full name and address of the
person or financial in­stitution making the loan and the full name and
address of each guarantor of the loan other than the candidate \[179\].

An officeholder is not required to report officeholder expenditures made
from the officeholder\'s personal funds (except as provided in Section
III.O, *supra*) \[180\].

Officeholder reports of contributions, loans, and expenditures are filed
with the filing officer with whom a campaign treasurer appointment by a
candidate for the office held by the officeholder is required to be
filed (*see* Section IV.B, *supra*) and, in the case of a holder of a
judicial district office filled by voters only one county, with the
county clerk\[181\].

***Semiannual Reports***. For each year, officeholders are required to
file two semiannual reports of contributions, loans, and expenditures:

\(1\) Not later than July 15th, covering the period beginning January
1st, the day the officeholder took office, or the first day after the
period covered by the last report required to be filed, as applicable,
and continuing through June 30th.

\(2\) Not later than January 15th, covering the period beginning July
1st, the day the officeholder took office, or the first day after the
period covered by the last report required to be filed, as applicable,
and continuing through December 31st \[182\].

***Report After Appointment of a Campaign Treasurer***. An additional
re­port is required to be filed by an officeholder who appoints a
campaign treasur­er. The report must be filed not later than the 15th day
after the date the offi­ceholder\'s campaign treasurer is appointed,
covering the period beginning the 1st day after the period covered by
the last report required to be filed or the day the officeholder took
office, as applicable, and continuing through the day be­fore the date
the officeholder\'s campaign treasurer was appointed \[183\]. An
of­ficeholder who becomes a candidate is subject to the reporting
requirements and filing schedule for candidates during each period
covered by a report of contri­butions, loans, and expenditures required
to be filed by a candidate \[184\].

***Reporting Exemption for Certain Local Officeholders***. If at the end
of any reporting period an officeholder who is required to file reports
of contribu­tions, loans, and expenditures with a filing officer other
than the Texas Ethics Commission has not accepted political
contributions that exceed \$500 in the ag­gregate or made political
expenditures that exceed \$500 in the aggregate, the of­ficeholder is not
required to file a report covering that reporting period \[185\].

**D. Modified Reporting by Opposed Candidates or Specific‑Purpose
Committees With Aggregate Contributions or Expenditures of \$500 or
Less.** An opposed candidate or specific‑purpose committee required to
file re­ports of contributions, loans, and expenditures may file only
semiannual reports if the candidate or committee does not intend in
connection with an election to accept political contributions that
exceed \$500 in the aggregate or to make polit­ical expenditures
(excluding a candidate\'s filing fee) that exceed \$500 in the ag­gregate
\[186\]. The requirements for regular reporting apply to modified
report­ing to the extent they do not conflict with the modified‑reporting
requirements \[187\].

To be entitled to use the modified reporting schedule, an opposed
candidate or specific‑purpose committee is required to file with the
campaign treasurer ap­pointment a written declaration of intent not to
exceed \$500 in political contri­butions or political expenditures in the
election. The declaration of intent must contain a statement that the
candidate or committee understands that if the \$500 maximum for
contributions and expenditures is exceeded, the regular reports of
contributions, loans, and expenditures must be filed \[188\].

An opposed candidate or specific‑purpose committee that exceeds \$500 in
po­litical contributions or political expenditures in the election is
required to file re­ports of contributions, loans, and expenditures in
accordance with the require­ments and schedule for regular reports. If a
candidate or committee exceeds the \$500 maximum after the filing
deadline prescribed for the first regular report of contributions,
loans, and expenditures to be filed, the candidate or committee must
file a report not later than 48 hours after the maximum is exceeded,
cover­ing the period beginning the day the campaign treasurer appointment
was filed and continuing through the day the maximum was exceeded. The
reporting pe­riod for the next report begins on the day after the last
day of the period cov­ered by the first regular report \[189\].

**E. Report of Large Pre‑Election Contributions or Expenditures**. In
ad­dition to the other required reports of contributions, loans, and
expenditures, a report of large aggregate political contributions
accepted or large aggregate di­rect campaign expenditures made during the
period beginning the 9th day be­fore election day and ending at noon on
the 2nd day before election day must be filed with the Texas Ethics
Commission by the following persons by telegram or telephonic facsimile
machine or by hand not later than 48 hours after the contri­bution is
accepted or expenditure made:

\(1\) A candidate for statewide office who has an opponent whose name is
to appear on the ballot and who accepts political contributions from a
person that in the aggregate exceed \$1,000.

\(2\) A candidate for state senator who has an opponent whose name is to
ap­pear on the ballot and who accepts political contributions from a
person that in the aggregate exceed \$1,000.

\(3\) A candidate for state representative who has an opponent whose
name is to appear on the ballot and who accepts political contributions
from a person that in the aggregate exceed \$200.

\(4\) A specific-purpose committee for supporting or opposing a
candidate for statewide office and that accepts political contributions
from a person that in the aggregate exceed \$1,000.

\(3\) A specific‑purpose committee for supporting or opposing a
candidate for state senator that accepts political contributions from a
person that in the ag­gregate exceed \$1,000.

\(4\) A specific‑purpose committee for supporting or opposing a
candidate for state representative that accepts political contributions
from a person that in the aggregate exceed \$200.

\(5\) A general‑purpose committee that makes direct campaign
expenditures supporting or opposing either a single candidate that in
the aggregate exceed \$1,000 or a group of candidates that in the
aggregate exceed \$15,000 \[190\].

The report of contributions must include the full name and address of
the per­son making the contributions and the amount and date of the
contributions, and the report of direct campaign expenditures is to
include the full name and ad­dress of the persons to whom the
expenditures were made and the amount, dates, and purposes of the
expenditures \[191\]. The requirements pertaining to the form of a
report of contributions, loans, and expenditures and the accompa­nying
sworn affidavit do not apply to reports of large aggregate pre‑election
contributions or direct campaign expenditures \[192\].

**F. Political Committee Notice of Contributions or Expenditures for a
Candidate or Officeholder.** If a specific‑purpose or a general‑purpose
com­mittee, other than the principal political committee of a political
party or a polit­ical committee established by a political party\'s
county executive committee, ac­cepts political contributions or makes
political expenditures for a candidate or officeholder, the committee\'s
campaign treasurer is required to deliver written notice of that fact to
the affected candidate or officeholder not later than the end of the
reporting period in which the reportable activity occurs. The notice is
to include the full name and address of the political committee and its
campaign treasurer and an indication that the committee is a
specific‑purpose or general‑purpose committee, as appropriate \[193\].

**G. Notice of Change in Political Committee Status.** If a
specific‑purpose committee changes its operation and becomes a
general‑purpose committee or a general‑purpose committee changes its
operation and becomes a specific‑pur­pose committee, the committee\'s
campaign treasurer is required to deliver writ­ten notice of the change
in status to the filing officer with whom the committee\'s reports of
contributions, loans, and expenditures are required to be filed in the
case of a specific‑purpose committee and to the Texas Ethics Commission
in the case of a general‑purpose committee. The notice must be delivered
not later than the next deadline for filing a report of contributions,
loans, and expen­ditures that occurs after the change in status and would
be applicable to the committee if the committee had not changed its
status. The notice is to indicate the filing officer with whom future
filings are expected to be made \[194\].

**H. Report of Contributions Received During a Special Legislative
Ses­sion.** A political contribution that is accepted during the period
beginning on the date the governor signs the proclamation calling a
special legislative session and continuing through the date of final
adjournment must be reported to the Texas Ethics Commission not later
than the 30th day after the date of final ad­journment by the following
recipients of such contributions:

\(1\) A statewide officeholder, a member of the legislature, or a
specific‑pur­pose committee for supporting, opposing, or assisting a
statewide officeholder or member of the legislature.

\(2\) A candidate for statewide office or the legislature or a
specific‑purpose committee for supporting or opposing the candidate
\[195\].

A report is not required if a person required to report a contribution
during a special legislative session is required to file another report
under the law regulat­ing political funds and campaigns not later than
the 10th day after the date a special- legislative‑session report would
be due \[196\].

A determination to accept or refuse the political contribution must be
made not later than the 3rd day after the date the contribution was
received \[197\].

The contribution report must include the amount of the political
contribution, the full name and address of the person making the
contribution, and the date of the contribution \[198\].

**I. Special Requirements for Political Parties.** The state or county
execu­tive committee of a political party may designate a general‑purpose
committee as the principal political committee for that party in the
state or county, as appli­cable \[199\].

A political party that accepts an authorized contribution from a
corporation or labor organization may use the contribution only to (1)
defray normal overhead and administrative or operating costs incurred by
the party or (2) administer a primary election or convention held by the
party. A political party that accepts corporate and labor organization
contributions must them in a separate account \[200\].

A party that accepts corporate and labor organization contributions must
re­port all contributions and expenditures made to and from the account
main­tained for such contributions. The report must be filed with the
Texas Ethics Commission and include the information required in a report
of contributions, loans, and expenditures by candidates, officeholders,
and political committees as if the con­tributions or expenditures were
political contributions or political expenditures \[201\].

Certain of the political reporting provisions of the law regulating
political funds and campaigns (recordkeeping, time for accepting
contributions or making expenditures, forms and affidavits, and filing
deadline on day a report is due) apply to a political party report as if
the party chair were a campaign treasurer of a political committee and
as if the contributions or expenditures were political contributions or
political expenditures \[202\].

The Texas Ethics Commission is required to prescribe by rule reporting
sched­ules for each primary election held by the political party and for
the general election for state and county officers \[203\].

A political party may not knowingly accept a contribution from a
corporation or labor organization or make an expenditure from the
account maintained for such contributions beginning on the 60th day
before the date of the general elec­tion for state and county officers
and continuing through the day of the general election \[204\].

A candidate for state chair of a political party with a nominee on the
ballot in the most recent gubernatorial general election is subject to
the requirements of the law regulating political funds and campaigns
that apply to a candidate for public office. A political committee that
supports or opposes such a candidate for state chair is subject to the
provisions of the law regulating political funds and campaigns that
apply to any other committee that supports or opposes can­didates for
public office. Each contribution to and expenditure by a state chair
candidate or supporting or opposing political committee is subject to
the same requirements of the law regulating political funds and
campaigns as a political contribution to or a political expenditure by a
candidate for public office or a specific‑purpose committee, as
applicable \[205\].

The definition of a \"candidate\" in the law regulating political funds
and cam­paigns does not apply to elections for state chairman of a
political party with a nominee on the ballot in the most recent
gubernatorial election \[206\].

Except as provided for a violation of the prohibition against acceptance
or ex­penditure of corporate or labor organization contributions 60 days
before a gen­eral election for state and county officers, a person who
knowing uses a corpo­rate or labor organization for other than an
authorized purpose or who knowing­ly fails to comply with the law on
corporate and labor organization contributions to political parties or
the election of state chairmen of political parties with a nominee on
the ballot in the most recent gubernatorial election commits a class A
misdemeanor \[207\].

The Texas Ethics Commission is required to adopt rules to implement the
law on corporate and labor organization contributions to political
parties or the elec­tion of state chairmen of political parties with a
nominee on the ballot in the most recent gubernatorial election. By
rule, the Commission also must prescribe reporting schedules for
candidates and political committees supporting or oppos­ing candidates
covered by the law \[208\].

**J. Candidate Financial Statement**

**1. Designated Elected Officer Candidates**. Partisan and independent
candidates for an office as an elected officer must file a verified
financial state­ment with the Texas Ethics Commission. This statement
must include for the preceding calendar year an account of the financial
activity of the candidate and an account of the financial activity of
the candidate\'s spouse and dependent children if the candidate had
actual control over the activity \[209\]. An \"elected officer\" is a
member of the legislature, an executive or judicial officer elected in a
statewide election, a judge of a court of civil appeals or a district
court, a member of the state board of education, or a district attorney
or criminal district attorney \[210\].

A candidate must file the financial statement not later than the 40th
day after regular filing deadline for an application for a place on the
ballot in the general primary election. If the deadline under which a
candidate files an application for a place on the ballot, other than the
regular filing deadline for an independ­ent candidate, or files a
declaration of write‑in candidacy falls after the regular filing
deadline for candidates in the general primary election, the candidate
must file the financial statement not later than the 30th day after that
later deadline; however, if that deadline falls after the 35th day
before the election in which the candidate is running, the candidate is
to file the statement by the 5th day before the election. A candidate in
a special election must file the financial statement not later than the
5th day before the election. An individual nominated to fill a vacancy
in a nomination as a candidate must file the financial statement not
later than the 15th day after the certification of nomination is filed
\[211\].

An individual who has already filed a financial statement covering the
preced­ing calendar year as required under another provision of the
personal financial statement law is not required to file another
financial statement as a candidate if, before the deadline for filing as
a candidate, the individual notifies the Texas Ethics Commission in
writing that he or she has already filed a financial state­ment \[212\].

**2. Designated County Office Candidates in Counties of 100,000 or
More**. Candidates for county judge, county commissioner, and county
attorney in counties with a population of 100,000 or more are required
to file a financial statement with the county clerk within the time
prescribed for filing by desig­nated elective officer candidates. The
county clerk may design a new form for financial statements or require
use of the form designed by the Texas Ethics Commission for use by
designated elected officer candidates \[213\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Annual Report of Unexpended Contributions by a Former Office­holder
or Unsuccessful Candidate.** A former officeholder or unsuccessful
candidate who has unexpended political contributions after filing the
last re­quired report of contributions, loans, and expenditures is
required to file an an­nual report for each year in which the person
retains unexpended contributions \[214\].

The annual report of unexpended contributions must be filed with the
filing officer with whom the person\'s campaign treasurer appointment is
required to be filed (*see* Section IV.B, *supra*) not earlier than
January 1st or later than January 15th of each year following the year
in which the person filed a final report of contributions, loans, and
expenditures \[215\].

The report is to include (1) the person\'s full name and address, (2)
the full name and address of each person to whom a payment from
unexpended political contributions was made during the previous year,
(3) the date, amount, and pur­pose of each payment from unexpended
contributions, (4) the total amount of unexpended political
contributions as of December 31st of the previous year, and (5) the
total amount of interest and other income earned on unexpended
contributions during the previous year \[216\].

**B. Report of Disposition of Unexpended Contributions by a Former
Officeholder or Candidate.** A former officeholder or candidate who has
un­expended political contributions at the end of the 6‑year period for
retention of such contributions is required to file a report of the
disposition of the contribu­tions. The report is to be filed not later
than the 30th day after the ending date for the 6‑year period with the
filing officer with whom the person\'s campaign treasurer appointment is
required to be filed (*see* Section IV.B, *supra*). The re­port must
include the full name and address of the person disposing of the
con­tributions, the full name and address of each person to whom a
payment from unexpended political contributions was made, and the date
and amount of each payment \[217\].

**VI. OFFENSES AND PENALTIES**

**A. Administrative Enforcement Procedure.** The Texas Ethics Commission
may hold hearings, on its own motion adopted by an affirmative record
vote of at least 6 members or on a sworn complaint, render decisions on
complaints or reports of violations, and agree to a settlement of issues
\[218\].

An individual may file with the Texas Ethics Commission a sworn
complaint al­leging that a person has violated a Commission rule or a law
administered and enforced by the Commission. The Commission may also
initiate a preliminary review of a matter on its own motion without a
sworn complaint. The statutory procedure includes a form review,
preliminary review, and informal hearing to determine whether (1) the
complaint conforms to the form requirements, (2) the Commission has
jurisdiction over the violation alleged, (3) there is credible evi­dence
for the Commission to determine that a violation occurred, and (4) the
violation was technical or de minimis. If the Commission determines that
there is credible evidence, it must attempt to resolve and settle the
complaint or mo­tion to the extent possible. If the complaint cannot be
resolved and settled, the Commission must order, schedule, and provide
notice of a formal hearing \[219\].

During the formal hearing, the Commission is to determine by clear and
con­vincing evidence whether a violation within the jurisdiction of the
Commission occurred. Not later the 30th business day after the formal
hearing, the Commission must issue a final decision stating the
resolution of the formal hearing and a written report stating in detail
its findings of fact, conclusions of law, and rec­ommendation of criminal
referral or imposition of civil penalty, if any \[220\].

If an alleged violation involves an election in which the accused is a
candidate, a candidate\'s campaign treasurer, or the campaign treasurer
of a political com­mittee supporting or opposing a candidate and a
complaint is filed within 60 days before the date of the election, the
Commission is required to delay referral of the complaint until the day
after election day or, if the accused is involved in a runoff election,
the day after runoff election day. However, if the election in­volved in
the violation is a primary election and the accused is involved in the
succeeding general election, the referral must be delayed until the day
after gen­eral election day \[221\].

The Commission may (1) impose a civil penalty of not more than \$5,000
or triple the amount at issue under a law administered and enforced by
the Commission, whichever amount is greater, for a delay in complying
with a Commission order or for a violation of a law administered and
enforced by the Commission, (2) impose a civil penalty of not more than
\$10,000 for the filing of a frivo­lous or bad‑faith complaint, (3)
notify the appropriate regulatory or supervisory entity of a violation
of a law administered and enforced by the Commission, (4) issue and
enforce cease and desist orders to stop violations, and (5) issue
affir­mative orders to require compliance with laws administered and
enforced by the Commission \[222\].

**B. Civil Liability**

**1. Liability to Candidates.** A person who knowingly makes or accepts
a campaign contribution or makes a campaign expenditure in violation of
the sta­tutory restrictions on contributions and expenditures is liable
to affected candi­dates for damages. If the contribution or expenditure
is in support of a can­didate, each opposing candidate whose name appears
on the ballot is entitled to recover damages, and if the contribution or
expenditure is in opposition to a candidate, the opposed candidate is
entitled to recover damages. The recover­able damages are twice the value
of the unlawful contribution or expenditure and reasonable attorney\'s
fees incurred in the suit \[223\].

A candidate or campaign treasurer or assistant campaign treasurer of a
politi­cal committee that fails to report in whole or in part a campaign
contribution or campaign expenditure as required in a report of
contributions, loans, and expen­ditures is liable for damages to each
opposing candidate whose name appears on the ballot for twice the amount
not reported that is required to be reported and for reasonable
attorney\'s fees incurred in the suit \[224\].

**2. Liability to Political Committees.** A corporation or labor
organization that knowingly makes a campaign contribution to a political
committee or a di­rect campaign expenditure in violation of the
restrictions on contributions and expenditures by corporations and labor
organizations is liable for damages to each political committee of
opposing interest in the election in connection with which the
contribution or expenditure was made. The recoverable damages are twice
the value of the unlawful contribution or expenditure and reasonable
at­torney\'s fees incurred in the suit \[225\].

**3. Liability to the State.** A candidate, officeholder, or campaign
treasurer or assistant campaign treasurer of a political committee that
fails to report in whole or in part a political contribution or
political expenditure as required is li­able in damages to the state in
the amount of triple the amount not reported that is required to be
reported \[226\].

A person who knowingly makes or accepts a political contribution or
makes a political expenditure in violation of the restrictions on
contributions and expen­ditures is liable for damages to the state in the
amount of triple the value of the unlawful contribution or expenditure
\[227\].

A person who converts a political contribution to his or her personal
use in violation of the restrictions on the personal use of
contributions is civilly liable to the state for an amount equal to the
amount of the converted contribution plus reasonable court costs
\[228\].

**4. Liability Under the Judicial Campaign Fairness Act.** A person who
violates the restrictions on political contributions, political
expenditures, and re­imbursement of personal funds under the Judicial
Campaign Fairness Act is li­able for a civil penalty not to exceed three
times the amount in violation of the Act \[229\].

**C. Civil Penalty for Late Report.** The Texas Ethics Commission is
required to determine from any available evidence whether a report of
large pre‑election contributions or expenditures, other than a telegram
report, required to be filed with the Commission is late. If a report is
determined to be late, the person re­quired to file the report is civilly
liable to the state for an amount determined by Commission rule but not
to exceed \$100 for each day that the report is late. If the report is
more than 30 days late, the Commission must issue a warning of li­ability
by registered mail to the late filer. If the penalty is not paid before
the 10th day after the date on which the warning was received, the
person is liable for a penalty in an amount determined by Commission
rule, but not to exceed \$10,000 \[230\].

**D. Criminal Liability.** The act regulating political funds and
campaigns makes certain violations of the act a criminal offense:

\(1\) A person who is required to file a report of contributions, loans,
and ex­penditures commits a Class C misdemeanor if the person knowingly
fails to (1) file the report on time, (2) file a report by computer
diskette, modem, or other means of electronic transfer if required to
file by electronic transfer, or (3) include in the report information
that is required to be included. If a candidate or officeholder fails to
include the required information for each political committee from which
the candidate or officeholder received written notice that the committee
had accepted political contributions or made political expenditures for
the candidate or the officeholder, the violation is a Class A
misdemeanor \[231\].

\(2\) An officer or employee of a political subdivision that spends or
authorizes the spending of public funds for political advertising
commits a Class A misde­meanor \[232\].

\(3\) A person who knowingly makes or authorizes a direct campaign
expendi­ture, other than a person expressly permitted to do so, commits a
Class A mis­demeanor \[233\].

\(4\) A person who knowingly makes or authorizes a political
contribution or political expenditure in the name of or on behalf of
another without making the required written disclosure commits a Class A
misdemeanor \[234\].

\(5\) A candidate, officeholder, or specific‑purpose committee that
knowingly accepts from a contributor in a reporting period political
contributions in cash that exceed \$100 in the aggregate commits a Class
A misdemeanor \[235\].

\(6\) A person who knowingly makes a political contribution in violation
of the restrictions on contributions and expenditures or who knowingly
accepts a polit­ical contribution the person knows to have been made in
violation of the restric­tions on contributions and expenditures commits
a Class A misdemeanor; how­ever, the violation is a felony of the third
degree if the contribution is made in violation of the restrictions on
contributions and expenditures by corporations or labor organizations.
The prohibitions do not apply to a political contribution made or
accepted in violation of the Judicial Campaign Fairness Act \[236\].

\(7\) A person who knowingly makes or authorizes a political expenditure
in violation of the restrictions on contributions and expenditures
commits a Class A misdemeanor. This prohibition does not apply to a
political expenditure made or authorized in violation of the Judicial
Campaign Fairness Act \[237\].

\(8\) A person who knowingly makes or authorizes a political expenditure
wholly or in part from a political contribution the person knows to have
been made in violation of the restrictions on contributions and
expenditures commits a Class A misdemeanor. This prohibition does not
apply to a political expendi­ture prohibited by the Judicial Campaign
Fairness Act or made from a political contribution in violation of that
Act \[238\].

\(9\) A candidate or political committee that knowingly accepts
contributions or makes or authorizes contributions or expenditures
without complying with the requirements for having a previously filed
campaign treasurer appointment in effect commits a Class A misdemeanor
\[239\].

\(10\) A general‑purpose committee that knowingly makes or authorizes a
po­litical contribution or political expenditure in violation of the
restrictions on con­tributions and expenditures by general‑purpose
committees commits a Class A misdemeanor \[240\].

\(11\) A candidate, officeholder, or political committee that knowingly
accepts political contributions in a reporting period totaling more than
\$500 from an out‑of‑state political committee without having received
the required documen­tation from the out‑of‑state committee commits a
Class A misdemeanor \[241\].

\(12\) A person who knowingly makes or accepts a political contribution
that is prohibited 30 days before and during a regular state legislative
session commits a Class A misdemeanor \[242\].

\(13\) A corporation or labor organization that makes an unauthorized or
pro­hibited political contribution or political expenditure commits a
felony of the third degree \[243\].

\(14\) An officer, director, or other agent of a corporation or labor
organiza­tion that violates the restrictions on contributions and
expenditures by corpora­tions or labor organizations is punishable for
the grade of offense applicable to the corporation or labor organization
\[244\].

\(15\) A corporation, labor organization, or political committee
assisted by a corporation or labor organization that violates the
prohibition against the obtain­ing of money or other thing of value or
the accepting or using of money or other thing of value obtained through
the use or threat of use of physical force, job discrimination, or
financial reprisal commits a felony of the third degree \[245\].

\(16\) A corporation that makes a prohibited loan to a candidate,
officeholder, or political committee commits a felony of the third
degree \[246\].

\(17\) A campaign treasurer of a specific‑purpose committee that accepts
con­tributions or makes political expenditures for a candidate or
officeholder com­mits a Class A misdemeanor if he or she fails to deliver
the required written no­tice of the contribution or expenditure to the
affected candidate or officeholder by the prescribed deadline \[247\].

\(18\) The campaign treasurer of a specific‑purpose committee that
changes its operation and becomes a general‑purpose committee commits a
Class B misde­meanor if he or she fails to deliver the required notice of
the change in status to the appropriate filing officer by the prescribed
deadline \[248\].

\(19\) A candidate, officeholder, or political committee that fails to
return a re­ceived but unaccepted political contribution by the
prescribed deadline commits a Class A misdemeanor \[249\].

\(20\) A person who violates the prohibition against making or accepting
politi­cal contributions in the Capitol commits a class A misdemeanor
\[250\].

\(21\) A corporation or labor organization that knowingly makes a
contribution to a political party during the 60‑day period before a
general election for state and county offices commits a felony of the
third degree \[251\].

\(22\) A person who violates the prohibition against payments for
personal services of a candidate, officeholder, or family member of a
candidate or office­holder from political contributions commits a class A
misdemeanor \[252\].

\(23\) A person who violates the restrictions on the reimbursement of
personal funds and repayment of loans from political contributions
commits a class A misdemeanor \[253\].

\(24\) A person who violates the prohibition against payment of the
costs of purchasing real property from political contributions commits a
class A misde­meanor \[254\].

\(25\) A person who knowingly accepts a contribution for a political
party from a corporation or labor organization or knowingly makes an
expenditure from the account required to be maintained for such
contributions commits a felony of the third degree \[255\].

A county elections administrator who makes a political contribution or a
polit­ical expenditure commits a Class A misdemeanor. Upon final
conviction, the administrator\'s employment is terminated, and the
convicted person is ineligible for future employment as a county
elections administrator \[256\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Texas Ethics Commission.** The Texas Ethics Commission administers
and enforces the law regulating political funds and campaigns and the
law on standards of conduct of state officers and employees \[257\].

The Commission is required to (1) perform any other powers or duties
given the Commission under any law it administers and enforces, (2)
prescribe forms for statements and reports required to be filed with the
Commission and provide for the distribution of the forms, (3) establish
specifications for and provide or approve computer software for
reporting by electronic transfer, (4) adopt by rule and publish a manual
that es­tablishes uniform methods of accounting and reporting, (5) assign
an account number to each person required to file a statement or report
with the Commission, and (6) issue written advisory opinions \[258\].
Political reporting forms must be furnished to each political party\'s
state executive committee and county chair of each county executive
committee \[259\].

The Commission must make each report filed with the Commission by
electronic transfer available to the public on the internet not later
than the second business day after the date the report is filed. The
Commission must delay making a report (except a telegram report of a
large pre-election contribution) filed for a reporting deadline by any
candidate for a particular office or by a specific-purpose committee for
supporting or opposing only one candidate for a particular office
available to the public on the internet until every candidate for that
office and every specific-purpose committee for supporting or opposing
only one candidate for that office (other than a candidate or committee
exempted from reporting by electronic transfer) have filed a report for
that reporting deadline; nevertheless, the Commission must make a report
available on the internet and by any other electronic means no later
than the 4^th^ day after the filing deadline in the case of an
opposed-candidate's pre-election report due on the 8^th^ day before
election day and no later than the 21^st^ day after the filing deadline
for any other required report \[260\].

The Commission may (1) issue subpoenas, hold hearings, render decisions
on complaints or reports of violations, and agree to settlement of
issues, (2) initiate civil enforcement actions and refer matters to the
appropriate prosecuting attor­ney for criminal prosecution, (3)
disseminate through pamphlets and seminars explanations and compliance
guidelines concerning laws administered and en­forced by the Commission,
(4) adopt rules to administer laws administered and enforced by the
Commission, and (5) set reasonable dollars amounts as reporting or
registration thresholds when authorized by law to determine the amounts
\[261\].

The Commission may review for facial compliance a statement or report
filed with the Commission, review any available documents, and return
any statement or report for resubmission if it does not comply with the
law \[262\].

The Texas Ethics Commission is the designated filing office for campaign
treasurer appointments and reports of contributions, loans, and
expenditures filed by (1) a candidate for statewide office, multi‑county
district office, state senator or representative, state board of
education, or non‑county political sub­division office when the political
subdivision does not have a governing body and is located in more than
one county, (2) a specific‑purpose committee when the Texas Ethics
Commission is the filing officer for the candidate or officeholder
involved, a statewide measure is involved, or a local measure is
involved in a non‑county political subdivision when the political
subdivision does not have a governing body and is located in more than
one county, (3) a specific‑purpose committee that is required to file
its campaign treasurer appointment with more than one filing officer,
and (4) a general‑purpose committee \[263\]. Reports of large
pre‑election contributions or expenditures also are filed with the Texas
Ethics Commission \[264\].

The Texas Ethics Commission is required to notify each person
responsible for filing a report of contributions, loans, and
expenditures with the Commission of the deadline for filing reports;
however, a notice of the deadline is not required for a political
committee involved in an election other than a primary election or the
general election for state and county officers. If the Texas Ethics
Commission is unable to notify a person of a deadline after two
attempts, the Commission is not required to make any further attempts to
notify the person of that deadline or any future deadlines until the
person has notified the Commission of the person\'s current address
\[265\]. As part of the notification, the Commission must mail
appropriate forms to each person required to file a report with the
Commission during the reporting period \[266\].

The Commission is required to report to the governor and legislature on
or be­fore December 31st of each even‑numbered year \[267\].

**B. County Clerk**. The office of the appropriate county clerk is the
designat­ed filing office for campaign treasurer appointments and reports
of contribu­tions, loans, and expenditures filed by (1) a candidate for
county office, precinct office, single‑county district office, or
non‑county political subdivision office in a political subdivision
without a governing body and located entirely within the county and (2)
a specific‑purpose committee when the county clerk is the filing officer
for the candidate or officeholder involved, a single‑county measure is
in­volved, or a local measure is involved in a non‑county political
subdivision when the political subdivision does not have a governing
body and is located within the county \[268\].

**C. County Elections Administrator**. In a county in which a county
elec­tions administrator has assumed the duties and functions placed on
the county clerk by the state election code, that local officer is the
appropriate county‑level filing officer instead of the county clerk
\[269\].

**VIII. EXCLUDED PROVISIONS**

**A. Speaker Candidate Campaign Finance Regulations.** The state also
regulates campaigns by members or candidates for the state house of
represen­tatives who are candidates for election to the office of speaker
of the house \[270\]. The requirements concerning speaker candidate
campaigns are not in­cluded in this summary.

**B. Financing of Political Party Primary Election Expenses.** The
expens­es incurred by a political party in connection with a primary
election are paid through a state primary fund created for the state
executive committee of each political party holding a primary election
and through a county primary fund created for each county executive
committee of a political party holding a prim­ary election. These funds
consist of candidate filing fees, state appropriated funds,
contributions for the purpose of defraying primary election expenses,
and income earned by each fund and may be used only to pay political
party ex­penses in connection with a primary election \[271\]. Since the
primary election financing provisions do not directly affect election
campaigns, they are not pre­sented in any detail in this summary.

**C. Legislative Caucus Regulations.** The restrictions on the making of
con­tributions to a legislative caucus from the 30th day before the
convening of a regular legislative session through the day of final
adjournment and the filing of reports of contributions and expenditures
by legislative caucuses are not related to election campaigns and
therefore are excluded \[272\].

**References**

1.  Vernon\'s Texas Codes Annotated, Election Code (hereafter EC)
    § 251.001(2)

2.  EC § 251.008

3.  EC § 251.001(3)

4.  EC §§ 251.001(4); 251.009

5.  EC § 251.001(5)

6.  EC § 254.034(a), (b)

7.  EC § 254.034(c)

8.  EC § 253.001(a)

9.  EC § 253.033

10. EC § 253.101(a)

11. EC § 253.034(a), (b)

12. EC § 253.034(c), (d)

13. EC § 253.032(a), (b)

14. EC § 253.032(d)

15. EC § 251.001(15)

16. EC § 253.032(e)

17. EC § 254.203(a), (b)

18. EC § 254.204; Vernon\'s Texas Codes Annotated, Education Code §
    61.003(8)

19. EC § 253.102

20. EC § 31.035(b)

21. EC § 253.039(a)‑(c)

22. Vernon\'s Texas Codes Annotated, Government Code (hereafter GC) §§
    556.004(d)

23. EC § 253.104(a), (b); *see also* EC § 257.002

24. EC § 253.151; *see also* Code of Judicial Conduct, Canon 5

25. EC § 253.164(a)

26. EC § 253.164(c).

27. EC § 253.154

28. EC § 253.152(1), (4)

29. EC § 253.153(a)‑(c)

30. EC § 253.1541

31. EC §§ 253.152(1), (4); 253.164(b)

32. EC §§ 253.155(a)‑(c), (e); 253.159

33. EC §§ 253.157(a), (b); 253.159

34. EC § 253.160(a), (b)

35. EC § 253.1601

36. EC § 253.160(c)

37. EC § 253.165(a), (b)

38. EC § 253.170(a), (b)

39. EC § 253.170(a)‑(c)

40. EC § 253.1611(a)‑(c)

41. EC § 253.1611(a), (d)

42. EC § 253.1611(e), (f)

43. GC § 467.106(a), (b); 467.107(a), (b)

44. GC § 467.025(a)(5)

45. EC § 251.001(6)

46. EC § 251.001(7)

47. EC § 251.001(8)

48. EC §§ 251.001(9); 251.009

49. EC § 251.001(10)

50. EC § 254.035

51. EC § 253.031(a)‑(d)

52. EC §§ 253.031(b); 253.037(a), (c)

53. EC § 253.037(b)

54. EC § 255.003(a), (b)

55. EC § 251.001(16)

56. EC § 253.002(a), (b)

57. EC §§ 253.061; 253.062; 253.063

58. EC § 253.094

59. EC §§ 253.096; 253.097

60. EC §§ 253.093(b); 253.098; 253.099

61. EC § 253.100

62. EC §§ 253.096; 253.103(a), (b)

63. EC §§ 253.091, 253.093(a)

64. EC § 253.092

65. EC § 251.001(18)

66. EC § 31.035(b)

67. EC § 253.036

68. EC § 253.001(b)

69. EC § 253.005(a), (b)

70. EC § 253.101(a)

71. EC § 253.035(a), (b)

72. EC § 253.035(c), (d), (i),

73. EC §§ 253.035(h); 253.0351(b)

74. EC § 253.041(a)

75. EC § 253.041(b)

76. EC § 253.042(a)

77. EC § 253.042(b)

78. EC § 253.042(c), (d)

79. EC § 253.042(e)

80. EC § 253.0351(a)

81. EC § 253.038(a), (c)

82. EC § 253.151

83. EC § 253.164(a)

84. EC § 253.164(c)

85. EC § 253.172(a)

86. EC § 253.152(1), (4)

87. EC § 253.161(a)

88. EC § 253.161(b)

89. EC § 253.162

90. EC §§ 253.152(1), (4); 253.164(b)

91. EC § 253.163(a)‑(c)

92. EC § 253.168(a)

93. EC §§ 253.128(a); 253.169(a), (b)

94. EC § 253.171

95. EC § 253.165(a), (b)

96. EC § 253.170(a), (b)

97. EC § 253.170(a)‑(c)

98. Vernon\'s Texas Codes Anno­tated, Finance Code § 276.001

99. GC § 556.004(a), (b)

100. EC § 251.002; ch. 252‑‑254

101. EC § 251.002

102. EC § 251.006

103. EC § 253.031(d)

104. EC § 251.005

105. EC § 251.001(1)

106. EC § 251.001(14)

107. EC § 251.001(19)

108. EC § 251.002(a)

109. EC § 251.001(15)

110. EC § 251.001(12)

111. EC § 251.001(11)

112. EC § 251.001(13)

113. *See* EC § 1.005(6), (14), (18)

114. EC § 254.001

115. EC § 254.037

116. EC § 1.006

117. EC § 251.003

118. EC § 251.007

119. EC § 252.001

120. EC § 252.004

121. EC § 252.015(a), (b)

122. EC §§ 252.011; 252.015(c)

123. EC § 252.002(a)

124. EC § 252.0032

125. EC §§ 252.0031; 252.005(1)

126. EC § 252.003(a), (c), (d)

127. EC §§ 252.005‑‑252.009

128. EC § 252.015(a)

129. EC § 252.002(b)

130. EC § 252.003(b)

131. EC § 252.010

132. EC §§ 252.012(a), (b); 252.015(c)

133. EC §§ 252.012(c); 252.015(c)

134. EC §§ 252.013(a), (b); 252.015(c)

135. EC §§ 252.013(c); 252.015(c)

136. EC ch. 254

137. EC § 254.031(a)

138. EC §§ 254.032; 254.033

139. EC § 254.031(b)

140. EC § 254.036(a)

141. EC § 254.036(b), (i)

142. EC § 254.036(c)-(g)

143. EC § 254.036(h)

144. EC § 254.061

145. EC § 254.0611

146. EC § 254.062

147. EC § 254.063

148. EC § 254.064(a)‑(c), (e)

149. EC § 254.064(d)

150. EC § 254.065(a), (b)

151. EC § 254.065(c)

152. EC § 254.066

153. EC § 254.121

154. EC §§ 254.0611; 254.1211

155. EC § 254.130

156. EC § 254.063

157. EC § 254.124(a)‑(c), (e)

158. EC § 254.124(d)

159. EC § 254.122

160. EC § 254.125(a), (b)

161. EC § 254.125(c)

162. EC § 254.126

163. EC § 254.127

164. EC § 254.124(f)

165. EC § 254.151

166. EC § 254.152

167. EC § 254.163

168. EC § 254.153

169. EC § 254.154(a)‑(c), (e)

170. EC § 254.154(d)

171. EC § 254.155(a), (b)

172. EC § 254.156

173. EC §§ 254.157; 254.163

174. EC § 254.158

175. EC § 254.155(c)

176. EC § 254.159

177. EC § 254.160

178. EC § 254.091

179. EC §§ 254.0611; 254.0911

180. EC § 254.092

181. EC § 254.097

182. EC § 254.063

183. EC § 254.094

184. EC § 254.096

185. EC § 254.095

186. EC §§ 254.181; 254.184(b)

187. EC § 254.184(a)

188. EC §§ 254.182; 254.183(a)

189. EC § 254.183

190. EC §§ 254.038(a), (c); 254.039(a)

191. EC §§ 254.038(b); 254.039(b)

192. EC §§ 254.038(d); 254.039(c)

193. EC §§ 254.128(a), (b); 254.161

194. EC §§ 254.129(a)‑(c); 254.162

195. EC § 254.0391(a)

196. EC § 254.0391(d)

197. EC § 254.0391(b)

198. EC § 254.0391(c)

199. EC § 257.001

200. EC § 257.002; *see also* EC § 253.104

201. EC § 257.003(a), (b)

202. EC § 257.003(c)

203. EC § 257.003(d)

204. EC § 257.004(a)

205. EC § 257.005(a), (b), (d)

206. EC § 257.005(e)

207. EC § 257.006

208. EC §§ 257.005(c); 257.007

209. GC §§ 572.021; 572.023(a)

210. GC § 572.002(4)

211. GC § 572.027

212. GC § 572.028

213. Texas Codes Annotated (Vernon), Local Government Code §§ 159.001;
     159.002; 159.004(a), (b); 159.005

214. EC § 254.201

215. EC § 254.202(a), (b)

216. EC § 254.202(c)

217. EC § 254.205

218. GC § 571.121(a)

219. GC §§ 571.122‑‑571‑128

220. GC §§ 571.129; 571.132

221. GC § 571.134

222. GC §§ 571.172; 571.173; 571.175; 571.176(a)

223. EC § 253.131(a)‑(d)

224. EC § 254.231(a)‑(c)

225. EC § 253.132(a), (b)

226. EC § 254.232

227. EC § 253.133

228. EC § 253.035(f)

229. EC §§ 253.153(d); 253.154(b); 253.155(f); 253.157(c); 253.160(e);
     253.161(d); 253.1611(g); 253.162(d); 253.163(g); 253.164(d);
     253.168(b); 253.172(b)

230. EC § 254.042(a), (b)

231. EC § 254.041

232. EC § 255.033(c)

233. EC § 253.002(c)

234. EC § 253.001(c)

235. EC § 253.033(b)

236. EC § 253.003

237. EC § 253.004

238. EC § 253.005

239. EC § 253.031(f)

240. EC § 253.037(d)

241. EC § 253.032(c)

242. EC § 253.034(e)

243. EC § 253.094(c)

244. EC § 253.095

245. EC § 253.102(c)

246. EC § 253.102(c)

247. EC § 254.128(c)

248. EC § 254.129(d)

249. EC § 254.034(d), (e)

250. EC § 253.039(d)

251. EC § 253.104(c)

252. EC § 253.041(c)

253. EC § 253.042(f)

254. EC § 257.038(b)

255. EC § 257.004(b)

256. EC § 31.035(b)

257. EC § 254.0401 (a)-(c)

258. GC § 571.061(a)

259. EC § 254.036(a), (d); GC §§ 571.061(b); 571.065; 571.068; 571.072;
     571.091

260. EC § 251.032

261. GC §§ 571.062; 571.064; 571.071(b); 571.121; 571.137; 571.171

262. GC § 571.069

263. EC §§ 252.006‑‑252.009

264. EC §§ 254.038(c); 254.039(a)

265. EC § 251.033

266. EC § 254.036(c)

267. GC § 571.073

268. EC §§ 252.006; 252.007

269. EC §§ 31.031(a); 31.043(2)

270. GC § 302.011 *et* *seq*.

271. EC § 173.001 *et* *seq*.

272. EC §§ 253.0341; 254.0311

**CAMPAIGN FINANCE LAW**

**IN UTAH**

**I. INTRODUCTION**

Utah requires a state executive office, legislative office, and state
and local school board office candidate and officeholder, a party
committee of a regis­tered political party, a political action committee
that receives contributions or makes expenditures of \$750 or more in a
calendar year, a political issues committee that receives political
issues contributions of \$750 or more or makes political issues
expen­ditures of \$50 or more in a calendar year, a corporation that
makes ex­penditures for political purposes or political issues
expenditures of \$750 or more in a calendar year, and a judge standing
for a retention election to file periodic statements of receipts and
expenditures. Can­didates for office in counties, cities, and towns must
file in accordance with local ordinance, which must require at least one
pre‑election and one post‑election campaign financial statement. A state
election campaign fund has been established to provide pub­lic financing
of political parties. A taxpayer with an income tax liability of \$2 or
more may designate that \$2 be paid to the political party designated by
the tax­payer. The Lieutenant Governor administers the campaign and
financial report­ing requirements law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" means any of the
follow­ing when done for political purposes:

\(1\) A gift, subscription, donation, loan, advance, or deposit of money
or any­thing of value given to a candidate, a candidate\'s personal
campaign committee, an officeholder, a party committee, a political
action committee, or a political is­sues committee.

\(2\) An express, legally enforceable contract, promise, or agreement to
make a gift, subscription, donation, unpaid or partially unpaid loan,
advance, or deposit of money or anything of value a candidate, a
candidate\'s personal campaign committee, an officeholder, a party
committee, a political action committee, or a political issues
committee.

\(3\) Any transfer of funds from a candidate, candidate\'s personal
campaign committee, officeholder, party committee, political action
committee, political is­sues committee, or corporation to a candidate, a
candidate\'s personal campaign committee, an officeholder, a party
committee, a political action committee, or a political issues
committee.

\(4\) Compensation paid by any person, candidate, candidate\'s personal
cam­paign committee, officeholder, party committee, political action
committee, or political issues committee other than the filing entity
for personal services pro­vided without charge to the filing entity.

\(5\) Remuneration from any organization or its directly affiliated
organization that has a registered lobbyist to compensate a legislator
for a loss of salary or income while the legislature is in session.

\(6\) Salaries or other remuneration paid to a legislator by any agency
or sub­division of the state, including school districts, for the period
the legislature is in session.

\(7\) Goods or services provided to or for the benefit of a candidate, a
candida­te\'s personal campaign committee, an officeholder, a party
committee, a political action committee, or a political issues committee
at less than fair market value \[1\].

The term \"contribution\" does not include:

\(1\) Services provided without compensation by individuals volunteering
a portion or all of their time on behalf of a candidate, a candidate\'s
personal cam­paign committee, an officeholder, a party committee, a
political action commit­tee, or a political issues committee.

\(2\) Money lent to a candidate, a candidate\'s personal campaign
committee, an officeholder, a party committee, a political action
committee, or a political issues committee by a financial institution in
the ordinary course of business \[2\].

A contribution is made for \"political purposes\" when it is done with
the intent or in a way to influence or tend to influence, directly or
indirectly, any person to refrain from voting or to vote for or against
any candidate for public office at any caucus, political convention, or
primary, general, or special election \[3\].

**B. Contributions for State Office, Legislative Office, and State and
Lo­cal School Board Office Candidates.** A state office candidate or
other per­son acting in concert with or with the knowledge of the
candidate may not re­ceive any contributions (or make any expenditures)
on behalf of a state office candidate, except for expenses made by a
registered political party to benefit a party\'s candidates generally,
other than through a personal campaign committee selected by the
candidate. Contributions or public service assistance received by the
candidate or committee must be deposited in one or more separate
cam­paign accounts in a financial institution. Contributions received may
not be de­posited or mingled into a personal or business account by the
candidate or committee \[4\].

A legislative office or state or local school board office candidate
must deposit each contribution and public service assistance received in
one or more separate accounts in a financial institution that are
dedicated only to that purpose. A leg­islative office candidate is not
permitted to deposit or mingle any contribution or public service
assistance received into a personal or business account \[5\].

**C. Solicitation of Contributions From an Executive Branch Employee.**
No person may solicit political contributions from employees of the
executive branch during the hours of employment \[6\].

**D. Contributions by or for a Judge or Candidate for Judicial Office.**
A justice or judge of any court of record is prohibited by statute from
making a contribution during the judicial officer\'s term of office to
any political party or organization engaged in political activity \[7\].
The Code of Judicial Conduct, on the other hand, provides that a judge
or candidate for judicial office who has been confirmed by the state
senate may not solicit funds for or pay an assess­ment or make a
contribution to a political organization or candidate except as
permitted for judicial candidates whose candidacy in a retention
election or for reappointment has drawn active public opposition \[8\].

A candidate for judicial office in a retention election or reappointment
process who has drawn active public opposition may operate a campaign
for office, but may not directly solicit or accept campaign funds. The
candidate may, however, establish committees of responsible persons to
secure and manage the expendi­ture of funds for the campaign. These
committees may solicit campaign contri­butions from lawyers and
non-lawyers. A campaign committee may not permit the use of campaign
contributions for the private benefit of the judge or members of the
judge\'s family \[9\].

**E. Solicitation of Contributions From a Career‑Status Attorney in the
Attorney‑General\'s Office.** No person may solicit political
contributions from any career‑status attorney employed with the office
of the attorney general during the hours of employment or through state
facilities or in any manner im­pose assessments on them for political
purposes; however, this prohibition does not preclude voluntary
contributions by a career‑status attorney to a candidate or political
party \[10\].

**F. Contributions by an Insurer.** Except as to insurers with excess
surplus, no insurer doing business in the state may, directly or
indirectly, pay, use, or offer to pay or use any money or thing of value
for or in aid of a political office, for the nomination for a political
office, or for reimbursement or indemnifica­tion of any person for money
or property used to aid a political office \[11\].

**G. Contributions by an Employee Welfare Fund.** No employee welfare
fund may make political contributions \[12\].

**H. Lobbyist Contributions to State Legislators During Legislative
Ses­sions.** Neither a lobbyist nor an employer of a lobbyist
(\"principal\") may make a campaign contribution or contract, promise,
or agree to make a campaign con­tribution to a state legislator or a
legislator\'s personal campaign committee dur­ing the time the state
legislature is convened in annual general or override ses­sion or in a
special session convened before July 1st of a general‑election year
\[13\].

**I. Labor Organization Contributions and Expenditures.** The "Voluntary
Contributions Act" regulates the solicitation, acquisition, and
expenditures of funds for political activities by labor organizations
\[14\].

A labor organization may not expend union dues for political activities,
but may use union dues to communicate directly with its own members
about political candidates, ballot propositions, and other political
issues \[15\].

A labor organization may only make expenditures for political activities
if the labor organization establishes a separate segregated fund. It
must ensure that (1) in soliciting contributions for the fund, the
solicitor discloses in clear and unambiguous language on the face of the
solicitation that contributions are voluntary and that the fund is a
political fund and will be expended for political activities, (2) union
dues are not used for political activities, transferred to the fund, or
intermingled in any way with fund monies, (3) the cost of administering
the fund is paid from fund contributions and not from union dues, and
(4) each contribution is voluntary \[16\].

At the time the labor organization is soliciting contributions for the
fund from an employee, the labor organization must affirmatively inform
the employee, in writing, of (1) the fund\'s political purpose and (2)
the employee\'s right to refuse to contribute without fear of reprisal
or loss of membership in the labor organization \[17\].

A "labor organization\" is any association or organization of employees
and any agency, employee representation committee, or plan in which
employees participate that exists, in whole or in part, to advocate on
behalf of employees about grievances, labor disputes, wages, rates of
pay, hours of employment, or conditions of employment. "Labor
organization" includes each employee association and union for employees
of public and private sector employers, but does not include
organizations governed by the National Labor Relations Act, 29 U.S.C. §
151 *et seq.* or the Railroad Labor Act, 45 U.S.C. § 151 *et seq.*
\[18\].

\"Political activities\" are electoral activities, independent
expenditures, or expenditures made to any candidate, political party,
political action committee, political issues committee, voter
registration campaign, or any other political or legislative cause,
including ballot propositions \[19\].

**J. Payroll Deductions for Labor Organizations.** An employee may elect
to direct his employer to deduct up to 3% per month from his or her
wages and pay the deducted amount to a labor organization as assignee;
however, a public employee may not direct an employer to deduct monies
from his or her wages and pay them to a registered political action
committee or to a separate segregated fund of a labor organization or an
intermediary that contributes to such a fund \[20\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is:

\(1\) Any disbursement from contributions or receipts or from the
separate bank account required to be maintained by a candidate or
candidate\'s personal campaign committee.

\(2\) A purchase, payment, donation, distribution, loan, advance,
deposit, gift of money, or anything of value made for political
purposes.

\(3\) An express, legally enforceable contract, promise, or agreement to
make any purchase, payment, donation, distribution, loan, advance,
deposit, gift of money, or anything of value for political purposes.

\(4\) Compensation paid by a corporation, a candidate, a candidate\'s
personal campaign committee, an officeholder, a party committee, a
political action committee, or a political issues committee for personal
services rendered by a person without charge to a candidate, a
candidate\'s personal campaign commit­tee, an officeholder, a party
committee, a political action committee, or a politi­cal issues
committee.

\(5\) A transfer of funds between a candidate, a candidate\'s personal
campaign committee, an officeholder, a party committee, a political
action committee, or a political issues committee and a candidate\'s
personal campaign committee.

\(6\) Goods or services provided by a candidate, a candidate\'s personal
cam­paign committee, an officeholder, a party committee, a political
action commit­tee, or a political issues committee to or for the benefit
of another candidate, candidate\'s personal campaign committee,
officeholder, party committee, politi­cal action committee, or political
issues committee for political purposes at less than fair market value
\[21\].

The term \"expenditure\" does *not* include:

\(1\) Services provided without compensation by individuals volunteering
a portion or all of their time on behalf of a candidate, a candidate\'s
personal cam­paign committee, an officeholder, a party committee, a
political action commit­tee, or a political issues committee.

\(2\) Money lent to a candidate, a candidate\'s personal campaign
committee, an officeholder, a party committee, a political action
committee, or a political issues committee by a financial institution in
the ordinary course of business.

\(3\) Anything defined as a contribution that is given by a corporation
or a candidate, a candidate\'s personal campaign committee, an
officeholder, a party committee, a political action committee, or a
political issues committee to candi­dates for office or officeholders in
states other than Utah \[22\].

An expenditure is made for \"political purposes\" when it is done with
the intent or in a way to influence or tend to influence, directly or
indirectly, any person to refrain from voting or to vote for or against
any candidate for public office at any caucus, political convention, or
primary, general, or special election \[23\].

**B. Expenditures for a State Executive Office Candidate.** A state
office candidate or other person acting in concert with or with the
knowledge of the candidate may not make any expenditures (or receive any
contributions) on be­half of a state office candidate, except for
expenses made by a registered politi­cal party to benefit a party\'s
candidates generally, other than through a personal campaign committee
selected by the candidate. A state office candidate or the candidate\'s
personal campaign committee may not make any expenditures on behalf of
the candidate until a written statement of organization has been filed
with the Lieutenant Governor. The candidate or committee may use the
monies deposited in campaign accounts in a financial institution only
for political pur­poses \[24\].

It is the responsibility of a candidate for state executive office or
the secretary of the candidate\'s personal campaign committee to receive
contributions and to assure that any and all expenditures made directly
or indirectly for political pur­poses on behalf of the candidate are made
through and with the approval of the personal campaign committee. The
secretary of the personal campaign commit­tee is also responsible for
maintaining correctly all records, receipts, and expen­ditures on behalf
of the candidate \[25\].

**C. Prohibition of Unlawful Expenditures by State Office, Legislative
Office, and State and Local School Board Office Candidates.** No state
of­fice candidate, state office candidate\'s personal campaign committee,
legislative office candidate, or state or local school board office
candidate may make any political expenditures prohibited by law \[26\].

**D. Expenditures Over \$1,000 by a Member of the Personal Campaign
Committee for a State Executive Office Candidate.** A member of a
per­sonal campaign committee for a state office candidate may not make an
expen­diture of more than \$1,000 unless the expenditure is authorized in
writing by the candidate or the secretary of the personal campaign
committee \[27\].

**E. Rate for Services, Goods, and Materials.** Any person accepting
ex­penditures from a candidate or a personal campaign committee must
provide services and furnish goods, materials, or things of value at a
rate that does not exceed the charges made for comparable use to any
other person considering amount of use, frequency of use, and applicable
discounts \[28\].

**F. Paid Newspaper Advertisements.** An owner, publisher, editor,
report­er, agent, or employee of a newspaper or other periodical may not,
directly or indirectly, solicit, receive, or accept any payment,
promise, or compensation and no person may pay, promise to pay, or in
any manner compensate an owner, publisher, editor, reporter, agent, or
employee of a newspaper or other periodi­cal, directly or indirectly, for
influencing or attempting to influence any voting at any election or
primary by means of any printed matter in the publication or through any
means whatsoever, unless the matter is inserted in the newspaper or
periodical as a \"paid advertisement,\" the matter is designated as a
\"paid adver­tisement\" in the copy of the advertisement, the
compensation for inserting the paid advertisement is not more than the
regular rate charged by the publication for such service \[29\].

**G. Influence on Newspaper Editorial Position.** No person may pay the
owner, editor, publisher, or agent of any newspaper or other periodical
to in­duce him or her to advocate or oppose editorially any candidate for
nomination or election, and no owner, editor, publisher, or agent may
accept such payment \[30\].

**H. Use of Public Funds for Political Purposes.** The state, each state
agency, and each county, municipality, school district, special
district, and inter­local cooperation agency, unless specifically
required by law, is prohibited from making expenditures from public
funds for political purposes or to influence a ballot proposition
\[31\].

**IV. REPORTING REQUIREMENTS**

**A. General Provisions of the Campaign and Financial Reporting Law.**
The chapter of the election code concerning campaign and financial
reporting requirements (Chapter 20A‑11) contains the following general
provisions.

**1. Definitions.** A \"candidate\" required is a person who (1) files a
declaration of candidacy for a public office or (2) receives
contributions, makes expen­ditures, or gives consent for any other person
to receive contributions or make expenditures to bring about the
person\'s nomination or election to a public of­fice \[32\].

The \"chief election officer\" is (1) the lieutenant governor or state
office candi­dates, legislative office candidates, officeholders,
political parties, political action committee, corporations, political
issues committees, and state school board elections and (2) the county
clerk for local school board candidates \[33\].

When a \"detailed listing\" is required in a report, the term means (1)
for each contribution or public assistance, (a) the name and address of
the individual or source making the contribution or public service
assistance, (b) the amount or value of the contribution or public
assistance, and (c) the date it was made and (2) for each expenditure,
(a) the amount of the expenditure, (b) the person or entity to whom it
was disbursed, (c) the specific purpose, item, or service ac­quired by
the expenditure, and (d) the date it was made \[34\].

A \"legislative office\" is the office of state senator, state
representative, speaker of the house of representatives, president of
the senate, and the leader, whip, and assistant whip of any party caucus
in either house of the state legislature; a \"legislative office
candidate\" is a person who (1) files a declaration of candidacy for the
office of state senator or state representative, (2) declares himself or
her­self to be a candidate for or actively campaigns for the position of
speaker of the house of representatives, president of the senate, or the
leader, whip, or assistant whip of any party caucus in either house of
the state legislature, and (3) receives contributions, makes
expenditures, or gives consent for any other person to re­ceive
contributions or make expenditures to bring about the person\'s
nomination or election to a legislative office \[35\].

An \"officeholder\" is a person who holds a public office \[36\].

A \"party committee\" or \"political party committee\" is any committee
organized by or authorized by the governing board of a registered
political party \[37\].

A \"public office\" is the office of governor, lieutenant governor,
state auditor, state treasurer, attorney general, state or local school
board member, state sena­tor, state representative, speaker of the house
of representatives, president of the senate, and the leader, whip, and
assistant whip of any party caucus in either house of the state
legislature \[38\].

\"Public service assistance\" means the following when given or provided
to an officeholder to defray the costs of functioning in a public office
or to aid the of­ficeholder in communicating with the officeholder\'s
constituents:

\(1\) A gift, subscription, donation, unpaid or partially unpaid loan,
advance, or deposit of money or anything of value to an officeholder.

\(2\) Goods or services provided at less than fair market value to or
for the benefit of the officeholder \[39\].

\"Public service assistance\" does *not* include:

\(1\) Anything provided by the state.

\(2\) Services provided without compensation by individuals volunteering
a portion or all of their time on behalf of an officeholder.

\(3\) Money lent to an officeholder by a financial institution in the
ordinary course of business.

\(4\) News coverage or any publication by the news media.

\(5\) Any article, story, or other coverage as part of any regular
publication of any organization unless substantially all the publication
is devoted to informa­tion about the officeholder \[40\].

\"Receipts\" (contributions and public service assistance) and
\"expenditures\" are required to be reported \[41\]. \"Receipts\"
include contributions and public service assistance \[42\]. (For the
definition of \"contribution\" as used in the Corrupt Prac­tices in
Elections Act, *see* Section II.A.1, *supra*. \"Expenditure\" is defined
in Sec­tion III.A.1, *supra*.)

A \"school board office\" is the office of state school board or local
school board \[43\].

A \"state office\" is the office of governor, lieutenant governor,
attorney general, state auditor, and state treasurer; a \"state office
candidate\" is a person who (1) files a declaration of candidacy for a
state office or (2) receives contributions, makes expenditures, or gives
consent for any other person to receive contribu­tions or make
expenditures to bring about the person\'s nomination or election to a
state office \[44\].

**2. Methods for Filing Reports.** Reports may be submitted (1) on
paper, printed, typed, or legibly handwritten or hand‑printed, (2) on a
computer disk according to specifications established by the chief
election officer that protect against fraudulent filings and secure the
accuracy of the information contained on the computer disk, (3) via fax,
or (4) via electronic mail according to specifications established by
the chief elections officer \[45\].

**3. Timely Filing of Reports.** A report is considered filed if (1) it
is re­ceived in the chief election officer\'s office no later than 5 p.m.
on the date that it is due, (2) it is received in the chief election
officer\'s office with a postmark three days or more before the date
that the report was due, or (3) the filing candidate, judge, or entity
has proof that the report was mailed with appropriate post­age and
addressing three days before the report was due \[46\].

**4. Cutoff Dates for Reports.** All receipts and expenditures must be
re­ported as of five days before the required filing date of an interim
report and as of December 31st of the last regular general‑election year
for year‑end sum­mary reports \[47\].

