Candidates should carefully read the instructions on the nomination form. ... The manual is written in a “user friendly” format so that candidates ...
CANDIDATE HANDBOOK
GENERAL MUNICIPAL ELECTION
Tuesday, November 3, 2020
Office of the City Clerk Jerryl Soriano, CMC, City Clerk
TABLE OF CONTENTS
GENERAL MUNICIPAL ELECTION
City of Desert Hot Springs, California
TUESDAY, NOVEMBER 3, 2020
1. INTRODUCTION
Letter from City Clerk
3
Resolution 2020-0031 (Call and Notice)
5
Notice of Election (English and Español)
7
Important Telephone Numbers
9
Dates of Interest
11
2020 Calendar
13
Note Regarding Incompatible Offices
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2. GETTING STARTED THE NOMINATION
PROCEDURE
Qualifications for Office
16
Nomination Documents
16
Name on Ballot
16
Ballot Designation
17
Oath
17
Petition
17
Withdrawal of Candidacy
18
Extension of the Nomination Period
18
Sample of Official Filing Form / Petition
19
Write-In Candidacy Information
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3. BALLOT DESIGNATION
Ballot Designation Worksheet
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Sample Worksheet
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4. CANDIDATE'S STATEMENT
Candidate's Statement Information
31
Word Count Guide
32
Style Guidelines
32
Electronic Candidate's Statement
32
Sample Candidate's Statement Form
33
Resolution 2020-032 (Regulations)
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5. STATEMENT OF ECONOMIC
INTERESTS (FORM 700)
Form 700 Information
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6. CODE OF FAIR CAMPAIGN PRACTICES
Code Provisions
41
Sample of Code
41
7. CAMPAIGN DISCLOSURE
Form 501 (Candidate Intention)
43
Form 410 (Statement of Organization)
43
Campaign Disclosure
44
Committee Termination
44
Future Disclosure Obligations
45
Filing Deadlines
47
Where/When to File Guide
48
8. CAMPAIGN PRACTICES
Mass Mailing
51
Slate Mailer Organizations
52
Nominations
52
False or Misleading Information
52
Simulated Ballots
53
Polling Places
53
Vote-By-Mail Voter Ballot Applications
53
Political Advertising
53
Electioneering on Election Day
53
Electioneering During Vote-By-Mail
54
9. CAMPAIGN CONTRIBUTIONS
Solicitation; Offense; Punishment
55
Local Agency Expenses
55
10. VOTER INFORMATION
Voter Registration Information
56
Conditional Voter Registration
56
Vote-By-Mail Information
57
11. SERVICES TO CANDIDATES
REGISTRAR OF VOTERS
Voter Indexes
58
Mailing Labels
58
Fee Schedule
58
Precinct Maps
59
Vote-by-Mail Voter List
59
12. ELECTION DAY INFORMATION
Polling Place Information
60
Canvass / Election Night Activities
63
13. FPPC CAMPAIGN DISCLOSURE MANUAL
FPPC Campaign Disclosure Manual 2
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CITY OF
OFFICE OF THE CITY CLERK
DESERT HOT SPRINGS
11-999 PALM DRIVE · DESERT HOT SPRINGS · CA · 92240 (760) 329-6411 · www.cityofdhs.org
July 13, 2020
Dear Potential Candidate:
Welcome to the City of Desert Hot Springs regular scheduled General Municipal Election to be held on Tuesday, November 3, 2020 for the following Officers:
Seat Mayor Council Member Council Member
Term (Municipal Code Chapter 2.04 Article II. Elections) 4 Year Term (currently held by incumbent Scott Matas) 4 Year Term (currently held by incumbent Russell Betts) 4 Year Term (currently held by appointed incumbent Robert Griffith)
Running for public office is a challenging and exciting experience that carries with it certain legal responsibilities and obligations.
In my attempt to assist you, I have assembled a variety of documents in this Candidate Handbook to help guide you through the election process. This handbook is intended to assist you in understanding various rules, regulations, and common-sense ideas for the conduct of a successful campaign. I am confident that you will find it useful, however, the City Clerk's Office does not render any legal advice. Therefore, this manual is not intended to be a substitute for legal counsel. As such, you are encouraged to consult legal assistance as needed.
Filing Fee There is an established filing fee of $25.00, pursuant to Municipal Code § 2.04.090, to defray, in part, the cost to the City of processing nomination papers for Council elections within the City. The filing fee must be paid at the time nomination papers are filed.
It is strongly advised that you file your nomination papers as early as possible in order to correct any possible errors and/or insufficiencies in the forms.
Should you have any questions or concerns, please do not hesitate to contact me at jsoriano@cityofdhs.org or at (760) 329-6411 Ext. 107. I am happy to assist you in any way I can.
Sincerely,
Jerryl Soriano, CMC City Clerk
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NOTICE OF GENERAL MUNICIPAL ELECTION
November 3, 2020
NOTICE IS HEREBY GIVEN that a General Municipal Election will be held in the City of Desert Hot Springs, California on Tuesday, November 3, 2020, for the following offices:
Seat Mayor Council Member Council Member
Term (Municipal Code Chapter 2.04 Article II. Elections) 4 Year Term (currently held by incumbent Scott Matas) 4 Year Term (currently held by incumbent Russell Betts) 4 Year Term (currently held by appointed incumbent Robert Griffith)
Qualifications for Public Office
To hold an elective office in the City of Desert Hot Springs, a person must be a resident and registered voter of the City of Desert Hot Springs at the time nomination papers are issued.
Nomination Period
Official nomination documents for any qualified persons desiring to file for any of these offices will be available by appointment only at the City Clerk's Office, City Hall, 11-999 Palm Drive, between July 13, 2020 and August 6, 2020 (113 to 88 days prior to the election) during posted business hours (Elections Code § 10220).
City Hall hours are Monday through Thursday from 7:00 A.M. to 6:00 P.M. and closed on Fridays.
Polls The polls will be open on the day of said election between the hours of 7:00 A.M. and 8:00 P.M.
Visit www.cityofdhs.org/elections for more information.
Dated this 9th day of July, 2020
Jerryl Soriano, CMC, City Clerk
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AVISO DE ELECCIÓN MUNICIPAL
3 de Noviembre de 2020
SE DA AVISO de una eleccíon municipal en la ciudad de Desert Hot Springs, California el martes, 3 de noviembre de 2020 para los siguientes oficinas:
Oficina Alcalde Miembro del Concilio Miembro del Concilio
Término (Código Municipal Capítulo 2.04 Articulo II. Eleccíones)
4 años
(actualmente mantenido por la titular Scott Matas)
4 años
(actualmente mantenido por el titular Russell Betts)
4 años
(actualmente mantenido por la titular Robert Griffith)
Calificaciones Para la Oficina
Para mantener un cargo electivo en la ciudad de Desert Hot Springs, la persona debe ser residente y votante registrado de la ciudad de Desert Hot Springs en el momento de que se publican documentos de postulación.
Plazo de Presentación de Candidaturas
Documentos de nominación oficial de las personas calificadas que desean entregar para cualquiera de estas oficinas estarán disponibles en la Oficina del Escribano de la ciudad, 11999 Palm Drive, entre el 13 de julio de 2020 y el 6 de agosto de 2020 (de 113 a 88 días antes de la elección) durante horas de oficina (Código Electoral § 10220).
El horario de la ciudad es de lunes a jueves de 7:00 a.m. a 6:00 p.m. y cerrado cada viernes.
Encuestas Electorales
Las encuestas electorales se abrirán en el día de elección entre las horas de 7:00 a.m. y 8:00 p.m.
Visite www.cityofdhs.org/elections para más información.
Fechado en este día 9 de Julio de 2020
Jerryl Soriano, CMC, City Clerk
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1 IMPORTANT TELEPHONE NUMBERS
Fair Political Practices Commission
P.O. Box 807 (95812-0807) 428 J Street, Ste. 450 Sacramento, CA 95814 Phone: (916) 322-5660 Toll Free: (866) ASK-FPPC (866-275-3773) Fax: (916) 322-0886 Website: www.fppc.ca.gov
· Campaign Disclosure · State Contribution Limits · Conflict of Interest Disclosure · Lobbying Disclosure · Conflict of Interest Disqualification · Proper use of Campaign Funds
To Report a Violation: Phone: (800) 561-1861
Secretary of State Political Reform Division
1500 11th Street, Room 495 Sacramento, CA 95814 Phone: (916) 653-6224 Fax: (916) 653-5045 Website: www.sos.ca.gov
· Committee Identification Numbers · Termination of Committees · Online/Electronic Filing
Elections Division Phone: (916) 657-2166
· Questions Related to the Elections Code
Riverside County Registrar of Voters
2724 Gateway Drive Riverside, CA 92507 Phone: (951) 486-7200 Toll Free: (800) 773-VOTE Fax: (951) 486-7272 Website: www.voteinfo.net
Attorney General
Attorney General's Office California Department of Justice P.O. Box 944255 Sacramento, CA 94244-2550 Phone: (800) 925-5225 Website: http://oag.ca.gov/
· Brown Act Requirements
State Franchise Tax Board
Phone: (800) 338-0505 Website: www.ftb.ca.gov
· Committee Tax Status · Tax Deductible Contributions · Charitable Non-Profit Groups · Any other Tax-Related Questions
League of California Cities / Institute for Local Government
1400 K St.
Sacramento, CA 95814
Phone: (916) 658-8208
Fax:
(916) 444-7535
Website: www.cacities.org
www.ca-ilg.org
· General resource for California Ethics Laws
City Clerk City of Desert Hot Springs
11-999 Palm Drive Desert Hot Springs, CA 92240
Jerryl Soriano, CMC, City Clerk
Phone: Fax: E-Mail: Website:
(760) 329-6411 Ext. 107 (760) 288-3129 jsoriano@cityofdhs.org www.cityofdhs.org
· Local Elections Official
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1 DATES OF INTEREST
DATE
July 13 thru August 6
DESCRIPTION
Nomination Period (E.C. § 10220 et seq.) Between these dates candidates may obtain nomination material and file completed nomination documents with the City Clerk.
August 7
Last Day to Withdraw Candidacy (E.C. § 10224) Unless there is an extension of the nomination period.
August 10
Last Day to Withdraw Candidate Statement (E.C. §§ 13307, 13311)
Last day to withdraw candidate statement, unless there is an extension of the nomination period. Request to withdraw candidate statement must be made in writing and submitted by 5:00 p.m. Candidate statements shall remain confidential until expiration of the filing deadline.
August 8 thru August 17
Election Material Available (Public Exam Period) (E.C. § 13313)
During this period Candidate Statements are available for public inspection.
Exception: If there is an extension of the nomination period, the exam period will be from August 13 thru August 22.
August 12
Last Day of Extended Nomination Period (E.C. § 10225)
If the incumbent fails to file nomination documents by August 6, 2020, the nomination period will be extended for persons other than the incumbent. This will also extend the period for withdrawing candidacy. Not applicable if the office has no incumbent.
August 12 thru August 20
Insufficient Nominees Action by Governing Body (E.C. § 10229)
Legislative body to take action of appointment or election during this time frame if there are insufficient nominees.
August 13
Last Day to Withdraw Candidate Statement in Event of Extension (E.C. §§ 10225, 13307)
August 13 (11:00 a.m.)
Drawing of Randomized Alphabet (E.C. § 13112)
Secretary of State will conduct a drawing of the alphabet for determining the order of candidates' names on the ballot.
September 7
First Day Forms will be Available for Write-In Candidacy (E.C. § 8600 et seq.)
Any qualified person wishing to file as a write-in candidate may pick up papers beginning this date. Papers must be filed with the City Clerk no later than 14 days prior to election day.
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DATE
DESCRIPTION
September 24
Filing Deadline for First Pre-Election Campaign Disclosure Statement (G.C. §§ 84200.5, 84200.8)
Covers filing period July 1 through September 19. Statement must be filed online or sent by personal delivery or guaranteed overnight service
September 24 - October 24
Period for Registrar of Voters to Mail County Voter Information Guide to Voters (E.C. §§ 13303, 13307)
October 5 October 24
Period for Registrar of Voters to Mail Official Ballots to Voters (E.C. § 4000 et seq.)
The Registrar of Voters shall mail official ballots to all qualified voters.
October 22
Filing Deadline for Second Pre-Election Campaign Disclosure Statement (G.C. §§ 84200.5, 84200.8)
Covers filing period September 20 through October 17. Statement must be filed online or sent by personal delivery or guaranteed overnight service
October 19
Last Day to Register to Vote or Change Address for this Election (E.C. §§ 2106, 2107)
October 20
Last Day to File Statement of Write-In Candidacy (E.C. § 8600 et seq.)
November 3
ELECTION DAY
Voted ballots must be received by the Registrar of Voters no later than the close of the vote centers on election day or be postmarked on or before election day and received no later than three days after election day to be counted. (E.C. §§ 3020, 4103)
December 3
Declare Candidates Elected and Install Officers (E.C. §§ 10262, 10263, 15372)
The governing body shall meet at its usual place of meeting no later than the next regularly scheduled city council meeting following presentation of the canvass of the returns, or at a special meeting called for this purpose, to declare the results and to install the newly elected officers.
January 31, 2021 Filing Deadline for Semi-Annual Campaign Disclosure Statement (G.C. § 84200)
Covers period ending December 31.
Note: Whenever a date prescribed by law falls on a weekend or holiday, such act may be performed on the next business day. (E.C. § 15; G.C. § 6701)
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1 2020 CALENDAR
JANUARY S M T WT F S
H2 3 4 5 6 CC 8 9 10 11 12 13 14 15 16 17 18 19 H CC 22 23 24 25 26 27 28 29 30 31
FEBRUARY SM T WT F S
1 2 3 CC 5 6 7 8 9 10 11 12 13 14 15 16 H CC 19 20 21 22 23 24 25 26 27 29 29
MARCH SMTWT FS 1 2 CC 4 5 6 7 8 9 10 11 12 13 14 15 16 CC 18 19 20 21 22 23 24 25 26 27 28 29 30 31
APRIL SM T W T F S
1 2 34 5 6 CC 8 9 10 11 12 13 14 15 16 17 18 19 20 CC 22 23 24 25 26 27 28 29 30
JULY SM T W T F S
1 2 3 4 5 6 CC 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
* 7/4 Independence Day * 7/21 City Council Meeting DARK
OCTOBER SM T W T F S
1 2 3 4 5 CC 7 8 9 10 11 H 13 14 15 16 17 18 R CC 21 CSD 23 24 25 26 27 28 29 30 31
* 10/12 Columbus Day City Hall is Open * 10/19 Last Day to Register to Vote * 10/22 2nd Pre-Election Campaign Statements Due
MAY S MTWT F S
1 2 3 4 CC 6 7 8 9 10 11 12 13 14 15 16 17 18 CC 20 21 22 23 24 H 26 27 28 29 30 31
AUGUST SMTW T FS
1 2 3 4 5 678 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
* 8/4 City Council Meeting DARK * 8/18 City Council Meeting DARK
NOVEMBER SM T W T F S 12 3 4 5 6 7 8 9 10 H 12 13 14 15 16 17 18 19 20 21 22 23 24 25 H 27 28 29 30
* 11/3 ELECTION DAY - City Council Meeting DARK * 11/11 Veterans Day City Hall Closed * 11/26 Thanksgiving Day City Hall Closed
JUNE SMTWT FS
1 CC 3 4 5 6 7 8 9 10 11 12 13 14 15 CC 17 18 19 20 21 22 23 24 25 26 27 28 29 30
SEPTEMBER SMTWT FS
CC 2 3 4 5 6 H 8 9 10 11 12 13 14 CC 16 17 18 19 20 21 22 23 CSD 25 26 27 28 29 30
* 9/7 Labor Day City Hall Closed * 9/24 1st Pre-Election Campaign Statements Due
DECEMBER SMTWT FS
CC 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 H H 26 27 28 29 30 31
* 12/15 City Council Meeting DARK * 12/24 Christmas Eve City Hall Closed * 12/25 Christmas Day City Hall Closed
H NP R E CC CSD
Holiday Nomination Period Voter Registration Deadline Election Day Regular City Council Meeting Campaign Statement Deadline
City Hall Operating Hours Hours: Monday thru Thursday 7:00 AM to 6:00 PM City Hall is Closed Every Friday
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1 NOTE TO CANDIDATES REGARDING INCOMPATIBLE OFFICES
The Political Reform Act does not prohibit any office holder from holding multiple public offices or seeking more than one elective office. For example, a deputy district attorney can hold the office of city council member, or a water board director may also be elected to a park and recreation district. There are, however, instances of holding more than one office that are considered incompatible. There is no single statute that defines "incompatibility of offices." The common law doctrine of incompatibility of offices, however, prevents an elected official from holding two offices simultaneously if the offices have overlapping and conflicting public duties. The courts have defined this concept as follows: "One individual may not simultaneously hold two public offices where the functions of the offices concerned are inherently inconsistent, as where there are conflicting interests, or where the nature of the duties of the two offices is such as to render it improper due to considerations of public policy for one person to retain both." The State of California Attorney General's Office has issued many opinions of particular compatibility questions. Here are six examples of incompatible offices: 1) The offices of city councilperson and school district board member where the city and the
school district have territory in common; 2) Fire chief of a county fire protection district and member of the board of supervisors of the
same county; 3) High school district trustee and trustee of an elementary school district which is wholly within
the geographic boundaries of the high school district; 4) Water district director and a city council member; 5) Water district director and a school district trustee having territory in common; and 6) Deputy Sheriff and county supervisor.
If you have a question about whether two public offices which you hold or seek to hold would be considered incompatible, contact the Attorney General's office at (916) 445-9555 or visit their website at www.oag.ca.gov. For further information about conflict of interest or incompatibility of offices, contact the Fair Political Practices Commission's website at www.fppc.ca.gov, or phone toll free 1-866-275-3772.
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2 GETTING STARTED - NOMINATION PROCEDURE (E.C. § 10220 Et Seq.)
Qualifications for Office
A person who holds office as Councilmember or Mayor must be at the time of assuming such office an elector of the City of Desert Hot Springs (City), and must have been a registered voter of the City of at the time nomination papers were issued. (Government Code §§ 34882, 34904, 36502)
Note: You cannot run for elected office if you have been convicted of a felony involving accepting or giving, or offering to give, any bribe, the embezzlement of public money, extortion or theft of public money, perjury, or conspiracy to commit any of those crimes.
Nomination Documents:
No later than the close of the Nomination Period, the following must be filed with the City Clerk: 1) Application/Checklist for Nomination Papers 2) Official Filing Form / Petition (3 Pages) with no less than 20 and no more than 30 qualified
signatures 3) Payment of $25.00 filing fee 4) Ballot Designation Worksheet 5) Candidate's Statement Form (200 word limit) 6) Payment of Candidate's Statement Deposit
$500.00 deposit for printed and electronic statement; OR $260.00 fee for electronic statement only 7) Code of Fair Campaign Practices (filing optional) 8) Statement of Economic Interests (FPPC Form 700)
Candidates should carefully read the instructions on the nomination form. The required information must be neatly printed or typed.
Name on Ballot
There is a place on the Official Filing Form for candidates to write how they would like their name to appear on the ballot. The name must be recognizable as the name under which the candidate is registered to vote, though the two need not be identical. Candidates may include a nickname in addition to their name.
The law prohibits the use of a TITLE or DEGREE on the same line of the ballot as the candidate's name. (E.C. § 13106)
Example: A candidate registered to vote as James William Smith may use variations such as:
James W. Smith, Jim Smith, or William "Bud" Smith
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Ballot Designation (E.C. §§ 13104, 13107)
Candidates may use no more than three words designating their current principal profession, vocation or occupation OR the principal profession, vocation or occupation that they had during the 12 months immediately preceding the filing of their nomination documents. (e.g., Retired Businessman/Author) OR:
The title of the office to which they were elected. (e.g., Sunnyvale Valley Water District Director) (NOTE: candidates are not limited to three words here) OR:
The word "Incumbent" if elected to the same office sought or "Appointed Incumbent" if appointed to a vacancy in the same office. (NOTE: Candidates cannot use the term "Incumbent" or "Appointed Incumbent" with any other designation.)
Example: Incumbent/Businessman (Not Acceptable)
A ballot designation is not required. Candidates may leave this line blank. If the ballot designation is left blank, the candidate may not add a designation after the filing deadline.
All candidates submitting a ballot designation must file the ballot designation worksheet with their Official Filing Form. DO NOT LEAVE ANY RESPONSE SPACES BLANK. If information requested is not applicable, please write "N/A" in the space provided. Otherwise the information MUST be provided. If a candidate fails to file a ballot designation worksheet no designation shall appear under the candidate's name on the ballot.
If upon checking the nomination documents and the ballot designation worksheet the City Clerk finds that the designation is in violation of the restrictions listed in E.C. § 13107, the City Clerk shall notify the candidate by registered or certified mail, return receipt requested, addressed to the mailing address appearing on the candidate's nomination documents. Within three days of receipt of the notice, the candidate shall appear before or call the City Clerk and provide an alternate designation. If the candidate does not provide an alternate designation, no designation shall appear after the candidate's name.
Oath
The OATH must be witnessed by an authorized official City Clerk (or a person designated by the City Clerk), or a candidate may have his/her oath witnessed by a notary public.
Petition
On the PETITION portion of the OFFICIAL FILING FORM city candidates must obtain the signatures of not less than 20 nor more than 30 qualified voters in a city of 1,000 or more registered voters. Candidates should submit the maximum number. (E.C. § 10221 requires that all signatures be appended on the same sheet of paper.)
The PETITION may be circulated by the candidate himself/herself or by any person who is 18 years of age or older. Whomever circulates the petition must witness all signatures and then complete and sign the Declaration of Circulator, under penalty of perjury.
A SIGNER may sign as many petitions as the number of persons for which he/she may vote. Any registered voter of the jurisdiction, including the candidate and/or the circulator may sign a nomination petition.
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Filing on time is the candidate's responsibility. Whether the candidate files in person or by certified mail, the nomination form and any other documents he/she is filing with it must be received in the City Clerk's office no later than the filing deadline (Thursday, August 6, 2020). Signers must print their own name and address unless he/she is unable. A voter who is unable to personally affix on a petition their name and residence address may request another person to print the voter's name and place of residence on the appropriate spaces of the petition or paper, but the voter shall personally affix his or her mark or signature on the appropriate space of the petition or paper, which shall be witnessed by one person by subscribing his or her name thereon.
Withdrawal of Candidacy:
WITHDRAWAL OF CANDIDACY is permitted only up to the close of the nomination period (and during the extension, if applicable).
Extension of the Nomination Period:
If the incumbent of any city office fails to file by the filing deadline, there will be a five-day EXTENSION OF THE NOMINATION PERIOD during which any qualified person other than the incumbent may file for that incumbent's elective office. (E.C. § 10225) (No extension applies to an office for which there is no incumbent eligible to be elected.)
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2 WRITE-IN CANDIDACY (E.C. § 8600 Et Seq.)
Any person who desires may run for office as a write-in candidate. Write-in votes will be counted, however, only for qualified write-in candidates who file the required forms with the City Clerk no later than 14 days prior to Election Day (October 20, 2020). Forms will be available from the City Clerk 57 days before Election Day (September 7, 2020). To be a qualified write-in candidate for a particular office a person shall file:
Statement of Write-in Candidacy Official Filing Form (Number of signatures required pursuant to E.C. § 10220) Additional forms which are required of other candidates must also be filed by write-in candidates: Statement of Economic Interests (Form 700) Campaign Disclosure Form 501 (Candidate Intention Statement) Code of Fair Campaign Practices (filing is optional) The Ballot Designation Worksheet and the Candidate's Statement form do not apply to write-in candidates. The required number of signatures is verified in the same manner as on a regular nomination paper. Filing fee of $25.00 also applies to write-in candidates.
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3 BALLOT DESIGNATION WORKSHEET
(E.C. §§ 13107.3, 13107.5 California Code of Regulations Section 20711) Each candidate who submits a ballot designation shall file a ballot designation worksheet that supports the use of that ballot designation by the candidate. The ballot designation worksheet shall be filed with the City Clerk at the same time that the candidate files his or her nomination papers. In the event that a candidate fails to file a ballot designation worksheet, no designation shall appear under the candidate's name on the ballot. DO NOT LEAVE ANY RESPONSE SPACES BLANK. If information requested is not applicable, please write "N/A" in the space provided. Otherwise the information MUST be provided.
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4 CANDIDATE'S STATEMENT (E.C. §§ 13307, 13309, 13311, 18351)
The Candidate's Statement is optional. If a candidate chooses to have a statement, it will be mailed to voters as part of the Voter Information Guide.
The candidate must decide prior to filing the nomination documents if he/she wants to submit a statement. A statement CANNOT be submitted after nomination papers have been filed. The Candidate Statement form with the candidate's decision must be filed at the time nomination papers are filed. A Statement, however, may be withdrawn up to 5:00 p.m. of the next working day after the nomination period closes.
The filed statement is confidential until the date for withdrawing candidacy is over. It will then be available for public inspection.
Before the nomination period begins, the governing body of the city must adopt regulations. (See Resolution No. 2020-032).
A candidate submitting a Candidate Statement must pay the full deposit ($500.00) to cover the estimated cost of printing, handling, and mailing of his/her statement. This deposit must be made at the time the nomination papers are filed (payable to the City of Desert Hot Springs).
If, after the statements are printed and mailed out, the actual cost to each candidate is found to be greater than the deposit, then the candidate must pay the extra amount. Every candidate who submits a statement must sign an agreement on the front of the Candidate's Statement form to pay, if billed.
On the other hand, if the actual cost to each candidate turns out to be less than the deposit, that portion of the deposit in excess of the actual cost will be refunded.
Please note that the deposit amount was determined by the Riverside County Registrar of Voters is an estimate that is as close to the actual cost as possible. The deposit amount is calculated based on the method of their printing service.
The Elections Code provides that the Candidate's Statement may include the age and occupation of the candidate and a brief statement in not more than 200 words of the candidate's education and qualifications expressed in the candidates own words ("Age" may be omitted, and the "occupation" is not limited to three words on the Candidate's Statement form). However, the Candidate's use of the same designation as used on the ballot provides for consistency. Candidate statements shall be limited to a recitation of the candidate's own personal background and qualifications and shall not in any way make reference to other candidates for that office or to another candidate's qualifications, character, or activities.
Some points to note in preparing the Candidate's Statement:
1) Candidates may not change their statements after they are filed. 2) Reference to political party affiliation or partisan political activity is not permitted. 3) Candidate shall not in any way make reference to other candidates for that office or to another
candidate's qualifications, character or activities. 4) Making a false statement of material fact with the intent to mislead the voters is punishable by
a fine of up to $1000. 5) A candidate who makes false, slanderous or libelous statements in the Candidate's Statement
is not exempt from civil or criminal action.
The 200-word limit must be observed. Candidates must count the words carefully. Read the word count guide below and on the front side of the form. The City Clerk will verify the count when the statement is filed and indicate the number of words in the space provided on the form.
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Word Count Guide (Elections Code § 9) Punctuation Dictionary words and single characters Each abbreviation for a word, phrase, or expression
Free One One
All proper nouns, including geographical names, shall be One considered as one word. Example: "City of Desert Hot Springs"
Whole numbers: Digits (1 or 10 or 100, etc.) Spelled out ("one" or "ten" or "one hundred")
Dates: (5/30/02) or (May 30, 2002)
One One for each word
One
Hyphenated words (unless dictionary defined as one word) One for each word
Phone Number
One
Internet Address
One
Candidate Statement Style Guidelines:
Statements will be printed in uniform type, style, and spacing.
Words to be printed all CAPITALIZED and/or underscored are to be clearly indicated.
Bold font is not permitted.
The City Clerk and Registrar of Voters is not permitted to edit any material contained in candidate statements. Candidates are responsible for proofreading spelling, punctuation and grammar. Since the statement cannot be changed after it is submitted, it is important for candidates to carefully prepare and proofread their statements.
Important Note:
Candidates should be aware that statements submitted may be re-formatted to fit in the sample ballot pamphlet.
The City Clerk and Registrar of Voters will NOT correct spelling or grammatical errors of text.
The elections official shall not cause to be printed or circulated any statement that the elections official determines is not so limited or that includes any reference prohibited by Elections Code 13308.
Electronic Candidate's Statement:
Elections Code 13307 authorizes candidate's statement for electronic distribution. It requires the statement to be posted on the Internet Web site of the elections official, permits the statement to be included in a voter's pamphlet that is electronically distributed, and prohibits the statement from being included in a voter's pamphlet that is printed and mailed to voters. The fee for an Electronic Candidate's Statement is $260.00.
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5 STATEMENT OF ECONOMIC INTERESTS (Form 700)
(Government Code § 87200 Et Seq.) Persons elected to city offices will be required to file periodic statements disclosing their "economic interests," which include investments, interests in real property, and any income received during the immediately preceding 12 months. For the offices of Member of the City Council and Mayor, candidates as well as officeholders are required by the Government Code to file Statements of Economic Interests. Exception: This statement shall not be required if the candidate has filed, within 60 days prior to the filing of his or her declaration of candidacy, a statement for the same jurisdiction. Forms and filing information can be obtained from the City Clerk or visit the Fair Political Practices Commission (FPPC) website at www.fppc.ca.gov. FPPC Staff is also available to answer any reporting questions you may have.
Advice Line: (866)-ASK-FPPC (866-275-3772) Monday through Thursday 9:00am - 11:30am Political Reform Act Email Advice: advice@fppc.ca.gov The Statements of Economic Interests are a matter of public record. They may be inspected, and copies requested, by anyone.
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6 CODE OF FAIR CAMPAIGN PRACTICES
(Elections Code § 20400 Et Seq.) The Code of Fair Campaign Practices is to be issued to all candidates; however, filing it is optional. Candidates who want to subscribe to it may fill out the form included with the nomination documents and return it along with the other nomination material (or the candidate may file the Code at a later date). It may be filed at any time up to Election Day. All Codes filed by candidates will be available for public inspection at the City Clerk's office until 30 days after the election.
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7 CAMPAIGN DISCLOSURE (Government Code § 81000 et seq.)
State law requires candidates (and their committees, if any) to file one or more Campaign Statements disclosing their campaign receipts and expenditures in connection with an election.
If a campaign committee has been organized to support/oppose a candidate, the committee must file a Statement of Organization (Form 410).
Form 501 Candidate Intention Statement
Candidates must file with the City Clerk a Candidate's Intention Statement (Form 501), before they solicit or receive any contributions (including loans).
Payment from the Candidate's personal funds for a Candidate's Filing Fee or a Candidate's Statement does not count as a "contribution" or "loan." However, all other expenses from the candidate's personal funds are considered contributions.
Form 410 Statement of Organization
Candidates receiving contributions from others, or who spend more than $2,000 of personal funds to run for office, must open a campaign bank account at a financial institution in California and file a Statement of Organization (Form 410) to the California Secretary of State within 10 days of opening the account.
Exceptions: The Statement of Organization (Form 410) is not required if the candidate will not be receiving contributions from others and will spend less than $2000 in a calendar year from personal funds to support his or her candidacy. Payment of a Candidate's Filing Fee ($25.00) or Candidate's Statement deposit ($400.00) is not counted toward the $1000 expenditure threshold.
Note: If the candidate finds later that he/she will be spending more than $2,000, a campaign bank account must be opened.
Secretary of State Filing Fee: As of January 1, 2013, Government Code section 84101.5 requires the Secretary of State to charge each qualified recipient committee that files a Statement of Organization (Form 410) $50 per year, until the committee terminates pursuant to Government Code § 84214. For questions regarding this new law, please contact the Secretary of State's Political Reform Division at (916) 653-6224.
Where to File the Statement of Organization (Form 410):
Secretary of State Political Reform Division 1500 11th Street, Room 495 Sacramento, CA 95814
Original and one (1) copy
City Clerk
One copy
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Campaign Disclosure
All candidates must file campaign disclosure statements. This includes candidates who spend no money, or only their own money, on their campaigns. It also includes candidates who unofficially "withdraw" from the race by abandoning active campaigning after the official deadline for withdrawal of candidacy is past.
Form 470 Officeholder/Candidate Campaign Statement: If less than $2,000 will be raised and spent on the campaign, by the candidate or by others on his/her behalf, and total campaign transactions for the entire calendar year are under $2,000, the filing obligations in connection with the election are simple; the only campaign statement that must be filed is FPPC Form 470.
It should be filed along with the other nomination material; however, it will be accepted without penalty if filed by the first campaign disclosure filing deadline (September 27, 2018).
Form 470 Supplement: An officeholder/candidate who has filed Form 470 in connection with an election and subsequently receives contributions (including monetary and non-monetary contributions, loans, and the candidate's personal funds) totaling $2,000 or more or makes expenditures totaling $2,000 or more prior to the election, is required to send written notification to the City Clerk and to each candidate contending for the same office.
The notification must be sent within 48-hours of receiving contributions totaling $1,000 or more or making expenditures of $1,000 or more.
The notification must include the name and address of the candidate, the elective office, and the date of election for which the Form 470 was filed and the date contributions or expenditures totaling $2,000 or more were received or made.
The Form 470 Supplement may be used as the written notification.
Form 460 Recipient Committee Campaign Statement
If campaign activity during 2018 will involve $2,000 or more, the candidate cannot use Form 470. Instead, the following forms/manuals apply:
Form 460 Form 410 Campaign Disclosure Manual 2
These forms can be obtained from the City Clerk or visit the FPPC's website at www.fppc.ca.gov.
The candidate (and committee treasurer, if any) should review these forms and manual carefully and note the filing deadlines (see filing schedule), which apply to his/her campaign.
Statement of Termination
When the candidate and committee, if any, have ended all campaign activity, Form 410 Statement of Organization/Termination may be filed. There is no deadline for terminating a committee. The Statement of Organization/Termination should be filed after the election, if and when appropriate.
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Future Campaign Disclosure Filing Obligations
As mentioned above, a Form 410 Statement of Organization/Termination must be filed in order to terminate filing obligations of a candidate or committee. Until it is filed, the candidate or committee will remain indefinitely in an open status, even after the election is over, and will be required to file semi-annual campaign statements whether or not there was any activity during the applicable six-month period.
It is the responsibility of the candidate or committee to obtain campaign disclosure filing information and comply with filing requirements (a $10 per day late filing penalty applies if filing deadlines are not met).
If elected to office, the candidate will continue to have campaign filing obligations as an officeholder whether or not a Statement of Organization/Termination was filed. An officeholder who receives $100 or more per month from the elective office must file semi-annual statements; an officeholder receiving less than $100 is required to file if he/she has any political contributions or expenditures to report.
Note: As state above, Committees that form on or after January 1, 2013, must pay $50 fee within 15 days of filing a Statement of Organization (Form 410). The fee is due every year thereafter on January 15, until the committee terminates.
Note: Candidate's who file the Form 470 (Short Form) do not need to fill out termination forms.
Money used from the candidate's personal funds is considered a monetary contribution (or loan) to the campaign and must be reported just as if it were a monetary contribution (or loan) from another person.
Contributions from other persons may not be comingled with the candidate's personal funds. As soon as such contributions are received, they must be deposited in a campaign account (the law prohibits personal use of campaign funds).
Anonymous or cash contributions of $100 or more, and cash expenditures of $100 or more, are prohibited.
Careful and complete records should be kept of all campaign transactions. Detailed reporting is not required until the campaign reaches the $2,000 mark; however, candidates should keep in mind that campaign records are subject to audit (by the Fair Political Practices Commission) on a random basis.
There is a special reporting requirement (covered in FPPC Campaign Disclosure Manual 2) in the event of "late contributions" in the amount of $1000 or more received or made during the 90 days immediately prior to Election Day. Candidates and Committee Treasurer's should refer to FPPC Campaign Disclosure Manual 2 for special reporting requirements in the event of committee changes during this period.
If the candidate has a campaign committee, candidate and committee may file campaign statements jointly, using the Form 460. It is important for the treasurer to be aware of his/her responsibilities and to be prepared to devote sufficient time and effort to the job. He/she should be aware that the treasurer is legally responsible for the accuracy and completeness of a committee's campaign statement.
Note: In addition to filing campaign statements, a committee is required to file a Statement of Organization (Form 410) within 10 days of reaching the $2,000 limit.
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Where to File the Statement of Organization (Form 410):
Secretary of State Political Reform Division 1500 11th Street, Room 495 Sacramento, CA 95814
Original and one (1) copy
City Clerk
One copy
If a committee qualifies as a recipient committee during the 16 days prior to an election in which it would be required to file pre-election statements, the committee must file, by overnight service, telegram or personal delivery within 24 hours of qualifying as a committee, the information required to be reported in the Statement of Organization. The information must be filed with the filing officer with whom the committee is required to file the originals of its Campaign Statements.
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7 FILING DEADLINES FOR CAMPAIGN DISCLOSURE
Candidates for Local Office Committees Primarily Formed to Support/Oppose Local Candidates and/or Measures
FILING DEADLINE PERIOD
FORM NOTES
July 31, 2020 Semi-Annual
* June 30, 2020
460
All committees must file Form 460.
470
Candidates who filed candidacy papers on or before June 30,
who do not have open committees, and who will not raise or
spend $2,000 or more in 2018, file Form 470.
Within 24 Hours Contribution Reports
August 5, 2020 November 3, 2020
497
File if a contribution of $1,000 or more in the aggregate is
received from a single source.
File if a contribution of $1,000 or more is made in the aggregate
to another candidate or measure being voted upon November 3,
2015.
The recipient of a non-monetary contribution of $1,000 or more
must file a Form 497 report within 48 hours from the time the
contribution is received.
File personal delivery, email, guaranteed overnight service, fax
or online.
September 24, 2020
July 1, 2020
460
Each candidate listed on the ballot must file Form 460 or Form
1st Pre-Election
September 19, 2020
470
470 (see below).
October 22, 2020 2nd Pre-Election
September 20, 2020 October 17, 2020
460
All committees must file Form 460. File by personal delivery, guaranteed overnight service or online.
February 1, 2020 Semi-Annual
October 21, 2018 December 31, 2017
460
All committees must file unless the committee filed termination
Forms 410 and 460 before December 31, 2015.
The January 31, 2016, deadline falls on Sunday, so the deadline
is extended to the next business day.
*Period Covered: The period covered by any statement begins on the day after the closing date of the last statement filed, or January 1, if no previous statement has been filed.
Filing Deadlines: Deadlines are extended when they fall on a Saturday, Sunday, or an official state holiday. This extension does not apply to 24hour independent expenditure reports (Form 496) and the deadline for the Form 497 that is due the weekend before the election. Such reports must be filed within 24 hours regardless of the day of the week. Statements filed after the deadline are subject to a $10 per day late fine.
Method of Delivery: All paper filings are filed by personal delivery or first class mail unless otherwise noted. A paper copy of a report is not required if a local agency requires online filing pursuant to a local ordinance.
Form 501: All candidates must file Form 501 (Candidate Intention Statement) before soliciting/receiving contributions.
Form 460: Candidates who have raised/spent $1,000 or more file the Form 460. The Form 410 (Statement of Organization) must also be filed once $1,000 or more has been raised/spent.
Form 470: Candidates who do not have an open committee and do not raise/spend $1,000 in 2015 may file Form 470. This report is not required if a Form 470 was filed by July 31. If, later during the calendar year, a campaign committee must be opened, a Form 470 Supplement and a Form 410 must be filed.
Candidates: After an election, reporting requirements will depend on whether the candidate is successful and whether a campaign committee is open.
Form 497- 24-Hour Contribution Report: File if a contribution of $1,000 or more is made in connection with a candidate or measure being voted upon in another city, county or state special election, or made to a political party committee 90 days before a state special election in 2015.
Committees making independent expenditures to support or oppose other candidates or ballot measures also file:
462: A verification form must be e-mailed to the FPPC within 10 days of an independent expenditure of $1,000 or more. 465: This form is due on applicable pre-election/semi-annual deadlines in connection with the candidate or ballot measure election. 496: This form is due within 24 hours when made in a 90-day period of the election. Refer to the candidate or ballot measure election filing
schedule. As of August 2014, legislation is pending that may change the filing schedule.
Effective January 1, 2013, the following legislation took effect. Check the FPPC website for updates:
24 hour contribution/independent expenditure reports must be filed within the 90 day period. (AB 481)
All committees required to file Form 410 must pay a $50 annual fee to the Secretary of State to fund improvements in the electronic filing system. (SB 1001)
For important information, refer to www.fppc.ca.gov and click on the Candidate and Committees section. Candidates use Campaign Manual 2, and ballot measure Committees use Campaign Disclosure Manual 3 or Contact the FPPC for specific information.
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7 CAMPAIGN DISCLOSURE FORMS QUICK REFERENCE GUIDE
This quick reference guide is intended to provide an introduction to some of the most common campaign disclosure forms filed by candidates, and the order in which they are usually filed. It should be used as a supplement to (and not a replacement for) the Campaign Disclosure Manual 2. The forms identified below are required by the Political Reform Act.
Form 501 - Candidate Intention Statement
WHEN:
Form 501 must be filed prior to soliciting/receiving contributions, or use of any personal funds for campaign purposes (excluding filing fees).
WHERE: File original with the City Clerk.
Form 410 - Statement of Organization Recipient Committee
Campaign committee ID # and bank account information
WHEN:
Form 410 must be filed within 10 days of receiving $2,000 or more (may be filed earlier.) After Form 410 is filed, the Secretary of State will issue the identification number for your campaign committee.
WHERE:
File the original with the Secretary of State's Political Reform Division, and one (1) copy with the City Clerk. Include payment of the $50 filing fee made payable to the Secretary of State.
NOTE:
This form is also used to amend or terminate your committee.
Form 470 - Officeholder and Candidate Campaign Statement (Short Form)
Used when a candidate does not have a controlled committee and does not anticipate raising or spending $2,000 or more in a calendar year.
WHEN:
Form 470 must be filed no later than the deadline for the first required campaign disclosure statement.
WHERE: File the original and one copy with the City Clerk.
Form 460 - Recipient Committee Campaign Statement
This form is used by candidates and their controlled committees to disclose itemized receipts and expenditures.
WHEN:
The Form 460 must be filed according to applicable filing schedule. (See "Filing Deadlines for Campaign Disclosure" in this Section) As a courtesy, the City Clerk will email you a reminder at least two weeks prior to each filing deadline for the Form 460.
WHERE: File the original and one copy with the City Clerk.
NOTES:
An unsigned campaign statement is not considered filed. If you do not intend to raise/spend $2,000 or more, see Form 470, above.
* These forms are available on the Fair Political Practices Commission website at www.fppc.ca.gov
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OTHER FORMS THAT MAY BE REQUIRED
Form 496 WHEN:
WHERE:
24-Hour Independent Expenditure Report
File a Form 496 when independent expenditures of $1,000 or more are made to support/oppose other candidates or ballot measures. See Form for applicable situations.
Refer to Campaign Disclosure Manual 2 for more information.
Within 24 hours of making the independent expenditure during the 90-day period before an election (August 8, 2018 and November 6, 2018).
File with City Clerk by personal delivery, guaranteed overnight service, or fax.
Form 497 WHEN:
WHERE:
24-Hour Contribution Report Must file a Form 497 to report contributions made or received of $1,000 or more. See Form 497 for application situations.
Refer to Campaign Disclosure Manual 2 for more information. Within 24 hours of making or receiving a late contribution during the 90-day period before an election (August 8, 2018 and November 6, 2018).
File with City Clerk by personal delivery, guaranteed overnight service, or fax.
* These forms are available on the Fair Political Practices Commission website at www.fppc.ca.gov
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8 CAMPAIGN PRACTICES (Elections Code § 16)
The complete text of Government Code § 84305 is required by law to be issued to each candidate. Summaries of some other code sections concerning campaign practices, as well as information concerning political signs, are also provided below for the benefit of candidates and campaign committees.
Mass Mailing (Government Code § 84305)
(a) (1) Except as provided in subdivision (b), a candidate, candidate controlled committee established for an elective office for the controlling candidate, or political party committee shall not send a mass mailing unless the name, street address, and city of the candidate or committee are shown on the outside of each piece of mail in the mass mailing and on at least one of the inserts included within each piece of mail of the mailing in no less than 6point type that is in a color or print that contrasts with the background so as to be easily legible. A post office box may be stated in lieu of a street address if the candidate's, candidate controlled committee established for an elective office for the controlling candidate's, or political party committee's address is a matter of public record with the Secretary of State.
(2) Except as provided in subdivision (b), a committee, other than a candidate controlled committee established for an elective office for the controlling candidate or a political party committee, shall not send a mass mailing that is not required to include a disclosure pursuant to Section 84502 unless the name, street address, and city of the committee is shown on the outside of each piece of mail in the mass mailing and on at least one of the inserts included within each piece of mail of the mailing in no less than 6-point type that is in a color or print that contrasts with the background so as to be easily legible. A post office box may be stated in lieu of a street address if the committee's address is a matter of public record with the Secretary of State.
(b) If the sender of the mass mailing is a single candidate or committee, the name, street address, and city of the candidate or committee need only be shown on the outside of each piece of mail.
(c) (1) A candidate, candidate controlled committee established for an elective office for the controlling candidate, or political party committee shall not send a mass electronic mailing unless the name of the candidate or committee is shown in the electronic mailing preceded by the words "Paid for by" in at least the same size font as a majority of the text in the electronic mailing.
(2) A committee, other than a candidate controlled committee established for an elective office for the controlling candidate or a political party committee, shall not send a mass electronic mailing that is not required to include a disclosure pursuant to Section 84502 or 84504.3 unless the name of the committee is shown in the electronic mailing preceded by the words "Paid for by" in at least the same size font as a majority of the text in the electronic mailing.
(d) If the sender of a mass mailing is a controlled committee, the name of the person controlling the committee shall be included in addition to the information required by subdivision (a).
(e) For purposes of this section, the following terms have the following meaning:
(1) "Mass electronic mailing" means sending more than two hundred substantially similar pieces of electronic mail within a calendar month.
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(2) "Sender" means the candidate, candidate controlled committee established for an elective office for the controlling candidate, or political party committee who pays for the largest portion of expenditures attributable to the designing, printing, and posting of the mailing which are reportable pursuant to Sections 84200 to 84217, inclusive.
(3) To "pay for" a share of the cost of a mass mailing means to make, to promise to make, or to incur an obligation to make, any payment: (A) to any person for the design, printing, postage, materials, or other costs of the mailing, including salaries, fees, or commissions, or (B) as a fee or other consideration for an endorsement or, in the case of a ballot measure, support or opposition, in the mailing.
(f) This section does not apply to a mass mailing or mass electronic mailing that is paid for by an independent expenditure.
No newsletter or other mass mailing shall be sent at public expense. For further information contact the Fair Political Practices Commission. (Government Code § 89001)
(As defined in Government Code § 82041.5 "Mass Mailing" means over two hundred (200) substantially similar pieces of mail, but does not include a form letter or other mail which is sent in response to an unsolicited request, letter or other inquiry.)
Slate Mailer Organizations (Government Code §§ 82048.3, 82048.4, 84108) Slate mailer organizations must register with the Secretary of State and file periodic reports on their slate mailer activities. The law applies to slate mailers that support or oppose four or more candidates or measures.
A slate mailer organization is defined as any individual or group who, directly or indirectly, does all of the following:
Is involved in the production of one or more slate mailers and exercises control over the selection of the candidates and measures to be supported or opposed in the slate mailers; and
Receives or is promised payments totaling $500 or more in a calendar year for the production of one or more slate mailers.
Nominations (E.C. §§ 18200-18205) No person shall submit a nomination paper knowing that any part of it has been made falsely. No person shall fraudulently deface or destroy, or willfully suppress all or part of any nomination paper, or deliberately fail to file at the proper time and in the proper place any nomination paper in his or her possession that is entitled to be filed. No person shall, directly or indirectly, pay, solicit, or receive anything of value in order to induce a person not to become or to withdraw as a candidate.
False or Misleading Information to Voters No candidate shall, in his occupational designation on the ballot, assume a designation that would mislead the voters. (E.C. § 13107)
Every candidate is guilty of a misdemeanor who pretends or implies that he or she is an incumbent of a public office or that he or she has acted in the capacity of a public officer when this is not the case. (E.C. § 18350)
Any candidate who knowingly makes a false statement of material fact in a candidate's statement, with the intent to mislead the voters, is punishable by a fine not to exceed $1,000. (E.C. § 18351)
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Simulated Ballots Every simulated ballot shall bear a printed notice (See Elections Code § 20009 for details) stating that this is not an official ballot but rather an unofficial marked ballot prepared by (name and address of person or organization responsible); and no official seal or insignia may appear on the envelope in which it is contained.
Polling Place Information Every person is guilty of a misdemeanor who distributes, or causes to be distributed, literature to voters that includes the designation of a voter's precinct polling place other than the precinct polling place listed for that voter in the latest official precinct polling list at some time not more than 30 days prior to the distribution. (E.C. § 18302)
Vote-by-Mail Voter Ballot Applications (E.C. § 3007) The processing of vote-by-mail voter applications is expedited when voters use the official application form that contains such information as affidavit number and ballot style. Since the Registrar of Voters routinely mails this application form to every voter along with the sample ballot, there is no need for candidates to distribute their own vote-by-mail application forms. Candidates who wish to do so must comply with the requirements set forth in the Elections Code. They must follow the uniform application format that is provided by the Secretary of State and available at the Registrar of Voters.
They must also comply with the postal regulations, which may be obtained by contacting the voteby-mail section of the Registrar of Voters' office at (951) 486-7207.
A printed vote by mail application that allows a voter to submit the application by mail shall inform the voter of the address for the elections official and specify that address as the only appropriate destination address for mailing the application. Nothing is this subdivision shall be construed to prohibit an individual, organization, or group that distributes applications for vote by mail voter ballots from collecting or receiving applications from voters, as described in Section 3008, by means other than having the applications mailed directly to the address of the distributing individual, organization, or group. (E.C. 3006(b)(4))
Any individual, organization or group that distributes and receives completed vote-by-mail applications shall return them to the Registrar of Voters' office within 72 hours of receiving them. The name, address, and telephone number of the organization, which authorizes the distribution of the applications, shall be included on the application. (E.C. § 3008)
Violation of these codes constitutes a misdemeanor. (E.C. § 18402)
Political Advertising (E.C. § 20008) Any paid political advertisement contained in or distributed with a newspaper shall bear on each page in type at least half as large as the type of the advertisement or in 10-point roman type, whichever is larger, the words "Paid Political Advertisement," and such words shall be set apart from any other printed matter.
Electioneering on Election Day (E.C. §§ 18370, 18541) No person, on Election Day, or at any time that a voter may be casting a ballot, shall, within 100 feet of a polling place or an elections official's office:
(a) Circulate an initiative, referendum, recall, or nomination petition or any other petition. (b) Solicit a vote or speak to a voter on the subject of marking his or her ballot.
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(c) Place a sign relating to voters' qualifications or speak to a voter on the subject of his or her qualifications. (Except as part of the formal challenge procedure).
(d) Do any electioneering. (e) Photograph, video tape, or otherwise record a voter entering or exiting a polling place. "100 feet of a polling place or an elections official's office" means a distance 100 feet from the room or rooms in which voters are signing the roster and casting ballots. Any person who violates any provision of this section is guilty of a misdemeanor. Electioneering During Vote-by-Mail Voting (E.C. §§ 18370, 18371) (a) No candidate or representative of a candidate, and no proponent, opponent, or
representative of a proponent or opponent, of an initiative, referendum, or recall measure, or of a charter amendment, shall solicit the vote of a vote-by-mail voter, or do any electioneering, while in the residence or in the immediate presence of the voter, and during the time he or she knows the vote-by-mail voter is voting. (b) Any person who knowingly violates this section is guilty of a misdemeanor. (c) This section shall not be construed to conflict with any provisions of the Federal Voting Rights Act of 1965, as amended, nor to preclude electioneering by mail or telephone or in public places, except as prohibited by Section 18370, or by any other provision of law. NOTE: Misdemeanor penalties will also be imposed on any person performing the actions
as prohibited on Election Day or at any time that a voter may be casting a ballot.
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9 CAMPAIGN CONTRIBUTIONS
Solicitation of Political Contributions; Offense; Punishment (G.C. § 3205)
(a) An officer or employee of a local agency shall not, directly or indirectly, solicit a political contribution from an officer or employee of that agency, or from a person on an employment list of that agency, with knowledge that the person from whom the contribution is solicited is an officer or employee of that agency.
(b) Candidates for elective office of a local agency shall not, directly or indirectly, solicit a political contribution from an officer or employee of that agency, or from a person on an employment list of that agency, with knowledge that the person from whom the contribution is solicited is an officer or employee of that agency.
(c) This section shall not prohibit an officer or employee of a local agency, or a candidate for elective office in a local agency, from requesting political contributions from officers or employees of that agency if the solicitation is part of a solicitation made to a significant segment of the public which may include officers or employees of that local agency.
(d) Violation of this section is punishable as a misdemeanor. The district attorney shall have all authority to prosecute under this section.
(e) For purposes of this section, the term "contribution" shall have the same meaning as defined in G.C. § 82015.
Local Agency Expenses (G.C. § 54964)
An officer, employee, or consultant of a local agency may not expend or authorize the expenditure of any of the funds of the local agency to support or oppose the approval or rejection of a ballot measure, or the election or defeat of a candidate, by the voters. This section does not prohibit the expenditure of local agency funds to provide information to the public about the possible effects of a ballot measure on the activities, operations, or policies of the local agency. The information provided shall constitute an accurate, fair, and impartial presentation of relevant facts to aid the voters in reaching an informed judgment regarding the ballot measure. This section does not apply to the political activities of school officers and employees of a county superintendent of schools, an elementary, high, or unified school district, or a community college district.
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10 VOTER INFORMATION (E.C. §§ 2188, 2194)
Voter Registration
Voter registration information is confidential except for election, scholarly, journalistic, political or for governmental purposes. (E.C. § 2194)
Any person, organization, company, committee, association or group requesting voter registration information (this also applies to indexes and vote-by-mail voters' lists) must complete an application provided and maintained by the Registrar of Voters. The application requires that appropriate identification be provided at the time of completing the application. (E.C. § 2188)
Duplication, distribution or selling of this information by anyone other than the election official is prohibited.
It is a misdemeanor to knowingly use or permit the use of all or any part of that information for any purpose other than as permitted by law. (E.C. § 18109)
It is a misdemeanor for any person knowingly to acquire possession or use voter registration information without first complying with Elections Code § 2188.
For the convenience of Candidates, applications are available through the City Clerk. After the application is completed and verified, the City Clerk will forward it to the Registrar of Voters for maintaining. All requests for information must be made to the Registrar of Voters, not the City Clerk.
Conditional Voter Registration
Effective January 1, 2017, Conditional Voter Registration is available to eligible voters in California pursuant to Election Codes 2170 through 2173.
Conditional Voter Registration (CVR) extends the existing 15-day registration deadline to eligible voters, allowing them to register and vote 14 days prior to an election through Election Day. An eligible voter would need to register directly in the office of the Riverside County Registrar of Voters, located at 2724 Gateway Drive, in Riverside, CA 92507, or at any polling place, to conditionally register to vote and vote a provisional ballot.
Voters may register online at www.registertovote.ca.gov, however, CVR ballots will only be issued at the office of the Registrar of Voters or polling places.
In order to conditionally register, the voter must first complete an affidavit of registration (also known as a Voter Registration Card). Once the registration is submitted, the Registrar of Voters will issue a CVR provisional ballot to vote.
The affidavit will be processed and once the eligibility is determined and validated, the registration will become permanent and the CVR provisional ballot will be counted.
Conditional Voter Registrations are treated and processed in the same manner as other registrations; CVR provisional ballots are treated and processed the same as other provisional ballots.
If you have any questions regarding Conditional Voter Registration, please call (951) 486-7200 or toll free (800) 773-VOTE (8683).
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Voters can check the status of their voter registration at www.voteinfo.net/AmIRegistered. CVR was enacted in 2012, to be operative on January 1st after the certification of a statewide voter registration database. VoteCal, California's statewide voter registration database, was certified on September 26, 2016; CVR became operative as of January 1, 2017.
Vote-By-Mail Voting
All registered voters will be mailed a vote-by-mail ballot. Vote-by-mail ballots will be available beginning 29 days before Election Day. A voted vote-by-mail ballot must be received by the Registrar of Voters Office, or returned by the voter to any polling place, vote center, or ballot drop-off location within the state no later than the time the polls close on Election Day; or be postmarked on or before Election Day and received no later than three days after Election Day to be counted.
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11 SERVICES TO CANDIDATES Registrar of Voters
Prior to requesting the items listed below, an Application to Purchase or View Voter Registration Information must be completed at the Registrar of Voters office. In addition, the applicant must display proper identification, i.e. drivers' license.
NOTE: To better serve candidates, applications are available through the City Clerks' Office.
Voter Indexes (E.C. § 2183 et seq., Cal. Admin. Code § 19001 et seq.)
An index (voter list) is available for each precinct, listing all registered voters by street address. Political affiliation and telephone number is also given. Listing a phone number is optional on the registration form; therefore, any phone numbers listed on the index may not be current.
WARNING: Mailing addresses are not given on voter indexes. Candidates who plan to mail campaign literature should see information about MAILING LABELS below.
A candidate may purchase indexes at a cost of $5 for the first thousand names and $1 for each additional 1,000 names (or portion thereof). Each purchase may be a complete set for the candidate's electoral jurisdiction, or a partial set. Indexes may be mailed if payment, including postage or UPS charges, is received in advance, and the applicant has completed the required application.
Indexes may be purchased by the candidate or by someone with the candidate's written authorization. The purchaser must sign an agreement to use the indexes only for election or governmental purposes. A substantial fine may be imposed if registration information is used for other purposes.
For further information, call the Registrar of Voters' office at (951) 486-7344.
Mailing Labels
Candidates who plan to mail campaign material may purchase mailing labels from the Registrar of Voters. The labels may be purchased for each registered voter in a district or by head of household.
Fee Schedule
Candidates may purchase a list of voters by jurisdiction, which contains the voter's regular precinct, name, residence, mailing address, and phone number, if provided. Voter lists are available in the following formats:
SERVICES
Absentee Voter File a) Initial Requests b) Updates
Complete Absentee Issue Period
Certified Copies a) Registration Affidavit (E.C.§ 2167) b) Any other document (G.C. §§ 26831 26836) Election Calendar
CHARGES / FEES
a) $ 100.00 first day of absentee period b) $ 600.00 daily updates for entire
absentee issue period
a) $ 1.50 b) $ 1.75 plus charge for copying
$ 2.00
List of Candidates Hard copy or Electronic Transmission
$ 0.50 first page $ 0.10 each page thereafter
58
Mailing Label Data Individual voter or head of household
Master Voter File a) Countywide (CD ROM) b) Per District (CD ROM) c) Street Index of Voters
Precinct Maps District Maps
Recall Pamphlets
Research of Source Data (when authorized staff availability basis) Signature Verification Voter Notifications Via postcard (subject to postage rate change) Reproduced Documents (without certification)
$ 35.00 per 1,000 names or portion thereof
a) $ 35.00 b) $ 35.00 district c) $ 5.00 for 1st 1,000 names, plus $ 1.00
per 1,000 names or portion thereof
$ 35.00
$ 3.00
$ 35.00 per hour plus copying and postage charges $ 0.50 per signature
$ 0.50 per voter notification $ 0.50 for 1st page, plus $ 0.10 for each additional page(s) of same document / item
-Fax / Transmission service requested by purchaser Exceptions: a) Campaign Disclosure; Statements of
Economic Interest (G.C. § 81008) b) Statement of Votes Cast c) Statement of Votes Cast (CD) (PDF or
EXCEL)
Returned Check Charge
$ 2.50 plus $ 0.50 per page
a) $ 0.10 per page
b) $ 30.00 per bound volume, or as quoted
c) $ 100.00 $ 31.00
Precinct Maps
Detailed maps showing precinct boundaries may be purchased. Candidates should contact the Registrar of Voters, Precincting Section to order maps for their jurisdiction. Call the Registrar of Voters' office at (951) 486-7338 for further information. Cost is $35 per custom map.
Vote-By- Mail Voter Lists
Vote-by-Mail voter lists are available on CD or E-mail. For further information call the Registrar of Voters' office at (951) 486-7344.
59
12 ELECTION DAY INFORMATION
POLLING PLACES
The Polls are open from 7:00 a.m. until 8:00 p.m.
The following rules/regulations are presented to assist you in running a trouble free campaign and avoiding any problems.
Working at the Polls/Polling Place Information:
In addition to general recruitment of poll workers from among the county's registered voters, the Registrar of Voters uses three other specialized recruitment programs to identify Election Officers. They are the Student Pollworker program, the County Pollworker program, and the Adopt-A-Poll program.
California Elections Code does not allow any candidate for elective office to use their residence or business as a polling place. (E.C. § 12287)
California Elections Code authorizes County Central Committees to nominate individuals to work on precinct boards. The nominee must be a registered voter, member of the party making the nomination, and a resident of the precinct to which the nomination applies. These nominations must be made at least 90 days prior to the election for which the nomination is made. (E.C. § 12306)
Why Polling Places Change:
There are many reasons for choosing or changing a particular polling place. Any or all of the following reasons may apply:
Facilities become overcrowded or permission is no longer granted for a facility to be used as a polling place.
As precincts grow, boundaries have to be revised. This could result in your having to be assigned to a different polling place.
Previous polling place not accessible to the disabled and the elderly as dictated by law.
The different grouping of districts in an election could make it necessary to change your polling place from election to election.
Inadequate lighting, parking or other similar concerns may require a new location to be selected.
Construction/remodeling may render a polling place unavailable for an election.
Facility must be secure for storing voting equipment.
60
Campaigning / Electioneering:
Observing:
Polling Places (Continued)
No person shall do any of the following within 100 feet of a polling place. (100 feet begins at the doorway of the room in which voters are voting).
Circulate any petitions.
Solicit a vote; wear campaign insignia, or clothing with campaign slogans or political advertisements.
Post any signs relating to candidates and/or measures.
Perform any type of electioneering activities.
Pollworkers are instructed to check for electioneering throughout the day. If a poll worker advises you that you are too close or are in any way electioneering, please comply with the request to correct the problem. If the pollworker is unable to resolve the problem, the Registrar of Voters will send a troubleshooter to the polls and/or summon law enforcement for assistance. It should be noted that exit polling may be conducted 25 feet from the polling place entrance.
You are certainly welcome to observe activity at any polling place on election day from the time the polls open until the polls are closed and the pollworkers depart to return the ballots and supplies to the collection center. However, in order not to disrupt the voting process, it is suggested that you and your campaign workers review the following material that is given in training to our pollworkers. It explains some of the do's and don'ts of observation.
Anyone may be a poll watcher, but most often poll watchers are people who are working with one of the political parties or for a campaign. A poll watcher is someone who is observing the procedures at the polls and/or monitoring who has, or who has not voted. To accomplish this, poll watchers may continually check the posted copy of the Street Index. When not in use, poll watchers are permitted to view the Roster of Voters, and all supplemental lists in the possession of the precinct board.
Although the law allows poll watching, there are rules and guidelines that must be followed.
61
Polling Places (Continued)
Observing (Cont'd):
RULES FOR POLL WATCHERS/OBSERVERS
Poll watchers are NOT permitted to disturb voters or interfere with the election process in any way.
Poll watchers may ask questions, but may NOT interfere with Election Officer duties or disturb voters.
Poll watchers may NOT sit at the election table.
Poll watchers are NOT permitted behind the voting equipment or in the "voting area".
Poll watchers may NOT remove the Street Index from the immediate area. It may be removed from the wall for use, but then it must be re-posted.
If more than one person or group wishes to use the Street Index, it must be equally shared.
The Roster of Voters may only be viewed at the election table, and for only as long as the election board does not need it.
If a poll watcher wishes to view the Roster of Voters at the close of polls, he or she may do so only for as long as it is not required by Election Officers to facilitate closing procedures.
Election day Concerns:
If you see any activity that you believe is improper, or contrary to the Registrar of Voters policies, please contact the Registrar of Voters office immediately so that we may investigate. The sooner we know of a problem, the sooner we can eliminate it. Telling us of a problem the day after the election is helpful, but does not allow us to resolve problems in a timely manner for the benefit of those participating in the present election.
62
12 CANVASS
Election Results Available After 8:00 P.M.
ELECTION NIGHT ACTIVITIES
At the Registrar of Voters, 2724 Gateway Drive, Riverside, or by phone (951) 486-7200, (800) 773-VOTE, or website: www.voteinfo.net
Election Night Results Information
Candidates are invited to visit the Registrar of Voters office on election night. Cumulative election results will be available to candidates and the public via a large projection screen in the Lobby or via telephone at the Registrar of Voters Office. In addition, the results will be on the Internet. The vote-by-mail vote will be reported first at approximately 8:15 p.m. Telephone operators will remain available to answer questions until all precinct results have been reported.
The polls officially close at 8:00 p.m. Election activity then changes, from what was primarily voter participation at the polls, to precinct officials completing necessary procedures and forms, and delivering equipment and supplies to Ballot Collection Centers. Certain receiving procedures take place, and then the ballot cartons are delivered to the Registrar of Voters office where the votes are tallied by computer. (No results are available at the remote Collection Centers.)
Canvass
Following Election Day the canvass of the returns will commence at the Registrar of Voters office.
During the canvass, a complete audit of all returns will be accomplished, as well as processing and counting of provisional and vote-by-mail ballots voted and/or received on election day. Additionally, if there are any qualified write-in candidates, those votes will be tallied during the canvass. As a result, close races may not be determined until the canvass is completed.
The official election results will be certified after the completion of the canvass.
Certification of Election Winners of city races will receive certification through the City
Results
Clerk's office.
63
Local Candidates, Superior Court Judges, Their Controlled Committees, and Primarily Formed Committees for Local Candidates
Campaign Disclosure Manual 2
California Fair Political Practices Commission advice@fppc.ca.gov
1 (866) ASK-FPPC / www.fppc.ca.gov June 2020
CONTENTS
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Introduction 1
Chapter 1 Getting Started. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1
A. Candidates Raising and Spending Less than $2,000 B. Candidates Raising and Spending $2,000 or More C. Candidate Controlled Committees One Bank Account Rule D. Committees Primarily Formed to Support or Oppose a Candidate E. Establishing a Campaign Bank Account F. Form 501 Candidate Intention Statement G. Form 470 Officeholder and Candidate Campaign Statement Short Form H. Form 410 Statement of Organization
Chapter 2 Finances/ Recordkeeping . . . . . . . . . . . . . . . . . . . . . . . 2.1
A. Committee Treasurer and Principal Officer B. Candidate/Officeholder Responsibilities C. Education D. Committee Audits E. Campaign Bank Accounts F. Recordkeeping G. Mass Mailings, Mass Emails, Telephone Calls, and Notices to Contributors of $5,000
or More
Chapter 3 Contributions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1
A. What is a Contribution? B. When is a Contribution Received? C. Contribution Exceptions D. Aggregating Contributions E. Reporting the Intermediary of a Contribution F. Reporting Various Types of Contributions G. Valuing Nonmonetary Contributions H. Valuing Mailings, Telephone Banks, Polls I. Notification to Contributors of $5,000 or More J. Returning Contributions
Chapter 4 Contribution Restrictions . . . . . . . . . . . . . . . . . . . . . . . 4.1
A. Local Contribution Limits B. Restrictions under the Political Reform Act C. Public Funds and Public Resources D. Campaign Contributions and Disqualification
Fair Political Practices Commission advice@fppc.ca.gov
Contents - 1
Campaign Manual 2 June 2020
CONTENTS
Chapter 5 Use of Campaign Funds. . . . . . . . . . . . . . . . . . . . . . . . 5.1
A. Campaign Expenditures B. Surplus Funds
Chapter 6 Communications. . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1
A. Payments for Communications Made by Candidate's Campaign B. Payments for Communications Made by Others C. Other Communications D. Non-Contributions
Chapter 7 Advertisement Disclosures . . . . . . . . . . . . . . . . . . . . . . 7.1
A. Which Communications Require an Ad Disclosure? B. How Must the Disclosure Appear? C. Advertisement Disclosures for Communications by Candidate
Committees for Their Own Election D. Advertisement Disclosures for Independent Expenditure Ads
Made by Committees Primarily Formed to Support or Oppose a Candidate E. Online Platform Disclosed Advertisements F. Mass Mailings Emails and Postal Mailings G. Telephone Calls H. Electronic Media Ads I. Newspaper, Radio and Television Ads J. Paid Spokespersons for Ballot Measure Ads K. Updating a Disclosure L. Penalties
Chapter 8 Committee Report. . . . . . . . . . . . . . . . . . . . . . . . . . . 8.1
A. Completing the Form 460 Cover Page B. Completing the Form 460 Cover Page Part 2 C. Completing the Form 460 Summary Page D. General Rules for Reporting Contributions Received E. Completing the Form 460 Schedule A F. Completing the Form 460 Schedule B Part 1 G. Completing the Form 460 Schedule B Part 2 H. General Rules for Reporting Nonmonetary Contributions Received I. Completing the Form 460 Schedule C J. General Rules for Reporting Expenditures Supporting/Opposing Other Candidates,
Measures, and Committees K. Completing the Form 460 Schedule D L. General Rules for Reporting Payments Made and Accrued Expenses (Unpaid Bills) M. Completing the Form 460 Schedule E
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Contents - 2
Campaign Manual 2 June 2020
CONTENTS
N. Completing the Form 460 Schedule F O. General Rules for Reporting Payments Made by an Agent or Independent Contractor P. Completing Form 460 Schedule G Q. General Rules for Reporting Loans Made to Others R. Completing the Form 460 Schedule H S. General Rules for Reporting Miscellaneous Increases to Cash T. Completing the Form 460 Schedule I U. Amending the Form 460
Chapter 9 When and Where to File the Form 460. . . . . . . . . . . . . . . . 9.1
A. General Information B. When to File C. Where to File
Chapter 10 Additional Reports. . . . . . . . . . . . . . . . . . . . . . . . . . 10.1
A. 24-Hour/10-Day Contribution Report (Form 497) B. Independent Expenditure Reporting C. Special Odd-Year Report (Form 460 or 450) D. Advertisement Reports
Chapter 11 After the Election and Terminating the Committee . . . . . . . . 11.1
A. Successful Candidates B. Defeated Candidates C. Candidates Using Leftover Campaign Funds for a Future Election D. Primarily Formed Committees E. Terminating the Committee F. Receiving a Refund After the Committee Has Terminated
Appendix About the Political Reform Act/How to Get Help. . . . . Appendix 1
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Contents - 3
Cover image courtesy of Courtney Corlew on Unsplash
Campaign Manual 2 June 2020
Introduction
The purpose of California's Political Reform Act (Act) is to ensure that disclosure of political payments is accurate, timely, and made in a transparent manner. Clear and accurate disclosure is essential for making voters aware of who is paying for political messages so they may evaluate the content and make informed decisions when voting.
In California, the true source of a contribution must be disclosed. This manual sets out the campaign reporting requirements for:
· Local candidates
· Superior and Appellate Court judges and candidates for Superior and Appellate Court
· Local candidate controlled committees
· Committees primarily formed to support or oppose a local candidate(s)
Since the Act was approved by California voters in 1974, there have been more than 200 amendments to the Act's campaign disclosure provisions. This manual has been prepared to assist local candidates and committees in complying with the Act's numerous and often detailed rules. The manual is written in a "user friendly" format so that candidates and committees have a resource guide. At the end of each chapter, a list of statutes and regulations that provide authority for the information in that chapter is provided. The statutes and regulations may be accessed on the FPPC website.
This manual describes the state campaign finance and disclosure laws under the Act that apply to local candidates and committees. Many cities and counties have adopted local campaign ordinances that contain additional restrictions and requirements. Local candidates and committees should check with their local elections office or ethics agency to determine if there are additional local requirements and restrictions, such as contribution limits.
Fair Political Practices Commission advice@fppc.ca.gov
Introduction - 1
Introduction
Campaign Manual 2 June 2020
In addition, federal and state tax laws and other rules may also apply. The Appendix contains telephone numbers and website addresses for the Federal Election Commission, the Internal Revenue Service, the California Franchise Tax Board, and the Federal Communications Commission.
State candidates and officeholders, their controlled committees, and committees primarily formed to support or oppose a state candidate(s) should refer to FPPC's Campaign Disclosure Manual 1.
Controlling Law
This manual summarizes key campaign disclosure laws and regulations and draws from years of FPPC staff advice on complying with the Act's campaign disclosure laws. Each committee's activity is different, however, and may raise issues not discussed in this manual. If there are any discrepancies between the manual and the Act or its corresponding regulations, the Act and its regulations will control.
Need Help?
If you need assistance, the Fair Political Practices Commission (FPPC) provides advice by email and through a toll-free telephone advice line. The FPPC does not provide third party advice or advice on past conduct. The FPPC website (www.fppc.ca.gov) contains forms, manuals, and a wealth of other helpful information.
Email Advice advice@fppc.ca.gov
Telephone Advice
1-866-ASK FPPC (1-866-275-3772)
Fair Political Practices Commission advice@fppc.ca.gov
Introduction - 2
Campaign Manual 2 June 2020
Getting Started
1 chapter
This chapter outlines the requirements for candidates and committees primarily formed to support or oppose a candidate(s) to start their campaigns. In the Political Reform Act (Act) and this manual, "candidates" includes non-incumbent candidates, officeholders, officeholders running for reelection, and officeholders running for election to another office.
Before raising or spending money in connection with an election, candidates and committee treasurers should become familiar with the various campaign disclosure forms applicable to the type of campaign or committee involved.
Quick
Elected officials
Tip
are included as
"candidates" under the Act
until they have left elective
office and terminated any
committees.
The chapter is broken down by candidates who will raise and spend less than $2,000, candidates who will raise and spend more than $2,000, and committees primarily formed to support or oppose a candidate(s) that are not controlled by the candidate(s) being supported.
In addition to filing the campaign statements described in this chapter, most candidates must also file a Statement of Economic Interests (Form 700). The Form 700 is used to disclose an individual's personal financial interests that could potentially be affected by the individual's decisionmaking. Candidates must disclose investments and interests in real property held on the day the declaration of candidacy is due, as well as income received during the 12 months prior to the date of filing the declaration of candidacy. The Form 700 candidate statement is due no later than the final filing date for the declaration of candidacy and is filed with the city clerk or county elections office where the declaration of candidacy is filed. The FPPC's website contains additional information about the Form 700.