**B. Financial Statements of State Executive and Legislative Office
Can­didates and Officeholders and Political Party Committees**.
Candidates for and officeholders in state office, legislative office,
and state and local school board office and political party committees
are required to file with the lieuten­ant‑governor\'s office periodic
financial statements of receipts (contributions and public service
assistance) and expenditures, including interim reports (excluding
officeholders) and year‑end summary reports \[48\]. Candidates and
officeholders must continue filing reports until a statement of
dissolution and final summary report are filed \[49\].

**1. Interim Reports.** A state office, legislative office, or state or
local school board office candidate and political party committee is
required to file an interim report at the following times in any year in
which the candidate has filed a declaration of candidacy for a public
office:

\(1\) State and legislative office candidates only: 7 days before any
state or county party political convention if more than one individual
in the candidate\'s same party has filed a declaration of candidacy for
the particular office that the candidate seeks.

\(2\) 7 days before the regular primary election date (state office
candidate) or 7 days before the regular primary election date if the
candidate is on the ballot in the primary election (legislative office
and state and local school board office candidate).

\(3\) September 15th (state office candidate) or September 15th unless
the candidate is unopposed (legislative office and state and local
school board office candidate).

\(4\) 7 days before the regular general election date \[50\].

Each party committee is to file an interim report at the following times
in any year in which there is a regular general election: (1) September
15th and (2) 7 days before the general election \[51\].

Each interim report is to include the following information:

\(1\) The net balance of the last summary report, if any.

\(2\) A single figure equal to the total amount of receipts reported on
all prior interim reports, if any, during the calendar year in which the
interim report is due.

\(3\) A single figure equal to the total amount of expenditures reported
on all prior interim reports, if any, filed during the calendar year in
which the interim report is due.

\(4\) A detailed listing of each contribution and public service
assistance re­ceived since the last summary report that has not been
reported in detail on a prior interim report; however, for all
individual contributions or public service assistance of \$50 or less, a
single aggregate figure may be reported without a separate detailed
listing. Two or more contributions from the same source that have an
aggregate total of more than \$50 may not be reported in the aggregate,
but must be reported separately.

\(5\) For each nonmonetary contribution, the fair market value of the
contribu­tion.

\(6\) A detailed listing of each expenditure made since the last summary
report that has not been reported in detail on a prior interim report.

\(7\) For each nonmonetary expenditure, the fair market value of the
expendi­ture.

\(8\) A net balance for the year consisting of the net balance from the
last summary report, if any, plus all receipts since the last summary
report minus all expenditures since the last summary report.

\(9\) A summary page in the form required by the Lieutenant Governor
that identifies the beginning balance, total contributions during the
period since the last statement, total contributions to date, total
expenditures during the period since the last statement, and total
expenditures to date \[52\].

Each state office candidate and the candidate\'s personal campaign
committee, legislative office candidate, and state or local school board
office candidate is ac­tive and subject to interim reporting requirements
until the candidate withdraws or is eliminated in a convention or
primary \[53\].

**2. Year‑End Summary Reports.** Each state, legislative, and state and
lo­cal school board office candidate and officeholder and political party
committee is required to file a summary report by January 5th of the
year after the regular general‑election year \[54\].

Each summary report is to include the following information:

\(1\) The net balance of the last summary report, if any.

\(2\) A single figure equal to the total amount of receipts reported on
all inter­im reports, if any (not applicable to officeholders).

\(3\) A single figure equal to the total amount of expenditures reported
on all interim reports, if any, filed during the election year (not
applicable to office­holders).

\(4\) A detailed listing of each contribution and public service
assistance re­ceived since the last summary report that has not been
reported in detail on an interim report; however, for all single
contributions or public service assistance of \$50 or less, a single
aggregate figure may be reported without a separate de­tailed listing.
Two or more contributions from the same source that have an ag­gregate
total of more than \$50 may not be reported in the aggregate, but must
be reported separately.

\(5\) For each nonmonetary contribution, the fair market value of the
contribu­tion.

\(6\) A detailed listing of each expenditure made since the last summary
report that has not been reported in detail on an interim report.

\(7\) For each nonmonetary expenditure, the fair market value of the
expendi­ture.

\(8\) A net balance for the year consisting of the net balance from the
last summary report, if any, plus all receipts minus all expenditures.

\(9\) A paragraph signed, as appropriate, by the state office candidate
or an au­thorized member of the campaign committee of the state office
candidate, the legislative office candidate, the school board office
candidate, the officeholder, or the secretary of the party committee,
certifying that, to the best of the sig­ner\'s knowledge, all receipts
and expenditures have been reported as of Decem­ber 31st of the last
regular general‑election year and that there are no bills or obligations
outstanding and unpaid except as set forth in the report \[55\].

Each state office candidate and the candidate\'s personal campaign
committee, legislative office candidate, and state or local school board
office candidate and officeholder must continue to file the year‑end
summary report until a statement of dissolution and final summary report
is filed with the appropriate chief elec­tion officer \[56\].

If a person who is no longer a state office, legislative office, or
state or local school board candidate chooses not to expend the monies
remaining in the per­son\'s campaign account, the person must continue to
file the year‑end summary report until a statement of dissolution and
final summary report are filed with the Lieutenant Governor (all
candidates except local school board candidates) or the county clerk
(local school board candidates only) (*see also* Section VII.A, *in­fra*)
\[57\].

**C. Statement of Appointment of Personal Campaign Committee of State
Executive Office Candidate.** Each candidate for governor, lieutenant
governor, state auditor, state treasurer, or attorney general must
select no more than one personal campaign committee consisting of one or
more persons. The candidate individually may serve as his or her own
campaign committee \[58\].

A state office candidate or the candidate\'s personal campaign committee
may not make any expenditures on behalf of the candidate until a
statement of organ­ization has been filed. The candidate is required to
file with the Lieutenant Governor a written statement signed by the
candidate or authorized member of the candidate\'s personal campaign
committee that (1) informs the Lieutenant Governor that the candidate\'s
personal campaign committee has been selected and (2) provides the name
and address of each member and the secretary of the com­mittee \[59\].
Subsequent written redesignations of the personal campaign com­mittee
must be signed by the candidate or the secretary and submitted to the
Lieutenant Governor \[60\].

A candidate may revoke the selection of any member of the campaign
com­mittee by revoking that person\'s appointment or election in writing,
personally serving the written revocation on the member whose selection
is revoked, and filing a copy of the written revocation with the
Lieutenant Governor. The can­didate may select a replacement to fill any
vacancy on the campaign committee, but must file that replacement\'s
name and address with the Lieutenant Governor \[61\]. A committee member
may voluntarily withdraw from the committee upon filing a written notice
with the Lieutenant Governor \[62\].

**D. Candidate‑Related Financial Statements of Political Action
Com­mittees, Separate Segregated Funds of Labor Organizations, and
Corporations.** Verified financial statements are required to be filed
periodically with the Lieutenant Governor\'s office by (1) each
registered political ac­tion committee that has received contributions or
made expenditures totaling \$750 or more during a calendar year and (2)
each corporation that has made expenditures for political purposes
totaling \$750 or more during a calendar year \[63\]. A separate
segregated fund of a labor organization is required to file the required
financial reports for political action committees \[64\].

A \"political action committee\" is an entity or any group of
individuals or enti­ties within or outside the state that solicits or
receives contributions from any other person, group, or entity or makes
expenditures for political purposes. \"Po­litical action committee\"
includes groups affiliated with a registered political par­ty but not
authorized or organized by the governing board of the registered
po­litical party that receive contributions or make expenditures for
political purpos­es \[65\].

The term \"political action committee\" does not mean (1) a party
committee, (2) any entity that provides goods or services to a candidate
or committee in the regular course of business at the same price that
would be provided to the gen­eral public, (3) an individual, (4)
individuals who are related and who make con­tributions from a joint
checking account, (5) a corporation, or (6) a personal campaign
committee \[66\].

\"Political purposes\" means an done with the intent or in a way to
influence or tend to influence, directly or indirectly, any person to
refrain from voting or to vote for or against any candidate for public
office at any caucus, political con­vention, or primary, general, or
special election \[67\].

A \"candidate\" is any person who files a declaration of candidacy for
the office of governor, lieutenant governor, state auditor, state
treasurer, attorney general, state senator, state representative,
speaker of the house of representatives, pres­ident of the senate, and
the leader, whip, and assistant whip of any party caucus in either house
of the legislature \[68\].

A \"corporation\" is a domestic or foreign, profit or nonprofit business
organiza­tion that (1) is registered as a corporation or is authorized to
do business in a state and (2) makes any expenditure from corporate
funds for political purposes or for the purpose of influencing the
approval or the defeat of any ballot propo­sition. The term
\"corporation\" does *not* include a business organization\'s politi­cal
action committee or political issues committee or a business entity
organized as a partnership or sole proprietorship \[69\].

Each financial statement is to include the following information:

\(1\) Political action committees only: the name, address, and
occupation of any individual that makes a contribution to the reporting
political action commit­tee and the amount of the contribution.

\(2\) Political action committees only: the identification of any
publicly identi­fied class of individuals that makes a contribution to
the reporting political ac­tion committee and the amount of the
contribution. A \"publicly identified class of individuals\" is a group
of 50 or more individuals sharing a common occupa­tion, interest, or
association who contribute to a political action committee or po­litical
issues committee and whose names can be obtained by contacting the
po­litical action committee or political issues committee upon whose
financial re­port they are listed.

\(3\) Political action committees only: the name and address of any
political action committee, group, or entity that makes a contribution
to the reporting po­litical action committee and the amount of the
contribution.

\(4\) Political action committees only: for each nonmonetary
contribution, the fair market value of the contribution.

\(5\) Political action committees and corporations: the name and address
of each candidate, candidate\'s personal committee, officeholder, party
committee, political action committee, or political issues committee
that received an expen­diture from the reporting political action
committee or corporation and the amount of each expenditure.

\(6\) Political action committees only: For each nonmonetary
expenditure, the fair market value of the expenditure.

\(7\) Political action committees only: the total amount of
contributions re­ceived and expenditures disbursed by the reporting
political action committee.

\(8\) Corporations only: the total amount of expenditures disbursed by
the corporation.

\(9\) Political action committees and corporations: a paragraph signed
by the political action committee\'s or corporation\'s treasurer or
chief financial officer verifying the accuracy of the financial report.

\(10\) Political action committees only: a summary page in the form
required by the Lieutenant Governor that identifies the beginning
balance, total contribu­tions during the period since the last statement,
total contributions to date, total expenditures during the period since
the last statement, and total contributions to date \[70\].

Contributions received by a political action committee that have a value
of \$50 or less need not be reported individually but must be listed on
the financial report as an aggregate total; however, two or more
contributions from the same source that have an aggregate total of more
than \$50 may not be reported in the aggregate and must be reported
separately \[71\].

Financial statements are required to be filed with the Lieutenant
Governor\'s of­fice on (1) January 5th, reporting contributions and
expenditures as of Decem­ber 31st of the previous year, (2) September
15th, and (3) 7 days before the regular general election \[72\]. A
registered political action committee need not file a financial
statement if it received no contributions and made no expen­ditures
during the reporting period; a corporation need not file a financial
state­ment if it made no expenditures during the reporting period \[73\].

A registered political action committee or corporation is to report (1)
a de­tailed listing of all contributions received (committee only) and
all expenditures (committee and corporation) made since the last
statement and (2) for financial statements filed on September 15th and
before the general elec­tion, all contributions (committee only) and
expenditures (committee and cor­poration) as of three days before the
required filing date of the financial state­ment \[74\].

**E. Ballot‑Issue‑Related Financial Statements of Political Issues
Committees and Corporations.** Verified financial statements are
required to be filed periodically with the Lieutenant Governor\'s office
by (1) each registered po­litical issues committee that has received
political issues contributions totaling \$750 or more or disbursed
political issues expenditures totaling \$50 or more during a calendar
year on current or proposed statewide ballot propositions, to influence
an incorporation petition or an incorporation election, or on initiative
petitions to be submitted to the legislature and (2) each corporation
that has made political issues expen­ditures on current or proposed
ballot issues that total \$750 or more during a calen­dar year \[75\].

A \"political issues committee\" is an entity or any group of
individuals or enti­ties within or outside the state that solicits or
receives contributions from any other person, group, or entity or makes
expenditures to influence or to intend to influence, directly or
indirectly, any person to (1) assist in placing a statewide ballot
proposi­tion on the ballot, to assist in keeping a statewide ballot
proposition off the ballot, or to re­frain from voting or to vote for or
against any statewide ballot proposition or (2) sign or refuse to sign
an incorporation petition or refrain from voting, vote for, or vote
against any proposed incorporation in an incorporation election \[76\].
A \"ballot proposition\" includes an initiative, a referendum, a
proposed constitutional amendment, or any ballot proposition submitted
to the voters that is authorized by the state code \[77\].

The term \"political issues committee\" does *not* include (1) a
registered political party or a party committee, (2) any entity that
provides goods or services to an individual or committee in the regular
course of its business at the same price that would be provided to the
general public, (3) an individual, (4) individuals who are related and
who make contributions from a joint checking account, or (5) a
corporation (except a corporation whose apparent purpose is to act as a
political issues committee) \[78\].

A \"corporation\" is a domestic or foreign, profit or nonprofit business
organiza­tion that (1) is registered as a corporation or is authorized to
do business in a state and (2) makes any expenditure from corporate
funds for political purposes or the purpose of influencing the approval
or defeat of any ballot proposition. The term \"corporation\" does *not*
include a business organization\'s political action committee or
political issues committee or a business entity organized as a
part­nership or sole proprietorship \[79\].

Each financial statement is to include the following information:

\(1\) Political issues committees only: the name, address, and
occupation of any individual that makes a contribution to the reporting
political issues commit­tee and the amount of the contribution.

\(2\) Political issues committees only: the identification of any
publicly identi­fied class of individuals that makes a political issues
contribution to the reporting political issues committee and the amount
of the political issues contribution. A \"publicly identified class of
individuals\" is a group of 50 or more individuals sharing a common
occupation, interest, or association who contribute to a politi­cal
issues committee and whose names can be obtained by contacting the
politi­cal issues committee.

\(3\) Political issues committees only: the name and address of any
political is­sues committee, group, or entity that makes a political
issues contribution to the reporting political issues committee and the
amount of the contribution.

\(4\) Political issues committees only: the name and address of each
candidate, candidate\'s personal committee, officeholder, party
committee, political action committee, or political issues committee
makes a political issues contribution to the reporting political issues
committee and the amount of the contribution.

\(5\) Political issues committees only: for each nonmonetary
contribution, the fair market value of the contribution.

\(6\) Political issues committees and corporations: the name and address
of each individual, entity, or group of individuals or entities that
received a political issues expenditure of more than \$50 from the
reporting political issues commit­tee or corporation and the amount of
each expenditure.

\(7\) Political issues committees only: for each nonmonetary
expenditure, the fair market value of the expenditure.

\(8\) Political issues committees only: the total amount of political
issues con­tributions received and political issues expenditures
disbursed by the reporting political issues committee.

\(9\) Corporations only: the total amount of political issues
expenditures dis­bursed by the corporation.

\(10\) Political issues committees and corporations: a paragraph signed
by the political issues committee\'s or corporation\'s treasurer or
chief financial officer verifying the accuracy of the financial
statement.

\(11\) Political issues committees only: a summary page in the form
required by the Lieutenant Governor that identifies the beginning
balance, total contribu­tions during the period since the last statement,
total contributions to date, total expenditures during the period since
the last statement, and total contributions to date \[80\].

Political issues contributions received by a political issues committee
that have a value of \$50 or less need not be reported individually but
must be listed on the financial report as an aggregate total; however,
two or more contributions from the same source that have an aggregate
total of more than \$50 may not be re­ported in the aggregate and must be
reported separately \[81\].

Financial reports are required to be filed with the Lieutenant
Governor\'s office (1) January 5th, reporting contributions and
expenditures as of December 31st of the previous year, (2) September
15th, and (3) 7 days before the regular gen­eral election \[82\]. A
registered political issues committee need not file a finan­cial
statement if it received no contributions and made no expenditures
during the reporting period; a corporation need not file a financial
statement if it made no expenditures during the reporting period \[83\].

A registered political issues committee or corporation is to report (1)
a de­tailed listing of all contributions received (committee only) and
all expenditures (committee and corporation) made since the last
statement and (2) for financial statements filed on September 15th and
before the general elec­tion, all contributions (committee only) and
expenditures (committee and cor­poration) as of three days before the
required filing date of the financial state­ment \[84\].

**F. Statement of Organization of a Political Action Committee, Separate
Segregated Fund of Labor Organization, or Political Issues Committee.**
A political action committee (including a separate segregated fund of a
labor organization) or a political issues com­mittee is required to file
a statement of organization with the Lieutenant Governor\'s office no
later than 7 days:

\(1\) In the case of the political action committee, after receiving
contributions totaling at least \$750 in any calendar year or after
distributing expenditures for political purposes (i.e., related to a
candidate for public office) totaling at least \$750 in any calendar
year.

\(2\) In the case of the political issues committee, after receiving
political issues contributions totaling at least \$750 in any calendar
year or after disbursing polit­ical issues expenditures totaling at least
\$50 in any calendar year \[85\].

The statement of organization is to include (1) the name and address of
the committee; (2) the name, address, occupation, and title of each
officer; (3) the name and address of the organization, individual
corporation, association, unit of government, or union that the
committee represents, if any; (4) the name and address of all affiliated
or connected organizations and their relationships to the committee; (5)
the name, address, business address, occupation, and phone number of the
committee\'s treasurer or chief financial officer; (6) the name,
ad­dress, and occupation of each member of the governing or supervisory
board, if any; and (7) (political issues committee only) the ballot
proposition whose out­come the committee wishes to affect and whether the
committee supports or opposes it \[86\].

**G. Notice of Dissolution of a Registered Political Action Committee or
Political Issues Committee.** A registered political action committee or
po­litical issues committee that intends to permanently cease operations
must file a notice of dissolution with the Lieutenant Governor\'s
office. The filing of a disso­lution notice does not exempt the committee
from complying with the financial reporting requirements of the campaign
and financial reporting law \[87\].

**H. Financial Statements of County, City, and Town Office Candidates.**
An ordinance establishing campaign finance disclosure requirements for
candidates for county, city, or town office must be adopted by:

\(1\) Counties, first class cities, second class cities, and third class
cities with a population of 10,000 or more.

\(2\) Third class cities with a population under 10,000 and towns for
local office candidates who receive more than \$750 in campaign
contributions or spend more than \$750 on their campaign for office
\[88\].

The ordinance must include:

\(1\) A requirement that each candidate to whom the ordinance applies
report itemized and total campaign contributions and expenditures at
least once within two weeks before an election (counties) or at least
once 7 days before a municipal general election (cities and towns) and
at least once within two months after an election (counties) or at least
once 30 days after a municipal general election (cities and towns)..

\(2\) A definition of \"contribution\" and \"expenditure\" that requires
reporting of nonmonetary contributions such as in‑kind contributions and
contributions of tangible things.

\(3\) A requirement that the financial reports identify for each
contribution of more than \$50 the name of the donor of the contribution
and the amount of the contribution and for each expenditure the name of
the recipient and the amount of the expenditure \[89\].

If a county, city, or town does not adopt a complying ordinance, each
candidate (ex­cept candidates for community council offices) must file
signed campaign state­ments with the county clerk or city recorder, as
appropriate, (1) 30 days after a primary election for candidates
eliminated at the primary, (2) 7 days before the regular general
election with a cutoff date for reporting contributions and ex­penditures
of 10 days before the regular general election, and (3) no later than 30
days after the regular general election \[90\].

The campaign financial statements must include:

\(1\) A list of each contribution of more than \$50 received by the
candidate and the name of the donor.

\(2\) An aggregate total of all contributions of \$50 or less received
by the can­didate.

\(3\) A list of each expenditure for political purposes made by the
candidate and the recipient of each expenditure \[91\].

A county, city, or town may enact requirements by ordinance that require
greater disclosure of cam­paign contributions and expenditures and impose
additional penalties than pre­scribed by statute for counties or cities
that do not have a complying local cam­paign finance ordinance \[92\].

**J. Financial Reporting for Judicial Retention Elections.** Special
campaign and financial reporting requirements have been established that
govern judges standing for a retention election \[93\].

**1. Personal Campaign Committee.** When permitted to do so by the Code
of Judicial Conduct and if the judge chooses to solicit contributions or
make expenditures to promote his or her retention, the judge may
establish no more than one retention election personal campaign
committee, which consists of one or more persons to receive
contributions, make expenditures, and file reports connected with the
judge\'s retention election campaign \[94\].The judge is required to
file with the lieutenant governor a signed written statement containing
the name and address of each member and the secretary of the judge\'s
personal campaign committee. The judge may change the membership of the
personal campaign committee at any time by filing with the lieutenant
governor a signed statement containing the name and address of any
additional members and identifying any members that have been removed
from the committee. A judge\'s personal campaign committee is dissolved
on the date that the year-end summary report is filed \[95\].

The judge or the judge\'s personal campaign committee may not make any
expenditures on behalf of the judge until the statement of organization
has been filed. A judge or person acting in concert with or with the
knowledge of the judge may not receive any contributions or make any
expenditures other than through the judge's personal campaign committee.
The personal campaign committee may not make an expenditure of more than
\$1,000 unless the judge or the secretary of the campaign committee
authorizes the expenditure in writing. A judge or the judge\'s personal
campaign committee may not make any expenditures prohibited by law
\[96\].

**2. Personal Campaign Accounts.** The judge or the judge\'s personal
campaign committee must deposit each contribution in one or more
separate personal campaign accounts in a financial institution and may
not deposit or mingle any contributions received into a personal or
business account \[97\].

**3. Interim Reports.** The judge\'s personal campaign committee must
file an interim report with the lieutenant governor no later than 5 p.m.
on the date 7 days before the regular general election date \[98\].

Each interim report must include the following information:

\(1\) A detailed listing of each contribution received since the last
summary report. For all individual contributions of \$50 or less, a
single aggregate figure may be reported without separate detailed
listings. Two or more contributions from the same source that have an
aggregate total of more than \$50 may not be reported in the aggregate,
but must be reported separately.

\(2\) For each nonmonetary contribution, the fair market value of the
contribution.

> \(3\) A detailed listing of each expenditure made since the last
> summary report.
>
> \(4\) For each nonmonetary expenditure, the fair market value of the
> expenditure.

\(5\) A net balance for the year consisting of all contributions since
the last summary report minus all expenditures since the last summary
report \[99\].

In preparing each interim report, all contributions and expenditures
must be reported as of five days before the required filing date of the
report \[100\].

**4. Year-End Summary Reports.** The judge\'s personal campaign
committee must file a summary report with the lieutenant governor by
January 5^th^ of the year after the regular general election year
\[101\].

Each summary report is to include the following information as of
December 31 of the last regular general election year:

\(1\) A single figure equal to the total amount of contributions
reported on the interim report.

\(2\) A single figure equal to the total amount of expenditures reported
on the interim report.

\(3\) A detailed listing of each contribution received since the last
summary report that has not been reported in detail on the interim
report. For all single contributions of \$50 or less, an aggregate
figure may be reported without a separate detailed listing. Two or more
contributions from the same source for a total of more than \$50 may not
be reported in the aggregate, but must be reported in the detailed
listing.

\(4\) For each nonmonetary contribution, the fair market value of the
contribution.

\(5\) A detailed listing of each expenditure made since the last summary
report that has not been reported in detail on the interim report.

\(6\) For each nonmonetary expenditure, the fair market value of the
expenditure.

> \(7\) The net balance for the year, consisting of all contributions
> minus all expenditures \[102\].

The summary report is to contain a statement signed by the judge
certifying that, to the best of the judge\'s knowledge, all
contributions and all expenditures have been reported as of December
31st of the last regular general election year and that there are no
financial obligations outstanding except as set forth in the report. The
personal campaign committee is dissolved on the date that the summary
report is filed \[103\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Establishment of an Election Campaign Fund.** A trust fund to be
known as the \"election campaign fund\" has been established by law in
the state trust and agency fund to provide financial support to
political parties in the state \[104\].

The election campaign fund consists of revenue generated from the
imposition of sales and use taxes that is transferred from the general
fund. Two dollars are transferred from the general fund to the election
campaign fund for each \$2 campaign contribution designation for any
political party made on an individual income tax return by an individual
(other than a non‑resident alien) whose in­come tax liability (less any
credit allowed) for any taxable year is \$2 or more \[105\].

**B. Designation of Political Party Recipients.** The income tax return
form prepared by the state tax commission must include a provision for a
campaign contribution designation for any political party that has
qualified as such in the first 6 months of the calendar year for which
the return form is prepared. The qualified political parties must be
placed on the return form in alphabetical or­der. An individual who
chooses to make such a designation must so indicate by placing a check
mark opposite the name of the political party on the return form, which
will also contain a box in which the taxpayer can indicate that no
contribution is to be made to any political party. A designation may be
made with respect to any taxable year at the time of filing the income
tax return for that taxable year \[106\].

**C. Disbursements to Designated Political Parties.** On or before 4
months after the due date of the income tax returns as to which
designations of payment to the election campaign fund have been made,
the state treasurer must make disbursements from the fund as follows:

\(1\) One‑half of that portion of the amounts deposited in the fund
since the last disbursement designated for any given political party are
disbursed to the state central committee of the political party.

\(2\) The balance of this portion (the remaining one‑half) is
distributed to the respective county central committees of the political
party in the direct relation­ship that the number of taxpayers who
designated that amounts be paid into the fund for that party residing in
any county bears to the total number of such tax­payers who made
designations for that party in the state \[107\].

Each state central committee and county central committee that receives
dis­bursements from the election campaign fund must establish a separate
account for the disbursements. Payments from any of these accounts may
only be made upon explicit authorization as to each payment from a duly
convened meeting of the applicable central committee. The committee\'s
duty of authorization is not delegable. Any person who make payments
without the required authorization is guilty of a misdemeanor, and any
person has standing to enjoin any such vio­lation \[108\].

**VI. TAX PROVISIONS**

**A. Taxpayer Designation of Campaign Contribution.** Every individual
(other than a non‑resident alien) whose income tax liability (less any
credit al­lowed) for any taxable year is \$2 or more may designate that
\$2 be paid into the election campaign fund to provide financial support
for the political party desig­nated by the taxpayer. The state tax
commission must cause \$2 to be trans­ferred from the general fund from
revenue generated from the imposition of sales and use taxes to the
election campaign fund for each political party cam­paign contribution
designation made on an individual income tax return \[109\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Statement of Dissolution and Final Summary Report of a Candidate,
Candidate\'s Personal Campaign Committee, or Officeholder.** Candidates
for and officeholders in state office, legislative office, and state and
local school board office are active and subject to the requirements for
year‑end reporting of receipts and expenditures until a statement of
dissolution and final summary re­port are filed with the appropriate
chief election officer that states:

\(1\) The candidate, candidate\'s personal campaign committee, or
officeholder is no longer receiving contributions (or public service
assistance in the case of an officeholder) and is no longer making
expenditures.

\(2\) The ending balance on the last summary report is zero and the
balance in the separate bank account required to be maintained by a
candidate or candida­te\'s personal campaign committee is zero.

\(3\) A final summary report in the form required for year‑end summary
re­ports showing a zero balance is attached to the statement of
dissolution \[110\].

A statement of dissolution and final summary report may be filed at any
time \[111\].

**B. Disposition of Surplus Contributions for a Judicial Candidate.**
The campaign committee of a candidate for judicial office in a retention
election or reappointment process must contribute to the Utah Bar
Foundation without public attribution any surplus contributions held by
the committee after an election \[112\].

**VIII. OFFENSES AND PENALTIES**

**A. Administrative Procedures for Summary Report Violations.** If it
ap­pears to the appropriate chief election officer that a state office,
legislative of­fice, or state or local school board office candidate or
officeholder, a political party, a political action committee, a
political issues committee, or a corporation has failed to file a
required year‑end summary report, a filed summary report does not
conform to the law, or a written complaint has been received by the
chief election officer alleging a violation of the law or the falsity of
any sum­mary report, the chief election officer is required within 5 days
of discovery of a violation or receipt of a written complaint to notify
the candidate of the viola­tion or complaint and direct the candidate to
file a summary report correcting the problem. The candidate must file
the correcting summary report within 14 days after receipt of notice
from the chief election officer \[113\].

**B. Candidate or Voter Complaint.** Any candidate or voter may file a
writ­ten complaint with the chief election officer alleging that a filed
financial state­ment does not conform to law or to the truth \[114\].

**C. Criminal Penalties.** A person or entity that fails to file or
amend a fi­nancial statement within 14 days after receiving notice from
the chief election officer is guilty of a class B misdemeanor \[115\].

A registered political party, political action committee, or political
issues committee that fails to file the financial reports due September
15th or before the regular general election is guilty of a class B
misdemeanor \[116\].

A person who fails to comply with the statutory requirement for a county
or city office candidate to file campaign financial statements is guilty
of an infrac­tion \[117\].

A lobbyist or principal of a lobbyist who violates the prohibition
against mak­ing a campaign contribution to a state legislator during a
session of the state leg­islature is guilty of a class A misdemeanor
\[118\].

A person or entity who commits one of the following violations of the
Voluntary Contributions Act is guilty of a class A misdemeanor:

\(1\) It is unlawful for a labor organization to make expenditures for
political activities by using contributions (a) secured by physical
force or threat of force, job discrimination or threat of job
discrimination, membership discrimination or threat of membership
discrimination, or economic reprisals or threat of economic reprisals or
(b) from union dues expended for political activities.

\(2\) When a labor organization is soliciting contributions for a fund
from an employee, it is unlawful for a labor organization to fail to
affirmatively inform the employee in writing of the fund\'s political
purpose and the employee\'s right to refuse to contribute without fear
of reprisal or loss of membership in the labor organization.

\(3\) It is unlawful for a labor organization to solicit contributions
for the fund from any person other than its members and their families.

\(4\) It is unlawful for a labor organization to pay a member for
contributing to the fund by providing a bonus, expense account, rebate
of union dues, or by any other form of direct or indirect compensation
\[119\].

**D. Election‑Related Penalty for Failure to File a Timely Interim
Re­port.** A state office, legislative office, or state or local school
board office can­didate who fails to file timely a required interim
financial statement is disquali­fied, and the candidate\'s name must be
removed from the ballot or, if removal is not practicable, the votes
cast for the disqualified candidate may not be counted; nevertheless, at
least in the case of state office and legislative candidates, the
candidate is not disqualified if completed reports are in fact filed
\[120\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Lieutenant Governor.** The Lieutenant Governor is the designated
officer for administering the requirements of the campaign and financial
reporting re­quirements law \[121\]. Campaign financial statements of
state executive candi­dates and their personal campaign committees,
legislative office candidates, state officeholders, registered political
party committees, political action committees, political issues
committees, and corporations; statements of selection and mem­bership
revocations for state office candidates\' personal campaign committees;
and statements of organization or dissolution of political action
committees and political issues committees are filed with the office of
the Lieutenant Governor \[122\].

The Lieutenant Governor is to develop and prepare forms for statements
re­quired to filed with the Lieutenant Governor, provide copies of forms
to secre­taries of committees, candidates, and all others who request
them, and prepare summaries of the financial reports submitted by
political action committees, po­litical issues committees, and
corporations \[123\]. Candidates, judges, and entities that file with
the Lieutenant Governor are to be informed by postal mail or, if
requested, by electronic mail 10 days before a fi­nancial report is due
that the report is required, the due date for the report, and the
consequences for failure make a timely filing \[124\].

The Lieutenant Governor is to report all criminal violations to the
attorney general \[125\].

**B. County Clerk.** Campaign financial statements of local school board
of­fice candidates and county office candidates are filed with the county
clerk \[126\]. The county clerk is to develop and prepare forms for
statements required to filed by local school board candidates and
provide copies of forms to secretaries of committees, candidates, and
all others who request them \[127\]. Local school board candidates are
to be informed by postal mail or, if requested, by electronic mail 10
days before a financial report is due that the report is required, the
due date for the report, and the consequenc­es for failure make a timely
filing \[128\]. The county clerk is to report all crimi­nal violations by
local school board office candidates to the attorney general \[129\].

**C. City Recorder.** Campaign financial statements of city office
candidates in a first class city, second class city, and third class
city with a population of 10,000 or more are filed with the city
recorder \[130\].

**References**

1.  Utah Code Annotated (hereafter UCA) § 20A‑11‑101(6)(a);
    20A-12-301(1)(a) (judicial retention election)

2.  UCA § 20A‑11‑101(6)(b); 20A-12-301(a)(2) (judicial retention
    election)

3.  UCA § 20A‑11‑101(9), (31); 20A-12-301(8) (judicial retention
    election)

4.  UCA §§ 20A‑11‑201(1)(a), (2); 20A‑11‑202(1)(b)

5.  UCA §§ 20A‑11‑301(1), (2); 20A‑11‑1301(1), (2)

6.  UCA §§ 67‑19‑19(1)(b); 67‑19‑29

7.  UCA § 78‑7‑2

8.  UCA, Utah Court Rules, Utah Code of Judicial Administration, Code of
    Judicial Conduct, Canon 5 (hereafter Judicial Canon 5)

9.  Judicial Canon 5

10. UCA § 67‑5‑13

11. UCA § 31A‑4‑112

12. UCA § 31A‑13‑109

13. UCA §§ 36‑11‑102(9), (11); 36‑11‑305(1)

14. UCA § 20A-11-1401 *et seq.*

15. UCA § 20A-11-1403(1), (5)

16. UCA § 20A-11-1403(2)

17. UCA § 20A-11-1403(3)

18. UCA § 20A-11-1402(1)(d)

19. UCA § 20A-11-1402(1)(e)

20. UCA § 34-32-1

21. UCA § 20A‑11‑101(10)(a)20A-12-301(4)(a) (judicial retention
    election)

22. UCA § 20A‑11‑101(10)(b)20A-12-301(4) (b) (judicial retention
    election)

23. UCA § 20A‑11‑1‑1(9), (31)20A-12-301(8) (judicial retention election)

24. UCA §§ 20A‑11‑201(1)(b); 20A‑11‑202(1)(b), (2)(b)

25. Administrative Rules of the State of Utah (hereafter Rules) §
    A09‑01‑1

26. UCA §§ 20A‑11‑202(4); 20A‑11‑301(3); 20A‑11‑1301(3)

27. UCA § 20A‑11‑202(3)

28. UCA § 20A‑11‑903

29. UCA § 20A‑11‑1102

30. UCA § 20A‑11‑901(3)

31. UCA §§ 20A‑11‑1202(8), (7); 20A‑11‑1203

32. UCA § 20A‑11‑101(3)

33. UCA § 20A‑11‑101(4)

34. UCA § 20A‑11‑101(8)

35. UCA § 20A‑11‑101(19), (20)

36. UCA § 20A‑11‑101(22)

37. UCA § 20A‑11‑101(23)

38. UCA § 20A‑11‑101(33)

39. UCA § 20A‑11‑101(34)(a)

40. UCA § 20A‑11‑101(34)(b)

41. UCA §§ 20A‑11‑203(2)(a), (b); 20A‑11‑204(2), (3); 20A‑11‑302(2)(a),
    (b); 20A‑11‑303(2), (3); 20A‑11‑401(2)(a), (b); 20A‑11‑506(2)(a),
    (b); 20A‑11‑507(2), (3)

42. UCA § 20A‑11‑101(36)

43. UCA § 20A‑11‑101(43)

44. UCA § 20A‑11‑101(45), (46)

45. UCA § 20A‑11‑103(2)

46. UCA § 20A‑11‑103(3)

47. UCA §§ 20A‑11‑203(2)(c); 20A‑11‑204(4); 20A‑11‑302(2)(c);
    20A‑11‑303(4); 20A‑11‑401(2)(c); 20A‑11‑506(2)(c); 20A‑11‑507(4);
    20A‑11‑1302(2)(c); 20A‑11‑1303(4)

48. UCA §§ 20A‑11‑203; 20A‑11‑204; 20A‑11‑302; 20A‑11‑303; 20A‑11‑401;
    20A‑11‑506; 20A‑11‑507; 20A‑11‑1302; 20A‑11‑1303

49. UCA §§ 20A‑11‑205; 20A‑11‑304; 20A‑11‑402; 20A‑11‑1304

50. UCA §§ 20A‑11‑204(1); 20A‑11‑303(1); 20A‑11‑1303(1)

51. UCA § 20A‑11‑507(1)

52. UCA § 20A‑11‑204(2), (3); 20A‑11‑303(2), (3); 20A‑11‑507(2), (3);
    20A‑11‑1303(2), (3)

53. UCA § 20A‑11‑205(1); 20A‑11‑304(1); 20A‑11‑1304(1)

54. UCA §§ 20A‑11‑203(1); 20A‑11‑302(1); 20A‑11‑401(1); 20A‑11‑506(1);
    20A‑11‑1302(1)

55. UCA §§ 20A‑11‑203(2)(a), (b), (3); 20A‑11‑302(2)(a), (b), (3);
    20A‑11‑401(2)(a), (b), (3); 20A‑11‑506(2)(a), (b), (3);
    20A‑11‑1302(2)(a),(b), (3)

56. UCA §§ 20A‑11‑205(3); 20A‑11‑304(4); 20A‑11‑402(3); 20A‑11‑1304(4)

57. UCA §§ 20A‑11‑201(3); 20A‑11‑301(4); 20A‑11‑1301(4)

58. UCA §§ 20A‑11‑101(45); 20A‑11‑202(1)(a)

59. UCA § 20A‑11‑202(1)(b), (2)(a), (b)

60. Rules § A09‑01‑1

61. UCA § 20A‑11‑202(2)(c), (d)

62. Rules § A09‑01‑1

63. UCA §§ 20A‑11‑602(1)(a); 20A‑11‑701(1)(a)

64. UCA § 20A‑11‑1405(1)

65. UCA § 20A‑11‑101(26)(a), (b)

66. UCA § 20A‑11‑101(26)(c)

67. UCA § 20A‑11‑101(31)

68. UCA § 20A‑11‑101(3)

69. UCA § 20A‑11‑101(7)

70. UCA §§ 20A‑11‑101(35); 20A‑11‑602(2); 20A‑11‑701(2)

71. UCA § 20A‑11‑602(2)(b)

72. UCA §§ 20A‑11‑602(1)(a); 20A‑11‑701(1)(a)

73. UCA §§ 20A‑11‑602(1)(c); 20A‑11‑701(1)(c)

74. UCA §§ 20A‑11‑602(1)(b); 20A‑11‑701(1)(b)

75. UCA §§ 20A‑11(1)(a); 20A‑11‑802(1)(a)

76. UCA § 20A‑11‑101(2), (14)-(16), (28)(a)

77. UCA § 20A‑11‑101(2)

78. UCA § 20A‑11‑101(28)(b)

79. UCA § 20A‑11‑101(7)

80. UCA §§ 20A‑11‑101(29), (30), (35); 20A‑11‑702(2); 20A‑11‑802(2)(a)

81. UCA § 20A‑11‑802(2)(b)

82. UCA §§ 20A‑11‑702(1)(a); 20A‑11‑802(1)(a)

83. UCA §§ 20A‑11‑702(1)(c); 20A‑11‑802(1)(c)

84. UCA §§ 20A‑11‑702(1)(b); 20A‑11‑802(1)(b)

85. UCA §§ 20A‑11‑601(1); 20A‑11‑801(1); 20A-11-1405(1)

86. UCA §§ 20A‑11‑601(2); 20A‑11‑801(2)

87. UCA §§ 20A‑11‑601(3); 20A‑11‑801(3)

88. UCA §§ 10‑3‑208(1), (2); 17‑16‑6.5(1), (2)

89. UCA §§ 10-3-208(1); 17-16-6.5(1)

90. UCA §§ 10‑3‑208(3), (5); 17‑16‑6.5(3), (5)

91. UCA §§ 10‑3‑208(4); 17‑16‑6.5(4)

92. UCA §§ 10‑3‑208(7); 17‑16‑6.5(7)

93. UCA § 20A-12-301 *et seq.*

94. UCA § 20A-12-302(1)

95. UCA § 20A-12-302(2), (4)

96. UCA § 20A-12-302(1)-(3)

97. UCA § 20A-12-303

98. UCA § 20A-12-305(1)

99. UCA § 20A-12-305(2), (3)

100. UCA § 20A-12-305(4)

101. UCA § 20A-12-304(1)

102. UCA § 20A-12-304(2)\_

103. UCA § 20A-12-304(3)

104. UCA § 59‑10‑548(1), (2)

105. UCA §§ 59‑10‑547(1); 59‑10‑548(1)

106. UCA §§ 20A‑1‑102(44); 59‑10‑547(2)

107. UCA § 59‑10‑548(2)

108. UCA § 59‑10‑548(3)

109. UCA §§ 59‑10‑547(1); 59‑10‑548(1), (2)

110. UCA §§ 20A‑11‑205(2), (4); 20A‑11‑304(2), (4); 20A‑11‑402(1), (3);
     20A‑11‑1304(2), (4)

111. UCA §§ 20A‑11‑205(3); 20A‑11‑304(3); 20A‑11‑402(2); 20A‑11‑1304(3)

112. Judicial Canon 5

113. UCA §§ 20A‑11‑206(2)(b); 20A‑11‑305(2)(b); 20A‑11‑403(2);
     20A‑11‑508(3); 20A‑11‑603(3); 20A‑11‑703(2); 20A‑11‑803(3);
     20A‑11‑1305(2)(b), (3)(b); 20A-12-306(2)

114. UCA § 20A‑11‑1002(2)

115. UCA §§ 20A‑11‑206(2)(c); 20A‑11‑305(2)(c); 20A‑11‑403(3)(a), (b);
     20A‑11‑508(4)(a), (b); 20A‑11‑603(4)(a), (b); 20A‑11‑703(3)(a),
     (b); 20A‑11‑803(4)(a), (b); 20A‑11‑1305(2)(c), (3)(c);
     20A-12-306(2)(c)

116. UCA §§ 20A‑11‑508(1)(a); 20A‑11‑603(1)(a); 20A‑11‑803(1)(a)

117. UCA §§ 10‑3‑208(6); 17‑16‑6.5(6)

118. UCA § 36‑11‑305(2)

119. UCA § 20A-11-1404

120. UCA §§ 20A‑11‑206(1); 20A‑11‑305(1); 20A‑11‑1305(1); 20A-12-306(1)

121. UCA ch. 20A‑11

122. UCA §20A‑11‑101(4)

123. UCA §§ 20A‑11‑1001; 20A‑11‑1004(1)

124. UCA § 20A‑11‑103(1)(b)

125. UCA §§ 20A‑11‑206(2)(c); 20A‑11‑305(2)(c); 20A‑11‑403(3)(c);
     20A‑11‑508(1)(b), (4)(c); 20A‑11‑603(1)(b), (4)(c);
     20A‑11‑703(3)(c); 20A‑11‑803(1)(b), (4)(c); 20A‑11‑1305(2)(c);
     20A-12-306(2)(c)

126. UCA §§ 17‑16‑6.5(3)(a); 20A‑11‑101(4)

127. UCA § 20A‑11‑1001

128. UCA § 20A‑11‑103(1)(b)

129. UCA § 20A‑11‑1305(3)(c)

130. UCA § 10‑3‑208(3)

**CAMPAIGN FINANCE LAW**

**IN VERMONT**

**I. INTRODUCTION**

Vermont requires pre‑election and post‑election campaign finance reports
to be filed by state executive office candidates, by state legislative,
county, and lo­cal office candidates if contributions accepted or
expenditures made total \$500 or more, and by political parties and
political committees if contributions ac­cepted or expenditures made
total \$500 or more in a calendar year.

Total contributions that may be accepted from a single source or
political committee in any two‑year gen­eral-election cycle are limited:
(1) candidate for governor, lieutenant governor, secretary of state,
state treasurer, auditor of accounts, or attorney general‑‑\$400; (2)
candidate for state senator or county office‑‑\$300; (3) candidate for
state representative or local office‑‑\$200; and (4) political committee
(other than a political committee of a candidate) or political
party‑‑\$2,000. Total contributions that may be accepted from a
political party in any two‑year gen­eral-election cycle are not as
restricted: (1) any candidate--no limit--and (2) political committee
(other than a political committee of a candidate) or political
party‑‑\$2,000.

Public funding of candidates for governor and lieutenant governor is
authorized under the Vermont campaign finance option law: (1) for
governor: non‑incumbent can­didate‑‑\$75,000 minus the amount of the
candidate\'s qualifying contributions for the primary and \$225,000 for
the general election; incumbent candidate‑‑\$63,750 minus the amount of
the candidate\'s qualifying contributions for the primary and \$191,250
for the general election period and (2) for lieutenant governor:
non‑incumbent candidate‑‑\$25,000 minus the amount of the candidate\'s
qualify­ing contributions for the primary and \$75,000 for the general
election; incum­bent candidate: \$21,250 minus the amount of the
candidate\'s qualifying contri­butions for the primary and \$63,750 for
the general election. Individuals may designate an income‑tax refund or
overpayment for deposit in the Vermont campaign fund for public funding
of candidates for governor and lieutenant governor.

The Secretary of State is responsible for the administration of the
state cam­paign finance law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is a payment,
dis­tribution, advance, deposit, loan, gift of money, or anything of
value paid or promised to be paid to a person for the purpose of
influencing an election, advo­cating a position on a public question, or
supporting or opposing one or more candidates in any election, but does
not include services provided without com­pensation by individuals
volunteering their time on behalf of a candidate, politi­cal committee,
or political party or a personal loan from a lending institution \[1\].

**B. Limitations on Contributions.** Contributions totaling more than
the statutorily prescribed maximum amounts may not be accepted from a
single source, political committee, or political party in any two‑year
general election cycle by the following recipients: (1) candidate for
governor, lieutenant gover­nor, secretary of state, state treasurer,
auditor of accounts, or attorney general‑‑\$400 (except unlimited from a
political party); (2) candidate for state senator or county
office‑‑\$300 (except unlimited from a political party); (3) can­didate
for state representative or local office‑‑\$200 (except unlimited from a
political party); and (4) political committee (other than the political
committee of a candidate) or political party‑‑\$2,000. The contribution
restrictions do not limit the amount a candidate or the candidate\'s
immediate family may contribute to the candidate\'s own campaign and do
not apply to contributions made for the purpose of advocating a position
on a public question, including a constitutional amendment \[2\].

A single source or political commit­tee may not contribute more to a
candidate, political commit­tee, or political party than the candidate,
political committee, or political party is permitted to accept \[3\].

A candidate, political party, or po­litical committee is not permitted to
accept a contribution that is not directly from the con­tributor, but was
transferred to the contributor by another person for the pur­pose of
transferring the contribution to the candidate or otherwise
circumvent­ing the provisions of the state campaign finance law \[4\].

For the purposes of the limita­tions on contributions, the term
\"candidate\" includes the candidate\'s political committee \[5\].

A \"single source\" is an individual, partnership, corporation,
association, labor organization, or any other organization or group of
persons that is not a political committee or political party \[6\].

An \"election\" is the procedure by which voters select a person to be a
can­didate for public office or fill a public office or to act on public
questions, includ­ing voting on constitutional amendments. Each primary,
general, special, run‑off, or local election constitutes a separate
election \[7\].

The \"two‑year general election\" cycle is the 24‑month period that
begins the day after a general election \[8\].

**C. Payment by Check.** A candidate may not accept a con­tribution in
excess of \$50 unless made by check \[9\].

**D. Solicitation, Acceptance, Making, and Use of Contributions by a
Judicial Office Candidate**. The political activities of judges and
judicial can­didates are regulated by the Vermont Code of Judicial
Conduct \[10\].

A judge is not permitted to pay an assessment or make a contribution to
a po­litical party, organization, or candidate, purchase tickets for
political party din­ners or other functions, or solicit funds for a
political party, organization, or candidate \[11\].

A candidate for appointment to or confirmation or retention in state
judicial office or for appointment to an other public office may not
solicit or accept funds, personally or through a committee or otherwise,
to support the candidacy. A candidate who is not an incumbent judge may
not continue to pay ordinary assessments and make ordinary contributions
to a political party, organization, or candidate or purchase tickets for
political party dinners or other functions \[12\].

A candidate for election or reelection as judge of probate or assistant
judge may not personally solicit or accept campaign contributions, but
may establish committees of responsible persons to conduct campaigns for
the candidate. A candidate\'s committee may solicit and accept campaign
contributions not to exceed \$150 from any single source, including
lawyers. The solicitation of con­tributions for a candidate\'s campaign
is permitted no earlier than 90 days before a primary election and no
later than 90 days after the last election in which the candidate
participates during the election year. A candidate may not use or permit
the use of campaign contributions for the private benefit of the
candidate or others \[13\].

A candidate for elective or non‑elective office may not authorize or
knowingly permit any other person to do for the candidate what the
candidate if prohibited from doing under the Code of Judicial Conduct. A
candidate must prohibit em­ployees and officials who serve at the
pleasure of the candidate and discourage other employees and officials
subject to the candidate\'s direction and control from doing on the
candidate\'s behalf what the candidate is prohibited from do­ing under
the Code \[14\].

A \"candidate\" under the Vermont Code of Judicial Conduct is a person
seek­ing appointment, confirmation, retention, election, or reelection in
or to any pub­lic office. A person becomes a candidate for appointment to
or confirmation or retention in state judicial office when he or she
applies to the Judicial Nominat­ing Board or Joint Committee on Judicial
Retention. A person becomes a can­didate for appointment to any other
state or federal public office when he or she applies to the appropriate
nominating or appointing authority or when that au­thority announces that
the person is under consideration or has been nominated for office. A
person becomes a candidate for election or reelection as soon as he or
she makes a public announcement of candidacy, files nomination papers,
or authorizes solicitation or acceptance of contributions or support
\[15\].

**E. Solicitation of Contributions From and Making or Promising of
Contributions by Registered Lobbyists and Employers of Lobbyists Dur­ing
a State Legislative Session.** When the general assembly is in session
and until adjournment sine die, members and members‑elect of the general
assembly and administrative officials may not solicit a political
campaign contribution from a registered lobbyist or a registered
employer of a lobbyist, and registered lobbyists and registered
employers of lobbyists may not make or promise a po­litical campaign
contribution to any member of the general assembly or any member\'s
campaign committee. An \"administrative official\" is a state officer or
an officer, employee, or consultant of a state agency who as part of his
or her official duties participates in any administrative action other
than in a solely cler­ical, secretarial, or ministerial capacity \[16\].

**F. Solicitation and Making of Contributions for State Treasurer
Can­didates by Investment Firms.** The state treasurer is prohibited from
entering into any contract with any firm if the firm or a political
committee established by that firm has made a contribution or solicited
contributions on behalf of a candidate for the office of state treasurer
within 5 years of the date of the con­tract \[17\].

A firm that currently has a contract with the state treasurer or a
political committee established by that firm may not make a contribution
to or solicit contributions on behalf of a candidate for the office of
state treasurer. A viola­tion of this prohibition is to be considered a
material breach and a default by the firm of any contract issued to it
by the state treasurer \[18\].

A firm is any person or entity that provides investment services \[19\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is a payment,
dis­bursement, distribution, advance, deposit, loan, gift of money, or
anything of value paid or promised to be paid for the purpose of
supporting or opposing one or more candidates, influencing an election,
or advocating a position on a public question \[20\].

**B. Payment of Expenditures by a Candidate or Political Committee.**
All expenditures by a candidate who has made expenditures or received
contri­butions of \$500 or more or by a political committee must be paid
by check from a single checking account maintained by the designated
treasurer in a single bank publicly designated by the candidate or
political committee \[21\].

**C. Investment of Contributions.** According to the Secretary of State,
the campaign finance law is not specific on where contributions should
be held and for that reason the practice of investing campaign
contributions in short‑term notes is permissible so long as expenditures
are always made from the designat­ed checking account of the candidate,
political committee, or political party \[22\].

**D. Campaign Expenditure Limitations (*Unconstitutional*).** All
candidates are subject to campaign expenditure limitations for all
primary, general, and local elections, whether or not a candidate
accepts Ver­mont campaign finance grants or is financing his or her own
campaign from pri­vate contributions, the candidate\'s own resources, or
the resources of his or her own immediate family. Campaign expenditures
by candidates for the following offices may not exceed the limits
indicated in any two‑year general‑election cy­cle:

\(1\) Governor: non‑incumbent‑‑\$300,000; incumbent‑‑\$255,000 (85%).

\(2\) Lieutenant governor: non‑incumbent‑‑\$100,000; incumbent‑‑\$85,000
(85%).

\(3\) Secretary of state, state treasurer, auditor of accounts, or
attorney gener­al: non‑incumbent‑‑\$45,000; incumbent‑‑\$38,250 (85%).

\(4\) State senator: non‑incumbent‑‑\$4,000 plus an additional \$2,500
for each additional seat in the senate district; incumbent‑‑\$3,600 plus
an additional \$2,250 for each additional seat in the senate district
(90%).

\(5\) State representative in a single‑member district:
non‑incumbent‑‑\$2,000; incumbent‑‑\$1,800 (90%).

\(6\) State representative in a two‑member district:
non‑incumbent‑‑\$3,000; incumbent‑‑\$2,700 (90%).

\(7\) County office: non‑incumbent‑‑\$4,000; incumbent‑‑\$4,000 (100%)
\[23\].

Even though Congress has jurisdiction to enact expenditure limitations
for candidates for federal office, the state general assembly expects
candidates for the U.S. house of representatives and senate to observe
the contribution and ex­penditure limitations that apply to candidates
for governor \[24\].

The \"two‑year general election\" cycle is the 24‑month period that
begins the day after a general election \[25\].

**E. Determination of Re­lated Campaign Expenditures.** A \"related
campaign expenditure\" is any ex­penditure intended to promote the
election of a specific candidate or group of candidates or the defeat of
an opposing candidate or group of candidates if in­tentionally
facilitated, solicited, or approved by the candidate or the candidate\'s
political committee \[26\].

A related campaign expenditure made on a candidate\'s behalf is
considered to be a contribution to the candidate on whose behalf it was
made \[27\].

An expenditure is not considered to be a related campaign expenditure
made on the candidate\'s behalf if (1) the expenditures were made in
connection with a campaign event whose purpose was to provide a group of
voters with the oppor­tunity to meet the candidate personally, (2) the
expenditures were made only for refreshments and related supplies that
were consumed at that event, and (3) the amount of the expenditures for
the event was less than \$100 \[28\].

An expenditure made by a political party or by a political committee
that re­cruits or endorses candidates and primarily benefits 6 or fewer
candidates who are associated with the party or committee making the
expenditure is presumed to be a related expenditure made on behalf of
those candidates \[29\].

An expenditure made by a political party or by a political committee
that re­cruits or endorses candidates, substantially benefits more than 6
candidates, and facilitates party or committee functions, voter turnout,
platform promotion, or organizational capacity may not be presumed to be
a related expenditure made on a candidate\'s behalf \[30\].

A candidate may seek a determination that an expenditure is a related
expen­diture made on behalf of an opposing candidate by filing a petition
with the su­perior court of the county in which either candidate resides.
Expedited disposi­tion of the case is required. The findings and
determination of the court are prima facie evidence in any proceedings
brought for violation of the state cam­paign finance law \[31\].

**IV. REPORTING REQUIREMENTS**

**A. Campaign Finance Reports**

**1. General Provisions.** A candidate for state office, a candidate for
the general assembly or for county or local office who has accepted
contributions or made expenditures of \$500 or more, and a political
party or political committee that has accepted contributions or made
expenditures of \$500 or more in a cal­endar year are required to file
campaign finance reports with the appropriate fil­ing officer \[32\]. The
failure of a legislative, county, or local candidate to file a campaign
finance report is deemed an affirmative statement that the candidate has
not accepted contributions or made expenditures of \$500 or more \[33\].

A \"candidate\" is an individual who has taken affirmative action to
become a candidate for state, legislative, county, or local office in a
primary, special, gen­eral, or local election by accepting contributions
or making expenditures totaling \$500 or more, by filing the requisite
petition for nomination or being nominated by primary caucus, or by
announcing that he or she seeks an elected position as a state, county,
or local officer or a position as representative or senator in the
general assembly \[34\].

A \"political committee\" or \"political action committee\" is any
formal or informal committee of two or more individu­als, not including a
political party, that receives contributions or makes expen­ditures of
more than \$500 in any one calendar year for the purpose of support­ing
or opposing one or more candidates, influencing an election or
advocating a position on a public question in any election, or affecting
the outcome of an elec­tion \[35\].

A \"political party\" is a political party organized under state law or
any commit­tee established, financed, maintained, or controlled by the
party, including any subsidiary, branch, or local unit and national or
regional affiliates \[36\].

A \"public question\" is an issue that is before the voters for a
binding decision \[37\].

A \"state office\" is the office of governor, lieutenant governor, state
treasurer, secretary of state, auditor of accounts, and attorney general
\[38\].

A campaign finance report must in­clude and is limited to the following
information: (1) the full name, town of res­idence, and mailing address
of each contributor of more than \$100, the amount contributed, and the
date of the contribution; (2) the total amount of all contri­butions of
\$100 or less and the total number of all such contributions; (3) each
expenditure listed by amount, date, to whom paid, and for what purpose;
(4) the amount contributed or loaned by the candidate to the
candidate\'s own campaign during the reporting period; (5) each debt or
other obligation incurred during the reporting period listed by amount,
date incurred, to whom owed, and for what purpose; and (6) total
contributions and total expenditures for the report­ing period and for
the campaign to date. All contributions and expenditures ac­cepted or
spent during the reporting period and during the campaign to date must
be reported. The manner in which any indebtedness is discharged or
for­given must be fully disclosed. The truth of the statements in the
campaign finance report must be certified, and the report must be signed
by the candidate and the candidate\'s treasurer in the case of a
candidate report \[39\].

Campaign finance reporting may be cut off 48 hours before the filing
dead­line; contributions and expenditures received or spent during the
48‑hour period prior to the filing deadline are reported in the next
report \[40\].

A candidate who has filed campaign finance reports for earlier years and
has a continuing campaign fund balance (1) may continue the former
campaign fund accounts or (2) may close out the campaign fund accounts
by contributing the existing surplus or assigning the existing debts or
deficits to a new campaign fund for the coming election and then file a
final report on the earlier campaign \[41\].

**2. Candidates for State Of­fice and General Assembly, Political
Parties, and Political Committees.** A candidate for state office, a
candidate for representative or senator in the general assembly who has
received contributions or made expenditures of \$500 or more, and a
political party or political committee that has accepted contribu­tions
or made expenditures of \$500 or more in a calendar year and is required
to register with the Secretary of State must file a campaign finance
report with the Secretary of State (1) 40 days before the primary
election, (3) not later than 40 days after the general election, and (4)
on July 15th in odd‑numbered years. For candidates, the required
post-general-election report is a final report; political committees and
political parties may file a final report at any time. A
general-assembly candidate also files with the clerk of the can­didate\'s
senate or house district \[42\].

The final report filed by a state office or general assembly candidate
is to list a complete accounting of all contributions and ex­penditures
and disposition of surplus and constitutes the termination of the
can­didate\'s campaign activities. The final report of a political
committee or political party is to list a complete accounting of all
contributions and expenditures and constitutes the termination of its
campaign activities \[43\].

A political committee or political party may satisfy the campaign
finance re­port filing requirements by filing with the Secretary of State
a copy of that por­tion of a campaign finance report applicable to
candidates seeking election in the state that the committee or party has
filed with the federal election commission and by designating an
in‑state agent in the report \[44\].

**3. Candidates for County Office.** A candidate for county office who
has made expenditures or accepted contributions of \$500 or more must
file a campaign finance report with the of­ficer with whom the
candidate\'s nomination papers are filed (1) 10 days before the primary
election, (2) 10 days before the general election, (3) within 40 days
after the general election (final report), and (4) July 15th and
annually thereaft­er until all contributions and expenditures have been
accounted for and any in­debtedness and surplus have been eliminated
\[45\].

The final report filed after a general election must list a complete
accounting of all contributions and expenditures and disposition of
surplus and constitutes the termination of the candidate\'s campaign
activities \[46\].

The affected county offices are judge of probate, assistant judge of the
superi­or court, state\'s attorney, sheriff, high bailiff, and justice of
the peace \[47\].

**4. Candidates for Local Office and Political Committee and Political
Parties Involved in Local Elections.** A candidate for local or
municipal of­fice who has made expenditures or accepted contributions of
\$500 or more must file a campaign finance report with the officer with
whom the candidate\'s nomi­nation papers are filed 10 days before and 10
days after the local election \[48\].

A political committee or political party that has accepted contributions
or made expenditures of \$500 or more for the purpose of influencing a
local elec­tion or supporting or opposing one or more candidates in a
local election is also required to file campaign finance reports 10 days
before and 10 days after the local election with the clerk of the
municipality in which the election is held, as well as with the
Secretary of State \[49\].

**B. Appointment of Treasurer and Designation of Single Bank by
Can­didate and Political Committee.** Each candidate who has made
expenditures or received contributions or \$500 or more and each
political committee is re­quired to name a treasurer, who may be the
candidate or the candidate\'s spouse. A candidate or political committee
is also required to publicly designate a single bank from which all
expenditures must be paid by check from a single account. The designated
treasurer is responsible for maintaining the checking account \[50\].
The treasurer appointment and bank designation by a candidate should be
made and filed with the officer with whom campaign finance reports are
re­quired to be filed before the first check is written on the new
account \[51\].

**C. Registration by Political Committee and Political Party.** A
political committee or political party that has accepted contributions
or made expen­ditures of \$500 or more must register with the Secretary
of State within 10 days of reaching the \$500 threshold. The
registration is to include the full name and address of the committee or
party, the name of its treasurer, and the name of the bank in which it
maintains its campaign checking account \[52\].

**D. Mass Media Expenditure Report.** A person who makes expenditures
totaling \$500 or more for mass media activities within 30 days of a
primary or general election must report the expenditures to the
Secretary of State and to the candidate whose name or likeness is
included in the activity within 24 hours of making the expenditure. The
report is to identify the person who made the ex­penditure with the name
of the activity and any other information relating to the expenditure
that is required to be disclosed in a campaign finance report (*see*
Section IV.A.1, *supra*) \[53\].

\"Mass media activities\" include radio and television commercials, mass
mail­ings, literature drops, and central telephone banks that include the
name or like­ness of a candidate for office \[54\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Establishment of Vermont Campaign Fund.** A Vermont campaign fund
has been established by the Vermont campaign finance option law for the
distribution of campaign finance grants to candidates for governor and
lieutenant governor. The fund is administered by the state treasurer,
and payments from the fund are made under warrants issued by the
Secretary of State \[55\].

The Vermont campaign fund consists of revenues from (1) all amounts
desig­nated to the fund by taxpayers from income‑tax refunds or
overpayments, (2) the balance of any unexpended campaign finance grants
remaining after a gen­eral election, (3) all penalties and fines levied
for violations of the Vermont campaign finance option provisions, (4)
40% of the amounts paid as annual re­port fees by domestic corporations,
(5) 33% of the amounts paid as annual re­port fees by foreign
corporations, (6) any gifts received by the fund, and (8) any amounts
ap­propriated to the fund by the general assembly \[56\].

**B. Campaign Finance Grants for Candidates for Governor and Lieutenant
Governor.** The remaining provisions of the Vermont campaign finance
option law for the public funding of candidates for governor and
lieutenant gov­ernor specify the requirements for the qual­ification for
and awarding and use of campaign finance grants to support the primary
and general election campaigns of candidates for governor and lieuten­ant
governor \[57\].

**1. Qualification for Campaign Finance Grants.** Candidates for
gover­nor or lieutenant governor who intend to seek Vermont campaign
finance grants must meet the following requirements.

**a. Compliance With Limitations on Early Contributions and
Expen­ditures.** A person is not eligible for Vermont campaign finance
grants, if during a two‑year general‑election cycle and prior to
February 15th of the general‑elec­tion year, he or she becomes a
candidate by accepting contributions totaling \$500 or more or by making
expenditures totaling more than \$500 \[58\].

**b. Filing of Campaign Finance Affidavit.** The candidate must file a
Vermont campaign finance affidavit on the date on or before which
primary pe­titions must be filed (3rd Monday of July) whether the
candidate seeks to enter a party primary or is an independent candidate.
The affidavit to be prepared by the Secretary of State must be sworn and
subscribed by the candidate and in­clude the following:

\(1\) Agreement by the candidate to abide by the conditions of receiving
grants and all expenditure and contribution limitations, reporting
requirements, and other applicable provisions.

\(2\) The candidate\'s name, legal residence, business or occupation,
address of business or occupation, party affiliation, if any, the office
sought, and whether the candidate intends to enter a party primary.

\(3\) A list of all the candidate\'s qualification contributions
together with the name and town of residence of the contributor and the
date each contribution was made.

\(4\) Affirmation of such other information as deemed necessary by the
Secretary of State for the administration of the Vermont campaign
finance option law \[59\].

**c. Acquisition of Minimum Qualifying Contributions.** In order to
qualify for Vermont campaign finance grants, a candidate must obtain
during the Vermont campaign finance qualification period, which begins
February 15th of an even‑numbered year and ends on the date on which
primary petitions must be filed (3rd Monday of July), the following
minimum total amount and minimum number of qualifying contributions:

\(1\) For governor: \$35,000 from at least 1,500 individual contributors
who are registered to vote in Vermont and who make a contribution of no
more than \$50.

\(2\) For lieutenant governor: \$17,500 from at least 750 individual
contribu­tors who are registered to vote in Vermont and who make a
contribution of no more than \$50 \[60\].

No candidate may accept more than one qualifying contribution from the
same contributor, and no contributor may make more than one qualifying
con­tribution to the same candidate in any Vermont campaign finance
qualification period. No more than 25% of the total number of qualified
individual contribu­tors may be residents of the same county \[61\].

Each qualifying contribution must indicate the name and town of
residence of the contributor and date received and be acknowledged by
the signature of the contributor \[62\].

A candidate may retain and expend qualifying contributions obtained.
Quali­fying contributions may be expended to obtain additional qualifying
contribu­tions, and the remaining qualifying contributions may be
expended during the primary and general election periods. The amounts of
qualifying contributions expended are considered expenditures for the
purposes of the state campaign finance law \[63\].

**2. Awarding of Grants From the Campaign Finance Fund.** To the ext­ent
funds are available, the Secretary of State is required to make grants
from the Vermont campaign fund in separate grants for the primary and
general elec­tion periods to candidates who have qualified for Vermont
campaign finance grants \[64\]. The primary election period begins in
each even‑numbered year the day after primary petitions must be filed
(3rd Monday of July) and ends the day of the primary election (2nd
Tuesday of September); the general election period begins the day after
the primary election and ends the day of the general elec­tion (1st
Tuesday after 1st Monday in November) \[65\].

Whether a candidate has entered a primary or is an independent
candidate, Vermont campaign finance grants are to be in the following
amounts:

\(1\) For governor:

a\. Non‑incumbent candidate (100% of allocation): primary election
peri­od‑‑\$75,000 minus the amount of the candidate\'s qualifying
contributions; gen­eral election period‑‑\$225,000.

b\. Incumbent candidate (85% of allocation): primary election period‑‑
\$63,750 minus the amount of the candidate\'s qualifying contributions;
general election period‑‑\$191,250.

\(2\) For lieutenant governor:

a\. Non‑incumbent candidate (100% of allocation): primary election
peri­od‑‑\$25,000 minus the amount of the candidate\'s qualifying
contributions; gen­eral election period‑‑\$75,000.

b\. Incumbent candidate (85% of allocation): primary election
period‑‑\$21,250 minus the amount of the candidate\'s qualifying
contributions; general election period‑‑\$63,750 \[66\].

In an uncontested general election and in the case of a candidate who
enters a primary election and is unsuccessful in that election, an
otherwise eligible can­didate is not eligible for a general election
period grant. However, such can­didate may solicit and accept
contributions, subject to the generally applicable limitations on
contributions that may be accepted (*see* Section II.B, *supra*), and
may make expenditures, which are limited to the same amount as a Vermont
campaign finance grant for the general election period for the office
\[67\].

If the Vermont campaign fund does not contain sufficient revenues to
provide campaign finance grants to all qualifying candidates, then the
available funds must be distributed proportionately among all qualifying
candidates. If grants are reduced because of insufficient revenues, a
candidate may solicit and accept additional contributions equal to the
difference between the amount of the cam­paign finance grants authorized
and the amount received. Additional contribu­tions are governed by the
generally applicable limitations on contributions that may be accepted
(*see* Section II.B, *supra*) and the conditions applicable to
can­didates accepting campaign finance grants \[68\].

Vermont campaign finance grants for a primary election period and a
general election period are to be paid to qualifying candidates within
the first 10 busi­ness days of each election period \[69\]

Grants awarded in a primary election period but not expended by the
can­didate in that period may be expended in the general election period
\[70\].

**3. Conditions Applicable to Candidates Accepting Grants.** A can­didate
who accepts Vermont campaign finance grants is subject to the following
conditions:

\(1\) The candidate may not solicit, accept, or expend any contributions
except qualifying contributions, Vermont campaign finance grants, and
other contribu­tions authorized by the Vermont campaign finance option
law, and such contri­butions may be accepted or expended only in
accordance with the Vermont campaign finance option law.

\(2\) The candidate must deposit all qualifying contributions, Vermont
cam­paign finance grants, and other authorized contributions accepted in
a federally insured, noninterest‑bearing checking account.

\(3\) After all permissible expenditures have been paid but not later
than 40 days after the general election, the candidate must deposit in
the Vermont cam­paign fund the balance of any amounts remaining in the
dedicated checking ac­count \[71\].

**VI. TAX PROVISIONS**

**A. Designation of Income Tax Refund or Overpayment for Vermont
Campaign Fund.** Effective for taxable years beginning on and after
January 1, 1998, individuals may designate funds to the Vermont campaign
fund from any income‑tax refund due to or overpayment made by the
designating taxpayer. All income‑tax returns filed by individuals must
include on a form prescribed by the commissioner of taxes an opportunity
to designate funds to the Vermont campaign fund. Amounts designated must
be deducted from the refunds due or overpayments made and deposited by
the commissioner of taxes in an account for payment to the Vermont
campaign fund \[72\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Final Report.** A candidate, political party, or polit­ical
committee required to file campaign finance reports terminates its
campaign activities by filing a final report with the appropriate filing
officer not later than 40 days after the general election. The final
report is to list a complete account­ing of all contributions and
expenditures (and for candidates the disposition of any surplus) and
constitutes the termination of the campaign activities of the candidate,
party, or committee. This report may be filed at any time and when filed
eliminates the need for filing any subsequent campaign finance reports
that otherwise would be required \[73\].

**B. Annual Reports.** Each state office, general assembly, and county
office candidate, political party, and political committee required to
file campaign finance reports is also required to file an additional
campaign finance reports with the appropriate filing officer after the
general election. State office, general assembly, and county office
candidates, political parties, and political committees are to file on
July 15th in odd‑numbered years. County of­fice candidates are to file
annually on July 15th until all contributions and ex­penditures have been
accounted for and any indebtedness and surplus have been eliminated
\[74\].

**C. Disposition of Campaign Surplus and Debts.** A member of a
political committee that has surplus funds after all campaign debts have
been paid is prohibited from converting the surplus to personal use. A
candidate who has surplus funds after all campaign debts have been paid
may not convert the sur­plus to personal use, other than to reduce
personal campaign debts. The \"final report\" of a candidate must
indicate the amount of the surplus and how it has been or will be
liquidated \[75\].

A candidate who has filed campaign finance reports for earlier election
years and has continuing campaign fund balances may choose either (1) to
close out the former campaign funds by contributing the existing surplus
or assigning ex­isting debts or deficits to a new campaign fund for the
coming election and then filing a final report on the earlier campaign
or (2) to continue the campaign fund accounts and report periodically as
required \[76\].

**VIII. OFFENSES AND PENALTIES**

**A. Criminal Penalties.** A person who knowingly and intentionally
violates a provision of the campaign finance law must be fined not more
than \$1,000, im­prisoned not more than six months, or both \[77\].

**B. Civil Penalties.** A person who violates any provision of the state
cam­paign finance law is subject to a civil penalty of up to \$10,000 for
each violation and must refund the unspent balance of any Vermont
campaign finance grants received, calculated as of the date of the
violation \[78\].

**C. Additional Appropriate Action for Campaign Finance Law
Viola­tions.** In addition to the other penalties provided, a state\'s
attorney or the at­torney general may institute any appropriate action,
injunction, or other pro­ceeding to prevent, restrain, correct, or abate
any violation of the campaign finance law \[79\].

**D. Penalties for Violations by Lobbyists and Employers of Lobbyists.**
The attorney general is to enforce the law regulating lobbyists and
employers of lobbyists and may bring an action in superior court to
ensure compliance and obtain civil penalties. The court may grant
temporary and permanent injunctive relief and enjoin future activities,
order reimbursement from any person who caused governmental expenditures
for the enforcement of the law, and impose a civil penalty of not more
than \$10,000 for each violation and, in the case of a continuing
violation, \$1,000 for each day the violation continues \[80\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State**. The Secretary of State administers the state
campaign finance law and performs all duties required under that law and
is the designat­ed officer with whom campaign finance reports are
required to be filed by can­didates for state office, general assembly
office, political committees, and politi­cal parties \[81\].

The Secretary of State is required to prescribe and provide a uniform
reporting form for all campaign finance reports and to prepare a list of
the accumulated amount of expenditures reported by each candidate not
later than 5 days after receipt of campaign finance reports \[82\].

The Secretary of State is to (1) prepare the Vermont campaign finance
affidavit form, informational materials on procedures and financial
requirements as to Vermont campaign finance grants, and notification of
the penalties for violation of the Vermont campaign finance option law,
(2) make grants from the Vermont campaign fund to qualify­ing candidates
for governor and lieutenant governor, (3) develop and continu­ously
update a publicly accessible campaign database for each two‑year general
election cycle, and (4) prepare, publish, and distribute before each
general elec­tion a candidate information publication containing
information about statewide and federal office candidates. The Secretary
is authorized to adopt rules neces­sary to administer the provisions of
the campaign finance law concerning related campaign expenditures made
on a candidate\'s behalf \[83\].

**References**

1.  Vermont Statutes Annotated (hereaft­er VSA tit. 17, § 2801(2);
    Secretary of State, Guide to Vermont's Campaign Finance Law (2001)
    (hereafter 2001 Campaign Finance Guide)

2.  VSA tit. 17, § 2805(a), (f), (g). The § 2805(a) and (b) limit on
    contributions from political parties to candidates is
    unconstitutional. *Landell v. Sorrell*, 118 F.Supp.2d 459 (D.Vt.
    2000), *but see* *Landell v. Vt. Public Interest Research Group*,
    300 F.3d 129 (2^nd^ Cir. 2002).

3.  VSA tit. 17, § 2805(b). The § 2805(a) and (b) limit on contributions
    from political parties to candidates is unconstitutional.
    *Landell v. Sorrell*, 118 F.Supp.2d 459 (D.Vt. 2000), *but see*
    *Landell v. Vt. Public Interest Research Group*, 300 F.3d 129 (2^nd^
    Cir. 2002).

4.  VSA tit. 17, § 2805(c), (e). The § 2805(c) limit on contributions
    from political parties to candidates is unconstitutional.
    *Landell v. Sorrell*, 118 F.Supp.2d 459 (D.Vt. 2000).

5.  VSA tit. 17, § 2805(h)

6.  VSA tit. 17, § 2801(6)

7.  VSA tit. 17, § 2801(7)

8.  VSA tit. 17, § 2801(9)

9.  VSA tit. 17, § 2805(d)

10. VSA, Administrative Orders of the Supreme Court, Admin. Order No.
    10, Vermont Code of Judicial Conduct (hereafter Code of Judicial
    Conduct), Canon 5

11. Code of Judicial Conduct, Canon 5; *see also* VSA tit. 4, § 605

12. Code of Judicial Conduct, Canon 5

13. Code of Judicial Conduct, Canon 5

14. Code of Judicial Conduct, Canon 5

15. Code of Judicial Conduct, Terminolo­gy

16. VSA tit. 2, § 266(3)

17. VSA tit. 32, § 109(c)

18. VSA tit. 32, § 109(b)

19. VSA tit. 32, § 109(a)

20. VSA tit. 17, § 2801(3); 2001 Campaign Finance Guide

21. VSA tit. 17, § 2802(1)

22. Secretary of State, Vermont Campaign Finance Guide (1990) (hereafter
    1990 Campaign Finance Guide)

23. VSA tit. 17, § 2805a(a), (c). The § 2805a expenditure limits are
    unconstitutional. *Landell v. Sorrell*, 118 F.Supp.2d 459 (D.Vt.
    2000), *but see* *Landell v. Vt. Public Interest Research Group*,
    300 F.3d 129 (2^nd^ Cir. 2002).

24. VSA tit. 17, § 2805a(b). The § 2805a expenditure limits are
    unconstitutional. *Landell v. Sorrell*, 118 F.Supp.2d 459 (D.Vt.
    2000), *but see* *Landell v. Vt. Public Interest Research Group*,
    300 F.3d 129 (2^nd^ Cir. 2002).

25. VSA tit. 17, § 2801(9)

26. VSA tit. 17, § 2809(c); Vt. Sec'y of State, Admin. Rule 2000-1, in
    2001 Campaign Finance Guide (hereafter Admin. Rule 2000-1.

27. VSA tit. 17, § 2809(a), (b). The § 2809(b) that counts related
    expenditures over \$50 as candidate expenditures is
    unconstitutional. *Landell v. Sorrell*, 118 F.Supp.2d 459 (D.Vt.
    2000), *but see* *Landell v. Vt. Public Interest Research Group*,
    300 F.3d 129 (2^nd^ Cir. 2002).

28. VSA tit. 17, § 2809(d); Admin. Rule 2000-1.

29. VSA tit. 17, § 2809(d); Admin. Rule 2000-1.

30. VSA tit. 17, § 2809(d); Admin. Rule 2000-1.

31. VSA tit. 17, § 2809(e)

32. VSA tit. 17, §§ 2811; 2821; 2822; 2831; 2001 Campaign Finance Guide

33. VSA tit. 17, § 2823

34. VSA tit. 17, § 2801(1)

35. VSA tit. 17, § 2801(4)

36. VSA tit. 17, § 2801(5)

37. VSA tit. 17, § 2801(8)

38. VSA tit. 17, § 2103(33)

39. VSA tit. 17, § 2803(a)‑(c)

40. VSA tit. 17, § 2803(b); 2001 Campaign Finance Guide

41. VSA tit. 17, § 2807; 2001 Campaign Finance Guide

42. VSA tit. 17, § 2811; 2001 Campaign Finance Guide

43. VSA tit. 17, § 2811(b), (c)

44. VSA tit. 17, § 2832

45. VSA tit. 17, § 2821(a), (b)

46. VSA tit. 17, § 2821(b)

47. VSA tit. 17, §§ 2103(10); 2103(18)

48. VSA tit. 17, §§ 2103(18); 2822

49. VSA tit. 17, § 2831(b)

50. VSA tit. 17, § 2802; *see* *also* VSA tit. 17, § 2831(a)

51. 1990 Campaign Finance Guide

52. VSA tit. 17, § 2831(a)

53. VSA tit. 17, § 2883(b)

54. VSA tit. 17, § 2883(a)

55. VSA tit. 17, § 2856(a)

56. VSA tit. 17, § 2856(b). The tax on lobbying expenditures is
    unconstitutional and is no longer a source of funds for the Vermont
    campaign fund. *Vt. Soc'y of Ass'n Executives v. Milne*, 172 Vt.
    375, 779 A.2d 20 (2001).

57. VSA tit. 17, §§ 2851‑‑2855; 2001 Campaign Finance Guide

58. VSA tit. 17, § 2853(a)

59. VSA tit. 17, §§ 2356; 2852

60. VSA tit. 17, §§ 2851(4); 2854(a), (b)

61. VSA tit. 17, §§ 2356; 2851(4); 2854(b)

62. YSA tit. 17, § 2854(c)

63. VSA tit. 17, § 2854(d)

64. VSA tit. 17, § 2855(a)

65. VSA tit. 17, §§ 2103(15); 2351; 2356; 2851(2), (3); Vt. Constitution
    ch. II, § 44

66. VSA tit. 17, § 2855(b)

67. VSA tit. 17, § 2855(c)

68. VSA tit. 17, § 2855(e)

69. VSA tit. 17, § 2855(f)

70. VSA tit. 17, § 2855(d)

71. VSA tit. 17, § 2853(b)

72. VSA tit. 17, § 5862c(a), (b)

73. VSA tit. 17, §§ 2804(c); 2811(b), (c); 2821(b)

74. VSA tit. 17, §§ 2811(a), (d); 2821(a)

75. YSA tit. 17, § 2804

76. VSA tit. 17, § 2807; 2001 Campaign Finance Guide. The Secretary of
    State has advised that an out‑of‑state political committee can avoid
    the Vermont requirement for continuing filings if it created a
    separate account for state candidates and files a final report
    assigning all debts and assets to the main political committee
    account.

77. VSA tit. 17, § 2806(a)

78. VSA tit. 17, § 2806(b)

79. VSA tit. 17, § 2806(c)

80. VSA tit. 2, § 268

81. VSA tit. 17, §§ 2810a; 2811; 2831

82. VSA tit. 17, §§ 2803(a); 2808; 2841(a), (c)

83. VSA tit. 17, §§ 2809(f); 2810(a), (b); 2852(b); 2855(a)

**CAMPAIGN FINANCE LAW**

**IN VIRGINIA**

**I. INTRODUCTION**

Virginia requires candidates or their campaign committees, political
commit­tees (including unexempted political party committees)
anticipating election‑related contributions or expenditures over \$200
in a calendar year, and inaugu­ral fund committees to file periodic
reports of contributions and expenditures. Exempted political party
committees (committees other than state party com­mittees, district party
committees, county or city party committees for counties or cities with
a population of more than 100,000, or organized political party groups
of elected officials) are to file reports when contributions accepted or
contributions or expenditures made exceed \$10,000 (or higher amount set
by the State Board of Elections) in the aggregate in a calendar year.
Persons who are not a political committee are to report independent
expenditures exceeding \$500 in a statewide election or \$200 in any
other election. Single large contributions received by a candidate
before election day are to be reported promptly.

A corporation, labor organization, membership organization, or
cooperative is permitted to establish and administer a political action
committee for political purposes. Individual taxpayers eligible for an
income‑tax refund may designate \$25 (\$50 for a joint return) of the
refund to be paid to a political party. The State Board of Elections is
responsible for administering the Campaign Finance Disclosure Act.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is money and
services of any amount and any other thing of value over \$100 given,
advanced, promised, loaned, or in any other way provided to a candidate,
campaign committee, polit­ical committee, inaugural committee, or person
for the purpose of influencing the outcome of an election or defraying
the costs of the inauguration of a gover­nor, lieutenant governor, or
attorney general. The term \"contribution\" includes money, services, or
things of value in any way provided by a candidate to his or her own
campaign and the payment by the candidate of any primary filing fee
\[1\].

In determining the value of services or things of value for reporting
purposes, a reasonable value shall be designated, and the basis for
arriving at such desig­nated value shall be stated in all reports.
Services shall not be deemed to in­clude personal services voluntarily
rendered for which no compensation is asked or given \[2\].

**B. Deposit of Contributions by a Candidate or Candidate\'s Campaign
Committee.** All funds and monetary contributions received by a
candidate or the candidate\'s campaign committee, as soon as practicable
after receipt, must be deposited by the treasurer in the designated
campaign depository in an ac­count properly identifying the name of and
the existence of the political candid­acy \[3\].

**C. Delivery or Reporting of Contributions and Expenditures to a
Can­didate\'s Campaign Treasurer.** All contributions and expenditures
received or made by any candidate or on the candidate\'s behalf of a
candidate or in relation to his or her candidacy by any individual or
entity, except independent expen­ditures, must be paid over or delivered
or reported to the candidate\'s treasurer in such detail and form as to
allow the treasurer to comply fully with the Cam­paign Finance Disclosure
Act \[4\].

**D. Solicitation and Expenditure of Contributions for a Political
Action Committee of a Corporation, Labor Organization, Membership
Organiza­tion, or Cooperative.** A stock or nonstock corporation, labor
organization, membership organization, or cooperative may establish and
administer for polit­ical purposes and solicit and expend contributions
for a political action commit­tee \[5\].

A \"political action committee\" is any organization, other than a
candidate\'s campaign committee or political party committee,
established or maintained in whole or part to receive and expend
contributions for political purposes \[6\].

A political action committee may not make a contribution or expenditure
by utilizing money or anything of value secured by physical force, job
discrimina­tion, financial reprisal, or threat of force or as a condition
of employment. A person soliciting a contribution to a political action
committee is required at the time of the solicitation to inform the
person being solicited of his or her right to refuse to contribute
without any reprisal and the political purposes of the politi­cal action
committee \[7\].

**E. Contributions by a Parimutuel Betting Licensee or Limited
Licensee.** A person to whom the Virginia racing commission has issued
an owner\'s license for a horsetrack or satellite facility where
parimutuel betting is permitted or an operator\'s license for operating
parimutuel betting or conducting a race meeting at which wagering is
permitted and any officer, director, partner, or spouse or immediate
family member thereof may not make any contribution to any candidate for
public of­fice or public office holder at the state or local level. The
holder of a limited license to conduct race meetings and any officer,
director, partner, or spouse or immediate family member also is
prohibited from making a contribution to any candidate for public office
or public officeholder at the local or state level \[8\].

**F. Contributions by Racing Commission Members and Executive
Sec­retary.** The members and executive secretary of the Virginia racing
commis­sion and no spouse or immediate family member of a member or the
executive secretary may make any contribution to a candidate for office
or officeholder on the local or state level or cause a contribution to
be made on their behalf \[9\].

**G. Solicitation and Making of Contributions by a Judge.** A judge,
in­cluding a judge pro tempore, a retired judge eligible for recall to
judicial service, and a substitute judge, may not solicit funds for or
pay an assessment or make a contribution to a political organization or
candidate \[10\].

**H. Solicitation, Making, and Acceptance of Contributions During
Leg­islative Sessions**. A member of the general assembly and the
governor, lieu­tenant governor, and attorney general and a campaign
committee of any such member or official may not solicit or accept a
contribution for the campaign committee of any such member or official
or for any political committee from any person or political committee on
and after the first day of a regular session of the general assembly
through adjournment on the last legislative day of that session \[11\].

No person or political committee may make or promise to make a
contribu­tion to a member of the general assembly or the governor,
lieutenant governor, or attorney general or the campaign committee of
any such member or official on and after the first day of a regular
session of the general assembly through adjournment on the last
legislative day of that session \[12\].

The restrictions on the soliciting, making, and acceptance of
contributions dur­ing a regular session of the general assembly do not
apply to a contribution made (1) by a member of the general assembly or
the governor, lieutenant gov­ernor, or attorney general from the
member\'s or official\'s personal funds or (2) to the campaign committee
of a candidate in a special election \[13\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is money and
services of any amount and any other thing of value over \$100 paid,
promised, loaned, pro­vided, or in any other way disbursed by any
candidate, campaign committee, po­litical committee, inaugural committee,
or person for the purpose of influencing the outcome of an election or
defraying the costs of the inauguration of a gover­nor, lieutenant
governor, or attorney general \[14\].

In determining the value of services or things of value for reporting
purposes, a reasonable value shall be designated, and the basis for
arriving at such desig­nated value shall be stated in all reports.
Services shall not be deemed to in­clude personal services voluntarily
rendered for which no compensation is asked or given \[15\].

**B. Accountability for and Use of Candidate Campaign Funds.** A
candidate, campaign treasurer, or other individual is permitted to pay
any expense on behalf of a candidate, di­rectly or indirectly, only by
check identifying the name of the campaign committee and candidate drawn
the designated campaign depository; however, a treasurer (1) may
establish a petty cash fund to be utilized for the purpose of mak­ing
expenditures or reimbursing verified credit‑card expenditures of less
than \$100 if complete records of such expenditures are maintained and
(2) may transfer funds from the designated campaign depository to an
account or instrument to earn interest on the funds so long as the
transferred funds and earned interest are returned to the designated
depository account, complete records are maintained, and all
expenditures are made through the designated depository account \[16\].

**C. Use of Contributions for Personal Use.** No person may convert any
contributed moneys, securities, or like intangible personal property for
personal use \[17\].

**IV. REPORTING REQUIREMENTS**

**A. Reports of Contributions and Expenditures**

**1. General Provisions.** Reports of contributions and expenditures
must be filed periodically with the appropriate filing office by (1)
candidates or candi­dates\' campaign committees, (2) political committees
(including political action committees, unexempted political party
committees, and organized political par­ty groups of election officials)
that anticipate contributions or expenditures of over \$200, and (3)
inaugural fund committees. Every candidate and every indi­vidual or
entity receiving contributions or making contributions on a candidate\'s
behalf or in relation to his or her candidacy is required to report
every contribu­tion and expenditure as required by the Campaign Finance
Disclosure Act \[18\].

For the purpose of filing reports of contributions and expenditures,
each gen­eral election is to be treated separately \[19\].

The report must include all contributions (or receipts) and expenditures
(or disbursements) and set forth the following information:

\(1\) The reporting of receipts must include (a) the total number of
contribu­tors who have contributed an aggregate of \$100 or less,
including cash and in-kind contributions, as of the date of the re­port
and the total amount of contributions from such contributors, (b) for
each contributor who has contributed more than \$100 in the aggregate as
of the date of the report, the name of the contributor listed
alphabetically, the address of the contributor, the amount of the
contri­bution included in the schedule of receipts, the aggregate amount
of contribu­tions from the contributor to date, and the date of the last
contribution, (c) for each reportable individual contributor, the
occupation of the contributor, the name of his or her employer or
principal business, and the locality where employed or where the
principal business is located, and (d) for each reportable contributor
other than an individual, the place of business and principal business
activity of the contributor.

\(2\) The reporting of disbursements must include all expenditures and
give the name and address of the person paid, a brief description of the
purpose of the expenditure, the name of the person contracting for or
arranging for the expen­diture, the amount of the expenditure, and the
date of the expenditure. Any expenditure made by credit card payment
must be itemized.

\(3\) The report is to list separately all loans and for each loan must
give the date the loan was made, the name and address of the person
making the loan and any person who is a co‑borrower, guarantor, or
endorser of the loan, the amount of the loan, the date and amount of any
repayment of the loan, and for any loan or part of a loan that is
forgiven by the lender, the amount forgiven, listed as both a
contribution and loan payment \[20\].

Each report for a candidate is to list separately those receipts and
expen­ditures reported to the candidate or the candidate\'s treasurer by
any person, po­litical committee, or political party committee and set
forth in each instance the source of the information reported \[21\].

The report is to be filed on a form prescribed by the State Board of
Elections, and a completed form must be submitted in typed, printed, or
legibly hand‑printed format or by computer or electronic means in
accordance with state standards and using software meeting
Board-approved standards \[22\].

Candidates for governor, lieutenant governor, and attorney general must
file required reports by computer or electronic means; candidates for
the general assembly may file required reports with the State Board by
computer or electronic means. The State Board may provide software to
filers without charge or at a reasonable cost. Other committee reports
to be filed with the State Board or a local electoral board may be filed
electronically on terms agreed to by the committee and the State Board.
Local electoral boards may accept required reports filed by computer or
electronic means fr0m any candidate or political committee that is
required to file reports with the local board. The State Board may
provide software to filers without charge or at a reasonable cost.
\[23\].

Reports required to be filed with the State Board of Elections may be
mailed subject to the requirements for expedited reporting of certain
large preelection contributions. If mailed the reported must either (1)
be received by the State Board by the deadline for filing the report or
(2) be transmitted to the State Board by telephonic transmission to a
facsimile device by the deadline for filing the report with an original
copy of the report mailed to the State Board and postmarked by the
deadline for filing the report \[24\]. Required reports must be received
by the State Board, local electoral board, or both by the deadline for
filing the report; however, the State Board or a local electoral board
is authorized to grant an extension of the filing deadline for not to
exceed 5 days in the case of an emergency found by the board sufficient
to justify the granting of the extension \[25\].

**2. Candidates and Their Campaign Committees.** Candidates or
candi­dates\' campaign committees and their treasurers are jointly
responsible for filing reports of contributions and expenditures for
candidates according to the appli­cable filing schedule until a final
report is filed and for ensuring that reports are in full and accurate
detail \[26\].

A \"campaign committee\" is the committee designated by a candidate to
re­ceive all contributions and make all expenditures for the candidate or
on the candidate\'s behalf in connection with the candidate\'s
nomination or election \[27\].

A \"candidate\" is any person who seeks or campaigns for any office of
the state or of any of its governmental units in a primary, general, or
special election by the people and who is qualified to have his or her
name placed on the ballot for the office. The term \"candidate\"
includes (1) a person who seeks the nomination of a political party or
who, by reason of receiving the nomination of a political party for
election to an office, is referred to as a \"nominee\" and (2) a
write‑in candidate \[28\].

*Filing Dates for Candidates for Offices Filled at a November General
Elec­tion.* Candidates for offices other than local offices filled at May
general elec­tions and at special elections held on a date other than a
regularly scheduled general election are required to file reports of
contributions and expenditures until a final report is filed. Reports
must be filed not later than:

\(1\) July 15th in a non‑election year, for the period January 1st
through June 30th.

\(2\) January 15th following a non‑election year, for the period July
1st through December 31st.

\(3\) April 15th in an election year, for the period January 1st through
March 31st.

\(4\) 8th day before the June primary date, complete through the 13th
day be­fore the primary date.

\(5\) July 15th of the election year, complete through June 30th.

\(6\) September 15th of the election year, complete through August 31st.

\(7\) October 15th of the election year, complete through September
30th.

\(8\) 8th day before the November election date, complete through the
13th day before the election date.

\(9\) 30th day after the November election date, complete through the
23rd date after the election date.

\(10\) January 15th following an election year, complete through
December 31st.

The scheduled non‑election‑year or election‑year reports, as
appropriate, must be submitted until a final report is filed \[29\].

*Filing Dates for Candidates for Local Offices Filled at a May General
Elec­tion.* A candidate for election to local office to be filled at a
May general elec­tion is required to file reports of contributions and
expenditures until a final re­port is filed. Reports must be filed not
later than:

\(1\) 8th day before the primary date, complete through the 11th day
before the primary date (municipal primary candidates only).

\(2\) 8th day before the election date, complete through the 11th day
before the election date.

\(3\) June 15th of the election year, complete through June 10th.

\(4\) July 15th following the election date, complete through June 30th.

\(5\) January 15th of the next year, complete through December 31st.

\(6\) January 15th of each year thereafter, complete through December
31st, until a final report is filed \[30\].

*Filing Dates for Candidates for Offices at a Special Election Not Held
on a Regular Election Date.* A candidate for nomination or election to
an office to be filled by a special election held on a date other than a
regularly scheduled general election is required to file reports of
contributions and expenditures. The reports must be filed not later
than:

\(1\) 8th day before the special election date, complete through the
11th day before the election date.

\(2\) 30th day after the election and prior to taking office.

\(3\) January 15th and July 15th of the following year and each
succeeding year until a final report is filed \[31\].

*Filing Officers.* Candidates for statewide office file with the State
Board of Elections, candidates for member of the general assembly file
with the State Board of Elections and the electoral board of the
locality where the candidate re­sides, and candidates for any other
office file with the electoral board of the lo­cality where the candidate
resides \[32\].

*Reporting Exemption for Certain Local Office Candidates.* A candidate
for local office may seek an exemption from the requirements for filing
reports of contributions and expenditures, except for the filing
requirements pertaining to certain large contributions and the filing of
a final report. The request for an exemption is to be filed with the
electoral board of the county or city where the candidate resides on a
form prescribed by the state board of elections and in accordance with
instructions by the state board for the time for filing and the process
for approval by the electoral board. To qualify for an exemption, the
candidate must certify on the form that he or she (1) has not and will
not solicit or accept any contribution from any other person during the
course of the campaign, (2) has not and will not contribute to his or
her own campaign more than \$1,000, (3) has not and will not expend more
than \$1,000 in the course of his or her campaign, and (4) has complied
and will comply with the requirements of Article 2 of the Campaign
Finance Disclosure Act concerning candidates and campaign committees.
This certification applies for the duration of the campaign until the
filing of a final report after the election. A candidate may rescind his
or her certification and exemption at any time during the campaign and
then must file in accordance with the appropriate filing schedule
thereafter. If the candidate rescinded his certification prior to
engaging in the prohibited activities described in the certification,
the first report filed accounts for all prior contributions and
expenditures pertaining to his or her campaign \[33\].

**3. Political Committees (Except Inaugural Fund Committees).** A
po­litical committee (including an unexempted political party committee)
that is re­quired to file statements of organization is required to file
reports of contribu­tions and expenditures with the State Board of
Elections and, in the case of a po­litical party committee for a county,
city, or local district that is required to file, with the local
electoral board for its jurisdiction. An exempted political party
committee is no longer exempted from the requirement to file statements
of contributions and expenditures as soon as it accepts aggregated
contributions or makes aggregated contributions and expenditures in
excess of \$10,000 (or great­er amount set by the State Board of
Elections) in a calendar year \[34\].

A \"political committee\" is any state political party committee,
congressional district political party committee, county or city
political party committee for a county or city with a population of more
than 100,000, organized political party group of elected officials,
political action committee, or other committee or group of persons that
receives contributions or makes expenditures for the pur­pose of
influencing the outcome of any election. A \"political committee\" does
not include (1) a campaign committee, (2) an exempted political party
commit­tee, which, it appears, includes (1) any political party committee
(other than a state political party committee, congressional district
political party committee, county or city political party committee for
a county or city with a population of more than 100,000, or organized
political party group of elected officials) that does not accept
contributions totaling more than \$10,000 or make contributions and
expenditures totaling more than \$10,000 in a calendar year, or (3) a
person who receives no contributions from any source and whose only
expenditures are made solely from the person\'s own funds and are either
contributions made by the individual that are reportable by the
recipient, independent expenditures re­portable by the person to the
extent required by the Campaign Finance Disclo­sure Act, or a combination
of such reportable contributions and independent expenditures. The
\$10,000 threshold amount applicable to political party com­mittees may
be adjusted upward annually for inflation by the State Board of
Elections \[35\].

A \"person\" is any individual or corporation, partnership, business,
labor organ­ization, membership organization, association, cooperative,
or other like entity \[36\].

Contributions made by exempted political party committees to any
candidate, candidate\'s campaign committee, or political committee are
to be reported by the recipient of the contribution in accordance with
the Campaign Finance Dis­closure Act \[37\].

Persons and political committees must file reports of contributions and
expen­ditures in accordance with the applicable schedule for (1)
candidates for office filled at the November general election, except a
political party committee is not required to file the report due on the
30th day after the November election date, (2) candidates for local
office filled at the May general election, or (3) candi­dates for
nomination or election to an office filled at a special election held on
a date other than a regularly scheduled general election. A committee
must comp­ly with the election‑year filing schedule for each year in
which it seeks to in­fluence the outcome of an election \[38\].

The first report filed by a committee must be complete for the entire
period from the time the committee was organized or contributions were
received; however, the first report filed by a political party committee
that is no longer exempted from reporting because it has exceeded the
\$10,000 (or greater amount set by the State Board of Elections)
threshold must account for all re­ceipts and disbursements during the
calendar year and be complete through the completion date for the report
period \[39\].

**4. Inaugural Fund Committees.** All filing and reporting requirements
imposed by the Campaign Finance Disclosure Act, except as specifically
provid­ed otherwise, apply to inaugural fund committees \[40\].

An inaugural fund committee is to maintain records and file reports of
contri­butions and expenditures with the State Board of Elections not
later than:

\(1\) March 15th immediately following the inauguration for all
contributions and expenditures made prior to the preceding March 1^st^.

\(2\) July 15th of the inauguration year, complete through June 30th.

\(3\) January 15th of the following year, complete through December
31st.

\(4\) January 15th, complete through December 31st, for succeeding years
until a final report is filed \[41\].

Inaugural funds must be maintained in a separate account and in such
detail and form as to allow full compliance with the Campaign Finance
Disclosure Act \[42\].

An \"inaugural fund committee\" or \"inaugural committee\" is any
committee that anticipates receiving contributions or making
expenditures from other than publicly appropriated funds for the
inauguration of the governor, lieutenant governor, or attorney general
and related activities \[43\].

**B. Reports of Independent Expenditures by Persons Other Than Polit­ical
Committees.** Any person that is not a political committee and makes
in­dependent expenditures in the aggregate in excess of \$500 for a
statewide elec­tion or \$200 for any other election is required to
maintain records and report, as otherwise required for a person or
political committee, all such independent ex­penditures made, including:

\(1\) Any funds expended for the purpose of influencing the outcome of
any election for public office.

\(2\) Any funds expended to publish or broadcast to the public any
material re­ferring to a candidate by name, description, or other
reference and (a) advocat­ing the candidate\'s election or defeat, (b)
setting forth the candidate\'s position on any public issue, voting
record, or other official acts, or (c) otherwise de­signed to influence
individuals to cast their votes for or against the candidate or to
withhold their votes from the candidate \[44\].

An \"independent expenditure\" is an expenditure made by any person or
politi­cal committee that is not made to, controlled by, coordinated
with, or made upon consultation with a candidate, the candidate\'s
campaign committee, or an agent of the candidate or the candidate\'s
campaign committee \[45\].

**C. Reports of Earmarked Contributions Received by Political Party
Committees and Political Party Groups of Elected Officials.** A state,
dis­trict, county, or city party committee or organized political party
group of elect­ed officials is required to file a report of contributions
received by the commit­tee and designated in writing, orally, or
otherwise by the contributor for the election of a specified candidate
or candidates (\"earmarked contributions\") \[46\].

An earmarked‑contributions report must (1) be on a form prescribed by
the State Board of Elections and may be incorporated in a regular report
of contribu­tions and expenditures, (2) provide for the reporting of the
receipt and dis­bursement of earmarked contributions, including
information to identify the con­tributor, as required in regular reports
of contributions and expenditures, (3) in­clude the name of the candidate
for whose election the contributor has ear­marked the contribution, and
(4) be filed with the State Board of Elections in ac­cordance with the
applicable filing schedule \[47\].

**D. Report of Single, Large Pre‑Election Contribution**

**1. Candidates.** Any single contribution of more than \$1,000 for a
state­wide office or more than \$500 for any other office knowingly
received or re­ported by a candidate or the candidate\'s treasurer on
behalf of the candidacy between a specified date before an election and
election day must be reported in writing by delivery or electronic means
to the appropriate filing officer. The report must be received by the
filing officer by he next business day; however, if any such
contribution was received within the 24 hours prior to election day, the
contri­bution must be reported to and a report of the contribution
received by the ap­propriate filing officer on the day prior to the
election. The expedited reporting requirement applies to single large
contributions received or reported during the following time periods:
(1) between the 13th day preceding a June primary and the primary date,
(2) between the 13th day preceding a November election and the election
date, or (3) the 11th day preceding any other election in which the
individual is a candidate and election day \[48\].

The expedited reporting requirement also applies to any candidate for
nomination by a political party to serve as the party's nominee in a
general or special election if (1) the party nominates by convention or
any method other than a primary and (2) there are at least two
candidates for nomination pursuant to the rules and procedures of the
party. In such case, candidates for nomination, unless unopposed at the
time, must file the expedited reports required for the 13-day or 11-day
period, as appropriate, immediately preceding (1) the caucus, mass
meeting, convention, or other nominating event at which the party's
nomination is finally determined pursuant to the rules and procedures of
the party and (2) any caucus, mass meeting, convention, or other
nominating event, other than that at which the party's nomination is
finally determined, at which delegates are chosen who are pledged to
support a specified candidate on at least one ballot at a subsequent
district or state convention required as part of the nominating process
\[49\].

The appropriate filing office for this report is (1) the State Board of
Elections and the electoral board of the locality where the candidate
resides in the case of statewide and general assembly candidates and (2)
the electoral board of the lo­cality where the candidate resides in the
case of constitutional or local office candidates. The contribution also
must be reported in the first report of contri­butions and expenditures
required after the election \[50\].

**2. Persons and Political Committees.** Persons and political
committees are to file the prescribed reports of contributions and
expenditures with the State Board of Elections in accordance with the
applicable schedule, including the schedule applicable to candidates or
candidates\' treasurers for filing a report of a single large
contribution close to election day \[51\].

**E. Statement of Appointment of Candidate\'s Campaign Treasurer and
Designation of Campaign Committee and Depository.** Upon accepting any
contribution for his or her candidacy (which includes payment of a
primary fil­ing fee), a candidate for nomination or election is required
to appoint one cam­paign treasurer and may designate one campaign
committee (1) to receive all contributions and make all expenditures for
or on behalf of the candidate in connection with the candidate\'s
nomination or election and (2) to file the reports required by the
Campaign Finance Disclosure Act. A campaign depository in a financial
institution within the state is to be designated at the same time
\[52\].

A candidate who fails to appoint and report the appointment of a
provisions of the Campaign Finance Disclosure Act. The appointed
campaign treasurer, who is required to be a qualified voter of the
state, must accept the appointment in writing. No individual may act as
treasurer unless the required statement of appointment has been filed.
The same person may serve as campaign treasurer for more than one
candidate. In the event of the death, resignation, removal, or change of
the treasurer, the candidate must designate a successor and file the
name and address of the successor within 10 days of the change with the
appro­priate filing office \[53\].

The candidate is to provide on a form prescribed by the State Board of
Elections (1) the name and address of the campaign treasurer, (2) the
name of the financial institution and account number for the
candidate\'s depository, and (3) the name of the campaign committee, if
any. The form is to be filed as follows: (1) a candidate for local
office‑‑‑with the electoral board of the county or city in which the
candidate resides, (2) a candidate for the general assembly‑‑‑with the
electoral board of the county or city in which the candidate resides and
with the State Board of Elections, and (3) a candidate for statewide
office‑‑‑with the State Board of Elections \[54\].

Every candidate or his or her treasurer must keep detailed and accurate
ac­counts of all contributions turned over to and expenditures made by
the can­didate or treasurer on behalf of the candidate or the
candidate\'s campaign com­mittee or reported to any candidate or his or
her treasurer. The account is to set forth the date of the contribution
or expenditure, its amount or value, the name and address of the person
or committee making the contribution or to whom the expenditure was
made, and the object or purpose of the contribution or expendi­ture. The
books and records may be destroyed or discarded at any time after one
year from the date of filing a required final report or three years
after De­cember 31st following the election, whichever occurs later,
unless a court of competent jurisdiction orders their retention for a
longer period \[55\].

**F. Statements of Organization of Political Committees.** Each
political committee that anticipates receiving contributions or making
expenditures in ex­cess of \$200 in a calendar year must file with the
State Board of Elections an ini­tial and annual statement of organization
\[56\].

The initial statement of organization is due (1) within 10 days after
the organ­ization of the person or political committee or (2) if later,
within 10 days after the date on which it has information that causes
the person or political commit­tee to anticipate it will receive
contributions or make expenditures in excess of \$200 or on which it
otherwise becomes subject to the Campaign Financial Dis­closure Act.
Subsequent annual statements of organization are due by January 15th
\[57\].

A \"political committee\" is any state political party committee,
congressional district political party committee, county or city
political party committee for a county or city with a population of more
than 100,000, organized political party group of elected officials,
political action committee, or other committee or group of persons that
receives contributions or makes expenditures for the pur­pose of
influencing the outcome of any election. A \"political committee\" does
not include (1) a campaign committee, (2) an exempted political party
commit­tee, which, it appears, includes (1) any political party committee
(other than a state political party committee, congressional district
political party committee, county or city political party committee for
a county or city with a population of more than 100,000, or organized
political party group of elected officials) that does not accept
contributions totaling more than \$10,000 or make contributions and
expenditures totaling more than \$10,000 in a calendar year, or (3) a
person who receives no contributions from any source and whose only
expenditures are made solely from the person\'s own funds and are either
contributions made by the individual that are reportable by the
recipient, independent expenditures re­portable by the person to the
extent required by the Campaign Finance Disclo­sure Act, or a combination
of such reportable contributions and independent expenditures. The
\$10,000 threshold amount applicable to political party com­mittees may
be adjusted upward annually for inflation by the State Board of
Elections \[58\].

The statement of organization is to include:

\(1\) The name of the committee and its address in the commonwealth.

\(2\) The names, addresses, and relationships of affiliated or connected
organi­zations.

\(3\) The area, scope, or jurisdiction of the committee.

\(4\) The name, business addresses, and position of the custo­dian, if
any, of books and accounts and the custodian's address in the
commonwealth..

\(5\) The name, residence address, and position of other principal
officers, in­cluding officers and members of the finance committee, if
any, and including at least one principal officer who is a resident of
the commonwealth, who serves as treasurer or chief executive officer of
the committee, and who will be deemed the agent of the committee for the
purpose of service of process on the committee.

\(6\) The name, address, office sought, and party affiliation of each
candidate whom the committee is supporting or opposing for nomination or
election to any public office; however, if the committee is supporting
the entire ticket of any party, only the name of the party must be
provided.

\(7\) If the committee is promoting or opposing a referendum, the
subject of the referendum, the date and location of the election, and a
statement whether the committee is promoting or opposing the referendum
question.

\(8\) In the case of an inaugural fund committee, the name, address, and
office to which elected of the person on whose behalf the committee is
organized.

\(9\) A statement whether the committee is a continuing one.

\(10\) The disposition of residual funds that will be made in the event
of a dis­solution.

\(11\) The designated sole depository to be used for the receipt and
holding of funds and contributions received by the committee in an
account in a financial institution with the commonwealth.

\(12\) Such other information as may be required by the State Board of
Elections \[59\].

If the political committee is established or controlled by a corporation
doing business in Virginia or is a national political party committee,
then it must provide the following information in its statement of
organization in lieu of the information required in (1), (4), (5), and
(11) of the previous paragraph:

\(1\) The name and address of the committee.

\(4\) The name, residence and business addresses, and position of the
custodian, if any, of books and accounts.

\(5\) The name, residence address, and position of other principal
officers, including officers and members of the finance committee, if
any.

\(11\) A listing of all banks, safe-deposit boxes, or other depositories
used \[60\].

If a political committee intends to use the name of a candidate as part
of the name of the committee, it must file with the statement of
organization either (1) a copy of any written authorization of the
candidate consenting to the use of the candidate\'s name as part of the
name of the committee or (2) a copy of any written notice mailed to the
candidate of its intent to use the candidate\'s name as part of the name
of the committee and evidence of its timely mailing by certi­fied mail to
the candidate 21 or more days prior to the filing of the statement of
organization \[61\].

Any change in information previously submitted in a statement of
organiza­tion must be reported to the State Board of Elections within 10
days following the change \[62\].

If, after having filed one or more statements of organization, a
committee dis­bands or determines it will no longer receive contributions
or make expenditures during the calendar year in an aggregate amount
exceeding \$200, it must so noti­fy the State Board of Elections \[63\].

**G. Candidate Statement of Economic Interests**. A candidate for
gover­nor, lieutenant governor, attorney general, state senate, state
house of delegates, constitutional office (treasurer, sheriff, attorney
for the commonwealth, clerk of the circuit court, or commissioner of
revenue for a county or city), or member of the governing body or
elected school board of any county, city, or town with a population of
more than 3,500 persons is required to file a written statement of
economic or financial interests. A candidate for reelection to the same
office is not required to file the statement if the candidate has met
the requirement as an officeholder by filing an annual statement of
economic interests \[64\]. The form for the statement must be
substantially as prescribed by statute \[65\].

State office candidates file with the secretary of the commonwealth,
general assembly candidates with the clerk of the appropriate house, and
constitutional office candidates and local governing body or school
board member candidates with the general registrar of the local
governmental unit. The statement must be filed by primary candidates not
later than the filing deadline for the primary, by all other candidates
for city and town offices not later than 7 p.m. on the first Tuesday in
March, by candidates in a special election by the time of qualifying as
a candidate, and by all other candidates not later than 7 p.m. on the
second Tuesday in June \[66\].

**V. PUBLIC FINANCING PROVISIONS**

**A. Political Party Funding.** The state central committee of each
political party that meets the definition of a \"political party\" is
eligible to receive the money designated to be paid to the party by
individual taxpayers eligible to re­ceive an income tax refund. All money
designated for payment to a political party is deposited into the state
treasury, and by June 30th of each year the state tax commissioner is
required to determine the total amount designated for each political
party for that year. After deducting the direct costs of administration
in equal amounts from each party\'s share, the state tax commissioner
must report to the state treasurer the amount to be paid to each party,
and he state treasur­er is then required to pay the amount to the
appropriate party \[67\].

A \"political party\" is an organization of citizens of the commonwealth
that at either of the two preceding statewide general elections received
at least 10% of the total vote cast for any statewide office filled in
that election. The organiza­tion must have a state central committee and
an office of elected state chairman that have been continually in
existence for the 6 months preceding the filing of a nominee for any
office \[68\].

**VI. TAX PROVISIONS**

**A. Taxpayer Designation of Income-Tax Refund.** An individual eligible
to receive a tax refund may designate at the time of filing his income
tax return that \$25 of the refund be paid to the state central
committee of a political party that meets the defini­tion of a
\"political party\" as of July 1st of the previous taxable year. In the
case of a joint return of husband and wife, each spouse may designate
that \$25 be paid \[69\].

**B. Income Tax Credit for Political Contribution.** For taxable years
beginning on and after January 1, 2000, an individual is entitled to a
credit against the levied individual income tax of an amount equal to
50% of the amount contributed by the taxpayer to a candidate in one or
more primary, special, or general elections for local or state office
held in the state in the taxable year for which the credit is claimed.
The amount of the credit may not exceed \$25 for an individual taxpayer
or \$50 for taxpayers filing a joint return \[70\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Final Reports**

**1. Candidates.** A final report must be filed by every candidate. The
final report must set forth (1) all receipts and disbursements not
previously reported, (2) an accounting of the retirement of all debts,
and (3) the disposition of all surplus funds. The final report must
include a termination statement, signed by the candidate, that all
reporting for the nomination or election of the candidate is complete
and final. Once a candidate\'s final report is filed, no further
report­ing relating to that election is required. After the filing of a
final report, surplus funds may be transferred for use in a succeeding
election \[71\].

**2. Persons and Political Committees.** The campaign finance reporting
requirements for a person, political committee, and inaugural fund
committee continue in effect until the filing of a final report that
sets forth (1) all receipts and disbursements not previously reported,
(2) an accounting of the retirement of all debts, and (3) the
disposition of all surplus funds. The final report must include a
termination statement, which is to be signed by an officer of the
com­mittee, stating that all reporting is final and complete \[72\].

**B. Dormant Campaigns and Committees.** The State Board of Elections or
the electoral board of any county or city may close the file of any
candidate required to file with it if (1) the candidate has not filed a
final report, (2) the candidate has not filed a report with it for any
campaign for any office within the prior 5 years, and (3) the
responsible board or board cannot locate either the candidate or the
candidate's campaign treasurer. Once the file has been closed, no more
reports will be due and no additional fines for failure to file will
accrue. However, if the whereabouts of the candidate later becomes known
to the responsible board, it may reopen the file and send notice to the
candidate requesting that he or she file the appropriate reports and pay
any fines that were levied before the file was closed by the board
\[73\].

The State Board of Elections may close the file of any committee
provided (1) the committee has not filed a final report or notified the
board that it has disbanded or determined it will no longer receive
contributions or make expenditures during the calendar year in an
aggregate amount exceeding \$200, (2) the committee has not filed any
reports within the prior 5 years, and (3) the State Board cannot locate
any of the officers listed on the committee\'s most recent statement of
organization. Once the file has been closed, no more reports will be due
and no additional fines for failure to file will accrue. However, if the
whereabouts of any officer listed on the most recent statement of
organization later becomes known to the board, it may reopen the file
and send notice to such officer requesting that he or she file the
appropriate reports or notice and pay any fines that were levied before
the file was closed by the board \[74\].

**C. Disposition of Surplus Funds**

**1. Candidates or Campaign Committees.** Amounts received by a
can­didate or the candidate\'s campaign committee as contributions that
are in excess of the amount necessary to defray the candidate\'s
campaign expenditures may be disposed of only by one or more of the
following:

\(1\) Transferring the excess for use in a succeeding election or to
retire the de­ficit in a preceding election.

\(2\) Returning the excess of a contributor in an amount not to exceed
the con­tributor\'s original contribution.

\(3\) Donating the excess to any organization described in § 170(c) of
the In­ternal Revenue Code.

\(4\) Contributing the excess to one or more candidates or to any
political committee that has filed a statement of organization.

\(5\) Contributing the excess to any political party committee.

\(6\) Defraying any ordinary, nonreimbursed expense related to the
candidate\'s elective office \[75\].

**2. Inaugural Fund Committees.** A person may not disperse any funds of
an inaugural fund committee for the inauguration of the governor,
lieutenant governor, or attorney general that are in excess of the
amount necessary to de­fray expenditures for inaugural activities except
by one or any combination of the following:

\(1\) Transferring the excess to a campaign committee for the
inaugurated offi­cial in a subsequent election or to retire the deficit
in a preceding election.

\(2\) Returning the excess to a contributor in an amount not to exceed
the con­tributor\'s original contribution.

\(3\) Donating the excess to any organization described in § 170(c) of
the In­ternal Revenue Code.

\(4\) Contributing the excess to one or more candidates or to any
political committee that has filed a statement of organization.

\(5\) Contributing the excess to any political party committee.

\(6\) Defraying any ordinary, nonreimbursed expense of the inaugurated
offi­cial related to the official\'s elective office \[76\].

**VIII. OFFENSES AND PENALTIES**

**A. Criminal Penalties.** A person who willfully violates or aids,
abets, or participates in the violation of the Campaign Finance
Disclosure Act, including the failure to file or the late filing of a
required report, is guilty of a class 1 mis­demeanor \[77\].

**B. Civil Penalties for Violations by a Candidate for Governor,
Lieu­tenant Governor, or Attorney General.** Any candidate for governor,
lieu­tenant governor, or attorney general and the candidate\'s campaign
treasurer who fail to file any required report of contributions and
expenditures in a time manner or who files an incomplete report may be
assessed a civil penalty by the secretary of the State Board of
Elections \[78\].

Prior to assessing any penalty, the secretary must notify the candidate
and treasurer in writing that a report has not been filed or that a
filed report has not been completed, citing the omissions from the
report. A penalty may not be as­sessed if the report or information
required to complete the report is filed within 7 days of the date of
mailing of the written notice \[79\].

If the report or information required to complete the report is not
filed within the 7‑day period, the secretary must assess against the
candidate and treasurer, who are jointly and severally liable, a civil
penalty of \$100 for each day that the violation continues on and after
the 8th day following the date of mailing the written notice. The
secretary may grant an additional period for compliance not to exceed
two weeks for good cause shown and in response to a request filed within
the 7‑day period; however, no additional period may be granted for
com­pliance with the requirement to file a report of contributions and
expenditures not later than the 8th day before an election \[80\].

If requested by the secretary, the attorney for the commonwealth of the
city of Richmond must assist the secretary in collecting the civil
penalty \[81\].

Any candidate or treasurer aggrieved by the assessment has the right to
the direct review of the assessment by a court of competent jurisdiction
as provided in the Administrative Process Act; however, the provisions
of that act do not apply to the assessment of civil penalties by the
secretary \[82\].

The secretary is to make available to the public a list of the
candidates who have failed to file reports or have filed incomplete
reports \[83\].

**C. Civil Penalties for Other Violations.** In addition to the civil
penalties applicable to violations by candidates for governor,
lieutenant governor, or at­torney general, the following civil penalties
apply to violations of the Campaign Finance Disclosure Act:

\(1\) A person who violates or aids, abets, or participates in the
viola­tion of the Act, including the failure to file or the late filing
of a required report, is subject to a civil penalty not to exceed \$50
unless a greater penalty is imposed.

\(2\) A person who violates the provisions relating to the filing of an
incomplete report due within the 120 days before or the 35 days after a
November general election date is subject to a civil penalty not to
exceed \$300.

\(3\) A person who fails to file a required report by the deadline must
be assessed a civil penalty not to exceed \$500. The length of the
delinquency is to be a factor in determining the amount of the civil
penalty. If there is a second or subsequent late filing violation
pertaining to one election cycle, the person must be assessed a civil
penalty of \$500 for each violation \[84\].