Quick
The FPPC's
Tip
website includes a
comprehensive and user-
friendly toolkit for new
candidates.
A. Candidates Raising and Spending Less than $2,000
A candidate who does not plan to raise or spend $2,000 or more in a calendar year, including the candidate's personal funds, must file one or both of the following campaign statements.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 1
Campaign Manual 2 June 2020
· Form 501 (Candidate Intention Statement). The Form 501 must be filed only if the candidate plans to raise or spend any money, including the candidate's personal funds.
· Form 470 (Officeholder and Candidate Campaign Statement--Short Form). The Form 470 may be filed by a candidate or officeholder who does not anticipate raising or
spending $2,000 or more in a calendar year.
Personal funds used to pay filing or ballot statement fees are not counted toward the $2,000 committee qualification threshold. If a candidate does not raise any money and personal funds are used only to pay filing or ballot statement fees, the candidate is not required to file the Form 501.
If any monetary contributions will be received from others, a separate campaign bank account must be established.
If a candidate files the Form 470 covering a calendar year and later in that calendar year receives contributions totaling $2,000 or more, the candidate must file a Form 470 Supplement. The candidate must also file the Form 410 (Statement of Organization) and begin filing the Form 460 (Recipient Committee Campaign Statement). If a bank account has not already been established, the candidate must also establish a campaign bank account.
Quick
Personal funds used
Tip
to pay filing or ballot
statement fees are not
counted toward the $2,000
threshold.
Exception: County Central Committee Candidates
· A candidate for a county central committee of a qualified political party is a local candidate. If a candidate for county central committee receives contributions of less than $2,000 and makes expenditures of less than $2,000, the candidate is not required to file any campaign reports or statements, including the Form 410, 501, 460, and/or Form 470 unless the candidate has one or more open committees for other races. A county central committee candidate who has not raised or spent $2,000 or more for the county central committee race, but who has an open committee for another seat or past election, may have cross-filing obligations. For example, if a county central committee candidate has not raised or spent $2,000 or more
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Chapter 1. 2
Campaign Manual 2 June 2020
in connection with the county central committee race, but has an open committee for a different office in another jurisdiction the central committee candidate will need to cross-file in both jurisdictions for the open committee on dates that semi-annual or preelection reports are triggered by the open committee. (For more information on cross-filing please see Regulation 18405 and Chapter 9 of this manual.)
County central committee candidates who raise or spend $2,000 or more in a calendar year are subject to the Act's campaign reporting requirements, and must file campaign reports and statements including a Form 501, 410, and 460.
County central committee candidates never file a Form 700, no matter how much they raise or spend.
B. Candidates Raising and Spending $2,000 or More
A candidate who plans to raise or spend $2,000 or more in a calendar year, including the candidate's personal funds, must:
· File the Form 501 (Candidate Intention Statement).
· Establish a campaign bank account.
· File the Form 410 (Statement of Organization).
A candidate or officeholder who would like to use leftover campaign funds from a previous election must redesignate or transfer the funds before they become "surplus funds." (See Chapters 5 and 11.)
As discussed in detail later in the manual, once a candidate controlled committee has raised or spent $2,000 or more, the following reports must also be filed:
· Form 497 (24-Hour/10-Day Contribution Report). Within 90 days before the election, including the date of the election, if a committee receives a contribution(s) of $1,000 or more from a single source, the Form 497 must be filed within 24 hours.
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Chapter 1. 3
Campaign Manual 2 June 2020
· Form 460 (Recipient Committee Campaign Statement). The Form 460 contains an overview of the committee's activity during a specified period. It is used to file semi-annual and preelection statements.
Committees Controlled by Two or More Candidates
If two or more candidates form one committee to support their candidacies for elective office, such as a slate of candidates running for school board or city council, they must:
· Each file the Form 501 (Candidate Intention Statement).
· Establish one bank account for the committee (each candidate must deposit all contributions and make all expenditures from this bank account).
· File one Form 410 (Statement of Organization).
Committees controlled by two or more candidates file only one Form 460 (Recipient Committee Campaign Statement) to disclose the committee's activity each time the statement is due.
C.Candidate Controlled Committees One Bank Account Rule
Under the Act, a candidate or officeholder must establish one controlled committee with one bank account for each election. All contributions must be deposited in and all expenditures must be made from the campaign bank account. The Act's one committee/ one bank account rule for candidates and elected officeholders gives clear disclosure of the candidate or elected officeholder's campaign finances and ensures compliance with applicable local contribution limits, if any. A committee set up by the candidate or officeholder for his or her election is the candidate's controlled committee.
A candidate controls a committee if he or she has a significant influence on the actions or decisions of the committee or acts jointly with the committee in connection with its expenditures. Under the one committee/one bank account provisions of the Act, a candidate
Quick
A candidate or
Tip
officeholder may only
have one bank account per
committee.
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Chapter 1. 4
Campaign Manual 2 June 2020
or officeholder who controls a committee for his or her election may not at the same time control a general purpose committee, such as an "Improve River City" committee. In limited circumstances, exceptions to the one committee/one bank account rule exist to permit a local candidate or officeholder to control a ballot measure committee, legal defense fund, or officeholder expense committee (if provided by local ordinance).
D.Committees Primarily Formed to Support or Oppose a Candidate
A "primarily formed committee" is formed to support or oppose a single candidate or a group of candidates all being voted on in the same election but is not controlled by the candidate(s) who is being supported. Primarily formed committees:
· Must file Form 410 (Statement of Organization).
· Should establish a campaign bank account.
As discussed in detail later in the manual, once a committee has raised or spent $2,000 or more, the following reports must also be filed:
· Form 497 (24-Hour/10-Day Contribution Report). Within 90 days before the election, including the date of the election, if a primarily formed committee makes a contribution(s) of $1,000 or more to a candidate or ballot measure committee or receives a contribution(s) of $1,000 or more from a single source, the Form 497 must be filed within 24 hours.
· Form 496 (24-Hour/10-Day Independent Expenditure Report). Within 90 days before the election, including the date of the election, if a primarily formed committee makes an independent expenditure of $1,000 or more, the Form 496 must be filed within 24 hours. The Form 462 (Verification of Independent Expenditures) must also be filed. See Chapter 10 for additional information on the Form 462.
Quick
A "primarily formed
Tip
candidate committee"
is a committee not
controlled by a candidate
and whose main activity
is making independent
expenditures for the
candidate or against their
opponent.
Quick
A candidate's own
Tip
committee for election
is not a "primarily formed"
committee although it
supports one candidate it
is a "candidate controlled"
committee.
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Chapter 1. 5
Campaign Manual 2 June 2020
· Form 460 (Recipient Committee Campaign Statement). The Form 460 contains an overview of the committee's activity during a specified period. It is used to file semi-annual and preelection statements.
A primarily formed committee is not required to file the Form 501. A primarily formed committee with little or no activity may be eligible to file the Form 450 or Form 425 instead of the Form 460. (See Chapter 8.)
E. Establishing a Campaign Bank Account
Candidates who anticipate soliciting or receiving contributions from others, or who anticipate spending $2,000 or more of their personal funds in connection with their election, must open a campaign bank account. The account may be established at any financial institution (i.e, bank, credit union) located in California. A candidate's personal funds used to pay the filing fee or the ballot statement fee do not count toward the $2,000 committee qualification threshold.
Under the Act's one bank account provisions discussed above, a candidate or officeholder may only have one controlled committee with one bank account per election. Candidates running for one office while holding another may establish a separate campaign bank account for each office, but may not have more than one bank account per office per election.
Although primarily formed committees are not required to establish a campaign bank account, it is recommended that they do so. Pre-numbered and pre-printed checks with the committee's name are useful in meeting the recordkeeping requirements described in Chapter 2.
Campaign contributions may not be commingled with any individual's personal funds. All contributions must be deposited in, and expenditures must be made from, the campaign bank account. Except as noted below, candidates must first deposit personal funds to be used for the campaign in the campaign bank account before making campaign expenditures, even if the candidate does not expect to be reimbursed.
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Chapter 1. 6
Quick
The Political Reform
Tip
Act does not require
a federal tax ID number.
However, most banks will
require one in order to open
a campaign bank account.
A tax ID number may be
obtained on the IRS website,
www.irs.gov.
Campaign funds must be kept separate from personal funds.
Quick Tip
Campaign Manual 2 June 2020
Exceptions:
· Candidates may use their personal funds to pay a filing fee, a ballot statement fee, or the $50 Secretary of State fee, without first depositing the funds into the campaign bank account.
· An officeholder may use personal funds to pay officeholder expenses.
· A candidate may contract with a vendor or collecting agent to collect contributions prior to promptly transferring the funds to the candidate's campaign bank account without violating the requirement that the candidate have no more than one bank account. Fees deducted by the vendor are considered expenditures from the campaign bank account at the time they are deducted.
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Chapter 1. 7
Campaign Manual 2 June 2020
F. Form 501 Candidate Intention Statement
Before soliciting or receiving any contributions or making expenditures from personal funds, a candidate must file the Form 501 with the filing officer who will receive the candidate's original campaign statements (i.e., city clerk or county elections). Judicial candidates file the Form 501 with the Secretary of State. A new Form 501 must be filed for each election, even if the candidate is running for reelection to the same office. The Form 501 is considered filed on the date it is postmarked or hand-delivered.
Candidate Intention Statement
A
Check One:
Initial
Amendment (Explain)
Date Stamp
501 CALIFORNIA FORM For Official Use Only
11. Candidate Information:
NAME OF CANDIDATE (Last, First Middle Initial)
Cole, Rayna
STREET ADDRESS
1212 Fourth Avenue
OFFICE SOUGHT (POSITION TITLE)
City Council
OFFICE JURISDICTION State (Complete Part 2.)
City
County
Multi-County:
DAYTIME TELEPHONE NUMBER
( 707 ) 555-1234
CITY
Oakmont
AGENCY NAME
City of Oakmont
(Name of Multi-County Jurisdiction)
FAX NUMBER (optional)
EMAIL (optional)
( 707 ) 555-1235 rcole@gmail.com
STATE
ZIP CODE
CA
95443
DISTRICT NUMBER, if applicable. NON-PARTISAN OFFICE
1
PARTY PREFERENCE:
(Check one box, if applicable.)
20XX
(Year of Election)
PRIMARY / GENERAL SPECIAL / RUNOFF
22. State Candidate Expenditure Limit Statement:
ly (CalPERS and CalSTRS candidates, judges, judicial candidates, and candidates for local offices do not complete Part 2.) on (Check one box) s I accept the voluntary expenditure ceiling for the election stated above. te I do not accept the voluntary expenditure ceiling for the election stated above.
ida Amendment: d I did not exceed the expenditure ceiling in the primary or special election held on: n the general or special run-off election.
and I accept the voluntary expenditure ceiling for
tate ca (Mark if applicable) S On
, I contributed personal funds in excess of the expenditure ceiling for the election stated above.
33. Verification:
I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Executed on
[Date Required]
(month, day, year)
Signature
[Signature Required]
(Candidate)
Clear Page
Print
FPPC Form 501 (August/2018) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 8
Campaign Manual 2 June 2020
Completing the Form 501
A Type of Statement Check the appropriate box to indicate the type of statement being filed:
· Initial: If this is the first Form 501 being filed for the election.
· Amendment: If any changes occur on a previously filed Form 501 (e.g., a change of address). Provide a brief explanation of the change(s).
1 Candidate Information Provide the candidate's full name, street address (a business address may be used), and a daytime telephone number. A fax number and email address may also be provided.
Office Sought Enter the title of the office sought (e.g., County Supervisor).
Agency Name Enter the name of the agency (e.g., County of Riverside).
District Number Enter the district number or letter, if applicable.
Office Jurisdiction Check the appropriate box to indicate the jurisdiction of the office being sought:
· Multi-County: Candidates seeking an elective office where the jurisdiction of the agency contains parts of two or more counties (e.g., water district). Enter the name of the multi-county jurisdiction.
· County: Candidates seeking an elective county office (including Superior Court judge and most school board members).
· City: Candidates seeking an elective city office.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 9
Campaign Manual 2 June 2020
Year of Election Enter the year of the election for the office being sought. Month and day are not required.
2 State Candidate Expenditure Limit Statement This section does not apply to local candidates. It applies only to candidates for State Senate and Assembly and candidates seeking a state office.
3 Verification The Form 501 must be signed by the candidate. It is not considered filed if it is not signed.
Answering Your Questions
A. When may I begin to solicit and receive contributions for my election?
You may solicit and receive contributions once you have mailed or hand-delivered the Form 501.
B. I am only going to pay the required county election fees to get my name on the ballot. No additional money will be raised or spent. Must I file the Form 501?
No. As long as your only expenditures are for the ballot qualification fees and no money will be raised, the Form 501 is not required.
C. Am I required to file the Form 501 when I run for reelection to the same office?
Yes. If you seek reelection to the same office, you are required to file an "Initial" Form 501 prior to raising or spending any money for the new election.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 10
Campaign Manual 2 June 2020
D. Am I required to file a document to withdraw as a candidate?
The FPPC does not administer the laws that govern what candidates must do to appear on a ballot or to remove their names from a ballot. Contact your local filing officer.
E. Am I required to file the Form 501 if I will set up a committee to fight my recall?
No. An officeholder who is the target of a recall is not required to file the Form 501.
F. Am I required to file the Form 501 if I am a replacement candidate in a recall election?
Yes. Replacement candidates must file the Form 501.
G. Are candidates who are seeking election to a particular district or seat (e.g., city council or community college board of trustees) required to specify the district/seat on the Form 501?
Yes. Each district/seat on the city council or the community college board of trustees is considered a specific office. Note: The "district number" is not required for candidates running for mayor or city council at large.
H. I have completed the process to be an official write-in candidate. Do I have any reporting obligations?
Yes. You have the same reporting obligations as any other candidate.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 11
Campaign Manual 2 June 2020
I. I am a candidate for a county central committee and would like to create a mailer for myself and a few other central committee candidates. May we create a mailing together and are there any reporting requirements?
Yes, you may. If each candidate's total spending on all of their campaign activity (including the mailer) remains below $2,000 in a calendar year, there are no reporting requirements. If a candidate spends $2,000 or more for their share of the mailer, or $2,000 or more on total campaign activity, there are reporting requirements.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 12
Campaign Manual 2 June 2020
G.Form 470 Officeholder and Candidate Campaign Statement Short Form
The Form 470 must be filed by a candidate or officeholder who does not anticipate raising or spending $2,000 or more in a calendar year. Payments from the candidate's personal funds used to pay filing or ballot statement fees do not count toward the $2,000 committee qualification threshold.
The Form 470 may not be used if the candidate or officeholder has an existing controlled committee established for a past election, future election, or ballot measure (including recalls).
There are special exceptions, discussed below, that apply to judges and unpaid elected officeholders (officeholders who receive salaries of less than $200 per month).
Quick If the Form 470 is filed Tip
and the candidate then raises or spends $2,000 or more in that calendar year, the candidate must file the Form 470 Supplement, the Form 410, and begin filing the Form 460.
When to File the Form 470 in Connection With an Election
Non-Incumbent Candidates
Candidates on ballot in first six months of the calendar year. The Form 470 may be filed with the declaration of candidacy but must be filed no later than the deadline for the first preelection statement.
Candidates on ballot in last six months of the calendar year. If the candidate receives contributions or makes expenditures:
· Before June 30: Form 470 must be filed by July 31.
· After June 30: Form 470 may be filed with the declaration of candidacy but must be filed no later than the deadline for the first preelection statement.
Ex 1.1 - Non-incumbent judicial candidate Janice Chambers is listed on the November ballot. She does not intend to raise or spend $2,000 in connection with her election. By June 30, she had received no contributions and her only expenditures were for the filing and ballot statement fees paid for with her personal funds. Janice is required to file Form 470 by the first preelection filing deadline.
Candidates running in an election in the first three months of the year may be required to file the Form 470 in October, November, or December of the previous non-election year, as well as in the election year. Candidates should review the applicable filing schedule.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 13
Campaign Manual 2 June 2020
Officeholders on the Ballot
If an officeholder will be listed on a ballot during the first six months of the calendar year, the Form 470 (covering the year of the election) may be filed with the declaration of candidacy but must be filed no later than the filing deadline for the first preelection statement required in connection with the election. If the election will be held during the last six months of the calendar year, the Form 470 must be filed no later than July 31.
Judges and Unpaid Elected Officeholders on the Ballot
During an election year, the deadline for filing the Form 470 will depend on the date of the election. Judges and unpaid officeholders running in an election during the first six months of the year may file the Form 470 (covering the year of the election) with the declaration of candidacy but must be filed no later than the filing deadline for the first preelection statement required in connection with the election.
If the election will be held during the last six months of the year, the Form 470 must be filed by July 31 if any funds were raised or spent (other than the candidate's personal funds for a filing or ballot statement fee) between January 1 and June 30. If no contributions were received or expenditures made by June 30, the Form 470 may be filed with the declaration of candidacy but must be filed no later than the filing deadline for the first preelection statement required in connection with the election.
Officeholders and Judges Not on a Ballot
See Chapter 9 for the reporting obligations of officeholders and judges who are not listed on the ballot.
Where to File Form 470
Candidate/Officeholder Judges
Where to File Secretary of State
What to File Original and one copy
County of Domicile
Multi-County Offices
County with largest number of
registered voters
(Local agencies with jurisdiction
in more than one county)
County of Domicile, if different
County offices
County Elections Office
One copy Original and one copy
One copy Original and one copy
City offices
City Clerk
Original and one copy
Ex 1.2 - A city council election will be held in February. The first preelection statement for this election is due in December of the previous year. A candidate that does not meet the $2,000 committee threshold must file the Form 470 by the first preelection statement due date. The second preelection statement is due in January. If the candidate will not raise or spend $2,000 or more during the year of the election, another Form 470 covering the entire calendar year of the election must be filed by the second preelection statement deadline since the Form 470 filed in December of the previous year covered the period ending December 31 of that calendar year.
Ex 1.3 - Judge Mercado is listed on the November ballot and anticipates raising and spending less than $2,000 for his reelection. By June 30, he had received no contributions since January 1 and his only expenditures were for the filing and ballot statement fees paid for with his personal funds. The judge is not required to file by the July 31 semi-annual filing deadline, but must file a Form 470 by the first preelection filing deadline.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 14
Campaign Manual 2 June 2020
Officeholder and Candidate Campaign Statement Short Form
A Date of elecon if applicable: (Month, Day, Year)
Amendment (Explain Below)
Date Stamp
470 CALIFORNIA FORM For Official Use Only
6/6/XX
11. Statement Covers Calendar Year 20
XX .
22. Officeholder or Candidate Informaon NAME OF OFFICEHOLDER OR CANDIDATE
Rayna Cole
STREET ADDRESS
1212 Fourth Avenue
CITY
Oakmont
AREA CODE/DAYTIME PHONE NUMBER
STATE
ZIP CODE
CA
95443
OPTIONAL: FAX / E-MAIL ADDRESS
33. Office Sought or Held
OFFICE SOUGHT OR HELD
City Council
JURISDICTION (LOCATION)
City of Oakmont
DISTRICT NUMBER (IF APPLICABLE)
1
4 707-555-1234
4. Commiee Informaon
707-555-1235/ rcole@gmail.com
List all commiees of which you have knowledge that are primarily formed to receive contribuons or to make expenditures on behalf of your candidacy.
COMMITTEE NAME AND I.D. NUMBER
COMMITTEE ADDRESS
NAME OF TREASURER
Friends Supporting Rayna Cole for City Council 20XX ID Number 1533XX
1618 C Street Oakmont, CA 95443
Gabriel Stoll
55. Vericaon
I declare under penalty of perjury that to the best of my knowledge I anticipate that I will receive less than $2 ,000 and that I will spend less than $2,000 during the calendar year and that I have used all reasonable diligence in preparing this statement. I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Executed on
[Date Required]
DATE
By
[Signature Required]
SIGNATURE OF OFFICEHOLDER OR CANDIDATE
Clear Form
Print Form
Completing the Form 470
FPPC Form 470/470 Supplement (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
A Date of Election
If the candidate or officeholder is running in an election during the calendar year, indicate the month, day, and year of the election.
1 Period Covered The period covered is always the calendar year.
2 Officeholder or Candidate Information
Provide the candidate/officeholder's full name, street address (a business address may be used), and a daytime telephone number. A fax number and email address may also be provided.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 15
Campaign Manual 2 June 2020
3 Office Sought or Held Indicate the office being sought or held and provide the location and district number of the office, if applicable.
4 Committee Information
A candidate or officeholder who is aware of a primarily formed committee that is receiving contributions and making expenditures on behalf of his or her candidacy must disclose the primarily formed committee's name, identification number, address, and the name of the treasurer.
5 Verification The Form 470 must be signed by the candidate/officeholder. It is not considered filed if it is not signed.
Answering Your Form 470 Questions
A. What reporting period does the Form 470 cover?
The Form 470 is filed once each calendar year and covers the entire calendar year. When you file the Form 470 covering the year of the election with your declaration of candidacy, or on or before the deadline for filing your first preelection statement, you do not need to file any additional campaign statements as long as you do not raise or spend $2,000 or more during the calendar year.
B. If I am a non-incumbent candidate, am I required to file the Form 470 in connection with my election if I am running unopposed, my name does not appear on the ballot, and the only expenditure I make is from personal funds for a filing or ballot statement fee?
No. A Form 470 is not required. However, once you assume office, a Form 470 may be required.
Ex 1.4 - Rayna Cole's neighbors formed the Friends Supporting Rayna Cole for City Council 20XX committee. Ms. Cole is aware of the committee but has no involvement with its day-to-day activities. Ms. Cole must disclose the committee's information on her Form 470.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 16
Campaign Manual 2 June 2020
C. If I am in a January election and will not raise or spend $2,000 in connection with that election, when am I required to file Form 470?
You must file Form 470 in November of the preceding year (the deadline for filing your first preelection statement in connection with the January election). In addition, if your second preelection statement is due in January, another Form 470 must be filed because a Form 470 is required for each calendar year. The first Form 470 covers the calendar year preceding the election, and the second Form 470 covers the calendar year in which the election takes place.
D. I am running as a non-incumbent candidate for city council in November. I filed a Candidate Intention Statement (Form 501) and Statement of Organization (Form 410) to form a committee on May 1, but I did not qualify as a committee by June 30th. Should I file the Form 470 or the Form 460 by the July 31 semi-annual due date?
Because you intend to raise $2,000 or more in the calendar year, you should file the Form 460. This allows you to avoid the requirement to file the Form 470 Supplement within 48 hours of raising or spending $2,000 or more. But, it is permissible to file the Form 470 since the committee qualification threshold was not met by June 30th.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 17
Campaign Manual 2 June 2020
E. I am a city council member and I closed my campaign committee in March. May I file the Form 470 for the statement due July 31?
No. You may not file the Form 470 if you had an open committee at any time during the calendar year or intend to have one later in the year. You must continue filing the Form 460 as an officeholder for the remainder of the calendar year. The Form 470 may be filed the following calendar year if you do not have, nor intend to have, a committee for that entire calendar year.
F. I am in a June election this year and filed a Form 470 for last year because I started raising money in December. Am I required to file a 470 Supplement if I receive contributions totaling more than $2,000 in January?
No. The Form 470 Supplement is only required if you file the Form 470 and subsequently raise or spend $2,000 in the same calendar year. Since you filed the Form 470 last year, but did not meet the $2,000 committee qualification threshold until the following calendar year, you are not required to file the Form 470 Supplement. You must file the Form 410 (Statement of Organization) and begin filing the other applicable campaign reports (e.g., Form 460, Form 497).
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 18
Campaign Manual 2 June 2020
Form 470 Supplement
If a candidate files a Form 470 covering a calendar year in which the candidate is running in an election (i.e., with the declaration of candidacy, in lieu of a first preelection statement, or for the June 30 semi-annual filing) and later receives contributions totaling $2,000 or more, or makes expenditures totaling $2,000 or more, the candidate must file a Form 470 Supplement.
When and Where to File the Form 470 Supplement
The Form 470 Supplement must be filed within 48 hours of receiving or spending $2,000 or more.
The notification is sent to:
· Secretary of State's Office;
· Each candidate seeking the same office; and
· City or county clerk, or county registrar of voters, if the candidate is running for a city or county office.
The notification must be sent by guaranteed overnight delivery, personal delivery, fax, or email.
The candidate must also file a Statement of Organization (Form 410) and begin filing the Recipient Committee Campaign Statement (Form 460). The 24-Hour/10-Day Contribution Report (Form 497) may also be required.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 19
Campaign Manual 2 June 2020
Officeholder and Candidate Campaign Statement Form 470 Supplement
SEE INSTRUCTIONS ON REVERSE
Amendment (Explain Below)
Date Stamp
470 CALIFORNIA FORM For Official Use Only
This form is written notification that the officeholder/candidate listed below has received contributions totaling $2,000 or more or has made expenditures of $2,000 or more during the calendar year.
1
1. Officeholder or Candidate Informaon
NAME OF OFFICEHOLDER OR CANDIDATE
Rayna Cole
STREET ADDRESS
1212 Fourth Avenue
CITY
Oakmont
AREA CODE/DAYTIME PHONE NUMBER
STATE
ZIP CODE
CA
95443
OPTIONAL: FAX / E-MAIL ADDRESS
2 707-555-1234
2. Office Sought
OFFICE SOUGHT
Oakmont City Council
DATE OF ELECTION (MONTH, DAY, YEAR)
707-555-1235/ rcole@gmail.com
DISTRICT NUMBER (IF APPLICABLE)
1
6/6/XX
3
3. Date Contributions Totaling $2,000 or More Were Received or Date Expenditures of $2,000 or More Were Made
4/1/XX
(MONTH, DAY, YEAR)
Clear Form
Print Form
Completing the Form 470 Supplement
1 Officeholder or Candidate Information
Provide the candidate/officeholder's full name, street address (a business address may be used), and a daytime telephone number. A fax number and email address may also be provided.
2 Office Sought
Indicate the office being sought, the date of the election, and the district number, if applicable.
3 Date $2,000 Threshold Was Met
Provide the date contributions totaling $2,000 or more were received or the date expenditures of $2,000 or more were made.
FPPC Form 470/470 Supplement (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 20
Campaign Manual 2 June 2020
H. Form 410 Statement of Organization
A candidate controlled committee or a committee primarily formed to support or oppose a candidate (or group of candidates in the same election) that raises or spends $2,000 or more in a calendar year qualifies as a recipient committee and must file Form 410. The Form 410 identifies the name of the committee and provides the public with information regarding the committee's purpose and its officers.
Annual Committee Fees
All committees that file a Form 410 must pay a $50 fee to the Secretary of State no later than 15 days after the Form 410 is filed. Committees must pay the fee annually by January 15 until the committee terminates. If the annual fee is not paid by the January 15 deadline, the law imposes a $150 penalty, which will require the committee to pay a total of $200 (the $50 annual fee plus the $150 late penalty). Failure to pay the fine will result in a referral to the FPPC's Enforcement Division.
Note: Committees that are created and pay the initial $50 fee in the last three months of a calendar year are not subject to the annual fee in the subsequent year.
If the committee is going to terminate, in order to avoid the fee for the subsequent year, a committee must cease activity by December 31 of the current year and file the terminating Form 410 with the Secretary of State on or before January 31 of the next year. There is no provision for extension of the deadline and fee payment.
When and Where to File the Form 410
File the original Form 410 with the Secretary of State within 10 days of raising or spending $2,000 or more.
Send the Form 410 to:
Secretary of State Political Reform Division 1500 11th Street, Suite 495 Sacramento, CA 95814
Ex 1.5 - On February 15, a candidate for mayor opened a campaign bank account with a personal loan of $2,500. By February 25, the Form 410 must be sent to the Secretary of State and a copy to the city clerk.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 21
Campaign Manual 2 June 2020
In addition, candidates for local office and committees primarily formed to support or oppose local candidates must file a copy of the Form 410 with the local filing officer (i.e., city clerk or county elections) with whom the committee will file its original campaign statements.
The Form 410 may be filed prior to raising or spending $2,000, but then must be amended within 10 days of reaching the $2,000 threshold to disclose the date the committee qualified.
24-Hour/10-Day Deadline for the Form 410
A committee that qualifies during the last 16 days before the election must file Form 410 within 24 hours of qualifying. The Form 410 must be provided to the filing officer with whom the committee will file its original campaign disclosure statements (e.g., Form 460) by fax, guaranteed overnight delivery, or personal delivery. In addition, an original Form 410 must be filed with the Secretary of State within 10 days of qualifying as a committee (regular mail may be used).
Committee ID Number
Upon receipt of the Form 410, the Secretary of State's office will assign the committee an identification number. This number is used on all reporting forms. After filing the Form 410, committees may go to the Cal-Access section of the Secretary of State's website to obtain the committee identification number. Contact the Secretary of State's office at (916) 653-6224 with any other questions about obtaining a committee identification number.
Amending the Form 410
When any information on the Form 410 changes, an amendment must be filed within 10 days of the change. This is especially important if the committee has a new treasurer or principal officer(s) since the individuals listed on the most recently filed Form 410 are liable for the committee's activity.
Ex 1.6 - Joe is seeking reelection to the city council. He wishes to use the same committee and bank account. In order to do so, Joe files a Form 410, checking the amendment box and indicating the year of the election. After filing the Form 501 for the new election, Joe is free to raise and deposit campaign contributions into the bank account.
Ex 1.7 - A group of neighbors joined forces to help elect a candidate for mayor. On March 1, the group received 10 checks of $200 each. Because they qualified as a committee on that date, they must mail or personally deliver a Form 410 to the Secretary of State and a copy to the city clerk no later than March 11.
Ex 1.8 - Fourteen days before a local election, a candidate who had previously filed a Form 470 received a contribution of $1,250, bringing the cumulative contributions received to date to $2,150. Because the candidate has now exceeded the $2,000 committee qualification threshold, the candidate must file the Form 410 with the local elections official within 24 hours. The Form 410 must also be filed within 10 days with the Secretary of State. The Form 470 Supplement must be filed within 48 hours as described in this chapter.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 22
Campaign Manual 2 June 2020
24-Hour/10-Day Deadline for Amendments to the Form 410
Changes to important information in the last 16 days before the election require a committee to file an amendment within 24 hours. If, during the last 16 days before the election, any of the following changes occur, the committee must file an amended Form 410 within 24 hours with the filing officer with whom the committee files its original campaign statements:
· The name of the committee.
· The treasurer or other principal officers.
· Any candidate who controls the committee.
· Any committee with which the committee acts jointly.
The amendment provided to the filing officer with whom the committee files its original campaign statements must be delivered by personal delivery, guaranteed overnight delivery, fax, or online transmission (if online filing is available). The originally signed Form 410 amendment must be filed with Secretary of State within 10 days (regular mail may be used).
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 23
Campaign Manual 2 June 2020
Statement of Organization Recipient Committee
Statement Type Initial
Amendment
A Not yet qualified
or
Date qualification threshold met Date qualification threshold met
09 / 04 / 20XX
/
/
11. Committee Information
I.D. Number
(if applicable)
nAMe OF COMMITTee
Manuel Alvarez for Mayor 20XX
STReeT ADDReSS (nO P.O. BOx)
225 Presley Street
CITy
STATe
zIP CODe
Oakmont
CA
95443
Full MAIlIng ADDReSS (IF DIFFeRenT)
P.O. Box 1744, Oakmont, CA 95434
e-MAIl ADDReSS (RequIReD) / FAx (OPTIOnAl)
707-555-6869 / mrichards@oakmontmail.com
COunTy OF DOMICIle
San Marino
JuRISDICTIOn WHeRe COMMITTee IS ACTIve
Oakmont
AReA CODe/PHOne
(707)555-6868
Termination See Part 5
Date Stamp
410 CALIFORNIA FORM For Official use Only
Date of termination
/
/
22. Treasurer and Other Principal Officers
nAMe OF TReASuReR
Madeline Richards
STReeT ADDReSS (nO P.O. BOx)
225 Presley Street
CITy
Oakmont
nAMe OF ASSISTAnT TReASuReR, IF Any
Manuel Alvarez
STReeT ADDReSS (nO P.O. BOx)
225 Presley Street
CITy
Oakmont
nAMe OF PRInCIPAl OFFICeR(S)
N/A
STReeT ADDReSS (nO P.O. BOx)
STATe
CA
zIP CODe
95443
STATe
zIP CODe
CA
95443
AReA CODe/PHOne
(707)555-6868
AReA CODe/PHOne
(707)555-6868
CITy
Attach additional information on appropriately labeled continuation sheets.
STATe
zIP CODe
AReA CODe/PHOne
33. Verification I have used all reasonable diligence in preparing this statement and to the best of my knowledge the information contained herein is true and complete. I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
executed on executed on
[Date Required] By
DATe
[Date Required] By DATe
SIgnATuRe OF TReASuReR OR ASSISTAnT TReASuReR SIgnATuRe OF COnTROllIng OFFICeHOlDeR, CAnDIDATe, OR STATe MeASuRe PROPOnenT
executed on
By
DATe
SIgnATuRe OF COnTROllIng OFFICeHOlDeR, CAnDIDATe, OR STATe MeASuRe PROPOnenT
executed on
By
DATe
SIgnATuRe OF COnTROllIng OFFICeHOlDeR, CAnDIDATe, OR STATe MeASuRe PROPOnenT
FPPC Form 410 (August/2018)
FPPC Advice: advice@fppc.ca.gov (866/275-3772)
Clear Page
Print
www.fppc.ca.gov
Completing the Form 410
A Statement Type
Check the "Initial" box if this is the first filing and indicate the date on which the committee met the $2,000 threshold or check the "Not Yet Qualified" box. If the "Not Yet Qualified" box is checked, an amended Form 410 must be filed within 10 days of reaching or exceeding the $2,000 threshold to provide the date the committee qualified.
Check the "Amendment" box to amend information on an existing Form 410 (e.g., to report the date the committee qualified as a committee).
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 24
Campaign Manual 2 June 2020
1 Committee Information
Provide the full name of the committee.
Candidate Controlled Committees. A committee controlled by a candidate must include in its name the last name of the candidate, the office sought, and the year of the election.
Committees established by an officeholder to defend against a recall attempt must include the term "recall" in the committee name.
Primarily Formed Committees. A committee primarily formed to support or oppose a candidate(s) must include the last name of each candidate, the office sought, the year of the election, and must state whether the committee supports or opposes the candidate(s) (e.g., Committee to Support Sanchez for Kern County Supervisor 20XX).
If a primarily formed committee is sponsored by a business entity, organization, or association, the name of the sponsor must also be included in the name of the committee.
Committee Address
Provide the committee's street address and mailing address. A post office box may be used as a mailing address. The committee may have more than one mailing address.
Committee Fax/Email Address
Provide the committee's fax number and email address. The email address is required.
County of Domicile and Jurisdiction Where Committee is Active
Indicate the county in which the committee is located and the jurisdiction in which the committee is active. These may be different.
2 Treasurer and Other Principal Officers
The committee must have a treasurer and may have an assistant treasurer. Provide the names, street addresses, and telephone numbers of the treasurer and assistant treasurer. If a candidate chooses to be his or her own treasurer, list the name, street address, and telephone number of the candidate.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 1. 25
Quick
The Secretary of
Tip
State's office must
reject the filing of a Form
410 if the committee's email
address is not included.
Campaign Manual 2 June 2020
A primarily formed committee must also list the name of the principal officer(s) and the principal officer's street address. If no individual other than the treasurer is a principal officer, the treasurer must be identified as both the treasurer and the principal officer. A principal officer is an individual that is responsible for the following types of activities:
· Authorizing the content of committee communications.
· Authorizing expenditures.
· Determining the committee's campaign strategy.
A committee may have several principal officers. If there are more than three, a committee need only identify on the Form 410 three individuals serving as principal officers.
3 Verification
The treasurer or assistant treasurer must complete the verification. If the committee is controlled by a candidate, the candidate must also sign the verification. The Form 410 is not considered filed if it is not signed by both the treasurer or assistant treasurer and the candidate. If a candidate is his or her own treasurer, the candidate must sign on both lines.
When two or three candidates control a committee, each candidate must sign the verification. If more than three candidates control the committee, one of the candidates may sign on behalf of all controlling candidates.
Bank Account
Report the name and address of the financial institution where the committee's campaign bank account is located, as well as the campaign bank account number. If a bank account has not been opened at the time of filing an "Initial" Form 410, amend the Form 410 within ten days of opening the bank account to provide this information.
Quick
See Chapter 2 for
Tip
information about
the responsibilities of a
committee treasurer. The
FPPC's website includes a list
of committee treasurers that
have been fined by the FPPC
two or more times.
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· All committees must list the financial institution where the campaign bank account is located.
nAMe OF FInAnCIAl InSTITuTIOn
AReA CODe/PHOne
BAnk ACCOunT nuMBeR
ADDReSS
CITy
STATe
zIP CODe
4
4. Type of Committee Complete the applicable sections.
Controlled Committee
· list the name of each controlling officeholder, candidate, or state measure proponent. If candidate or officeholder controlled, also list the elective office sought or held, and district number, if any, and the year of the election.