Prior to assessing a civil penalty for an incomplete report, the
secretary of the State Board of Elections, the general registrar, or the
secretary of the local electoral board, as appropriate, is required to
notify in writing the candidate and treas­urer, person, or political
committee required to file a report that a filed report has not been
completed and to cite the omissions from report. A penalty may not be
assessed if the information required to complete the report is filed
within 10 days of the date of mailing the written notice. If the
information required to complete the report is not filed within the
10‑day period, a civil penalty not to exceed \$300 must then be assessed
against the candidate and treasurer, person, or po­litical committee
required to file a report. An additional period for compliance not to
exceed two weeks may be granted \[85\].

Any person who violates or aids, abets, or participates in the violation
of the restrictions on the soliciting, making, and acceptance of
contributions during a regular session of the general assembly is
subject to a civil penalty equal to the amount of the prohibited
contribution or promised contribution or \$500, whichever amount is
greater \[86\].

The State Board of Elections, and the general registrar or secretary of
the local electoral board, in accordance with the instructions of the
State Board, are required to assess and collect the civil penalties and,
if unable to collect the penalty, to report the violation for
enforcement to the appropriate attorney for the commonwealth, who is
required to initiate civil proceedings to enforce the civil penalty
\[87\].

**D. Election‑Related Penalties.** A person is not permitted to qualify
for any office, enter upon the duties of an office, or receive any
salary or emolu­ments from an office until the person has filed the
required election‑year reports of contributions and expenditures. An
officer authorized to issue certificates of election may not issue a
certificate of election to any person determined to have been elected to
any office until copies of the required reports have been filed as
required \[88\].

It is a requirement of candidacy in any election for governor,
lieutenant gov­ernor, attorney general, or the general assembly that the
candidate must have filed the disclosure reports required by the
Campaign Finance Disclosure Act for any election in which he or she
participated as a candidate for any such of­fice and that was held within
the 5 years preceding the date of the election in which he or she seeks
for be a candidate. The candidate is presumed to have complied with the
candidate disclosure reporting requirements unless (1) the State Board
of Elections or local electoral board, as appropriate, has notified the
candidate at least 60 days prior to the applicable deadline for filing a
written statement of qualification that he or she has failed to file any
required report and (2) the candidate fails to file the specified report
by the applicable deadline for filing a written statement of
qualification \[89\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. State Board of Elections.** The State Board of Elections is the
designated filing office for reports, statements, and designations
required to be filed under the Campaign Finance Disclosure Act by
candidates for statewide office or the general assembly and political
committees \[90\].

The State Board of Elections is required to report to the appropriate
attorney for the commonwealth any violation of the article of the
Campaign Finance Disclosure Act concerning disclosure reports (Article
4) \[91\]. The secretary of the State Board of Elections may assess a
civil penalty against a candidate for governor, lieutenant gov­ernor, or
attorney general and the candidate\'s campaign treasurer who fail to
file or file an incomplete required report of contributions and
expenditures \[92\].

The State Board of Elections is responsible for summarizing the
provisions of the election laws relating to campaign contributions and
expenditures and pro­viding for the distribution of the summary and
prescribed forms, including in­structions, to each candidate, person, or
political committee on request or upon the first filing with the State
Board, whichever occurs first. The State Board must des­ignate the form
of the report of contributions and expenditures, which is to be the only
form used in complying with the Campaign Finance Disclosure Act, and a
separate form for the required reporting of certain large contributions
and expenditures \[93\].

The State Board of Elections must cause to be developed and must approve
standards for preparation, production, and transmittal by computer or
electronic means of the required reports of contributions and
ex­penditures \[94\].

By January 1, 2001, the State Board must enter or cause to be entered
into the internet-accessible database information from required reports
of contributions and expenditures for those candidates filed not only by
computer or electronic means but also by other means \[95\],

**B. Local Electoral Boards.** A city or county electoral board, as
appro­priate, is the designated filing office for reports, statements and
designations re­quired under the Campaign Finance Disclosure Act to be
filed by local office candidates. The electoral board of the locality
where a candidate resides is the designated filing office, along with
the State Board of Elections, for reports, statements, and designations
by candidates for member of the general assembly or local office and, in
the case of reports of single large pre‑election contribu­tions, resident
candidates for statewide office \[96\].

The electoral board of a county or city is required to report any
violation of the provisions of the article of the Campaign Finance
Disclosure (Article 4) relating to the filing of reports with the
electoral board to the attorney for the commonwealth for the county or
city in which the electoral board has jurisdiction \[97\].

**C. Attorneys for the Commonwealth.** The appropriate attorney for the
commonwealth is to initiate civil proceedings to enforce civil penalties
for viola­tion of the Campaign Finance Disclosure Act \[98\]. If
requested by the secretary of the State Board of Elections, the attorney
for the commonwealth of the city of Richmond is to assist the secretary
in collecting civil penalties assessed against candidates for governor,
lieutenant governor, or attorney general and their cam­paign treasurers
for failing to file reports or for filing incomplete reports \[99\].

**References**

1.  Code of Virginia (hereafter CV) 24.2‑901

2.  CV § 24.2‑902

3.  CV § 24.2‑905

4.  CV § 24.2‑907(A)

5.  CV § 24.2‑909

6.  CV § 24‑2‑901

7.  CV § 24.2‑909

8.  CV §§ 59.1‑375; 59.1-376(D)

9.  CV §§ 59.1‑368; 59.1.370

10. CV, Rules of Supreme Court of Virginia, Part 6, § III (Canons of
    Judicial Conduct for the State of Virginia), Canons 5, 6

11. CV § 24.2‑940(A), (D)

12. CV § 24.2‑940(B), (D)

13. CV § 24.2‑940(C)

14. CV § 24.2‑901

15. CV § 24.2‑902

16. CV § 24.2‑905

17. CV § 24.2‑921

18. CV §§ 24.2‑901; 24.2‑907; 24.2‑910(A); 24.2‑912; 24.2‑913;
    24.2‑916‑‑920; 24.2‑923; 24.2‑924

19. CV § 24.2‑920(B)

20. CV § 24.2‑914(A)‑(C), (E)

21. CV § 24.2‑914(D)

22. CV §§ 24.2‑914(A); 24.2‑914.1(B), (D)

23. CV § 24.2‑914.1(B), (D), (E)

24. CV § 24.2‑915

25. CV § 24.2‑927

26. CV §§ 24.2‑904(A); 24.2‑915

27. CV § 24.2‑901

28. CV § 24.2‑101

29. CV § 24.2‑916, 24.2‑918(A)

30. CV § 24.2‑917

31. CV § 24.2‑918(B)

32. CV § 24.2‑915

33. CV § 24.2‑906.1

34. CV §§ 24.2‑910(A); 24.2‑911(B); 24.2‑923(A)

35. CV §§ 24.2‑901; 24.2‑911(B)

36. CV § 24.2‑901

37. CV § 24.2‑911(A)

38. CV §§ 24.2‑916; 24.2‑917; 24.2‑918; 24.2‑923(A)

39. CV §§ 24.2‑911(B); 24.2‑923(A)

40. CV § 24.2‑913

41. CV §§ 24.2‑910(A); 24.2‑913; 24.2‑924

42. CV § 24.2‑913

43. CV § 24.2‑901

44. CV §§ 24.2‑910(B); 24.2‑923(A)

45. CV § 24.2‑901

46. CV § 24.2‑912(A)

47. CV § 24.2‑912(A)

48. CV §§ 24.2‑916; 24.2‑917; 24.2‑918(B); 24.2‑919

49. CV § 24.2‑919(B)

50. Virginia Constitution art. VII, § 4; CV §§ 24.2‑101; 24.2‑916;
    24.2‑917; 24.2‑918(B); 24.2‑919(A)

51. CV § 24.2‑923(A)

52. CV § 24.2‑904(A)

53. CV § 24.2‑904

54. CV § 24.2‑904(A)

55. CV § 24.2‑906

56. CV § 24.2‑908

57. CV § 24.2‑908

58. CV §§ 24.2‑901; 24.2‑911

59. CV § 24.2‑908(A)

60. CV § 24.2‑908(B)

61. CV § 24.2‑908.1(A), (B)

62. CV § 24.2‑908

63. CV § 24.2‑908

64. CV §§ 24.2‑502; 2.1‑639.13(D); 2.1‑639.14(D); 2.1‑639.14:1;
    2.1‑639.40(B)

65. Virginia Constitution art. VII, § 4; CV §§ 24.2‑101; 24.2‑502;
    2.1‑639.15; 2.1‑639.41

66. CV §§ 24.2‑502; 24.2‑503

67. CV § 58.1‑346

68. CV § 58.1-339.6

69. CV § 24.2‑101

70. CV § 58.1‑346

71. CV §§ 24.2‑916; 24.2‑917; 24.2‑918(B); 24.2‑920

72. CV §§ 24.2‑923(B); 24.2‑924

73. CV § 24.2‑920.1

74. CV § 24.2‑923.1

75. CV §§ 24.2‑920(B); 24.2‑921

76. CV §§ 24.2‑901; 24.2‑925

77. CV §§ 24.2‑907(B); 24.2‑912(B); 24.2‑927; 24.2‑929

78. CV § 24.2‑930(A)

79. CV § 24.2‑930(B)

80. CV § 24.2‑930(C)

81. CV § 24.2‑930(D)

82. CV § 24.2‑930(E)

83. CV § 24.2‑930(C)

84. CV §§ 24.2‑907(B); 24.2‑908.1(C); 24.2‑912(B); 24.2‑927; 24.2‑929(A)

85. CV § 24.2‑929(A)‑(C)

86. CV § 24.2‑940(E)

87. CV §§ 24.2‑929(A); 24.2‑940(E)

88. CV § 24.2‑922(A); *see also* CV §24.2‑922(B) concerning
    qualification for a vacant office filled by special election

89. CV § 24.2‑503.1

90. CV §§ 24.2‑904(A); 24.2‑908; 24.2‑912(A); 24.2‑915; 24.2‑919(A);
    24.2‑923(A)

91. CV § 24.2‑928(A)

92. CV § 24.2‑930(A)

93. CV § 24.2‑903

94. CV § 24.2‑914.1(A)

95. CV § 24.2‑914.1(C), (D)

96. CV §§ 24.2‑904(A); 24.2‑915; 24.2‑919(A)

97. CV § 24.2‑928(B)

98. CV §§ 24.2‑929; 24.2‑940(E)

99. CV § 24.2‑930(D)

**CAMPAIGN FINANCE LAW**

**IN THE UNITED STATES VIRGIN ISLANDS**

**I. INTRODUCTION**

The Virgin Islands requires political committees, including a
candidate\'s principal campaign committee, that anticipate receiving
contributions or making expenditures of more than \$500 in the aggregate
during a calendar year to file a statement of organization with the
Supervisor of Elections. Political committees required to file a
statement of organization must file quarterly, pre‑election, and
post‑election reports of receipts and expenditures with the Supervisor
of Elections. Individuals, partnerships, political committees,
associations, corporations, labor organizations, or other organizations
or groups of persons who independent of an organized committee make or
receive contributions or make expenditures of over \$500 in the
aggregate during a calendar year must file periodic reports of
independent expenditures with the Supervisor of Elections. A
contribution received or independent expenditure made of \$500 or more
within 30 days before an election must be reported to the Supervisor of
Elections within 48 hours.

An individual, partnership, political committee, association,
corporation, labor organization, or other organization or group of
persons may not make contributions to a candidate or the candidate\'s
authorized political committee exceed \$1,000 in the aggregate per
election or to a multicandidate political committee per election that
exceeds an amount equal to the number of candidates supported by the
committee multiplied by \$1,000. A multicandidate political committee
may not make contributions to any candidate or the candidate\'s
authorized political committee that exceed \$1,000 in the aggregate per
election.

The Supervisor of Elections administers the campaign disclosure law
(Chapter 29 of Title 18).

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is (1) a gift,
subscription, loan, advance, or deposit of money or anything of value
made for the purpose of influencing the nomination for election or
election of any person to elective office in the territory, (2) a
written contract, promise, or agreement, whether or not legally
enforceable, to make a contribution as defined in item (1) above, (3)
funds received by a political committee that are transferred to such
committee from another political committee or other source, or (4) the
payment by a person other than a candidate or a political committee of
compensation for the personal services of another person that are
rendered to such candidate or political committee without charge for the
purpose of influencing the nomination for election or election of such
candidate or for the purpose of assisting such political committee in
the purpose for which it was organized \[1\].

The term \"contribution\" does *not* mean (1) the value of services
provided without compensation by individuals who volunteer time on
behalf of a candidate or political committee, (2) the use of real or
personal property and the cost of invitations, foods, and beverages
voluntarily provided by an individual to a candidate in rendering
voluntary personal services on the individual\'s residential premises
for political activities, (3) 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 such charge for use in a candidate\'s
campaign is at least equal to the cost of such food or beverage to the
vendor, (4) any unreimbursed payment for travel expenses made by an
individual who on his or her own behalf volunteers his or her personal
services to a candidate, or (5) the costs of any get‑out‑the‑vote
campaign or reproduction and distribution of sample ballots \[2\].

**B. Limitations on Contributions.** An individual, partnership,
committee, association, corporation, labor organization, or any other
organization or group of persons may not make contributions to (1) any
candidate or the candidate\'s authorized political committee with
respect to any election that in the aggregate exceed \$1,000 per
election or (2) any multicandidate political committee for any election
that exceeds an amount equal to the number of candidates supported by
such committee multiplied by \$1,000 \[3\].

A multicandidate political committee (i.e., a political committee that
seeks to influence the nomination for election or election of more than
one candidate) may not make contributions to any candidate or the
candidate\'s authorized political committee that in the aggregate exceed
\$1,000 per election \[4\].

A \"political committee\" or \"committee\" is any committee, club,
association, or other group of persons that receives contributions or
makes expenditures during any calendar year in an aggregate amount
exceeding \$1,000 \[5\].

An \"election\" is any primary, special, run‑off, or general election or
any territorial committee meeting, caucus, or convention with the
authority to nominate or appoint a person to an elective office \[6\].

All contributions are deemed contributions for the immediate next
election for the purpose of determining the limitations on
contributions; however, surplus funds carried over by a candidate or
political committee from one election to the next are not a limitation
on the contributions that may be made for such election \[7\].

The limitations on contributions do not apply to (1) transfers between
and among authorized political committees of the same candidate, (2)
transfers from a candidate to that candidate\'s authorized political
committee, or (3) contributions by a candidate of that candidate\'s
personal funds to the candidate\'s own campaign \[8\].

For the purpose of the contribution limitations, all contributions made
by political committees established, financed, maintained, or controlled
by any corporation, labor organization, or any other person, including
any parent, subsidiary, branch, division, department, or local unit of
such corporation, labor organization, or other person, or by any group
of such persons are considered to have been made by a single political
committee. In any case in which a corporation and any of its
subsidiaries, branches, divisions, departments, or local units or a
labor organization and any of its subsidiaries, branches, divisions,
departments, or local units establish, finance, maintain, or control
more than one separate segregated fund, all such separate funds are
treated as a single fund for the purposes of the contribution
limitations \[9\].

The contribution‑limitation provisions are not to be interpreted to
prohibit or limit the transfer of funds from one political committee to
another when such transfer represents the proportional share of funds
due the receiving committee from a joint fundraising effort in which
such committee participated \[10\].

**C. Attribution of Contributions.** The following attribution rules
apply in determining whether there has been compliance with the
contribution limitations of the campaign disclosure law:

\(1\) Contributions to a candidate made to any political committee
authorized by such candidate to accept contributions on the candidate\'s
behalf are considered to be contributions made to such candidate.

\(2\) Expenditures made by any person in cooperation, consultation, or
concert with or at the request or suggestion of a candidate or the
candidate\'s authorized political committees or agents are considered to
be a contribution to such candidate.

\(3\) The financing by any person of the dissemination, distribution, or
republication, in whole or in part, of any broadcast or any written,
graphic, or other form of campaign materials prepared by the candidate
or the candidate\'s authorized political committees or agents is
considered to be a contribution to such candidate.

\(4\) Contributions made to or for the benefit of any candidate for
lieutenant governor are considered to be a contribution to the candidate
for governor with whom the candidate for lieutenant governor is running;
however, in any primary election, contributions to a candidate for
lieutenant governor who has not yet aligned with a candidate for
governor are deemed to be contributions solely to the candidate for
lieutenant governor.

\(5\) Contributions made by a person, either directly or indirectly, on
behalf of a particular candidate, including contributions that are in
any way earmarked or otherwise directed through an intermediary or
conduit to such candidate, are treated as contributions from such person
to such candidate \[11\].

**D. Receipt of Contributions by Candidates.** No candidate may receive
contributions not subject to the mandatory recordkeeping of the
candidate\'s principal campaign committee \[12\].

**E. Making or Acceptance of Contributions by Political Committees.** 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 chairman or
treasurer of the committee \[13\].

**F. Prohibitions of the Virgin Islands Casino and Resort Control Act of
1995.** The Virgin Islands Casino and Resort Control Act of 1995
provides that no member or employee of the Virgin Islands Casino Control
Commission or employee or agent of the Division of Gaming Enforcement
may directly or indirectly coerce, attempt to coerce, command, or advise
any person to pay, lend, or contribute anything of value to a party,
committee, organization, agency, or person for political purposes
\[14\].

The following persons are prohibited by the Act from paying or
contributing, directly or indirectly, any money or thing of value to any
candidate for nomination or election to any public office in the
territory, any committee of any political party in the territory, or any
group, committee, or association organized in support of any such
candidate or political party: (1) an applicant for or holder of a casino
license, (2) a holding, intermediary or subsidiary company thereof, (3)
an officer, director, casino key employee, or principal employee of an
applicant or holder of a casino license or of any holding, intermediary
or subsidiary company thereof, or (4) a person or agent on behalf of any
such applicant, holder, company, or person \[15\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure\" is (1) 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 to elective office in the territory,
(2) a contract, promise, or agreement, express or implied, whether or
not legally enforceable, to make any expenditure as defined by item (1)
above, (3) the transfer of funds by a political committee to another
political committee, or (4) any repayment made to any bank or other
lending institution from which monies were borrowed to finance any
aspect of a political campaign \[16\].

The term \"expenditure\" does *not* mean (1) 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 a political party, political
committee, or candidate, (2) any regular monthly, biweekly, weekly, or
more frequent broadcast by a political party, political committee, or
candidate that is conducted on a continuous year‑round basis for a
public information purpose and not solely for election campaigning, (3)
nonpartisan activity designed to encourage individuals to vote or to
register to vote, (4) 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 on
the individual\'s residential premises for political activities if the
cumulative value of such activities by such individual on behalf of any
candidate does not exceed \$250 with respect to any election, or (5) any
unreimbursed payment for travel expenses made by an individual who
volunteers his or her personal services to a candidate if the cumulative
amount for such individual incurred with respect to such candidate does
not exceed \$250 with respect to any election \[17\].

**B. Candidate Expenditures in Compliance With Committee
Recordkeeping.** No candidate may make expenditures not subject to the
mandatory recordkeeping of the candidate\'s principal campaign committee
\[18\].

**C. Authorization of Political Committee Expenditures.** No expenditure
may be made for or on behalf of a political committee without the
authorization of its chairman or treasurer or their designated agents
\[19\].

**D. Making of Expenditures by Political Committees.** 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 chairman or treasurer of the
committee \[20\].

**E. Expenditures by Check**. Except for petty cash expenditures
authorized by the campaign disclosure law, no expenditure may be made by
a political committee, including a candidate\'s principal committee and
any other political committee authorized by a candidate to receive
contributions or to make expenditures on the candidate\'s behalf, except
by check drawn on the committee\'s single checking account \[21\].

**F. Expenditures From a Petty Cash Fund.** A political committee may
maintain a petty cash fund out of which it may make expenditures not in
excess of \$100 to any person in connection with a single purchase or
transaction. A record of petty cash disbursements is to be kept in
accordance with requirements established by the Supervisor of Elections,
and the statements and reports concerning petty cash disbursements must
be furnished to the Supervisor as the Supervisor may require \[22\].

**IV. REPORTING REQUIREMENTS**

**A. Political Committees or Committees**

**1. General Requirements.** A \"political committee\" or \"committee\"
is any committee, club, association, or other group of persons that
receives contributions or makes expenditures during any calendar year in
an aggregate amount exceeding \$1,000 \[23\].

Every political committee must have a chairman and a treasurer \[24\].
The treasurer of the committee must keep a detailed and exact amount of
(1) all contributions made to or for such committee, (2) the full name
and address of every person making a contribution or aggregate
contributions of over \$100, (3) all expenditures made by or on behalf
of the committee, and (4) the full name and address of every person to
whom any expenditure is made, the date and amount thereof, and the name
and address of and office sought by each candidate on whose behalf such
expenditure was made. The treasurer is to obtain and preserve, for such
period of time as is determined necessary by the Supervisor of
Elections, receipts for expenditures made by or on behalf of the
committee over \$100 and receipts for any such expenditure in a lesser
amount if the aggregate amount of such expenditures to the same person
during a calendar year exceeds \$100 \[25\].

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 or the personal funds of the candidate
\[26\].

**2. Candidate Designation of Principal Campaign Committees.** Each
individual who is a candidate for public elected office may designate a
committee as his or her principal campaign committee; however,
territory‑wide candidates may have a principal campaign committee on
each island (St. Thomas and St. Croix). No committee may serve as the
principal campaign committee of more than one candidate. No principal
campaign committee may support more than one candidate; however,
occasional, isolated, or incidental support of a candidate who is not
the principal candidate of a designated campaign committee is not
prohibited. A statutory exception is provided for candidates for
governor and lieutenant governor, who may designate as their principal
committee their party\'s territorial committee, which may also support
all other candidates of that party, or a designated committee may
support a candidate for governor and the candidate\'s running mate for
lieutenant governor only \[27\].

A \"candidate\" is an individual who seeks nomination for election or
election to any elective office of the territory, whether or not such
individual is elected and whether or not such individual has formally or
publicly announced his or her candidacy. However, in order to be a
\"candidate\" a person must have (1) filed for an elective office with
the Board of Elections, (2) received contributions, (3) made
expenditures, or (4) authorized another to receive contributions on his
or her behalf or to make expenditures in support of his or her candidacy
whether or not a specific office has been named for which the person is
running \[28\]. An \"elective office\" is every public office in the
territory to which a person can be elected by a vote of the electors
under the laws of the United States Virgin Islands \[29\].

**3. Filing of a Statement of Organization.** Each political committee
that anticipates receiving contributions or making expenditures during
the calendar year in an aggregate amount exceeding \$500 must file with
the Supervisor of Elections a statement of organization within 10 days
after its organization or, if later, within 10 days after receipt of
information causing the committee to anticipate it will receive
contributions or make expenditures in excess of \$500 \[30\].

The statement of organization must contain (1) the name and address of
the committee, (2) the names and addresses of affiliated or connected
organizations, (3) the purpose of the committee, (4) the names and
addresses of principal officers of the committee and the custodian of
books and accounts, (5) the name, address, office sought, and party
affiliation, if any, of each candidate the committee is supporting or
opposing if the purpose of the committee is to support or to oppose a
candidate, (6) a statement as to whether the committee is a continuing
one, (7) the disposition of residual funds that will be made in the
event of dissolution, (8) a list of all banks, safety deposit boxes, or
other repositories used by the committee, and (9) such other information
that may be required by the Supervisor of Elections \[31\].

Any changes in information previously submitted in a statement of
organization must be reported to the Supervisor of Elections not later
than 30 days after the change occurs \[32\].

**4. Designation of Campaign Depositories and Maintenance of Single
Checking Accounts.** Each candidate must designate one or more banks as
his or her campaign depositories. The principal campaign committee of
the candidate and any other political committee authorized by the
candidate to receive contributions or to make expenditures on his or her
behalf is required to maintain a single checking account and such other
accounts as the committee determines at a depository designated by the
candidate and to deposit all contributions received by the committee
into the account \[33\].

The treasurer of each political committee that is not a political
committee authorized by a candidate to receive contributions or to make
expenditures on his or her behalf is required to designate one or more
banks as campaign depositories of the committee and to maintain a single
checking account at one such depository. All contributions received by
the committee must be deposited in the account \[34\].

**B. Reports of Receipts and Expenditures by Political Committees.**
Political committees required to file a statement of organization must
file periodic reports of receipts and expenditures with the Supervisor
of Elections \[35\].

The treasurer of each political committee must file reports of receipts
and expenditures that disclose the following information:

\(1\) The amount of cash on hand at the beginning of the reporting
period.

\(2\) The full name and address of each person who during the reporting
period contributed over \$100 in value to the committee or whose
aggregate contributions totaled over \$100 in value, including the
purchase of tickets for dinners, luncheons, rallies, or similar
fundraising events; the value of the amount contributed; and the date of
the contribution.

\(3\) The total sum of contributions made during the reporting period
not required to be reported under item (2) above.

\(4\) The amount and terms of each loan over \$100 made to the committee
and/or candidate during the reporting period and the full name and
address of any lender, endorser, and guarantor thereof.

\(5\) The total amount of proceeds collected during the reporting period
from ticket sales, mass collections made at rallies, dinners, or similar
fundraising events, and sales of campaign items such as pins, flags,
buttons, badges, hats, banners, and bumper stickers.

\(6\) The amount received in cash or check of over \$100, as well as
non‑monetary items valued at over \$100, not otherwise reported under
items (2) through (5) above.

\(7\) The total sum of all receipts by or for such committee during the
reporting period, less transfers between political committees that
provide exclusive support to the same candidate as the reporting
committee; however, all transfers to a committee not required to file
reports are deemed to be an expenditure and must be reported
accordingly.

\(8\) The full name and address of each person to whom expenditures of
over \$100 have been made during the reporting period, as well as the
purpose of each expenditure, the amount, the date made, and the name,
address, and office sought of each candidate on whose behalf the
expenditure was made.

\(9\) The total of all expenditures made during the reporting period not
required to be reported under item (8) above.

\(10\) The amount and nature of debts and obligations owed by the
committee and the circumstances and conditions under which debts and
obligations are extinguished and the consideration therefor.

\(11\) The accumulated total of receipts and expenditures in all
reporting periods for or against a candidate in the upcoming election.

\(12\) Such other information as may be required by the Supervisor of
Elections \[36\].

The Supervisor of Elections has prepared the following additional
guidance concerning campaign disclosure:

\(1\) In the first report filed after registering as a political
committee, a candidate\'s principal campaign committee and other
authorized committees must disclose all financial activity that occurred
before registration and before the individual became a candidate
(including any testing‑the‑waters activities).

\(2\) A committee must report the cash on hand that it possessed at both
the beginning and end of the reporting period.

\(3\) Contributions from party committees, contributions from other
committees, transfers, and loans must be itemized regardless of amount.
A receipt that is a contribution from individuals/persons other than
political committees, a contribution from the candidate, an offset to
operating expenditures, or other type of receipt must be itemized if it
exceeds \$100 or, when added to other receipts within the same category
received from the same source during a calendar year, aggregates over
\$500.

\(4\) Disbursements that are transfers or loans must be itemized
regardless of amount. A disbursement that is an operating expenditure or
other type of disbursement must be itemized if it exceeds \$100 or, when
added to other disbursements within the same category made to the same
recipient during a calendar year, aggregates over \$500.

\(5\) All loans received by a committee must be itemized and
continuously reported until repaid; all repayments made on a loan also
must be itemized.

\(6\) Debts and obligations, other than loans, must be reported
continuously until repaid. A debt of \$500 or less is reportable once it
has been outstanding 60 days from the date incurred; it is disclosed on
the next regularly scheduled report. A debt exceeding \$500 must be
reported in the report covering the date on which the debt was incurred
\[37\].

Reports of receipts and expenditures are to be filed according to the
following schedule:

\(1\) *Semiannual Reports.* Not later than 10 days after the close of
each 6-month period in which contributions were received or expenditures
made in amounts greater than \$500. Amounts received or expended in a
6-month period that are not sufficient to be reported in that period are
cumulative and reported in the next regular reporting period in which
the receipts or expenditures, including the cumulative receipts and
expenditures, are \$500 or more.

\(2\) *Pre‑Election Reports.* Not later than the 10th day before the
date of an election in which a candidate supported or opposed by the
committee is running. This report is for the reporting period commencing
the day after the close of the preceding reporting period and closing on
the 30th day preceding the election.

\(3\) *Post‑Election Reports.* Not later than 30 days after the date of
an election in which a candidate supported or opposed by the committee
is running. This report is for the reporting period commencing the day
after the close of the preceding reporting period and closing on the
20th day after the day of the election \[38\].

An \"election\" to which pre‑ and post‑election reporting is applicable
is any primary, special, run‑off, or general elections or any
territorial committee meeting, caucus, or convention with the authority
to nominate or appoint a person to an elective office \[39\].

The Supervisor of Elections may waive the requirement for the filing of
a quarterly report if a pre‑election or post‑election report is required
to be filed in that quarter; however, if a quarterly report is waived,
any period of time in that quarter not included in a pre‑election or
post‑election report must be included in the reporting period of the
next regular quarterly filing \[40\].

Whenever a run‑off election is required, the Supervisor of Elections may
adjust the dates of the reporting period and filing deadlines for
pre‑election and post‑election reports as may be necessary to ensure
timely receipt of information \[41\].

**C. Reports of Large Contributions Within 30 Days Before an Election.**
Any candidate, political committee, or person authorized to receive
contributions on behalf of a candidate or political committee who
receives a contribution of \$500 or more after the 30th day preceding an
election and before the election must report the contribution to the
Supervisor of Elections within 48 hours after its receipt \[42\].

**D. Earmarked Contribution Reports by Intermediaries or Conduits.** If
a contribution is in any way earmarked or otherwise directed through an
intermediary or conduit to a candidate, the intermediary or conduit must
report the original source and the intended recipient of such
contribution to the Supervisor of Elections and to the intended
recipient \[43\].

**E. Recipient Reports of Contributions Received on Behalf of a
Political Committee.** Every person who receives a contribution of over
\$100 on behalf of a political committee, on demand of the committee
treasurer but not later than 5 days after the receipt of the
contribution, must render to the treasurer a statement including the
amount of the contribution, the identification of the person making such
contribution, and the date on which the contribution was received
\[44\].

**F. Reports of Independent Expenditures.** Every individual,
partnership, political committee, association, corporation, labor
organization, or any other organization or group of persons who
independent of an organized committee makes or receives contributions or
makes expenditures in an aggregate amount of over \$500 during a
calendar year for the express purpose of advocating the election or
defeat of a candidate must file with the Supervisor of Elections reports
containing the same information and covering the same reporting periods
as required of political committees \[*see* Section IV.B, *supra*\].
These reports also must contain a statement, under penalty of perjury,
as to whether the person\'s dependent expenditure is made in
cooperation, consultation, or concert with or at the request or
suggestion of any candidate or any authorized agent or committee of such
candidate \[45\].

An \"independent expenditure\" is an expenditure by a person expressly
advocating the election or defeat of a candidate that is made without
cooperation or consultation with such candidate, any other candidate, or
any authorized committee or agent of any candidate \[46\].

**G. Reports of Large Independent Expenditures Within 30 Days Before an
Election.** Any independent expenditure by any individual, partnership,
committee, association, corporation, labor organization, or any other
organization or group of persons that is not a political committee or
candidate of over \$500 or more made after the 30th day preceding an
election and before the election must be reported to the Supervisor of
Elections within 48 hours of the date of the expenditure \[47\].

**H. Candidate Financial Interests Disclosure Report.** Each candidate
for public office must file a report disclosing certain financial
interests with the Attorney General within 10 days after filing his or
her nomination petition or papers as a public record \[48\]

**V. POST‑ELECTION REQUIREMENTS**

**A. Disbanding of a Political Committee.** Any political committee that
has filed a statement of organization and disbands is required to notify
the Supervisor of Elections of such fact \[49\].

**VI. OFFENSES AND PENALTIES**

**A. Administrative Enforcement.** Any person who believes a violation
of the campaign disclosure law has occurred may file a complaint with
the Supervisor of Elections. The complaint must be in writing, signed
and sworn to by the person filing the complaint, and notarized. Upon
receipt of a complaint or whenever the Supervisor has reason to believe
a violation of the campaign disclosure law has occurred or is about to
occur, the Supervisor must conduct an investigation. The investigation
is to be conducted expeditiously with prompt notice to any person who is
the subject of a complaint. A person who is the subject of a complaint
must be afforded a reasonable opportunity to demonstrate that no action
should be taken against such person by the Supervisor. If the Supervisor
determines that there is reasonable cause to believe that a person has
committed or is about to commit a violation of the campaign disclosure
law, the Supervisor may endeavor to bring about voluntary compliance by
the informal methods of conference, conciliation, and persuasion \[50\].

**B. Civil Action by the Supervisor of Elections.** If the Supervisor of
Elections is unable to correct or prevent any violation of the campaign
disclosure law by informal methods, the Supervisor may institute a civil
action for relief in a court of competent jurisdiction. The Supervisor
may seek a permanent or temporary injunction, restraining order, or
other appropriate order, including a civil penalty that does not exceed
the greater of \$5,000 or an amount equal to twice the amount of any
contributions or expenditures involved in the violation. Compliance with
any advisory opinion rendered by the Supervisor is a complete defense
against an action alleging a violation \[51\].

**C. Civil Action by Aggrieved Persons.** Nothing in the enforcement
provisions of the campaign disclosure law may be construed to prevent
any person aggrieved by another\'s violations of the campaign disclosure
law from instituting civil proceedings in any court of competent
jurisdiction \[52\].

**D. Criminal Penalties.** Any person who knowingly and willfully
violates any of the provisions of the campaign disclosure law must be
fined an amount not more than \$5,000 or three times the amount of any
contribution or expenditure involved in the violation, whichever is
greater, imprisoned for not more than one year, or both \[53\].

Any person who makes or causes to be made a political contribution
prohibited by the Virgin Islands Casino and Resort Control Act of 1995
is guilty of a felony and subject to not more than imprisonment for
three years, a fine of \$100,000, or both and in the case of a person
other than a natural person to a fine of not more than \$250,000 \[54\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Supervisor of Elections.** The Supervisor of Elections is required
to administer the provisions of the campaign disclosure law and in doing
so is subject to the control of the Board of Elections. In administering
the campaign disclosure law, the Supervisor has the power to (1)
require, by special or general orders, any person to submit in writing
such reports (excluding audits by certified public accountants) and
answers to questions as the Supervisor may prescribe, (2) initiate,
defend, or appeal any civil action for the purpose of enforcing the
campaign disclosure law, (3) render advisory opinions and promulgate
rules and regulations to carry out the campaign disclosure law, (4)
develop and prescribe forms for statements and reports required to be
filed pursuant to the campaign disclosure law, (5) formulate general
policy with respect to administering the campaign disclosure law, (6)
conduct investigations and hearings expeditiously, to encourage
voluntary compliance with the campaign disclosure law, and to report
apparent violations to the Attorney General, (7) require the reporting
of contributions and expenditures in the nature of debts and other
contracts, agreements, and promises to make contributions or
expenditures, and (8) take such steps as may be necessary to implement
the campaign disclosure law \[55\].

In administering the campaign disclosure law, it is the duty of the
Supervisor of Elections to (1) develop and furnish forms to persons
required to file reports or statements, (2) maintain in each island
district a conspicuous place for the filing of reports and statements by
candidates and committees and persons required to file reports and
statements from that district, (3) require that candidates for
territory‑wide public offices, as well as committees supporting or
opposing such candidates, file copies of their reports and statements in
each island district, (4) develop and maintain a filing, coding, and
cross‑indexing system, prepare indices that set forth, on a
candidate‑by‑candidate basis, all expenditures and contributions for
each candidate as reported, and periodically issue such indices on a
timely pre‑election basis, (5) make reports and statements filed
pursuant to the campaign disclosure law available for public inspection,
commencing as soon as practicable but not later than the end of the
second day following the day during which a report or statement was
received, (6) preserve reports and statements for not less than 6 years
from the date of receipt, (7) prepare and publish from time to time in
the newspapers of general circulation the names of candidates not in
compliance with the campaign disclosure law, (8) make audits and field
investigations and conduct hearings to determine compliance with the
campaign disclosure law and the accuracy of submitted reports and
statements pursuant to a complaint filed with the Supervisor alleging
misrepresentation or falsification of reports or information contained
in reports, (9) report apparent violations of law to the Attorney
General, and (10) take such steps as may be necessary to implement the
provisions of the campaign disclosure law \[56\].

**B. Attorney General.** The Attorney General of the United States
Virgin Islands is required to assist the Supervisor of Elections in
enforcing the provisions of the campaign disclosure law \[57\].

**References**

1.  Virgin Islands Code Annotated (hereafter VICA) tit. 18, § 902(3)

2.  VICA tit. 18, § 902(3)

3.  VICA tit. 18, §§ 902(10); 907(a)

4.  VICA tit. 18, §§ 902(9); 907(b)

5.  VICA tit. 18, § 902(2)

6.  VICA tit. 18, § 902(4)

7.  VICA tit. 18, § 907(c)

8.  VICA tit. 18, § 907(d)

9.  VICA tit. 18, § 907(e)

10. VICA tit. 18, § 907(f)

11. VICA tit. 18, § 907(g)

12. VICA tit. 18, § 903(c)

13. VICA tit. 18, § 903(b)

14. VICA tit. 32, §§ 402(18), (26); 412(h)(2)

15. VICA tit. 32, § 509(a)

16. VICA tit. 18, § 902(6)

17. VICA tit. 18, § 902(6)

18. VICA tit. 18, § 903(c)

19. VICA tit. 18, § 903(b)

20. VICA tit. 18, § 903(b)

21. VICA tit. 18, § 908(a), (b)

22. VICA tit. 18, § 908(c)

23. VICA tit. 18, § 902(2)

24. VICA tit. 18, § 903(b)

25. VICA tit. 18, §§ 902(7); 903(d), (e)

26. VICA tit. 18, § 903(c)

27. VICA tit. 18, § 903(a)

28. VICA tit. 18, § 902(1)

29. VICA tit. 18, § 902(5)

30. VICA tit. 18, § 904(a)

31. VICA tit. 18, § 904(b)

32. VICA tit. 18, § 904(c)

33. VICA tit. 18, § 908(a)

34. VICA tit. 18, § 908(b)

35. VICA tit. 18, § 905

36. VICA tit. 18, §§ 902(7); 905(a)

37. Supervisor of Elections, Election System of the Virgin Islands,
    Campaign Disclosure Guide and Instructions (n.d.)

38. VICA tit. 18, § 905(b)

39. VICA tit. 18, § 902(4)

40. VICA tit. 18, § 905(b)(3). The waiver provision in this subsection
    applicable to "quarterly reports" presumably will apply to the
    six-month reports that replaced quarterly reporting.

41. VICA tit. 18, § 905(d)

42. VICA tit. 18, § 905(c)

43. VICA tit. 18, § 907(g)(5)

44. VICA tit. 18, § 903(c)

45. VICA tit. 18, §§ 902(10); 906(a)

46. VICA tit. 18, § 902(8)

47. VICA tit. 18, §§ 902(10); 906(a)

48. VICA tit. 3, § 1105(a), (d)

49. VICA tit. 18, § 904(d)

50. VICA tit. 18, § 910(a)‑(c)

51. VICA tit. 18, § 910(c), (e)

52. VICA tit. 18, § 910(d)

53. VICA tit. 18, § 911

54. VICA tit. 32, § 481

55. VICA tit. 18, § 909(a), (b)

56. VICA tit. 18, § 909(c)

57. VICA tit. 18, § 910(g)

**CAMPAIGN FINANCE LAW**

**IN WASHINGTON**

**I. INTRODUCTION**

Washington requires unexempted candidates and political committees to
file periodic reports of contributions and expenditures. A mini campaign
reporting option may be used by candidates and political committees if
aggregate contributions or aggregate expenditures will not exceed
\$3,500 and no single contributor (excluding the candidate) contributes
more than \$300. These candidates and committees need not file periodic
reports of contributions and expenditures, but must file a registration
statement. Accelerated reporting of contributions is required on and
after July 1st before a general election. Candidates who receive over
\$1,000 from a single contributor within 7 days of a primary or 21 days
of a general election and political committees that make or receive
contributions over \$1,000 during the same period must file special
reports. Periodic reports are required when inde­pendent expenditures by
a person reach \$100. Annual reports are required from employers of
lobbyists and persons other than individuals who in a calen­dar year make
aggregate contributions of more than \$12,500 or aggregate inde­pendent
expenditures of more than \$625.

Aggregate contributions by each contributor to a candidate for state
executive or legislative office by other than the candidate are limited:
(1) non‑party and non‑legislative‑caucus contributions per each election
to a state legislative office candidate‑‑\$625 and to a state executive
office candidate‑‑\$1,250, (2) contribu­tions by a political party state
organization or caucus political committee per election cycle‑‑\$.64 per
registered voter in the jurisdiction, and (3) contributions by a major
political party county central committee or legislative district
com­mittee per election cycle‑‑\$.32 per registered voter in the
jurisdiction. Com­bined contributions by major party county central
committees and legislative district committees to a state office
candidate per election cycle may not exceed \$.32 per registered voter
in the jurisdiction. Aggregate contributions per calen­dar year to
political parties and caucus political committees by other than
indi­viduals, parties, and caucuses are also limited: \$625 to a caucus
and \$3,200 to a party state organization or to a major party county
central committee or legisla­tive district committee. Aggregate
contributions made by a single contributor other than a major political
party state organization within 21 days of a general election may not
exceed \$50,000 for a statewide office campaign or \$5,000 for any other
campaign.

The Public Disclosure Commission enforces the Public Disclosure Act, as
amended by the Fair Campaign Practices Act.

**II. DEFINITIONS**

The Public Disclosure Act, as amended by the Fair Campaign Practices
Act, contained incongruent definitions for many key terms. The Act was
revised in 1995 to remove most of incongruities and provide single,
consistent definitions:

**A. Candidate.** A \"candidate\" is any individual who seeks nomination
for election or election to public office, which is any federal, state,
county, city, town, school district, port district, special district, or
other state political subdivi­sion office. An individual seeks nomination
or election when he or she first (1) receives contributions or makes
expenditures or reserves space or broadcast time to promote his or her
candidacy, (2) announces publicly for office, (3) pur­chases commercial
advertising space or broadcast time to promote his or her candidacy, or
(4) gives his or her consent to another person to take on behalf of the
individual any of the actions in (1) to (3) \[1\].

**B. Contribution.** A \"contribution\" includes:

\(1\) A loan, gift, deposit, subscription, forgiveness of indebtedness,
donation, advance, pledge, payment, transfer of funds between political
committees, or anything of value, including personal and professional
services for less than full consideration.

\(2\) An expenditure made by a person in cooperation, consultation, or
concert with or at the request or suggestion of a candidate, a political
committee, or their agents.

\(3\) The financing by a person of the dissemination, distribution, or
republica­tion, in whole or in part, of broadcasts, written, graphic, or
other form of politi­cal advertising prepared by a candidate, a political
committee, or its authorized agent.

\(4\) Sums paid for tickets to fundraising events such as dinners and
parties, except for the actual cost of the consumables furnished at the
event \[2\].

The term \"contribution\" does *not* include:

\(1\) Standard interest on money deposited in a political committee\'s
account.

\(2\) Ordinary home hospitality.

\(3\) A contribution received by a candidate or political committee that
is re­turned to th e contributor within 5 business days of the receipt
date.

\(4\) A news item, feature, commentary, or editorial in a regularly
scheduled news medium that is of primary interest to the general public,
is in a news med­ium controlled by a person whose primary business is
that news medium, and is not controlled by a candidate or political
committee.

\(5\) An internal political communication primarily limited to the
members of or contributors to a political party organization or
political committee, to the of­ficers, management staff, and stockholders
of a corporation or similar enterprise, or to the members of a labor
organization or other membership organization.

\(6\) The rendering of personal services of the sort commonly performed
by volunteer campaign workers or incidental expenses personally incurred
by vol­unteer campaign workers not in excess of \$50 personally paid for
by the worker. \"Volunteer services\" are services or labor for which
the individual is not com­pensated by any person.

\(7\) Messages in the form of reader boards, banners, or yard or window
signs displayed on a person\'s own property or property occupied by a
person; howev­er, a facility used for such political advertising for
which a rental charge is nor­mally made must be reported as an in‑kind
contribution and counts towards any applicable contribution limit of the
person providing the facility.

\(8\) Legal or accounting services rendered to or on behalf of (a) a
political party or caucus political committee if the person paying for
the services is the regular employer of the person rendering such
services or (b) a candidate or an authorized committee 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 state election or public disclosure laws \[3\].

Contributions other than money or its equivalent are deemed to have
mone­tary value equivalent to the fair market value of the contribution.
Services, property, or rights furnished at less than their fair market
value for the purpose of assisting any candidate or political committee
are deemed to be a contribu­tion, which must be reported as an in‑kind
contribution at its fair market value and counts towards any applicable
contribution limit of the provider \[4\].

**C. Independent Expenditure.** There continue to be two separate
defini­tions for \"independent expenditure.\" The generally applicable
definition for \"in­dependent expenditure\" is that it is an expenditure
(*see* Section IV.A, *infra*) that has each of the following elements:

\(1\) It is made in support of or in opposition to a candidate for
office by a per­son who is not (a) a candidate for that office, (b) an
authorized committee of that candidate for that office, (c) a person who
has received the candidate\'s en­couragement or approval to make the
expenditure, if the expenditure pays in whole or in part for any
political advertising supporting that candidate or pro­moting the defeat
of any other candidate or candidates for that office, or (d) a person
with whom the candidate has collaborated for the purpose of making the
expenditure, if the expenditure pays in whole or in part for any
political adver­tising supporting that candidate or promoting the defeat
of any other candidate or candidates for that office.

\(2\) The expenditure pays in whole or in part for political advertising
that either specifically names the candidate supported or opposed or
clearly and beyond any doubt identifies the candidate without using the
candidate\'s name.

\(3\) The expenditure, alone or in conjunction with another expenditure
or other expenditures of the same person in support of or opposition to
that can­didate, has a value of \$625 or more. A series of expenditures,
each of which is under \$625, constitutes one independent expenditure if
their cumulative value is \$625 or more \[5\].

A limited definition of \"independent expenditure\" applies in Section
V.K (Re­port of Independent Expenditures) and Section V.L (Report of Mass
Mailing of Political Advertising Paid by Independent Expenditure): Any
expenditure that is made in support of or in opposition to any candidate
or ballot proposition and is not otherwise required to be reported. The
term *does* not include (1) an in­ternal political communication
primarily limited to the contributors of a political party organization
or political action committee, the officers, management staff, and
stockholders of a corporation or similar enterprise, or the members of a
la­bor organization or other membership organization or (2) the rendering
of per­sonal services of the sort commonly performed by volunteer
campaign workers or incidental expenses personally incurred by volunteer
campaign workers not in excess of \$50 personally paid for by the
worker. \"Volunteer services\" are serv­ices or labor for which the
individual is not compensated by an person \[6\].

**III. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Maximum Contribution Limits.** Contributions made to and accepted
by candidates for state office in primary, general, and special
elections and state of­ficials against whom recall charges have been
filed, authorized committees of the officials, and political committees
having the expectation of making expen­ditures in support of the recall
of a state official are subject to maximum limits that vary according to
the person making the contribution and the candidate or state official
receiving the contribution. Contributions to caucus political com­mittees
and to bona fide political parties are also limited. No person may make
or accept contributions that exceed the contribution limitations except
a can­didate contributing to his or her own campaign using his or her own
personal funds \[7\].

If a person gives or loans a candidate funds in connection with his or
her campaign, the funds are not considered personal funds of the
candidate but are considered a contribution from the original source and
is subject to the contribution limits of the Public Disclosure Act
unless the loan is an exempt loan from a commercial lending institution.
If a candidate or candidate's own political committee or campaign or
authorized committee receives a loan from a commercial lending
institution, the loan is exempt from the contribution limits if (1) the
loan is not guaranteed by any other person, (2) the loan is made in the
regular course of business, and the loan is made on the same terms
ordinarily available to the public \[8\].

The following contributions are exempt from the contribution limits:

\(1\) An expenditure or contribution earmarked for voter registration,
absentee ballot information, precinct caucuses, get‑out‑the‑vote
campaigns, precinct judg­es or inspectors, sample ballots, or ballot
counting, all without promotion of or political advertising for
individual candidates.

\(2\) An expenditure by a political committee for its own internal
organization or fundraising without direct association with individual
candidates \[9\].

**1. Definitions.** The following definitions of key terms, as well as
the defi­nitions of \"candidate\" and \"contribution\" (*see* Section
II.A.2 and II.B.2 , *supra*) apply to the provisions on maximum
contribution limits:

\(1\) An \"authorized committee\" is the political committee authorized
by a can­didate or by the public official against whom recall charges
have been filed to accept contributions or make expenditures on behalf
of the candidate or public official.

\(2\) A \"bona fide political party\" is (1) an organization that has
filed a valid certificate of nomination with the secretary of state, (2)
the governing body of the state organization of a major political party,
which is the body authorized by the charter or bylaws of the party to
exercise authority on behalf of the state party, or (3) the county
central committee or legislative district committee of a major political
party.

\(3\) A \"caucus political committee\" is a political committee
organized and maintained by the members of a major political party in
the state house of rep­resentatives or in the state senate.

\(4\) An \"election\" includes any primary, general, or special election
for public office and any election in which a ballot proposition is
submitted to the voters.

\(5\) A \"election cycle\" is the period beginning on the first day of
December af­ter the date of the last previous general election for the
office that the candidate seeks and ending on November 30th after the
next election for the office. In the case of a special election to fill
a vacancy in an office, the \"election cycle\" is the period beginning
on the day the vacancy occurs and ending on November 30th after the
special election.

\(6\) A \"person\" includes an individual, partnership, joint venture,
public or pri­vate corporation, or joint venture, association, federal,
state, or local govern­mental entity or agency, however constituted,
candidate, committee, political committee, political party or its
executive committee, or any other organization or group of persons,
however organized.

\(7\) A \"recall campaign\" is the period of time beginning on the date
of the fil­ing of recall charges and ending 30 days after the recall
election.

\(8\) A \"state official\" is a person who holds a state office, which
is a state legis­lative office (member of the state house of
representatives or the state senate) or the office of governor,
lieutenant governor, secretary of state, attorney gener­al, commissioner
of public lands, insurance commissioner, superintendent of public
instruction, state auditor, or state treasurer \[10\].

**2. Contributions Made by Persons, Legislative Caucus Political
Committees, and Political Parties**

**a. Persons (Including Individuals).** A person other than a bona fide
political party or a caucus of the state legislature may not make
contributions to the following candidates for state office and state
officials that exceed in the ag­gregate the amounts specified:

\(1\) A candidate for a state legislative office‑‑\$625 per primary,
general, or special election in which the candidate is on the ballot or
appears as a write‑in candidate.

\(2\) A candidate for a non‑legislative state office‑‑\$1,250 per
primary, general, or special election in which the candidate is on the
ballot or appears as a write‑in candidate.

\(3\) A state official in a state legislative office against whom recall
charges have been filed or a political committee having the expectation
of making ex­penditures in support of the recall of the state
official‑‑\$625 per recall campaign.

\(4\) A state official in a non‑legislative state office against whom
recall charg­es have been filed or a political committee having the
expectation of making ex­penditures in support of the recall of the state
official‑‑\$1,250 per recall cam­paign \[11\].

**b. Persons (Excluding Individuals).** A person other than an
individual, a bona fide political party, or a caucus of the state
legislature may not make con­tributions, excluding loans made in the
ordinary course of business, that exceed in the aggregate in a calendar
year (1) \$625 to a caucus of the state legislature or (2) \$3,200 to a
bona fide political party \[12\].

**c. Legislative Caucus Political Committees.** A caucus political
com­mittee may not make contributions to a candidate for state office
during an elec­tion cycle or to a state official against whom recall
charges have been filed or a political committee having the expectation
of making expenditures in support of the state official during a recall
campaign that exceed in the aggregate the pro­duct of \$.64 multiplied by
the number of registered voters in the jurisdiction from which the
candidate is elected \[13\].

**d. Political Party State Organizations.** The governing body of the
state organization of a political party may not make contributions to a
candidate for state office during an election cycle or to a state
official against whom recall charges have been filed or a political
committee having the expectation of mak­ing expenditures in support of
the state official during a recall campaign that exceed in the aggregate
the product of \$.64 multiplied by the number of regis­tered voters in
the jurisdiction from which the candidate is elected \[14\].

**e. Major Political Party County Central Committees.** A county cen­tral
committee of a major political party may not make contributions to a
can­didate for state office during an election cycle or to a state
official against whom recall charges have been filed or a political
committee having the expectation of making expenditures in support of
the state official during a recall campaign that exceed in the aggregate
the product of \$.32 multiplied by the number of regis­tered voters in
the jurisdiction from which the candidate is elected. The com­mittee may
make contributions up to the statutory limit only if it is not outside
of the jurisdiction entitled to elect the candidate or recall the state
official \[15\].

**f. Major Political Party Legislative District Committees.** A
legisla­tive district committee of a major political party may not make
contributions to a candidate for state office during an election cycle
or to a state official against whom recall charges have been filed or a
political committee having the expec­tation of making expenditures in
support of the state official during a recall campaign that exceed in
the aggregate the product of \$.32 multiplied by the number of
registered voters in the jurisdiction from which the candidate is
elect­ed. The committee may make contributions up to the statutory limit
only if it is not outside of the jurisdiction entitled to elect the
candidate or recall the state official \[16\].

**3. Contributions Accepted by Candidates and by State Officials,
Au­thorized Committees, and Political Committees in a Recall Campaign.**
Candidates for state office in elections and state officials against
whom recall charges have been filed, authorized committees of the
officials, and political committees having the expectation of making
expenditures in support of the re­call of a state official may not accept
combined contributions during an election cycle from all political party
legislative district committees and county central committees that in
the aggregate exceed the product of \$.32 multiplied by the number of
registered voters in the jurisdiction from which the candidate is
elect­ed \[17\].

**4. Restrictions on the Timing of Contributions.** Contributions made
to a candidate for state office with respect to a primary election may
not be made after the primary; however, contributions made be made to a
candidate or candidate's committee with respect to a primary under 30
days after the primary if (1) the candidate lost the primary, (2) the
candidate's authorized committee has insufficient funds to pay debts
outstanding as of the date of the primary, and (3) contributions are
only raised and spent to satisfy the outstanding debt \[18\]. A
contribu­tion received within the 12‑month period after a recall election
concerning a state office is considered to be a contribution during that
recall campaign if the contribution is used to pay a debt or obligation
incurred to influence the out­come of that campaign \[19\].

**B. Large Contributions Before a General Election.** No person may make
and no candidate or political committee may accept from any one person
contributions in the aggregate exceeding \$50,000 for any campaign for
statewide office or exceeding \$5,000 for any other campaign subject to
the Public Disclo­sure Act within 21 days of a general election. The
pre‑general‑election limita­tions are subject any more restrictive limits
on maximum contributions that may be made during an entire election
cycle or calendar year, but do not apply to contributions made by or
accepted from a bona fide political party, excluding the county central
committee or legislative district committee \[20\].

**C. Contributions by Out‑of‑State Corporations and Businesses.** A
cor­poration or business entity not doing business in the state may not
make report­able contributions, excluding loans made in the ordinary
course of business, to a candidate for state office, a state official
against whom recall charges have been filed, or a political committee
having the expectation of making expenditures in support of the recall
of the official. The corporation or business entity may not earmark or
otherwise direct a contribution to one of these recipients through a
political committee \[21\].

**D. Contributions by Labor Unions.** A labor union with fewer than 10
members who reside in the state may not make reportable contributions,
exclud­ing loans made in the ordinary course of business, to a candidate
for state office, a state official against whom recall charges have been
filed, or a political com­mittee having the expectation of making
expenditures in support of the recall of the official. The labor union
may not earmark or otherwise direct a contribution to one of these
recipients through a political committee \[22\].

**E. Contributions by Political Committees.** A political committee that
has not received contributions of \$10 or more from at least 10 persons
registered to vote in the state during the preceding 180 days may not
make reportable contri­butions, excluding loans made in the ordinary
course of business, to a candidate for state office, a state official
against whom recall charges have been filed, or a political committee
having the expectation of making expenditures in support of the recall
of the official. The political committee may not earmark or otherwise
direct a contribution to one of these recipients through another
political commit­tee \[23\].

**F. Attribution of Contributions (Including Loans).** Contributions are
to be attributed as follows:

\(1\) A contribution to the authorized political committee of a
candidate or of a state official against whom recall charges have been
filed is considered to be a contribution to the candidate or state
official.

\(2\) Contributions by a husband and wife are considered separate
contribu­tions.

\(3\) A contribution by an unemancipated child under 18 is considered a
con­tribution by their parents and is attributed proportionately to each
parent. Fifty percent of the each contribution is attributed to each
parent or, in the case of a single custodial parent, the total amount is
attributed to the parent.

\(4\) A contribution by a political committee with funds that have all
been con­tributed by one person who exercises exclusive control over the
distribution of the funds of the political committee is a contribution
by the controlling person.

\(5\) Two or more contributing entities are treated as a single entity
if one of the two or more entities is a subsidiary, branch, or
department of a corporation or a local unit, branch, or affiliate of a
trade association, labor union, or collec­tive bargaining association.

\(6\) A contribution made by a person or political committee whose
contribu­tion or expenditure activity is financed, maintained, or
controlled by a trade as­sociation, labor union, collective bargaining
organization, or the local unit or a trade association, labor union, or
collective bargaining organization is considered made by the same person
or entity.

\(7\) A contribution made by a person or entity, either directly or
indirectly, to a candidate, a state official against whom recall charges
have been filed, or a po­litical committee is considered to be a
contribution from that person or entity to the candidate, state
official, or political committee as is a contribution that is in any way
earmarked or otherwise directed through an intermediary or conduit to
the candidate, state official, or political committee. If a conduit or
intermediary exercises any direction or control over the choice of the
recipient candidate or state official, the contribution is considered to
be by both the original contribu­tor and the conduit or intermediary.

\(8\) A loan is considered to be a contribution from the maker and any
guaran­tor. The full amount of the loan is to be attributed to the lender
and to each guarantor \[24\].

An \"intermediary\" is an individual who transmits a contribution to a
candidate or committee from another person unless the contribution is
from the individu­al\'s employer, immediate family, or an association to
which the individual be­longs. A treasurer or a candidate is not an
intermediary for purpose of the committee that the treasurer or
candidate serves. A professional fundraiser is not an intermediary if
the fundraiser is compensated for fundraising services at the usual and
customary rate. A volunteer hosting a fundraising event at the
in­dividual\'s home is not an intermediary for purposes of that event
\[25\].

\"Earmarked\" means a designation, instruction, or encumbrance, whether
direct or indirect, expressed or implied, or oral or written, that is
intended to result in or does result in all or any part of a
contribution being made to a certain can­didate or state official \[26\].

**G. Contributions and Expenditures by Actual Identified Sources.** No
contribution may be made and expenditure incurred, directly or
indirectly, in a fictitious name, anonymously, or by one person through
an agent, relative, or other person in such a manner as to conceal the
identity of the source of the contribution or in any other manner so as
to effect concealment \[27\].

**H. Disposition of Accumulated Anonymous Contributions.** Accumulat­ed
anonymous contributions that total in excess of 1% of the total
accumulated contributions received to date in the current calendar year
or \$300, whichever is more, may not be deposited, used, or expended,
but must be returned to the donor if the donor\'s identity can be
ascertained. If the donor cannot be ascer­tained, the contribution
escheats to the state and must be paid to the state treas­urer for
deposit in the state general fund \[28\].

**I. Prohibited Acts by Employers and Labor Organizations.** An em­ployer
or labor organization may not increase the salary of an officer or
em­ployee or give an emolument to an officer, employee, or other person
or entity with the intention that the increase in salary, or the
emolument, or a part of it, be contributed or spent to support or oppose
a candidate, state official against whom recall charges have been filed,
political party, or political committee \[29\].

An employer or labor organization may not discriminate against an
officer or employee in the terms or conditions of employment for the
failure to contribute to, the failure in any way to support or oppose,
or in any way supporting or op­posing a candidate, ballot proposition,
political party, or political committee \[30\].