· list the political party with which each officeholder or candidate is affiliated or check "nonpartisan." Stating "no party preference" is acceptable.
· If this committee acts jointly with another controlled committee, list the name and identification number of the other controlled committee.
nAMe OF CAnDIDATe/OFFICeHOlDeR/STATe MeASuRe PROPOnenT
Manuel Alvarez
eleCTIve OFFICe SOugHT OR HelD (InCluDe DISTRICT nuMBeR IF APPlICABle)
Oakmont City Council, District 1
yeAR OF eleCTIOn
20XX
PARTy CHeCk One nonpartisan Partisan (list political party below)
nonpartisan Partisan (list political party below)
Primarily Formed Committee
Primarily formed to support or oppose specific candidates or measures in a single election. list below:
CAnDIDATe(S) nAMe OR MeASuRe(S) Full TITle (InCluDe BAllOT nO. OR leTTeR)
4 Type of Committee IF A ReCAll, STATe "ReCAll" In FROnT OF THe OFFICeHOlDeR'S nAMe.
CAnDIDATe(S) OFFICe SOugHT OR HelD OR MeASuRe(S) JuRISDICTIOn (InCluDe DISTRICT nO., CITy OR COunTy, AS APPlICABle)
Controlled Committee
CHeCk One
SuPPORT
OPPOSe
SuPPORT
OPPOSe
Candidate controlled committees must complete this section. A candidate or officeholder's ownCcleoamr Pmaigtetee for elecPtiroinnt to office is his or her "controlled committee." Provide the name of the candidate, office sought (include district number, if applicable), year of the election and, since all local elections in California are non-partisan, check the "Non-Partisan" box in the "Party" column. If two or more candidates form one committee to support their candidacies for elective office, this information must be completed for each candidate.
FPPC Form 410 (October/2017) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
Primarily Formed Committee
Complete this section for a committee that is not controlled by a candidate or officeholder whose principal activity is raising or spending money to make independent expenditures supporting or opposing a specific candidate or a group of specific candidates all being voted upon in the same election on the same date.
Sponsored Committee
If the committee is sponsored by an entity, provide the name and address of the sponsor. In addition, indicate the industry group or affiliation of the sponsor. Individuals do not sponsor committees.
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An entity sponsors a committee if any of the following criteria apply:
· The committee receives 80% or more of its contributions from the entity or its members, officers, employees, or shareholders.
· The entity collects contributions for the committee through payroll deductions or dues from its members, officers, or employees.
· The entity, alone or in combination with other organizations, provides all or nearly all of the administrative services for the committee.
· The entity, alone or in combination with other organizations, sets the policies for contribution solicitation or payment of expenditures from committee funds.
Answering Your Questions
A. Must we wait until $2,000 or more is received to file a Form 410?
No. You may file a Form 410 prior to committee qualification. Check the "Not Yet Qualified" box. Once you have reached the $2,000 threshold, file an amendment to report the date the committee qualified.
B. May our committee use a mail receiving and forwarding service as the committee's street address on the Form 410?
No. Either the committee's street address or the treasurer's street address (home or business) must be provided. A post office box may be used as a mailing address.
C. As a candidate, may I be the designated treasurer on the Form 410?
Yes. You may be the treasurer or assistant treasurer.
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D. May more than one candidate control a single committee to run for office?
Yes. Each candidate should file a Form 501 prior to raising or spending any money. For both the Form 410 and Form 460, each candidate must sign the verification, in addition to the treasurer or assistant treasurer. If the committee is controlled by more than three candidates, one candidate may sign on behalf of the other candidates.
E. I am a school board candidate. Prior to attending an FPPC webinar and learning that it was not permitted, I used personal funds to pay for some of my start-up campaign expenses. How is this reported on the Form 460?
So that the activity is properly disclosed, the amount of personal funds used should be reported on Schedule A as monetary contributions and on Schedule E (itemize purchases of $100 or more). This provides clear disclosure to the public about where the funds were spent. If you wish to be reimbursed by the committee, you should report the amount on Schedule F as an accrued expense. If you have already been reimbursed by the committee, the amount will be reported on Schedule E as an expenditure. Non-disclosure of the payments is a violation of the Act. All future payments must be made from the campaign bank account; personal funds must be deposited into the account before making expenditures.
F. I am an officeholder and the target of a recall election. I have formed a separate committee to oppose the recall. On the Form 410, what sections do I complete under Part 4 -- Type of Committee?
You should complete both the Controlled Committee and Primarily Formed Ballot Measure Committee sections. Be sure to include the word "recall" in the name of the committee.
Fair Political Practices Commission advice@fppc.ca.gov
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G. I am running as a replacement candidate on a recall ballot. On the Form 410, what sections do I complete under Part 4--Type of Committee?
You should complete the Controlled Committee section.
Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
81004 81004.5 81007 82007 82013 82016 82025 82044 82047.5 82048.7 84101 84102 84103 84106 84206 84207
84215 85200 85201 87201
Reports and Statements; Perjury; Verification. Reports and Statements; Amendments. Mailing of Report or Statement. Candidate. Committee. Controlled Committee. Expenditure. Payment. Primarily Formed Committee. Sponsored Committee. Statement of Organization; Filing. Statement of Organization; Contents. Statement of Organization; Amendments. Sponsored Committee; Identification. Candidates Who Receive or Spend Less than $2,000. County Central Committee Candidates Who Receive or Spend Less Than $2,000. Campaign Reports and Statements; Where to File. Statement of Intention to be a Candidate. Campaign Bank Account. Candidates (Statement of Economic Interests).
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Title 2 Regulations
18247.5 18402 8406
18419 18430 18520 18521
18531.5
Primarily Formed Committees. Committee Names.1 Short Form for Candidates or Officeholders Who Receive and Spend Less than $2,000 in a Calendar Year. Sponsored Committees. Committees Controlled by More Than One Candidate. Statement of Intention to Be a Candidate. Establishment of Separate Controlled Committee for Each Campaign Account. Recall Elections.
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Finances/Recordkeeping
One of the fundamental purposes of the Political Reform Act (Act), an initiative passed by the voters, is to ensure that receipts and expenditures in election campaigns are truthfully and fully disclosed. In order to do so, an individual that chooses to act as a committee treasurer, assistant treasurer, or principal officer must know and practice the finance and recordkeeping requirements and responsibilities discussed in this chapter.
A. Committee Treasurer and Principal Officer
Every committee must have a treasurer before the committee may accept contributions or make expenditures. Although there are no restrictions on who may be a treasurer, in order to adequately perform the duties, the treasurer must understand the campaign finance laws and his or her responsibilities under the Act. The candidate controlling the committee may be the treasurer or assistant treasurer for his or her own committee. No individual should accept the position of a committee treasurer as a mere figurehead.
Contributions may not be accepted and expenditures may not be made if the treasurer's post is vacant at any time, even if the committee has an assistant treasurer. If the treasurer is unavailable to carry out his or her duties, a new treasurer must be designated and the committee's Statement of Organization (Form 410) amended. The individual listed on the most recent Form 410 filed with the Secretary of State continues to be liable until an amendment is filed to designate a new treasurer.
The committee treasurer or assistant treasurer must sign and verify all reports and statements filed. The verification is signed under penalty of perjury and indicates that:
· The signer has used all reasonable diligence in preparing the statement; and
· To the best of his or her knowledge, the statement is both true and complete.
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Campaign Manual 2 June 2020
The signer is legally responsible for the accuracy and completeness of the document, even if it is prepared by a third party, including a professional accountant. An unsigned statement is considered "not filed" and is subject to late fines.
Treasurer Responsibilities A committee treasurer is required to:
· Establish a system of recordkeeping sufficient to ensure that contributions and expenditures are recorded promptly and accurately in compliance with the Act's recordkeeping and disclosure requirements. (Following the recordkeeping guidelines in this manual ordinarily constitutes compliance with this requirement.)
· Maintain campaign records personally or monitor records kept by others.
· Take steps to ensure all of the Act's requirements are met regarding receipt, expenditure, and reporting of campaign funds.
· Prepare campaign statements personally or carefully review the statements and underlying records prepared by others.
· Correct any inaccuracies or omissions, and inquire about any information that would cause a person of reasonable prudence to question the accuracy of the campaign statements. Among the circumstances that might give rise to an inquiry regarding a contribution are: the size of the contribution; the reported source; the likelihood of that source making a contribution of that size; the manner in which the contribution is recorded in the campaign records; and all other circumstances surrounding receipt of the contribution.
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Reconciling the
Tip
committee's bank
statement with the
committee's records
regularly will ensure
accuracy and make
completing the campaign
forms easier.
Assistant Treasurer Responsibilities
An assistant treasurer may be designated on the Statement of Organization (Form 410). In the event that the treasurer is unavailable, the assistant treasurer is required, like the treasurer, to use reasonable diligence in preparing and reviewing any campaign statements that he or she signs, and must certify to that effect under
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penalty of perjury. For statements signed by the assistant treasurer, both the treasurer and the assistant treasurer are liable for any violations pertaining to that report.
There are no restrictions on who may be an assistant treasurer, although he or she should know the reporting obligations, restrictions, and prohibitions provided under the law. For a controlled committee, the candidate may be designated as the assistant treasurer.
Principal Officer(s) Responsibilities
A primarily formed committee must designate a principal officer(s) on the Statement of Organization (Form 410). The principal officer is also responsible for maintaining detailed accounts, records, bills and receipts necessary to prepare campaign statements. If no individual other than the treasurer has the primary responsibility for approving the political activity of the committee as described in this manual, the treasurer must be identified as both the treasurer and the principal officer.
B. Candidate/Officeholder Responsibilities
A candidate or officeholder is required to:
· Carefully review the campaign statements prepared for filing by the committee and ensure that the statements are properly filed.
· Correct any inaccuracies and omissions in campaign statements of which the candidate is aware, and check and correct any information on campaign statements which a person of reasonable prudence would question based on all of the surrounding circumstances.
· Make sure that the treasurer is exercising all reasonable diligence in the performance of his or her duties.
· Take whatever steps are necessary to replace the treasurer or raise the treasurer's performance to required standards if the candidate or officeholder knows, or has reason to know, that the treasurer is not exercising all reasonable diligence in the performance of his or her duties.
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· Perform with due care any other tasks assumed in connection with the raising, spending, or recording of campaign funds insofar as such tasks relate to the accuracy of information entered on campaign statements.
C. Education
The FPPC provides educational workshops and webinars for candidates and treasurers. In addition, there are several instructive materials available on the website. Candidates and treasurers may also seek advice from FPPC staff by calling the toll-free advice line (866-275-3772) or emailing questions to advice@fppc.ca.gov.
D. Committee Audits
Each odd-numbered year, a total of 20 local jurisdictions are randomly selected for mandatory audit. All candidates in the selected jurisdiction are subject to audit if they have raised or spent $2,000 or more. Additionally, 25% of contested Superior Court offices are randomly selected. Candidates who raise or spend $15,000 or more in these selected races are subject to audit. In addition, the FPPC and the Franchise Tax Board are authorized to conduct discretionary audits.
Quick
The candidate and the
Tip
treasurer may be fined
by the FPPC if reporting and
recordkeeping requirements
are not met. Violations of
the Act are punishable by
fines of up to $5,000 per
violation.
E. Campaign Bank Accounts
Primarily Formed Committees
A non-candidate controlled "primarily formed committee" is not required to maintain a separate bank account; however, it is recommended that they do so. Pre-numbered and pre-printed checks with the committee's name are helpful in meeting the recordkeeping requirements discussed in this chapter. Committees may not commingle campaign contributions with any individual's personal funds.
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Candidate Controlled Committees
Candidates who anticipate soliciting or receiving contributions from others, or who anticipate spending $2,000 or more of their personal funds in connection with their election, must open a campaign bank account. A candidate's personal funds used to pay the filing fee or the ballot statement fee do not count toward the $2,000 threshold.
Establishing the Account
The account may be established at any financial institution (i.e., bank, credit union) located in California. Under the Act's one bank account rule discussed in Chapter 1, a candidate or officeholder may only have one controlled committee with one bank account per election. Candidates running for one office while holding another must establish a separate campaign bank account for each office, but may not have more than one bank account per office per election.
All campaign contributions must be deposited into the campaign bank account and all campaign expenditures must be made from the campaign bank account. Candidates must deposit personal funds to be used for the campaign in the campaign bank account before making campaign expenditures.
Exceptions:
· Candidates may use their personal funds to pay a filing fee, a ballot statement fee, or the $50 Secretary of State fee, without first depositing the funds into the campaign account.
· An officeholder may use personal funds to pay officeholder expenses.
Quick
The Political Reform
Tip
Act does not require
a federal tax ID number.
However, most banks will
require one in order to open
a campaign bank account.
A tax ID number may be
obtained on the IRS website,
www.irs.gov.
· A candidate may contract with a vendor or collecting agent to collect contributions prior to promptly transferring the funds to the candidate's campaign bank account without violating the requirement that the candidate have no more than one bank account. Fees deducted by the vendor are considered expenditures from the campaign bank account at the time they are deducted.
Campaign funds may not be commingled with any individual's personal funds.
Quick Tip
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Expenditures from Multiple Accounts
A candidate who has more than one campaign committee must make all expenditures in connection with an election from the campaign bank account established for that election, including:
· Campaign strategic planning and fundraising expenses;
· Services and actual expenses of outside political consultants, the campaign treasurer, other staff, pollsters, and other persons who provide services directly in connection with the election;
· Voter registration and get-out-the-vote drives; and
· Payments for mailings, political advertising, yard signs, opinion polls or surveys, and other communications if the payments are either:
1. For a communication that makes reference to the candidate's future election or status as a candidate; or
2. Made three months prior to an election for which the candidate has filed a Candidate Intention Statement (Form 501), a declaration of candidacy, or nomination papers with an elections official, or any other documents necessary to be listed on the ballot for an elective office.
Ex 2.1 -Thien Vu is a city council member and still has an open committee from the city council election. She is running for county supervisor in the next election and has opened another bank account and committee for that race. She must use the campaign bank account for her county supervisor campaign to pay for her yard signs and all other expenses related to the upcoming county supervisor election.
Redesignating the Bank Account
Officeholders: An officeholder seeking reelection to the same office may use the bank account that was established for the prior election. The account may be redesignated at any time prior to receiving contributions in connection with reelection. The officeholder must file a new Form 501 (Candidate Intention Statement) and an amended Form 410 (Statement of Organization).
Quick
Campaign funds
Tip
become surplus on
the 90th day following
the closing date for the
postelection reporting
period or on the 90th day
following the date of leaving
office, whichever occurs last.
The postelection reporting
period for an election held
in the first six months of
the year is June 30 and
the postelection reporting
period for an election held in
the latter six months of the
year is December 31. Once
the funds become surplus,
they may not be used for a
future election. See Chapter
5 for the permissible uses of
surplus funds.
Fair Political Practices Commission advice@fppc.ca.gov
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Defeated Candidates: A candidate that is defeated in an election may use the same bank account for a future election to seek the same office. The candidate must file a new Form 501 (Candidate Intention Statement) and an amended Form 410 (Statement of Organization). The funds must be redesignated before they become "surplus funds." Campaign funds become surplus on the 90th day following the closing date for the postelection reporting period.
Note: A campaign bank account may not be redesignated if the officeholder/candidate is seeking election to a different office. See Chapter 11 for the requirements that must be met in order to use leftover campaign funds for a future election to seek a different office.
Ex 2.2 -John Davis lost the city council election in June. John has $3,500 remaining in his campaign bank account and is considering seeking another city council position in two years. In order to use the remaining $3,500 for the future election, John must file a new Form 501 (Candidate Intention Statement) and redesignate the bank account to the future election by amending his Form 410 (Statement of Organization) to indicate the new office sought and year of election. This must be done within 90 days following the end of the postelection reporting period for an election held during the first six months of the year.
Investments
Campaign funds may be transferred from a campaign bank account to certificates of deposit, interest-bearing savings accounts, money market funds, or similar accounts. The funds must come from a campaign bank account designated for a specific office and be deposited in investment accounts established only for that office. The funds must be redeposited into the same campaign bank account before being used for campaign expenses.
Credit Cards
One or more credit accounts may be established for each campaign bank account. A single credit card, however, may not be designated for more than one campaign bank account. In addition, payment of charges on a credit account must be made only from the appropriate campaign bank account.
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In lieu of establishing a new credit account, a candidate may designate an existing personal credit card with a zero balance as the campaign credit card by listing the card number and date of designation in the campaign records. The candidate must ensure that no personal expenses are charged to this account until after all campaign charges have been paid with funds from the campaign bank account. Once all campaign expenses charged to the account have been paid, the candidate may resume using the card for personal purposes.
Petty Cash
Candidates may use campaign funds to establish a petty cash fund at each campaign office so long as the following conditions are met:
· A petty cash fund may not hold more than $100 at any time.
· No expenditure of $100 or more may be made from the fund.
· The fund may be used only for expenses associated with the election to the specific office or for the expenses of holding the office for which the petty cash fund was established.
· Once the funds are spent, payments made from petty cash must be reported as expenditures.
Legal Defense Fund Committees
The Act permits a local candidate or elected officer to establish a legal defense fund if the candidate or officer is subject to civil, criminal or administrative proceedings arising directly out of the conduct of an election campaign, the electoral process, or the performance of the officer's governmental duties. Contributions raised for legal defense must be held in a separate bank account. Any funds raised may only be spent to defray attorney's fees and other related legal costs, as defined in the Act. (See Regulation 18530.45 for additional information.)
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A candidate or officeholder may not use any funds to pay or be reimbursed for a penalty, judgement or settlement related to a claim of sexual assault, sexual abuse or sexual harassment filed against the candidate or officeholder in any civil, criminal or administrative proceeding.
A candidate or officeholder may use legal defense committee funds for other legal costs and expenses related to claims of sexual assault, sexual abuse or sexual harassment, but if the candidate or officeholder is held liable, the candidate or elected officer must reimburse the legal defense fund for all funds used in connection with those other legal costs and expenses.
"Sexual assault" and "sexual abuse" have the same meaning as provided in Penal Code Section 11165.1. "Sexual harassment" has the same meaning as found in Government Code Section 12940(j).
The candidate and the treasurer of the legal defense fund committee are subject to the recordkeeping requirements discussed in this chapter. In addition, separate detailed accounts, records, bills, and receipts, for each legal proceeding, including documentation to support the basis and timing for raising legal defense funds, must be kept.
Recall Elections
An officeholder who is the subject of a recall may use an existing committee (set up for the office he or she currently holds) to receive contributions and make expenditures to oppose the qualification of the recall measure, and if the recall petition qualifies, the recall election.
The officeholder may instead choose to set up a separate committee with a separate bank account. The officeholder and committee treasurer are subject to the recordkeeping requirements discussed in this chapter. See Chapter 11 for additional information about recall elections.
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F. Recordkeeping
An accurate and organized record must be kept of all campaign contributions and expenditures. All individuals who handle contributions and make expenditures must be aware of and practice the recordkeeping procedures required by the Act and FPPC regulations outlined in this manual. While others may be involved, the candidate, treasurer, and principal officer(s) as listed on the committee's Statement of Organization (Form 410), remain legally responsible for the accuracy of the records.
Record Retention
Candidates and committees must keep all records, including original source documentation such as bank statements and other records reflecting account activity, and copies of completed campaign statements, for a period of four years from the date the campaign statement relating to the records was filed.
Records of Contributions Received and Other Receipts
Two types of records are required for receipts: a daily record, showing how much money was received on any given day; and a contributor record, with detailed information on each contributor of $25 or more. The daily record requirement may be met simply with bank statements, copies of checks received, or other documentation that provides the required information listed below.
Date Received
A monetary contribution is received on the date the candidate or committee, or an agent of the candidate or committee, obtains possession or control of the cash, check, or other form of contribution, not the date it is deposited in the bank account. Contributions received by electronic methods such as wire transfer, credit card, or debit account transactions are also received on the date the candidate or committee obtains possession or control of the funds. The following list provides examples:
Ex 2.3 -Sharon Goldstein, a city council member, filed her first campaign statement on January 31, 2019. The records associated with completing that statement, such as receipts and information about contributors, must be retained until January 31, 2023.
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· A contributor makes a contribution over the telephone. The contribution is "received" by the committee on the date the contributor gives his or her debit/credit account information to the committee.
· A contributor makes a contribution via the Internet and the committee reviews the online transaction before the contribution is processed. The contribution is "received" by the committee on the date the committee receives the payment information.
· A contributor makes a contribution via the Internet and the contribution is made by direct deposit without review and before transaction reports are produced. The contribution is "received" by the committee when the committee has possession of the funds.
· A contributor makes a contribution by text message. The contribution is "received" by the committee on the date that the mobile fundraising vendor, acting as agent of the committee, obtains possession or control of the contribution.
· A contributor agrees to make contributions via installment payments by authorizing the committee to periodically charge his or her credit card or withdraw funds from his or her account. The contribution is "received" when the committee, or an agent of the committee, obtains possession or control of the funds for each installment payment. The contribution reported is only the amount of each installment payment when received. Installment payments scheduled to take place in the future, but not yet received, are not reportable.
Receipts Under $25
A daily lump sum total must be kept for contributions received under $25 and miscellaneous receipts under $25.
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Contributor Records
Contributions: $25 to $99.99
For each monetary or nonmonetary contribution or loan of $25 or more, the date received, amount of the contribution, and full name and street address, including zip code, of the contributor must be documented. In addition, the total amount received from the contributor over the course of the current calendar year (the "cumulative amount") must be recorded.
Contributions: $100 or More
If contributions totaling $100 or more are received from an individual, in addition to the information required for contributions of $25 or more as described above, the contributor's occupation and employer must be recorded. If the contributor is self-employed, that fact also must be noted along with the name of his or her business. If a check is received from a business entity, generally the contributor is the business entity, not the person who signs the check.
A contribution of $100 or more must be returned if the contributor's name, street address, and, if the contributor is an individual, his or her occupation and employer are not in the committee's records within 60 days from receipt of the contribution.
Such contributions may be deposited in the committee's bank account pending receipt of the information, in which case they must be reported on the next campaign statement required to be filed (including the Form 497, 24-Hour/10-Day Contribution Report).
The Form 460 must be amended within 70 days from its closing date to disclose the missing contributor information unless the contribution is returned to the contributor. The Form 497 need not be amended. The committee also must note in its records the date the contributor information is received, if that date is different than the date the contribution is received.
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When a contribution cannot be returned to the contributor within 60 days from the date the contribution was received, the contribution amount must be paid to the general fund of the local jurisdiction in which the committee is based. In the case of a Superior Court judge or a judicial candidate, the contribution must be paid to the Secretary of State for deposit in the State General Fund.
If a contribution is returned to the contributor by check and the check is not cashed by the contributor within 90 days, the contribution amount must be paid within 30 days to the general fund of the local jurisdiction or to the Secretary of State for deposit in the State General Fund.
Intermediaries and Earmarked Funds
For contributions of $25 or more made through an intermediary (see Chapter 3), records with the above information for both the intermediary and the contributor are required.
Records must also include the amount of earmarked funds, a notation that the funds have been earmarked, and the specific ballot measure, candidate or committee for which the funds have been earmarked.
A committee making contributions with earmarked funds must maintain documentation showing which earmarked funds were contributed.
Affiliated Entities
Information from affiliated entities (see Chapter 3) that describes the connection of affiliated contributors must be maintained in the records.
Ex 2.4 -Stanley Hughes, a city clerk candidate, received a contribution of $100 from Martha Andersen on June 1. The only information he received was her name and address as listed on her check. On his semi-annual statement covering the reporting period through June 30, he reported receiving $100 from Martha, listed her name and address, and indicated that he would amend his statement when he received her occupation and employer information. By July 31 of that same year, even after notifying Martha, Stanley still did not have her occupation and employer information. The committee must return $100 to Martha.
Nonmonetary Contributions
If the contribution is nonmonetary and valued at $25 or more, a description and the fair market value of the contribution must be recorded. (See "Valuing Nonmonetary Contributions" in Chapter 3.)
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Loans Received
If the contribution is a loan of $25 or more, in addition to the above information for monetary contributions, the following information must be recorded:
· Interest rate of the loan, if any;
· Due date of the loan, if any; and
· Name and street address of any guarantor and the amount guaranteed, if any. The occupation and employer of any individual who guarantees a loan of $100 or more must also be recorded.
If a candidate receives a loan from a commercial lending institution for his or her campaign, the institution is reported as the source of the loan. The candidate does not have to be reported as the guarantor, even if he or she is personally liable.
Documentation for Contributions Received and Other Receipts
The committee must keep copies of all documents reflecting deposits made and all records reflecting campaign bank account balances, such as bank statements, check registers, and passbooks.
The following documents produced or received by the committee also must be kept for receipts of $25 or more: copies of contributor checks; contributor cards; letters of transmittal; notices received from contributors; memoranda or other records that describe the method used to determine the fair market value of donated goods or services (nonmonetary contributions); and loan agreements or other documents that reflect indebtedness.
Documentation for electronic transactions must include information collected when debiting the contributor's account, such as itemized transaction reports (including the credit card confirmation number), debit/credit account transaction records, and credit card receipts, or vouchers. Documentation of contributions received over the Internet must include a record of the transaction created and transmitted by the cardholder including the cardholder's name, street address and the last four digits of the card number.
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For contributions or other receipts of $100 or more, copies of any letters or other communications sent by the committee to obtain the documents listed above must be kept.
Expenditures Made
Expenditures: Under $25 A daily lump sum total of all expenditures of less than $25 must be kept.
Expenditures: $25 or More For expenditures of $25 or more to a single payee, or a series of payments for a single product or service that total $25 or more, the following must be recorded:
· Full name and street address, including zip code, of payee;
· Expenditure amount;
· Date each expenditure was made or, in the case of accrued expenses, the date the goods or services were received; and
· Description of the goods or services received.
Contributions to Other Committees and Independent Expenditures
For expenditures that are contributions or independent expenditures, the amount of the expenditure and the cumulative total paid in that calendar year in connection with the candidate, officeholder, committee, or ballot measure must be recorded.
For all such expenditures of $25 or more, the following information is required:
· Date the contribution or independent expenditure was made;
· Whether the expenditure was an independent expenditure;
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· Name of the officeholder or candidate and the office and district he or she holds or for which he or she seeks nomination or election, or the number or letter of the measure and the jurisdiction in which the measure is to be voted on; and
· Cumulative amount spent on behalf of the candidate, measure, or committee.
Loans Made to Others
The following additional information must be kept for loans made by the committee: interest rate, if any; due date, if any; and full name and street address of anyone guaranteeing the loan or who is liable directly, indirectly, or contingently for the loan. (For restrictions on loans to others. (See Chapter 5.)
Quick
See Chapter 3 for a
Tip
detailed discussion
and examples of when
a contribution is made.
Chapter 6 describes
communications that are
considered independent
expenditures.
Expenditures for Gifts, Meals and Travel
A candidate controlled committee that makes an expenditure of $100 or more for a gift, meal, or travel, must keep a dated memorandum or some other form of dated written record containing a brief description of the political, legislative, or governmental purpose of the expenditure, as well as the information described below:
· Gifts: The date of the expenditure, a description of the gift, and the name of any recipient who received a benefit of $50 or more.
· Meals: The date of the meal, the name of each individual who attended the meal, and whether he or she is a member of the candidate's household or someone who has authority to approve expenditures of campaign funds.
· Travel: The dates of travel, the destination, the name of each individual who traveled, and whether he or she is a member of the candidate's household or someone who has authority to approve expenditures of campaign funds.
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Documentation for Expenditures
All bank and credit card records for expenditures must be kept.
For expenditures of $25 or more, canceled checks, bills, invoices, or statements; receipts; credit card charge slips; vouchers; contracts; loan agreements; and other documents produced or received by the committee reflecting additional obligations also must be kept. Copies of canceled checks may be retained if the copies contain a legible image of the front and back of the canceled check and the copies are obtained from the financial institution.
If no receipt, voucher, or invoice is available, a voucher should be written as soon as possible with the date and amount of the payment, the name of the payee, and a description of the goods or services received. A voucher is not required for payments under $25.
Quick
Expenditures may be
Tip
made electronically
using a bank account,
credit card, debit card, or
electronic payment service
(e.g., PayPal) so long as
detailed records are kept.
G.Mass Mailings, Mass Emails, Telephone Calls, and Notices to Contributors of $5,000 or More
The following must be retained for a period of four years following the date the campaign statement relating to the records is filed:
· Mailers. A copy of any mass mailing sent by the committee (see Chapters 6 and 7).
· Mass Emails. An original sample of each mass email, the date sent and the number of individual emails sent (see Chapter 7).
· Political Calls. A script of the call or a copy of the recorded phone message when the committee coordinates on and pays for 500 or more telephone calls to expressly advocate support for a candidate or ballot measure (see Chapter 6).
· Major Donor Notices. A copy or record of all notifications to contributors of $5,000 or more (see Chapter 3).
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Answering Your Questions
A. May the candidate serve as the committee's treasurer?
Yes. The candidate may serve as the treasurer or assistant treasurer.
B. Are there private firms that provide treasurer or campaign reporting services?
Yes. The FPPC does not endorse or recommend any particular private firm. Candidates may find useful information on the websites of the California Political Attorneys Association and the California Political Treasurers Association.
C. Are there any specific accounting qualifications for someone to be able to serve as treasurer?
No. However, no individual should accept the position as a mere figurehead.
D. What should be done if the treasurer and assistant treasurer, or the candidate, are not able to sign a campaign statement before the deadline?
To ensure that the statement is filed on time, the committee may submit the filing if it is signed by one of the following: the candidate, treasurer, or assistant treasurer. If the candidate's signature is missing, submit an amendment to provide his or her signature as soon as possible. Likewise, if both the treasurer and assistant treasurer are unavailable, submit an amendment to provide the required signature as soon as possible.
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E. I do not intend to raise any funds from others and I will not be spending any personal funds on my campaign other than the payments for the filing fee and ballot statement fee. Do I need to open a campaign bank account?
No.
F. I do not intend to raise any funds from others. I will be spending personal funds on my campaign, but I will not be spending $2,000 or more. Do I need to open a bank account?
No.
G. I do not intend to raise any funds from others. I will, however, be spending $2,000 or more of my personal funds on my campaign, not including the amount I spend on my filing fee. Do I need to open a bank account?
Yes. Since you plan to spend $2,000 or more for your campaign, you must open a campaign bank account.
H. I will be raising money from others for my campaign, but I do not intend to raise or spend $2,000 on my campaign during the calendar year. Do I need to open a bank account?
Yes. Since you are raising funds from others, even though you will not be raising or spending $2,000 or more, you are required to open a campaign bank account. Contributions received and personal funds you will use for your campaign must be deposited in the account.
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I. Are committee records and source documentation required to be kept on paper, or may the committee use an electronic recordkeeping system?
Electronic records are permitted, provided that all of the required information is collected and recorded in a timely and uniform manner that ensures the accuracy and reliability of the information. Committees are responsible for ensuring that electronic records can be read and/or printed for auditing purposes during the applicable retention period.
J. May a private service, such as PayPal, be used to collect contributions electronically?
Yes, so long as for each contribution of $100 or more, (a) the service is able to provide the name of the contributor, and (b) the committee reports all the information needed to meet the statutory recordkeeping requirements, including the name, address, occupation, and employer of individual contributors of $100 or more. Even if the company deducts a fee from the amount of the contribution, the entire amount of the contribution must be disclosed. The fees charged by the private service are reported as expenditures.
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Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Codes Sections
82047.6 84100 84104 84105 84302 84305 84306
84307 84310 84501 85304.5
85700
90000 90001 90002 90003 90007
Principal Officer. Treasurer. Recordkeeping. Notification of Contributors. Contributions by Intermediary of Agent. Requirements for Mass Mailing. Contributions Received by Agents of Candidates or Committees. Commingling with Personal Funds. Identification Requirements for Telephone Calls. Advertisement. Legal Defense Fund; Local Candidates and Elected Officeholders. Donor Information Requirements; Return of Contributions. Responsibility. Mandatory Audits and Investigations. Audits and Investigations; Time. Discretionary Audits. Auditing Guidelines and Standards.
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Title 2 Regulations
18401 18402.1 18421.1 18421.2 18421.3
18421.31 18421.7 18426.1 18427
18427.1 18432.5 18440 18524
18530.45 18570
18994 18995
Required Recordkeeping for Chapters 4 & 5. Principal Officers. Disclosure of the Making and Receipt of Contributions. Street Address. Reporting of Contributions and Expenditures Collected by Contract Vendors or Collecting Agents. Text Message Contributions. Reporting an Expenditure for a Gift, a Meal, or Travel. Assistant Treasurer. Duties of Treasurers and Candidates with Respect to Campaign Statements. Notification to Contributors of Filing Obligations. Intermediary and Earmarked Funds Disclosure. Telephone Advocacy. Investment and Expenditure of Candidates' Campaign Funds. Legal Defense Funds Local Candidates and Officers. Return of Contributions with Insufficient Donor Information. Auditing and Investigations. Standards and Guidelines for Auditing Statements and Reports.
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Contributions
3 chapter
This chapter begins with the definition of "contribution" and provides guidelines necessary for proper reporting, including a discussion on valuing nonmonetary contributions.
The Act does not contain contribution limits for local candidates; however, many cities and counties have adopted campaign ordinances that include contribution limits and other restrictions. Check with your local elections or ethics agency.
Please note that legislation that will go into effect on January 1, 2021, will impose a contribution limit on local candidates in local jurisdictions that have not enacted local limits. Please see AB 571 (2019).
A. What is a Contribution?
A "contribution" is a monetary or nonmonetary payment received by a candidate or committee for which the candidate or committee has not provided full and adequate consideration in return. A contribution may take any of the following forms:
· Money (cash, check, credit card, wire transfers, text contributions).
· Nonmonetary items (donated goods or services, discounts).
· Payments made by a third party for advertising or other communications coordinated with the committee.
· Loans (including loan guarantees, co-signing, and lines of credit).
· Money, nonmonetary items, and loans from the candidate to his or her own committee or from the candidate's family.
· Enforceable promises to make a payment (for example, a contributor promises, in writing, to pay for specific goods or services and, based on that written promise, the committee expends funds or enters into a legally-enforceable contract to purchase the goods or services).
Quick
Contributions of $100
Tip
or more may never be
made or received in cash.
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B. When is a Contribution Received?
A monetary contribution is received on the date the candidate, committee, or an agent of the committee, obtains possession or control of the cash, check, or other item that constitutes the contribution.
When an agent of the committee, such as a campaign consultant, receives a contribution for the committee, the agent must notify the treasurer no later than the closing date of the next campaign statement due. The date of the contribution is the date the agent obtained possession of the contribution.
A nonmonetary contribution is received on the earlier of the following:
· The date funds were expended by the contributor for the goods or services;
· The date the candidate, committee, or an agent of the committee obtained possession or control of the goods or services; or
· The date the candidate or committee received the benefit of the expenditure.
A nonmonetary contribution of employee services is made by the contributor and received by the candidate or committee on the payroll date of the employee. See the discussion later in this chapter for information about how to value a contribution of employee services.
Ex 3.1 - A committee's campaign consultant received a hand-delivered check at a May 14, Friday evening fundraiser. The check was delivered to the committee's treasurer the following Monday, May 17. The contribution was received on May 14, the day the committee's agent obtained possession of the check.
Ex 3.2 - The committee also contracts with a website service to receive contributions over the Internet. The website service sends the committee's treasurer an email each time a contributor logs on to the website service and enters his or her donor information and credit card number. By logging onto the website service, the treasurer can accept the contribution and receive the funds. The committee reports receipt of the contribution on the date it receives the email because it controls the contribution on that date.
An enforceable promise is received on the date the candidate, committee, or an agent of the committee, receives documents verifying that a contributor has made a legally enforceable promise to make a payment. A person makes an "enforceable promise to make a payment" if he or she:
· Guarantees, furnishes security for, endorses or cosigns a loan. · Makes and delivers a post-dated check.
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· Establishes a line of credit at a bank or other commercial lending institution for a candidate or committee.
Exceptions: A pledge card is not considered an enforceable promise to make a payment. "Enforceable promise" also does not include a contributor's agreement to make future installment payments through wire transfer, credit card transaction, debit account transaction, or similar electronic payment.
C. Contribution Exceptions
There are many exceptions to the definition of "contribution." In addition to the most common exceptions listed below, Chapter 6 discusses certain types of communications that are not considered contributions.
Volunteer Personal Services: If an individual donates his or her personal or professional services to a campaign (including a volunteer's travel expenses), no contribution has been made or received as long as there is no understanding of reimbursement.
However, if an employer donates employee services to a campaign, and any employee spends more than 10 percent of his or her compensated time in a calendar month performing campaign activity for one or more campaigns, the employer has made a nonmonetary contribution to the committee. Determine the contribution amount by allocating the gross salary to the time spent on campaign activity. See "Employee Time" later in this chapter for additional information.
Home/Office Fundraisers: If a person, other than a lobbyist (or a cohabitant of a lobbyist) or lobbying firm, holds a fundraiser or other campaign event in his or her home or office, the costs incurred by the occupant of the home or office need not be reported as long as the total cost of the event is $500 or less. However, if someone else donates food, beverages, or anything else of value to the event, the fair market value of those donated goods is a nonmonetary contribution. In addition, the donated goods must be counted to determine whether the total cost of the event is $500 or less.
Quick
For the home/office
Tip
fundraiser contribution
exception to apply, the
total cost of the event must
be $500 or less no matter
how many candidates or
committees benefit from the
event.
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Note: The home/office fundraiser exception does not apply to a state lobbyist or to a cohabitant of a state lobbyist. A registered state lobbyist may not make a contribution to an elected state officer or candidate for elective state office if the lobbyist is registered to lobby the official's agency or the agency for which the candidate is seeking election. A fundraiser held in the home of a lobbyist is considered a contribution; therefore, a lobbyist is prohibited from holding a fundraiser in his or her home for a candidate seeking election to a governmental agency that the lobbyist is registered to lobby. A similar prohibition applies to lobbying firms holding fundraisers at their offices.
Social Media Internet Communications: Uncompensated Internet activity by an individual, such as sending or forwarding electronic messages, social networking, blogging, creating or hosting a website, to support or oppose a candidate or ballot measure is not considered a contribution or expenditure. Certain Internet communications require advertisement disclosures as outlined in Chapter 7.
Member Communications: Payments made by an organization (including a political party, union, trade association) for certain communications that are sent only to the organization's members, employees, or shareholders, or their families, are not contributions to a candidate endorsed in the communications. For example, if a union sends a mailing to only its membership, supporting your campaign, the cost of the mailing is not a reportable contribution.
Gifts: A payment or other benefit to a candidate or official that is made principally for personal purposes (not political purposes) is a gift unless the candidate or official provides payment or services of equal or greater value. Generally, gifts are subject to annual limits and must be disclosed by the candidate or official on a Form 700 (Statement of Economic Interests). For additional information about gifts, see the fact sheet on the FPPC's website entitled, Limitations and Restrictions on Gifts, Honoraria, Travel and Loans.
Payments for Legislative, Governmental, or Charitable Purposes: Behested payments made in connection with a legislative, governmental, or charitable purpose, are not considered to be made for political or personal purposes; therefore, they are not considered
Quick
A state lobbyist may
Tip
not hold a fundraiser
for a local candidate/
officeholder who is seeking
election to a state office.
Ex 3.3 - Your neighbor holds a fundraiser in his home for your campaign. As long as the total cost of the event is $500 or less, your committee is not required to report the cost of the event as a nonmonetary contribution.
Ex 3.4 - A business hosts a campaign fundraiser in its conference room. The business spends $450 for beverages. A separate business entity provides the food valued at $200. Since the total cost of the event now exceeds $500, both businesses have made reportable nonmonetary contributions that must be reported by your committee.
Ex 3.5 - Your friends send emails to their family and friends and post on their personal social networking sites communications supporting your campaign. Since your friends are not being compensated, these activities are not reportable even if you provided your friends with campaign materials.
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contributions or gifts. However, if the payment is made at the behest of an elected official and the payment(s) totals $5,000 or more from a single source in a calendar year, the official is required to file a Form 803 (Behested Payment Report) as described in Chapter 11.
D. Aggregating Contributions
Contributions received from certain combinations of individuals and entities must be added together to determine the total amount that will be treated as received from a single contributor.
The following contributions are aggregated:
· Contributions from an individual's personal funds and contributions made by an entity when the individual directs and controls the entity's contributions.
· Contributions from two or more entities that are directed and controlled by a majority of the same persons.
· Contributions made by entities that are majority owned by any person. Contributions made by the majority owner and all other entities majority owned by that person are aggregated, unless those entities act independently in their decisions to make contributions.
The following examples provide general guidance regarding aggregation of contributions. The FPPC may be contacted for advice related to your specific facts.
Quick
The term "person"
Tip
includes an individual,
proprietorship, firm,
partnership, joint venture,
syndicate, business trust,
company, corporation,
limited liability company,
and association.
Ex 3.6 - Sally Perez contributed $98 from her personal funds and another $98 from the funds of her wholly-owned business, Flowers by Sally Perez, to the Anderson Committee. Because contributions from an individual and his or her business, or from any other account he or she directs and controls, are considered to be from a single contributor, the Anderson Committee must itemize both contributions and report a cumulative amount received from Sally and her business of $196 on its committee campaign statement.
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Ex 3.7 - EXtream Snowboards, Inc., made a contribution of $99 to the Johnson Committee. EXtream Snowboards, Inc., is a wholly-owned subsidiary of LeesureTech Industries, which also made a contribution of $99 to the Johnson Committee. If there was coordination between EXtream Snowboards and LeesureTech Industries, their contributions are considered to be from a single contributor. The Johnson Committee must itemize both contributions and report a cumulative amount received of $198 on its campaign statement.
Ex 3.8 - William Smith is a developer with four separate corporations. William makes political contributions from his personal funds and directs and controls the contributions of each of his corporations. William made a contribution of $1,000 from his personal funds and contributions of $2,000 from the funds of each of his corporations to the committee. Because he directed and controlled all of these contributions, they are considered to have been made by a single contributor. The committee must itemize each contribution and show a cumulative amount received of $9,000.
Ex 3.9 - Southwest TeleCom has a greater than 50 percent ownership interest in American TeleCom. Each entity, entirely on its own and with separate decisionmaking bodies, makes a contribution of $1,000 to a committee. The committee does not aggregate these contributions because Southwest TeleCom and American TeleCom acted independently in their decisions to make the contributions.
E. Reporting the Intermediary of a Contribution
An intermediary is a person or entity that makes a contribution on behalf of another person. For example, an employee who is reimbursed for a contribution by his/her employer is not the true source of the funds, but the intermediary of the employer's contribution.
A committee receiving a contribution of $100 or more from an intermediary must report the true source and the intermediary. The campaign statement will identify both the intermediary's and the true source's name and address, and, if applicable, the occupation and employer.
Failure to disclose the true source of a contribution is considered one of the most serious violations of the Political Reform Act.
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Ex 3.10 - Berry and Vienna each made a $100 contribution from their personal funds to support Tina Baker for city council, with the understanding that they would be reimbursed by their employer. Berry and Vienna must tell the committee that they are acting as intermediaries on behalf of their employer. The committee must itemize the $200 contribution from the employer and also disclose Berry and Vienna as intermediaries.
Ex 3.11 - A business collects ten contributions of $200 each earmarked for a candidate's campaign. The business deposits the contributions and provides the campaign committee one check from the business rather than providing ten individual checks. The committee reports the business as an intermediary and the individuals as the contributors.
Candidates and committees are required to check and, if necessary, correct any information regarding the true source of a contribution that a person of reasonable prudence would question based on all of the surrounding circumstances. If there is reason to question the source of a contribution (e.g., there is reason to believe the information contained on the contribution check does not contain the name of the person who is actually making the contribution), the donor should be asked if he or she is acting as an intermediary for the true source of the contribution.
This manual cannot address all scenarios that may need to be questioned, but it is prudent to question unusually large contributions from sources unfamiliar with the candidate or his/her agents; a series of contributions from a single employer; and, significant contributions from a nonprofit organization or multipurpose organization that is not registered as a political committee on the Secretary of State's website.
F. Reporting Various Types of Contributions
Electronic Receipt of Contributions: Contributions may be received by credit card, wire transfer, via the Internet, cell phone text message, telephone, debit account transaction, or similar electronic payment options. All of the reporting and recordkeeping requirements apply to these contributions. Some tips are:
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· For contributions of $25 or more, the committee treasurer should make sure that a copy of the credit card voucher or other documentation is sent to the committee as soon as practicable after the contributions are made.
· The entire amount charged to the contributor is reported as a contribution.
· Fees associated with this type of fundraising or deducted by the vendor before the contributions are sent to the committee are reported as expenditures. The fees are not deducted from the amount of each contribution reported.
· Contributions made by text message are received on the date the mobile device company receives the funds from the contributor, not the date the text was sent.
Earmarked Contributions
A contribution to a committee that is earmarked for a contribution to any other particular committee, ballot measure, or candidate is required to be disclosed as outlined below.
Ex 3.12 - Your committee holds a golf fundraiser and charges $200 per person. After the event, you determine that it cost your committee $50 per person to pay the caterer, hall rental, entertainment, invitations, etc. The invitations state that half of the ticket cost will be donated to a charity and half will be contributed to your committee. Report on Schedule A of the Form 460 a $100 contribution from each of the ticket purchasers, as well as the contributor's name, address, occupation, and employer. Do not subtract the per person costs from each ticket sold. The expenses will be reported on Schedule E of the Form 460.
A contribution is earmarked if it is made under any of the following circumstances:
· The committee or candidate receiving the contribution solicited the contribution for the purpose of making a contribution to another specifically identified committee, ballot measure, or candidate, requested the contributor to expressly consent to such use, and the contributor consents to such use.
· The contribution was made subject to a condition or agreement with the contributor that all or a portion of the contribution would be used to make a contribution to another specifically identified committee, ballot measure, or candidate.
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· After the contribution was made, the contributor and the committee or candidate receiving the contribution reached a subsequent agreement that all or a portion of the contribution would be used to make a contribution to another specifically identified committee, ballot measure, or candidate.
However, there is an exception for dues, assessments, fees, and similar payments made to a membership organization or its sponsored committee in an amount less than five hundred dollars ($500) per calendar year from a single source for the purpose of making contributions or expenditures. Such funds are not considered to be earmarked by each individual contributor, instead the membership organization is to be reported as the source for these funds.
The committee making an earmarked contribution shall provide the committee receiving the earmarked contribution with the name and address and, if applicable, the occupation and employer of the contributor who earmarked their funds and the amount of the earmarked contribution at the time it makes the contribution. If the committee making the contribution received earmarked contributions that exceed the amount contributed, or received contributions that were not earmarked, the committee making the contribution shall use a reasonable accounting method to determine which contributors to identify, but in no case shall the same contribution be disclosed more than one time to avoid disclosure of additional contributors who earmarked their funds.
Fundraisers: The full amount (face value) of a fundraiser ticket is a reportable contribution, unless it is a joint committee/charity fundraiser advertised with specific attribution. The costs of the event are not subtracted when determining the amount of the contribution.
Auctions and Garage Sales: When items are donated for auction or sale at a fundraiser, the donated item is a nonmonetary contribution. (See below for determining the value.) When someone buys an item, the payment is considered a "Miscellaneous Increase to Cash" and is reported as such. If any person or entity pays $100 or more, the payment is itemized.
Ex 3.13 - A restaurant donates a dinner for four worth $200 to your committee. At your committee's auction, Gloria Sanchez bids $300 and wins the dinner for four. Itemize $200 as a nonmonetary contribution from the restaurant on Schedule C of the Form 460. Itemize Ms. Sanchez on Schedule I of the Form 460 ($200 miscellaneous increase to cash) and on Schedule A of the Form 460 as a contributor of $100 (the amount over the fair market value).
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When someone pays more for an item than it is worth, the amount that is equal to the fair market value is reported as a miscellaneous increase to cash and the amount over the fair market value is reported as a monetary contribution. Each is itemized at $100.
Bar Receipts: Funds received by selling drinks at a fundraiser at fair market value are reported as miscellaneous increases to cash, not contributions.
Raffle Tickets: Receipts from the sale of raffle tickets at a fundraiser are reported as contributions. Items donated for raffle prizes are reported as nonmonetary contributions. (Note that Penal Code section 319 imposes some restrictions on raffles. Contact your county's district attorney for further information.)
Joint Checking Accounts: Individuals (including spouses) may make separate contributions from a joint checking account. For reporting purposes, the full amount of the contribution is reported as coming from the individual who signs the check. If two or more individuals sign the check, the contribution is divided equally between or among the signers, unless there is an accompanying document signed by each individual whose name is printed on the check that clearly indicates a different apportionment.
A check drawn on a joint checking account that is signed by an individual not listed on the check (e.g., an accountant) must be accompanied by a document signed by at least one of the individuals listed on the check stating to whom the check is to be attributed.
Ex 3.14 - Linda and Jerry Nelson have a joint checking account. From this account, Linda signed a $100 check payable to Friends of Joshua Truman. The committee identifies Linda Nelson as the contributor of the full $100.
Business Accounts: Generally, if a check is drawn on the account of a business entity, the contributor is the business entity, not the person who signs the check.
Minor Children: A contribution made by a child under the age of 18 is presumed to be a contribution from his or her parent or guardian.
Text Contributions: For a contribution received by a text message, the contributor is the person who is subscribed to the cell phone number that texted the contribution.
Ex 3.15 - Barbara Taylor was defeated in a June election. In order to use the leftover funds for a future election, she must transfer the remaining funds to a new account within 90 days of the postelection reporting period. If the funds are not transferred by that date, they are considered "surplus funds" and may not be used for a future election.
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Transfers from a Prior Campaign: Candidates who have more than one campaign bank account and controlled committee may transfer funds from one account/committee to another so long as the funds are not "surplus funds."
Leftover funds become surplus upon the 90th day after leaving an elective office, or the 90th day following the end of the postelection reporting period following the defeat of a candidate for elective office, whichever occurs last. See Chapter 8 for information about how to report transferred funds.
Chapter 11 includes a discussion about the rules for using leftover campaign funds for a future election.
Contributions from the Candidate: A payment from a joint checking account that bears the name of the candidate and spouse is considered a contribution from the candidate. This is true even if the spouse signs the check.
A contribution received from a spouse's legally separate funds and signed by the spouse is considered to be made by the spouse and is subject to possible contribution limits and other applicable provisions of the Act.
Quick
There are restrictions
Tip
on transfers of funds
to run for state office. See
FPPC's Information Manual
for State Candidates (Manual
1) for further information.
In addition, candidates and
committees should check
with the local elections
office to determine if there
are local contribution
limits or other restrictions
pursuant to a local campaign
ordinance.
A candidate's business, other than a sole proprietorship, is considered a separate legal entity. Therefore, contributions from the business are not considered to be the candidate's personal funds and may be subject to local contribution limits. Generally, contributions from a candidate's sole proprietorship to the candidate are not considered to be from a separate entity and are therefore not subject to contribution limits, if any. Note: Contributions to another candidate or committee from the candidate and his or her sole proprietorship are aggregated for purposes of contribution limits. (See Burch Advice Letter, No. A-14-032.)
Contributions from Other Candidates: Candidates and committees may receive contributions, subject to contribution limits, if any, from other candidates or officeholders.
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Undesignated Contributions: Candidates who are soliciting contributions for more than one office and receive a contribution that has not been designated for a specific office may deposit the contribution in any of their campaign bank accounts. An undesignated monetary contribution must be reported on the campaign statement for the reporting period in which it is received, and must be deposited in the campaign bank account for the controlled committee to which it is being allocated within 30 days of receipt.
Undesignated nonmonetary contributions must be allocated to a particular committee within 30 days of receipt or by the reporting deadline for the reporting period in which the contribution is received, whichever is earlier.
G. Valuing Nonmonetary Contributions
This section provides assistance in determining how to value nonmonetary contributions so that they may be reported accurately. The varieties of nonmonetary contributions are vast, so it is not possible to present all possibilities. Contact the FPPC for assistance.
Fair Market Value: When a nonmonetary contribution is received, the fair market value of the goods or services (the amount it would cost a member of the public to purchase the goods or services) must be reported. If the committee does not know the fair market value of a nonmonetary contribution (e.g., an original piece of artwork), the committee may send an email or a letter requesting that the contributor provide the value of the contribution in writing. The contributor is legally required to provide an amount if the value of the contribution is $100 or more.
Employee Time: If an employer donates the use of an employee to work on campaign activities for one or more campaigns, the amount the individual is paid is reportable as a nonmonetary contribution from the employer if the employee spends more than 10 percent of his or her compensated time in a calendar month working on campaign activity. To determine the contribution amount, the gross compensation is allocated to the time spent on campaign activity. Compensation includes wages paid and any benefits in lieu of wages,
Ex 3.16 - The owner of an electronics store donates an iPad valued at $550 to your committee for sale at an upcoming auction. Although the cost to the owner is less than $550, the nonmonetary contribution is reported at the fair market value amount of $550 (the amount it would cost a member of the public to purchase the iPad).
Ex 3.17 - An accounting firm provides your committee with the services of an accountant. The accountant spends 25 percent of her time working for the campaign. This percentage of her gross compensation is $2,000. The amount of the nonmonetary contribution reported from the accounting firm is $2,000.
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such as stock options or an annuity purchase. Compensation does not include routine benefits, such as the employer's payments to a health care or retirement plan.
Discounts: If the committee receives a discount on goods or services it purchases and the discount is not offered to the public in the regular course of business, the discount is a nonmonetary contribution that must be reported.
Private Air Transportation: A person who provides a candidate with a flight in a private airplane is making a nonmonetary contribution. The value is determined by using either the commercial rate to the destination, if available, or the charter rate divided by the number of passengers on the flight.
Email Lists: If a list of email addresses is donated, the fair market value must be reported as a nonmonetary contribution.
Corporate Stock: The contribution of corporate stock must be reported and valued as listed on the stock exchange on the date of receipt. When the stock is sold, the total proceeds of the sale are reported on Schedule I as a miscellaneous increase to cash. If the purchaser is unknown, report the brokerage firm as the source with a notation that the payment represents the sale of stock. Broker's fees must be reported on Schedule E.
Ex 3.18 - Your committee treasurer knows the owner of a printing shop and the owner provides your committee a 50 percent discount on the printing of a brochure that normally would cost $1,200. Your committee must report a nonmonetary contribution of $600 from the printing shop.
H. Valuing Mailings, Telephone Banks, Polls
Generally, the fair market value of a communication is reported as a contribution when it expressly advocates support of or opposition to a candidate and was made at the behest of (or in coordination with) the affected candidate or primarily formed committee.
Multiple Candidates/Measures: If a communication expresses support of or opposition to more than one candidate or ballot measure, the fair market value attributable to each may be calculated by prorating the costs among the featured candidates and ballot measures. The prorated value is based on the amount of space allotted to each candidate or measure supported or opposed in the mailer.
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Ex 3.19 - The Express Paper Company agrees to produce a mailing for your committee. The value of the nonmonetary contribution is the amount it would have cost your committee if it had paid fair market value for the mailing, which is likely more than what the actual costs were to the company.
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The value of a mailer that supports or opposes candidates and measures being voted on in different jurisdictions may be prorated based on the number of mailers sent to each candidate or ballot measure's jurisdiction.
Political and Non-Political Material: The cost of a communication containing both express advocacy in support of or opposition to a candidate, as well as non-political material, may be prorated. Costs directly associated with the political message are reportable by the candidate, including, for example, compensation paid to employees who spend more than 10 percent of their compensated time in a calendar month producing or mailing the political materials, and the pro rata cost of paper, envelopes, and postage. The allocation may be based on the comparative number of pages or the comparative amount of weight between the political and non-political materials.
Ex 3.20 - A Chamber of Commerce produces and mails a one-page flyer urging voters to vote for supervisor candidate Smith and vote against two ballot measures. Half of the flyer is devoted to supporting candidate Smith and the other half equally opposes the two measures. The Chamber coordinates the mailing with candidate Smith. The total cost of producing and mailing the flyer was $10,000. Candidate Smith must report a nonmonetary contribution of $5,000 from the Chamber.
Bulk Rate Permits: Use of an organization's bulk rate permit is a nonmonetary contribution from the organization. If the committee pays the actual postage costs incurred under the bulk rate permit, the fair market value of the contribution is either:
· The price the organization paid for the bulk mailing permit; or
· The difference in postage costs between the bulk mailing rate and that of regular mail.
Phone Banks: Businesses and other entities will sometimes allow a committee to use their phones to call prospective voters during non-business hours. The fair market value of the use of the phones is calculated to determine the amount reported as a nonmonetary contribution, even if only local calls are made. One method to determine the fair market value is to contact organizations that provide phone banks as a business. Note: Disclosures are required on certain paid telephone calls. (See Chapter 7.)
Quick If the organization pays Tip
for the costs of the mailing using its bulk rate permit and the committee does not have such a permit, the amount it would have cost to pay for the mailing using regular mail or the cost of the bulk rate mailing plus the cost of a permit should be reported as a nonmonetary contribution.
Polls and Surveys: A person or entity that provides data from a public opinion poll or survey to a candidate or committee is making a nonmonetary contribution if the candidate or committee requests the data or the data are used for political purposes. Standards used by the Federal Election Commission (11 CFR 106.4) may be used for
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valuing polling or survey data. The formula is based on the age of the data. The chart below illustrates the fair market value of data based on the number of days that pass from the date the entity originally received the data to the date the data were provided to the candidate or committee.
Age of Data 0 - 15 days 16 - 60 days 61 - 180 days More than 180 days
Value Full Value 50% 5% No Value
When only a portion of a survey is provided to or for the benefit of a candidate or committee, the nonmonetary contribution is the prorated portion of the total value of the survey.
Ex 3.21 - A local business association commissioned a public opinion poll to determine voters' attitudes about candidates running for Supervisor and candidates running for City Council. The association provided the poll results to a candidate for Supervisor and certain City Council candidates. Since only a limited number of questions pertained to City Council issues, the candidates for Supervisor who received the poll results may prorate the poll costs to determine the nonmonetary contribution amount they must report.
I. Notification to Contributors of $5,000 or More
Committees that receive one or more contributions totaling $5,000 or more in a calendar year from an individual or entity that made the contribution(s) from personal, business, corporate, or general funds must send the contributor written notice that they may have a filing obligation.
Generally, the notice must be mailed, faxed or emailed to the contributor within two weeks of receiving contributions totaling $5,000 or more. But, if a contribution of $10,000 or more is received in the 90 days prior to or on the date of the election, the notice must be mailed, faxed or emailed to the contributor within one week. A copy of each notice or a record of all notices showing the date sent and the name and address of the person receiving the notice must be retained.
The notice does not need to be sent again for subsequent contributions received from the same contributor in the same calendar year. In addition, the notice is not required to be sent if the source of the contribution is a candidate, officeholder, or an existing committee because they already are required to file campaign statements.
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The notice may be tailored as long as it contains language substantially similar to the language below:
Major Donors
If your contribution(s) to this committee and to other California state or local committees total(s) $10,000 or more in a calendar year, California law requires you to file a Major Donor Committee Campaign Statement (Form 461). The deadline and location for filing this statement will depend upon the timing and type of contribution(s) you have made. For additional information, visit www.fppc.ca.gov and review the available campaign materials.
Multipurpose Organizations Including Nonprofits
If your organization is a multipurpose group, it may qualify as a major donor committee required to file Form 461 or as a recipient committee required to file the Form 460 disclosing donors. Refer to Government Code Section 84222 and FPPC Regulation 18422 to determine your filing requirements. For additional information, visit www.fppc.ca.gov and review the available campaign materials.
24-Hour/10-Day Reports
Major donors, nonprofits, and other multipurpose organizations that trigger reporting obligations must also file a 24-Hour/10-Day Contribution Report (Form 497) if they:
Make contributions totaling $1,000 or more to a single candidate, any of the candidate's controlled committees, or to a committee primarily formed to support or oppose a candidate or ballot measure during the 90 days prior to the election, or on the date of the election, in which the candidate or ballot measure is being voted on; or
Make contributions totaling $1,000 or more to state or county political party committees during the 90 days prior to a state election, or on the date of the election, including state special elections.
Quick
Once contributions of
Tip
$10,000 or more are
made, the major donor may
be required to immediately
file Form 497 (24-Hour/10-
Day Contribution Report).
Committees should provide
donors the link to the
appropriate FPPC filing
schedule.
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Electronic Filing
State committees that make contributions of $25,000 or more must file electronically with the Secretary of State. State committees that are required to file the Form 497 (24-Hour/10Day Contribution Report) must file this form electronically even if the $25,000 threshold has not yet been met. For more information on the electronic filing requirements, contact the Secretary of State's office at (916) 653-6224. Local committees should contact the local jurisdiction to determine if there are electronic filing requirements.
Late Filing Penalties and Fines
Failure to file campaign statements may result in late filing penalties of $10/day (state committees may be fined $20/day if they must file electronically and on paper) and fines of up to $5,000 per violation.
FPPC Assistance
For assistance with your filing obligations, contact the Fair Political Practices Commission toll-free at (866) ASK-FPPC, send an email to advice@fppc.ca.gov, or refer to their website: www. fppc.ca.gov.
J. Returning Contributions
There are several provisions in the Act and FPPC regulations that regulate the return of contributions. The general rule is that a committee may return all or part of a contribution to the contributor so long as the return is reasonably related to a political, legislative, or governmental purpose.
General Rules: If a contribution is deposited, cashed or negotiated, it must be disclosed on the next campaign statement, even if it is subsequently returned. If a contribution is not deposited, cashed, or negotiated, it is not required to be reported under the following circumstances:
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· Outside the 90-Day Election Period: A contribution is not required to be reported (by the donor or the committee receiving the funds) if it is not deposited, cashed, or negotiated and it is returned to the contributor before the closing date of the campaign statement on which it would otherwise be reported.
· During the 90-Day Election Period: A contribution of $1,000 or more received during the 90 days before an election, including the date of the election, is not required to be reported (by the donor or the committee receiving the funds) if it is not deposited, cashed, or negotiated and it is returned to the contributor within 24 hours of receipt.
Missing Contributor Information: A contribution of $100 or more must be returned within 60 days of receipt if the committee has not obtained the contributor's name, address, and, in the case of a contributor who is an individual, his or her occupation and employer. If the committee returns the contribution for lack of information, and the check is not cashed by the contributor within 90 days, the committee must, within the next 30 days, forward the amount to the general fund of the local jurisdiction.
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Answering Your Questions
A. Our committee is holding a $200 per person dinner fundraiser. The actual cost of the event to our committee will be $75 per person. When someone pays $200 to attend the dinner, do we subtract the $75 cost to our committee and report receiving a $125 contribution?
No. Report the full amount paid for the fundraiser ticket ($200) as the contribution. The costs to the committee will be reported on Schedule E (Expenditures) of the Form 460.
B. When we send out a fundraising letter, are we required to put our committee identification number on the invitation?
There is no requirement to include the committee identification number, but it is highly recommended. Many campaigns do so because others need the information for their own reporting forms.
C. We would like to hold a raffle at our next fundraiser. Are there any restrictions on raffles?
The Political Reform Act does not restrict raffles; however, Penal Code 319 does prohibit certain raffles. The Penal Code is interpreted and enforced by each county's district attorney. Contact the local district attorney where the raffle will be held for further information. Of course, be sure all of the reporting and recordkeeping requirements are met.
D. If my next door neighbor spends $1,000 on an event to help raise funds for two different candidates and the event is held in her home, has she made a contribution to each committee?
Yes. The total cost of a home fundraiser must be $500 or less or the event will qualify as a nonmonetary contribution. This is true no matter how many committees benefit from the event.
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E. If I hold a fundraiser in my home for my candidacy, and the total cost is $500 or less, would the home/office fundraiser exception apply, meaning nothing would need to be reported on the Form 460?
No. A candidate must deposit any personal funds that will be used to promote his or her election into the campaign bank account. Therefore, any expenditures made for the fundraiser must be reported on your Form 460.
F. May a nonprofit organization hold a joint fundraiser with a political committee?
Yes. However, any costs incurred by the nonprofit organization which are not reimbursed by the political committee would be considered to be a nonmonetary contribution from the nonprofit to the political committee. The nonprofit organization should contact the IRS for any possible restrictions based upon the organization's tax status.
G. Is volunteer work provided by some people considered a nonmonetary contribution because of the volunteer's profession, such as free legal advice provided by a lawyer or bookkeeping done by a CPA?
No. Volunteer personal services, regardless of the profession of the individual, are not reportable so long as the individual providing the services is not paid by a third party.
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H. Three candidates wish to conduct individual polls. A polling firm has offered a reduced rate because all three polls can be combined using one very large sample. Are the candidates receiving contributions from the polling firm because of the discounted fee, and are the candidates making contributions to each other?
To the extent each candidate pays only his or her share of the cost of the poll, the candidates are not making contributions to each other. Additionally, if the polling firm provides the discount as part of its standard business policy of providing discounts in similar situations and does not provide the discount for political purposes, the candidates will not receive a contribution from the polling firm.
I. A committee receives a contribution from a joint checking account signed by one of the individuals. The contribution exceeds local limits. If the committee later receives a document stating that the contribution is from both individuals, may the contribution be reported that way?
No. A document must accompany the contribution at the time the contribution is received in order for the contribution to be reported from both individuals. This is true for contributions made by check or electronic means.
J. If a potential donor takes me out to dinner to discuss my school board campaign and pays for my meal, do I report the meal as a nonmonetary contribution?
No. Because there is a personal benefit to you, the payment for the meal would be considered a gift to you, not a contribution.
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Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
82004.5 82015.5 82018 82025 82025.5 82036 82041.3 82047 84105 84211 84216 84300 84302 84306
85308 85312 85700
85704
Behested Payment.82015 Contribution. Contribution; Aggregation. Cumulative Amount. Expenditure. Fair Market Value. Late Contribution. Made at the Behest of. Person. Notification of Contributors. Contents of Campaign Statement. Loans. Cash and In-Kind Contributions; Cash Expenditures. Contributions by Intermediary or Agent. Contributions Received by Agents of Candidates and Committees. Family Contributions. Communications to Members of an Organization. Donor Information Requirements; Return of Contributions. Prohibition on Earmarking.
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Title 2 Regulations
18215 18215.2
18216 18421.1 18421.3
18421.31 18423
18427.1 18428
18430 18432.5 18523 18531.7 18533
Contribution. Uncompensated Internet Activity by Individuals that is not a Contribution or Expenditure. Enforceable Promise to Make a Payment. Disclosure of the Making and Receipt of Contributions. Reporting of Contributions and Expenditures Collected by Contract Vendors or Collecting Agents. Text Message Contributions. Payments for Personal Services as Contributions and Expenditures. Notification to Contributors of Filing Obligations. Reporting of Contributions and Independent Expenditures Required to be Aggregated. Committee Controlled by More Than One Candidate. Intermediary and Earmarked Funds Disclosure. Nondesignated Contributions or Loans. Payments for Communications Section 85312. Contributions from Joint Checking Accounts.
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Contribution Restrictions
4 chapter
Although the Political Reform Act (Act) is primarily a disclosure law, there are several important restrictions and prohibitions on receiving contributions. This chapter reviews these restrictions and prohibitions, as well as some that are contained in laws other than the Act.
In addition, while the receipt of campaign contributions generally will not create a conflict of interest for an elected officeholder in the performance of his or her duties, contributions may be the source of a conflict of interest for officeholders or candidates who are also appointed to certain boards or commissions. The section on "Disqualification and Campaign Contributions" covers this area of the law.
A. Local Contribution Limits
The Act does not contain contribution limits for local candidates, but provides that cities and counties may adopt contribution limits applicable to their elections. Many California cities and counties have adopted campaign ordinances that include contribution limits and other disclosure provisions.
Please note that legislation that will go into effect on January 1, 2021 will impose a contribution limit on local candidates in local jurisdictions that have not enacted local limits. Please see AB 571 (2019).
Quick
Check with your local
Tip
elections office to
determine if local campaign
finance rules apply to your
campaign.
The FPPC's website lists cities and counties with local campaign finance rules and links to the ordinances. For questions about local contribution limits, candidates and committees should contact their city clerk, county elections office, or their City Attorney's or County Counsel's office.
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B. Restrictions under the Political Reform Act
Reporting the True Donor
If a contribution of $100 or more is received from a single source in a calendar year, the source must be identified on the committee's Form 460. If a contribution is received through an intermediary, both the intermediary and the true source of the contribution must be identified. (See Chapter 3 for additional information about intermediaries.)
Failure to disclose the true source of a contribution is often referred to as campaign money laundering, which is a serious violation of the Act. One type of common violation is when an employer reimburses individual employees for contributions so that the committee receiving the contributions discloses the employees rather than the true source of the contribution (the employer) on campaign disclosure reports.
Another occurrence is when a person (organization, business, individual) makes a contribution to another person with the condition, agreement or understanding that the payment will be subsequently used for political purposes, such as a contribution to another committee. It is a violation for persons to conceal their identities by contributing through another person.
Committee treasurers must inquire about any information that a person of reasonable prudence would question based on all available information. It is not possible to describe every situation that might trigger a duty for a treasurer to inquire if a contribution is identified correctly. Some examples are the size of the contribution, the reported source, and the likelihood of that source making a contribution of the size reported.
If it is discovered that a committee received a contribution and the donor and intermediary were not properly identified, the contribution must be paid to the Secretary of State for deposit in the State General Fund. When the action is brought under a local campaign ordinance, a local committee may pay the contribution to the local jurisdiction for deposit in its general fund.
Ex 4.1 - A committee receives contributions of $1,000 each from ten different individuals in the same week. The committee treasurer and campaign fundraiser did not make specific solicitations to the individuals. Upon the treasurer's request, the individuals state that they all work for the same employer. The committee treasurer has a duty to inquire to determine if the employer reimbursed the employees.
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Cash Contributions
The committee may not accept a cash contribution of $100 or more. Such a contribution will not be deemed "received" if it is not deposited or spent and is returned to the contributor prior to the end of the reporting period of the campaign statement on which the contribution would otherwise be reported. Even if the contribution is inadvertently deposited, it is not deemed "received" if it is refunded within 72 hours of receipt. However, a cash contribution of $1,000 or more that is received in the 90 days before the election, including the date of the election, that is inadvertently deposited must be refunded within 48 hours in order to not be deemed "received."
Anonymous Contributions
Anonymous contributions of $100 or more are prohibited. If a committee receives a cash contribution of $100 or more from an unknown source, it must be sent to the Secretary of State for deposit in the State General Fund.
Quick
Even if change is
Tip
immediately provided,
a committee may not accept
$100 or more in cash from a
single source. For example,
if the committee is holding a
fundraiser and charging $50
per person, an attendee may
not pay with a $100 bill. The
payment must be made by
personal check, debit card,
or credit card.
Contributions Made by Money Orders/Cashier's Checks/ Traveler's Cheques
Contributions of $100 or more made by money order, cashier's check, or traveler's cheque are prohibited and must be returned to the contributor, or, if made anonymously, sent to the Secretary of State for deposit in the State General Fund.
All monetary contributions of $100 or more must be made by written instrument (such as a check) containing the name of the donor and drawn from the account of the donor or the intermediary. Contributions may also be received by credit card (including over the Internet), wire transfer, or other electronic means. (See Chapter 3.)
Contributor's Legal Name
Contributions must be made in the name by which the contributor is identified for legal purposes.
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Commingling Funds
Campaign funds may not be commingled with any individual's personal funds; they must be kept in an account separate from any account that contains personal funds. In general, campaign funds may not be used for personal expenses. (See Chapter 5 for information about the use of campaign funds.)
Quick
Campaign
Tip
contributions must be
kept separate from personal
funds and may not be used
for personal expenses.
Contributions Delivered in State Office Buildings
A contribution may not be delivered to or received by another person, personally or through an agent, in the State Capitol or any other state office building for which the State of California pays the majority of the rent. "Personally delivered" includes the delivery of a copy or facsimile of a contribution, and the original or a copy of a contribution transmittal letter. This prohibition does not apply to contributions received or delivered in a legislative district office or those sent by postal mail.
Contributions from State Lobbyists
A state lobbyist may not make a contribution to an elected state officer or a candidate for elective state office if the lobbyist is registered to lobby the governmental agency of the elected officer or the agency to which the candidate is seeking election. The lobbyist also may not contribute to a local committee controlled by a state officer or candidate for elective state office.
State Lobbyist and Lobbying Firm Fundraisers
A fundraiser held in the home of a state lobbyist is considered a contribution; therefore, a lobbyist or a cohabitant of a lobbyist is prohibited from holding a fundraiser in his or her home for a candidate seeking election to a governmental agency that the lobbyist is registered to lobby. This includes a local candidate/officeholder that is seeking election to a state office. A similar prohibition applies to lobbying firms holding fundraisers at their offices.
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Federal Law Prohibitions: Contributions from Foreign Nationals (including Foreign Principals and Foreign Governments)
Committees may not solicit or accept contributions from foreign nationals. Federal law prohibits contributions and expenditures solicited, directed, received or made directly or indirectly by or from foreign nationals in connection with any election -- federal, state or local. This prohibition includes contributions made to political committees. Furthermore, it is a violation of federal law to knowingly provide substantial assistance in the making, acceptance or receipt of contributions or in connection with federal and nonfederal elections to a political committee. This prohibition includes, but is not limited to, acting as an intermediary for foreign national contributions. (52 USCS Section 30121).) Contact the Federal Election Commission for information at (800) 424-9530 or info@fec.gov.
Federal Law Prohibitions: Contributions from National Banks or Federally-Chartered Corporations
National banks and federally-chartered corporations are subject to federal law prohibiting particular contributions and expenditures in connection with local, state, or federal elections. (The Federal Election Campaign Act, 52 USCS Section 30101, et seq. and specifically Section 30118; and see 11 C.F. R. Section 114.2.) Contact the Federal Election Commission for information at (800) 424-9530 or info@fec. gov.
Soliciting Contributions from Public Employees
Government Code Section 3205 prohibits a local candidate from knowingly, directly or indirectly, soliciting a political contribution from any employees of his or her agency or from a person on an employment list of that agency. There is an exception for solicitations that are made to a significant segment of the public. For further information, contact the Attorney General's office at (800) 952-5225 or the local district attorney.
Cryptocurrency
No contribution may be made or received in cryptocurrency.