**J. Contributions Withheld From Wages or Salaries of Employees Upon
Request.** An employer or other person or entity responsible for the
dis­bursement of funds in payment of wages or salaries may not withhold
or divert a portion of an employee\'s wages or salaries for
contributions to political com­mittees or for use as political
contributions except upon the written request of the employee. The
request must be made on a form prescribed by the Public Disclosure
Commission informing the employee of the prohibitions of employer and
labor organization discrimination against officers or employees (*see*
Section III.I, *supra*). The request is valid for no more than 12 months
from the date it is made \[31\].

**K. Labor Organization Use of Agency Shop Fees Paid by Non‑Mem­bers.** A
labor organization may not use agency shop fees paid by an individual
who is not a member of the organization to make contributions or
expenditures to influence an election or to operate a political
committee, unless affirmatively authorized by the individual \[32\].

**L. Use of Public Office Facilities in Campaigns.** No state officer,
state employee, elective official, employee of the official\'s office,
or person appointed to or employed by any public office or agency may
use or authorize the use of any of the facilities of a public office or
agency, directly or indirectly, for the purpose of assisting a campaign
for election of any person to any office or for the promotion of or
opposition to any ballot proposition. Facilities of a public office or
agency include but are not limited to the use of stationery, postage,
machines, equipment, employees during working hours, vehicles, office
space, agency publications, and clientele lists of persons served by the
office or agency, but do not include activities that are part of the
normal and regular conduct of the office or agency \[33\].

**M. Actions to Induce Contributions by State Employees and Applicants
for Employment.** A state or local official or state or local
official\'s agent may not knowingly solicit, directly or indirectly, a
contribution to a candidate for public office, political party, or
political committee from an employee in the state or local official\'s
agency. A state or local official or public employee may not provide an
advantage or disadvantage to an employee or applicant for em­ployment in
the classified civil service concerning the applicant\'s or employee\'s
employment, conditions of employment, or application for employment
based on the employee\'s or applicant\'s contribution or promise to
contribute or failure to make a contribution or contribute to a
political party or committee \[34\].

**N. Personal Use of Contributions.** Contributions received and
reported in accordance with the campaign financing requirements may be
transferred to the personal account of a candidate, campaign treasurer,
or other individual or ex­pended for such individual\'s personal use only
for (1) reimbursement for or loans to cover lost earnings incurred as a
result of campaigning or services per­formed for the political committee,
(2) reimbursement for direct out‑of‑pocket election campaign and
post‑election campaign‑related expenses made by the in­dividual, and (3)
repayment of loans made by the individual to political commit­tees;
however, contributions may not be used to reimburse a candidate for
loans totaling more than \$3,800 made by the candidate to the
candidate\'s own political committee or campaign. To receive
reimbursement from a political committee for out‑of‑pocket expenses, the
individual must provide the committee with writ­ten documentation as to
the amount, date, and description of each expense, and the committee
must include a copy of this information when its expenditure for the
reimbursement is reported \[35\].

**O. Contributions and Loans by Written Instrument.** A loan to a
can­didate for public office or the candidate\'s political committee must
be by written agreement \[36\].

A person may not make a contribution of more than \$60, other than an
in‑kind contribution, except by a written instrument containing the name
of the donor and the name of the payee. A political committee may not
make any con­tribution, other than in‑kind, except by a written
instrument containing the name of the donor and the name of the payee
\[37\].

**P. Contributions in Currency.** A contribution of more than \$50 in
curren­cy may not be accepted unless a receipt signed by the contributor
and by the candidate, campaign treasurer, or deputy campaign treasurer
is prepared and made a part of the campaign\'s or political committee\'s
financial records \[38\].

**Q. Solicitation for or Payment of Compulsory Assessments or
Involun­tary Contributions.** Solicitation for or payment to any partisan
political organ­ization or for any partisan political purpose of any
compulsory assessment or in­voluntary contribution is prohibited;
however, the officers of an employee asso­ciation may solicit dues or
contributions from members of their association \[39\].

**R. Solicitation of Contributions on State or Political Subdivision
Prop­erty.** No person may solicit on state property or property of a
political subdivi­sion any contribution to be used for partisan political
purposes \[40\].

**S. Making and Solicitation of Contributions by or for Judges and
Judi­cial Candidates.** A judge or candidate for election to judicial
office should not solicit funds for or pay an assessment or make a
contribution to a political or­ganization or non‑judicial candidate.
Judges may not contribute to a a political party or political
organization. A candidate, including an incumbent judge, for a judicial
office that is filled by public election between competing candidates
should not solicit or accept campaign funds, but may establish
committees of re­sponsible persons to secure and manage the expenditure
of funds for the candi­date\'s campaign. A candidate\'s campaign
committee may solicit funds no earlier than 120 days from the date when
filing for the office sought is first permitted and no later than 30
days after the last election in which the candidate partici­pates during
the election year. A candidate should not use or permit the use of
campaign contributions for the private benefit of the candidate or
family mem­bers. The candidate should comply with all laws requiring
disclosure of cam­paign finances \[41\].

**T. Contributions to a Candidate for Insurance Commissioner.** No
in­surer or fraternal benefit society doing business in the state may
directly or indi­rectly pay, use, or offer, consent, or agree to pay or
use any money or thing of value for or in aid of any candidate for the
office insurance commissioner. The reimbursement or indemnification of
any person for money or property used for this purpose is also
prohibited \[42\].

**U. Solicitation or Acceptance of Contributions Before, During, and
Af­ter Legislative Session.** A state official or a person employed by or
acting on behalf of a state official or state legislator may not solicit
or accept contributions to a public office fund or a candidate or
authorized committee or to retire a campaign debt during the period
beginning on the 30th day before the date a regular legislative session
convenes and continuing 30 days past the date of final adjournment or
during the period beginning on the date a special legislative ses­sion
convenes and continuing through the date that session adjourns \[43\].

**V. Contributions Through Intermediaries.** A person, other than an
indi­vidual, may not be an intermediary or an agent for a contribution
\[44\].

An individual may not make a contribution on behalf of another person or
entity or while acting as the intermediary or agent of another person or
entity without disclosing to the recipient of the contribution the
agent\'s or interme­diary\'s full name, street address, occupation, name
of employer, if any, or place of business if self‑employed, and the same
information for each contributor for whom the individual serves as agent
or intermediary \[45\].

**W. Reimbursement for Contributions.** A person may not, directly or
indi­rectly, reimburse another person for a contribution to a candidate
for public of­fice, political committee, or political party \[46\].

**X. Solicitation for Endorsements or Other Communications in News
Media.** A person may not solicit from a candidate for public office,
political committee, political party, or other person money or other
property as a condi­tion or consideration for an endorsement, article, or
other communication in the news media promoting or opposing a candidate
for public office, political com­mittee, or political party \[47\].

**Y. Use of Contributions by Candidate or Candidate\'s Political
Com­mittee for Candidacy for an Office Not in Statement of
Organization.** A candidate for public office or the candidate\'s
political committee may not use or permit the use of contributions,
whether or not surplus, solicited for or received by the candidate or
committee to further the candidacy of the individual for an office other
than the office designated on the statement of organization without the
written approval of the contributor. A contribution solicited for or
received on behalf of the candidate is considered solicited or received
for the candidacy for which the individual is then a candidate if the
contribution is solicited or re­ceived before the general elections for
which the candidate is a nominee or is unopposed. If the contributor
does not approve the use of his or her contribu­tion to further the
candidacy of the individual for an office other than the office
designated on the statement of organization at the time of the
contribution, the contribution must be considered surplus funds and
disposed of in a statutorily authorized manner \[48\].

**IV. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** An \"expenditure is a payment,
contribution, subscription, distribution, loan, advance, deposit, or
gift of money or anything of value and a contract, promise, or
agreement, whether or not legally enforceable, to make an expenditure.
The term \"expenditure\" also includes a promise to pay, a payment of,
or a transfer of anything of value in exchange for goods, services,
property, facilities, or anything of value for the purpose of assisting,
benefiting, or honoring any public official or candidate or assisting in
furthering or opposing any election campaign, but does *not* include the
partial or complete repayment by a candidate or political committee of
the principal of a loan whose receipt has been properly reported \[49\].

**B. Attribution of Expenditures.** If a candidate or a political
committee advises, counsels, or otherwise knowingly encourages any
person to make an expenditure that if made by the candidate or committee
must be reported and that was made for the purpose of avoiding direct
contributions or for any other reason, the person making the expenditure
is considered an agent of the can­didate or committee encouraging the
expenditure and the expenditure is consid­ered to be an expenditure of
the candidate or committee \[50\].

An expenditure made by a person in cooperation, consultation, or concert
with or at the request or suggestion of a candidate, a political
committee, or an agent of a candidate or political committee is
considered to be a contribution to the candidate or political committee
that is subject to the maximum contribution limits \[51\].

An expenditure made on behalf of a candidate or political committee by
any person, agency, firm, or organization employed or retained for the
purpose of organizing, directing, managing, or assisting the
candidate\'s or committee\'s ef­forts is deemed to be an expenditure by
the candidate or committee and must be reported by the candidate or
committee as if made or incurred by the candidate or committee directly
\[52\].

**C. Expenditures to Communicate Ratings and Endorsements.** Any per­son
making a measurable expenditure of funds to communicate a rating,
evalua­tion, endorsement, or recommendation for or against a candidate or
ballot prop­osition, other than news, feature, or editorial comment in a
regularly scheduled issue of a printed periodical, must report the
expenditure, including all costs of preparation and distribution, in
accordance with the campaign financing law. A candidate or sponsor of a
ballot proposition or political committee that is the subject of the
rating, evaluation, endorsement, or recommendation is not re­quired to
report the expenditure as a contribution unless the candidate, sponsor,
or committee or its agent advises, counsels, or otherwise encourages the
person or committee to make the expenditure \[53\].

**D. Expenditures in Currency.** No expenditure of more than \$50 may be
made in currency unless a receipt signed by the recipient and the
candidate or campaign treasurer is prepared and made a part of the
campaign\'s or political committee\'s records \[54\].

**V. REPORTING REQUIREMENTS**

**A. Persons Required to Report.** The provisions of the Public
Disclosure Act relating to the financing of election campaigns, but not
to the reporting of financial affairs, apply in all election campaigns
other than for precinct commit­tee officer, for a federal elective
office, and for an office of a political subdivi­sion that does not
encompass a whole county and that contains fewer than 5,000 registered
voters as of the date of the most recent general election in the
politi­cal subdivision \[55\].

The reporting provisions of the Public Disclosure Act do not apply to
(1) can­didates, elected officials, and agencies in political
subdivisions with less than 1,000 registered voters as of the most
recent general election in the jurisdiction, (2) political committees
formed to support or oppose candidates or ballot propo­sitions in such
political subdivisions, or to persons making independent expen­ditures in
support of or opposition to such ballot propositions; however, a per­son
exempted from reporting may at his option file the statements and
reports. These exemptions do not apply in any exempt political
subdivision (1) from which a \"petition for disclosure\" containing the
valid signatures of 15% of the registered voters is filed with the
Public Disclosure Commission or (2) that by or­dinance, resolution, or
other official action has petitioned the Commission to make the
reporting provisions applicable to the exempt political subdivision and
has sent a copy of the action to the Commission. Upon receipt of a valid
voters\' petition or approval of an official action, the Commission is
required to order every known affected person in the political
subdivision to file the initially re­quired statement and reports within
14 days of the date of the order \[56\].

**B. Method and Timeliness of Reporting.** When any application, report,
statement, notice or payment required to be made has been deposited
postpaid in the U.S. mail properly addressed, it is deemed to have been
received on the date of mailing. It is presumed that the date shown by
the post office cancella­tion mark on the envelope is the date of
mailing. When a report is filed elec­tronically with the Public
Disclosure Commission, it is deemed to have been re­ceived on the file
transfer date. The Commission must notify the filer by mail, facsimile,
or electronic mail of its receipt of the electronically filed report.
Electronic filing but not mail filing may be used for the purposes of
filing special late contribution reports \[57\].

The Commission must make available to every candidate, public official,
political committee, party organization, lobbyist, and lobbyists'
employer required to file reports under the Public Disclosure Act the an
electronic filing alternative for filing designated reports, including
but not limited to filing by diskette, modem, satellite, or internet. An
electronic copy of the appropriate reporting forms must be provide at no
charge \[58\].

Each candidate or political committee that expended \$25,000 or more in
the preceding year or expects to expend \$25,000 or more in the current
year must file all required contribution reports and expenditure reports
by the electronic alternative provided by the Commission; however, the
Commission may make exceptions on a case-by-case basis for candidates
whose authorized committees lack the technological ability. Beginning
January 1, 2004, the threshold amount for mandatory use of the
electronic alternative is reduced to \$10,000 \[59\].

Effective January 1, 2002, a report that is filed with the Public
Disclosure Commission electronically need not also be filed with the
county auditor or elections officer \[60\].

If a city requires candidates or committees for city offices to file
reports with a city agency, the candidate or treasurer so filing need
not also file with the county auditor or elections officer \[61\].

**C. Political Committee Statement of Organization.** Within two weeks
af­ter its organization or within two weeks after the date when it first
has the ex­pectation of receiving contributions or making expenditures in
any election cam­paign, whichever is earlier, a political committee must
file a statement of organi­zation with the Public Disclosure Commission
and with the county auditor or elections officer of the county in which
the candidate resides or, in the case of any other political committee,
the county in which the campaign treasurer re­sides. A political
committee organized within three weeks of an election and having the
expectation of receiving contributions or making expenditures during and
for that election campaign is required to file a statement of
organization within three business days after its organization or when
it first has the expecta­tion of receiving contributions or making
expenditures in the election campaign \[62\].

A \"political committee\" is any person, except a candidate or an
individual deal­ing with his or her own funds or property, having the
expectation of receiving contributions or making expenditures in support
of or in opposition to any can­didate or ballot proposition \[63\].

A \"person\" is an individual, partnership, joint venture, public or
private corpo­ration, association, federal, state, or local governmental
entity or agency howev­er constituted, candidate, committee of a party,
or any other organization or group of persons however organized \[64\].

A candidate may not knowingly establish, use, direct, or control more
than one political committee for the purpose of supporting that
candidate during a particular election campaign; however, this does
prohibit (1) in addition to a candidate\'s having his or her own
political committee, the candidate\'s participa­tion in a political
committee established to support a slate of individuals that in­cludes
the candidate or (2) joint fundraising efforts by candidates when a
sepa­rate political committee is established for that purpose and all
contributions are disbursed to and accounted for on a pro rat basis by
the benefiting candidates \[65\].

The statement of organization is to include but is not limited to (1)
the name and address of the committee (2) the names and addresses of all
related or affil­iated committees or other persons and the nature of the
relationship or affilia­tion, (3) the names, addresses, and titles of its
officers or, if it has no officers, the names, addresses, and titles of
its responsible leaders, (4) the name and ad­dress of its campaign
treasurer and campaign depository, (5) a statement wheth­er the committee
is a continuing one, (6) the name, office sought, and party affil­iation
of each candidate whom the committee is supporting or opposing and, if
the committee is supporting the entire ticket of any party, the name of
the party, (7) the ballot proposition concerned, if any, and whether the
committee is in favor of or opposed to the proposition, (8) what
distribution of surplus funds will be made in the event of dissolution,
(9) the appointment contact and the street address of the place and the
hours during that the committee will make available for public
inspection its books of account and all reports of contributions and
expenditures filed, and (10) such other information as the Commission
may prescribe by regulation. Any material change in the information
previously submitted in a statement of organization must be reported to
the Commission and to the appropriate county elections officer within
the 10 days following the change \[66\].

**D. Designation of Campaign Treasurer and Campaign Depository.** Each
candidate, within two weeks after becoming a candidate, and each
political committee, at the time it is required to file a statement of
organization, must designate and file with the Public Disclosure
Commission and the appropriate county elections officer the names and
addresses of one legally competent indi­vidual, who may be the candidate,
to serve as a campaign treasurer and a bank, mutual savings bank,
savings and loan association, or credit union doing business in the
state to serve as campaign depository, as well as the name of each
account maintained in the depository. A campaign treasurer, deputy
campaign treasurer, or campaign depository is not in compliance with the
Public Disclosure Act until the names and addresses are filed with the
Public Disclosure Commission and the appropriate county elections
officer \[67\].

A candidate, political committee, or campaign treasurer may appoint as
many deputy campaign treasurers as is considered necessary and may
designate not more than one additional campaign depository in each other
county in which the campaign is conducted. The candidate or committee
must file the names and addresses of the deputy campaign treasurers and
additional campaign deposi­tories with the Public Disclosure Commission
and the appropriate county elec­tions officer \[68\].

A candidate or political committee may at any time remove a campaign
treas­urer or deputy campaign treasurer or change a designated campaign
depository. In the event of the death, resignation, removal, or change
of a campaign treasur­er, deputy campaign treasurer, or depository, the
candidate or political commit­tee is required to designate and file with
the Commission and the appropriate county elections officer the name and
address of any successor \[69\].

All monetary contributions received by a candidate or political
committee are to be deposited by the campaign treasurer or deputy
campaign treasurer in a campaign depository in an account established
and designated for that purpose within 5 business days of receipt.
Political committees that support or oppose more than one candidate or
ballot proposition or exist for more than one pur­pose may maintain
multiple separate bank accounts within the same designated depository
for each purpose, but each account must bear the same name fol­lowed by
an appropriate designation that accurately identifies its separate
pur­pose. Transfers of funds that must be reported on a report of
contributions and expenditures may not be made from more than one of the
accounts \[70\].

No expenditures may be made or incurred by any candidate or political
com­mittee except on the authority of the campaign treasurer or the
candidate, and a record of all expenditures must be maintained by the
campaign treasurer \[71\]. The campaign treasurer or candidate must also
maintain books of account accu­rately reflecting all contributions and
expenditures on a current basis within 5 business days of receipt or
expenditure; however, during the 8 days immediately preceding the date
of an election, the books of account must be kept current within one
business day. The campaign treasurer or candidate must preserve books of
account, bills, receipts, and all other financial records of the
campaign or political committee for not less than 5 calendar years
following the year dur­ing which the transaction occurred. The books of
account must be available for public inspection as specified in the
committee's statement of organization: (1) for at least two consecutive
hours between 8 a.m. and 8 p.m.on the 8^th^ day before an election
(7^th^ day if the 8^th^ is a legal holiday) and (2) by appointment for
inspection between 8 a.m. and 8 p.m. from the 7^th^ day through the day
before an election, excluding Saturday, Sunday, or a legal holiday
\[72\].

**E. Reports of Contributions and Expenditures**

**1. Full Reporting by a Candidate or Political Committee.** A candidate
or political committee that does not qualify and elect to be exempted
from the requirements of regular, full reporting must submit reports of
contributions and expenditures according to the following schedule
\[73\]:

\(1\) ***Initial Report***. On the day the campaign treasurer is
designated, each candidate or political committee must file a report of
all contributions received and expenditures made prior to that date, if
any, with the Public Disclosure Commission and the county auditor or
elections officer of the county in which the candidate resides or, in
the case of a political committee, the county in which the campaign
treasurer resides, in addition to any required statement of organi­zation
\[74\].

\(2\) ***Pre‑ and Post‑Election Reports***. Each campaign treasurer must
file subsequent reports of contributions and expenditures with the
Commission and the county auditor or elections officer of the county in
which the candidate re­sides or, in the case of a political committee,
the county in which the campaign maintains its office or headquarters
(or if there is no office or headquarters, then in the county in which
the campaign treasurer resides) on the 21sat day and the 7th day
immediately preceding the date of the election and on the 10th day of
the first month after the election; however, a post‑election report is
not required following a primary election from a candidate whose name
will appear on the subsequent general election ballot or from a
continuing political committee \[75\].

The report filed 21 days before the election must report all
contributions re­ceived and expenditures made as of the end of the 5th
business day before the date of the report. The report filed 7 days
before the election must report all contributions received and
expenditures made as of the end of one business day before the date of
the report. The report filed on the 10th day of the first month after
the election must report all contributions received and expenditures
made from the closing date of the last report filed through the last day
of the preceding month \[76\].

\(3\) ***Monthly Reports***. Each campaign treasurer must file a report
on the 10th day of each month in which no other reports are required if
the total con­tributions received or total expenditures made since the
last report exceed \$200. The report must disclose all contributions
received and expenditures made from the closing date of the last report
filed through the last day of the month preced­ing the date of the
current report \[77\].

\(4\) ***Final Report***. When there is no outstanding debt or
obligation, the cam­paign fund is closed, the campaign is concluded in
all respects, and, in the case of a political committee, the committee
has ceased to function and has dissolved, the campaign treasurer must
file a final report. Upon submitting a final report, the duties of the
campaign treasurer cease and there is no obligation to make further
reports \[78\].

Each report of contributions and expenditures must disclose the
following in­formation:

\(1\) The funds on hand at the beginning of the period.

\(2\) The name and address of each person who has made one or more
contri­butions during the period, together with the money value and date
of the contri­butions and the aggregate value of all contributions
received from each such person during the campaign or, in the case of a
continuing political committee, the current calendar year; however,
contributions of no more than \$25 in the aggregate from any one person
during the election campaign may be reported as one lump sum so long as
the campaign treasurer maintains a separate and pri­vate list of the
name, address, and amount of each such contributor. In‑kind
contributions to a candidate or political committee subject to statutory
contribu­tion limits from any person valued at more than \$25 in the
aggregate during the election cycle or year for political committees are
reportable. The occupation and name and address of the employer of each
person who has made one or more contributions in the aggregate amount of
\$100 or more. Pledges in the aggregate of less than \$100 from any one
person need not be reported. Income resulting from a low‑cost
fundraising activity may be reported as one lump sum, with the exception
of that portion of the income received from persons who paid more than
\$50 in the ag­gregate. The money value of contributions of postage is
the face value of the postage.

\(3\) Each loan, promissory note, or security instrument to be used by
or for the benefit of the candidate or political committee made by any
person, together with the names and addresses of the lender and each
person liable directly, indi­rectly, or contingently and the date and
amount of each such loan, promissory note, or security instrument.

\(4\) All other contributions not otherwise listed or exempted.

\(5\) The name and address of each candidate or political committee to
which any transfer of funds was made, together with the amounts and
dates of such transfers.

\(6\) The name and address of each person to whom an expenditure was
made or for whose benefit an in‑kind expenditure was made in the
aggregate amount of more than \$50 during the period covered by the
report and the amount, date, and purpose of each such expenditure.

\(7\) The name and address of each person to whom any expenditure was
made directly or indirectly to compensate the person for soliciting or
procuring signatures on an initiative or referendum petition, the amount
of the compensa­tion to each person, and the total of the expenditures
made such purpose.

\(8\) The name and address of any person and the amount for any debt,
obliga­tion, note, unpaid loan, or other liability in the amount of more
than \$250 or in the amount of more than \$50 that has been outstanding
for over 30 days.

\(9\) The surplus or deficit of contributions over expenditures.

\(10\) The disposition made of any surplus funds.

\(11\) Other information as required by rule of the Public Disclosure
Commission.

\(12\) Funds received from a political committee not domiciled in the
state and not otherwise required to report (out‑of‑state and federal
PACs) \[79\].

All reports of contributions and expenditures must be certified as
correct by the candidate and campaign treasurer \[80\].

**2. Special Requirements for Continuing Political Committees.** A
con­tinuing political committee, which is a political committee that is
an organization of continuing existence not established in anticipation
of any particular election, is required to file and report on the same
conditions and at the same times as any other political committee and
must meet the following additional reporting requirement. A continuing
political committee must file a report on the 10th day of the month
detailing its activities for the preceding calendar month in which the
committee has received a contribution or made an expenditure if eith­er
the total contributions received or total expenditures made since the
last re­port exceed \$200. This activities report is to be filed with the
Public Disclosure Commission and, if the report is not filed
electronically with the Commission, with the auditor or elections
officer of the county in which the com­mittee maintains its office or
headquarters or, if there is no office or headquar­ters, in the county in
which the committee treasurer resides \[81\].

This report must include (1) the information required in a report of
contribu­tions and expenditures to be filed by a candidate or political
committee; (2) each expenditure made to retire previously accumulated
debts of the committee and identified by recipient, amount, and date of
payment; and (3) such other infor­mation as the Commission may prescribe
by rule. All reports must be certified as correct by the campaign
treasurer \[82\].

If a continuing political committee makes a contribution in support of
or in opposition to a candidate or ballot proposition within 60 days
prior to the date on which the candidate or ballot proposition will be
voted upon, the committee must file the pre‑ and post‑election reports
of contributions and expenditures required to be filed by other
political committees \[83\].

A continuing political committee that is not organized to support or
oppose a particular candidate must submit required reports of total
contributions and ex­penditures based on a calendar year or upon the
basis of a fiscal year if the Public Disclosure Commission expressly
authorizes the fiscal‑year method. The re­port filed by such a continuing
political committee covering January or the first month thereafter for
which a report of contributions and expenditures would otherwise be
required must contain in summary the following items remaining at the
end of the year: (1) funds on hand, (2) total of outstanding pledges,
(3) unpaid loans and outstanding obligations, and (5) pledges given to
others but not yet paid \[84\].

Each candidate, political committee, and continuing political committee
organ­ized to support or oppose a particular candidacy or ballot
proposition must re­port total contributions and expenditures for the
period beginning at the time the person becomes a candidate or when the
committee is organized, whichever is earlier, and ending when the
candidacy or committee is terminated \[85\].

A continuing political committee must file required reports until it is
dissolved, at which time a final report must be filed. Upon submitting a
final report, the duties of the campaign treasurer cease and there is no
obligation to make any further reports \[86\].

**3. Mini Campaign Reporting.** A candidate or candidate's authorized
committee and a political commit­tee (including a continuing political
committee) may elect to observe mini campaign reporting (i.e., no
reporting of contributions and expenditures) rather than regular, full
campaign reporting in any election campaign in which neither the
aggregate contributions received nor the aggregate expenditures made by
the candidate/candidate's authorized committee or the political
committee exceed \$3,500 (plus, in the case of a candidate, the amount
of the candidate's filing fee) and no aggregate contribution from any
source (other than the candidate\'s personal resources) exceeds \$300
\[87\]. A continuing political committee may elect to observe mini
campaign re­porting when neither the aggregate contributions nor the
aggregate expenditures during a calendar year exceed \$3,500 and no
aggregate contribution from any person exceeds \$300 \[88\]. The terms
\"any source\" and \"any person\" do not in­clude a fundraising activity,
and candidates and committees using mini campaign reporting are not
limited to receiving \$300 from a fundraising event if the profit
realized from any person does not exceed \$300 from all fundraising
events dur­ing a campaign or calendar year \[89\].

The reporting exemptions allowed for abbreviated campaign reporting may
be granted to a candidate, political committee, or continuing political
commitee if the following conditions are met:

\(1\) *Candidate.* A candidate must file a registration statement (C-1)
with the Public Disclosure Commission and his or her county elections
office within 14 days of first (a) receiving contributions, making
expenditures, reserving space or facilities, or purchasing commercial
advertising space or broadcast time to promote his or her candidacy or
giving his or her consent to another person to take such action on
behalf of the candidate or (b) announcing publicly or filing a
declaration of candidacy with the appropriate elections official.

\(2\) *Political Committee (Including a Continuing Political
Committee).* A political committee must file a registration statement
(C-1PC) with the Commission and the appropriate county elections office
within 14 days after its organization or after the date when it first
has the expectation of receiving contributions or making expenditures in
any election campaign, whichever is earlier. The registration statement
must declare that the political committee will not exceed the
contribution or expenditure limits for mini campaign reporting .

\(3\) *Continuing Political Committee.* A continuing political committee
also must file a registration statement (C-1PC) annually between January
1^st^ and 31^st^ for each year in which the committee intends to use the
mini reporting system. Failure to file a new registration statement
during January will automatically terminate the committee's entitlement
to use the mini reporting system until such time as a new registration
statement is filed \[90\].

A political committee files with the elections office of the county in
which the treasurer resides; if the treasurer resides out of state, the
political committee files with the elections office of Thurston County.
A continuing political committee files with the elections office of the
county in which the committee's in-state office or headquarters is
located. If there is no in-state office or headquarters, the committee
files with the elections office of the county in which the committee
treasurer resides or, if the treasurer resides out of state, with the
elections office of Thurston County \[91\].

A candidate or political committee must keep current records in
sufficient detail to allow the candidate or political committee to make
reports of contributions and expenditures otherwise required in the
event that the filing of full reports becomes necessary as a result of
exceeding the contribution or expenditure limitation for mini campaign
reporting. During the 8 days immediately preceding the date of the
election, the candidate or political committee treasurer must maintain
records of contribu­tions and expenditures current within one business
day \[92\].

Whenever there is reason to believe that any of the limitations on
contributions or expenditures for the use of mini campaign reporting
will or may be exceeded, the candidate or committee may apply to the
Public Disclosure Commission for authorization to change reporting
options. If the applica­tion is made more than 30 days prior to the date
of the election, the application is considered approved without further
action by the Commission if the person making application submits (1) a
properly completed registration statement (PDC form C-1 or
C-1PC)indi­cating the intention of using the full reporting system, (2) a
properly completed report of contributions and expenditures (Forms C-3
and C-4) with appropriate schedules disclosing all contributions and
expenditures reportable for the election campaign or, in the case of a
continuing political committee, for the calendar year, and (3) a
state­ment affirming that all known candidates for the office being
sought have been notified personally of the application and stating the
manner and date of the no­tification or, in the case of a ballot
proposition, that the committee treasurer of all committees identifiable
from the records of the county elections officer or Commission to be
opposing or supporting the proposition have been notified personally of
the application and stating the manner and date of the notification. If
the application is made within 30 days of the date of the election, the
applica­tion may be approved only by authorization of the Commission
executive direc­tor. If one candidate or committee is approved to change
reporting options, all other candidates and committees in the same
election campaign may change reporting options by the meeting the three
requirements \[93\].

**F. Pre‑Election Report of Contributions.** For the period beginning
the 1st day of the 4th month preceding the date of a special or general
election and ending on the date of the election, a campaign treasurer
must file each Friday with the Public Disclosure Commission and the
appropriate county elections of­ficer a report of each bank deposit made
during the previous 7 calendar days. Monetary contributions must be
deposited within 5 business days of receipt. The report must contain the
name and address of each person contributing the funds deposited, except
for a contribution of not more than \$25 in the aggregate from any one
person, and the amount contributed by each person \[94\].

**G. Report of Large Contributions.** A campaign treasurer must prepare
and deliver to the Public Disclosure Commission a special report
regarding any contribution exceeding \$1,000 in the aggregate from a
single person or entity that is received before a primary or general
election and after the period covered by the last report required to be
filed before that primary election or within 21 days preceding that
general election. A political committee, as well as a regis­tered
lobbyist, a person who lobbies, and a lobbyist\'s employer, making a
con­tribution that exceeds \$1,000 in the aggregate also must prepare and
deliver to the Commission the special report if the contribution is made
before a primary or general election and after the period covered by the
last report required to be filed before that primary election or within
21 days preceding that general elec­tion \[95\].

The special report must include at least the amount of the
contribution(s), the date of receipt, the name and address of the donor,
the name and address of the recipient, and any other information the
Commission may by rule require \[96\].

The special report must be delivered electronically or in written form
(includ­ing but not limited to a mailgram, telegram, nightletter, or
facsimile) to the Public Disclosure Commission; however, the report may
be transmitted orally by tel­ephone to the Commission to satisfy the
delivery period if the written form of the report is also mailed to the
Commission and postmarked within the estab­lished delivery period or the
file transfer date of the electronic filing is within the established
delivery period. The special report by a campaign treasurer must be
delivered to the Commission within 48 hours of the time the contribu­tion
is received by the candidate or campaign treasurer or on the first
working day thereafter. The report by a political committee, a
regis­tered lobbyist, a person who lobbies, or a lobbyist\'s employer
must be delivered to the Commission and to the candidate or political
committee to whom the contribu­tion is made within 24 hours of the time
the contribution is made or on the first working day thereafter \[97\].

**H. Report of Earmarked Contributions.** A candidate or political
commit­tee receiving a contribution earmarked for the benefit of another
candidate or political committee, in addition to reporting the
contribution in a report of con­tributions and expenditures, must (1)
complete a report entitled \"earmarked con­tributions,\" which identifies
the name and address of the person who made the contribution, the
candidate or political committee for whose benefit the contri­bution is
earmarked, the amount of the contribution, and the date on which the
contribution was received and (2) notify the Public Disclosure
Commission and the candidate or political committee for whose benefit
the contribution is ear­marked by mailing or delivering to the Commission
and to the candidate or committee a copy of the \"earmarked
contributions\" report. This notice must be given within two working
days of receipt of the contribution. A candidate or political committee
receiving notification of an earmarked contribution must re­port the
contribution, once the contribution is received by the benefited
can­didate or committee, in the same manner as the receipt of any other
contribu­tion is disclosed in reports of contributions and expenditures
\[98\].

**I. Notice of Investment of Campaign Funds.** A candidate or political
committee may invest funds on hand in a campaign depository in bonds,
certifi­cates, savings accounts, or other similar savings instruments in
financial institu­tions other than the campaign depository; however, the
Public Disclosure Commission and the appropriate county elections
officer must be notified in writing of the initiation and the
termination of the investment. The principal of the in­vestment when
terminated, together with all interest, dividends, and income de­rived
from the investment, must be deposited in the campaign depository in the
account from which the investment was made and be properly reported
prior to any further disposition or expenditure \[99\].

**J. Report of Contributions to and Expenditures by an Out‑of‑State or
Federal Political Committee**. Funds received from a political committee
not domiciled in the state or not otherwise required to report must be
forfeited to the state unless within 10 days following receipt of the
funds the non‑reporting committee files with the Public Disclosure
Commission a statement disclosing:

\(1\) Its name and address.

\(2\) The purposes of the non‑reporting committee.

\(3\) The names, addresses, and titles of its officers or, if it has no
officers, the names, addresses, and titles of its responsible leaders.

\(4\) The name, office sought, and party affiliation of each candidate
in the state whom the non‑reporting committee is supporting and, if the
committee is supporting the entire ticket of any party, the name of the
party.

\(5\) The ballot proposition supported or opposed in the state, if any,
and whether the committee is in favor of or opposed to the proposition.

\(6\) The name and address of each person residing in the state or
corporation that has a place of business in the state that has made one
or more contributions in the aggregate of more than \$25 to the
non‑reporting committee during the current calendar year, together with
the money value and date of the contribu­tions.

\(7\) The name and address of each person in the state to whom an
expendi­ture was made by the non‑reporting committee on behalf of a
candidate or polit­ical committee in an aggregate amount of more than
\$50, the amount, date, and purpose of the expenditure, and the total
sum of such expenditures.

\(8\) Such other information as the Commission may by rule prescribe
\[100\].

A non‑reporting committee incurring an obligation to file additional
reports in a calendar year may satisfy the obligation by filing with the
Commission a letter providing updating or amending information \[101\].

**K. Report of Independent Expenditures.** Within 5 days after the date
of making an independent expenditure (*see* Section II.C, *supra*) that
by itself or when added to all other such independent expenditures made
during the same election campaign by the same person equals \$100 or
more or within 5 days af­ter the date of making an independent
expenditure for which no reasonable es­timate of monetary value is
practicable, whichever occurs first, the person who made the expenditure
must file an initial report of all independent expenditures made during
the campaign prior to and including such date. The report is to be filed
with the Public Disclosure Commission and the county elections officer
of the county of residence for the candidate supported or opposed by the
inde­pendent expenditure or, in the case of an expenditure made in
support of or in opposition to a local ballot proposition, the county of
residence for the person making the expenditure \[102\].

If the reporting person made an independent expenditure after the date
of the last report, a further report is required to be filed on the 21st
day and 7th day preceding the election, on the 10th day of the first
month after the election, and on the 10th day of each month in which no
other reports are required to be filed. The report filed after the
election is the final report, and upon submission of the final report,
the duties of the reporting person cease \[103\].

Each report must disclose for the period beginning at the end of the
period for the previous report filed or, in the case of an initial
report, beginning at the time of the first independent expenditure and
ending not more than one business day prior to the date the report is
due the following information: (1) the name and address of the person
filing the report, (2) the name and address of each person to whom an
independent expenditure was made in the aggregate amount of more than
\$50 and the amount, date, and purpose of each expenditure; however, if
no reasonable estimate of the monetary value of a particular independent
ex­penditure is practicable, it is sufficient to report instead a precise
description of the services, property, or rights furnished through the
expenditure and, where appropriate, to attach a copy of the item
produced or distributed by the expendi­ture (3) the total sum of all
independent expenditures made during the campaign to date and (4) such
other information as may be required by the Commission by regulation
\[104\].

**L. Report of Large Political Advertising Independent Expenditure.**
The sponsor of political advertising who with 21 days of an election
publishes, mails, or otherwise presents to the public political
advertising supporting or opposing a candidate or ballot proposition
that qualifies as an independent expenditure with a fair market value of
one thousand dollars or more must deliver, either electronically or in
written form, a special report to the Commission within 24 hours of or
on the first working day after the date the political advertising was
first published, mailed, or otherwise presented to the public. The
Commission may determine, however, these reports of political
advertising independent expenditures satisfy the requirements for
regular independent-expenditure reporting (*see* Section IV.K, *supra*)
\[105\].

The sponsor also must deliver to the Commission a special report for
each subsequent independent expenditure of any size supporting or
opposing the same candidate who was the subject of the previous
independent expenditure supporting or opposing that candidate\'s
opponent or supporting or opposing the same ballot proposition that was
the subject of the previous independent expenditure. The subsequent
reports must be delivered, either electronically or in written form,
within 24 hours of or on the first working day after the date the
subsequent political advertising first published, mailed, or otherwise
presented to the public \[106\].

The special reports must include at least (1) the name and address of
the person making the expenditure, (2) the name and address of the
person to whom the expenditure was made, (3) a detailed description of
the expenditure (4) the date the expenditure was made and the date the
political advertising was first published or otherwise presented to the
public, (5) the amount of the expenditure, (6) either (a) the name of
the candidate supported or opposed by the expenditure, the office being
sought by the candidate, and whether the expenditure supports or opposes
the candidate or (b) the name of the ballot proposition supported or
opposed by the expenditure and whether the expenditure supports or
opposes the ballot proposition, and (7) any other information the
Commission may require by rule \[107\].

The sponsor of independent expenditures supporting a candidate or
opposing that candidate\'s opponent also must file with each required
report an affidavit or declaration of the person responsible for making
the independent expenditure that the expenditure was not made in
cooperation, consultation, or concert with, or at the request or
suggestion of, the candidate, the candidate\'s authorized committee, or
the candidate\'s agent or with the encouragement or approval of the
candidate, the candidate\'s authorized committee, or the candidate\'s
agent \[108\].

**L. Report of Mass Mailing of Political Advertising Paid by Independ­ent
Expenditure.** A person or entity other than a party organization making
an independent expenditure (*see* Section II.C, *supra*) by mailing
1,000 or more identical or nearly identical cumulative pieces of
political advertising in a single calendar year must, within two working
days after the date of the mailing, file a statement disclosing the
number of pieces in the mailing and an example of the mailed political
advertising with the election officer of the county or residence for the
candidate supported or opposed by the independent expenditure or, in the
case of an expenditure made in support of or in opposition to a ballot
propo­sition, the county of residence for the person making the
expenditure \[109\].

**M. Annual Report of Lobbyist Employers and Persons Other Than
In­dividuals Making Large Aggregate Contributions or Independent
Expen­ditures in a Calendar Year.** Every employer of a lobbyist and
person other than an individual that makes contributions aggregating
more than \$12,500 or independent expenditures (*see* Section II.C.2,
*supra*) aggregating more than \$625 in a calendar year is required to
file a financial disclosure report with the Public Disclosure Commission
by the last day of February of the following year \[110\].

The annual report is to disclose, in addition to other information, the
following election‑related information:

\(1\) All contributions made to a political committee supporting or
opposing a candidate for state office or to a political committee
supporting or opposing a statewide ballot proposition, the name and
address of the recipient, and the ag­gregate amount contributed.

\(2\) The name, office sought, and party affiliation of candidates for
state offic­es supported or opposed by independent expenditures, and the
amount of each expenditure.

\(3\) The identifying proposition number and a brief description of any
state­wide ballot proposition supported or opposed by expenditures not
reported as contributions, and the amount of each expenditure \[111\].

**N. Monthly Report of Lobbyists.** A registered lobbyist or person who
lobbies is to submit monthly reports of expenditures for lobbying
activities made or incurred by the lobbyist or on behalf of the lobbyist
or the lobbyist\'s employ­er. The monthly report is to be filed with the
public service commission within 15 days after each calendar month
covered by a report. Each report is to in­clude, in addition to other
information, the totals of expenditures segregated by financial
category, including contributions, and an itemized listing of
expen­ditures in the nature of contributions of money or personal
property to, for, or on behalf of any candidate or ballot‑proposition
political committee. Each con­tribution is to be identified by date,
amount, and name of recipient. A copy of a report or listing of
contributions must be given to each named recipient \[112\].

**O. Monthly Report of Sponsors of Grass Roots Lobbying Campaigns.** A
person who has made expenditures not reported by a registered lobbyist
or by a candidate or political committee exceeding \$500 in the
aggregate in any three‑month period or exceeding \$200 in any one‑month
period in presenting a program that is addressed to the public and of
which a substantial portion is in­tended, designed, or calculated
primarily to influence legislation is required to register and report as
a sponsor of a grass roots campaign. Within 30 days after becoming a
sponsor of a grass roots lobbying campaign, the sponsor must file with
the Public Disclosure Commission a registration statement containing, in
ad­dition to other information, the totals of all expenditures made or
incurred to date on behalf of the campaign segregated by financial
category, including con­tributions. A registered sponsor is then required
to file monthly reports with the Commission by the 10th day of the month
for the activity during the preceding calendar month. Each monthly
report is to provide the same information for the current month as
required in the registration statement and update the in­formation
contained in the registration statement and prior monthly reports.
Monthly reporting to continue until the campaign is terminated and a
notice of termination is filed with the final monthly report stating the
totals for all finan­cial activity made on behalf of the campaign
\[113\].

**P. Special Report of Employers of Lobbyists.** An employer of a
regis­tered lobbyist that makes aggregate contributions of more than
\$100 in a calen­dar month, other than reportable contributions made
through a registered lobby­ist, to a candidate or political committee is
required to file a special report with the Public Disclosure Commission
within 15 days after the month during which the contributions were made.
The report must identify the name of the can­didate or political
committee receiving or to be benefitted by the contributions and the
date and amount of each contribution \[114\].

**Q. Statement of Personal Financial Affairs.** Candidates for elective
of­fice, other than federal office or office of precinct committee
officer, are re­quired to file a sworn written statement of financial
affairs and, in addition, with the Public Disclosure Commission. A
candidate must file a statement within two weeks after becoming a
candidate covering the preceding 12 months; however, a candidate who has
a current statement on file with the Commission (because he or she holds
a position that requires annual filing of the statement) need not file
again in connection with his or her candidacy. No individual is required
to file more than once in any calendar year \[115\].

**VI. PUBLIC FINANCING PROVISIONS**

**A. Prohibition of Public Funding of Political Campaigns.** Public
funds, whether derived through taxes, fees, penalties, or any other
sources, may not be used to finance political campaigns for state or
local office \[116\].

**B. Restrictions on Mailings by State Legislators at Public Expense.**
During the 12‑month period beginning on December 1st of the year before
a general election for a state legislator\'s election to office and
continuing through November 30th immediately after the general election,
the legislator may not mail, either by regular mail or electronic mail,
to a constituent at public expense a letter, newsletter, brochure, or
other piece of literature except as follows:

\(1\) The legislator may mail two mailings of newsletters to
constituents. One mailing of identical newsletters may be mailed no
later than 30 days after the start of a regular legislative session,
except that a legislator appointed during a regular legislative session
to fill a vacant seat may have to 30 days from the date of appointment
to send out the first mailing. Another mailing of identical news­letters
may be mailed no later than 60 days after the end of a regular
legislative session.

\(2\) The legislator may mail an individual letter to an individual
constituent who (1) has contacted the legislator regarding the subject
matter of the letter during the legislators\' current term of office,
(2) holds a governmental office with jurisdiction over the subject
matter of the letter, or (3) has received an award or honor of
extraordinary distinction of a type that is sufficiently infre­quent to
be noteworthy to a reasonable person (e.g., medal of honor) \[117\].

**VII. POST‑ELECTION REQUIREMENTS**

**A. Disposition of Surplus Funds.** The surplus funds of a candidate or
a po­litical committee supporting or opposing a candidate may be disposed
of only by (1) returning the surplus to a contributor in an amount not
to exceed the con­tributor\'s original contribution, (2) transferring the
surplus to the candidate\'s personal account as reimbursement for lost
earnings incurred as a result of that candidate\'s election campaign,
(3) transferring the surplus without limit to a po­litical party or a
caucus political committee, (4) donating the surplus to a regis­tered
charitable organization, (5) transmitting the surplus to the state
treasurer for deposit in the general fund, (6) holding the surplus in
the designated cam­paign depository for possible use in a future election
campaign for the same of­fice last sought by the candidate, or (7)
holding the surplus in a separate account for nonreimbursed public
office‑related expenses. A candidate or authorized committee may not
transfer funds to any other candidate or other political committee. The
disposition of surplus funds must be reported in a report of
contributions and expenditures, although the disposal of surplus funds
is not to be considered a contribution \[118\].

\"Surplus funds\" in the case of a political committee or candidate are
the bal­ance of contributions that remain in the possession or control of
that committee or candidate subsequent to the election for which the
contributions were re­ceived and that are in excess of the amount
necessary to pay remaining debts in­curred by the committee or candidate
prior to that election. In the case of a continuing political committee,
surplus funds are those contributions remaining in the possession or
control of the committee that are in excess of the amount necessary to
pay all remaining debts when it makes its final report \[119\].

**VIII. OFFENSES AND PENALTIES**

**A. Enforcement Procedure**

**1. Public Disclosure Commission.** The Public Disclosure Commission is
required to (1) upon complaint or upon its own motion, investigate and
report apparent violations of the Public Disclosure Act to the
appropriate law en­forcement authorities, (2) investigate whether
properly completed statements and reports have been filed within the
times required by the Act, and conduct a sufficient number of audits and
field investigations so as to provide a statistically valid finding
regarding the degree of compliance with the provisions of this chapter
by all required filers. The Commission may make from time to time, on
its own motion, audits and field investigations \[120\].

The Public Disclosure Commission may determine whether an actual
violation of the Public Disclosure Act has occurred and issue and
enforce an appropriate order following the determination. In cases where
it chooses to determine whether an actual violation has occurred and to
issue an order, the Commission must hold a contested case hearing to
make such determination or in lieu of holding a hearing or issuing an
order, the Commission may refer the matter to the Attorney General or
other enforcement agency. A Commission order may require the violator to
cease and desist from the activity constituting a violation and impose
one or more of the civil remedies and penalties that may be imposed by a
court. No individual penalty may exceed \$1,000 and in a case where
multi­ple violations are involved in a single complaint or hearing, the
maximum ag­gregate penalty may not exceed \$2,500 \[121\].

**2. Attorney General and Prosecuting Attorneys.** The Attorney General
and the prosecuting authorities of political subdivisions may bring
civil actions in the name of the state for any appropriate civil remedy.
They may investigate or cause to be investigated the activities of any
person who there is reason to be­lieve is or has been acting in violation
of the Public Disclosure Act \[122\].

**3. Citizens.** Any person who has provided written notification to the
Attorney General and the prosecuting attorney in the county in which an
alleged violation occurred that there is reason to believe that some
provision of the Pub­lic Disclosure Act is being or has been violated may
bring in the name of the state any of the civil actions authorized in
the Public Disclosure Act. This citi­zen action may be brought only if
the Attorney General and the prosecuting at­torney have failed to
commence an action within 45 days after the notice, the person
thereafter further notified the Attorney General and prosecuting
attorney that he will commence a citizen\'s action within 10 days upon
their failure to do so, and the Attorney General and prosecuting
attorney failed to bring the action within 10 days of receipt of the
second notice \[123\].

**B. Civil Remedies and Sanctions.** A court may impose civil remedies
and sanctions, in addition to any other remedies provided by law. If the
court finds that the violation of any provision of the Public Disclosure
Act by any candidate or political committee probably affected the
outcome of any election, the result of the election may be held void and
a special election held within 60 days of the finding. A person who
violates any of the provisions of the Public Disclosure Act is subject
to a civil penalty of not more than \$10,000 for each violation;
however, a person or entity who violates the maximum limits on
contributions may be subject to a civil penalty of \$10,000 or three
times the amount of the contribution illegally made or accepted,
whichever is greater. A person who fails to file a properly completed
statement or report within the time required is subject to a civil
penalty of \$10 per day for each day the delinquency continues. A person
who fails to report a contribution or expenditure is subject to a civil
penalty equivalent to the amount he failed to report. A court may enjoin
any person to prevent the doing of any act prohibited or to compel the
performance of any act required \[124\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. Public Disclosure Commission.** The 5‑member Public Disclosure
Commission is required to (1) develop and provide forms for required
reports and statements, (2) prepare and publish a manual setting forth
recommended uni­form methods of bookkeeping and reporting for use by
persons required to make reports and statements, (3) compile and
maintain a current list of all filed reports and statements, (4)
investigate whether properly completed statements and reports have been
filed within the times required, (5) upon complaint or upon its own
motion, investigate and report apparent violations to the appro­priate
law enforcement authorities, (6) prepare and publish an annual report to
the governor as to the effectiveness of the Public Disclosure Act and
its en­forcement by appropriate law enforcement authorities, (7) enforce
the Pub­lic Disclosure Act according to the powers granted it by law, and
beginning February 1, 2000, operate or contract for the operation of a
web site that allows access to reports, including date and information,
submitted to the Commission \[125\]. The Commission is the designated
filing office to receive campaign financing and financial af­fairs
reports and statements required to be submitted under the Public
Disclo­sure Act \[126\].

The Commission is empowered to (1) adopt, promulgate, amend, and rescind
suitable administrative rules and regulations; (2) appoint an executive
director, who is to perform the duties and has the powers prescribed and
delegated by the Commission to implement and enforce the Public
Disclosure Act efficiently and effectively; (3) prepare and publish
reports and technical studies, including reports and statistics
concerning campaign financing, financial interests of elect­ed officials,
and enforcement of the Public Disclosure Act; (4) make audits and field
investigations; (5) adopt and promulgate a code of fair campaign
practices; (6) by rule, relieve candidates or political committees of
obligations to comply with the provisions of the Public Disclosure Act
relating to election campaigns if they have not received contributions
or made expenditures in connection with any election campaign of more
than \$1,000; (7) suspend or modify any of the reporting requirements in
a particular case if it finds that literal application of the law works
a manifestly unreasonable hardship and the suspension or modifi­cation
will not frustrate the purposes of the law; (8) revise at least every 2
to 5 years the monetary reporting thresholds and reporting code values
of the Public Disclosure Act; (9) issue binding and non‑binding
declaratory orders upon re­ceipt of a petition from any person; and (10)
develop and provide filers, contin­gent on the availability of funding, a
system for certification of required reports that are transmitted by
facsimile or electronically to the Commission \[127\].

Any Commission rule relating to campaign finance, political advertising,
or re­lated forms that would otherwise take effect after June 30th of a
general elec­tion year takes effect no earlier than the day following the
general election in that year \[128\].

At the beginning of each even‑numbered calendar year, the Commission is
to increase or decrease all dollar amounts in the Public Disclosure Act
based on changes in economic conditions as reflected in the inflationary
index used by the Commission \[129\].

**B. County Elections Officers.** The appropriate county elections
officer is the designated filing officer, along with the Public
Disclosure Commission, for campaign‑financing‑related reports \[130\].

**C. Secretary of State.** The office of the Secretary of State is
designated as a place where the public may file papers or correspond
with the Public Disclosure Commission and receive any form or
instruction from the Commission \[131\].

**D. Attorney General.** The Attorney General must supply such
assistance as the Public Disclosure Commission may require in order to
carry out its responsi­bilities under the Public Disclosure Act \[132\].

**References**

1.  Revised Code of Washington (1974) (hereafter RCW) § 42.17.020(8);
    Washington Administrative Code (hereafter WAC) § 390‑05‑200

2.  RCW § 42.17.020(14)(a); WAC §§ 390‑05‑205; 390‑05‑210

3.  RCW § 42.17.020(14)(b); WAC § 390‑17‑405

4.  RCW § 42.17.020(14)(c); WAC § 390‑05‑235

5.  RCW §§ 42.17.020(24); 42.17.690; WAC §§ 390‑05‑400; 390‑16‑313

6.  RCW § 42.17.100(1)

7.  RCW §§ 42.17.020(16), (21), (34); 42.17.640; WAC §§ 390‑16‑310(1);
    390‑17‑305

8.  RCW § 42.17.720(1), (3); WAC § 390-16-226(2)

9.  RCW § 42.17.640(14)

10. RCW § 42.17.020(2), (4), (5), (9), (16), (18), (30), (37)‑(40); WAC
    § 390‑17‑011

11. RCW §§ 42.17.640(1), (2); 42.17.690; WAC § 390‑05‑400

12. RCW §§ 42.17.640(6); 42.17.690; WAC § 390‑05‑400;

13. RCW §§ 42.17.640(3)(a), (4)(a), (5); 42.17.690; WAC § 390‑05‑400

14. RCW §§ 42.17.640(3)(a), (4)(a), (5); 42.17.690; WAC § 390‑05‑400

15. RCW §§ 42.17.640(3)(a), (4)(a), (5); 42.17.690; WAC § 390‑05‑400

16. RCW §§ 42.17.640(3)(a), (4)(a), (5); 42.17.690; WAC § 390‑05‑400

17. RCW §§ 42.17.640(3)(b), (4)(b); 42.17.690; WAC § 390‑05‑400

18. RCW § 42.17.640(1)

19. RCW § 42.17.640(8); WAC §§ 390‑16‑245; 390‑17‑300

20. RCW §§ 42.17.105(8); 42.17.640; 29.01.090; WAC §§ 390‑16‑245;
    390‑17‑200

21. RCW § 42.17.640(11); WAC §§ 390‑17‑310; 390‑17‑320

22. RCW § 42.17.640(11); WAC § 390‑17‑320

23. RCW § 42.17.640(11); WAC §§ 390‑17‑315; 390‑17‑320

24. RCW §§ 42.17.640(7); 42.17.650; 42.17.660; 42.l17.670; 42.17.720(1);
    WAC §§ 390‑16‑240; 390‑16‑308; 390‑16‑309; 390‑16‑310; 390‑16‑311;
    390‑17‑070; 390‑17‑071; 390‑20‑148

25. RCW § 42.17.020(23), (25); WAC § 390‑17‑015

26. RCW § 42.17.670; WAC§ 390‑16‑240

27. RCW §§ 42.17.120; 42.17.242; WAC §§ 390‑16‑308; 390‑16‑312

28. RCW § 42.17.060(4)

29. RCW § 42.17.680(1)

30. RCW § 42.17.680(2)

31. RCW § 42.17.680(3); WAC§ 390‑17‑100

32. RCW § 42.17.760

33. RCW §§ 42.17.130; 42.17.131; WAC § 390‑05‑273

34. RCW § 42.17.750

35. RCW §§ 42.17.125; 42.17.690; WAC §§ 390‑05‑400; 390‑16‑226

36. RCW § 42.17.720(2); WAC §§ 390‑16‑226; 390‑16‑238

37. RCW §§ 42.17.690; 42.17.740; WAC § 390‑05‑400

38. RCW § 42.17.060(5)

39. RCW § 41.06.250(1)

40. RCW § 41.06.250(1)

41. Washington Court Rules Annotated, 2nd ed. (1997‑98), Code of
    Judicial Conduct, Canon 7

42. RCW § 48.30.110

43. RCW § 42.17.710; WAC § 390‑17‑400

44. RCW § 42.17.730(1)

45. RCW § 42.17.730(2)

46. RCW § 42.17.780

47. RCW § 42.17.770; WAC § 390‑05‑220

48. RCW § 42.17.790

49. RCW § 42.17.020(19)

50. WAC § 390‑16‑200

51. RCW § 42.17.020(14)(a)(ii)

52. WAC § 390‑16‑205

53. WAC § 390‑16‑206

54. RCW § 42.17.070

55. RCW § 42.17.030(1), (5)

56. RCW § 42.17.405(1); WAC §§ 390-05-300; 390-05-305

57. RCW § 42.17.420

58. RCW § 42.17.369

59. RCW § 42.17.3691; WAC §§ 390-19-010--390-19-050

60. RCW § 42.17.080(9)

61. RCW § 42.17.080(4)

62. RCW § 42.17.040(1); WAC §§ 390‑16‑011; 390‑16‑012; 390‑16‑121

63. RCW § 42.17.020(32)

64. RCW § 42.17.020(29)

65. RCW § 42.17.050(3)

66. RCW § 42.17.040(2), (3)

67. RCW § 42.17.050(1); WAC §§ 390-16-011; 390-16-012

68. RCW § 42.17.050(2)

69. RCW § 42.17.050(4)

70. RCW § 42.17.060(1), (2)

71. RCW § 42.17.070

72. RCW §§ 42.17.065(5), (7); 42.17.080(5)

73. RCW §§ 42.17.080(1), (2); 42.17.370(8)

74. RCW § 42.17.080(1); WAC § 390‑16‑041

75. RCW § 42.17.080(2); WAC § 390‑16‑041

76. RCW § 42.17.080(2)

77. RCW § 42.17.080(2); WAC § 390‑16‑041

78. RCW § 42.17.080(2); WAC § 390‑16‑041

79. RCW §§ 42.17.090(1); 42.17.067; WAC §§ 390‑16‑032; 390‑16‑034;
    390‑16‑037; 390‑16‑038; 390‑16‑041; 390‑16‑042; 390‑16‑207

80. RCW §§ 42.17.080(7); 42.17.090(2)

81. RCW §§ 42.17.020(13); 42.17.065(1), (2)

82. RCW § 42.17.065(2), (6)

83. RCW § 42.17.065(3)

84. WAC § 390‑16‑039(1), (3)

85. WAC § 390‑16‑039(2)

86. RCW § 42.17.065(4)

87. RCW § 42.17.370(8); WAC § 390‑16‑105

88. RCW § 42.17.370(8); WAC § 390‑16‑105(2)

89. WAC § 390‑16‑111

90. WAC § 390‑16‑115(1)-(4)

91. WAC § 390‑16‑115(2)

92. WAC § 390‑16‑115(5), (6)

93. WAC § 390‑16‑125(1), (2)

94. RCW §§ 42.17.060 (1); 42.17.080(3); WAC § 390‑16‑031

95. RCW §§ 42.17.105(1), (2); 42.17.175

96. RCW § 42.17.105(5)

97. RCW § 42.17.105(3), (4)

98. RCW § 42.17.135; WAC §§ 390‑16‑033; 390‑16‑240

99. RCW § 42.17.060(3)

100. RCW § 42.17.090(1)(a)‑(k); WAC § 390‑16‑050

101. RCW § 42.17.090(1)(l); WAC § 390‑16‑055

102. RCW § 42.17.100(1), (2); WAC §§ 390‑16‑060; 390‑16‑313

103. RCW § 42.17.100(3)

104. RCW § 42.17.100(5); WAC §§ 390‑16‑060

105. RCW § 42.17.103(1), (4)

106. RCW § 42.17.103(2)

107. RCW § 42.17.103(3)

108. RCW § 42.17.103(5)

109. RCW § 42.17.550; WAC §§ 390‑16‑313; 390‑16‑314; 390‑05‑290

110. RCW §§ 42.17.180(1); 42.17.690; WAC §§ 390‑05‑400; 390‑16‑071;
     390‑16‑313; 390‑20‑105

111. RCW § 42.17.180(1)(d), (f), (g); WAC §§ 390‑16‑070; 390‑20‑027;
     390‑20‑110

112. RCW §§ 42.17.170(1), (2)(a), (c); WAC §§ 390‑20‑020; 390‑20‑144

113. RCW § 42.17.200; WAC § 390‑20‑125

114. RCW § 42.17.180(2); WAC §§ 390‑20‑105; 390‑20‑111

115. RCW § 42.17.240; 42.17.241; WAC ch. 390‑24

116. RCW § 42.17.128

117. RCW § 42.17.185

118. RCW § 42.17.095; WAC §§ 390‑16‑225; 390‑16‑230; 390‑16‑232;
     390‑16‑234

119. RCW § 42.17.020(36); WAC § 390‑16‑220

120. RCW §§ 42.17.360(4), (5); 42.17.365; 42.17.370(4)

121. RCW §§ 42.17.390(2)‑(5); 42.17.395(1)‑(4); WAC ch. 390‑37

122. RCW § 42.17.400(1), (2)

123. RCW § 42.17.400(4)

124. RCW §§ 42.17.640; 42.17.390

125. RCW §§ 42.17.350; 42.17.360; 42.17.367

126. *See*, *for example*, RCW § 42.17.080

127. RCW §§ 34.05.240; 42.17.370; WAC § 390‑12‑250

128. RCW § 42.17.370(1)

129. RCW § 42.17.690

130. *See*, *for example*, RCW § 42.17.080(1)

131. RCW § 42.17.380(1)

132. RCW § 42.17.380(2)

**CAMPAIGN FINANCE LAW**

**IN WEST VIRGINIA**

**I. INTRODUCTION**

West Virginia limits aggregate contributions by any person, including a
politi­cal action committee, to a maximum of \$1,000 to or on behalf of a
candidate in a primary or general election campaign and a maximum of
\$1,000 to a political party state executive committee in a calendar
year. Corporations are not per­mitted to make candidate‑related
contributions, but may establish a political ac­tion committee.
Candidates and their financial agents or committees, political
committees, and other persons that advocate or oppose a candidate or
ballot is­sue must file statements of contributions and expenditures
before and after primary, general, and special elections. An individual
who is considering wheth­er to become a candidate (i.e., a precandidate)
may receive contributions and make expenditures, but must file annual
financial reports. The Secretary of State and the State Election
Commission are responsible for administering and enforc­ing the political
campaign regulations law.

**II. SOLICITATION AND CONTRIBUTION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is a gift
subscription, as­sessment, payment for services, dues, advance, donation,
pledge, contract, agreement, forbearance, or promise of money or other
tangible thing of value, whether or not conditional or legally
enforceable, or a transfer of money or oth­er tangible thing of value
made to a person for the purpose of influencing the nomination,
election, or defeat of a candidate or for the passage or defeat of any
issue, thing, or item to be voted upon. An offer or tender of a
contribution is not a contribution if expressly and unconditionally
rejected or returned. A con­tribution does *not* include volunteer
personal services provided without compen­sation \[1\].

**B. Maximum Contribution Amounts.** No person, directly or indirectly,
may make any contributions that in the aggregate exceed a value of
\$1,000 in connection with any campaign for nomination (i.e., primary
election campaign) *or* election (i.e., general election campaign) to or
on behalf of any statewide or national elective office or any other
elective office in the state or any of its sub­divisions or in connection
with or on behalf of any committee, other organiza­tion, or person
engaged in furthering, advancing, or advocating the nomination or
election of any candidate for any such office \[2\].

Political action committees are subject to the \$1,000 limit on
contributions. For the purpose of applying the \$1,000 limitation, all
political action committees established, maintained, or controlled by
the same corporation(s), including par­ent corporations, subsidiaries,
branches, divisions, departments, or local units, are aggregated into
one political action committee \[3\].

Notwithstanding the \$1,000 limitation per election, no person may make
con­tributions directly or indirectly to a state party executive
committee or state party legislative caucus committee that in the
aggregate exceed the value of \$1,000 *in any calendar year* \[4\].

The limitations on contributions do not apply to transfers between and
among a state party executive committee or a state party's legislative
caucus committee from national committees of the same political party;
however, permitted transfers to any state party executive committee or
state party legislative caucus committee may not exceed \$50,000 in the
aggregate in any calendar year and may be used only for voter
registration and get-out-the-vote activities of the state committees
\[5\].

When a contributor designates all or part of a contribution for the
benefit of a particular candidate and makes the contribution to a
political committee acting with the approval or control of that
candidate, the contribution is deemed to be and indirect contribution to
the designated candidate and is subject to the limits on aggregate
contributions that may be made by the contributor for that can­didate
\[6\].

A candidate or candidate\'s committee established for one primary and
general election may transfer excess campaign assets to the same
candidate\'s campaign or committee for a subsequent election year, and
the transfer is not limited by the aggregate contribution limits \[7\].

The State Election Commission has provided guidance for distinguishing
between prim­ary election and general election contributions:

\(1\) A contribution to a precandidate or a precandidate\'s committee is
a prim­ary election contribution.

\(2\) A contribution to a candidate or a candidate\'s committee is a
primary election contribution in the following circumstances:

\(a\) Candidate for nomination or election in a primary or for
nomination by petition‑‑‑contributions received on or before the primary
election day.

\(b\) Candidate nominated in the primary‑‑‑contributions designated in
writ­ing in the financial report, with the contributors\' consent, as
primary election contributions as long as they do not exceed the total
of unpaid bills, loans, or other financial obligations incurred for the
primary.

\(c\) Candidate defeated in the primary‑‑‑contributions received after
the primary up to the total of unpaid primary election expenses.

\(d\) Candidate for nomination in a party convention---all contributions
received on or before the day of that convention.

\(3\) A contribution to a candidate or candidate\'s committee is a
contribution in connection with a general or special election in the
following circumstances:.

\(a\) Candidate nominated in a primary or party
convention---contributions not designated as a primary contribu­tion and
received after the nomination but not later than the date when all
debts, loans, and other financial obligations of the general-election
campaign have been repaid.

\(b\) Candidate appointed to fill a vacancy on the general or special
election ballot by a party executive committee---all contributions
received in connection with the election and not later than the date
when all debts, loans, and other financial obligations of the
general-election campaign have been repaid.

\(4\) A contribution to a political committee, other than a candidate\'s
commit­tee, acting for political purposes in one election is a
contribution in connection with that election.

\(5\) A contribution to a political committee, other than a candidate\'s
commit­tee, acting for political purposes in both the primary and general
election is a contribution in connection with:

\(a\) A primary election if the contribution is received on or after the
last Saturday in March of a non‑election year and by the date of the
primary elec­tion in the following calendar year.

\(b\) A general election if the contribution is received after the date
of a primary and not later than the day before the last Saturday of
March of the fol­lowing calendar year \[8\].

**C. Corporate Contributions and Expenditures.** Except in the case of a
referendum issue at a public election, an officer, agent, or person
acting on be­half of any domestic or foreign corporation may not pay,
give, lend, or authorize to be paid, given, or lent any money or other
thing of value belonging to the corporation to any candidate, financial
agent, political committee, or other per­son for the payment of any
primary of other election expenses whatever, and except in the case of a
referendum issue, a person may not solicit or receive such payment,
contribution, or other thing of value from a corporation, its offic­ers
or agents, or other persons acting on its behalf \[9\].

The prohibition on corporate contributions does *not* include:

\(1\) Direct communications (other than by newspapers of general
circulation, radio, television, or billboard advertising likely to reach
the general public) by a corporation to its stockholders and executive
or administrative personnel and their families on any subject.

\(2\) Non‑partisan registration and get‑out‑the‑vote campaigns by a
corpora­tion aimed at its stockholders and executives or administrative
personnel and their families.

\(3\) The solicitation of contributions to a separate segregated fund to
be utilized for political purposes by any corporate officer, agent, or
person on be­half of the corporation.

\(4\) Loans by commercial lending institutions made in the ordinary
course of business in accordance with applicable banking or lending laws
and regulations.

\(5\) Expenditures made for public editorials or commentaries produced
in the ordinary course of business by corporations whose primary purpose
is journal­ism or public communications \[10\].

**D. Corporate Political Action Committee.** A separate segregated fund
(i.e., political action committee) may be established by a corporation
to be used for political purposes by any corporate officer, agent, or
person on behalf of the corporation. The fund will be deemed to be a
political committee subject to the political campaign provisions \[11\].

It is unlawful for:

\(1\) a fund to make a contribution or expenditure by using money or
anything of value secured (a) by physical force, job discrimination,
financial reprisal, or the threat of force, job discrimination, or
financial reprisal, (b) as a condition of employment, or (c) by moneys
obtained in any commercial transaction;

\(2\) any person soliciting stockholders, executive or administrative
personnel, and their family members for a contribution to the fund to
fail to inform them of its political purposes at the time of the
solicitation;

\(3\) any person soliciting any other person for a contribution to a
fund to fail to inform the other person at the time of the solicitation
of his or her right to re­fuse to contribute without any reprisal;

\(4\) a corporation or its separate segregated fund to solicit or
receive contribu­tions to the fund from any person other than its
stockholders, executive or ad­ministrative personnel, and their families
or to contribute any corporate funds;

\(5\) a corporation to engage in job discrimination or to discriminate
in job promotion or transfer because of an employee\'s failure to
contribute to a fund;

\(6\) a fund directly or indirectly to make any contribution in excess
of the val­ue of \$1,000 in connection with any campaign for nomination
or election to or on behalf of any in‑state elective office or in
connection with or on behalf of any committee, other organization, or
person engaged in furthering, advancing, or advocating the nomination or
election of any candidate to any such office; and

\(7\) a corporation to pay, give, lend, or authorize to be paid, given,
or lent any moneys or other things of value belonging to the corporation
to its fund for any purpose \[12\].

A separate segregated fund may use the real or personal property,
facilities, and equipment of a corporation solely to establish,
administer, and solicit con­tributions to the fund, subject to the rules
and regulations of the State Election Commission; however, the
corporation must also permit any group of its em­ployees represented by a
bona fide political action committee to use the real property of the
corporation solely to establish, administer, and solicit contribu­tions
to the fund of the political action committee, subject to the rules and
regu­lations of the State Election Commission \[13\].

Public utility companies and railroad companies may not form separate
segre­gated funds or political action committees in support of political
candidates or parties and may not use corporate real or personal
property, facilities, equip­ment, materials, or services of the company
to establish, administer, or solicit contributions to the fund or
committee \[14\].

**E. Contributions to a Membership Organization by Its Members**. A
membership organization is authorized to raise funds for political
purposes from its membership by means of a payroll deduction, an
assessment made as a part of membership dues, or a separate assessment.
Funds raised from the organiza­tion\'s membership must be segregated from
the funds raised for other purposes. If payroll deduction is used to
obtain membership contributions, the organiza­tion is to maintain records
of the name and yearly payroll deduction amounts of each participating
member \[15\].

A \"membership organization\" is a group that (1) grants bona fide
rights and privileges to its members, such as the right to vote, the
right to elect officers or directors, and the ability to hold office and
(2) uses a majority of its *membership dues* for purposes other than
political purposes. The term does not include or­ganizations that grant
membership upon receiving a contribution \[16\].

\"Political purposes\" means (1) advocating or opposing the nomination,
elec­tion, or defeat of one or more candidates, (2) supporting the
retirement of the debt of a candidate or activities of an established
political party or organization that has declared itself to be a
political party, (3) supporting the administration or activities of a
political committee, or (4) advocating or opposing the passage of a
ballot issue \[17\].

**F. Contributions by Intermediaries.** No person, firm, association, or
committee may make any contribution, except from its own funds, unless
it dis­closes in writing to the recipient the full name, residence and
mailing address, and major business affiliation and occupation of the
person, firm, association, or committee that furnished the funds to the
contributor \[18\].

**G. Solicitation of Contributions for Candidates and Political
Commit­tees.** A person may not lawfully solicit and accept funds for
political purposes (1) on behalf of an individual before that individual
becomes a precandidate or candidate or (2) on behalf of a political
committee before that committee files a statement of organization and
appointment of a treasurer \[19\].

**H. Contributions Over \$50 by Money Order or Check.** A contribution
totaling more than \$50 of U.S. or foreign currency by any one
contributor is prohibited \[20\].

**I. Government Contractor Contributions.** No person entering into any
contract with the state or its subdivisions for rendering personal
services, fur­nishing any material, supplies, or equipment, or selling
any land or building to the government to be paid in whole or in part
from public funds may, during the period of negotiation for or
performance under the contract, directly or indirect­ly make any
contribution to any political party, committee, or candidate for pub­lic
office or to any person for political purposes or use, and no person or
firm may solicit any contributions for a prohibited purpose during a
negotiation or performance period \[21\].

**J. Solicitation of Contributions by and From Government Employees.**
No person may solicit any contribution from any non‑elective salaried
employee of the state government or any of its subdivisions or coerce or
intimidate any such employee into making a contribution; however, a
governmental employee may make voluntary contributions \[22\].

No employee in the classified service under the state civil service law
or member of the state civil service commission or its director may,
directly or in­directly, solicit or receive any assessment, subscription,
or contribution or per­form any service for any political party,
committee, or candidate for compensa­tion, other than for expenses
actually incurred, or in any manner take part in so­liciting any such
assessment, subscription, contribution, or service of any em­ployee in
the classified service. No employee in the classified service may
di­rectly or indirectly coerce, attempt to coerce, command, or advise a
state or lo­cal officer or employee to pay or contribute anything of
value to a party, com­mittee, organization, agency, or person for
political purposes \[23\].

The Bribery and Corrupt Practices Act generally prohibits the
solicitation or acceptance of gifts and gratuities by public servants
and the offering or giving of gifts and gratuities to public servants,
but these prohibitions do not apply to campaign contributions made for
use in meeting campaign expenses by any pub­lic servant by or for whom a
certificate of candidacy has been filed for election to the same or
other public office for which such campaign is to be conducted:

\(1\) If the campaign contributions are made after the filing of the
certificate of candidacy.

\(2\) If no part of the contributions inures (or in the case of a
contributor is in­tended by him or her to inure) to the private financial
gain of any public serv­ant.

\(3\) Whenever the political campaign regulations law is applicable to
the pub­lic office being sought, if the contributions are within the
prescribed limits, are reported (or in the case of a contributor are not
intended by him or her not to be reported) as contributions, and are not
otherwise prohibited \[24\].

**K. Solicitation in Government Buildings.** No person may solicit in
any manner any contribution of money or any other thing of value for any
party or political purpose from any federal, state, or local government
officer or em­ployee in any building occupied for the discharge of
official duties by officers and employees of the state and its political
subdivisions \[25\].

**L. Notice of Compensation for the Solicitation of Contributions.** No
person may solicit a contribution from any other person without
informing the other person at the time of the solicitation of the amount
of any commission, remuneration, or other compensation that the
solicitor or any other person will receive or expects to receive as a
direct result of the contribution being success­fully collected. This
prohibition does not apply to solicitations of contributions made by any
person serving as an unpaid volunteer \[26\].

**M. Contributions From Unidentified Contributors.** No contribution may
be made, directly or indirectly, in a fictitious name, anonymously, or
by one per­son through any agent, relative, or other person so as to
conceal the identity of the source of the contribution or in any other
manner so as to effect conceal­ment of the contributor\'s identity
\[27\].

No person, association, or committee may accept any contribution for the
purpose of influencing the nomination, election, or defeat of a
candidate or for the passage or defeat of any issue or thing to be voted
upon unless the identity of the donor and the amount of the contribution
are known and reported \[28\].

When any candidate, organization, committee, or person receives any
anony­mous contribution that cannot be returned because the donor cannot
be identi­fied, the contribution may not be expended for election
expenses, but must be donated to the state general revenue fund \[29\].

**N. Making, Solicitation, and Acceptance of Contributions by Judges and
Candidates for Judicial Office.** The Code of Judicial Conduct restricts
the political activities of judges and candidates for election or
appointment to judicial office. Anyone, whether or not a lawyer, who is
an officer of a judicial system and performs judicial functions,
including but not limited to justices of the supreme court of appeals,
circuit judges, family law masters, magistrates, mental hygiene
commissioners, juvenile referees, special commissioners, and special
masters, is a judge within the meaning of the Code. All judges are to
comply with the Code; all candidates for judicial office are to comply
with appli­cable provisions of the Code \[30\].

A judge or candidate for election or appointment to judicial office may
not so­licit funds for a political organization or candidate; however,
the prohibition does not apply at any time to a continuing part‑time
judge, a periodic part‑time judge, or a pro tempore part‑time judge. A
judge or candidate for judicial office subject to public election may,
except as prohibited by law, contribute to a polit­ical organization at
any time \[31\].

A candidate for appointment to judicial office or a judge seeking
non‑judicial governmental office may not solicit or accept funds,
personally or through a committee or otherwise, to support his or her
candidacy \[32\].

A candidate for judicial office subject to public election may not
personally so­licit or accept campaign contributions; however, a
candidate may establish committees of responsible persons to conduct
campaigns for the candidate, solic­it and accept reasonable campaign
contributions, including contributions from lawyers, and manage the
expenditure of funds for the candidate\'s campaign \[33\]. A candidate
for election or appointment to judicial office is required to pro­hibit
officials who serve at the pleasure of the candidate and to discourage
other employees and officials subject to the candidate\'s direction and
control from do­ing on the candidate\'s behalf what the candidate is
prohibited from doing and, except to the extent permitted by the Code,
may not authorize or knowingly permit any other person to do for the
candidate what the candidate is prohibited from doing \[34\].

In the Code of Judicial Conduct, a \"candidate\" is a person seeking
selection for or retention in judicial office by election or
appointment. A person becomes a candidate for judicial office as soon as
he or she makes an public announcement of candidacy, declares or files
as a candidate with the election or appointment authority, or authorizes
solicitation or acceptance of contributions or support. The term
\"candidate\" has the same meaning when applied to a judge seeking
election or appointment to non‑judicial office \[35\].

**O. Federal Committee Contributions and Expenditures.** When a
politi­cal committee organized under the rules of the Federal Election
Commission maintains a state account, the treasurer may not place in the
committee\'s federal account funds that have designated by a contributor
for use in state, district, county, and municipal election activities.
Such funds are to be placed directly into the state account and are
subject to state reporting requirements and con­tribution limits \[36\].

A treasurer of a federal committee may not knowingly transfer into a
state ac­count or disburse on behalf of a state or local candidate or
political committee any portion of an individual contributor\'s
contribution that exceeds \$1,000 per primary or general election
\[37\].

**P. Voluntary Spending Limits.** Candidates and political committees
may voluntarily subscribe to a Code of Fair Campaign Practices, which
for candidates includes an agreement to adhere to campaign spending
limitations for the office sought (subject to periodic increase by the
State Election Commission): (1) governor: \$1,000,000 in primary and
\$1,000,000 in general election; (2) constitutional officer: \$150,000
in primary and \$150,000 in general election; (3) supreme court of
appeals: \$!50,000 in primary and \$150,000 in general election; (4)
state senate: \$50,000 in primary and \$50,000 in general election; (5)
house of delegates: \$25,000 in primary and \$25,000 in general
election; and (6) circuit judge: \$50,000 in primary and \$50,000 in
general election. Expenditures that do not exceed the designated limit
for a primary election may not be added to the limit for the general
election \[38\].

If an opponent of a subscribing candidate exceeds the voluntary campaign
spending limits, the subscribing candidate who has not exceeded the
spending limits is automatically released from that portion of the Code
of Fair Campaign Practices establishing the campaign spending limits,
and the State Election Commission must make public the fact of such
release \[39\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Expenditure.** The term \"expenditure\" is not
defined in the election code \[40\].

**B. Lawful Expenditures.** A candidate, financial agent, or treasurer
of a po­litical party committee is not permitted to pay, give, or lend,
either directly or indirectly, any money or other thing of value for any
election expenses, except:

\(1\) For rent, maintenance, office equipment, and other furnishing of
offices to be used as political headquarters and for the payment of
necessary clerks, stenographers, typists, janitors, and messengers
actually employed therein.

\(2\) In the case of a candidate who does not maintain a headquarters,
for rea­sonable office expenses and for the payment of necessary clerks,
stenographers, and typists actually employed.

\(3\) For printing and distributing books, pamphlets, circulars, and
other print­ed matter; radio and television broadcasting; and painting,
printing and posting signs, banners, and other advertisements for
promotion of the candidate or a ballot issue.

\(4\) For renting and decorating halls for public meetings and political
conven­tions, for advertising public meetings, and for the payment of
traveling expenses of speakers and musicians at such meetings.

\(5\) For the necessary traveling and hotel expenses of candidates,
political agents, and committees and for stationery, postage, telegrams,
and telephone, express, freight, and public messenger service.

\(6\) For preparing, circulating, and filing petitions for nomination of
candi­dates.

\(7\) For examining the lists of registered voters, securing copies of
the lists, investigating the right to vote of a person listed, and
conducting proceedings to prevent unlawful registration or voting.

\(8\) For conveying voters to and from the polls.

\(9\) For securing publication in newspapers and by radio and television
broadcasting of documents, articles, speeches, arguments, and any
information relating to any political issue, candidate, or question or
proposition submitted to a vote.

\(10\) For conducting public polls.

\(11\) For legitimate advertising agency services, including
commissions, in connection with any campaign activity for which payment
is authorized as a law­ful election expense.

\(12\) For the purchase of memorials, flowers, or citations by political
party executive committees or political action committees representing a
political par­ty.

\(13\) For the purchase of nominal noncash expressions of appreciation
follow­ing the close of polls of an election or within 30 days
thereafter.

\(14\) For the payment of dues or subscriptions to any national, state,
or local committee of a political party.

\(15\) For contributions to a county party executive committee, a state
party executive committee, or a state party legislative caucus political
committee \[41\].

Every liability incurred and payment made must be at a rate and for a
total amount that is proper, reasonable, and fairly commensurate with
the services rendered \[42\].

No money or thing of value derived from contributions received by a
can­didate or political committee may be paid or given to any person
except (1) as lawful payments for goods provided, services rendered, or
reimbursement of expenses incurred for political purposes, (2) as food,
entertainment, or costs in­cidental to a fundraising event or public
meeting, or (3) as printed campaign promotional items of nominal value
that clearly identify the candidate or party \[43\].

**C. Personal Use of Contributions by a Candidate.** A candidate may not
receive any payment of money or other thing of value for personal use
from funds solicited or received for political purposes on the
candidate\'s behalf; how­ever, a candidate may be reimbursed from
contributions received for lawful election expenses paid from the
personal funds of the candidate if receipts are retained and the
itemized expenditures are reported in a timely manner as required by law
\[44\].

**D. Payment for Endorsements.** No person may pay a newspaper or other
periodical to advocate or oppose editorially any candidate for
nomination or election, any political party, or any measure to be
submitted to the vote of the people, and an owner, publisher, editor, or
employee of the periodical may not solicit or accept such payment
\[45\].

**E. Employment and Payment of Election Workers and Campaign Staff**. A
candidate or candidate\'s authorized committee, political party
committee, or political action committee may employ election workers,
subject to limits on the maximum number of paid election workers. A paid
election worker may not re­ceive more than \$6 per hour or \$50 per day
for services provided and expenses and must submit an itemized statement
showing specific work performed, times and date of the work, and the
amount of pay before a check may be issued \[46\].

A volunteer election worker provides services without pay, but may be
reim­bursed up to \$15 per day for actual expenses. If a volunteer
election worker receives a total reimbursement for expenses of \$50 or
more during an election campaign must submit to the candidate or
committee an itemized statement showing the date, specific amount, and
purpose of each expense incurred, the name of each vendor paid, and the
total amount of reimbursement to be received \[47\].

Paid campaign staff of a candidate, party committee, or political action
com­mittee (i.e., individuals who work more than 20 hours per week on a
regular and continuing basis and receive a regular salary from which
withholding tax and so­cial security obligations are deducted) may
receive pay that is reasonable and fairly commensurate with similar
services rendered in the private sector \[48\].

**F. Payment of Election Workers and Campaign Staff by Check**. Pay­ments
for the services and expenses of paid election workers, the expenses of
volunteer election workers, and the services and expenses of paid
campaign staff by candidates, party committees, or political action
committees must be made by check \[49\].

**G. Private Use of Contributions to a Judicial Candidate.** A candidate
for judicial office subject to public election may not use or permit the
use of campaign contributions for the private benefit of the candidate
or others \[50\].

**IV. REPORTING REQUIREMENTS**

A. Designation of a Financial Agent or Treasurer. A written statement
designating a person as (1) the treasurer of a political committee or
(2) the fi­nancial agent (a) for a candidate for nomination or election
to any office to be filled by the voters of the entire state, (b) for a
candidate for any office encom­passing an election district larger than a
county, or (c) for a person or organiza­tion advocating or opposing the
nomination, election, or defeat of any candidate or the passage or
defeat of any issue, thing, or item to be voted on in an election
district larger than a county must be filed with the Secretary of State
at least 28 days before the election at which the person is to act as
treasurer or financial agent \[51\].

A written statement designating a person as (1) the treasurer of a
political committee or (2) the financial agent (a) for a candidate to be
nominated or elected by the voters of a county or a district within a
county, (b) for a can­didate for nomination or election to any other
office, or (c) for the passage or defeat of any issue, thing, or item to
be voted on in an election district not larger than a county must be
filed with the clerk of the county commission at least 28 days before
the election at which the person is to act as treasurer or financial
agent \[52\].

A treasurer or financial agent designation must be received by the
filing offic­er before midnight E.S.T. of the day on which it is due or,
if mailed, must be postmarked before that hour. No person may act as a
treasurer or financial agent until the written designation statement is
filed \[53\].

The filing deadlines do not apply to political party executive
committees. A filing designating a treasurer or financial agent for a
state or county political ex­ecutive committee may be made anytime before
the committee either accepts or spends funds on behalf of the committee.
Once a designation is made, no addi­tional designations are required by a
political executive committee until a suc­cessor treasurer or financial
agent is designated. A political executive commit­tee may terminate the
designation by making a written request to terminate the designation and
by stating in the request that the committee has no funds re­maining in
the committee\'s account. This written request is made with either the
Secretary of State or the clerk of the county commission, as appropriate
\[54\].

A candidate who does not appoint another person as financial agent or
organ­ize a candidate\'s committee and appoint a treasurer at least 28
days prior to an election at which the candidate is to act is deemed to
be the financial agent for his or her own campaign \[55\].

Every political party committee must appoint and retain a treasurer to
receive, keep, and disburse all sums of money collected or received by
the committee or its members for election expenses, and unless the
treasurer has been appointed, it is unlawful for the committee or its
members to collect, receive, or disburse money for election expenses.
All moneys collected or received by the commit­tee or its members for
election expenses must be paid to and be disbursed by the treasurer. The
same person may be designated to act as treasurer for two or more
political party committees \[56\].

A \"candidate\" is any person to be voted for at a general, primary, or
special election \[57\]. A \"person\" is an individual, partnership,
committee, association, corporation, or any other organization or group
of persons \[58\].

A \"financial agent,\" according to statute, is any person acting for
and by himself or herself or any two or more natural persons acting
together or cooperating in a financial way to aid or take part in the
nomination or election of any candidate for public office or to aid or
promote the success or defeat of any political party or principle at any
election or any proposition submitted to a vote at a public election
\[59\].

A \"political committee\" is an association of persons, an organization
of any kind, or any two or more persons acting together, wholly or in
part, to receive or ex­pend money or other thing of value for political
purposes. The term includes but is not limited to a political party
executive committee, a committee operating in conjunction with a
political party or using a political party name, a political action
committee or any other organization, whether temporarily or permanently
es­tablished, that uses any portion of its funds for political purposes.
The term does not include family members or members of a partnership
acting together to make joint or individual contributions to a candidate
or political committee \[60\].

A \"candidate\'s committee\" is a political committee established with
the appro­val of or in cooperation with one precandidate or one candidate
to explore the possibilities of seeking a particular office and/or to
advocate his or her nomination or election to an office in one election
cycle. If a candidate directs or influences the activities of more than
one committee, those committees are considered one committee for the
purposes of contribution limits \[61\].

**B. Statements of Contributions and Expenditures.** Every candidate,
fi­nancial agent, person, association of persons, and organization of any
kind (in­cluding a corporation directly or indirectly supporting a
separate segregated fund or engaging in other permissible corporate
activities and the treasurer or equiv­alent officer of an association or
organization) that advocates or opposes the nomination, election, or
defeat of any candidate or the passage or defeat of any issue to be
voted upon and the treasurer of every political party committee must
keep detailed accounts of all sums of money or other things of value
received (including all loans of money or things of value), all
expenditures and disbursements made, and all liabilities incurred for
political purposes by the candidate, financial agent, person,
association, organization, or committee (in­cluding officers and members
of the committee or any person acting under its authority or on its
behalf) \[62\].

Each person or association of persons required to keep detailed accounts
must file detailed itemized statements of contributions and expenditures
subscribed and sworn to before an officer authorized to administer oaths
\[63\]. A person who announces as a write‑in candidate for any elective
office and his or her fi­nancial agent or election organization of any
kind must comply with the re­quirement to keep detailed accounts and file
statements of contributions and ex­penditures after public announcement
of the person\'s candidacy has been made \[64\].

Each financial statement must show:

\(1\) The full name, address, and telephone number of the party filing
the fi­nancial statement.

\(2\) The balance of cash and any other sum of money on hand at the
begin­ning and the end of the period covered.

\(3\) The full name of each contributor, the amount of the contribution,
and if the aggregate sums contributed by any one contributor exceed
\$250, the con­tributor\'s address and, in the case of an individual, the
contributor\'s major busi­ness affiliation and occupation.

\(4\) The total amount of contributions received during the period
covered by the statement.

\(5\) The full name and address of each individual or lending
institution making a loan or of the spouse cosigning a loan, as
appropriate, the amount of any loan received, the date and terms of the
loan, including interest and repayment schedule, and a copy of the loan
agreement.

\(6\) The full name and address of each individual, firm, association,
or com­mittee having previously made or cosigned a loan for which payment
is made or a balance is outstanding at the end of the period, together
with the amount of repayment on the loan made during the period and the
balance at the end of the period.

\(7\) The total outstanding balance of all loans at the end of the
period.

\(8\) The full name and address of each individual, firm, association,
or com­mittee to whom each expenditure was made or liability incurred,
the amount and purpose of the expenditure or liability, and the date of
the transaction.

\(9\) The total expenditures for the nomination, election, or defeat of
a can­didate or any person or organization advocating or opposing the
nomination, election, or defeat of any candidate or the passage or
defeat of any issue, thing, or item to be voted upon in whose behalf an
expenditure was made or a contri­bution given for the primary or other
election.

\(10\) The total amount of expenditures made during the period covered
\[65\].

The following additional reporting and other requirements must be
fulfilled:

\(1\) Any unexpended balance at the time of making a financial statement
must be properly accounted for in the statement and appear as a balance
in the next following statement \[66\].

\(2\) When any lump‑sum payment is made to any advertising agency or
other disbursing person that does not file a report of detailed accounts
and verified fi­nancial statements, the expenditures must be accounted
for in the statement \[67\].

\(3\) Each financial statement must contain a separate section with, in
addition to the information required for all contributions and
expenditures, additional in­formation for each fundraising event held
during the period covered by the statement, including the type of event,
the date held, the address and name of the place where the event was
held, the total of all moneys received, the expen­ditures incident to the
event, and the net receipts of the event \[68\].

\(4\) Any contribution or expenditure made by or on behalf of a
candidate for public office to any other candidate or committee for a
candidate for any public office in the same election must be reported
\[69\].

\(5\) Any firm, association, committee, or fund permitted to be a
political committee must disclose its corporate or other affiliation
\[70\].

\(6\) The written disclosure from a person, firm, association, or
committee that made a contribution to the reporting party from other
than its own funds must be included in the statement \[71\].

\(7\) Any anonymous contribution must be recorded as such on the
statement. At the time of filing, the statement must include a statement
of the distribution of anonymous contributions, and the total amount of
distributed anonymous contributions must equal the total of all
anonymous contributions received dur­ing the period \[72\].

\(8\) A candidate, financial agent, person, association of persons, or
organ­ization advocating or opposing the nomination or election of any
candidate or the passage or defeat of any issue or item to be voted upon
may receive money or any other thing of value as a loan toward election
expenses only from the candidate, the candidate's wife, or a designated
lending institution in the regular course of business. All loans must be
evidenced by a written agreement executed by the lender. The agreement
must state the date, amount, and terms of the loan, including interest
and repayment schedule, a description of the collateral, if any, and the
full names and addresses of all parties to the agreement. A copy of the
agreement must be filed with the next financial statement required after
the loan is executed \[73\].

\(9\) Itemized statements submitted by paid election workers to support
claims for payment for services and expenses must be included with the
financial statement for the reporting period during which a check for
payment was issued \[74\].

\(10\) The names and social security number of each paid campaign staff
worker employed during the reporting period, along with job title,
description of duties, rate of pay, beginning and ending employment
dates, and work schedule, must be included with the financial statement
\[75\].

\(11\) Itemized statements submitted by volunteer election workers to
docu­ment reimbursed expenses of \$50 or more during a campaign must be
included with the post‑election financial statement \[76\].

\(12\) If a portion of the dues or assessments of members of a
membership or­ganization is designated for political purposes and the
portion equals \$25 or less per member over the course of a calendar
year, the membership organization must report only the total amount
raised for political purposes through member­ship dues or assessments
during the period by showing the amount required to be paid by each
member and the number of members. If payroll deduction is used obtain
contributions from the members of a membership organization and the
total payroll deduction for political purposes of each participating
member equals \$25 or less over the course of a calendar or fiscal year,
as specified by the organization, the organization is required to report
only the total amount re­ceived for political purposes through payroll
deductions during the reporting pe­riod and, to the maximum extent
feasible, the amount of each yearly payroll‑de­duction contribution level
and the number of members contributing at each specified level \[77\].

Statements of contributions and expenditures must be filed according to
the following schedule:

\(1\) On the last Saturday in March or within 15 days thereafter next
preceding the primary election day whenever the total of all financial
transactions relating to an election exceeds \$500. The statement is to
include all financial transac­tions that have taken place by the date of
the current statement and subsequent to any previous statement filed
within the previous 5 years or, if no previous statement was filed,
within the preceding 5 years.

\(2\) Not less than 7 nor more than 10 days preceding each primary,
general, or special election. The statement must include all financial
transactions that have taken place by the date of the statement and
subsequent to the previous statement, if any.

\(3\) Not less than 25 nor more than 30 days after each primary,
general, or special election. The statement must include all financial
transactions that have taken place by the date of the statement and
subsequent to the previous state­ment.

\(4\) Annually on the last Saturday in March or within 15 days
thereafter whe­never contributions or expenditures relating to an
election exceed \$500 or whe­never any loans are outstanding. The
statement must include all financial trans­actions that have taken place
by the date of the statement and subsequent to any previous statement.

\(5\) On the last Saturday in September or within 15 days thereafter
next preceding the general-election day whenever the total of all
financial transactions relating to an election exceed \$500 or whenever
loans are outstanding. The statement must include all financial
transactions that have taken place by the date of the statement and
subsequent to the previous statement \[78\].

The accounting period covered by each report ends on the day before the
next report may be filed. The first accounting period begins on the date
of the first financial transaction \[79\].

For the purpose of determining if and when a financial statement is
required to be filed, \"financial transactions\" include all
contributions or loans received and all repayments of loans or
expenditures made to promote the candidacy of any person by any
candidate or any organization advocating or opposing the nomi­nation,
election, or defeat of any candidate or to promote the passage or defeat
of any issue, thing, or item to be voted on \[80\].

Financial statements are filed (1) with the Secretary of State by or on
behalf of candidates for legislative offices and for state and other
offices to be nominated or elected by the voters of a political division
greater than a county and (2) with the clerk of the county commission by
all other candidates for offices to be nom­inated or elected \[81\].
Financial statements may be filed by mail, in person, or by facsimile or
other electronic means of transmission \[82\].

A political committee organized under the rules of the Federal Election
Commission that maintains a state account may comply with state
reporting re­quirements by filing reports on state‑prescribed forms under
the rules and at the times required by state law. A federal committee
that maintains only a federal account may comply with state reporting
requirements by filing with the appli­cable federal report an addendum
itemizing in the manner required by state law (a) all contributions and
loans received from West Virginia residents, (2) all li­abilities
incurred or expenditures made to or on behalf of any state or local
can­didate, political committee, or ballot issue, and (3) an oath by the
treasurer that the addendum is a true, correct, and complete report
\[83\].

**C. Reporting of Large, Late Independent Expenditures.** Any
independent expenditure of \$1,000 or more for a statewide, legislative,
or multi-county judicial candidate or of \$500 or more for any
county-office candidate, single-county judicial candidate, committee
supporting or opposing an issue or candidate on the ballot, or municipal
candidate or issue on a municipal-election ballot that is made after the
11^th^ day but more than 12 hours before the day of any election must be
reported to the Secretary of State within 24 hours after the expenditure
is made or debt is incurred for a communication. The independent
expenditure must be reported on a form prescribed by the Secretary of
State by hand-delivery, facsimile, or other means to assure receipt by
the Secretary of State within the 24-hour reporting period \[84\].

An "independent expenditure" is an expenditure made by a person other
than a candidate or committee for a communication that expressly
advocates the election or defeat of a clearly identified candidate but
is made independently of a candidate's campaign and has not been made
with the cooperation or consent of, in consultation with, or at the
request or suggestion of any candidate or any of the candidate's agents
or authorized committees. An expenditure that does not meet the criteria
for independence is considered a contribution \[85\].

**D. Special Precandidacy Requirements and Reports.** A person otherwise
qualified to be a candidate for any public office or position determined
by public election may receive contributions and make expenditures,
personally or by another individual acting as a treasurer or financial
agent, to determine the ad­visability of becoming a candidate or
preparing to be a candidate; however, such contributions may be received
and expenditures made only during the 4 years immediately preceding the
term of office for which the person may be a can­didate or during the
term of office immediately preceding the term of office for which a
person may be a candidate, whichever is less \[86\].

A person undertaking to determine the advisability of becoming or
preparing to be a candidate who desires to receive contributions before
filing a certificate of candidacy must name himself or herself or
another to act as treasurer or fi­nancial agent and file a designation of
a financial agent before receiving any contributions \[87\].

A person who receives a contribution and is acting for and by himself or
her­self as a precandidate or as treasurer or agent for another
precandidate must keep detailed accounts of all money or other things of
value received, expen­ditures and disbursements made, and liabilities
incurred, as is required in the case of a candidate, for the period
prior to the date of filing for candidacy for the office the person is
considering seeking. If the person has received contribu­tions or made
expenditures, he or she must file detailed statements of contribu­tions
and expenditures on the last Saturday in March annually and also on the
last Saturday in March or within 15 days thereafter preceding the
election at which the names of candidates appear on the ballot for the
public office or posi­tion the person originally considered seeking. If
the person becomes a candidate for any office or position decided at
that election, the itemized statement is to be included within the first
statement required to be filed by a candidate. If the person does not
become a candidate at that election, then the detailed itemized
statement is the only statement required to be filed by the precandidate
\[88\].

Regardless of whether the person becomes a candidate as originally
intended, becomes a candidate for some office other than the office or
position originally intended, or does not become a candidate, all limits
on campaign contributions and expenditures applicable to the candidacy
of or advocacy of the candidacy of the person for the office he or she
actually seeks are applicable to and inclusive of the receipts and
expenditures during the precandidacy period as well as after the person
becomes a candidate \[89\].

**E. Corporate Political Action Committee Notice of Existence.** A
political action committee must file notice of its existence with the
appropriate filing officer prior to receiving ro soliciting
contributions. No such committee may be formed within 28 days of any
election in which the committee will be active \[90\].

A \"political action committee\" is an organization that comes into
existence by specific written authorization of the board of directors or
equivalent governing body of one or more corporations and whose purpose
is to solicit funds for and make expenditures and contributions on
behalf of public issues, political candi­dates and their agents,
political committees, or political party committees \[91\].

**F. Advertising Agency Reports.** Every advertising agency subject to
the political campaign regulations must file financial statements that
include in item­ized detail all receipts from and expenditures made on
behalf of a candidate, fi­nancial agent, or treasurer of a political
party committee in the manner and form and at the times required for
statements filed by candidates and others \[92\].

**G. Candidate Financial Disclosure Statement**. Candidates for election
to any state, county, or municipal office or county or district school
board or to the position of county or district school board
superintendent are required to file a financial disclosure statement for
the previous calendar year with the State Ethics Commission. The
statement is due no later than 10 days after a candidate files a
certificate of candidacy and in all circumstances no later than 10 days
prior to the election unless the candidate filed a statement with the
State Ethics Commis­sion during the previous calendar year \[93\].

No candidate for public office may maintain a place on a ballot and no
public official may take the oath of office, enter or continue upon his
or her duties, or receive compensation from public funds unless a
financial disclosure statement has been filed as required by law \[94\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Post‑Election Acceptance of Contributions.** If a candidate or
candida­te\'s committee has excess campaign funds at the time of filing
the post‑election financial report, no further contributions may be
accepted until the candidate files a precandidacy statement for a
subsequent election \[95\]. If a candidate or candidate\'s committee has
debts, outstanding loans, or unpaid bills at the time of filing the
post‑election financial report, further contributions may be accepted
only until an amount sufficient to repay the debts, loans, and bills has
been re­ceived \[96\].

**B. Disposition of Excess Contributions.** Amounts received by a
candidate as contributions that are in excess of any amount necessary to
defray his or her expenditures may be (1) used by the candidate to
defray any ordinary and nec­essary expenses incurred in connection with
his or her duties as a holder of pub­lic office, (2) contributed to any
charitable organization after the general election, or (3) transferred
with­out limitation to any national, state, or local committee of any
political party or to any candidate for public office \[97\].

**C. Disposition of Excess Campaign Assets.** Excess campaign assets may
be lawfully:

\(1\) Transferred from a candidate\'s committee organized for one
election year to the same candidate\'s committee for a subsequent
election year if the candidate has filed a precandidacy statement and a
statement of organization of the new committee before the transfer is
made.

\(2\) Distributed for a lawful election expense (*see* Section III.B) by
making a contribution to one or more political party committees, other
political committees, or candidates.

\(3\) Returned on a pro rata basis to each contributor.

\(4\) Subject to Internal Revenue Service regulations relating to
personal income, used by the candidate to defray any ordinary and
necessary expenses incurred in connection with his or her duties as a
holder of public office.

\(5\) Contributed to any charitable organization.

\(6\) Transferred to any national, state, or local committee of any
political party \[98\].

A candidate, financial agent, or treasurer may not distribute excess
campaign assets through personal gifts, promotional items, or other
expenditures not au­thorized by law (*see* Section III.B), and no person
may receive or utilized excess campaign assets for personal economic
benefit or use \[99\].

\"Excess campaign assets\" are monies, materials, equipment, or other
things of value derived from contributions that (1) remain in the
possession of a precandidate or precandidate\'s committee at the
conclusion of the precandidacy when the precandidate decides not to
become a candidate, (2) remain in the possession of a candidate or the
candidate\'s committee after the candidate loses in the primary election
or after the candidate's general election and after debts, loans, and
other liabilities are repaid, or (3) be­long to a political committee
that wishes to discontinue activity and dissolve \[100\].

**D. Termination of Political Committees.** A political committee may
ter­minate by filing a written request with the Secretary of State or
clerk of the county commission, as appropriate, and by stating in the
request that it will no longer receive any contributions or make any
disbursements and that it has no outstanding debts or obligations. At
such time, any excess funds of the commit­tee may be transferred to a
political committee established by the same can­didate \[101\].

**VI. OFFENSES AND PENALTIES**

**A. Criminal Penalties.** A person who violates the provisions of the
election code concerning political campaign regulations is guilty of a
misdemeanor. The usual penalty is a fine of not more than \$500 to
\$1,000, confinement in jail for not more than one year, or both
\[102\]. For example, a candidate, financial agent, or political party
committee treasurer who fails to file a sworn, itemized state­ment of
contributions and expenditures within the specified time limitations or
who willfully files a grossly incomplete or grossly inaccurate statement
is guilty of a misdemeanor \[103\].

Forty days after a primary or other election, the Secretary of State or
county clerk, as appropriate, must give notice of the failure to timely
file a required statement of contributions and expenditures or of the
filing of any grossly in­complete or grossly inaccurate statement by any
candidate, financial agent, or treasurer of a political party committee
to the prosecuting attorney of the county where the candidate, agent, or
treasurer resides \[104\].

A person who makes or receives a contribution of U.S. or foreign
currency of more than \$50 in value may be fined a sum equal to three
times the amount of the contribution \[105\].

In all cases of violations of the political campaign regulations by any
partner­ship, committee, association, corporation, or other organization
or group or per­sons, the officers, directors, or managing or controlling
heads who knowingly and willingly participate in the violation are
subject to the penalties and punish­ments prescribed for the organization
\[106\].

**B. Civil Penalties.** A candidate, financial agent, or political party
committee treasurer who fails to file a sworn, itemized statement of
contributions and ex­penditures as required or who files a grossly
incomplete or grossly inaccurate statement may be assessed a civil
penalty by the Secretary of State of \$25 a day for each day after the
due date that the statement is delinquent, grossly incom­plete, or
grossly inaccurate. Forty days after a primary or other election, the
county clerk must give notice to the Secretary of State of any failure
to file a re­quired statement of contributions and expenditures or the
filing of any grossly incomplete or grossly inaccurate statement by any
candidate, financial agent, or political party committee treasurer
\[107\].

**C. Election‑Related Penalties.** A candidate nominated at a primary
elec­tion who has failed to make a required sworn statement may not have
his or her name placed on the official ballot for the ensuing election
unless the required fi­nancial statement is filed by or on behalf of the
candidate or by the candidate\'s financial agent. A commission or
certificate of election may not be issued to any person elected to any
public office who has failed to file a required sworn statement, and the
person may not enter upon the duties of the office until he or she has
filed the statement or receive any salary or emolument for the period
prior to the filing of the statement \[108\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. State Election Commission.** The 5‑member State Election Commission
serves as an advisory body to the Secretary of State and has the power
and duty to (1) recommend policies and practices pertaining to the
registration of voters and the conduct of elections generally, (2)
review the work of the office of the Secretary of State pertaining to
the duties of that office with respect to elections, (3) consider and
study the election practices of other jurisdictions, (4) advise or make
recommendations to the governor relative to election practices and
policy in the state, (5) prepare and distribute, within available
appropriations and upon the recommendation of the Secretary of State,
non‑partisan educational materials for voters and manuals to assist
local election officials in the proper perfor­mance of their duties in
the conduct of elections, and (6) subject to the approval of the state
legislature, promulgate legislative rules necessary to standardize and
make effective the administration of the law concerning the regulation
and con­trol of elections (e.g., rules establishing procedures for the
assessment of civil penalties) \[109\].

The Commission is required (1) to investigate, upon complaint or on its
own initiative, any alleged violations or irregularities of the
political campaign re­quirements, (2) to report alleged violations to the
appropriate prosecuting attor­ney, and (3) to adopt rules and regulations
concerning separate segregated funds of corporations \[110\].

**B. Secretary of State.** The Secretary of State is the chief election
official of the state and has authority, after consultation with the
State Election Commission, to make, amend, and rescind such orders and
to promulgate such legislative rules not within the jurisdiction of the
State Election Commission as may be nec­essary to carry out the policy of
the legislature as contained in the election code. The Secretary is
authorized to require the collection and reporting of statistical
information and to require other reports by local election officials.
The Secretary is required to (1) advise election officials, (2) furnish
local election of­ficials with a sufficient number of indexed copies of
the current state election laws and related administrative rules,
regulations, and orders, (3) investigate the administration of election
laws, frauds, and irregularities in any registration or election, (4)
report violations of the election laws to the appropriate prosecuting
officials, (5) prepare an annual report, and (6) post candidate-related
statements of contributions and expenditures on the internet within 45
days after filing. The Secretary also is empowered to administer oaths
and affirmations, issue subpoenas, and fix the time and place for
hearing any matters relating to the administration and enforcement of
the election code or rules, regulations, or directions issued by the
Secretary \[111\].

**C. Secretary of State, State Election Commission, and County Clerks.**
Required statements and reports are filed with the Secretary of State or
county clerk, as appropriate \[112\]. The Secretary of State and county
clerk may review and audit any sworn statement required to be filed
\[113\]. Blank forms for fi­nancial statements are provided by the State
Election Commission and furnished through the county clerk or otherwise,
as the Secretary of State may deem expe­dient, to candidates, political
committee treasurers, and political financial agents and upon
application to other persons required by law to file such statements
\[114\].

**References**

1.  West Virginia Code Annotated (here­after WVCA) § 3‑8‑5c

2.  WVCA § 3‑8‑12(f)

3.  WVCA § 3‑8‑12(f); West Virginia Legislative Rules (hereafter Rules)
    § 146‑3‑5.2

4.  WVCA § 3‑8‑12(g)

5.  WVCA § 3‑8‑12(h)

6.  Rules § 146-3-5.8

7.  Rules § 146-3-5.9

8.  Rules § 146-3-3

9.  WVCA § 3‑8‑8(a); *see also* *Anderson Paving Inc. v. Hayes*, 195
    S.E.2d 805 (W.Va. 1982); Rules §§ 146‑1-3.1; 146-1-3.2

10. WVCA § 3‑8‑8(b); Rules § 146‑1-4.1--146-1-4.3

11. WVCA § 3‑8‑8(b)(1)(C); Rules § 146‑1-4.4

12. WVCA § 3‑8‑8(b)(2)(A)‑(H)

13. WVCA § 3‑8‑8(b)(2)(H)

14. WVCA § 3‑8‑8(b)(2)(I); Rules § 146‑1-6.1

15. WVCA §3‑8‑5a(k)

16. WVCA §3‑8‑5a(l)(2)

17. WVCA §3‑8‑5a(l)(1)

18. WVCA § 3‑8‑5a(f)

19. Rules §§ 153‑9‑9.1; 153-9‑9.2

20. WVCA § 3‑8‑5a(a)(3)

21. WVCA § 3‑8‑12(d)

22. WVCA § 3‑8‑12(i)

23. WVCA § 29‑6‑20(d), (e)(2)

24. WVCA § 61‑5A‑6

25. WVCA § 3‑8‑12(c)

26. WVCA § 3‑8‑12(j)

27. WVCA § 3‑8‑5a(h)

28. WVCA § 3‑8‑5a(i)

29. WVCA § 3‑8‑5a(j)

30. WVCA, Code of Judicial Conduct (hereafter Judicial Code), Canon 5, 6

31. Judicial Code, Canon 5

32. Judicial Code, Canon 5

33. Judicial Code, Canon 5

34. Judicial Code, Canon 5

35. Judicial Code, Canon 6

36. Rules §§ 146-3-9.1; 146-3-9.2

37. Rules § 146-3-9.3

38. WVCA §§ 3-1B-5; 3-1B-8; 3-1B-10

39. WVCA § 3-1B-9

40. *See*, *e.g.*, WVCA § 3‑1‑2

41. WVCA § 3‑8‑9(a)

42. WVCA § 3‑8‑9(b)

43. Rules § 146-3-6.3

44. Rules §§ 146-3-6.4; 146-3-6.5

45. WVCA § 3‑8‑11(f)

46. Rules §§ 146-4-3.2; 146-4-5.1; 146-4-5.4; 146-4-8.1; 146-4-9.1;
    146-4-10.1

47. Rules §§ 146-4-3.3; 146-4-7.1; 146-4-7.3

48. Rules §§ 146-4-3.1; 146-4-6.1

49. Rules §§ 146-4-5.2; 146-4-6.2; 146-4-7.2

50. Judicial Code, Canon 5

51. WVCA § 3‑8‑4(a)

52. WVCA § 3‑8‑4(b)

53. WVCA § 3‑8‑4(a), (b)

54. WVCA § 3‑8‑4(c)

55. Rules § 146-3-8.2

56. WVCA § 3‑8‑3

57. WVCA § 3‑1‑2

58. WVCA § 3‑8‑4(d)

59. WVCA § 3‑8‑4(d)

60. Rules § 146-3-2.11

61. Rules § 146-3-2.5

62. WVCA §§ 3‑8‑2(a); 3‑8‑5(a); 3‑1‑2a. § 3‑8‑2(a) exempts candidates
    for party committeeman or committeewoman from the duty to maintain
    records of receipts and expenditures and to file financial
    statements.

63. WVCA §§ 3‑8‑2(a); 3‑8‑5(b); 3‑1‑2a

64. WVCA § 3‑8‑5(c)

65. WVCA § 3‑8‑5a(a)

66. WVCA § 3‑8‑5a(b)

67. WVCA § 3‑8‑5a(d)

68. WVCA § 3‑8‑5a(c)

69. WVCA § 3‑8‑5a(e)

70. WVCA § 3‑8‑5a(g)

71. WVCA § 3‑8‑5a(f)

72. WVCA § 3‑8‑5a(j)

73. WVCA § 3‑8‑5f

74. Rules § 146-4-5.5

75. Rules § 146-4-6.4

76. Rules §§ 146-4-7.3; 146-4-7.5

77. WVCA § 3‑8‑5a(k)

78. WVCA § 3‑8‑5(b)(1)‑(5)

79. Rules §§ 146-3-8.3; 146-3-8.4

80. WVCA § 3‑8‑5(d)

81. WVCA § 3‑8‑5b(a)

82. WVCA § 3‑8‑5b(b), (c)

83. Rules §§ 146-3-9.4; 146-3-9.5

84. WVCA § 3-8-2(b)

85. WVCA § 3-8-2(c)

86. WVCA §§ 3‑8‑5e(a); 3‑1‑22

87. WVCA § 3‑8‑5e(b)

88. WVCA § 3‑8‑5e(c)

89. WVCA § 3‑8‑5e(c)

90. Rules § 146-1-5.1

91. Rules § 146‑1‑2.6

92. WVCA §§ 3‑8‑9(c); 3‑1‑2a

93. WVCA §§ 3‑1A‑7; 6B‑2‑6(b)

94. WVCA § 6B‑2‑6(c)

95. Rules § 146-3-5.12

96. Rules § 146-3-5.13

97. WVCA § 3‑8‑10

98. Rules § 15146-3-7.2

99. Rules §§ 146-3-7.3; 146-3-7.4

100. Rules § 146-3-7.1

101. WVCA § 3‑8‑4a(a)

102. WVCA §§ 3‑8‑5d; 3‑8‑7(a); 3‑8‑8(c); 3‑8‑11; 3‑8‑12(l); 3‑9‑3;
     3‑9‑23

103. WVCA § 3‑8‑7(a)

104. WVCA § 3‑8‑7(a)

105. WVCA § 3‑8‑5d(a)

106. WVCA § 3‑8‑13

107. WVCA § 3‑8‑7(b)

108. WVCA § 3‑8‑7(c)

109. WVCA §§ 3‑1A‑1; 3‑1A‑5; 3‑8‑7(b)

110. WVCA § 3‑8‑8(d), (e)

111. WVCA §§ 3‑1A‑6; 3-8-5b(d); *see* *also* *Rogers v. Hechler*, 348
     S.E.2d 299 (W.Va. 1986)

112. WVCA §§ 3‑8‑4; 3‑8‑5b(a)

113. WVCA §§ 3‑8‑7(b)

114. WVCA § 3‑8‑6

**CAMPAIGN FINANCE LAW**

**IN WISCONSIN**

**I. INTRODUCTION**

Wisconsin has set limits on the amount of contributions that may be made
to candidates and supporting or opposing political committees. The
contribution limits for non‑candidate individuals vary according to the
office involved, but calendar year contributions may not exceed
\$10,000. A state office candidate who receives an election campaign
fund grant is limited to twice the amount an individual may contribute
for the office. A state or local office candidate may not accept
contributions from all political committees combined (including the
election campaign fund) during a campaign of more than 65% of the
candidate\'s authorized disbursement level or from all political
committees combined (other than political party and legislative campaign
committees) and the election cam­paign fund of more than 45% of the
authorized level.

Political committees are limited in the amounts that may be contributed,
with the amount varying according to the office involved. Political
parties may not receive contributions of more than \$150,000 during any
biennium from all non‑party and non‑legislative‑campaign political
committees or more than \$6,000 from any one such committee. A schedule
of authorized disbursement levels has been established to provide a
basis for computing the maximum amount of contributions a candidate may
accept from political committees and to set the maximum amount a state
office candidate receiving an election campaign fund grant may disburse
during a campaign. Corporations and associations may not make
non‑referendum‑related contributions and disbursements, but may
estab­lish and administer a separate segregated fund.

Candidates, personal campaign committees, political committees,
political groups, and individuals that meet minimum contribution and
disbursement cri­teria must file registration statements with the
appropriate filing officer. Each registrant is required to file periodic
reports of contributions and disbursements unless otherwise exempted. A
candidate for supreme court justice or state su­perintendent of public
instruction at the spring election and a state office can­didate at the
general election may receive grants from the Wisconsin election campaign
fund if eligibility criteria are met. The State Elections Board, along
with local filing officers, administers and enforces the state campaign
financing law.

**II. CONTRIBUTION AND SOLICITATION LIMITATIONS**

**A. Definition of Contribution.** A \"contribution\" is:

\(1\) A gift, subscription, loan, advance, or deposit of money or
anything of value (except a loan of money by a commercial lending
institution made by the institution in accordance with applicable laws
and regulations in the ordinary course of business) made for political
purposes.

\(2\) A transfer of personalty, including campaign materials and
supplies, valued at the replacement cost at the time of transfer.

\(3\) A contract, promise, or agreement, if legally enforceable, to make
a gift, subscription, loan, advance, or deposit of money or anything of
value (except a loan of money by a commercial lending institution in
accordance with applicable laws and regulations in the ordinary course
of business) for a political purpose.

\(4\) A transfer of funds between candidates, political committees,
individuals, or political groups subject to a filing requirement under
the campaign financing law.

\(5\) The purchase of a ticket for a meal, rally, or other fund‑raising
event for a political purpose, whether or not actually utilized.

\(6\) The distribution of any publication or advertising matter for any
political purpose other than by a registrant (i.e., a registered
political committee, political group, or individual) or by a corporation
or association for an authorized activi­ty.

\(7\) A gift, subscription, loan, advance, or deposit of money or
anything of value (except a loan of money by a commercial lending
institution made by the institution in accordance with applicable laws
and regulations in the ordinary course of business) or a contract,
promise, or agreement, if legally enforceable, by a political committee
or an individual that is deposited in a campaign deposi­tory account of a
person, committee, or group and that is made for the purpose of making
expenditures in connection with a campaign for national office, pay­ment
of civil penalties incurred under the campaign financing law, payment of
the expenses of nonpartisan campaigns to increase voter registration or
partici­pation, or, in the case of a personal campaign committee or
support committee, payment of inaugural expenses of an individual
elected to state or local office \[1\].

If any person guarantees a loan to the extent it was made for a
political pur­pose to a person that has filed a registration statement
under the campaign fi­nancing law, the guarantor makes a contribution to
the registrant and the regis­trant incurs an obligation to the guarantor.
If more than one person guarantees the same loan, the guarantors make
contributions to the registrant and the regis­trant incurs obligations to
the guarantors in equal shares unless a different share is specified in
the loan instrument. If a registrant reduces the unpaid balance of a
loan by making a repayment to the lender or reimburses a guarantor from
whom the lender has collected upon a guarantee, the amount of the
guarantor\'s contribution and registrant\'s obligation is reduced
accordingly. If a registrant defaults on a guaranteed loan and the
lender collects the amount guaranteed from the guarantor, the guarantor
makes a contribution to the registrant and the registrant incurs an
obligation to the guarantor in an amount equal to the sum collected
\[2\].

The term \"contribution\" does *not* include any of the following:

\(1\) Services for a political purpose by an individual on behalf of a
registrant who is not compensated specifically for the services.

\(2\) 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 on the individual\'s
residential premises for a political purpose if no funds are raised with
the knowledge of the host.

\(3\) Any unreimbursed payment for travel expenses made by an individual
who on the individual\'s own behalf volunteers his or her personal
services for political purposes.

\(4\) The costs of preparation and transmission of personal
correspondence that is not reproduced by machine for distribution.

\(5\) Compensation for fringe benefits provided as a result of
employment by an employer to regular employees or pensioners who are not
compensated spe­cifically for services performed for a political purpose
and not in excess of that provided to others of like status.

\(6\) The reuse of surplus materials or utilization of unused surplus
materials not exceeding \$400 in value in the aggregate at the time of
original receipt that were acquired in connection with a previous
campaign for or against the same candidate, candidates, party, or
referendum in connection with which the mate­rials are used, if used by
the same registrant previously acquiring the materials and previously
reported by that registrant as a contribution \[3\].