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C. Public Funds and Public Resources
Under Government Code Section 85300, the use of public moneys for the purpose of seeking elective office is prohibited unless:
· The governmental entity establishes a dedicated fund for this purpose by statute, ordinance, resolution, or charter; and
Using public resources for campaign purposes is prohibited.
Quick Tip
· Public moneys held in the fund are available to all qualified, voluntarily participating candidates for the same office without regard to incumbency or political party preference; and
· The state or local governmental entity has established criteria for determining a candidate's qualification by statute, ordinance, resolution, or charter.
Please note that at the time of this publication, recently enacted provisions of Section 85300 are currently the subject of a court challenge. (See Howard Jarvis Taxpayers Assn. v. Brown, Super. Ct. Sacramento County, 2016, No. 34-2016-80002512.)
In addition, laws outside the Act prohibit the use of public resources, such as office equipment, staff time, etc., for campaign or personal purposes. (Education Code Section 7054; Gov. Code Section 8314; Penal Code Section 426; and Vargas v. City of Salinas (2009) 46 Cal 4th 1.)
Government Code Section 54964 prohibits an officer, employee or consultant of a local agency from expending or authorizing the expenditure of any local agency funds to support or oppose a candidate or ballot measure. For further information about laws outside the Act, contact the Attorney General's office at (800) 952-5225 or the local district attorney.
Ex 4.2 - Three city councilmembers and two county supervisors serve on the Local Agency Formation Commission (LAFCO). Since the councilmembers and supervisors were appointed to the commission, they may not vote on a LAFCO issue if they have received a contribution in the last 12 months of more than $250 from someone who is a party, participant, or agent in the proceeding.
D. Campaign Contributions and Disqualification
Generally, campaign contributions received in connection with an elective office do not serve as the basis for disqualifying an official from voting on a matter affecting the contributor. However, if an elected official or candidate also holds a position on an appointed
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board or commission, he or she may be restricted from soliciting or receiving campaign contributions from persons with business before the board or commission. He or she may be subject to Government Code Section 84308 which:
· Prohibits an officer from soliciting, accepting, or directing campaign contributions of more than $250 from any party, participant, or agent of a party or participant, while a proceeding involving a license, permit, or other entitlement for use is pending before the officer's agency and for three months following the date of that decision. This prohibition applies even when the contribution is for another candidate.
Ex 4.3 - A planning commissioner serves as the treasurer for a councilmember's campaign. The planning commissioner may not solicit, accept, or direct a campaign contribution of more than $250 for the councilmember's campaign from a party, participant, or agent whose proceeding is pending before the planning commission.
· Requires disclosure of all such campaign contributions and also requires an official's disqualification from making decisions in certain proceedings in which the official is acting in an appointed position if the official has received more than $250 in campaign contributions from a party or participant within 12 months preceding the decision.
Who is Covered?
Generally, appointed board members, commissioners, or individuals who head state or local government agencies and who make decisions in proceedings involving licenses, permits, or other entitlements for use are subject to Section 84308. Common positions include:
· Planning Commissioners
· Local Agency Formation Commission (LAFCO) members
· Members of redevelopment agencies which are not entirely comprised of elected members of the same agency
· Transportation Authority members
· Air Quality Management District members
Ex 4.4 - Sarah is a city council candidate. She also is an appointed member of the city's planning commission. Christopher has a permit request pending before the planning commission. Under Section 84308, Sarah is prohibited from soliciting or receiving any contribution of more than $250 from Christopher or Christopher's agent.
Ex 4.5 - Sarah wins the election and resigns her position on the planning commission. Since she is now serving solely in an elected position, she is not required to disqualify herself from making decisions on the city council by virtue of receiving contributions of more than $250 from any person.
· Waste Management Authority members
· California Coastal Commissioners
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Exempted Agencies
Section 84308 does not apply to the following agencies:
· Judicial branch
· Legislature
· Board of Equalization (Gov. Code Section 15626 applies)
· Constitutional officers
· Local agencies whose members are elected by the voters (e.g., board of supervisors, city council, or school board)
· Committees of an agency that are comprised solely of elected members of the same agency (e.g., city councilmembers who serve on the city's budget and finance committee)
· Elected members of an agency, all of whom also serve as the governing body of another agency (i.e., city councilmembers who also serve on the city's redevelopment agency board)
In determining whether a board or commission is exempt for purposes of Section 84308, the focus should be on the actual make-up of the board or commission. For example, the governing board of a sanitation district may consist of both elected and appointed members, but which, in fact, consists solely of the board of supervisors, is exempt under Section 84308.
Fair Political Practices Commission advice@fppc.ca.gov
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Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
82015 84300 84301 84302 84304 84307 84308 84309
85700 85701 85702 85704
Contribution. Cash and In-Kind Contributions; Cash Expenditures. Contributions Made Under Legal Name. Contributions by Intermediary or Agent. Anonymous Contributions. Commingling with Personal Funds. Contributions to Officers; Disqualification. Transmittal of Campaign Contributions in State Office Buildings. Donor Information Requirements; Return of Contributions. Laundered Contributions. Contributions from Lobbyists. Prohibition on Earmarking.
Title 2 Regulations and Opinion
18215 18215.4 18432.5 18438.1
18438.5
18438.6
18438.7
18438.8 18439 18572
Contribution. Cryptocurrency Contributions. Intermediary and Earmarked Funds Disclosure. Officers and Agencies Under Government Code Section 84308. Aggregated Contributions Under Government Code Section 84308. Solicitation, Direction, and Receipt of Contributions Under Government Code Section 84308. Prohibitions and Disqualification Under Government Code Section 84308. Disclosure Under Government Code Section 84308. Definition of "Personally Deliver." Lobbyist Contributions Making a Contribution Defined.
Pelham Opinion (2001) 15 FPPC Ops. 1
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Use of Campaign Funds
5 chapter
The use of campaign funds by candidates, elected officials, and others who control the expenditure of campaign funds, is strictly regulated. The expenditure of campaign funds must be reasonably related to a political, legislative, or governmental purpose.
If an expenditure confers a substantial personal benefit on the candidate, officeholder, or any individual authorized to approve campaign expenditures, the expenditure must be directly related to a political, legislative, or governmental purpose. A substantial personal benefit means an expenditure of campaign funds which results in a direct personal benefit with a value of more than $200.
The following are examples of specific expenditures and the rules regarding the use of campaign funds for such purposes. If the examples are not helpful, contact the FPPC for assistance about whether or not a specific use of campaign funds is permissible by sending an email with specific facts to advice@fppc.ca.gov.
A. Campaign Expenditures
Quick
Campaign funds
Tip
must be used for
political, legislative, or
governmental purposes. The
FPPC has fined committees
for payments made from
a campaign account that
were used for the following
personal purposes: auto
care services, doctor visits,
clothing, and personal life
insurance premiums.
Election Night Celebrations
Costs associated with election night celebrations or similar campaign events are considered to be directly related to a political, legislative, or governmental purpose; therefore, campaign funds may be used.
Attorneys' Fees
Generally, attorneys' fees and other costs related to administrative, civil, or criminal litigation may only be paid with campaign funds if the litigation is directly related to activities of the committee that are consistent with its primary objectives. Campaign funds may be used to pay for expenses related to the following:
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· Action to halt defamation;
· Defense of an action to halt defamation;
· Defense of an action for violation of state or local campaign, disclosure, or election laws;
· Litigation to secure a place on the ballot or challenge the wording of the ballot pamphlet;
· Contested election;
· Election recount; and
· Compliance expenses (for example, completing campaign disclosure reports).
Reimbursements
If a bank account is required (see Chapter 1), the candidate must deposit personal funds in the campaign bank account and make expenditures from that account instead of spending personal funds for the campaign and later seeking reimbursement from campaign funds. However, any other individual (e.g., a volunteer or campaign worker) may make expenses from personal funds and be reimbursed, so long as the expenses are incurred for political, legislative, or governmental purposes and repayment is made within 45 days. An officeholder may use personal funds and be reimbursed for "officeholder" expenses. (See Chapter 8 for specific reporting rules and deadlines for reimbursements.)
Ex 5.1 - The candidate's spouse buys bagels for the morning shift of volunteer workers. After providing the treasurer with a receipt for bagels, the treasurer may reimburse the spouse for his expenses so long as the reimbursement is made within 45 days of the payment.
Automobile Lease or Purchase
When making payments associated with leasing, purchasing, or operating a vehicle, such as insurance, maintenance, and repairs, the campaign committee must be the lessee or hold title to the vehicle. Additional titleholders may not be the candidate, officeholder, treasurer, or any other person who may approve campaign expenditures, or a member of any such person's immediate family (spouse or registered domestic partner and dependent children). Additional lessees may not be the candidate, officeholder, treasurer, or a member of any of these persons' immediate family.
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Reimbursed Automobile Expenses
Campaign funds may be used to reimburse an officeholder, candidate, immediate family member, treasurer, and committee staff for use of a personal vehicle if the use is directly related to a political, legislative, or governmental purpose. Documentation should be kept which includes the trip's purpose and mileage in a manner approved by the Internal Revenue Service for deducting mileage expenses. The rate for reimbursement may not exceed that allowed under Internal Revenue Code Section 162. For more details, the Internal Revenue Service may be contacted at (800) 829-1040 (www.irs.gov).
Childcare Expenses
Campaign funds may be used to pay or reimburse a candidate for a dependent child's reasonable and necessary childcare expenses resulting directly from engaging in campaign activities. An officeholder may use campaign funds for childcare expenses resulting from directly engaging in campaign activity including that which is both political and legislative or governmental. Under the Act, "directly" means that the candidate would not have otherwise incurred the childcare expenses if not for the candidate engaging in campaign activities.
Under the Act, "childcare expenses" include the reasonable costs of:
· Professional daycare services
· Babysitting
· Nannying services
· Food and beverages
· Transportation to and from the location of a childcare services provider
· Before and after school programs
· Summer day camps
· Preschool
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· Costs related to a nurse, home care provider, or other care provider for a disabled dependent child
Prohibited uses of campaign funds for childcare expenses include:
· Private school tuition
· Medical expenses
· Tutoring services
· Payments to a relative within the third degree of consanguinity, unless the relative owns or operates a professional daycare or babysitting service for which the cost is no greater than the relative would otherwise charge.
Clothing
The purchase of clothing is a personal expense. The committee may not use campaign funds to pay for a candidate's business or casual clothing. Specialty clothing, such as formal wear worn by an officeholder or candidate, may be purchased with campaign funds if the use of such clothing is directly related to a political, legislative, or governmental purpose.
Contributions to Other Candidates and Committees
Candidates may make contributions to other candidates and committees unless prohibited by local rules. Contributions to certain state committees are subject to limitations.
Donations
Campaign funds may be used to make donations or loans to bona fide charitable, educational, civic, religious, or similar tax-exempt, nonprofit organizations as long as the donation or loan is reasonably related to a political, legislative, or governmental purpose. In addition, the donation may not personally benefit the officeholder, candidate, committee treasurer, or any individual with authority to approve the expenditure of campaign funds, or any such person's immediate family member (spouse or registered domestic partner and dependent children).
Ex 5.2 - A candidate has been asked to attend a formal event honoring the mayor. Since he does not own a tuxedo, he may rent one with campaign funds since the event is directly related to a political purpose.
Ex 5.3 - A fundraiser will be held to raise funds for a veteran's memorial at the local civic center. The committee is permitted to donate campaign funds because the payment has a political, legislative, or governmental purpose.
Ex 5.4 - Your committee would like donate funds to a homeless shelter where your spouse is a salaried employee. It is determined that a substantial part of the proceeds would benefit your spouse; therefore, this expenditure is not permissible.
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Equipment and Appliances
Campaign funds may be used to buy, lease, or refurbish equipment or appliances, but only if their use is directly related to a political, legislative, or governmental purpose. As with restrictions on vehicles, the committee must hold title, or be the lessee, on the equipment; no individual may be listed as owner or lessee.
Fines, Penalties, Judgments, and Settlements
Generally, campaign funds may be used to pay the following fines, penalties, judgments, and settlements:
· Parking citations received while performing political, legislative, or governmental activities
· Fines assessed in relation to situations in which the use of campaign funds to pay for an attorney is allowed (discussed above)
· Fines imposed for late filing of campaign statements and Statements of Economic Interests (Form 700)
Ex 5.5 - When the printer breaks down, the treasurer goes out and buys a new one. While shopping, the treasurer finds a great buy on a big screen TV. While the printer is a permissible expense, since it will be used to communicate with the voters, the television does not serve a directly-related political, legislative, or governmental purpose and, therefore, may not be paid for with campaign funds.
Ex 5.6 - Your treasurer was two days late in filing the committee's first preelection statement and the filing officer fined the committee $20. The committee may pay the fine with campaign funds.
But campaign funds of any amount may not be used to pay a fine, penalty, judgment, or settlement relating to an improper use of campaign funds or an action involving bribery under Penal Code Section 86.
A candidate or officeholder may not use any funds to pay or be reimbursed for a penalty, judgement or settlement related to a claim of sexual assault, sexual abuse or sexual harassment filed against the candidate or officeholder in any civil, criminal or administrative proceeding.
A candidate or officeholder may use legal defense committee funds for other legal costs and expenses related to claims of sexual assault, sexual abuse or sexual harassment, but if the candidate or officeholder is held liable, the candidate or elected officer must reimburse the legal defense fund for all funds used in connection with those other legal costs and expenses.
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"Sexual assault" and "sexual abuse" have the same meaning as provided in Penal Code Section 11165.1. "Sexual Harassment" has the same meaning as found in Government Code Section 12940(j).
Food
A committee may use campaign funds to purchase a meal with a cost of $200 or less, so long as the expenditure is reasonably related to a political, legislative, or governmental purpose. However, if the aggregate cost of the meal is more than $200, the expense must be directly related to one of these purposes. When a candidate controlled committee reports itemized expenditures for gifts, meals, or travel, specific details must be included as described in Chapter 8.
Ex 5.7 - An officeholder attends a dinner sponsored by the police department to honor a local good Samaritan. Since the expenditure is directly related to a governmental purpose, the campaign may pay for her attendance even if the total cost is more than $200.
Future Election
Campaign funds leftover after an election may be redesignated for a future election to seek the same office so long as the funds are not "surplus funds." In addition, campaign funds leftover after an election may be transferred to a new bank account for a future election to seek a different office so long as the funds are not "surplus funds." There is a discussion on when leftover funds become "surplus funds" at the end of this chapter. See Chapter 11 for the other requirements that must be met in order to use the funds for election to a future office.
Gifts
Unless directly related to a political, legislative, or governmental purpose, personal gifts may not be paid for with campaign funds. However, gifts of less than $250 in a calendar year to campaign employees or workers are permitted because they are considered to be directly related to a political, legislative, or governmental purpose. When a candidate controlled committee reports itemized expenditures for gifts, meals, or travel, specific details must be included as described in Chapter 8.
Fair Political Practices Commission advice@fppc.ca.gov
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Health-Related Expenses
A committee may use campaign funds to pay for health care benefits for its employees or independent contractors. However, campaign funds may not be used to pay for other health-related expenses such as health club dues, special dietary foods, or medical check-ups.
Independent Expenditures
Government Code Section 85501 states that a candidate controlled committee may not make independent expenditures and may not contribute funds to another committee for the purpose of making independent expenditures to support or oppose other candidates.
However, a recent Sacramento County Superior Court decision in Charles R. "Chuck" Reed v. Fair Political Practices Commission found Section 85501 unconstitutional and enjoined the Commission from enforcing that provision.
Before making an independent expenditure to support or oppose another candidate, committees should seek advice from the FPPC. An advice letter (Downing, No. A-14-148) has been issued on the matter.
A candidate controlled committee for elective office may make independent expenditures to support or oppose a ballot measure.
Loans
Campaign funds may be used to make loans to other political committees, subject to applicable limits, if any. Transfers from a local candidate's committee to his or her state committee must be attributed to the original contributors. See Campaign Disclosure Manual 1 for State Candidates for more information on transfers and attribution.
Campaign funds may also be used to make loans to bona fide charitable, educational, civic, religious, or similar tax-exempt, nonprofit organizations, so long as the loan does not personally benefit the officeholder, candidate, committee treasurer, or any individual with authority to approve the expenditure of campaign funds, or any such person's immediate family member. The loan must be reasonably related to a political, legislative, or governmental purpose. Campaign
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funds may not be loaned to an individual or to an entity other than those described above.
Professional Services
When the committee reasonably requires the services of professionals, such as accountants or attorneys, their fees may be paid with campaign funds as these expenditures are considered to be directly related to a political, legislative, or governmental purpose. (See below for restrictions on salary and compensation.)
Real Property
The committee may not purchase real property. It may, however, lease property for up to one year, so long as its use is directly related to a political, legislative, or governmental purpose. The candidate, officeholder, committee treasurer, any individual with authority to approve the committee's expenditures, or an immediate family member of any of these persons may not be a lessee or sublessor, or hold legal title to the leased property.
Refunding Contributions The return of contributions to contributors is permitted.
Returning Contributions Lacking Contributor Information
When a contribution of $100 or more is received in a calendar year from a single contributor, the committee must disclose the contributor's name and address, and, if the contributor is an individual, his or her occupation and employer. If the committee does not have this information in its records within 60 days of receipt of the contribution, it must be returned to the contributor. (See Chapter 2.)
Salary and Compensation
The candidate or officeholder, or any individual authorized to approve the committee's expenditures, may not receive a salary or other compensation from the committee for the performance of political, legislative, or governmental activities. The committee may pay for
Ex 5.8 - Paula Greene, a member of Supervisor Howard's staff, is also the treasurer of the Supervisor's campaign committee. Ms. Greene does all recordkeeping for the committee and completes the committee's campaign reports. She also has authority to approve committee expenditures. Campaign funds may be used to pay Ms. Greene for services she provides as committee treasurer. Funds may not be used to supplement or pay her government salary.
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professional services such as an accountant, however, even if the accountant has authority to sign committee checks.
A spouse or domestic partner of an elected officer or a candidate for elective office may not receive, in exchange for any services rendered, compensation from campaign funds held by a controlled committee of the officer or candidate.
Security Systems
A candidate may use campaign funds to purchase an electronic security system. To do so, the candidate must have received threats to his or her physical safety because of his or her status as a candidate or elected official and the incidents must be verified by an appropriate law enforcement agency. No more than $5,000 may be spent and a report to the FPPC is required.
Effective January 1, 2020, campaign funds may be used to pay for, or reimburse the state for, the installation and monitoring of hardware, software, and services related to the cybersecurity of the electronic devices of a candidate, elected officer, or campaign worker. Any expenditure of campaign funds for these purposes must be reported on the candidate or elected officer's campaign statements.
Tickets for Entertainment and Sporting Events
Campaign funds may not be used to purchase entertainment and sporting event tickets for use by the candidate or officeholder, or staff of the committee, unless attendance at the event is directly related to a political, legislative, or governmental purpose.
Tickets to Political Fundraisers
A committee may purchase tickets to political fundraisers (subject to any applicable contribution limits) for the candidate, officeholder, or his or her immediate family, or an officer, director, employee, or staff of the committee or the officeholder's governmental agency.
Ex 5.9 - Candidates for the office of mayor have been offered the chance to speak during half-time at the local college football game. Campaign funds may be used to purchase tickets for the candidates and committee staff to attend, but only because they will be speaking.
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Travel
A committee may use campaign funds to pay for travel or accommodations for the candidate or officeholder, any individual with authority to approve the committee's expenditures, or staff of the committee so long as the standards set by Internal Revenue Code Sections 162 and 274 (deduction of travel expenses for tax purposes) are complied with. Contact the Internal Revenue Service at (800) 829-1040 for more information. When a candidate controlled committee reports itemized expenditures for gifts, meals, or travel, specific details must be included as described in Chapter 8.
Airline Mileage Programs
Some airlines have mileage programs that allow individuals to earn free tickets or other awards. These mileage credits and awards belong to the individual traveler, not the committee. The committee is not required to report either the receipt of the mileage credit awards or the redemption of the credits.
B. Surplus Funds
There are restrictions on how campaign funds held by an elected officeholder or candidate may be spent once the funds become "surplus." Surplus funds may not be used for a future election. See Chapter 11 for information about all requirements that must be met in order to use leftover campaign funds for a future election before the funds become surplus.
Campaign funds held by an officeholder become surplus on the 90th day after the officeholder leaves the office for which the funds were raised, or on the 90th day after the end of the postelection reporting period following his or her defeat, whichever occurs last. Campaign funds held by a non-incumbent defeated candidate or a candidate that withdrew become surplus on the 90th day after the postelection reporting period following the election. The end of the postelection reporting period is June 30 for elections held during the first six months of the calendar year and December 31 for elections held during the last six months of the calendar year.
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Surplus funds may only be used to make the following expenditures:
· Payments for outstanding campaign debts or officeholder expenses.
· Refunds to contributors.
· Donations to a bona fide charitable, educational, civic, religious, or similar tax-exempt, nonprofit organization, provided no substantial part of the proceeds will have a material financial effect on the candidate, on any member of the candidate's immediate family (spouse or registered domestic partner and children), or the campaign treasurer.
· Contributions to a political party committee, so long as the funds are not used to make contributions in support of or opposition to a candidate for elective office. (For example, funds earmarked for overhead expenses.)
· Contributions to support or oppose any candidate for federal office, any candidate for elective office in a state other than California, or any ballot measure.
· Payments for professional services or attorneys' fees for litigation that arises out of campaign or election activities.
· Payment for an electronic security system. Contact the FPPC for information about specific requirements that must be met.
Answering Your Questions
A. Are there private firms that provide treasurer or campaign reporting services?
Yes. The FPPC does not endorse or recommend any particular private firm. Candidates may find useful information on the websites of the California Political Attorneys Association and the California Political Treasurers Association.
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B. I am a candidate for a local office. It appears that I won't have any problem winning my seat. I would like to return some of my contributions to my contributors. May I do this?
At any time during the campaign, you may return all or part of a contribution to your contributors.
C. I am a candidate. I make long-distance phone calls on my home phone to request support from organizations statewide. How may I pay for them?
When the bill arrives and there are additional charges that can be directly attributed to the campaign activity, the committee should pay for that portion. If the personal charges are not changed by the campaign activity, there is no reporting required.
D. May I use campaign funds to pay a babysitter for the evenings that I am out campaigning?
Yes. Candidates may use campaign funds to pay for babysitting services for events that are directly related to campaign activity because the candidate would not have otherwise incurred childcare expenses if the candidate did not engage in the campaign activity.
E. As a candidate, I will be using my personal car to get around during the campaign. Is mileage considered a reportable contribution if I do not want to be reimbursed?
No. Incidental use of your personal car for campaign purposes is not considered a contribution and is not reportable.
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F. May I use campaign funds to have an additional telephone line put in my home?
Yes, as long as the additional phone line is used for campaign purposes only. If, after the campaign, you choose to retain the additional phone line for personal purposes, you must pay the campaign what it would cost to install an additional line at that time.
G. Is it permissible to use campaign funds to pay an independent contractor (e.g., the campaign consultant) additional money if I win my election?
Yes. You may use campaign funds to pay a contractor for fees that are part of the written contract.
H. May I host a victory party or give bonuses to my campaign workers?
Yes. In most cases, the bonuses would be considered gifts and would be limited to $250 per calendar year.
I. I lost my election and have funds remaining. May I, a non-incumbent, use the leftover funds to run again in two years?
If you wish to use funds left over from an unsuccessful race for a future election to the same office, file a new Form 501 and amend your existing Form 410 within 90 days after the end of the postelection reporting period. For elections occurring in the first six months of the calendar year, the end of the postelection reporting period is June 30. For elections occurring in the last six months of the calendar year, the end of the postelection reporting period is December 31. If you plan to run for a different office, file a new Form 501, transfer the funds to a new campaign bank account, and file a new Form 410. If the funds become "surplus," they may not be used for a future election.
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Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
82022.5 82025 82044 84307.5
85201 85304.5
85501
85700
89511 89511.5 89512 89513 89514 89515 89516 89517
89517.5 89517.6 89518 89519
Election-Related Activities. Expenditure. Payment. Fundraising Payments Made to a Spouse or Domestic Partner. Campaign Bank Account. Legal Defense Fund; Local Candidates and Elected Officeholders. Prohibition on Independent Expenditures by Candidate Controlled Committees. Donor Information Requirements; Return of Contributions. Campaign Funds Held by Candidates and Committees. Use of Personal Funds for Incumbent Elected Officers. Expenditures Associated with Seeking or Holding Office. Use of Campaign Funds for Specific Activities. Use of Campaign Funds for Attorney's Fees. Use of Campaign Funds for Donations and Loans. Use of Campaign Funds for Vehicle Expenses. Use of Campaign Funds for Real Property, Appliances or Equipment. Use of Campaign Funds for Security System. Use of Campaign Funds for Cybersecurity System. Use of Campaign Funds for Compensation. Use of Surplus Campaign Funds.
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Title 2 Regulations
18526 18530.45 18570
18951 18960 18961
Reimbursement of Expenditures. Legal Defense Funds Local Candidates and Officers. Return of Contributions with Insufficient Donor Information. Surplus Funds. Direct Personal Benefit Defined. Incidental Use.
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Communications
Campaigns reach the voters through political communications including television, radio, and Internet advertising, mailers, billboards, precinct-walking, and flyers. The Political Reform Act (Act) requires that committees report most payments in connection with political communications as direct expenditures, nonmonetary contributions to the campaign, or independent expenditures. As discussed below, however, certain types of communications may not be reportable at all, or may be subject to special reporting requirements. This chapter reviews common communications in a campaign and how payments for the communications are reported.
The Act also requires "paid for by" disclosures on campaign ads to inform voters who is paying for the communication. Chapter 7 discusses the disclosure requirements that apply to communications, including mass mailings, made by candidate controlled committees for their own election and communications made by non-controlled committees that are primarily formed to support or oppose a candidate.
A.Payments for Communications Made by Candidate's Campaign
In most cases, a candidate's campaign committee will be funding the bulk of the communications to elect that candidate to office. When a candidate's campaign committee makes expenditures for communications in furtherance of the candidate's election, the committee simply reports these direct expenditures. The expenditures are reported on the committee's Form 460, Schedule E, as described in Chapter 8.
B. Payments for Communications Made by Others
Generally, when someone other than the candidate or his or her committee pays for a communication that expressly advocates support of the candidate, and the communication is coordinated with or "made
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at the behest" of the affected candidate, the candidate has received a nonmonetary contribution that must be reported by the candidate's controlled committee.
Payments for communications expressly advocating support of or opposition to a candidate, which are not coordinated with or made at the behest of the candidate, are independent expenditures, and the affected candidate is not required to report the payments; however, the person making the independent expenditure may have reporting obligations.
Whether a communication is a contribution, an independent expenditure, or some other type of reportable payment depends on several facts, including whether the communication "expressly advocates" support of or opposition to a clearly identified candidate or ballot measure. The information and examples below may be of assistance in making that determination. However, it is impossible to address all of the types of communications in a campaign. If presented with specific facts, FPPC staff may provide assistance.
Quick
If a third party pays
Tip
for communications
supporting or opposing the
election of a candidate,
these may be nonmonetary
contributions to the
candidate, if coordinated
with the candidate, or
independent expenditures.
Communications paid for by a candidate's controlled committee to support his or her own candidacy, or to oppose his or her opponent, are direct campaign expenditures, not contributions or independent expenditures.
In most cases, communications paid for by a non-candidate controlled committee primarily formed to support or oppose a candidate are considered contributions or independent expenditures.
Coordinated Communications - Nonmonetary Contributions
When someone other than the candidate or his or her committee pays for a communication that is coordinated with or "made at the behest" of the candidate or his or her committee, the payment for the communication is a nonmonetary contribution to the affected candidate.
Coordination "Made at the Behest"
A payment is coordinated with or "made at the behest" of the candidate or committee under each of the following situations:
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· It is made at the request, suggestion, or direction of, or in cooperation, arrangement, consultation, concert, or coordination with the candidate or committee on whose behalf, or whose benefit the expenditure is made.
· The candidate or committee has made or participated in making any decision about the content, timing, location, mode, intended audience, volume of distribution, or frequency of placing the communication.
· A creator, producer, or distributor of the communication, or the person paying for the communication has had a discussion with the candidate or committee regarding the content, timing, location, mode, intended audience, volume of distribution, or frequency of placing the communication.
There is a rebuttable presumption that an expenditure funding a communication is coordinated with or "made at the behest" of a candidate or committee if:
· Committee's Needs. It is based on information about the candidate's or committee's campaign needs or plans provided by the candidate or committee to the person making the expenditure, such as information concerning campaign messaging, planned expenditures, or polling data.
· Agent. It is made by or through any agent of the candidate or committee in the course of the agent's involvement in the current campaign. "Current campaign" means the period beginning 12 months prior to the date of the primary or special election in which the candidate is on the ballot for an elective office and ending on the date of the general or special runoff election for that office.
· Common Consultants. The person making the expenditure retains the services of a person who provides either the candidate or the committee supporting or opposing the ballot measure with professional services related to campaign or fundraising strategy for the current campaign.
· Republication. The communication replicates, reproduces, republishes, or disseminates, in whole or substantial part, a communication, including video footage, designed, produced, paid for, or distributed by the candidate or committee.
Quick
When a
Tip
communication
that expressly advocates
support of a candidate is
paid for by someone other
than the candidate or his
or her committee, and the
communication is "made at
the behest" of the affected
candidate, the candidate
must report the payment as
a nonmonetary contribution.
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· Fundraising. The committee making the expenditure is primarily formed to support the candidate or oppose their opponent and in the course of the current campaign, the candidate who benefits from the expenditure solicits funds for or appears as a speaker at a fundraiser for the committee making the expenditure.
· Former Staff. The person making the expenditure is established, run, or staffed in a leadership role, by an individual who previously worked in a senior position or advisory capacity on the candidate's or officeholder's staff within the current campaign.
· Candidate's Family. The person making the expenditure is established, run, staffed in a leadership role, or principally funded by an individual who is an immediate family member of the candidate.
However, an expenditure is not considered to be coordinated with or made at the behest of a candidate or committee based solely on any of the following circumstances:
· Interview. A person interviews the candidate on issues affecting the person making the expenditure.
· Candidate Material. The person making the expenditure has obtained a photograph, biography, position paper, press release, or similar material from the candidate or the candidate's agents.
· General Request for Support. The person makes the expenditure in response to a general, non-specific request for support by a candidate or committee, provided that there is no discussion with the candidate or committee prior to the expenditure relating to details of the expenditure.
· Public Appearance. The person making the expenditure has invited the candidate or committee representative to make a public appearance before the person's members, employees, shareholders, or their families, provided that there is no discussion with the candidate or committee prior to the expenditure related to details of the expenditure.
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· Prior Contribution. The person making the expenditure has made a contribution to the candidate or committee.
· Informed after the Expenditure is Made. A person informs a candidate or committee that the person has made an expenditure, provided that there is no exchange of information, not otherwise available to the public, relating to details of the expenditure.
· Expenditure Benefits Another Candidate or Committee. The expenditure is made at the request or suggestion of the candidate or committee for the benefit of another candidate or committee.
· Hyperlink. The communication includes a hyperlink to the Internet website or other social media page of a candidate or ballot measure committee.
FPPC Regulation 18225.7, summarized above, specifies when a communication is considered independent versus made at the behest of a candidate or committee. Because the determination is based on specific facts, persons are encouraged to contact the FPPC for guidance.
Independent Expenditures
An independent expenditure is a payment for a communication that:
· Expressly advocates the election or defeat of a clearly identified candidate or the qualification, passage or defeat of a clearly identified measure, and
· The communication is not coordinated with or "made at the behest" of the affected candidate or committee.
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Clearly Identified Candidate
A communication clearly identifies a candidate when it uses the candidate's name, photograph, or status as a candidate or officeholder. If a communication includes a group of candidates and refers to some well-defined characteristic of the group, the candidates are clearly identified even if it does not use specific names.
Express Advocacy
A communication expressly advocates support of or opposition to a clearly identified candidate under the following scenarios:
· Magic Words. The communication uses words such as "vote for," "elect," "support," "cast your ballot," "vote against," "defeat," or "reject."
Quick
When a
Tip
communication
that expressly advocates
support of a candidate is
not "made at the behest" of
the affected candidate, the
payment is considered an
independent expenditure
and the candidate does
not report the payment.
The person making the
payment may have reporting
obligations.
Ex 6.1 - An individual paid $4,000 for a newspaper ad stating "Vote for Autumn Gomez." The communication expressly advocates support for a clearly identified candidate and must be reported either as a contribution if it was made at the candidate's behest or as an independent expenditure if it was not.
Later, the same individual paid $2,000 for post card-sized flyers that simply stated, "Vote on Election Day." This communication is not reported as a contribution or independent expenditure because it did not expressly advocate support of or opposition to a candidate or measure.
Ex 6.2 - Friends of Gomez, a non-candidate controlled committee primarily formed to support Autumn Gomez's candidacy, printed campaign literature stating, "Vote for Autumn Gomez." The communication included a copy of a photograph the committee obtained from the public information counter at Ms. Gomez's campaign headquarters. Ms. Gomez did not in any way coordinate with the committee in producing the campaign literature. Therefore, the committee made an independent expenditure, not a contribution to Ms. Gomez's campaign.
On the other hand, if the committee contacted Ms. Gomez and arranged for a professional photographer to meet with her for the purpose of taking photographs for the mailer, the committee would be making a nonmonetary contribution to her campaign.
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Ex 6.3 - During Curt Anthony's campaign, two newspaper advertisements supporting Mr. Anthony were published without his knowledge or consent. Because the payments for these communications were not coordinated with him or made at his behest, they were independent expenditures by the person(s) funding the ads and were not reportable by Mr. Anthony's campaign. The person(s) who paid for the ads may have a filing obligation.
· Unambiguously Urges. The communication is made within 60 days prior to an election, it refers to a clearly identified candidate, and when taken as a whole, it unambiguously urges a particular result in an election. The message must be susceptible of no reasonable interpretation other than as an appeal to vote for or against a specific candidate.
A committee or person making independent expenditures must be aware that the communication cannot be coordinated with the affected candidate or measure committee. If there is coordination, the payments are reported as contributions.
C. Other Communications
Endorsements
An endorsement of a candidate may become a contribution or an independent expenditure when a payment is made in connection with the endorsement.
Frequently, a candidate will publish his or her endorsement by another official. As long as the communication does not advocate the election of the endorsing official (or the defeat of that official's opponent), a payment made to communicate the endorsement is not a contribution to the endorsing candidate or official, even though the endorsement was made at the behest of both individuals.
If a candidate pays for a communication supporting his or her own candidacy that also supports or opposes a ballot measure, the payment is not a contribution or independent expenditure made in connection with the ballot measure.
Ex 6.4 - The president of a police officers' association announces at its annual meeting that the association endorses John Law for county sheriff. Merely making an oral endorsement is not a contribution to or independent expenditure for John Law.
Closer to the election, at the request of candidate John Law, the association mails a special flyer to the voters announcing its endorsement of him. Because the mailing was made at the behest of the candidate, the association has now made a nonmonetary contribution to John Law.
Ex 6.5 - A city council candidate paid for a mailing which quoted the mayor's verbal endorsement of his candidacy. Although the mayor was also on the ballot, the flyer was not a contribution to the mayor.
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Ex 6.6 - Emmelyn Chin, a city council member running for reelection, sent out a flyer to registered voters in her district asking them to support her candidacy. The flyer also encouraged the voters to vote for Lorraine Sweet for Governor, although this endorsement was not made at Ms. Sweet's behest. Because the gubernatorial election and city council election would appear on the same ballot for those living in Ms. Chin's district (and the flyer was sent only to voters in that district), the payment for the flyer is not an independent expenditure supporting Ms. Sweet.
If a candidate pays for a communication that supports another candidate, and the payment is not made at the behest of the endorsed candidate, the payment is not considered to be an independent expenditure if: (1) the candidate paying for the communication also is included in the communication; (2) the non-paying candidate is listed on the same ballot as the paying candidate; and (3) the communication is targeted only to potential voters in the paying candidate's district.
Quick
See Chapter 7 for the
Tip
disclosure and sender
identification requirements
for mass mailings sent by
a candidate-controlled
committee or a committee
primarily formed to support
or oppose a candidate.
Social Media Internet Communications
Paid Advertisements on the Internet. A paid advertisement that a candidate or committee places on the Internet is reportable under the Act. A candidate or committee that pays to place a communication on another person's website must report the expenditure on a campaign statement. Similarly, a candidate must report a payment to purchase email addresses or any payment for general or public advertisements on Internet sites.
Uncompensated Individuals' Internet Activity. When an individual who is not compensated by a candidate or committee sends communications over the Internet (e.g., emails, social networking, blogging, website postings, and hyperlinks) that support or oppose a candidate or measure, these activities do not constitute reportable contributions or expenditures. Regulation 18215.2 creates a "safe harbor" for uncompensated individuals' political activity on the Internet.
Paid Blogger. The safe harbor for an individual's uncompensated Internet activity does not apply to a blogger a committee pays to support or oppose a candidate or measure. The committee must
Ex 6.7 - John is running for school board and his neighbor George posts his support for John's candidacy on Facebook. In his Facebook post, George includes a picture of John that he got from John's website. The communication is not reportable because George was not paid for his Facebook post.