When a political committee or group not organized exclusively for
political purposes receives a gift, subscription, loan, advance, or
deposit of anything of value and does not use it for political purposes,
it is not a contribution \[4\].

An act is for \"political purposes\" when it is done for the purpose of
(1) in­fluencing the election or nomination for election of any
individual to state or lo­cal office, (2) influencing the recall from or
retention in office of an individual holding a state or local office,
(3) payment of expenses incurred as a result of a recount at an
election, or (4) influencing a particular vote at a referendum. In the
case of a candidate or a political committee or political group that is
organ­ized primarily for the purpose of influencing the election or
nomination for elec­tion of any individual to state or local office, the
recall from or retention in of­fice of an individual holding a state or
local office, or a particular vote at a ref­erendum, all administrative
and overhead expenses for the maintenance of an office or staff that are
used principally for any such purpose are deemed to be for a political
purpose \[5\].

An \"incurred obligation\" is every express obligation to make any
contribution or disbursement, including every loan, guarantee of a loan,
or other obligation or payment for any goods or for any services that
have been performed or are to be performed in the future, incurred by a
candidate, political committee, po­litical group, or individual for
political purposes \[6\].

**B. Maximum Contribution Amounts.** Contributions made to and accepted
by a candidate or political committee cannot exceed certain maximum
limits. No candidate or political committee may receive and accept any
contribution in violation of the prescribed limits \[7\].

When a candidate adopts a pre‑existing support committee as his or her
per­sonal campaign committee, the support committee is deemed to have
been the same committee as the candidate\'s personal campaign committee
for the pur­pose of the application of the maximum limits for
contributions made to or ac­cepted by candidates. The maximum limits for
contributions by political com­mittees to candidates do not apply to the
transfer of contributions made at the time of adoption of the
pre‑existing support committee as a personal campaign committee, but do
apply to the contributions made by any other committee to the support
committee at the time of adoption \[8\].

Excess contributions must be returned to the donor or donated to the
common school fund or a charitable organization \[9\].

**1. Individuals.** An individual may not make contributions to a
candidate for nomination or election to designated state and local
offices or to any individ­ual or political committee acting solely in
support of the candidate or solely in opposition to the candidate\'s
opponent of more than the following total amounts per candidate: (1)
candidate for governor, lieutenant governor, secretary of state, state
treasurer, attorney general, state superintendent of public instruction,
or justice of the supreme court‑‑\$10,000; (2) candidate for state
senator‑‑\$1,000; (3) candidate for representative to the
assembly‑‑\$500; (4) candidate for court of appeals judge in a district
that contains a county having a population of more than
500,000‑‑\$3,000, (5) candidate for court of appeals judge in any other
dis­trict‑‑\$2,500, (6) candidate for circuit judge in a circuit having a
population of more than 300,000 or candidate for district attorney in a
prosecutorial unit having a population of more than 300,000‑‑\$3,000,
(7) candidate for circuit judge in any other circuit or candidate for
district attorney in any other prosecutorial unit‑‑\$1,000, and (8)
candidate for a local office‑‑an amount equal to the greater of \$250 or
1¢ times the number of inhabitants of the jurisdiction or dis­trict, but
not more than \$3,000 \[10\]. These contribution limits apply
cumulative­ly, regardless of the time of contribution, to the entire
primary and election campaign, including an uncontested primary, in
which the candidate participates, and the total may be apportioned in
any manner between the primary and elec­tion \[11\].

An individual may not make contributions of more than \$10,000 in any
calen­dar year to all candidates for state and local offices and to any
individuals or po­litical committees required to register who support or
oppose those candidates, including legislative campaign committees and
political party committees \[12\].

**2. Candidates.** The contribution limits for individuals do not apply
to a candidate who makes contributions to his or her own campaign from
personal funds or property he or she owns or is owned jointly or as
marital property with the candidate\'s spouse \[13\].

A candidate for state or local office may accept for the office for
which he or she is a candidate during any primary and election campaign
(1) combined from all political committees (including political party
and legislative campaign com­mittees) and the Wisconsin election campaign
fund‑‑not more than 65% of the value of the total authorized
disbursement level (*see* Section III.B, *infra*) or (2) combined from
all political committees (other than political party and legislative
campaign committees) and the Wisconsin election campaign fund‑‑not more
than 45% of the value of the total authorized disbursement level \[14\].

**3. Political Committees Other Than Political Party or Legislative
Campaign Committees.** A political committee (other than a political
party committee or a legislative campaign committee) may not make
contributions to a candidate for any of the following specified offices
and to any individual or po­litical committee acting solely in support of
the candidate or solely in opposition to his or her opponent of more
than the following amounts per candidate: (1) candidate for governor,
lieutenant governor, secretary of state, state treasurer, attorney
general, state superintendent of public instruction, or justice of the
su­preme court‑‑4% of the value of the authorized disbursement level
(*see* Section III.B, *infra*); (2) candidate for state
senator‑‑\$1,000; (3) candidate for represen­tative to the
assembly‑‑\$500; (4) candidate for court of appeals judge in a dis­trict
that contains a county having a population of more than
500,000‑‑\$3,000; (5) candidate for court of appeals judge in any other
district‑‑\$2,500; (6) can­didate for circuit judge in a circuit having a
population of more than 300,000 or candidate for district attorney in a
prosecutorial unit having a population of more than 300,000‑‑\$3,000;
(7) candidate for circuit judge in any other district or candidate for
district attorney in any other prosecutorial unit‑‑\$1,000; and (8)
candidate for local office‑‑an amount equal to the greater of \$200 or
3/4 of 1¢ times the number of inhabitants of the jurisdiction or
district, but not more than \$2,500 \[15\].

No political committee, other than a political party committee or
legislative campaign committee, is permitted to make any contribution,
directly or indirect­ly, to a political party of more than \$6,000 in a
calendar year \[16\].

**4. Political Party and Legislative Campaign Committees.** A political
party may not receive more in value of its contributions than \$150,000
in any biennium from all other political committees, excluding
contributions from legis­lative campaign committees and transfers between
committees of the party, or more than \$6,000 in value of its
contributions in any calendar year from any specific committee or its
subunits or affiliates, excluding political party commit­tees and
legislative campaign committees. A \"biennium\" is a 2‑year period
commencing with January 1st of each odd‑numbered year and ending with
De­cember 31st of each even‑numbered year \[17\]. A legislative campaign
commit­tee may accept no contributions and make no contributions or
disbursements exceeding the amounts authorized for a political party
\[18\].

If a political committee that was registered as a political party
committee or legislative campaign committee supporting candidates of a
political party files a statement under oath affirming that it does not
act in cooperation, consultation, or concert with or at the request or
suggestion of any candidate who is nominat­ed to appear on the party
ballot of the party at a general or special election and that the
committee does not act in cooperation, consultation, or concert with or
at the request or suggestion of such a candidate who benefits from a
disburse­ment made in opposition to another candidate, the committee may
not make any contributions in support of any candidate of the party at
the general or special election or in opposition to any such
candidate\'s opponents that exceed the max­imum limits for contributions
to candidates by other political committees (*see* Section II.B.3,
*supra*). If the committee had already made contributions in ex­cess of
the maximum limits at the time it filed a statement under oath, each
can­didate to whom contributions were made must promptly return a
sufficient amount of contributions to bring the committee into
compliance with the maxi­mum limits and the committee may not make any
additional contributions over the limits \[19\].

A non‑political‑party and non‑legislative‑campaign political committee
that previously filed a statement under oath as to independent
candidate‑related dis­bursements may change its status to a political
party committee or legislative campaign committee (*see* Section IV.C,
*infra*), and the contribution limitations applicable to political party
and legislative campaign committees do not apply to contributions
received by the committee prior to the date of the change of status
\[20\].

**5. Wisconsin Election Campaign Fund.** Contributions received from the
state election campaign fund are not subject to the maximum contribution
limitations, except those limitations based on the disbursement level
for can­didate acceptance of political committee contributions (*see*
Section II.B.2, *supra*) \[21\].

**C. Contributions and Disbursements Through Candidates or Other
Registrants.** No contribution may be made or received and no
disbursement may be made or obligation incurred by a person or political
committee, except within the amounts authorized, in support of or in
opposition to any specific candidate or candidates in an election other
than through the campaign treasurer of the candidate or the candidate\'s
opponent or by or through a registered indi­vidual or political committee
that has filed a statement under oath concerning independent
candidate‑related disbursements \[22\].

**D. Corporations, Associations, and Separate Segregated Funds.** A
for­eign or domestic corporation or Chapter 185 association may not make
a contri­bution or disbursement, directly or indirectly, either
independently or through a political party, political committee,
political group, candidate, or individual for any purpose other than to
promote or defeat a referendum; however, it may publish periodicals in
the regular course of its affairs to advise members, share­holders, or
subscribers of the disadvantages or advantages to their interests of the
election to office of persons espousing certain measures and communicate
with them with respect to its endorsements of candidates, its positions
on a ref­erendum, or an explanation of its views and interests \[23\]. A
political party, committee, group, candidate, or individual may not
accept any prohibited con­tribution or disbursement made to or on behalf
of the individual or entity \[24\].

A corporation or voluntary association, as well as a cooperative, may
not solic­it contributions from persons who are not members,
shareholders, or subscribers to be used for the purpose of communicating
with its members, shareholders, or subscribers with respect to
endorsements of candidates, positions on a referen­dum, or explanation of
its views or interests \[25\].

A foreign or domestic corporation or Chapter 185 association may
establish and administer a separate segregated fund and solicit
contributions from indi­viduals to the fund for use by the corporation or
association for the purpose of supporting or opposing any candidate for
state or local office, but the corpora­tion or association may not make
any contribution to the fund or expend more than a combined total of
\$500 annually for the solicitation of contributions to the fund or to a
conduit. The fund must appoint a treasurer and register as a po­litical
committee, although a parent corporation or association engaging solely
in this activity is not subject to regular registration under the
campaign financing law, but must register and file special reports
disclosing its administrative and solicitation expenses on behalf of
such fund \[26\].

**E. Contributions From the Resources and in the Name of the Actual
Contributor.** No person, other than a conduit making a contribution in
the prescribed manner, may make, directly or indirectly, any
contribution other than from funds or property belonging to the
contributor, and no person may furnish, directly or indirectly, funds or
property to another person for the purpose of making a contribution in
other than the person\'s own name. No person may in­tentionally accept or
receive any contribution made in violation of these re­quirements \[27\].

A \"conduit\" is an individual or organization that receives a
contribution and transfers the contribution to another individual or
organization without exercis­ing discretion as to the amount that is
transferred and the individual or organiza­tion to which the transfer is
made \[28\].

**F. Contributions in Violation of the Law.** No person may
intentionally accept or receive any contribution made in violation of
the campaign financing law \[29\].

**G. Special Privileges From a Public Utility.** A public utility and
anyone connected with the utility may not offer or give any special
privilege to any can­didate for public office, any political committee,
any individual making inde­pendent disbursements, or any third party at
the request of or for the advantage of any of them, and a candidate,
political committee, or individual making inde­pendent disbursements may
not ask for or accept any special privilege from a public utility
\[30\].

**H. Contributions From Unregistered Non‑Residents.** A campaign
treas­urer or individual who knowingly receives a contribution made by an
unregis­tered non‑resident political committee, political group, or
individual may not use or expend the contribution, but must immediately
return it to the source or, at the recipient\'s option, donate the
contribution to a charitable organization or the common school fund
\[31\].

**I. Anonymous Contributions.** Any anonymous contribution exceeding
\$10 received by a campaign, political committee, or political group
treasurer or by an individual making independent disbursements may not
be used or expend­ed and must be donated to the common school fund or a
charitable organization at the option of the treasurer \[32\].

**J. Cash Contributions.** Every contribution of money exceeding \$50
must be made by negotiable instrument or evidenced by an itemized credit
card re­ceipt bearing on the face the name of the remitter. A treasurer
may not accept a contribution made in violation of this requirement and
must promptly return the contribution or donate it to the common school
fund or a charitable organi­zation in the event the donor cannot be
identified \[33\].

**K. Earmarking of Contributions.** The treasurer of a personal campaign
committee may agree with a prospective contributor that a contribution
is re­ceived for use for a specific purpose not prohibited by law;
however, the pur­pose may not include a disbursement in support of or in
opposition to another candidate or the transfer to an individual or
political committee acting in support of or in opposition to another
candidate, except as authorized in a permitted es­crow agreement \[34\].

When a contribution is made to a political party or to an individual or
political committee other than a candidate or the candidate\'s personal
campaign commit­tee, the purpose may not be specified except pursuant to
a permitted escrow agreement. If a contribution is received pursuant to
an escrow agreement for transfer to a candidate in accordance with the
prescribed procedure under such agreements, the contributor may specify
the recipient of the contribution, and if a contribution is received by
a support committee established for adoption by a candidate, the
contributor may specify that the contribution must be utilized for the
support of the candidate being supported by the committee. Except for
transfers of membership‑related moneys between political committees of
the same political party and transfers made pursuant to permitted escrow
agree­ments, no political committee may act as a conduit for the
earmarked contribu­tions of others \[35\].

**L. Solicitation of Contributions for Multiple Candidates by Political
Committees Pursuant to an Escrow Agreement.** Any personal campaign
committee, political party committee, or legislative campaign committee
may so­licit contributions for and conduct a joint fund‑raising effort or
program on be­half of multiple candidates pursuant to a written escrow
agreement with more than one candidate. The agreement must specify the
percentage of the proceeds to be distributed to each candidate by the
committee conducting the effort or program, and all contributions
received and disbursements made by the commit­tee in connection with the
effort or program must be received and disbursed through a separate
depository account that is identified in the agreement \[36\].

For the purpose of financial reporting by the recipient candidates, the
commit­tee conducting the effort or program is required to prepare a
schedule, in a form prescribed by the State Elections Board, supplying
all required information for fi­nancial reporting and the items for the
effort or program qualifying for exclusion in the computation of total
disbursements by Wisconsin election campaign fund grant recipients. A
copy of the schedule is to be transmitted to each candidate who receives
any of the proceeds \[37\].

**M. Solicitation of Gifts From Candidates.** No person may demand,
solicit, take, invite, or receive from a candidate any gift of any thing
of value for a relig­ious, charitable, or fraternal cause or for any
organization other than a political committee or political group, and a
candidate may not make, initiate, or promise such a gift \[38\].

**N. Solicitation of Government Employees.** No person may solicit or
re­ceive from any state or political subdivision officer or employee any
contribu­tion or service for any political purpose during the established
hours of em­ployment or while the officer or employee is engaged in his
or her official du­ties; however, an elected state official may solicit
and receive services not consti­tuting a contribution from a state
officer or employee with respect to a referen­dum. An agreement to
perform an authorized personal service may not be a condition of
employment for any state officer or employee \[39\].

A \"political purpose\" includes an act done for the purpose of
influencing the election or nomination for election of a person to
national office, and the term \"contribution\" includes an act done for
that purpose \[40\].

**O. Use of Government Property.** A person elected to state or local
office who becomes a candidate for national, state, or local office may
not use public funds for the cost of materials or distribution for 50 or
more pieces of substan­tially identical material distributed after:

\(1\) In the case of a candidate nominated by nomination papers, the
first day authorized by law for circulation of nomination papers as a
candidate.

\(2\) In the case of a candidate who is nominated at a primary election
by write‑in votes, the day the board of canvassers issues its
determination that the person is nominated.

\(3\) In the case of a candidate who is nominated at a caucus, the date
of the caucus.

\(4\) In the case of any other candidate who is nominated solely by
filing a dec­laration of candidacy, the first day of the month preceding
the month that in­cludes the last day for filing the declaration.

This restriction continues in effect until after the date of the
election or after the date of the primary election if the person appears
as a candidate on a prim­ary election ballot and is not nominated. The
restriction does not apply to the use of public funds when not done for
a political purpose for the costs of (1) an­swers to communications of
constituents, (2) actions taken by a state or local government
administrative officer pursuant to a specific law, ordinance, or
reso­lution that authorizes or directs the actions to be taken, and (3)
communications not exceeding 500 pieces by members of the legislature
relating solely to the subject matter of a special or extraordinary
session made during the period bet­ween the date the session was called
or scheduled and 14 days after adjourn­ment of the session \[41\].

Vehicles and aircraft owned by the state or any local governmental unit
may not be used for any trip that is exclusively for the purpose of
campaigning in support of or in opposition to any candidate for
national, state, or local office unless the use of the vehicle or
aircraft is required for the purpose of security protection provided by
the state or local governmental unit. If the purposes for the use of a
vehicle or aircraft include campaigning, the person using the vehicle or
aircraft must pay a fee comparable to the commercial market rate for the
use of a similar vehicle or aircraft and for any services provided to
operate the vehi­cle or aircraft \[42\].

**P. Solicitation in State and Local Government Buildings.** Every
person who has charge or control in a building, office, or room occupied
for any pur­pose by the state or any political subdivision must prohibit
the entry of any per­son into the building, office, or room for the
purpose of making or receiving a contribution. No person may enter or
remain in a building, office, or room oc­cupied for any purpose by the
state or any political subdivision or send or direct a letter or other
notice thereto for the purpose of requesting or collecting con­tributions
\[43\].

**Q. Contributions by Judges and Judicial Candidates**. A judge or
can­didate for judicial office may not personally solicit or accept
campaign contribu­tions; however, this prohibition does not preclude
reasonable financial contribu­tions to a voluntary campaign committee in
behalf of a judicial candidate \[44\].

A \"judge\" is a justice of the supreme court, a judge of the court of
appeals, a judge of the circuit court, a reserve judge, a municipal
judge, a court commis­sioner, or anyone, whether or not a lawyer, who is
an officer of the judicial sys­tem and who performs judicial functions
\[45\].

A \"candidate for judicial office\" is a person seeking selection for or
retention of a judicial office by means of election or appointment who
makes a public an­nouncement of candidacy, declares or files as a
candidate with the election or appointment authority, or authorizes
solicitation or acceptance of contributions or support \[46\].

**R. Contributions by an Employee Welfare Fund.** Political
contributions may not be made directly or indirectly by or from any
employee welfare fund \[47\].

**S. Solicitation or Receipt of Contributions by the Commissioner of
In­surance.** The commissioner of insurance may not directly or
indirectly solicit, receive, or be in any manner concerned with
soliciting or receiving any assess­ment, subscription, contribution, or
service, whether voluntary or involuntary, for any political purpose
whatever from any person \[48\].

**T. Solicitation of or by State Civil Service Personnel.** No person
holding a position in the state classified civil service may directly or
indirectly solicit or receive subscriptions or contributions for any
partisan political activity or any political purpose while on state time
or engaged in official duties as an em­ployee. No person may orally
solicit or by letter transmit any solicitation to a state office or be
in any manner concerned in soliciting any assistance, subscrip­tion, or
support for any partisan political activity or purpose from any person
holding any position in the state classified civil service while on
state time or en­gaged in official duties as an employee \[49\].

**U. Contributions by Lobbyists to Elected State Officials Who Are
Candidates and to Candidates for State Office.** A lobbyist or employer
of a lobbyist may not (1) furnish to any agency official or legislative
employee of the state or any elective state official or candidate for an
elective state office and or to the official\'s, employee\'s, or
candidate\'s personal campaign committee lodg­ing, transportation, food,
meals, beverages, money or any other thing of pecuni­ary value or (2)
make a unexempted campaign contribution to a partisan elec­tive state
office official for the purpose of promoting the official\'s election to
any national, state, or local office, to a candidate for partisan
elective state office to be filled at the general election or a special
election, or to the official\'s or candi­date\'s personal campaign
committee. A candidate for elective state office, an elective state
official, agency official, or legislative employee of the state may not
solicit or accept anything of pecuniary value from a lobbyist or
lobbyist\'s employer except as otherwise permitted. A personal campaign
committee of a candidate for state office may not accept anything of
pecuniary value from a lobbyist or lobbyist\'s employer except as
otherwise permitted \[50\].

The activities prohibited by a lobbyist or lobbyist\'s employer do not
apply to, among other exceptions, (1) food, meals, beverages, or
entertainment provided by the governor when acting in an official
capacity and (2) the furnishing by a lobbyist\'s employer of
transportation, lodging, food, meals, beverages, or any other thing of
pecuniary value that is also available to the general public \[51\].

A lobbyist may make a campaign contribution to a partisan elective state
of­fice official for the official\'s election to any office, to a
candidate for partisan elective state office at the general election or
a special election, or to the offi­cial\'s or candidate\'s personal
campaign committee in the year of a candidate\'s election between June
1st and the general election day, although campaign con­tributions to
candidates for legislative office may be made during that period only if
the legislature has concluded its final floor period and is not in
special or extraordinary session \[52\].

**V. Adverse Action as to Employment or Government Benefits for Fai­lure
to Make a Contribution.** No person may directly or indirectly cause any
person to make a contribution or provide any service or other thing of
value to or for the benefit of a candidate, political party, or
registrant under the cam­paign financing law with the purpose of
influencing the election or nomination of a candidate to national,
state, or local office or the passage or defeat of a ref­erendum by means
of either of the following:

\(1\) The denial or threat of denial of any payment or other benefit of
a pro­gram that has been funded in whole or in part by or that has
applied for funding by the state or any local government unit.

\(2\) The denial or the threat of denial of any employment, position,
work, or promotion or any compensation or other benefit of such
employment, position, or work or by means of discharge, demotion, or
disciplinary action or the threat to impose a discharge, demotion, or
disciplinary action. This prohibition does not apply to employment by a
candidate, political party, or other registrant in connection with a
campaign or political party activities \[53\].

**W. Contributions From Officers and Employees of 1st Class Cities.** No
office or employee of a 1st class city may discharge, degrade, promote,
or in any manner change the official rank or compensation of any other
officer or em­ployee of the city for giving or withholding any
contribution of money or other valuable thing for any party or political
purpose or for refusal or neglect to render any party or political
service \[54\].

**III. EXPENDITURE LIMITATIONS**

**A. Definition of Disbursement.** A \"disbursement\" is:

\(1\) A purchase, payment, distribution, loan, advance, deposit, or gift
of mon­ey or anything of value (except a loan of money by a commercial
lending institu­tion made in accordance with applicable laws and
regulations in the ordinary course of business) made for political
purposes.

\(2\) A transfer of personalty, including campaign materials and
supplies, valued at the replacement cost at the time of transfer.

\(3\) A contract, promise, or agreement, if legally enforceable, to make
a pur­chase, payment, distribution, loan, advance, deposit, or gift of
money or any­thing of value (except a loan of money by a commercial
lending institution in accordance with applicable laws and regulations
in the ordinary course of busi­ness) for any political purpose.

\(4\) An expenditure made from a campaign depository account in
connection with a campaign for national office or for payment of civil
penalties incurred under the campaign financing law, the expenses of
nonpartisan campaigns to in­crease voter registration or participation,
or, in the case of a personal campaign committee or support committee,
inaugural expenses of an individual elected to state or local office
\[55\].

The term \"disbursement\" does *not* include any of the following:

\(1\) 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 on the individual\'s
residential premises for a political purpose if no funds are raised with
the knowledge of the host.

\(2\) Any unreimbursed payment for travel expenses made by an individual
who on his or her own behalf volunteers the individual\'s personal
services for political purposes.

\(3\) The costs of preparation and transmission of personal
correspondence not reproduced by machine for distribution.

\(4\) Compensation or fringe benefits provided as a result of employment
by an employer to employees or pensioners who are not compensated
specifically for services performed for a political purpose and not in
excess of that provided to others of like status.

\(5\) The reuse of surplus materials or utilization of unused surplus
materials not exceeding \$400 in value in the aggregate at the time of
original receipt that were acquired in connection with a previous
campaign for or against the same candidate, candidates, party, or
referendum in connection with which the mate­rials are used and that are
used by the same registrant previously acquiring the materials and
previously reported by that registrant as a disbursement \[56\].

**B. Authorized Disbursement Levels.** A schedule of authorized
disburse­ment levels has been established to provide a basis for
computing the maximum amount of contributions that a candidate may
accept from political committees during a campaign and to set the
maximum amount of disbursements that a state office candidate who
receives an election campaign fund grant may make during a campaign
\[57\].

The authorized levels of disbursements are as follows: (1) candidate for
gov­ernor‑‑\$1,078,200; (2) candidate for lieutenant governor‑‑\$323,475;
(3) can­didate for attorney general‑‑\$539,000; (4) candidate for
secretary of state, state treasurer, justice of the supreme court, and
state superintendent of public in­struction‑‑\$215,625; (5) candidate for
court of appeals judge‑‑\$86,250; (6) can­didate for state
senator‑‑\$34,500 total in the primary and election, with dis­bursements
not exceeding \$21,575 for either the primary or the election; (7)
candidate for representative to the assembly‑‑\$17,250 total in the
primary and election, with disbursements not exceeding \$10,775 for
either the primary or the election; (8) candidate for circuit
judge‑‑\$86,250; (9) in any jurisdiction or dis­trict (other than a
judicial district or circuit) with a population of 500,000 or more,
candidate for county executive‑‑\$269,500, district attorney‑‑\$161,725,
county supervisor‑‑\$17,250, and other county‑wide office‑‑\$107,825;
(10) in a city of the 1st class, candidate for mayor‑‑\$269,550, city
attorney‑‑\$161,725, al­derman‑‑\$17,250, and any other citywide
office‑‑\$107,825; and (11) candidate for any local office who is
elected from a jurisdiction or district with less than 500,000
inhabitants‑‑an amount equal to the greater of \$1,075 or 53.91% of the
annual salary (rounded to the nearest \$25) or 32.35¢ per inhabitant of
the juris­diction or district, but in no event more than \$43,125 \[58\].

**C. Disbursements for a Lawful Purpose.** No person, political
committee, or political group may intentionally receive or accept
anything of value or any promise or pledge thereof constituting a
disbursement made or obligation in­curred for political purposes contrary
to law or make or authorize a disburse­ment or the incurrence of any
obligation from moneys solicited for political pur­poses for a purpose
that is other than political, except as specifically authorized by law
\[59\].

An individual, political committee, or political group that has filed a
registra­tion statement pursuant to the campaign financing law may make
disbursements for any lawful political purpose \[60\]. A registrant may
accept contributions and make disbursements from a campaign depository
account (1) for the purpose of making expenditures in connection with a
campaign for national office, (2) for payment of civil penalties
incurred by the registrant under the campaign financ­ing law, (3) for
payment of the expenses of nonpartisan campaigns to increase voter
registration or participation, and (4) in the case of a personal
campaign committee or support committee, for payment of inaugural
expenses of an indi­vidual elected to state or local office \[61\].

**D. Corporate or Association Communications.** A corporation,
coopera­tive, or voluntary association, other than a political party or
personal campaign committee, may make disbursements for the purpose of
communicating only with its members, shareholders, or subscribers, to
the exclusion of all other per­sons, with respect to endorsements of
candidates, positions on a referendum, or explanation of its views or
interests without reporting the activity; however, the communications
medium used must be restricted solely to members, sharehold­ers, or
subscribers \[62\].

**E. Disbursements in the Actual Name of the Disbursing Person.** No
disbursement may be made or obligation incurred anonymously, and no
contri­bution or disbursement may be made or obligation incurred in a
fictitious name or by one person or organization in the name of another
for any political pur­pose \[63\].

**F. Disbursements by Negotiable Instrument.** Every disbursement made
by a registered individual or treasurer from the campaign depository
account must be made by negotiable instrument \[64\].

**G. Disbursements by or With the Authorization of the Campaign
Treasurer.** No disbursement may be made or obligation incurred by a
can­didate or by any other person or political committee to advocate the
election or defeat of a clearly identified candidate, other than an
individual or political committee that has registered and filed a
statement under oath concerning inde­pendent candidate‑related
disbursements, except by the campaign treasurer of the candidate or
other agent designated by the candidate \[65\].

The treasurer of each political committee and each individual who
proposes to make a disbursement to advocate the election or defeat of a
clearly identified candidate must notify the treasurer or other
designated agent of the candidate who is supported or whose opponent is
opposed and obtain the authorization of the treasurer prior to making
the disbursement. This requirement does not ap­ply to an individual or
political committee filing a statement under oath concern­ing independent
disbursements with respect to the candidate who is supported or opposed
\[66\].

The requirements for candidate‑related disbursements to be made and
obliga­tions incurred by or with the authorization of the candidate\'s
campaign treasurer or other agent do not apply to certain indirect
disbursements or obligations made by non‑candidate individuals and
political committees or groups not pri­marily organized for political
purposes \[67\].

**H. Use of Contributions for a Candidate or Public Official Defense
Fund.** No person may use a contribution received from a contributor to
a cam­paign fund for a purpose for which a defense fund established by a
candidate or public official is authorized unless the authorization of
the contributor is re­ceived; however, a contributor may authorize the
transfer of all or part of a con­tribution from a campaign fund to a
defense fund \[68\].

**IV. REPORTING REQUIREMENTS**

**A. General Provisions of the Campaign Financing Law**

**1. Application of the Law.** The campaign financing law applies to all
elections, including special elections, but does not apply, subject to
specific ex­ceptions to (1) any candidate for national office acting
exclusively in support of the candidate\'s own campaign with respect to
those activities only or (2) any in­dividual or political committee
acting exclusively in support of or in opposition to candidates for
national office or other individuals and political committees
ex­clusively supporting or opposing candidates for national office. The
registration and reporting requirements of the law do not apply to
elections for the positions of presidential elector and convention
delegate \[69\].

**2. Reporting Exemptions.** A person, political committee, or political
group (other than a political committee or individual required to file
an state­ment under oath concerning independent candidate‑related
disbursements) that does not anticipate accepting contributions, making
disbursements, or incurring obligations in an aggregate amount in excess
of \$1,000 in a calendar year and does not anticipate accepting any
contribution or contributions from a single source (other than
contributions made by a candidate to his or her own cam­paign) exceeding
\$100 in that year is not subject to any filing requirement if it is
indicated on the registration statement for the person, committee, or
group that the threshold amounts for reporting will not be reached and
if the statement is true. The registrant will again be subject to the
filing requirements when the in­dication is revoked, when aggregate
contributions, disbursements, or obligations for the calendar year
exceed \$1,000, or when the registrant accepts any contri­bution or
contributions exceeding \$100 from a single source, other than
contri­butions made by a candidate to his or her own campaign, during
that year, whichever is earlier \[70\].

**3. Filing Officers.** Each person, political committee, and political
group required to register has one filing officer, except when the
filing of duplicate re­ports is required \[71\].

The designated filing officers are as follows:

\(1\) The State Elections Board is the filing officer for (1) political
party committees, (2) each candidate for state office and each political
committee or individual that is acting in support of or in opposition to
any candidate for state office, (3) each political committee or
individual that is acting in support of or in opposition to any
candidates for both state and local offices, and (4) each political
group or individual that is acting in support of or in opposition to a
statewide referendum.

\(2\) Except for the office municipal judge of a joint municipal court,
the filing officer for each candidate for local office and each
political committee or individual that is acting in support of or in
opposition to any candidate for lo­cal office (but not a candidate for
state office), is the clerk of the most populous jurisdiction for which
any candidate supported or opposed seeks office.

\(3\) The filing officer for each candidate for municipal judge of a
joint municipal court of two or more cities, towns, or villages and for
each committee or individual acting in support of or in opposition to
such a candidate (but not a candidate for state office) is the county
clerk or board of election commissioners or the county having the
largest portion of the population in the jurisdiction served by the
judge.

\(4\) The fil­ing officer for each political group or individual that is
acting in support of or in opposition to any local referendum, but not
any statewide referendum, is the clerk of the most populous jurisdiction
in which a referendum being supported or opposed is conducted.

\(5\) If the jurisdiction is a school district, the appropriate filing
officer is the school district clerk \[72\].

If a registrant whose filing officer is the State Elections Board makes
disburse­ments in connection with elections for offices or referenda that
affect only one county or a portion of one county, the registrant must
also file a duplicate origi­nal of each financial report with the county
clerk or county board of election commissioners in each county in which
the elections in which the registrant par­ticipates are held unless the
registrant is a candidate, personal campaign commit­tee, political party
committee, or other political committee making disburse­ments in support
of or in opposition to a candidate for state senator, representa­tive to
the assembly, court of appeals judge, or circuit judge \[73\].

**4. Transaction Dates.** A contribution is received by a candidate when
it is under the control of the candidate or campaign treasurer or such
person ac­cepts the benefit of the contribution. A contribution is
received by an individu­al, political committee (other than a personal
campaign committee), or political group when it is under the control of
the individual or the committee or group treasurer or such person
accepts the benefit of the contribution. Unless it is re­turned or
donated within 15 days of receipt, a contribution must be reported as
received and accepted on the date received \[74\].

All contributions received by a person acting as an agent of a candidate
or treasurer are to be reported by the person to the candidate or
treasurer within 15 days of receipt. The agent must transmit a
contribution of money to the can­didate or treasurer within 15 days of
receipt \[75\].

**5. Filing Fees.** Each individual, committee, group, or corporation,
except a candidate and personal campaign committee, that is required to
register with the State Elections Board and makes disbursements
exceeding \$2,500 in a calen­dar year is required annually to pay a
filing fee of \$100 to the Board. The an­nual filing fee is to be paid
with (1) the filing of the registration statement or at any time before
a change in status requiring the filing of a registration statement
becomes effective, (2) the filing of the continuing report filed in
January of each year, and (3) the filing of a termination report \[76\].

**B. Registration Statement**

**1. General Provisions.** Candidates and personal campaign committees,
political committees, political groups, and individuals are required to
file regis­tration statements with the appropriate filing officer if they
meet minimum cri­teria concerning contributions, disbursements, and
obligations and are not otherwise exempted from filing \[77\]. A
candidate must register no later than the time he or she becomes a
candidate, and the candidate and the candidate\'s agents may not accept
any contribution unless the candidate is registered \[78\]. A political
committee, political group, or individual, other than a candidate or the
candidate\'s agent, must register no later than the 5th business day
after re­ceipt of the first contribution and before making any
disbursement. No contri­butions exceeding \$25 in the aggregate during a
calendar year may be accepted unless the committee, group, or individual
is registered, except within the initial 5‑day period \[79\]. A person,
committee, or group subject to the registration re­quirement may not make
any contribution or disbursement from property or funds received before
the date of registration \[80\].

Any individual, political committee, or political group that has
received prop­erty or funds that were not intended for political purposes
in connection with an election for state or local office at the time of
receipt may make contributions or disbursements from the property or
funds in connection with an election for state or local office if the
individual, committee, or group files a registration statement as soon
as such intent changes \[81\].

An individual, political committee, or political group does not violate
the re­quirement to register by accepting a contribution and making a
disbursement in the amount required to rent a postal box or in the
minimum amount required by a bank or trust company to open a checking
account prior to the time of regis­tration if the disbursement is
properly reported in the first required report sub­mitted after the date
of registration whenever a reporting requirement applies to the
registrant \[82\].

An individual, political committee, or political group that receives a
contribu­tion of money and transfers the contribution to another
individual, committee, or group while acting as a conduit is not subject
to registration unless the indi­vidual, committee, or group transfers the
contribution to a candidate or personal campaign, legislative campaign,
political party, or support committee \[83\]. If an individual makes
only those disbursements and incurs only those obligations that are
exempted from reporting or if a political committee or group makes no
con­tributions and makes only those disbursements and incurs only
obligations that are exempted from reporting, then registration is not
required \[84\].

If an organization not organized exclusively for political purposes
makes a contribution from its own property or funds to an affiliated
committee or group that is organized exclusively for political purposes
and the contributing commit­tee or group receives no contribution from a
single source in excess of \$20 in the aggregate during any calendar
year, makes no contributions or disbursements, and incurs no obligations
other than to make the transactions specified, then the registration
requirement does not apply to the contributing organization \[85\].

Each registration statement must include the following information,
where ap­plicable:

\(1\) Name and mailing address of the registrant.

\(2\) In the case of a committee, a statement as to whether the
committee is a personal campaign committee, a political party committee,
a legislative cam­paign committee, a support committee, or a special
interest committee.

\(3\) The name and mailing address of the campaign treasurer and any
other custodian of books and accounts.

\(4\) The name, mailing address, and position of other principal
officers, includ­ing officers and members of the finance committee, if
any.

\(5\) The nature of any referendum supported or opposed.

\(6\) The name and address of the campaign depository account and of any
other institution where funds are kept and the account number of the
accounts and safety deposit boxes.

\(7\) In the case of a labor organization, separate segregated fund, or
conduit established by a labor organization, a statement as to whether
the organization is incorporated and, if so, the date of incorporation
and whether or not the in­corporation is under Chapter 181.

\(8\) In the case of a legislative campaign committee, a statement
signed by the leader of the party in the house for which the committee
is established attesting to the fact that the committee is the only
authorized legislative campaign com­mittee for that party in that house.

\(9\) In the case of a support committee, a statement signed by the
individual on whose behalf the committee intends to operate affirming
that the committee is the only committee authorized to operate on the
individual\'s behalf, unless the committee files a statement under oath
concerning independent candidate‑relat­ed disbursements \[86\].

Every registration statement and change in a statement must contain a
certifi­cation signed by the individual filing the statement that all
information contained in the statement is true, correct, and complete
\[87\].

Any change in information previously submitted in a registration
statement must be reported by the registrant to the appropriate filing
officer within 10 days following the change; however, a change in an
indication as to whether the dollar‑amount threshold for a reporting
exemption will be exceeded must be re­ported no later than the date that
a registrant becomes subject to a filing re­quirement. If a pre‑existing
support committee is adopted by a candidate as the candidate\'s personal
campaign committee, the candidate is required to file an amendment to
the committee\'s registration statement indicating that all informa­tion
contained in the statement is true, correct, and complete \[88\].

**2. Political Committees and Political Groups.** Every political
commit­tee (other than a personal campaign committee) and political group
subject to registration that makes or accepts contributions, incurs
obligations, or makes disbursements in a calendar year in an aggregate
amount in excess of \$25 must file a registration statement. A personal
campaign committee registers in con­junction with the candidate \[89\].

A \"political party\" is a state committee registered under the campaign
financ­ing law that is organized exclusively for political purposes and
under whose name candidates appear on a ballot at any election and all
county, congressional, legislative, local, and other affiliated
committees authorized to operate under the same name. Under the campaign
financing law, the term \"political party\" does not include a
legislative campaign committee or a political committee that filed a
statement under oath concerning independent candidate‑related
disbursements \[90\].

A \"political committee\" or \"committee\" is any person other than an
individual and any combination of two or more persons, permanent or
temporary, that makes or accepts contributions or makes disbursements,
whether or not engaged in activities that are exclusively political,
except that a political committee does not include a political group
\[91\].

A \"legislative campaign committee\" is a political committee that is
organized in either house of the legislature to support candidates of a
political party for legis­lative office and does not file an oath
concerning independent candidate‑related disbursements \[92\]. No more
than one legislative campaign committee may be established by the
members of one political party in each house of the legisla­ture \[93\].

A \"political group\" or \"group\" is any person other than an
individual and any combination of two or more persons, permanent or
temporary, that makes or accepts contributions or makes disbursements
for the purpose of influencing the outcome of any referendum, whether or
not engaged in activities that are exclu­sively political \[94\].

A federal account committee or a national political party committee must
file a registration statement with the appropriate filing officer if
required to do so as a \"political committee\" under the campaign
financing law \[95\]. A \"federal ac­count committee\" is a committee of
a state political party organization that makes contributions to
candidates for national office and is registered with the federal
election commission \[96\]. A \"national political party committee\" is
a na­tional committee as defined in 2 U.S.C. § 431(14) \[97\].

Every political committee or group must appoint a treasurer. No
disburse­ment may be made or obligation incurred by or on behalf of a
committee or group without the authorization of the treasurer or
designated agents \[98\]. All funds received by the treasurer of a
committee or group must be deposited in a single separate campaign
depository account, which may be established with any financial
institution authorized to transact business in the state \[99\]. All
contri­butions received and disbursements made by a committee in
connection with the solicitation of contributions or a joint
fund‑raising effort for multiple candidates under an escrow agreement
with more than one candidate must be received and disbursed through a
separate depository account identified in the agreement \[101\]. A
campaign depository account must be established no later than the 5th
business day after a committee becomes subject to registration and
before mak­ing a disbursement. The treasurer must deposit all funds
received in the account no later than the 5th business day after receipt
\[101\].

The requirements concerning the appointment of a treasurer and
designation of a campaign depository account do not apply to a
contributor committee or group that only makes contributions to an
affiliated committee or group and is exempt from registration \[102\].

**3. Candidates and Personal Campaign Committees.** Every candidate must
file a registration statement. If a candidate appoints another person as
campaign treasurer, the candidate\'s registration statement must be
cosigned by both \[103\]. A personal campaign committee registers in
conjunction with the candidate \[104\].

A federal candidate committee must file a registration statement with
the ap­propriate filing officer if it is required to do so under the
campaign financing law as a \"political committee\" or \"personal
campaign committee.\" A \"federal can­didate committee\" is an authorized
committee of a candidate for the U.S. senate or house of representatives
from the state designated by the candidate under federal law \[105\].

A \"candidate\" is a person for whom it is contemplated or desired that
votes be cast at any election held within the state, other than an
election for national of­fice, whether or not the person is elected or
nominated, and who either tacitly or expressly consents to be so
considered \[106\].

A \"personal campaign committee\" is a committee that is formed or
operates for the purpose of influencing the election or re‑election of a
candidate, acts with the cooperation of or upon consultation with the
candidate or the candida­te\'s agent, or operates in concert with or
pursuant to the authorization, request, or suggestion of the candidate
or the candidate\'s agent \[107\].

Each candidate must appoint one campaign treasurer, either the candidate
or any other elector, who serves as the treasurer of the candidate\'s
personal cam­paign committee, if any. A single separate campaign
depository account must be designated within 5 business days after the
candidate receives his or her first contribution and before the
candidate makes or authorizes any disbursement in behalf of his or her
candidacy. The account may be established with any finan­cial institution
authorized to transact business in the state. The treasurer must deposit
all funds received in the campaign depository account no later than the
5th business day after receipt \[108\].

No candidate may establish more than one personal campaign committee;
however, the committee may have subcommittees if the candidate\'s
campaign treasurer is the treasurer of all subcommittees. If a candidate
adopts a pre‑exist­ing support committee as his or her personal campaign
committee, the designa­tion must be made within 5 business days of
adoption \[109\].

**4. Support Committees.** A political committee may be organized to
sup­port the prospective candidacy of an individual and when organized is
required to register as a support committee in accordance with the
requirements concern­ing the registration of political committees;
however, only one political commit­tee may be organized as the support
committee authorized by an individual to operate on the individual\'s
behalf, and a support committee may not be organ­ized during a period in
which the individual on whose behalf the committee is organized is
registered as a candidate or has a personal campaign committee
reg­istered on the individual\'s behalf \[110\].

The registration statement for a support committee also must include
either (1) a statement signed by the individual on whose behalf the
committee intends to operate affirming that the committee is the only
committee authorized to op­erate on the individual\'s behalf or (2) a
statement under oath concerning inde­pendent candidate‑related
disbursements (*see* Section IV.C, *infra*) \[111\].

A support committee that is authorized as an individual\'s sole support
commit­tee may not act on behalf of more than one individual but may make
a contribu­tion to another political committee. A subcommittee of such a
support commit­tee also must be authorized by the individual on whose
behalf the subcommittee operates. Any political committee that is
organized or acts with the cooperation of or upon consultation with a
support committee or the individual on whose behalf a support committee
is organized or that acts in concert with or at the re­quest or
suggestion of a support committee or the individual on whose behalf a
support committee is organized is deemed to be a subcommittee of the
support committee \[112\].

A support committee may make direct disbursements from its campaign
de­pository account to pay for the expenses incurred for a political
purpose to sup­port the prospective candidacy of an individual on whose
behalf it is organized during a period in which the committee is
permitted to operate \[113\]. A support committee that is authorized as
an individual\'s sole support committee may use a contribution only for
the purpose of supporting the candidacy of the authoriz­ing individual;
however, a support committee may also accept contributions and make
disbursements from a campaign depository account in connection with a
campaign for national office and for payment of civil penalties incurred
by the committee, expenses of nonpartisan campaigns to increase voter
registration or participation, and inaugural expenses of an individual
elected to state or local of­fice \[114\].

If an individual on whose behalf a support committee is authorized to
operate becomes a candidate, the committee must be adopted by the
candidate as his or her personal campaign committee. A support committee
that filed a statement under oath concerning independent
candidate‑related disbursements may not be adopted by a candidate as a
personal campaign committee \[115\].

**5. Individuals.** Every individual, other than a candidate or agent of
a candidate, who accepts contributions, incurs obligations, or makes
disbursements in a calendar year in an aggregate amount in excess of
\$25 must file a registra­tion statement. An individual who guarantees a
loan on which an individual, committee, or group subject to a
registration requirement defaults is not subject to registration solely
as a result of the default \[116\]. A husband and wife acting jointly
for political purposes are considered to be an \"individual\" rather
than a \"committee\" \[117\].

Every individual making independent disbursements is deemed to be his or
her own treasurer \[118\]. All funds received by the individual must be
deposited in a single separate campaign depository account, which may be
established with any financial institution authorized to transact
business in the state. The account must be established no later than the
5th business day after the individual becomes subject to registration
and before making a disbursement \[119\].

**6. Special Requirements for Political Groups (Including Corpora­tions
and Associations) and Individuals Promoting or Opposing Referenda**

**a. Political Groups (Other Than Corporations and Associations) and
Individuals.** A political group or individual may promote or oppose a
par­ticular vote at any referendum, but before making disbursements,
receiving con­tributions, or incurring obligations in excess of \$25 in
the aggregate in a calendar year for such purposes must file a
registration statement. A political group is to give the name and
address of each of its officers in the statement \[120\].

Every political group and individual must designate a campaign
depository ac­count. Each political group must appoint a treasurer, and
the appropriate filing officer is to be notified by the group of any
change in its treasurer within 10 days of the change. The group\'s
treasurer must certify the correctness of each statement or report
submitted by the group. An individual acting for the pur­pose of
influencing the outcome of an election is deemed to be his or her own
treasurer \[121\].

No disbursement may be made or obligation incurred by or on behalf of a
po­litical group without the authorization of the treasurer or the
treasurer\'s desig­nated agents. No contribution may be accepted and no
disbursement may be made or obligation incurred by any group at a time
when there is a vacancy in the office of treasurer. All contributions,
disbursements, and incurred obliga­tions exceeding \$10 must be recorded
by the group treasurer or individual \[122\].

**b. Corporations and Associations.** A corporation or association
organ­ized under Chapter 185 that accepts contributions or makes
disbursements for the purpose of influencing the outcome of a referendum
is a political group and is required to comply with the requirements
applicable to political groups sup­porting or opposing a referendum and
other applicable provisions of the cam­paign financing law \[123\].

Prior to making any disbursement on behalf of a political group that is
pro­moting or opposing a particular vote at a a referendum and prior to
accepting any contribution or making any disbursement to promote or
oppose a particular vote at a referendum, a corporation or association
must register with the appro­priate filing officer and appoint a
treasurer. A corporation or association must register no later than the
5th business day after receipt of the first contribution and before
making any disbursement. No contributions exceeding \$25 in the
aggregate during a calendar year may be accepted unless the organization
is reg­istered, except within the initial 5‑day period \[124\].

A corporation or association does not violate the requirement to
register by accepting a contribution and making a disbursement in the
amount required to rent a postal box or in the minimum amount required
by a bank or trust compa­ny to open a checking account prior to the time
of registration if the disburse­ment is properly reported in the first
required report submitted after the date of registration whenever a
reporting requirement applies to the registrant \[125\].

The registration form must designate an account separate from all other
cor­poration or association accounts as a campaign depository account,
through which all moneys received or expended for the adoption or
rejection of the ref­erendum are to pass. Expenditures by a corporation
or association to establish and administer a campaign depository account
of a political group need not be made through the depository account and
need not be reported \[126\].

**C. Statement Under Oath Concerning Independent Candidate‑Related
Disbursements.** A political committee, other than a personal campaign
com­mittee, and an individual, other than a candidate, that is required
to file a regis­tration statement and desires to make disbursements in an
aggregate amount of over \$25 during any calendar year to be used to
advocate the election or defeat of any clearly identified candidate must
first file with its registration statement a statement under oath
affirming that (1) the committee or individual does not act in
cooperation, consultation, or concert with or at the request or
suggestion of any candidate or any agent or authorized committee of a
supported candidate and (2) the committee or individual does not act in
cooperation, consultation, or concert with or at the request or
suggestion of a candidate who benefits from a disbursement made in
opposition to a candidate \[127\].

A political committee or individual that acts independently of one or
more candidates or agents or authorized committees of candidates *and*
also in cooper­ation, consultation, or concert with or at the request or
suggestion of one or more candidates or agents or authorized committees
of candidates is required to indicate in the statement under oath the
names of the candidates to which it ap­plies \[128\].

A political committee or individual required to file a statement under
oath must file the statement at the time of registration or at the time
the committee becomes subject to the requirement for filing the
statement, whichever is later. An amendment to the statement is to be
filed whenever there is a change in the candidate or candidates to whom
it applies. The statement must be refiled for each calendar year in
which the committee or individual proposes to make inde­pendent
candidate‑related disbursements by no later than January 31st of that
calendar year \[129\].

A non‑political‑party and non‑legislative‑campaign political committee
that filed a statement under oath may change its status to a political
party committee or legislative campaign committee as of December 31st of
any even‑numbered year. The committee\'s status may be changed at other
times only by filing a termination statement and re‑registering as a
newly organized political commit­tee \[130\].

**D. Designation of an Agent by Non‑Resident Committees, Groups, and
Individuals.** Every non‑resident political committee or group making
contribu­tions and every non‑resident individual, committee, or group
making disburse­ments exceeding \$25 cumulatively in a calendar year must
file its name and mailing and street address and the name and mailing
and street address of a des­ignated agent within the state with the
secretary of state \[131\].

**E. Financial Reports**

**1. General Provisions.** Each registrant unless exempted must make
full reports of all contributions received, contributions or
disbursements made, and obligations incurred \[132\]. The first report
commences no later than the date the first contribution is received and
accepted or first disbursement is made \[133\]. Financial reports must
be filed until a termination report is filed unless the registrant is
otherwise exempted \[134\].

A registered federal candidate committee need not file financial reports
for any period covered in a report filed with the federal election
commission if the State Elections Board receives a copy of that report
\[135\]. A federal accounting committee need not file financial reports
for any period covered in a report filed with the federal election
commission if the State Elections Board receives a copy of that report
and the committee makes no contributions to any other political
committee or individual that is required to file a registration
statement \[136\]. A national political party committee need not file
financial reports for any period covered in a report filed with the
federal election commission \[137\].

Each report must contain the following information, covering the period
since the last date covered on the previous report:

\(1\) An itemized statement giving the date, full name, and street
address of each contributor who made an individual contribution of more
than \$20 or ag­gregate contributions of more than \$20 for the calendar
year, together with the amount of the contribution and the cumulative
total contributions made by that contributor for the calendar year.

\(2\) The occupation and the name and address of the principal place of
em­ployment, if any, of each individual contributor whose cumulative
contributions for the calendar year are in excess of \$100.

\(3\) The name and address of each registrant from which a transfer of
funds was received or to which a transfer of funds was made, together
with the date and amount of such transfer, and the cumulative total for
the calendar year.

\(4\) An itemized statement of other income in excess of \$20, including
inter­est, returns on investments, rebates, and refunds received.

\(5\) An itemized statement of contributions over \$20 from a single
source do­nated to a charitable organization or the common school fund,
together with the full name and mailing address of the donee.

\(6\) An itemized statement of each loan of money made to the registrant
in an aggregate amount or value in excess of \$20, together with the
full name and mailing address of the lender, a statement of whether the
lender is a commercial lending institution, the date and amount of the
loan, the full name and mailing address of each guarantor, if any, the
original amount guaranteed by each guar­antor, and the balance of the
amount guaranteed by each guarantor at the end of the reporting period.

\(7\) An itemized statement of every disbursement exceeding \$20 in
amount or value, with recipient name and address, date, and specific
purpose.

\(8\) An itemized statement of every obligation exceeding \$20 in amount
or value, with the name of the person or business with whom the
obligation was incurred, date, and purpose.

\(9\) A statement of totals during the reporting period of contributions
re­ceived and disbursements made, including transfers made to and
received from other registrants, other income, loans, and contributions
donated.

\(10\) In the case of a committee or individual filing an oath
concerning inde­pendent candidate‑related disbursements, a separate
schedule showing for each disbursement that is made independently of a
candidate other than a contribu­tion made to that candidate, the name of
the candidates on whose behalf or in opposition to whom the disbursement
is made, indicating whether the purpose is support or opposition.

\(11\) A statement of the balance of obligations incurred.

\(12\) A statement of cumulative totals for the calendar year of
contributions made, contributions received, and disbursement made,
including transfers of funds made or received.

\(13\) A statement of the cash balance on hand at the beginning and end
of the reporting period.

\(14\) A copy of any separate schedule prepared or received pursuant to
an escrow agreement. A candidate or personal campaign committee
receiving con­tributions under an escrow agreement and attaching a
separate schedule may in­dicate the percentage of total contributions
received, disbursements made, and exclusions claimed without
itemization, except that amounts received from any contributor pursuant
to the agreement who makes any separate contribution to the candidate or
personal campaign committee during the calendar year of re­ceipt must be
aggregated and itemized if otherwise required \[138\].

If a disbursement is made or obligation incurred by an individual (other
than a candidate) or by a political committee (other than a political
party, legislative campaign, personal campaign, or support committee) or
political group that is not primarily organized for political purposes
and the disbursement does not constitute a contribution to any candidate
or other individual, committee, or group, the disbursement or obligation
is required to be reported only if the pur­pose is to expressly advocate
the election or defeat of a clearly identified can­didate or the adoption
or rejection of a referendum \[139\].

A contribution, disbursement, or obligation made or incurred to or for
the benefit of a candidate is reportable by the candidate or
candidate\'s personal campaign committee if it is made or incurred with
the authorization, direction, or control of or otherwise by
prearrangement with the candidate or the candida­te\'s agent \[140\].

If the filing deadline is a non‑business day, the report may be filed on
the next business day thereafter. A financial report is considered to be
\"received\" by the filing officer (1) on the date it is actually
received at the office of the fil­ing officer or (2) on the date shown by
a postal service cancellation mark on the envelope containing the report
if it was deposited with the U.S. postal service by first‑class mail
with sufficient prepaid postage and addressed to the filing officer
\[141\].

The State Elections Board must require each registrant for whom it is
the filing officer and that accepts contributions in a total amount or
value of \$20,000 or more during a campaign period to file each
mandatory campaign finance report in an electronic format. In addition,
the Board is to accept in an electronic format any mandatory campaign
finance report from any other registrant for whom the Board serves as a
filing officer. A registrant that files a report in an electronic format
also must file with the Board a copy of the report recorded on a medium
specified by the Board. The copy must be signed by an authorized
individual and filed with the Board no later than the time prescribed
for filing the report by the campaign financing law \[142\].

Financial reports are required to be submitted by registrants as
described be­low, with certain exceptions \[143\].

**2. Pre‑Primary, Pre‑Election, and Post‑Special‑Election Reports.** A
pre‑primary report is to be filed by (1) a candidate or personal
campaign com­mittee of a candidate at a primary, (2) a candidate or
personal campaign com­mittee of a candidate for a nonpartisan state
office when the candidate is not re­quired to participate in a primary,
(3) a registered political committee or indi­vidual, other than a
candidate or personal campaign committee, making or ac­cepting
contributions, making disbursements, or incurring obligations in support
of or in opposition to one or more candidates for office at a primary or
support­ing or opposing other political committees or individuals who are
engaging in such activities, and (4) a registered political group or
individual making or ac­cepting contributions, making disbursements, or
incurring obligations in support of or in opposition to a referendum
appearing on a primary ballot \[144\].

A pre‑election report is required to be filed by (1) a candidate or
personal campaign committee of a candidate at a primary or election, (2)
a registered po­litical committee or individual, other than a personal
campaign committee, mak­ing or accepting contributions, making
disbursements, or incurring obligations in support of or in opposition
to one or more candidates for office at a primary or election or
supporting or opposing other political committees or individuals who are
engaging in such activities, and (3) a registered political group or
individual making or accepting contributions, making disbursements, or
incurring obliga­tions in support of or in opposition to a referendum
appearing on a primary or election ballot \[145\].

A contribution, disbursement, or obligation in support of or in
opposition to a candidate at a primary or election is considered to be
made, accepted, or in­curred in support or opposition, regardless of
whether the candidate is opposed, at the primary if the financial
activity occurred during the pre‑primary reporting period and at an
election if it occurred during the pre‑election reporting period
\[146\].

Except for a candidate, personal campaign committee, or political
committee, a registrant that makes, accepts, or incurs a contribution,
disbursement, or obli­gation in support of or in opposition to a
candidate is not required to file finan­cial reports in the following
situations:

\(1\) If the financial activity was is support of or in opposition to a
candidate at a primary during the period covered by a pre‑election
report, but the registrant did not engage in such activity during the
period covered by a pre‑primary re­port, the registrant is not required
to file a pre‑primary report \[147\].

\(2\) If the financial activity was in support of or in opposition to a
candidate during a period covered by a continuing report that follows a
pre‑election re­port, but the registrant did not engage in such activity
during the period covered by a pre‑election report, the registrant is
not required to file a pre‑election re­port \[148\].

If no disbursement was made for the purpose of influencing the outcome
of a primary or election in a form other than a contribution that is
reported by the recipient (i.e., only contributions reported by others
were made), compliance with the financial reporting requirements is not
required by the following regis­trants:

\(1\) In a partisan primary and election, by a personal campaign
committee that is not formed to support or oppose a candidate in such
partisan primary or election.

\(2\) In a non‑partisan primary and election, by a personal campaign
commit­tee that is not formed to support or oppose a candidate in such
non‑partisan primary or election \[149\].

Pre‑primary and pre‑election financial reports must be received by the
appro­priate filing officer according to the following schedule:

\(1\) A pre‑primary report must be received no earlier than 14 days and
no later than 8 days preceding the primary and include all contributions
received and transactions made as of the end of the 15th day preceding
the primary.

\(2\) A pre‑election report must be received no earlier than 14 days and
no lat­er than 8 days preceding the election and include all
contributions received and transactions made as of the end of the 15th
day preceding the election.

\(3\) In the case of a recall effort, a report is due no later than 30
days after the registration of the petitioner for the recall of an
officer if the petition has not been offered for filing within 5 days of
that date and no later than 5 days after the petition is offered for
filing. This report is to include all contributions re­ceived and
transactions made as of the end of 5 days preceding the deadline for
filing the report \[150\].

A candidate or personal campaign committee of a candidate at a special
elec­tion is required to file a post‑election report unless a continuing
report is re­quired to be filed on or before the 30th day after the
election. The post‑election report must be received by the appropriate
filing officer no earlier than 23 days and no later than 30 days after
the election and include all contributions re­ceived and transactions
made as of the end of the 22nd day following the elec­tion \[151\].

**3. Semi‑Annual Continuing Reports.** Continuing financial reports are
required to be filed semi‑annually by political committees and
individuals sup­porting or opposing candidates (including committees of a
political party) and by political groups and individuals supporting or
opposing a referendum until a termination report is filed, unless
otherwise exempted. A continuing report must be received by the
appropriate filing officer no earlier than January 1st and no later than
January 31st and include all contributions received and trans­actions
made as of the end of December 31st. A second continuing report must be
received no earlier than July 1st and no later than July 20th and
include all contributions received and transactions made as of the end
of June 30th \[152\].

**4. Reports by Non‑Resident Registrants.** A non‑resident registrant,
which is a registrant that does not maintain an office or street address
in the state, is subject to special financial reporting requirements. A
non‑resident reg­istrant is required to report, on a form prescribed by
the State Elections Board, the applicable information required in all
financial reports (*see* Section IV.E, *su­pra*) concerning (1)
contributions, including transfers and loans and other in­come received
from sources in the state and (2) disbursements made and obliga­tions
incurred with respect to an election for state or local office in the
state. If a non‑resident registrant is registered for campaign finance
reporting purposes with the federal elections commission or with the
filing officer or agency of another state, the registrant is to indicate
on the report the name and address of each filing officer or agency with
which a copy of its campaign finance reports is filed \[153\].

**E. Report of Large Late Contributions or Disbursements.** If any
con­tribution or contributions of \$500 or more cumulatively received by
a candidate for state office, a political committee, or an individual
from a single contributor later than 15 days prior to a primary or
election such that it is not included in the pre‑primary or pre‑election
report, the treasurer of the committee or the in­dividual receiving the
contribution must inform the appropriate filing officer within 24 hours
of receipt. Only contributions received during the period begin­ning with
the day after the last date covered in the pre‑primary or pre‑election
report and ending with the day before the primary or election need be
reported. The contribution information also must be in the treasurer\'s
or individual\'s next regular financial report \[154\]. These reporting
requirements applicable to large cumulative pre‑primary or pre‑election
contributions also apply to a political group or individual supporting
or opposing the adoption of a referendum ques­tion that receives a
contribution or contributions of \$500 or more cumulatively from a
single contributor later than 15 days prior to an election \[155\].

If any disbursement of more than \$20 cumulatively is made to advocate
the election or defeat of a clearly identified candidate by an
individual or political committee later than 15 days prior to the
primary or election in which the can­didate\'s name appears on the ballot
without cooperation or consultation with a candidate or an agent or
authorized committee of a candidate who is supported or opposed and not
in concert with or at the request or suggestion of the can­didate, agent,
or committee, the individual or treasurer of the political commit­tee
must inform the appropriate filing officer within 24 hours of making the
dis­bursement. Disbursements cumulate beginning with the day after the
last date covered in the pre‑primary or pre‑election report and ending
with the day be­fore the primary or election. The disbursement
information also is to be includ­ed in the next regular financial report
of the individual or committee that made the disbursement. The filing
officer is required to mail a copy of the report upon receipt to all
candidates for any office in support of or in opposition to one of whom
a disbursement identified in the report was made \[156\].

**F. Conduit Reports**. A conduit transferring a contribution of money
is re­quired in writing to identify itself to the transferee as a conduit
and to report to the transferee of each contribution transferred by it
the information about the original contributor required for financial
reporting purposes at the time the contribution is transferred. The
conduit is to include this information in its fi­nancial reports for the
date on which the contribution was received and trans­ferred \[157\].

A contribution received from a conduit, accompanied by the information
from the conduit, is considered to be a contribution from the original
contributor, and for the purposes of the maximum contribution limits, a
contribution of money received from a conduit and properly identified
and reported is considered a contribution received from the original
contributor \[158\].

A \"conduit\" is an individual or organization that receives a
contribution and transfers the contribution to another individual or
organization without exercis­ing discretion as to the amount that is
transferred and the individual or organiza­tion to which the transfer is
made \[159\].

**G. Campaign Financing Requirements Applicable to Candidates for the
Board of Directors of the Citizens Utility Board.** A candidate for
election to the board of directors of the citizens utility board may not
accept more than \$50 in campaign contributions from any person or
political committee from one year before the date of the election
through the election date. As a condition for receiving the benefits of
the board\'s mailing of the candidate\'s
personal‑background‑and‑positions statement, the candidate must agree in
writing to in­cur no more than \$500 in campaign expenditures from the
time the candidate commences circulation of petitions for nomination or
4 months prior to the elec­tion, whichever is earlier, through the
election date \[160\].

Each candidate is required to keep complete records of all contributions
to the candidate\'s campaign of \$15 or more made from one year before
the date of the election through the election date and, at the board of
directors\' request, is re­quired to make the records available for
inspection by the board. Complete records of all campaign expenditures
also must be kept and, at the board of di­rectors\' request, made
available for inspection by the board \[161\].

**H. Statement of Economic Interests**. A candidate for state public
office is required to file a statement of economic interests with the
State Ethics Board no later than (1) the 3rd day following the last day
for filing nomination papers or the next business day after the last day
whenever that candidate is granted an extension of time for filing
nomination papers or a declaration of candidacy, (2) the 5th day after
notification of nomination is mailed or personally delivered to the
candidate by the municipal clerk in the case of a candidate who is
nominated at a caucus, or (3) the 3rd day after notification of
nomination is mailed or per­sonally delivered to the candidate by the
appropriate official or agency in the case of a write‑in candidate or
candidate who is appointed to fill a vacancy in nomination. The
information in the statement is to be current as of December 31st of the
calendar year preceding the filing deadline \[162\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Termination Report.** Whenever any registrant disbands or
determines that obligations will no longer be incurred, contributions
received, or disburse­ments made during a calendar year and the
registrant has no outstanding in­curred obligations, the registrant must
file a termination report with the appro­priate filing officer \[163\]. A
candidate or personal campaign committee may not file a termination
report covering any period ending sooner than the date of the election
in which the candidate or committee is participating \[164\].

A termination report must indicate a cash balance of zero at the end of
the reporting period and the disposition of residual funds. Residual
funds may be used for any political purpose not prohibited by law,
returned to the donors in an amount not exceeding the original
contributions, or donated to a charitable organization or the common
school fund. The report must also contain the in­formation required for
other financial reports \[165\].

**B. Suspension Report.** A registrant that determines that obligations
will no longer be incurred, contributions made or received, or
disbursements made dur­ing a calendar year in a aggregate amount of more
than \$1,000 may file a sus­pension report with the appropriate filing
officer. Upon receipt of a properly executed report, the registrant will
be granted a suspension of the requirement to file financial reports
\[166\]. A candidate or personal campaign committee may not file a
suspension report covering any period ending sooner than the date of the
election in which the candidate or committee is participating \[167\].
If unan­ticipated contributions are received and accepted within 60 days
of the filing of a termination report, the registrant must file an
amended termination report \[168\]. A termination report must contain
the information required for other financial reports \[169\].

**VI. PUBLIC FINANCING PROVISIONS**

**A. Election Campaign Fund.** Public financing from the Wisconsin
election campaign fund is provided to eligible, qualifying state office
candidates in spring, general, and special elections \[170\]. The fund
consists of moneys appropriated to the fund, including moneys derived
from \$1 income tax designations made by taxpaying individuals, together
with unexpended or unencumbered candidate grants that revert to the
state and contributions to the fund by gift, bequest, or devise. The
moneys in the fund not disbursed by the state continue to accu­mulate
indefinitely \[171\]. Any political committee or other person may make
an unrestricted contribution to the fund by gift, bequest, or devise
\[172\].

With respect to a spring or general election, the following individuals
may ap­ply for a grant from the Wisconsin election campaign fund: (1) a
certified can­didate for supreme court justice or state superintendent of
public instruction, (2) a certified candidate for a state office (i.e.,
governor, lieutenant governor, attor­ney general, state treasurer,
secretary of state, state senator, and assembly rep­resentative) who
received at least 6% of the vote cast at the September primary for all
candidates on all ballots for the state office for which the individual
is a candidate, and (3) an individual lawfully appointed and certified
to replace any state‑level office candidate at a spring or general
election \[173\].

With respect to a special election, the following individuals may apply
for a grant: (1) a certified candidate for supreme court justice or
state superintendent of public instruction, (2) a certified candidate
for state office on the ballot or column of a party whose candidate for
the same office at the preceding general election received at least 6%
of the vote cast for all candidates on all ballots for the office, (3)
an individual lawfully appointed and certified to replace a state‑level
office candidate on the ballot at a special election, and (4) an
individual who received at least 6% of the vote cast for all candidates
on all ballots for a state office (e.g., governor, lieutenant governor,
etc.) at a partisan special elec­tion \[174\].

The application for a grant must be filed by the deadline for filing
nomination papers, the 7th day after the primary or date on which a
primary would be held if required in the case of write‑in candidates, or
the 7th day after appointment in the case of candidates appointed to
fill vacancies and must contain a sworn statement that the candidate and
the candidate\'s authorized agents have com­plied with the prescribed
contribution and disbursement limitations at all times to which the
limitations apply to the candidacy and will continue to comply with the
limitations at all times to which the limitations apply to the candidacy
unless (1) the State Elections Board determines that the candidate is
not eligible to re­ceive a grant, (2) the candidate withdraws his or her
application, or (3) one or more of the candidate\'s opponents do not
accept a grant in whole or in part and all such opponents do not file an
affidavit of voluntary compliance with the con­tribution and disbursement
limitations \[175\].

The application must be approved if (1) the application is timely; (2)
the can­didate is certified to appear on the spring or general election
ballot or a special election ballot; (3) the candidate has a certified
opponent for the same office; (4) the financial statements filed at the
time of the primary indicate that the candidate\'s sworn statement is
true; and (5) the financial reports filed as of the primary indicate
that the candidate has received a minimum percentage of the amount of
his or her authorized disbursement limitation from contributions of
money, other than loans, that have been received from individuals
between July 1st and the spring primary date (non‑partisan candidates),
January 1st and the September primary (partisan candidates), and 90 days
preceding the date that a special primary will or would be held, if
required, and the date of such special primary (special primary
candidates). A contribution received from a conduit that is identified
by the conduit as originating from an individual is considered a
contribution made by the individual. Not more than \$100 of the
aggregate amount of contributions from each individual may be counted
toward the re­quired minimum percentage, which is 5% for candidates for
governor, lieutenant governor, secretary of state, state treasurer,
attorney general, state superintend­ent of public instruction, and
supreme court justice and 10% for other candi­dates \[176\].

The State Elections Board is to transmit to the state treasurer a
certified list of all eligible candidates for state office who have
filed applications for grants and whom the Board determines to be
eligible to receive payments from the Wiscon­sin election campaign fund
as soon as possible (1) after the canvass of the spring and September
primary votes, but no later than the first Tuesday in March and the
fourth Tuesday in September and (2) after the canvass of a special
primary or the date that the primary would be held if required and after
the special elec­tion \[177\].

All moneys appropriated to the fund are apportioned annually on August
15th to a superintendency account (8%), a supreme court account (8%),
and a parti­san campaign account (84%); 75% of the partisan campaign
account is allocated to a legislative campaign account and 25% to an
executive campaign account. The legislative and executive campaign
accounts are further apportioned to ac­counts for specific offices. The
monies are then apportioned among all eligible candidates for the same
office in the state \[178\].

The total grant available to an eligible candidate in an election may
not exceed that amount that, when added to all other contributions from
other than individ­uals, political party committees, and legislative
campaign committees, equals 45% of the authorized disbursement level for
the particular office (*see* Section III.B, *supra*) \[179\].

The grants may be expended only for purchase of services from a
communica­tions medium; printing, graphic arts, or advertising services;
office supplies; and postage \[180\]. A grant may not be used in any
primary. No person may ex­pend, authorize the expenditure of, or incur
any obligation to expend a grant (1) for any purpose other than to
advance the candidacy of the grantee by lawful means, (2) for a purpose
that has not been authorized, (3) after the date of the election, or (4)
in violation of a pledge to adhere to the applicable contribution and
disbursement limitations \[181\].

A candidate who voluntarily files an application to receive a grant
accepts and agrees to comply with the prescribed contribution and
disbursement limitations as binding upon the candidate and the
candidate\'s agents during the campaign as a precondition to receipt of
a grant unless (1) the State Elections Board deter­mines that the
candidate is not eligible to receive a grant, (2) the candidate
withdraws his or her application, or (3) one or more of the candidate\'s
oppon­ents do not accept a grant in whole or in part and all such
opponents do not file an affidavit of voluntary compliance with the
contribution and disbursement lim­itations \[182\].

Unless each applicable opponent files an affidavit of voluntary
compliance, a candidate who accepts a grant is not bound to adhere to
the contribution and disbursement limitations if (1) at the spring
election or a special nonpartisan election the candidate is opposed by
one or more candidates in the election or at the general election or a
special partisan election the candidate is opposed by one or more
candidates in the election who received at least 6% of the vote cast for
all candidates for the same office at the September primary or a special
non­partisan primary if a primary was held and (2) in either case any
such opponent does not accept a grant in whole or in part \[183\].

A candidate who files a sworn statement and application to receive a
grant from the Wisconsin election campaign fund may not make
contributions to his or her own campaign from personal funds or property
owned by the candidate or jointly or as marital property with the
candidate\'s spouse of more than 200% of the amount an individual is
permitted to contribute to the candidate (*see* Sec­tion II.B, *supra*)
unless (1) the State Elections Board determines that the can­didate is
not eligible to receive a grant, (2) the candidate withdraws his or her
application, or (3) one or more of the candidate\'s opponents do not
accept a grant in whole or in part and all such opponents do not file an
affidavit of volun­tary compliance with the contribution and disbursement
limitations \[184\].

The \$10,000 total calendar‑year contribution limit for contributions by
indi­viduals to state and local office candidates and individuals and
committees sup­porting or opposing state and local office candidates
applies to amounts a state office candidate who receives an election
campaign fund grant contributes to the candidate\'s own campaign and to
other campaigns; however, a candidate may exceed the \$10,000 limitation
if authorized to contribute personally more than \$10,000 to the
candidate\'s own campaign, but only up to the amount of the 200% limit
for personal contributions by a candidate to his or her own cam­paign. A
contribution received by a candidate or his or her personal campaign
committee from a committee registered with the federal election
commission as the authorized committee of the candidate under 2 U.S.C. §
432 is considered to be a contribution made by the candidate to his or
her own campaign for the purpose of computing personal contributions
against the 200% limit \[185\].

A candidate for state office at a spring, general, or special election
who files a sworn statement and application to receive a grant from the
Wisconsin election campaign fund may not make or authorize total
disbursements from the cam­paign treasury in any campaign of more than
the amounts specified in the dis­bursement level schedule (*see* Section
III.B, *supra*) unless (1) the State Elections Board determines that the
candidate is not eligible to receive a grant, (2) the candidate
withdraws his or her application, or (3) one or more of the candidate\'s
opponents do not accept a grant in whole or in part and all such
opponents do not file an affidavit of voluntary compliance with the
contribution and dis­bursement limitations \[186\].

A \"campaign\" extends from July 1st before the spring primary or
election or January 1st before the September primary or general election
for the office sought or from the date of public announcement of a
candidacy, whichever is earlier, through the last day of the month
following the month of an election or primary \[187\].

If all candidates for state senator or representative to the assembly in
a legisla­tive district who are certified to appear on the September
primary ballot of all recognized political parties have no opponent who
is certified to appear on the same primary ballot or no primary is
required for all candidates of recognized parties for the office who are
certified to appear on a special partisan election ballot, the separate
limitations for disbursements during the primary and elec­tion period do
not apply to candidates for that office in that primary and elec­tion,
and the candidates are bound only by the total limitations specified for
the primary and election \[188\]. A candidate who disburses less than
the authorized level in the primary may not reallocate the balance to
increase the level in the election, but when a separate disbursement
level is not specified for an election and primary, a candidate may
reallocate disbursements in any proportion de­sired and may carry over
unexpended contributions from a primary campaign to an election campaign
\[189\].

Any candidate to whom the limitations on total personal contributions
and to­tal disbursements do not apply may file an affidavit with the
appropriate filing officer affirming that the candidate has adhered and
will adhere to the limita­tions during the entire campaign. The
limitations then apply unless the can­didate withdraws the affidavit by
notifying the filing officer in writing no later than the 7th day after
the date of the primary in which the person is a candidate or the 7th
day after the date that the primary would be held if no primary is
re­quired \[190\].

Candidates for governor and lieutenant governor of the same political
party who both accept grants from the election campaign fund may agree
to combine disbursement levels and reallocate the total level between
them. The State Elections Board must be informed of any such agreement
\[191\].

Any unspent and unencumbered moneys received from the Wisconsin election
campaign fund by a candidate who has vacated his or her position as
nominee must be transferred immediately to any candidate who is
appointed to replace the candidate upon the filing of a proper
application. If there is no candidate appointed or if no proper
application is filed within 7 days of the date on which the vacancy
occurred, the moneys revert to the state \[192\].

Grants from the fund are property of the state until disbursed or
encumbered for a lawful purpose. All grants and private contributions
unspent or unencum­bered on the day after the election in which the
candidate participates and all deposits and refunds derived from grant
moneys that are received by a can­didate at any time after the day of the
election in which the candidate partici­pates revert to the state. All
reversions must be returned to the State Elections Board for deposit in
the election campaign fund \[193\].

**VII. TAX PROVISIONS**

**A. Taxpayer Designation on Income Tax Return.** Every individual
filing an income tax return who has a tax liability or is entitled to a
tax refund may designate \$1 (or \$1 for each of the eligible
individuals filing a joint return) for the Wisconsin election campaign
fund for the use of eligible state‑level office candidates in a spring,
general, or special election. If the taxpayer attempts to place any
condition or restriction upon a designation, he or she is deemed to have
refused any such designation for his or her tax. The secretary of
revenue is required to provide a place for such designations on the face
of the income tax return. The secretary of reve­nue is to certify
annually on August 15th to the State Elections Board, the de­partment of
administration, and the state treasurer the total amount of taxpayer
designations during the preceding fiscal year \[194\].

**VIII. OFFENSES AND PENALTIES**

**A. Civil Penalties.** Any person, including any political committee or
politi­cal group, that violates the campaign financing law may be
required to forfeit not more than \$500 for each violation and treble
the amount of a contribution that is illegally contributed. In addition,
a person, including a committee or group, that is delinquent in filing a
required report may be required to forfeit not more than \$50 or 1% of
the annual salary of the office for which the can­didate is being
supported or opposed, whichever is greater, for each day of de­linquency
\[195\]. Corporations are subject to double the amount of any penalty
assessed for a violation of the prohibitions against corporation
contributions and disbursements \[196\].

Any person, including a committee, group, or corporation, required to
register with the State Elections Board and pay an annual filing fee
that fails to pay the fee within the time prescribed must forfeit \$500
plus treble the amount of the fee payable by that person \[197\].

Forfeiture actions may be brought as follows:

\(1\) A action arising out of an election for state office or statewide
refer­endum---by the State Elections Board or by the district attorney of
the county where the violation is alleged to have occurred.

\(2\) An actionarising out of an election for a local office or
referendum---by the district attorney of the county where the violation
is alleged to have occurred.

\(3\) An action arising out of an election for a county office or
referendum---by the county board of election commissioners of the county
where the violation is alleged to have occurred.

\(4\) A violation concerning a district attorney or circuit judge or a
candidate for such an office---by the attorney general; however, if the
violation concerns the attorney general or a candidate for such office,
the governor may appoint special counsel \[198\].

Forfeiture actions against corporations may brought by the district
attor­ney of the county where the registered office or principal place of
business of the corporation is located or of the county in which the
violation is alleged to have occurred, by the Attorney General, or by
the State Elections Board \[199\].

Any elector may file a verified petition with the State Elections Board,
the county board of election commissioners, the ap­propriate district
attorney, or with more than one of them where their authority is
concurrent, requesting that civil action be brought against any person,
political committee, or political group and alleging facts within the
knowledge of the petitioner that show prob­able cause that a violation
has occurred \[200\].

**B. Injunctive Relief.** Any elector may sue for injunctive relief to
compel compliance with the campaign financing law; however, before
commencing an action concerning a state office or statewide referendum,
the elector must file a verified complaint with the State Elections
Board alleging such facts as are within his or her knowledge to show
probable cause to believe that a violation has oc­curred or is proposed
to occur. If the Board fails to commence an action within 10 days of the
filing, the elector may commence an action \[201\].

**C. Criminal Penalties.** Whoever intentionally violates the
registration re­quirements, non‑resident filing requirements, the
prohibition against acceptance of contributions from unregistered
non‑residents, the requirements concerning designation of campaign
treasurers, the requirement to report large contribu­tions before a
primary or election, or the requirement for contributions to be made
from the funds and property of and in the name of the actual contributor
may be fined not more than \$10,000, imprisoned not more than 4 years
and 6 months, or both. Whoever intentionally violates the prohibition
against making or accepting un­lawful disbursements, the limitations on
the maximum contribution amounts, the prohibition against filing false
reports, the prohibition of anonymous disburse­ments, or the restriction
on corporate contributions and disbursements where the intentional
violation does not involve a specific figure or where the inten­tional
violation concerns a figure that exceeds \$100 may be fined not more
than \$10,000, imprisoned not more than 3 years, or both. Whoever
intentionally vio­lates any other provision of the campaign financing law
and whoever intentional­ly violates any provision listed in the preceding
sentence where the intentional violation concerns a specific figure not
exceeding \$100 may be fined not more than \$1,000, imprisoned not more
than 6 months, or both \[202\].

**D. Forfeiture of Office.** If a successful candidate for public
office, other than a candidate for the legislature, is found guilty in a
criminal action of a viola­tion of the campaign financing law or a
prohibited election practice committed during his or her candidacy, the
court must enter a supplemental judgment de­claring a forfeiture of the
candidate\'s right to office. If a successful candidate for the
legislature is adjudged guilty, the court must certify its findings to
the presiding officer of the house of the legislature to which the
candidate was elected \[203\].

**IX. RESPONSIBLE STATE AGENCIES**

**A. State Elections Board.** The State Elections Board has the
responsibility for the administration of the laws relating to elections
and election campaigns \[204\]. The executive director appointed by the
Board serves as the chief election officer for the state \[205\].

The State Elections Board may exercise any of the following powers:

\(1\) Upon notice to any parties being investigated, subpoena and bring
before it any person in the state and require the production of any
papers, books, or other records relevant to the investigation.

\(2\) Bring civil actions to require forfeitures for any violation of
the civil pen­alty provisions of the campaign financing law, but only
concerning violations with respect to reports or statements required to
be filed with the Board and other violations arising under elections for
state office or statewide referenda. The Board may compromise and settle
any civil action or potential action brought or authorized to be brought
by it under the campaign financing law.

\(3\) Sue for injunctive relief, a writ of mandamus or prohibition, or
other such legal or equitable relief as may be appropriate.

\(4\) Promulgate rules and issue formal opinions \[206\].

The Board is required to audit reports and statements required to be
filed with it under the campaign financing law and to determine whether
violations of that law have occurred. Upon complaint by any person or on
its own motion, the Board must investigate violations of the election
laws and notify the district at­torney of the proper county, the Attorney
General, or the governor, where ap­propriate \[207\].

Under the campaign financing law, it is the duty of the State Elections
Board to:

\(1\) Prescribe forms for making required reports, statements, and
notices, furnish all forms and statements to other filing officers, and
furnish forms for making reports or statements without charge to all
persons required to file re­ports or statements with the Board.

\(2\) Furnish by mail to each registrant not required to report in an
electronic format the prescribed forms for making re­ports and statements
not earlier than 21 days and not later than 14 days before the
applicable filing deadline.

\(3\) Prepare and publish for the use of persons required to file
reports and statements under the campaign financing law a manual setting
forth simply and concisely recommended uniform methods of bookkeeping
and reporting, furnish copies of the manual to other filing officers,
and furnish a copy of the manual without charge to persons required to
file reports or statements with the Board.

\(4\) Serve as the filing officer for designated registrants.

\(5\) Determine whether each required financial report or statement has
been filed in the form and by the time prescribed by law and whether it
conforms on its face to the requirements of the campaign financing law
and send immediately to any registrant whose filing is delinquent or not
in the proper form a notice that the registrant has failed to comply
with the law.

\(6\) Prepare, publish, and periodically revise, as necessary, a manual
simply and concisely describing the filing and registration requirements
and other pro­visions of the campaign financing law and prohibited
election practices, furnish copies of the manual to other filing
officers, and furnish a copy of the manual without charge to all persons
required to file reports or statements with the Board.

\(7\) Inform each candidate who files an application for a grant from
the Wis­consin election campaign fund of the dollar amount of the
disbursement limita­tion applicable to the office for which the person is
a candidate.

\(8\) Compile and maintain a current list of all campaign financing
reports and statements pertaining to each candidate, individual,
political committee, and po­litical group.

\(9\) Require specified registrants and permit other registrants to file
campaign finance reports in an electronic format, specify by rule a type
of software suitable for compliance with the electronic-filing
requirement, and provide copies of the software to registrants at a
price not exceeding cost \[208\].

**B. Local Filing Officers.** Under the campaign financing law, it is
the duty of the appropriate local filing officer to:

\(1\) Furnish the state‑board‑provided reporting forms without charge to
all persons required to file reports or statements with the officer.

\(2\) Furnish upon request copies of the state‑board‑provided manuals to
all persons required to file reports or statements with the officer.

\(3\) Furnish copies of the election laws without charge to all election
officials supervised by the officer.

\(4\) Furnish copies of manuals and laws to other persons at cost.

\(5\) Furnish by mail to each registrant required to file with the
officer the pre­scribed forms for making reports and statements not
earlier than 21 days or lat­er than 14 days before the applicable filing
deadline.

\(6\) Notify the district attorney, or the Attorney General where
appropriate, of any facts within the filing officer\'s knowledge or
evidence in the officer\'s posses­sion, including errors or discrepancies
in reports or statements and delinquencies in filing, that may be
grounds for civil action or criminal prosecution.

\(7\) Determine whether each financial report or statement required to
be filed has been filed in the form and by the time prescribed by law
and whether it conforms on its face to the requirements of the law
\[209\].

**References**

1.  Wisconsin Statutes Annotated (here­after WSA) § 11.01(6)(a)

2.  WSA § 11.17

3.  WSA § 11.01(6)(b)

4.  WSA § 11.01(6)(c)

5.  WSA § 11.01(16)

6.  WSA § 11.01(11)

7.  WSA § 11.26(1)‑(9), (14)

8.  WSA § 11.26(6)

9.  WSA § 11.26(11)

10. WSA § 11.26(1)

11. WSA § 11.26(3)

12. WSA § 11.26(4)

13. WSA § 11.26(5)

14. WSA § 11.26(9)

15. WSA § 11.26(2)

16. WSA § 11.26(8)(c)

17. WSA § 11.26(8)(a), (8)(b)

18. WSA § 11.265(2)

19. WSA § 11.06(7m)(a), (7m)(b)

20. WSA § 11.06(7m)(c)

21. WSA § 11.26(13)

22. WSA § 11.12(1)(a)

23. WSA §§ 11.38(1)(a), (2)(b); 11.29(1); 630.05

24. WSA §§ 11.38(1)(b); 185.01; 630.05

25. WSA § 11.29(1)

26. WSA §§ 11.38(1)(a); 185.01; 630.05

27. WSA § 11.24(1), (1m)

28. WSA § 11.01(5m)

29. WSA § 11.24(2)

30. WSA § 11.40

31. WSA § 11.07(5)

32. WSA §§ 11.12(2); 11.23(2)

33. WSA § 11.16(2)

34. WSA § 11.16(4)(a)

35. WSA § 11.16(4)(b), (4)(c)

36. WSA § 11.16(5)

37. WSA § 11.16(5)

38. WSA § 11.34(1)

39. WSA § 11.36(1), (2)

40. WSA § 11.36(5)

41. WSA § 11.33

42. WSA § 11.37

43. WSA § 11.36(3), (4)

44. WSA § 19.45(c); Wisconsin Court Rules and Procedure‑‑State (1998),
    Supreme Court Rules (SCR), Code of Judicial Conduct, SCR 60.06(4) &
    Comment

45. SCR 60.01(8)

46. SCR 60.01(2)

47. WSA § 641.19(3)

48. WSA § 15.73(2)

49. WSA § 230.40(1)

50. WSA §§ 13.625(1)(b), (c), (2), (3)

51. WSA § 13.625(2), (5)

52. WSA § 13.625(1)(c)

53. WSA §§ 12.07(4); 12.08

54. WSA § 63.49

55. WSA § 11.01(7)(a)

56. WSA § 11.01(7)(b)

57. WSA §§ 11.31(1), (2); 11.26(9)

58. WSA § 11.31(1)

59. WSA § 11.25(1), (2)(a)

60. WSA § 11.06(6)

61. WSA § 11.25(2)(b), (2)(c)

62. WSA § 11.29(1)

63. WSA § 11.30(1)

64. WSA § 11.16(3)

65. WSA § 11.16(1)(a)

66. WSA § 11.16(1)(b)

67. WSA §§ 11.06(2); 11.16(1)(d)

68. WSA § 11.64

69. WSA §§ 5.01(2); 8.50(5); 11.03

70. WSA § 11.05(2r)(a)

71. WSA § 11.02

72. WSA §§ 11.02; 11.20(1); 11.08

73. WSA § 11.09(3)

74. WSA § 11.06(4)(a), (4)(b)

75. WSA § 11.06(4)(c)

76. WSA §§ 11.055; 11.19(1); 11.20(4)

77. WSA §§ 11.05(1)‑(2r), (4); 11.23(1)

78. WSA § 11.05(12)(a)

79. WSA § 11.05(12)(b)

80. WSA § 11.05(6)

81. WSA § 11.05(7)

82. WSA § 11.05(13)

83. WSA § 11.05(9)(b)

84. WSA § 11.05(11)

85. WSA § 11.05(8)

86. WSA § 11.05(3)

87. WSA § 11.05(5m)

88. WSA § 11.05(5)

89. WSA §§ 11.05(1); 11.23(1)

90. WSA § 5.02(13)

91. WSA § 11.01(4)

92. WSA § 11.01(12s)

93. WSA § 11.265(1)

94. WSA § 11.01(10)

95. WSA § 11.06(3r)(b), (3w)(b)

96. WSA § 11.06(3r)(a)

97. WSA § 11.06(3w)(a)

98. WSA §§ 11.10(3); 11.23(1)

99. WSA § 11.14(1)

100. WSA §§ 11.14(1); 11.16(5)

101. WSA §§ 11.14(1); 11.23(1)

102. WSA § 11.14(1)

103. WSA §§ 11.05(2g); 11.10(1)

104. WSA § 11.05(1), (2g)

105. WSA § 11.06(3m)(a), (3m)(b)

106. WSA § 11.01(1)

107. WSA § 11.01(15)

108. WSA §§ 11.10(1), (4); 11.14(1)

109. WSA § 11.10(1), (4)

110. WSA §§ 11.05(1), (2r), (3), (5m); 11.18(1)‑(3)

111. WSA §§ 11.05(3)(p); 11.18(2)

112. WSA § 11.18(3)

113. WSA § 11.18(4)

114. WSA §§ 11.18(5); 11.25(2)(b)

115. WSA § 11.18(6)

116. WSA §§ 11.05(2); 11.23(1)

117. WSA § 11.05(10)

118. WSA § 11.10(3)

119. WSA § 11.14(1)

120. WSA § 11.23(1)

121. WSA § 11.23(1), (4)

122. WSA § 11.23(3), (4)

123. WSA §§ 11.38(8)(a); 185.01; 630.05

124. WSA §§ 11.05(12)(b); 11.38(8)(b)

125. WSA §§ 11.05(13); 11.38(8)(b)

126. WSA § 11.38(8)(a), (8)(b)

127. WSA § 11.06(7)(a)

128. WSA § 11.06(7)(a)

129. WSA § 11.06(7)(b)

130. WSA § 11.06(7m)(c)

131. WSA § 11.07(1)

132. WSA §§ 11.06(1); 11.12(4); 11.23(4); 11.38(8)(b)

133. WSA § 11.06(5)

134. WSA § 11.07(1)

135. WSA § 11.06(3m)(c)

136. WSA § 11.06(3r)(c)

137. WSA § 11.06(3w)(c)

138. WSA §§ 11.06(1), (11); 11.12(4). *See* *also* WSA § 11.06(12) for
     the valua­tion of a contribution of the results of an opinion poll
     or voter survey.

139. WSA § 11.06(2)

140. WSA § 11.06(4)(d)

141. WSA § 11.20(7), (10)

142. WSA § 11.21(16)

143. WSA §§ 11.06(3); 11.12(4) 11.20(3)‑(5r), (12); 11.19(1)

144. WSA § 11.20(3)(a), (c), (k)

145. WSA § 11.20(3)(a)‑(d), (h), (k), (l)

146. WSA § 11.20(3)(f), (g)

147. WSA § 11.20(3)(i)

148. WSA § 11.20(3)(j)

149. WSA § 11.20(5g), (5r)

150. WSA § 11.20(2), (4m), (8)(a), (8)(d)

151. WSA § 11.20(2m), (3)(bm), (8)(e)

152. WSA §§ 11.06(1); 11.20(4), (8), (9)

153. WSA § 11.06(3)

154. WSA § 11.12(5)

155. WSA § 11.23(6)

156. WSA § 11.12(6)

157. WSA § 11.06(11)(a)

158. WSA §§ 11.06(11)(c); 11.26(12m)

159. WSA § 11.01(5m)

160. WSA § 199.12(6)(a), (6)(c)

161. WSA § 199.12(6)(b), (6)(d)

162. WSA §§ 8.15(4)(b); 19.42(4), (13); 19.43(4). *See* *also* §
     19.59(1m)‑(3) au­thorizing any county, city, village, or town to
     enact an ordinance establish­ing a code of ethics for local public
     of­ficials and employees and candidates for county or municipal
     election office. The ordinance may apply to the mem­bers of the
     immediate family of local officials and candidates and include a
     requirement to identify economic in­terests.

163. WSA §§ 11.19(1); 11.23(4)

164. WSA § 11.19(3)

165. WSA § 11.19(1). S*ee* *also* § 8.35(4)(a) as to the disposition of
     the campaign funds of a nominated can­didate who vacates his or her
     position as nominee because of death or other reasons.

166. WSA §§ 11.19(2); 11.23(4)

167. WSA § 11.19(3)

168. WSA § 11.19(4)

169. WSA § 11.19(2)

170. WSA §§ 5.02(23); 11.50(1), (2)

171. WSA §§ 11.50(8), (13); 25.42; 71.10(3)

172. WSA § 11.50(13)

173. WSA §§ 5.02(23); 11.50(1)(a)(1)

174. WSA § 11.50(1)(a)(2)

175. WSA § 11.50(2)(a)

176. WSA § 11.50(2)(b)

177. WSA § 7.08(2)(c), (cm)

178. WSA § 11.50(3), (4)

179. WSA § 11.50(9)

180. WSA § 11.50(7)

181. WSA § 11.50(11)

182. WSA § 11.50(2)(g)

183. WSA § 11.50(2)(i)

184. WSA § 11.26(4), (10)

185. WSA § 11.26(4), (10)

186. WSA § 11.31(2)

187. WSA § 11.31(7)

188. WSA § 11.31(3m)

189. WSA § 11.31(4)

190. WSA § 11.31(2m)

191. WSA § 11.31(3)

192. WSA § 8.35(4)(b)

193. WSA § 11.50(8)

194. WSA § 71.10(3)

195. WSA § 11.60(1)‑(3)

196. WSA § 11.38(4)

197. WSA § 11.60(3m)

198. WSA §§ 11.60(4); 7.21(2m)

199. WSA § 11.38(5)

200. WSA § 11.60(5)

201. WSA § 11.66

202. WSA § 11.61(1)

203. WSA § 11.61(3)

204. WSA § 5.05(1)

205. WSA § 5.05(1)(a)

206. WSA § 5.05(1)(b)‑(d), (f), (g)

207. WSA § 5.05(2), (3)

208. WSA § 11.21

209. WSA § 11.22

**CAMPAIGN FINANCE LAW**

**IN WYOMING**

**I. INTRODUCTION**

Wyoming does not permit individuals other than candidates to make
contribu­tions of more than \$1,000 to a candidate or the candidate\'s
campaign committee per primary, general, or special election during the
2‑year period that includes the general election year and the previous
year. Total political contributions by an individual during the 2‑year
period are limited to \$25,000. Non‑political or­ganizations are
prohibited from making contributions except to promote the suc­cess or
defeat of an initiative or referendum petition drive or ballot
proposition.

Candidates, candidate\'s campaign committees, in‑state political action
commit­tees, political action committees formed under federal law or the
law of another state that contribute to a Wyoming political action
committee or a candidate\'s campaign committee, political party state or
county central committees, and or­ganizations supporting or opposing an
initiative or referendum petition drive or ballot proposition must file
itemized statements of receipts and expenditures file post‑election
statements of contributions and expenditures. The Secretary of State is
the chief election officer for the state and has primary responsibility
for administration of the state campaign practices law.

**II. SOLICITATION AND CONTRIBUTION LIMITATIONS**

**A. Limitations on Contributions by an Individual.** During the
two‑year period consisting of a general election year and the preceding
calendar year, an individual, other than the candidate and the
candidate\'s immediate family, may not contribute, directly or
indirectly, to any candidate for political office or any candidate\'s
campaign committee more than \$1,000 per primary, general, or spe­cial
election and may not make more than \$25,000 total political
contributions. A contribution to a candidate\'s campaign committee is
considered to be a con­tribution to the candidate \[1\].

The maximum contribution restrictions are expressly made inapplicable to
contributions by political parties or expenditures by a candidate from
the candi­date\'s own funds or from the candidate\'s campaign committee
funds. Contribu­tions to a political party are not subject to the
contribution limits if they are available to use as the appropriate
party authorities choose and are not exclu­sively dedicated to any
particular candidate. Contributions donated to a political party that
are designated by the donor to be used only for a particular candidate
and for no other purpose are subject to the contribution limits \[2\].

A candidate for political office is prohibited from accepting, directly
or indi­rectly, contributions that violate the 2‑year limitation on
maximum contributions by individuals \[3\].

**B. Prohibition of Candidate‑Related and Political‑Party‑Related
Con­tributions by an Organization.** No organization of any kind,
including a cor­poration, partnership, trade union, professional
association, civic, fraternal, or re­ligious group, or other profit or
nonprofit entity is permitted, directly or indirect­ly through any
officer, member, director, or employee, to contribute funds, oth­er items
of value, or election assistance to aid, promote, or prevent the
nomina­tion or election of any candidate or group of candidates or to aid
or promote the interests, success, or defeat of any political party. A
person may not solicit or receive a payment or contribution from an
organization prohibited from making contributions \[4\].

The prohibition of organizational contributions does not apply to a
political party, political action committee, or candidate\'s campaign
committee, and an or­ganization, in the aid of the election or defeat of
candidates for public office or for the adoption or defeat of any ballot
proposition, may communicate directly with its own members on behalf of
a particular candidate or political party \[5\].

**C. Contributions by an Individual, Political Party, Political Action
Committee, or Candidate\'s Campaign Committee.** Only an individual,
polit­ical party, political action committee, or candidate\'s campaign
committee may contribute funds or election assistance in order to aid,
promote, or prevent the nomination or election of any candidate or group
of candidates or in order to aid or promote the interests, success, or
defeat of any political party. No person may solicit or receive a
political payment or contribution from any source other than a natural
person, political party, political action committee, or candidate\'s
campaign committee \[6\].

**D. Contributions for Multi-State or National Party Conferences or
Conventions**. Contributions of funds or other items of value to
political parties to support multi-state or national political-party
conferences or conventions are not subject to the statutory prohibitions
concerning contributions, but any such contribution must comply with all
applicable federal election commission regulations \[7\].

**E. Annual Written Consent for Automatic Contributions by
Individuals.** No organization of any kind (including a cor­poration,
partnership, trade union, professional association, civic, fraternal, or
re­ligious group, or other profit or nonprofit entity and excluding a
political party, political action committee, or candidate's campaign
committee) may solicit or obtain legal contributions to aid, promote, or
prevent the nomina­tion or election of any candidate or group of
candidates or to aid or promote the interests, success, or defeat of any
political party from an individual on an automatic basis (including but
not limited to a payroll deduction plan or reverse checkoff method)
unless the contributing individual affirmatively consents in writing to
the contribution at least once in every calendar year \[8\].

**F. Use of Intimidation to Solicit Contributions.** It is unlawful to
know­ingly and willfully solicit the contribution of funds, other items
of value, or elec­tion assistance to the campaign of any candidate,
candidate's committee, political action committee, or sponsors of a
ballot proposition by the use of threats of physical violence or any
form of economic or official retaliation \[9\].

**G. Acceptance or Expenditure of Money Without Candidate Approval.** It
is unlawful to accept or expend any money or incur any obligation on
behalf of any candidate for nomination or election to office without the
candidate\'s pri­or written approval \[10\].

**H. Solicitation or Making of Contributions by or for a Judicial
Can­didate.** As a general rule, a judge or candidate for election or
appointment to judicial office may not solicit funds for, pay an
assessment to, or make a contri­bution to a political organization or
candidate or purchase tickets for political party dinners or other
functions. A candidate for appointment to judicial office or a judge
seeking other governmental office may not solicit or accept funds,
personally or through a committee or otherwise, to support his or her
candidacy or engage in any political activity to secure the appointment;
however, a non‑judge candidate for appointment to judicial office may,
unless otherwise prohibi­ted, continue to pay ordinary assessments and
ordinary contributions to a politi­cal organization or candidate and
purchase tickets for political party dinners or other functions \[11\].

A candidate for selection for or retention in a judicial office by
election or ap­pointment is not permitted to personally solicit or accept
campaign contribu­tions. A candidate may, however, establish committees
of responsible persons to conduct campaigns for the candidate through
media advertisements, brochures, mailings, candidate forums, and other
means not prohibited by law. The candidate\'s committees may solicit and
accept reasonable campaign contri­butions and manage the expenditure of
funds for the candidate\'s campaign. The committees are not prohibited
from soliciting and accepting reasonable cam­paign contributions from
lawyers. A candidate\'s committees may solicit contri­butions for the
candidate\'s campaign no earlier than one year before an election and no
later than 30 days after the last election in which the candidate
partici­pates during the election year. A candidate may not use or permit
the use of campaign contributions for the private benefit of the
candidate or others \[12\].

A candidate for judicial office must prohibit employees and officials
who serve at the pleasure of the candidate and discourage other
employees and offi­cials subject to the candidate\'s direction and
control from doing on the candida­te\'s behalf what the candidate is
prohibited from doing under Canon 5 of the Code of Judicial Conduct.
Except to the extent authorized by Canon 5, a can­didate may not
authorize or knowingly permit any other person to do for the candidate
what the candidate is prohibited from doing \[13\].

**I. Solicitation of Contributions From Police and Fire Civil Service
Personnel**. An officer or employee of a paid police or fire department
under a civil service commission in a municipality of 4,000 or greater
population may not solicit political contributions from any civil
service employee of the police or fire department or discharge, change
the compensation of, or promise or threaten to discharge or change the
compensation of any civil service officer or employee of the police or
fire department \[14\].

**III. EXPENDITURE LIMITATIONS**

**A. Political Party Expenditures During a Primary Election.** No
political party funds may be expended, directly or indirectly, in the
aid of the nomination of any one person as against another person of the
same political party running in a primary election \[15\].

**B. Payment for Campaign Literature or Advertising.** A candidate,
polit­ical action committee, organization, candidate\'s campaign
committee, or political party central committee may not pay for campaign
literature or advertising in any communications medium without printing
or announcing the candidate, organization, or committee sponsoring the
advertising or literature. In using the campaign advertising, the
communications media must print or announce the name of the candidate,
organization, or committee paying for the advertising. \"Campaign
literature\" does not include small campaign items, such as tickets,
bumper stickers, pens, pencils, buttons, rulers, nail files, balloons,
or yard signs displaying the name of the candidate or office sought
\[16\].

**IV. REPORTING REQUIREMENTS**

**A. Statement of Formation of a Candidate\'s Campaign Committee and a
Political Action Committee.** A candidate\'s campaign committee and a
polit­ical action committee, except those formed under federal law, must
file a statement of formation when a committee is formed, whether before
an election to aid in the campaign or after an election to defray
campaign debts incurred \[17\].

The statement of formation must list the name and mailing address of the
committee, the name and address of the committee chairman and treasurer,
who must be separate individuals, the date the committee was formed, and
the pur­pose of the committee \[18\].

A statement of formation must be filed by a committee within 10 days
after formation with the same officers with whom statements of receipts
and expen­ditures are required to be filed \[19\].

**B. Statement of Receipts and Expenditures**

**1. General Provisions.** A candidate, a candidate\'s campaign
committee, a political action committee formed under state law, a
political action committee formed under federal law or the law of
another state that contributes to a Wyoming political action committee
or a candidate\'s campaign committee, a po­litical party state or county
central committee, an organization supporting or op­posing a initiative
or referendum petition drive, and an organization supporting or opposing
a ballot proposition must file itemized statements of receipts and
expenditures with the appropriate filing officer \[20\]. A precinct
committeeman or committeewoman elected at a primary election is not
required to file state­ments \[21\].

A candidate for federal office and a campaign committee for a candidate
for federal office are not required to file receipt and expenditure
reports if the candidate or committee is required to comply with federal
election law reporting requirements \[22\]. A "federal office" means the
offices of president, vice-president, U.S. senator, and representative
in Congress \[23\].

All required statements are to be filed as follows:

\(1\) A candidate for a municipal, county, judicial, hospital, or school
or college board office and a political action committee or candidate\'s
campaign committee supporting such a candidate files with the county
clerk.

\(2\) A candidate for a statewide office, state legislature, or supreme
court or district judgeship and a political action committee or
candidate\'s campaign committee supporting or opposing such a candidate
files with the Secretary of State.

\(3\) A candidate for district attorney and a political action committee
or can­didate\'s campaign committee supporting or opposing such a
candidate files with the Secretary of State and county clerk.

\(4\) A political action committee supporting or opposing a statewide
initiative or referendum petition drive, a statewide ballot proposition,
or a candidate for statewide office files with the Secretary of State.

\(5\) A political action committee supporting or opposing a municipal
initiative or referendum within a county files with the county clerk.

\(6\) An organization supporting or opposing a statewide initiative or
referen­dum petition drive, a statewide ballot proposition, or a
candidate for statewide office files with the Secretary of State.

\(7\) A county party central committee files with the Secretary of State
and county clerk.

\(8\) A state party central committee files with the Secretary of State
\[24\].

An \"organization\" should be given its ordinary meaning, according to
the state attorney general. An organization required to file campaign
reports is any kind of association, business or otherwise, that exists
for a purpose other than sup­porting or opposing a petition drive or
ballot proposition and receives or spends money for either of those two
purposes \[25\].

\"County clerk\" refers to the county clerk of the county in which the
person re­sides \[26\].

Amendments to statements of receipts and expenditures may be filed at
any time. If inaccuracies are found in the statements filed or
additional receipts or expenditures occur or become known after the
statements are filed, amendments to the original statements or
additional statements must be filed within a reason­able time not to
exceed 90 days from the time the inaccuracies or additional re­ceipts or
expenditures become known. Any net change less than \$50 need not be
reported \[27\].

A late filing fee of \$25 must accompany all late reports \[28\].

**2. Candidate.** A candidate, whether successful or not, must file a
fully itemized statement of receipts and expenditures within 10 days
after a primary, general, or special election. The statement may be
filed by facsimile transmis­sion during regular business hours within the
filing deadline as long as the origi­nal statement is sent by mail,
hand‑stamped by the U.S. postal service, on the same day \[29\].

The statement must set forth the full and complete record of receipts,
includ­ing cash, goods, or services, and of actual and promised
expenditures, including all identifiable expenses \[30\].

\"Identifiable expenses\" that must be reported include all forms of
advertising expenses, including radio, television, billboards, and
posters; printing expenses; expenses for retaining the services of a
professional campaign consultant or pub­lic relations or management firm;
and postage. Staff and postage expenses of a political party central
committee, checking account service charges of a political action
committee, and a candidate\'s personal campaign expenses for travel and
meals and checking account service charges are not identifiable
expenses. Ad­vertising expenses by a party central committee are not
identifiable expenses for the candidate if the entire slate of
candidates below the national level is adver­tised by the committee, even
though all candidates are not included in each ad­vertisement, as long as
the expenses for each candidate on the slate are substan­tially the same
in any election \[31\].

The date of each receipt of \$25 or more , expenditure, or obligation,
the name of the person from whom received or to whom paid, and the
purpose of each expenditure or obligation must be listed. Receipts under
\$25 are to be reported but need not be itemized. If the accumulation of
receipts from an individual ex­ceeds the \$25 threshold, all receipts
from that individual must be itemized. Re­ceipts, expenditures, and
obligations itemized in a statement filed by a political action
committee, a candidate\'s campaign committee, or a political party
central committee need not be itemized in a candidate\'s statement
except by total with a reference to the committee\'s statement \[32\].

**3. Candidate\'s Campaign Committee, Political Action Committee, or
Initiative/Referendum Organization.** A candidate\'s campaign committee,
a political action committee (including a political action committee
formed for the support of or opposition to an initiative or referendum
petition drive), an organ­ization supporting or opposing a petition
drive, and an organization supporting or opposing a ballot proposition
must file itemized statements of receipts and expenditures signed by
both the chairman and treasurer \[33\].

The statement must set forth the full and complete record of receipts,
includ­ing cash, goods, or services, and of actual and promised
expenditures. The date of each receipt \$25 or more, expenditure, or
obligation, the name of the person from whom received or to whom paid
(but not the names of paid circulators of initiative or referendum
petitions), and the purpose of each expenditure or obligation must be
listed. Receipts under \$25 are to be reported but need not be itemized.
If the accumulation of receipts from an individual exceeds the \$25
threshold, all receipts from that individual must be itemized. If the
receipts, ex­penditures, or obligations were for more than one candidate,
the amounts at­tributable to each must be itemized separately \[34\].

Itemized statements of receipts and expenditures are to be filed as
follows:

\(1\) A candidate\'s campaign committee, a political action committee,
or an or­ganization supporting or opposing a ballot proposition that
expends funds in any primary, general, or special election must file
within 10 days after the election with the appropriate filing officers.

\(2\) A candidate\'s campaign committee or political action committee
that has previously filed statements of receipts and expenditures but
has not filed a statement of termination and a candidate\'s campaign
committee or political ac­tion committee formed after an election to
defray campaign expenses incurred during a previous election must file
on July 1st and December 31st of each odd‑numbered year and continue to
make the semiannual reports until the commit­tee terminates and a
statement of termination is filed with the appropriate filing officer.

\(3\) A political action committee formed for the support of or
opposition to any initiative or referendum petition drive and an
organization supporting or opposing a petition drive must file within 10
days after the petition is submitted to the Secretary of State. In
addition, if the political action committee or organi­zation supports the
petition drive, it is required to file 30 to 45 days before the election
at which the proposition will be voted on a statement signed by both the
chairman and treasurer showing (1) the total amount expended to obtain
signatures on the petition, (2) the number of per­sons paid to circulate
the petition, and (3) the period of time during which signatures were
obtained \[35\].

A statement may be filed by facsimile transmission if the original is
postmarked on the day the facsimile is sent \[36\].

**4. Political Party Central Committee.** The chairman of each political
party central committee for the state or a county or an officer of the
party des­ignated by the chairman must file an itemized statement of
receipts \$25 or more, expenditures, and obligations within 10 days
after a general or special election. The statement may be filed by
facsimile transmission if an original signed statement is sent by mail
on the same day. The statement must report all receipts, expenditures,
and obligations relating to campaign expenses, including normal
operating expenses. Receipts under \$25 are to be reported but need not
be itemized. If the accumulation of receipts from an individual exceeds
the \$25 threshold, all receipts from that individual must be itemized.
A state­ment is to attribute all campaign receipts, expenses, and
obligations to a specific candidate only if the receipts, expenses, and
obligations can be specifically iden­tified with that specific candidate
to the exclusion of other candidates on the ticket. A copy of the
statement must be furnished to each candidate identified in the
statement within 10 days after the general or special election \[37\].

A political party that receives funds to sponsor a multi-state or
national political-party conference or convention must file an itemized
statement of receipts and expenditures with the secretary of state
within 10 days after the conference or convention \[38\].

**V. POST‑ELECTION REQUIREMENTS**

**A. Termination of Candidate\'s Campaign Committees and Political
Ac­tion Committees**. All candidates, candidate\'s campaign committees,
and politi­cal actions committees must continue to comply with the
requirements for filing statements of receipts expenditures until the
committee terminates and the can­didate or committee files a statement of
termination with the appropriate filing office (*see* Section IV.B.1,
*supra*). A statement of termination may be filed upon retirement of all
debts \[39\].

**B. Disposition of Excess Campaign Funds**. The state campaign
practices law does not specify how excess campaign funds may be used
\[40\].

**VI. OFFENSES AND PENALTIES**

**A. Penalties for Failure to File a Timely Statement of Receipts and
Expenditures**. A candidate who fails to file a full and completed
itemized statement of receipts and expenditures within the time required
is to receive a notice by certified mail, return receipt requested,
stating that failure to file the delinquent statement within three
calendar days after receipt of the notice will result in a vacancy in
nomination or in office, as appropriate, and that the can­didate may be
charged with a criminal offense as provided for violations of the
campaign practices law. If the candidate fails to file the statement
within three calendar days, he or she may not receive a certificate of
nomination or election or enter upon the duties of the office, as
appropriate, and may be charged with a misdemeanor. A late filing fee of
\$25 must accompany all late statements \[41\].

If the candidate fails to file a delinquent statement of receipts and
expen­ditures within one month after receipt of the notice of the
consequences for fai­lure to file, he or she is ineligible to run as a
candidate for any state or local of­fice for which statements of receipts
and expenditures are required until (1) 5 years have elapsed from the
date the late statement was first due and (2) the in­dividual has filed
the required statement and paid the late filing fee \[42\].

If a political action committee fails to file a report as required, the
Secretary of State must send a notice by certified mail, return receipt
requested, or by per­sonal service stating that failure to file the
statement within three calendar days of receipt of the notice may result
in the filing of criminal charges against the committee\'s officers
responsible for the filing \[43\].

**B. Civil Penalty for Violation of the Contribution Requirements.** A
corporation, person, or organization that violates the campaign
practices provi­sions concerning contribution prohibitions and
limitations is subject to a civil penalty of up to \$10,000 and costs.
An action to impose the civil penalty may be prosecuted by and in the
name of a candidate adversely affected by the transgression, a political
party, a county and prosecuting attorney, or the attor­ney general
\[44\].

**C. Criminal Penalties for Violation of the Campaign Practices Law.**
Unless a different penalty is specifically provided in the state code,
the knowing and willful commission of any of the following acts is a
misdemeanor offense punishable by not more than 6 months in a county
jail, a fine of not more than \$1,000, or both: (1) a violation of the
campaign practices law, (2) filing or sign­ing of a false statement of
receipts and expenditures, or accepting or spending money or incurs an
obligation on behalf of a candidate for nomination or elec­tion to office
without the candidate\'s prior written approval \[45\].

An officer of a political action committee who is responsible for filing
a report and who knowingly and willfully fails to file a report as
required or who know­ingly and willfully subscribes to, makes, or causes
to be made a false report is guilty of a felony punishable by
imprisonment not to exceed two years \[46\].

The knowing and willful solicitation of funds, other items of value, or
election assistance for the campaign of a candidate, a candidate's
committee, a political action committee, or the sponsors of a ballot
proposition by the use of threats of physical violence or any form of
economic or official retaliation (intimidation) is a felony offense
punishable by not more than 5 years\' imprisonment in the state
peniten­tiary, a fine of not more than \$10,000, or both \[47\].

**D. Complaint by a Voter or Chief Election Officer.** Any qualified
elector aggrieved by any violation of the state election code may file a
written complaint of the violation with the Secretary of State or with
the county and prosecuting attorney for the county in which the elec­tor
resides. If the Secretary of State or the county and prosecuting
attorney fails or refuses for any reason to take action on or to
prosecute the complaint, the elector may file the complaint with the
attorney general. If the attorney general finds that the complaint has
merit, the complaint may be prosecuted in the ap­propriate court \[48\].

A chief election officer may file a written complaint with the district
attorney or attorney general regarding any violation of the state
election code. If the attorney general finds that the election officer's
complaint has merit, the complaint may be prosecuted in the appropriate
courts of the state. If the violation is reasonably believed to have
occurred in more than one district, the complaint may be filed in the
district court for Laramie County \[49\].

**VII. RESPONSIBLE STATE AGENCIES**

**A. Secretary of State.** The Secretary of State is the chief election
officer for the state and must maintain uniformity in the application
and operation of the state election laws \[50\]. The Secretary of State
prescribes and furnishes the forms for reporting receipts and
expenditures for primary, general, and special election campaigns,
together with written instructions for completing the forms and a
warning that violators are subject to criminal charges and that a
vacancy will exist if the forms are not completed and filed pursuant to
law. The forms, along with the instructions and warning, must be
distributed to the county clerks \[51\]. The Secretary of State is
required to report the names of all candidates in violation of the
election code to the attorney general or to the district attorney for
appropriate action and to publish in a newspaper a list of persons who
violate the campaign statement reporting requirements \[52\].

A statement of receipts and expenditures must be filed with the
Secretary of State by certain candidates and political organizations:
(1) a candidate for statewide office, state legislature, district
attorney, or supreme court or district judgeship, and a political action
committee and candidate\'s campaign committee supporting the candidate;
(2) a political action committee or organization sup­porting or opposing
a statewide initiative or referendum petition drive or state­wide ballot
proposition; and (3) a political party state or county central commit­tee
\[53\].

**B. County Clerk.** The county clerk is the chief election officer for
the coun­ty \[54\]. The forms for reporting receipts and expenditures,
instructions, and warning provided by the Secretary of State must be
given by the county clerk to each person filing an application for
nomination in the clerk\'s office and to each political action committee
and candidate\'s campaign committee required to file with the county
clerk. The county clerk must also distribute the reporting forms to the
chairmen of the county party central committees \[55\].

A statement of receipts and expenditures must be filed with the county
clerk by certain local candidates and political organizations: (1) a
candidate for a mu­nicipal, county, judicial, hospital, or school or
college board office or district at­torney and a political action
committee or candidate\'s campaign committee sup­porting the candidate;
(2) a political action committee supporting or opposing a municipal
initiative or referendum within a county; and (3) a political party
county central committee \[56\].

# References

1.  Wyoming Statutes Annotated (here­after WSA) § 22‑25‑102(c)

2.  WSA § 22‑25‑102(c), (f)

3.  WSA § 22‑25‑102(c)

4.  WSA § 22‑25‑102(a)

5.  WSA § 22‑25‑102(a), (d), (f)

6.  WSA § 22‑25‑102(b)

7.  WSA § 22‑25‑102(g)

8.  WSA § 22‑25‑102(h)

9.  WSA §§ 22‑26‑101(a); 22‑26‑111

10. WSA § 22‑25‑112(a)(iv)

11. Wyoming Court Rules Annotated,Code of Judicial Conduct, Canon 5
    (hereafter Canon 5)

12. Canon 5

13. Canon 5

14. WSA § 15‑5‑116

15. WSA § 22‑25‑104

16. WSA § 22‑25‑110

17. WSA § 22‑25‑101(b)

18. WSA § 22‑25‑101(b)

19. WSA §§ 22‑25‑101(b); 22‑25‑106; 22‑25‑107

20. WSA §§ 22‑25‑106; 22‑25‑107

21. WSA § 22‑25‑107(a)(vi)

22. WSA § 22‑25‑106(g)

23. WSA § 22‑1-102(xxxvi)

24. WSA § 22‑25‑107(a)(i)‑(v); Wyoming Secretary of State, 1998 Wyoming
    Campaign Guide (hereafter Campaign Guide) 10

25. Campaign Guide 4

26. WSA § 22‑25‑107(b)

27. WSA § 22‑25‑106(e)

28. WSA § 22‑25‑108(a), (c)

29. WSA § 22‑25‑106(a)

30. WSA § 22‑25‑106(a)

31. WSA § 22‑25‑103

32. WSA § 22‑25‑106(a)

33. WSA § 22‑25‑106(b), (c)

34. WSA § 22‑25‑106(c)

35. WSA § 22‑25‑106(b), (f)

36. WSA § 22-25-106 (e)

37. WSA § 22‑25‑106(d)

38. WSA § 22‑25‑106(d)

39. WSA § 22‑25‑106(b)

40. Campaign Guide 3

41. WSA § 22‑25‑108(a)

42. WSA § 22‑25‑108(b)

43. WSA § 22‑25‑108(c)

44. WSA § 22‑25‑102(e)

45. WSA § 22‑26‑112(a)(iv), (ix), (x)

46. WSA § 22‑25‑108(c)

47. WSA §§ 22‑26‑101(a); 22‑26‑111

48. WSA § 22‑26‑121(a)

49. WSA § 22‑26‑121(b)

50. WSA § 22‑2‑103

51. WSA § 22‑25‑105

52. WSA § 22‑25‑109

53. WSA § 22‑25‑107; Campaign Guide 10

54. WSA § 22‑2‑103

55. WSA § 22‑25‑105

56. WSA § 22‑25‑107; Campaign Guide 10