Ex 6.8 - Camille is running for local office and she pays Julia to post a message on Julia's blog supporting Camille's candidacy. Camille's committee must report the payment as an expenditure on the Form 460.
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report payments to that individual. The safe harbor also does not apply to a blogger who receives a majority of his or her advertisement revenue from a single candidate or committee because he or she is not considered to be providing uncompensated personal services.
D. Non-Contributions
There are some communications that are not considered to be contributions to the candidate or the candidate's controlled committee.
Debates
If a nonpartisan organization hosts a debate or other forum and invites at least two opposing candidates, a payment for the event is not a contribution to the candidates.
Ex 6.9 - The League of Women Voters invited all candidates for city council to speak at a forum. Only one candidate attended, but since at least two candidates running for the same office were invited, the cost of the forum is not a contribution to the candidate who attended.
Similarly, a payment for a debate or forum sponsored by a political party or a committee affiliated with a political party is not a contribution if a majority of the candidates for the party's nomination are invited to participate.
Meetings
A payment made by a bona fide service, social, business, trade, union, or professional organization for reasonable overhead expenses associated with a regularly-scheduled meeting at which a candidate speaks is not a contribution if the organization pays no additional costs in connection with the speaker's attendance.
Ex 6.10 - At a union's regularly-scheduled monthly meeting, one candidate was invited to solicit votes. The union did not incur any additional costs in connection with the speaker's presentation, so no contribution was made.
Non-Political Communications
A payment made at the behest of a candidate for a communication by the candidate or any other person is not a contribution to the candidate if the communication:
· Does not contain express advocacy;
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· Does not refer to the candidate's election campaign, or his or her opponent's qualifications for office; and
· Does not solicit contributions to the candidate or to third persons for use in support of or opposition to the candidate.
Member Communications
Payments made by an organization or its sponsored committee for a communication that supports or opposes a candidate are not contributions or expenditures as long as the communication is made only to the organization's members, employees, or shareholders, or the families of its members, employees, or shareholders. The payments may not be for general public advertising, such as billboards, newspaper ads, or radio or television ads. If the organization's sponsored committee makes the payments, the committee would report the payments as being made for general member communications.
Payments made by a political party for a communication that supports a candidate are not contributions to the candidate as long as the communication is distributed only to the party's members, employees, and families of its members and employees. The party must report the payments, however, as if they were contributions or independent expenditures.
Ex 6.11 - Your campaign consultant asks a labor organization to send a mailing supporting your election. The mailing will be sent only to the organization's membership. The mailing is not a contribution to you. Later, the campaign consultant asks the organization to send the mailing to all registered voters in your district. The mailing to the voters is a contribution to you.
Ex 6.12 - The Green Party pays for a mailing supporting your candidacy to all of its members five days before your election. The cost of the mailing exceeds $1,000. The Party must file a Form 497 (24-Hour/10 Day Contribution Report). You are not required to disclose the mailing as a contribution.
News Stories
A payment for the cost of publishing or broadcasting a news story, commentary, or editorial is not a contribution when the payment is made by a federally regulated broadcast outlet or a regularly published newspaper, magazine or other periodical of general circulation that routinely carries news, articles, and commentary of general interest.
Voter Registration
A payment made at the behest of a candidate as part of voter registration or get-out-the-vote activities is not a contribution if the communication does not expressly advocate support of or opposition to the candidate.
Ex 6.13 - At the behest of an elected official, an organization paid for a voter registration booth at a local fair. No other literature was distributed at the booth. The payment for the voter registration booth was not a contribution to the official.
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Voting Records
An entity may publish the voting records of public officials. As long as only the voting records are published, the communication is not considered a contribution or an independent expenditure.
Answering Your Questions
A. A labor union pays for a mailing advocating the election of a candidate for city council. The mailing list includes both union members and non-union members and 20% of the mailing costs are attributed to non-union members. Must the candidate report the full cost of the mailing as a nonmonetary contribution?
No. The candidate may pro-rate the cost and report as a nonmonetary contribution only the mailing costs for the nonunion members.
B. A representative of an environmental organization interviewed a candidate for county supervisor about issues affecting the environment. Later, the candidate learned that the organization paid for a radio advertisement advocating the election of that candidate. Must the candidate report a nonmonetary contribution?
No. An expenditure is not made at the behest of a candidate just because a person interviews the candidate on issues affecting the person making the expenditure. As long as the candidate did not coordinate with the organization to produce the advertisement in any other way, the organization made an independent expenditure, not a contribution to the candidate.
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C. I was elected to the city council in November. May I assist an independent expenditure committee that supported my candidacy in retiring its debt now that the election is over?
No. An "independent expenditure" is made without the coordination, cooperation, or consultation of the candidate. If you assist the committee, the expenditures are not considered independent.
D. I am a law enforcement officer running for city council. Is it permissible to wear my law enforcement uniform in my campaign literature?
The Political Reform Act does not contain restrictions related to a candidate wearing a law enforcement uniform; however, other laws may apply. Candidates should contact the District Attorney or City Attorney.
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Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
82015 82025 82031 82041.3 82044 82047 84211 85312
Contribution. Expenditure. Independent Expenditure. Made at the Behest of. Payment. Person. Contents of Campaign Statement. Communications to Members of an Organization.
Title 2 Regulations
18215 18215.2
18225.7
18421.5
18450.1 18531.7
Contribution. Uncompensated Internet Activity by Individuals that is not a Contribution or Expenditure. Made At the Behest; Independent versus Coordinated Expenditures. Reporting an Expenditure for Paid Online Communications. Definitions. Advertisement Disclosure. Payments for Communications Section 85312.
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Advertisement Disclosures
This chapter describes the disclosures required by the Political Reform Act ("Act") on mass mailings and other advertisements made by candidate controlled committees and committees primarily formed to support or oppose a candidate. A disclosure is the portion of a political message that identifies the committee that paid for and authorized the communication. The basic disclosure for a communication made by a candidate's committee for his or her own election is "paid for by [committee name]." The disclosure ensures that the committee paying for the ad is identified. The Act does not regulate the truth or accuracy of political communications given that the First Amendment provides broad protection for political speech.
Disclosure Example:
7 chapter
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A. Which Communications Require an Ad Disclosure?
Candidate Controlled Committees
Under the Act, a candidate controlled committee must include a disclosure on mass mailings and certain telephone calls advocating the candidate's own election. In addition, radio and television advertisements require a "paid for by" disclosure. The Act does not require a specific disclosure on other communications, such as billboards and yard signs, when they are paid for by a candidate controlled committee in support of the candidate's own campaign. However, the FPPC recommends placing "paid for by [committee name]" and the committee's ID number on all public campaign materials. For a complete list of advertisement disclosure requirements see the charts later in this chapter.
Primarily Formed Committees Making Independent Expenditures Under the Act, committees that are primarily formed to support or oppose a candidate must include a disclosure on the following communications:
· Mailings, including emails · Paid telephone calls · Radio ads · Television and video ads · Electronic media ads, including audio only ads · Newspaper and magazine ads · Billboards · Yard signs · Door hangers · Flyers · Posters
Quick
Check with your local
Tip
elections office for
rules on the placement of
campaign signs and any local
advertisement disclosure
rules. Also check the rules
on placing temporary
political signs in California's
Outdoor Advertising Act Sec.
5405.3, on the Department
of Transportation's website.
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Advertisement Disclosure Exceptions
Generally, a disclosure is not required on the following advertisements:
· Regular-size campaign buttons and bumper stickers, pins, or magnets
· Pens, pencils, rulers, mugs, potholders, key tags, golf balls and similar small campaign promotional items where a disclosure cannot be conveniently printed
· T-shirts, caps, hats, and other articles of clothing
· Skywriting and airplane banners
· Committee checks and receipts
Online Platform Disclosed Advertisement Requirements
Please note that advertisements that are "online platform disclosed advertisements" have different disclosure requirements than other types of online advertisements. "Online platform disclosed advertisements" are either (1) electronic media advertisements made via an online platform that allows users to engage in discourse and post content, or any other type of social media, for which the committee pays the online platform or (2) electronic media advertisements that are in the form of a graphic, image, animated graphic, or animated image that an online platform hosting the advertisement does not allow to hyperlink to an internet website containing required disclosures for which the committee pays the online platform. An "online platform disclosed advertisement" does not include a video, audio, or email advertisement. For more information on "online platform disclosed advertisements" please refer to the "Online Platform Disclosed Advertisement Requirements" chart later in this chapter.
Electronic media advertisements that are not "online platform disclosed advertisements" shall follow disclosure requirements described in this chapter, other than those listed in the "Online Platform Disclosed Advertisement Requirements" chart.
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B. How Must the Disclosure Appear?
Disclosures on political ads must be shown clearly so they may be easily understood by the public. Written disclosures must be printed clearly and legibly. Spoken disclosures must be clearly audible and intelligible. Disclosures must also be written or spoken in the same language used in the advertisement. The charts on the following pages specify requirements for color contrast, print font size, placement location, and the amount of time the disclosure is required to appear on screen.
C.Advertisement Disclosures for Communications by Candidate Committees for their own Election
The disclosure on a communication made by a candidate's committee for his or her own election must include "Paid for by [committee name]," unless otherwise noted in the chart below.
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Communication
All mass mailings more than 200 substantially similar pieces of mail sent within a calendar month
All mass electronic mail more than 200 substantially similar emails sent within a calendar month Newspaper ads
Disclosure and Manner of Display
· Candidate's committee name and address (on file with Form 410) on outside of mailing (if no Form 410 on file, use candidate's name and address).
· "Paid for by" must be in the same color and font as the committee name and address and immediately in front of or above the name and address.
· If sent by more than one candidate or committee: Also on at least one insert in the mailing.
· No less than 6-point type and in a contrasting print or color. · Return envelopes (if included in solicitation) committee's name, address
and ID number are recommended but not required.
· "Paid for by [name of candidate or committee]" must be in at least the same size font as a majority of the text (no address is required on mass electronic mailings).
· Refer to the Elections Code for newspaper ad disclosure requirements.
Telephone calls advocating candidate's own election - 500 or more calls similar in nature and made by:
· Vendors ("robo" calls); or
· Paid individuals other than the candidate, campaign manager or volunteers
Radio and television ads
· Must identify the candidate's committee that authorized or paid for the call or an organization authorizing the call that files campaign reports.
· Must state that the call is "paid for by" or "authorized by" the identified candidate or organization.
Examples: This call was paid for by Senator Jones; This call was authorized by [name of committee].
· Any time during the call.
· No ID required on telephone calls personally dialed by candidate, campaign manager or volunteers.
· Radio: "Ad paid for by" followed by name of committee as it appears on most recent Form 410 at the beginning or end of advertisement read in a clearly spoken manner with pitch and tone substantially similar to the rest of advertisement.
· Television: "Ad paid for by" followed by name of committee as it appears on most recent Form 410 shown for at least four seconds. Letters must be in a type size greater than or equal to four percent of the height of the screen. If the television ad is shorter than the required disclosure display time, the disclosure may be displayed for the length of the advertisement.
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Communication
Electronic media ads (non-social media) (Websites, blogs, graphics,images, animated graphics, or animated images.)
Disclosure and Manner of Display
· "Paid for by committee name" and committee ID number are recommended but not legally required.
Social media ads
Billboards, signs (including yard signs), faxes, business cards, door hangers, flyers, and posters Text messages sent using mass distribution technology
· "Ad paid for by," disclosure in a contrasting color that is easily readable by the average viewer and in no less than 10-point font on the cover or header photo of the committee's profile, landing page, or similar location; disclosures are not required on each individual post or comment.
· The disclosures must be visible on the cover or header photo when the profile, landing page, or similar location is viewed from any electronic device that is commonly used to view this form of electronic media including, but not limited to, a computer screen, laptop, tablet or smart phone. If this is impracticable only a hyperlink, icon, button, or tab to an internet website containing the required "Ad paid for by," disclosure is permissible.
· Not required when the only expense or cost of the communication is compensated staff time unless the social media account was created only for the purpose of ads under the Act.
· "Paid for by committee name" and committee ID number are recommended but not legally required.
· "Paid for by" or "With" followed by the name of the candidate followed by "For" followed by the name of the office sought.
· If "With" is used:
The individual sending the text shall identify themselves by including: "(name of the individual) with (name of the candidate) for (name of elective office)."
A disclosure using "With" may appear anywhere in the text message, including conversational content, and need not appear as a separate statement apart from the content of the message.
· For text message exchanges consisting of a sequence of multiple text messages sent on the same day the disclosure is only required on the first text message in the sequence that supports or opposes a candidate or measure.
· Text required to be included in a text message must be in a color that reasonably contrasts with the background on which it appears and in a font size that is readable by the average viewer.
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D.Advertisement Disclosures for Independent Expenditure Ads Made by Committees Primarily Formed to Support or Oppose a Candidate
When a committee primarily formed to support or oppose a candidate pays for an advertisement that is an independent expenditure, the advertisement disclosure must include the information contained in the chart below including the names of the committee's top three contributors.
Top Contributors
"Top contributors" means the persons from whom the committee paying for an advertisement has received its three highest cumulative contributions of fifty thousand dollars ($50,000) or more. If two or more contributors of identical amounts qualify as top contributors, the most recent contributor of that amount must be listed as the top contributor.
If an advertisement paid for by a committee supports or opposes a candidate, the determination of top contributors may not include any nonprofit organization exempt from federal income taxation pursuant to Section 501(c)(3) of the United States Internal Revenue Code or any person who has prohibited in writing the use of his or her contributions to support or oppose candidates if the committee does not use such contributions to support or oppose candidates.
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Communication
Print ads designed to be individually distributed including mailings, door hangers, flyers, faxes, posters, newspaper and magazine ads and oversized campaign buttons and bumper stickers (buttons 10 inches in diameter or larger and stickers 60 square inches or larger)
Print ads larger than those designed to be individually distributed, such as billboards and signs (including yard signs)
Disclosure and Manner of Display
· "Ad paid for by [committee's name]" (on file with Form 410) (Note: a printed letter ad may use "Paid for by" instead of "Ad paid for by") followed by:
· "Committee major funding from [names of top three contributors of $50,000 or more]" each listed on a separate horizontal line, in descending order, beginning with the largest contributor.
Newspaper, magazine or other print advertisements that are 20 square inches or less must only disclose the single top contributor of $50,000 or more.
· Below the top contributor information (if any), a statement that the advertisement was not authorized by a candidate or a committee controlled by a candidate.
· Disclosure Format: All text must be in Arial equivalent font, in at least 10-point size, in a contrasting color, centered horizontally and, except for the names of top contributors, underlined. The names of top contributors may not be underlined and the text may not be condensed. If there are no top contributors, the "Ad paid for by" need not be underlined. All text must appear in a printed or drawn box with a solid white background at the bottom of at least one page and set apart from other printed matter.
"Committee major funding from" and "Not authorized by" disclosures may not appear in all capital letters.
· "Ad paid for by [committee's name]" (on file with Form 410) followed by:
· "Committee major funding from [names of top three contributors of $50,000 or more]" Top contributors must be displayed either on: (1) separate horizontal lines, centered horizontally or (2) adjusted so it does not appear on separate horizontal lines with top contributors separated by commas.
· Below the top contributor information (if any), a statement that the advertisement was not authorized by a candidate or a committee controlled by a candidate.
· Disclosure Format: All text must be in contrasting color and in Arial equivalent font. The font must be a height of at least five percent of the advertisement, meaning that each line must be at least five percent of the advertisement, in a printed or drawn box with a solid white background on the bottom of the advertisement that is set apart from any other printed matter and shall not be condensed to be narrower than a normal non-condensed Arial equivalent type. The text in the disclosure area may be adjusted so it does not appear on separate lines, but top contributors' names must be separated by commas.
The "Committee major funding from" and "Not authorized by" disclosures may not appear in all capital letters.
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Communication
Radio ads, telephone calls and audio only electronic media ads
Disclosure and Manner of Display
· "Ad paid for by [committee's name]" (on file with Form 410).
· "Committee major funding from [names of top three contributors of $50,000 or more]" in descending order, beginning with the largest contributor.
· A statement that the advertisement was not authorized by a candidate or a committee controlled by a candidate.
· Disclosure Format: Must be spoken clearly for at least three seconds at the beginning or end of the ad or call, in a pitch and tone substantially similar to the rest of the advertisement.
Radio and prerecorded telephone ads must disclose only the top two contributors of $50,000 or more unless the ad lasts 15 seconds or less or the disclosure statement would last more than eight seconds, in which case only the single top contributor must be disclosed.
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Communication
Disclosure and Manner of Display
Television and video ads (including those disseminated over the Internet) Electronic media ads that are a graphic, image, animated graphic, or animated image that an online platform hosting the ad allows to link to an internet website not covered below (except video ads, see above)
· "Ad paid for by [committee's name]" (on file with Form 410).
· "Committee major funding from [names of top three contributors of $50,000 or more]" in descending order, beginning with the largest contributor.
· A statement that the advertisement was not authorized by a candidate or a committee controlled by a candidate.
· Disclosure Format: All text must be centered horizontally in the disclosure area, in a contrasting color, in Arial equivalent type and, if there are top contributors, must be underlined except as specified below.
The size for the smallest letters must be four percent of the height of the display screen and must be displayed at the beginning or end of the ad for at least five seconds of a broadcast of 30 seconds or less or for at least 10 seconds of a broadcast longer than 30 seconds. If a video is distributed as an electronic media advertisement and is longer than 30 seconds, the disclosures must be displayed at the beginning of the advertisement. If the television or video ad is shorter than the required disclosure display time, the disclosure may be displayed for the length of the advertisement.
Disclosure must appear on a solid black background on the entire bottom one-third of the display screen, or bottom one-fourth if no top contributors.
Each top contributor must be disclosed on a separate horizontal line separate from other text, may not be underlined and may not be condensed or have the spacing between characters reduced to be narrower than a normal non-condensed Arial equivalent type, unless doing so is necessary to keep the name of a contributor from exceeding the width of the screen.
The "Not authorized by" disclosure must appear below all other text in no less than 2.5 percent of the height of the display screen. If this causes the disclosures to exceed one-third of the display screen then it may be printed immediately above the background with sufficient contrast that is easily readable and is not required to be underlined.
The "Committee major funding from" and "Not authorized by" disclosures may not appear in all capital letters.
· "Who funded this ad?" or "Paid for by" or "Ad paid for by" text included or displayed as a hyperlink, icon, button or tab in a contrasting color and font size that is easily readable by the average viewer for the duration of the advertisement.*
· Must link to a website containing the "Ad paid for by," "Committee major funding from," and "Not authorized by" disclosures in a contrasting color and in no less than 8-point font.
· "Committee major funding from" and "Not authorized by" disclosures may not appear in all capital letters.
· An internet website that is hyperlinked to the ad shall remain online and available to the public until 30 days after the date of the election.
*This text is not required if including it in 8-point font would take up more than one-third of the graphic or image. In such circumstances the ad need only include a hyperlink to a website containing the website disclosures.
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Communication
Social media ads
Disclosure and Manner of Display
· "Ad paid for by," "Committee major funding from," and "Not authorized by" disclosures in a contrasting color that is easily readable by the average viewer and in no less than 10-point font on the cover or header photo of the committee's profile, landing page, or similar location; disclosures are not required on each individual post or comment.
· The disclosures must be visible on the cover or header photo when the profile, landing page, or similar location is viewed from any electronic device that is commonly used to view this form of electronic media including, but not limited to, a computer screen, laptop, tablet or smart phone. If this is impracticable only a hyperlink, icon, button, or tab to an internet website containing the required "Ad paid for by," "Committee major funding from," and "Not authorized by" disclosures is permissible.
· "Committee major funding from" and "Not authorized by" disclosures may not appear in all capital letters.
· Not required when the only expense or cost of the communication is compensated staff time unless the socia media account was created only for the purpose of ads under the Act.
Website and email
· "Paid for by," "Committee major funding from," and "Not authorized by" disclosures printed clearly and legibly in a contrasting color and in no less than 8-point font at the top or bottom of the email and every publicly accessible page of the website.
· "Committee major funding from" and "Not authorized by" disclosures may not appear in all capital letters.
Electronic media ads that are audio only
· See disclosure requirements for radio ads above.
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Communication
Text messages sent using mass distribution technology
Disclosure and Manner of Display
· "Paid for by" or "With" followed by the name of the committee, or followed by a hyperlink or URL for an internet website containing the following disclosures:
· "Paid for by" or "With" [committee's name]" (on file with Form 410).
"Committee major funding from [names of top three contributors of $50,000 or more]."
A statement that the advertisement was not authorized by a candidate or a committee controlled by a candidate.
The text of the disclosures on the internet website shall be in a color that reasonably contrasts with the background on which it appears and in no less than 8-point font.
· If "With" is used:
The individual sending the text shall identify themselves by including: "(name of the individual) with (name of committee or hyperlink or URL)."
A disclosure using "With" may appear anywhere in the text message, including conversational content, and need not appear as a separate statement apart from the content of the message.
· Top Contributors: A committee that has top contributors must comply with the following:
Immediately following the name of the committee or the hyperlink or URL, the text message shall also include the text "Top funders:" followed by the names of the top two contributors of $50,000 or more to the committee paying for the advertisement, separated by "&" or "and."
The names of the top two contributors may be spelled using acronyms, abbreviations, or other shorthand in common usage or parlance. If the contributor is an individual their first and last name shall both be used.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 12
Campaign Manual 2 June 2020
Communication
Disclosure and Manner of Display
If the disclosure would exceed 35 characters, the text should disclose only the single top contributor of $50,000 or more to the committee paying for the advertisement.
The text message is not required to include the name of a top contributor after the text "Top funders:" If the text message includes the name of the committee paying for the advertisement and the committee's name includes the name of that top contributor.
The text shall be in a color that reasonably contrasts with the background on which it appears and in a font size that is readable by the average viewer.
For a committee that has top contributors and uses individuals who are unpaid volunteers to send text messages with the assistance of mass distribution technology, the text message sent by these individuals are not required to disclose the top two contributors, but the text message shall include a disclosure stating that the text message is being sent by a volunteer.
· An internet website that is hyperlinked shall remain online and available to the public until 30 days after the election.
· For text message exchanges consisting of a sequence of multiple text messages sent on the same day the disclosure is only required on the first text message in the sequence that supports or opposes a candidate or measure.
Text required to be included in a text message must be in a color that reasonably contrasts with the background on which it appears and in a font size that is readable by the average viewer.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 13
Campaign Manual 2 June 2020
Print Advertisement Disclosure Example:
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 14
Campaign Manual 2 June 2020
E. Online Platform Disclosed Advertisements
"Online platform disclosed advertisements" are either (1) electronic media advertisements made via an online platform that allows users to engage in discourse and post content, or any other type of social media, for which the committee pays the online platform, or (2) electronic media advertisements that are in the form of a graphic, image, animated graphic, or animated image that an online platform hosting the advertisement does not allow to hyperlink to an internet website containing required disclosures, for which the committee pays the online platform. An "online platform disclosed advertisement" does not include a video, audio, or email advertisement.
Electronic media advertisements that are not "online platform disclosed advertisements" shall follow disclosure requirements described previously in this chapter.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 15
Campaign Manual 2 June 2020
Online Platform Disclosed Advertisement Requirements
Communication
Disclosure and Manner of Display
Type of Advertisement Law Applies To:
Either (1) electronic media advertisements made via an online platform that allows users to engage in discourse and post content, or any other type of social media, for which the committee pays the online platform or (2) electronic media advertisements that are in the form of a graphic, image, animated graphic, or animated image that an online platform hosting the advertisement does not allow to hyperlink to an internet website containing required disclosures, for which the committee pays the online platform.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 16
Campaign Manual 2 June 2020
Communication
Ad Disclosure that Online Platform is Required to Place on Advertisement:
Disclosure and Manner of Display
An Online Platform Must Do One of the Following:
1) Display "Paid for by" or "Ad Paid for by" followed by "committee major funding from" followed by the committee's top three contributors of $50,000 or more, followed by a colon, followed by surrounded in quotation marks, the name of the committee easily readable to the average viewer located adjacent to any statement the communication is an advertisement (or is promoted or sponsored). The online platform may display only one hundred or more characters of the "committee major funding from" followed by the committee's top three contributors and name of the committee disclosures if followed by a "..." that is clearly clickable and that links to a page that provides the disclosures. The ad may instead link to a website that the committee has created pursuant to other provisions of the Act that contains the committee's name, top contributor information, and whether the ad was authorized by a candidate for independent expenditure ads on candidates.
2) Display a hyperlink, icon, button, or tab with the text "Who funded this ad?," "Paid for by," or "Ad Paid for by" that is clearly clickable and links to a page that provides the "committee major funding from" followed by the committee's top three contributors of $50,000 or more, followed by a colon, followed by the committee's name disclosures. This text must be easily readable to the average viewer, in the same or similar font and in at least the same font size as the online platform's text stating that the communication is an advertisement (or is promoted or sponsored). The ad may instead link to a website that the committee has created pursuant to other provisions of the Act that contains the committee's name, top contributor information, and whether the ad was authorized by a candidate for independent expenditure ads on candidates.
If fewer than three contributors qualify as top contributors, only those contributors that qualify shall be disclosed. If there are no contributors that qualify as top contributors, the top contributor disclosure is not required. Please note that advertisements for a candidate controlled committee established for an elective office of the controlling candidate are not required to display top contributor disclosures.
The Online Platform Must Also:
Display a prominent button, icon, tab, or hyperlink with the text "View Ads" or similar text. The button, icon, tab, or hyperlink shall link to a page containing the records required to be displayed in the publicly available online database in one of the following locations:
1) Near the top of a profile, landing page, or similar location of a committee that paid for an advertisement in a position that the average viewer will readily see it upon viewing that page.
2) On a page that displays the committee's profile information or biographical information.
3) On a page on which the average viewer would normally navigate to view additional information about a committee.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 17
Campaign Manual 2 June 2020
Communication
Disclosure and Manner of Display
Information Committee Paying for Advertisement is Required to Provide to Online Platform: Records Required to be Kept and Provided to the Public in Online Platform's Public Database:
Upon requesting the dissemination of the advertisement, committee must do all of the following:
1) Expressly notify the online platform that the advertisement is one that falls under the Act.
2) Provide the online platform with committee's top contributors and the committee's name and identification number.
3) Provide the online platform with the name of the candidate to which the advertisement refers and the office to which the candidate is seeking election, or number or letter of the ballot measure and the jurisdiction to which the advertisement refers.
4) Update the online platform with any change in the name of the committee or its top three contributors within 5 business days.
For all committees that purchased online platform disclosed ads and paid for five hundred dollars ($500) or more in advertisements to the online platform during the preceding 12 months the database must contain:
1) A digital copy of the advertisement.
2) The approximate number of views generated from the advertisement and the date and time that the advertisement was first displayed and last displayed.
3) Information regarding the range charged or the total amount spent on the advertisement.
4) The name of the candidate to which the advertisement refers and the office to which the candidate is seeking election, as applicable, or number or letter of the ballot measure and the jurisdiction to which the advertisement refers.
5) The name and identification number of the committee that paid for the advertisement, if the committee is assigned an identification number.
These records are required to be made available by the online platform as soon as practicable and must be retained by the online platform for 4 years.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 18
Campaign Manual 2 June 2020
F. Mass Mailings Emails and Postal Mailings
A "mass mailing" is made when more than 200 substantially similar pieces of mail have been sent within a calendar month. A mass mailing also includes more than 200 substantially similar messages distributed to the public within a calendar month through electronic mail ("email"). Solicitation letters, notices of fundraising events, newsletters sent by the candidate or committee, and other types of campaign literature are common types of mass mailings.
Quick
The committee
Tip
ID number is not
required to be included
on mass mailings, but
the FPPC recommends
that committees include
the committee name and
ID number on all public
campaign materials.
Disclosures for Emails Sent by a Candidate for their own Election
Emails must include the committee's name preceded by the words "paid for by" in at least the same size font as a majority of the text in the email.
From: To: Cc: Subject:
Rreynolds@yahoo.com Voter1@gmail.com
Reynolds for City Council 20XX
Don't forget to vote for Reynolds on Tuesday! This message was paid for by Reynolds for City Council 20XX.
Disclosures for Postal Mailings Sent by a Candidate for their own Election
A mass mailing sent by a candidate controlled committee must include the words "paid for by" immediately in front of or above the name and address of the committee on the outside of each piece of postal mail. The disclosure must be in no less than 6-point type and in a color that contrasts with the background (Example: no light blue disclosures on a blue background). A post office box may be used as the address only if the committee's street address is on its Statement of Organization (Form 410) on file with the Secretary of State.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Paid For By Roxie Reynolds for City Council 20XX 1615 Skate Street Torrance, CA 90503
Ahmed Cooper 315 S. Fairfield Street Torrance, CA 90503
Mailings Sent by More than One Candidate Controlled Committee
A mass mailing sent by more than one candidate controlled committee must include the words "paid for by" immediately in front of or above the name and address of the committee that is paying the greatest share of the mass mailing including costs for designing, printing, and postage. This disclosure must appear on the outside of each piece of mail. If two or more committees pay equally for the mailer, the name and address of at least one of the committees must be shown on the outside and the names and addresses of all committees must appear on at least one insert. The disclosure must be in no less than 6-point type and in a color that contrasts with the background (Example: no light blue disclosure on a blue background). A post office box may be used as the address only if the committee's street address is on its Statement of Organization (Form 410) on file with the Secretary of State.
Mailings (including Emails) Sent by Committees Primarily Formed to Support or Oppose a Candidate
Postal Mailings. Any mailing (regardless of the number of pieces sent) paid for by a primarily formed committee as an independent expenditure supporting or opposing a candidate must include the disclosures below in Arial equivalent font, in at least 10-point size, in a contrasting color, centered horizontally and, except for the names of top contributors, underlined. The names of top contributors may not be underlined and the text may not be condensed. If there are no top contributors, the "Ad paid for by" need not be underlined. All text must appear in a printed or drawn box with a solid white background at the bottom of at least one page and set apart from other printed matter.
Quick
If two or more
Tip
candidate controlled
committees pay equally for
a mass mailing, the names
and addresses of each of the
committees must appear on
at least one insert.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
· "Ad paid for by [committee's name]"
· "Committee major funding from [names of top three contributors of $50,000 or more]" each listed on a separate horizontal line, in descending order, beginning with the largest contributor. Mailings that are 20 square inches or less must only disclose the single top contributor of $50,000 or more. This text may not appear in all capital letters.
· Below the top contributor information (if any), a statement that the advertisement was not authorized by a candidate or a committee controlled by a candidate. This text must not appear in all capital letters.
Emails. Emails sent by a primarily formed committee supporting or opposing a candidate must include the "Paid for by," "Committee major funding from," and "Not authorized by" disclosures printed clearly and legibly in a contrasting color and in no less than 8-point font at the top or bottom of the email. "Committee major funding from" and "Not authorized by" disclosures must not appear in all capital letters.
Recordkeeping for Mass Mailings (including Emails)
For each independent expenditure mailing and candidate-controlled mass mailing or email communication, the following information must be retained in the committee's records for a period of four years:
· A sample of the mailing; · A record of the date of the mailing; · The number of pieces sent; and
· The method of postage used for postal mailings.
Quick
A mass mailing paid
Tip
for by an independent
expenditure must include a
statement that the mailing
was not authorized by a
candidate or a committee
controlled by a candidate.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 21
Campaign Manual 2 June 2020
G. Telephone Calls
Calls Made by Candidate Controlled Committees for their own Election
If a candidate controlled committee pays for 500 or more similar telephone calls made by vendors ("robo" calls) or paid individuals advocating the candidate's own election, the name of the organization that authorized the call must be disclosed to the recipient of the call. If the organization authorizing the call does not have filing obligations under the Act, the name of the candidate that paid for the call must be disclosed to recipients. The disclosure must include the words "paid for by" or "authorized by." The disclosure is not required for telephone calls personally dialed by the candidate, campaign manager, or volunteers. The disclosure can occur anytime during the call.
Calls Made by Committees Primarily Formed to Support or Oppose a Candidate
If a primarily formed committee pays for a telephone call that expressly advocates support for or opposition to a candidate, the name of the committee must be disclosed to recipients. The disclosure must include the words "Ad paid for by." If the call is an independent expenditure, the disclosure must also include a statement that the advertisement was not authorized by a candidate or a committee controlled by a candidate. The disclosure must also include the committee's top three contributors of $50,000 or more during the 12-month period prior to the expenditure, if any. The disclosure must be spoken clearly for at least three seconds at the beginning or end of the call, in a pitch and tone substantially similar to the rest of the call. Prerecorded telephone ads must disclose only the top two contributors of $50,000 or more unless the ad lasts 15 seconds or less or the disclosure statement would last more than eight seconds, in which case only the single top contributor must be disclosed.
Quick
Anonymous robocalls
Tip
are a violation of
the Act. Committees are
prohibited from contracting
with a vendor for political
calls that does not disclose
who paid for or authorized
the calls.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Recordkeeping for Telephone Calls
A committee must retain for a period of four years the following records for each telephone call:
· If the message was live, a script of the call.
· If the message was recorded, a copy of the recording.
Ex 7.1 - City Councilmember Reitz pays a vendor to make calls to 1,500 local voters to encourage them to reelect her to the city council. The disclosure must state that the telephone calls were paid for by the candidate's committee. For example, "[t]his call was paid for by Reelect City Councilmember Reitz 20XX."
Ex 7.2 - At City Councilmember Reitz's request, Citizens for Better Schools (a general purpose committee) pays a vendor to make calls to 1,500 local voters to encourage them to reelect Councilmember Reitz to the city council. The disclosure must identify the committee paying for the call or the candidate authorizing the call. For example, "[t]his call was paid for by Citizens for Better Schools" or "[t]his call was authorized by Councilmember Reitz."
H. Electronic Media Ads
The Act does not require a specific disclosure on some electronic media ads, such as those on non-social media websites paid for by a candidate's committee for his or her own election. However, the FPPC recommends placing "paid for by [committee name]" and the committee ID number on all public campaign materials.
Committees primarily formed to support or oppose a candidate making independent expenditures for electronic media ads are subject to the "Ad paid for by [committee name]" requirement and additional disclosure requirements as described in the chart earlier in this chapter.
Additionally, as noted at the beginning of this chapter, "online platform disclosed advertisements" have their own separate disclosure requirements. Please refer to the Online Platform Disclosed Advertisements chart in this chapter for those requirements.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
I. Newspaper, Radio and Television Ads
Radio and television ads paid for by a candidate's committee for their own election must include the following disclosures:
· Radio: "Ad paid for by" followed by name of committee as it appears on most recent Form 410 at the beginning or end of advertisement read in a clearly spoken manner with pitch and tone substantially similar to the rest of advertisement.
· Television: "Ad paid for by" followed by name of committee as it appears on most recent Form 410 shown for at least four seconds. Letters must be in a type size greater than or equal to four percent of the height of the screen.
The Act does not require a specific disclosure on newspaper ads paid for by a candidate's committee for their own election. For newspaper ad requirements, candidates and committees should check the Elections Code.
Committees primarily formed to support or oppose a candidate making independent expenditures for a newspaper, radio, or television ad to support or oppose a candidate are subject to the "Ad paid for by [committee name]" disclosure and other requirements as described in the chart earlier in this chapter.
J. Paid Spokespersons for Ballot Measure Ads
Generally, candidate controlled committees and primarily formed committees spend campaign funds only in connection with the candidate's election. However, there may be times when a committee wants to pay for an advertisement to support or oppose a ballot measure.
The Act requires specific disclosure when any committee uses a paid spokesperson in an advertisement to support or oppose a ballot measure. The committee must (1) file a Paid Spokesperson Report, Form 511, for an individual's appearance in a ballot measure advertisement and (2) include a disclosure on the ad in the following situations.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
$5,000 payment to an individual in an ad: The committee makes expenditures totaling $5,000 or more for an individual's appearance in an advertisement to support or oppose the qualification, passage or defeat of a state or local ballot measure.
Disclosure on ad: "(Spokesperson's name) is being paid by this campaign or its contributors."
Any payment to an individual in an ad portraying a professional (e.g., nurse, doctor, firefighter, scientist, engineer, lawyer, etc.): The committee makes expenditures of any amount to an individual for his or her appearance in an ad supporting or opposing the qualification, passage or defeat of a state or local ballot measure that states or suggests that the individual is a member of an occupation that requires licensure, certification, or other specialized, documented training to engage in that occupation.
Disclosure on ad: "Persons portraying members of an occupation in this advertisement are compensated spokespersons not necessarily employed in those occupations."
Note: If the individual in the ad is actually a member of the occupation portrayed, the committee may omit this disclosure, and shall maintain documentation of the individual's license or certification for the occupation. Upon request from the FPPC, the committee must provide documentation of an individual's occupation by electronic means within 24 hours.
Quick
If the committee pays
Tip
for a spokesperson in
an advertisement to support
or oppose a ballot measure,
the committee may also be
required to file the Form 511
(Paid Spokesperson Report).
See Chapter 10.
The advertisements include print, television, video, and radio ads, as well as telephone messages. The disclosures on the ads must be shown in highly visible font for print, television or video ads, or spoken in a clearly audible manner for radio ads or telephone messages. The disclosure must be shown continuously except when other required disclosures are being shown.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
K. Updating a Disclosure
Advertisement disclosures must be revised if a committee's name changes, if the order of the top contributors changes, or if there is a new $50,000 contributor. Television, radio, electronic media, or "robo" calls must be amended within five business days. Print media, mass mailings, or other tangible items must be amended every time an order to reproduce is placed.
L. Penalties
Failure to comply with the Act's disclosure requirements may result in fines of up to $5,000 per violation. In addition, any person who violates the disclosure requirements for ballot measure and independent expenditure advertisements may be liable for fines of up to three times the cost of the advertisement, including placement costs.
Answering Your Questions
A. Are the disclosure rules the same for candidate controlled committees and committees primarily formed for candidates that will be making independent expenditures?
No. Stricter disclosure rules apply to independent expenditure advertisements because it is less clear to the public who is responsible for these ads. The Act requires disclosures on a broader range of advertisements when they are paid for by a committee making independent expenditures. See the ad disclosure charts in this chapter for additional information.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
B. A committee primarily formed for a candidate has agreed to pay for several types of communications (yard signs, a billboard, door hangers) to advocate support of the candidate. The advertisements are prepared by the candidate's campaign consultant. What disclosures are required, if any?
The same disclosures are required as those for a primarily formed committee making independent expenditures except for the "not authorized by" disclosure.
C. If a business entity includes a copy of a candidate's flyer in its regular monthly mailing, is the candidate required to be identified on the outside of the mailer?
No. The candidate's name and address must be identified on the flyer only.
D. If a committee has more than one address, can any of the addresses be used on mass mailings?
Any address that is on the committee's Statement of Organization (Form 410) on file with the Secretary of State may be used.
E. A committee pays for a candidate's mailing as a nonmonetary contribution. Must the committee paying for the mailing or the candidate's committee be identified on the outside of the mailing?
The committee that pays for the mailing must be identified on the outside of the mailing.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 27
Campaign Manual 2 June 2020
F. If a candidate's committee is sending a postcard-type mailing, may the name of the committee appear only once?
Yes. The name must appear only once. The committee's address must also be included.
G. Where on the outside of the mailing must the candidate identification be placed?
There is no specific requirement for the location of the sender identification as long as it appears on the outside of the mailing. The words "paid for by" must be immediately in front of or above the committee name and address.
H. What type of disclosure is required for a committee that sends independent expenditure ads on candidates through Twitter?
Committees making independent expenditures via electronic media ads on Twitter may satisfy the Act's disclosure requirements in one of two ways: (1) providing its full disclosure statement on its Twitter profile/landing page or (2) including the phrase "Who funded this ad?" on its Twitter profile/landing page immediately followed by a hyperlink to an Internet Web site containing the full disclosure statement.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
82025 82031 82041.5 82044 82047 84305 84310 84501 84502 84503 84504 84504.1 84504.2 84504.3 84504.4
84504.5
84505 84506.5
84504.6 84504.7 84509 84511
Expenditure. Independent Expenditure. Mass Mailing. Payment. Person. Requirements for Mass Mailing. Identification Requirements for Telephone Calls. Advertisement. Disclosure; Committee Name. Top Contributor Disclosure. Disclosure; Radio and Telephone Ads. Disclosure; Video and Television Ads. Disclosure; Print Ads. Disclosure; Electronic Media Ads. Disclosure; Radio and Television Ads; Political Parties and Candidates. Disclosure;Independent Expenditure Ads; Political Parties and Candidates. Avoidance of Disclosure. Disclosure; Independent Expenditure Ads; Not Authorized by Candidate. Disclosure; Online Platform. Disclosure; Text Messages. Amended Disclosure. Ballot Measure Ads; Paid Spokesperson Disclosure.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Title 2 Regulations
18215 18225.7
18247.5 18401 18435 18440 18450.1 18450.2 18450.4 18450.5 18450.11 18523.1
Contribution. Made At the Behest of; Independent versus Coordinated Expenditures. Primarily Formed Committees. Required Recordkeeping for Chapters 4 & 5. Definition of Mass Mailing. Telephone Advocacy. Definitions. Advertisement Disclosure. Definitions. Authorized and Paid For. Video and Television Advertisement Disclosure. Amended Advertising Disclosure. Spokesperson Disclosure. Written Solicitation for Contributions.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 7. 30
Campaign Manual 2 June 2020
Committee Report Form 460
8 chapter
Generally, candidate controlled committees and committees primarily formed to support or oppose a candidate(s) use the Recipient Committee Campaign Statement (Form 460) to report campaign activity for all semi-annual and preelection statements. The Form 460 is the main campaign disclosure statement and provides the public with an overview of the committee's activity, including money coming in and money going out, during a specified reporting period.
The statement must include all activity during the specified reporting period, even if it was previously reported. For example, a contribution that was already reported on the Form 497 (24-Hour/10-Day Contribution Report) must still be reported on the committee's next Form 460.
A primarily formed committee may file the Form 450 (Committee Campaign Statement Short Form) instead of the Form 460 if, during the reporting period, the committee:
· Has not received a contribution that must be itemized (a cumulative amount of $100 or more from a single source);
· Has not received any other payment of $100 or more (miscellaneous increases to cash);
· Has no outstanding loans made or received; and
· Has no accrued expense (unpaid bills).
A primarily formed committee that has not received any contributions and has not made any expenditures during the six-month period covered by a semi-annual statement may file the Form 425 (Semi-Annual Statement of No Activity).
This chapter discusses how to complete the Form 460 and provides examples for each type of campaign activity that may have to be reported. The Forms 450 and 425 are available on the FPPC's website and include detailed instructions for completing the forms.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 1
Quick
A committee
Tip
controlled by a
candidate must use the Form
460 to report its campaign
activity the short Form
450 or Form 425 may not be
used.
Campaign Manual 2 June 2020
Recipient Committee Campaign Statement Cover Page
A Statement covers period
from
7/1/XX
B Date of election if applicable: (Month, Day, Year)
Date Stamp
COVER PAGE
460 CALIFORNIA FORM
Page xx of xx
For Official Use Only
SEE INSTRUCTIONS ON REVERSE
through
12/31/XX
11. Type of Recipient Committee: All Committees Complete Parts 1, 2, 3, and 4.
2 2. Type of Statement:
Officeholder, Candidate Controlled Committee
State Candidate Election Committee Recall
(Also Complete Part 5)
General Purpose Committee Sponsored Small Contributor Committee Political Party/Central Committee
Primarily Formed Ballot Measure Committee
Controlled Sponsored
(Also Complete Part 6)
Primarily Formed Candidate/ Officeholder Committee
(Also Complete Part 7)
Preelection Statement
Semi-annual Statement
Termination Statement (Also file a Form 410 Termination)
Amendment (Explain below)
Quarterly Statement Special Odd-Year Report
33. Committee Information
I.D. NUMBER
12344XX
COMMITTEE NAME (OR CANDIDATE'S NAME IF NO COMMITTEE)
Treasurer(s)
NAME OF TREASURER
Manuel Alvarez for Mayor 20XX
Madeline Richards
MAILING ADDRESS
225 Presley Street
STREET ADDRESS (NO P.O. BOX)
225 Presley Street
CITY
Oakmont
STATE
CA
ZIP CODE
95443
AREA CODE/PHONE
707-555-6868
CITY
STATE ZIP CODE
AREA CODE/PHONE
NAME OF ASSISTANT TREASURER, IF ANY
Oakmont
CA 95443
707-555-6868
Manuel Alvarez
MAILING ADDRESS (IF DIFFERENT) NO. AND STREET OR P.O. BOX
MAILING ADDRESS
P.O. Box 1744
225 Presley Street
CITY
STATE ZIP CODE
AREA CODE/PHONE
CITY
STATE ZIP CODE
AREA CODE/PHONE
Oakmont
CA 95434
707-555-6868
Oakmont
CA 95443
707-555-6868
OPTIONAL: FAX / E-MAIL ADDRESS
OPTIONAL: FAX / E-MAIL ADDRESS
707-555-6869/mrichards@oakmontmail.com
44. Verification
707-555-6869/mrichards@oakmontmail.com
I have used all reasonable diligence in preparing and reviewing this statement and to the best of my knowledge the information contained herein and in the attached schedules is true and complete. I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Executed on Executed on
[Date Required]
Date
[Date Required]
Date
By
[Signature Required]
Signature of Treasurer or Assistant Treasurer
By
[Signature Required]
Signature of Controlling Officeholder, Candidate, State Measure Proponent or Responsible Officer of Sponsor
Executed on Date
By Signature of Controlling Officeholder, Candidate, State Measure Proponent
Executed on
By
Date
Clear Cover Pg1
Print Form
A. Completing the Form 460 Cover Page
Signature of Controlling Officeholder, Candidate, State Measure Proponent
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
A Statement Covers Period
If this is the first statement of the calendar year, the "from" date should be January 1. Otherwise, this date should be the day after the closing date of the most recently filed campaign statement. The closing date depends on the type of statement being filed (e.g., semi-annual, preelection). The period covered will be identified on the filing schedule for the specific election.
B Date of Election
When filing a preelection statement in connection with an election, provide the date of the election.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 2
Campaign Manual 2 June 2020
1 Type of Recipient Committee Check the appropriate box to indicate the type of committee:
· Officeholder/Candidate Controlled Committee: Complete Cover Page Parts 1, 2, 3, 4, and 5.
· Primarily Formed Candidate/Officeholder Committee: Complete Cover Page Parts 1, 2, 3, 4, and 7.
2 Type of Statement
Check the appropriate box to indicate the type of statement being filed (e.g., semi-annual, preelection).
3 Committee Information and Treasurer(s)
This entire section must be completed and should include the same information as provided on the committee's most recently filed Statement of Organization (Form 410). If the committee has not yet received an identification number from the Secretary of State, enter "pending" in the "I.D. Number" box.
4 Verification
All campaign statements are signed under penalty of perjury and must be verified by the committee treasurer or the assistant treasurer named on the committee's Statement of Organization (Form 410). The verification states that the signer has used all reasonable diligence in its preparation, and that to the best of his or her knowledge, it is true and complete. The Form 460 is not considered filed if it is not signed.
If an officeholder or candidate controls the committee, he or she also must sign the verification. If two or three officeholders or candidates control the committee, each of them must sign the verification. If more than three officeholders or candidates control the committee, one may sign the verification on behalf of the others.
Some local agencies may require local candidates and committees to file campaign statements electronically. The electronic filing system must include a procedure for filers to comply with the requirement that they sign the statements under penalty of perjury.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 3
Campaign Manual 2 June 2020
Recipient Committee Campaign Statement Cover Page -- Part 2
55. Officeholder or Candidate Controlled Committee
NAME OF OFFICEHOLDER OR CANDIDATE
Manuel Alvarez
OFFICE SOUGHT OR HELD (INCLUDE LOCATION AND DISTRICT NUMBER IF APPLICABLE)
Mayor, City of Oakmont
RESIDENTIAL/BUSINESS ADDRESS (NO. AND STREET) CITY
4245 McDow Street
Oakmont
STATE
ZIP
CA 95443
Related Committees Not Included in this Statement: List any committees
not included in this statement that are controlled by you or are primarily formed to receive contributions or make expenditures on behalf of your candidacy.
COMMITTEE NAME
I.D. NUMBER
Friends Supporting Alvarez for Mayor 20XX
12399XX
NAME OF TREASURER
Karen Lucci
COMMITTEE ADDRESS
10 Main Street
CITY
Oakmont
COMMITTEE NAME
CONTROLLED COMMITTEE?
YES
NO
STREET ADDRESS (NO P.O. BOX)
STATE
CA
ZIP CODE
AREA CODE/PHONE
95443
707-111-2222
I.D. NUMBER
NAME OF TREASURER COMMITTEE ADDRESS CITY
CONTROLLED COMMITTEE?
YES
NO
STREET ADDRESS (NO P.O. BOX)
STATE
ZIP CODE
AREA CODE/PHONE
COVER PAGE - PART 2
460 CALIFORNIA FORM
Page xx
66. Primarily Formed Ballot Measure Committee
NAME OF BALLOT MEASURE
of xx
BALLOT NO. OR LETTER
JURISDICTION
SUPPORT OPPOSE
Identify the controlling officeholder, candidate, or state measure proponent, if any. NAME OF OFFICEHOLDER, CANDIDATE, OR PROPONENT
OFFICE SOUGHT OR HELD
DISTRICT NO. IF ANY
77. Primarily Formed Candidate/Officeholder Committee List names of officeholder(s) or candidate(s) for which this committee is primarily formed.
NAME OF OFFICEHOLDER OR CANDIDATE
OFFICE SOUGHT OR HELD
NAME OF OFFICEHOLDER OR CANDIDATE
OFFICE SOUGHT OR HELD
NAME OF OFFICEHOLDER OR CANDIDATE
OFFICE SOUGHT OR HELD
NAME OF OFFICEHOLDER OR CANDIDATE
OFFICE SOUGHT OR HELD
SUPPORT OPPOSE
SUPPORT OPPOSE
SUPPORT OPPOSE
SUPPORT OPPOSE
Attach continuation sheets if necessary
B. CompletiCnlegar Ctohveer PFg2orm 4P6r0int CForomver Page Part 2
5 Officeholder or Candidate Controlled Committee
Provide the name of the officeholder or candidate controlling the committee and indicate the office sought or held, including the location and district number, if any. If more than one candidate controls the committee, include the required information for all controlling candidates in an attachment.
Related Committees Not Included in this Statement
If the officeholder or candidate controls any other committees (i.e., ballot measure committee, legal defense fund committee, another election committee), those committees must be listed. If the candidate is aware of any primarily formed committees that exist to
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 4
Campaign Manual 2 June 2020
receive contributions or to make expenditures on behalf of his or her candidacy, those committees must also be listed.
6 Primarily Formed Ballot Measure Committee
Candidate controlled committees and primarily formed candidate/ officeholder committees do not complete Part 6.
7 Primarily Formed Candidate/Officeholder Committee
Provide the name(s) of the officeholder(s) or candidate(s), the office(s) sought or held, and indicate whether the committee is supporting or opposing the officeholder(s) or candidate(s).
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Campaign Disclosure Statement Summary Page
Amounts may be rounded to whole dollars.
Statement covers period
from
7/1/XX
SUMMARY PAGE
460 CALIFORNIA FORM
SEE INSTRUCTIONS ON REVERSE
NAME OF FILER
Manuel Alvarez for Mayor 20XX
1
Contributions Received
A
Column A
TOTAL THIS PERIOD
(FROM ATTACHED SCHEDULES)
B
1. Monetary Contributions ................................................... Schedule A, Line 3 $ 2. Loans Received................................................................ Schedule B, Line 3 3. SUBTOTAL CASH CONTRIBUTIONS .............................. Add Lines 1 + 2 $ 4. Nonmonetary Contributions............................................ Schedule C, Line 3 5. TOTAL CONTRIBUTIONS RECEIVED ....................................Add Lines 3 + 4 $
2 Expenditures Made
6. Payments Made................................................................ Schedule E, Line 4 $ 7. Loans Made....................................................................... Schedule H, Line 3 8. SUBTOTAL CASH PAYMENTS.......................................... Add Lines 6 + 7 $ 9. Accrued Expenses (Unpaid Bills) .......................................... Schedule F, Line 3 10. Nonmonetary Adjustment......................................................... Schedule C, Line 3 11. TOTAL EXPENDITURES MADE........................................ Add Lines 8 + 9 + 10 $
6,773 $ 9,000 15,773 $ 6,500 22,273 $
40,950 $ 1,000 41,950 $ 1,550 6,500 50,000 $
through
12/31/XX
Page xx of xx
I.D. NUMBER
12344XX
Column B
CALENDAR YEAR TOTAL TO DATE
100,000 11,000
111,000 6,500
117,500
Calendar Year Summary for Candidates Running in Both the State Primary and General Elections
1/1 through 6/30
7/1 to Date
20. Contributions
Received $
$
21. Expenditures
Made
$
$
75,750 1,000
76,750 3,550 6,500
86,800
Expenditure Limit Summary for State Candidates
22. Cumulative Expenditures Made*
(If Subject to Voluntary Expenditure Limit)
Date of Election (mm/dd/yy)
Total to Date
/
/
$
3 Current Cash Statement
12. Beginning Cash Balance ............................ Previous Summary Page, Line 16 $ 13. Cash Receipts ........................................................... Column A, Line 3 above 14. Miscellaneous Increases to Cash .................................. Schedule I, Line 4 15. Cash Payments ......................................................... Column A, Line 8 above 16. ENDING CASH BALANCE ..................Add Lines 12 + 13 + 14, then subtract Line 15 $
If this is a termination statement, Line 16 must be zero.
4 17. LOAN GUARANTEES RECEIVED ................................ Schedule B, Part 2 $
5 Cash Equivalents and Outstanding Debts 18. Cash Equivalents ................................................ See instructions on reverse $
6 19. Outstanding Debts .............................. Add Line 2 + Line 9 in Column B above $
Clear Summ Pg
Print Form
39,500 15,773 3,000 41,950 16,323
10,000
1,000 14,550
/
/
$
To calculate Column B, add amounts in Column A to the corresponding amounts from Column B of your last report. Some amounts in Column A may be negative figures that should be subtracted from previous period amounts. If this is the first report being filed for this calendar year, only carry over the amounts from Lines 2, 7, and 9 (if any).
*Amounts in this section may be different from amounts reported in Column B.
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
C. Completing the Form 460 Summary Page
The Summary Page provides an overview of the committee's financial activities, including all contributions received and expenditures made during the period covered by the statement. The Summary Page also includes the cumulative totals for contributions received and expenditures made during the calendar year. Although the Summary Page is located at the beginning of the Form 460, it should be completed last. Totals from certain schedules are carried forward to the Summary Page.
Quick
Complete the
Tip
Summary Page after
all other schedules have
been completed. Totals
from some of the schedules
are carried forward to the
Summary Page.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
A Column A Total This Period
This column reflects the committee's activity through the current reporting period as reported on Schedules A through I. If there is no activity to report on a particular schedule, enter a zero or the word "none" on the appropriate line in Column A. There should be no blank lines.
B Column B Total to Date
This column generally reflects the cumulative totals since January 1 of the current calendar year. However, there is an exception if a committee is required to file a preelection statement in one year in connection with an election held in another year, such as elections held in January or early February. In this case, the cumulation period begins on January 1 of the year before the election and ends on the closing date of the semi-annual statement filed after the election.
Add the totals from Column B of the committee's last campaign statement (if any) to the corresponding amounts in Column A to calculate the Column B totals for the current statement. If this is the first report being filed for a calendar year, only carry forward the amounts for loans and accrued expenses reported on Lines 2, 7, and 9 of Column B from the committee's last statement. (Note: The amounts reported on Lines 2, 7, and 9 of Column B should be the same as the total outstanding amounts disclosed in column (d) of Schedules B, H, and F, respectively, of the current report.)
When loans (Schedules B and H) and accrued expenses (Schedule F) are paid, the figures to be carried forward from the schedules to Lines 2, 7, and 9 of Column A may be negative numbers. In this case, be sure to show them as negative figures on the Summary Page (e.g., with a minus sign (-) or in parentheses), and subtract them when totaling Columns A and B.
Quick
Loans and accrued
Tip
expenses must be
reported on each campaign
statement until the amounts
are paid off or forgiven.
1 Lines 1-5 (Contributions Received)
Collectively, these lines represent contributions received: monetary, nonmonetary, and loans.
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Campaign Manual 2 June 2020
2 Lines 6-11 (Expenditures Made)
Collectively, these lines represent expenditures made: payments, loans made, accrued expenses (bills that are still outstanding), and nonmonetary adjustments.
3 Lines 12-16 (Current Cash Statement)
The Current Cash Statement section should accurately reflect the committee's cash position at the end of the reporting period. If deposits or expenditures have been made that have not cleared the bank account, the committee's bank balance may not match the ending cash balance.
Beginning and ending cash balances should include the total amount of funds in the committee's campaign checking and savings accounts, plus any investments that can be readily converted to cash, such as certificates of deposit, money market accounts, stocks and bonds, etc.
Line 12 (Beginning Cash Balance)
The beginning cash balance must be the same as the ending cash balance reported on Line 16 of the previously filed statement. If this is the first statement of the calendar year and no previous statement has been filed but money was raised or spent in the previous reporting period, enter the amount of cash on hand on December 31. Otherwise, enter zero.
Line 13 (Cash Receipts)
This amount represents the total of all monetary contributions and loans received during the reporting period. Nonmonetary contributions should not be included.
Line 14 (Miscellaneous Increases to Cash)
This amount represents increases to the committee's cash position that are not contributions, loans, or repayments of loans made to others. Miscellaneous increases to cash include, for example, interest received from a bank account, refunds received from vendors, and proceeds from the sale of campaign property or auction items. The amount is carried forward from Schedule I.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Together, Lines 13 and 14 reflect all money that has been received during the current reporting period.
Line 15 (Cash Payments)
This amount represents the total amount the committee has spent during the reporting period, including loans made and any accrued expenses paid.
Line 16 (Ending Cash Balance)
This amount represents the total of Lines 12, 13, and 14 minus Line 15. The amount reported on Line 16 must equal the total amount of cash the committee has in its campaign bank account and the amount of all funds held in interest bearing accounts, certificates of deposit, money market accounts, shares in government bonds, or any other investments that can be readily converted to cash.
If this is a termination statement, Line 16 must be zero.
4 Line 17 (Loan Guarantees Received)
This amount represents the total of all loan guarantees, endorsements, or security received during the period. The amount is carried forward from Schedule B, Part 2.
5 Line 18 (Cash Equivalents)
This amount includes investments that cannot be readily converted to cash, as well as the balance due on all outstanding loans the committee has made to others.
Do not include any amount that is invested in interest bearing accounts, certificates of deposit, money market accounts, or any other investments that can be readily converted to cash. These amounts should be part of the ending cash figure reported on Line 16.
6 Line 19 (Outstanding Debts)
This amount is the total of all money owed by the committee. Using Column B, add Line 2 (loans received) and Line 9 (accrued expenses).
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Lines 20, 21, & 22
These lines are for certain state candidates only. Local committees do not complete these sections.
Answering Your Summary Page Questions
A. Is there any circumstance where Line 16, Ending Cash Balance, would be a negative amount?
If you report a negative amount on Line 16, this means that either you have made a mathematical error in your calculations or the committee's bank account is overdrawn. Rounding off also may cause a small negative in the cash on hand balance.
B. Is there any circumstance where an amount in Column A would be negative?
Yes. When loans and accrued expenses are paid down, the amount reflected in Column A may be a negative amount.
C. What should I do if I am unable to balance my accounting records by the filing deadline?
Since the Political Reform Act does not provide for filing deadline extensions, complete the form as accurately as you can and file by the deadline. You should file an amendment with the corrections as soon as possible.
D. What is the most common mistake made on the Form 460 Summary Page?
Loan repayments are often reported twice, once on Schedule B and again on Schedule E. When the committee makes a loan repayment, it should only be reported on Schedule B.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 10
Campaign Manual 2 June 2020
D.General Rules for Reporting Contributions Received on Schedule A
Chapter 3 provides detailed information on the following topics, as well as other contribution reporting rules. The information below is a short summary of some of the most common reporting rules.
$5,000 Contributor Major Donor Notice
If contributions totaling $5,000 or more are received from a single source in a calendar year, a "major donor" notice must be sent to the contributor within two weeks. If a contribution of $10,000 or more is received from a single source within 90 days before the election or on the date of the election, the notice must be sent within one week. Do not send the notice if the contribution is from another recipient committee.
Joint Checking Account
If a check is received that is imprinted with two individuals' names, report the contribution from the person who signed the check. However, if both individuals signed the check, or one signed the check but both have signed an accompanying document indicating that the contribution is from both, then report 50 percent of the contribution amount from one individual and 50 percent from the other, unless the document attributes specific amounts to each contributor.
Reporting Earmarked Contributions
A committee that makes a contribution to another committee earmarked for a third specifically identified committee must disclose the specifically identified committee as the recipient of the contribution and the other committee as an intermediary at the time the earmarked contribution is made. The specifically identified committee must disclose the contributor and intermediary at the time the funds are received from the intermediary. The intermediary must disclose receipt of the funds as a miscellaneous increase to cash on Schedule I of Form 460 at the time the funds are received and must disclose the expenditure as the transfer of an earmarked contribution from the contributor to the specifically identified committee at the time the funds are given to the specifically identified committee.
Ex 8.1 -Sarah Gomez made a $500 contribution to your committee and notified you that she would later be reimbursed by her employer, Hilltop Dairy. Your committee will report Hilltop Dairy as the source of the contribution and must also disclose Sarah as the intermediary.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
A committee that makes a contribution to another committee and subsequently reaches an agreement with that committee that all or a portion of the contribution would be used for another committee, ballot measure or candidate must include a notation on its next statement that the original contribution was subsequently earmarked, including the name of the specifically identified committee, ballot measure, or candidate. The committee that initially received the funds must also include a notation on its next statement that the original contribution was subsequently earmarked and must disclose the original contributor to any new committee to which it transfers the earmarked funds. The new committee shall disclose the true source of the contribution with a notation that the contribution was earmarked to the specific ballot measure or candidate.
A committee that makes a contribution earmarked for a specifically identified ballot measure or candidate must disclose a contribution to the committee that received the contribution with a notation that the contribution was earmarked to the specific ballot measure or candidate. The committee receiving the earmarked contribution must disclose the contributor with a notation that the contribution was earmarked for the specific ballot measure or candidate when the contribution is received. This committee is solely responsible for disclosing the ultimate use of the earmarked contribution, whether by contribution or expenditure, at the time the funds are used. If the committee receiving the earmarked contribution contributes any portion of the contribution to another committee to support or oppose the specifically identified ballot measure or candidate, that committee shall disclose the true source of the contribution to the new committee receiving the earmarked funds for disclosure on the new committee's campaign report. The new committee shall disclose the true source of the contribution with a notation that the contribution was earmarked to the specific ballot measure or candidate.
Intermediary
If a contribution of $100 or more is received from a person who is acting as an intermediary for the true source of the contribution, disclose both the true source of the contribution and the intermediary. Failure to report the true source of a contribution is a serious violation of the Act.
Ex 8.2 -Temple Construction is a subsidiary of Temple Enterprises. Contributions made by the two entities must be aggregated and they qualify as a major donor. Your committee receives a contribution from Temple Construction. Temple Construction is required to notify you that its contribution is reported on a campaign statement filed under the name of Temple Enterprises. Your committee must identify both names on its report and, if you receive contributions from both entities, the contributions must be aggregated for purposes of reporting cumulative amounts.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Contributions from Family Trusts
If a contribution is received from a family trust account, it is attributed to the person who directed the contribution.
Aggregating Contributions
There are a variety of situations in which contributions from two or more contributors must be aggregated for reporting purposes. For example, when an individual who is the sole proprietor of a company makes a contribution from company funds and another contribution from personal funds, these contributions are added together for reporting purposes. Additional information and several examples are included in Chapter 3.
If contributions that must be aggregated are received from a major donor (i.e., an individual or business entity that makes contributions totaling $10,000 or more in a calendar year), the major donor must notify each committee to which it makes a contribution of the name under which the major donor is filing its campaign statement (Form 461). When reporting the contribution received, the recipient of the contribution must identify the name under which the major donor is filing its Form 461 and the name of the contributor, if it is different.
Contributor Information
If a committee receives a contribution of $100 or more, but does not receive the required contributor information (name, address, and if the contributor is an individual, his or her occupation and employer) within 60 days of receiving the contribution, the committee must return the contribution to the contributor. Contributions may be deposited in the committee's bank account pending receipt of the information, in which case they must be reported on the next campaign statement (Form 460) filed. The campaign statement must be amended within 70 days from its closing date to disclose the missing contributor information, unless the contribution was returned to the donor.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 13
Campaign Manual 2 June 2020
See the chart below for examples of acceptable ways to report an individual's occupation and employer.
Individual Donor Information
(Contributors of $100 or more)
Complete
· Retired
· Consultant, A Better Business Agency
· Self-Employed, No Separate Business Name
· Homemaker or Student
· Private Investor: stocks & bonds
· Lawyer, Ortiz & Smith
Incomplete
· Manager
· Next Door Neighbor
· Friend · ABBA (no
acronyms)
· Business Person
· Entrepreneur
· Investor
Contributions of $100 or more must be returned within
60 days if individual's name,
street address, occupation, and employer are not
obtained.
Calendar Year Cumulation Exception
The cumulation period for a statement is generally January 1 through December 31 of the current calendar year. However, there is an exception if a committee is required to file a preelection statement in one calendar year in connection with an election held in the next calendar year, such as elections held in January or early February. In this case, the cumulation period begins on January 1 of the year before the election and ends on the closing date of the semi-annual statement filed after the election.
Ex 8.3 - A city calls a February 4 special election to fill a vacant city council position. Candidates running in the February 4 election are required to file two preelection statements in connection with the election. The first preelection statement is due in December of the year prior to the year in which the election will be held. In this case, the cumulation period begins on January 1 of the year before the election and ends on the closing date of the semi-annual statement filed after the election.
Returned Contributions
Not Deposited: A contribution need not be reported if it is not cashed, negotiated, or deposited and is returned to the contributor before the closing date of the campaign statement on which it would otherwise be reported. A contribution of $1,000 or more received in the 90 days prior to the election, or on the date of the election, need not be reported if it is not cashed, negotiated, or deposited and is returned to the contributor within 24 hours of receipt.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 14
Campaign Manual 2 June 2020
Deposited, Negotiated, or Returned After Closing Date: A contribution that is cashed, negotiated, or deposited, and is not returned prior to the closing date of the campaign statement, must be reported on Schedule A. If the contribution is returned within 30 days of receipt, and within the reporting period, the return may be shown as a negative figure on Schedule A. Otherwise, the return of the contribution must be reported on Schedule E.
Returned for Insufficient Funds: If the committee deposits a check and the check is returned from the bank due to insufficient funds, both the receipt and the return of the contribution may be reported on Schedule A (the return will be reported as a negative amount) if the committee returns the check to the contributor during the same reporting period. Otherwise, the return of the contribution must be reported on Schedule E.
Transfers
If campaign funds are transferred from one of a candidate's controlled local election committees to another, the transfer is reported by the receiving committee on Schedule I, not on Schedule A.
Enforceable Promises
If a contribution is received in the form of an "enforceable promise" that has not been paid during the period, report the contribution as a memo entry on Schedule A.
Disclose the date of the promise, all of the required information about the contributor, and the amount promised, but do not include the amount in the summary totals. When the contributor makes the actual payment, fully disclose the contribution on Schedule A, if the payment is made to the committee, or on Schedule C, if the contributor pays the vendor directly, and include the amount in the appropriate summary section.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 15
Campaign Manual 2 June 2020
Installment Payments
Contributions may be received as installment payments made at regular intervals over a period of time via credit card, debit card, wire transfer, or similar electronic means. When a contributor authorizes a series of installment payments, the contribution is reported as received when the committee, or agent of the committee, obtains possession or control of the funds for each installment payment.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 16
Campaign Manual 2 June 2020
Schedule A Monetary Contributions Received
Amounts may be rounded to whole dollars.
Statement covers period
from
7/1/XX
SCHEDULE A
460 CALIFORNIA FORM
SEE INSTRUCTIONS ON REVERSE
through
12/31/XX
Page xx of xx
NAME OF FILER
I.D. NUMBER
1 2 Manuel Alvarez for Mayor 20XX
34
5
DATE RECEIVED
* FULL NAME, STREET ADDRESS AND ZIP CODE OF CONTRIBUTOR (IF COMMITTEE, ALSO ENTER I.D. NUMBER)
CONTRIBUTOR CODE
IF AN INDIVIDUAL, ENTER
OCCUPATION AND EMPLOYER
(IF SELF-EMPLOYED, ENTER NAME OF BUSINESS)
6
12344XX
7
AMOUNT
CUMULATIVE TO DATE
PER ELECTION
RECEIVED THIS
CALENDAR YEAR
TO DATE
PERIOD
(JAN. 1 - DEC. 31)
(IF REQUIRED)
9/2/XX
Joey's Super Market 500 North Mesa Street Oakmont, CA 95443
IND COM
OTH
PTY SCC
$5,000
$5,000
10/15/XX
Martin Developers 1650 Wingfield Road Oakmont, CA 95443
IND
COM
OTH
PTY
SCC
$198
$198
Intermediaries: Marcus Brown $99 325 Richmond Road, Oakmont, CA 95443
IND
COM OTH PTY SCC
Bookkeeper, Martin Developers
Ashley Green $99 448 Harbor Drive Oakmont, CA 95443
IND
COM OTH PTY SCC
Sales Representative, Martin Developers
12/15/XX
Angel Trujillo 6688 Fourth Avenue Oakmont, CA 95443
IND
COM OTH PTY SCC
Requested
$75
$300
8Schedule A Summary
SUBTOTAL $
1. Amount received this period itemized monetary contributions. (Include all Schedule A subtotals.) .........................................................................................................$
2. Amount received this period unitemized monetary contributions of less than $100 ...........................$
3. Total monetary contributions received this period. (Add Lines 1 and 2. Enter here and on the Summary Page, Column A, Line 1.)......................TOTAL $
Clear Sch A
Print Form
E.Completing the Form 460 Schedule A (Monetary
Contributions Received)
5,273
5,273 1,500
6,773
*Contributor Codes
IND Individual COM Recipient Committee
(other than PTY or SCC) OTH Other (e.g., business entity) PTY Political Party SCC Small Contributor Committee
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
Schedule A is used to report monetary contributions received by the committee, except for loans received, which are reported on Schedule B. Payments received for repayments on loans made to others are reported on Schedule H. Payments received that are not contributions, loans, or repayments of loans made to others, are reported as miscellaneous increases to cash on Schedule I.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 17
Campaign Manual 2 June 2020
1 Date Received
Enter the date the committee obtained possession or control of the contribution. For instance, in the case of a check, report the date the check was received, which may differ from the date the check was written and the date the check was deposited.
For contributions received by electronic transaction (such as credit card, debit account, or wire transfer, including those received over the Internet), report the date the committee received or had control of the credit/debit account information or other payment information, or the date the committee received or had control of the funds, whichever is earlier. Chapter 2 provides several examples of different types of contributions and when they are deemed "received."
2 Contributor Information
Itemize persons that have contributed to the committee a cumulative amount of $100 or more during the calendar year. Provide each contributor's full name, street address, city, state, and zip code. Many local agencies require itemization at a lower threshold so check with your elections office.
If the contributor is a recipient committee, report that committee's identification number. If an identification number has not yet been assigned or is unknown, report the full name, street address, city, state, and zip code of that committee's treasurer.
If a contribution is received through an intermediary, provide the name, street address, city, state, zip code, and, if applicable, occupation and employer, of both the intermediary and the true source of the contribution. (See Chapter 3.)
3 Contributor Code
For each itemized contributor, check the appropriate box to indicate whether the contributor is an individual, a committee, "other" (such as a business entity), or a political party. (The code "SCC" is for small contributor committees and is applicable only to state candidates and committees.)
Ex 8.4 - Wade Murphy contributed $25 to your committee during the first reporting period of the calendar year. On your committee's first campaign statement, Wade's contribution was not required to be itemized. During the second reporting period, Wade contributed $99 to your committee. Since his cumulative contributions for the calendar year are now $100 or more, Wade must be itemized on the second campaign statement. The $99 contribution will be reported under "amount received this period" and $124 will be reported as the "cumulative to date" total. His name, address, occupation, and employer must also be disclosed.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 18
Campaign Manual 2 June 2020
4 Occupation and Employer Information
If the contributor is an individual, provide the individual's occupation and the name of his or her employer. If the individual is self-employed, provide the name of his or her business. Do not leave this column blank. If the information has not yet been obtained, enter "requested" or similar language and amend Schedule A when the information has been received.
Quick
Once a committee
Tip
has received $100 or
more from a contributor in
a calendar year, all future
contributions received from
that contributor in that
calendar year, regardless
of the amount, must be
itemized.
As explained in Chapter 2, a contribution of $100 or more must be returned if the contributor's name, street address, and if the contributor is an individual, his or her occupation and employer are not in the committee's records within 60 days of receipt of the contribution.
5 Amount Received This Period Report the amount of the contribution.
6 Cumulative to Date
Enter the cumulative amount of contributions (including monetary contributions, nonmonetary contributions, loans, and loan guarantees) received from the contributor. Contributions from a single source are generally cumulated from January 1 through December 31 of the current calendar year. However, there is an exception to calendar year cumulation if the committee is required to file a preelection statement in one calendar year in connection with an election held in the next calendar year. See "Calendar Year Cumulation Exception" under Section D., General Rules for Reporting Contributions Received on Schedule A.
The amount listed in the "Cumulative to Date Calendar Year" column will differ from the "Amount Received This Period" column if the committee has received other contributions, including nonmonetary contributions, loans, or loan guarantees from the same source during the calendar year. Once a committee has received $100 or more from a contributor in a calendar year, all future contributions received from that contributor in that calendar year, regardless of the amount, must be itemized.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 19
Campaign Manual 2 June 2020
7 Per Election to Date
The "Per Election to Date" column is generally for state candidates and committees that are subject to contribution limits. The Act does not contain contribution limits for local candidates and committees; however, local ordinances may include limits and other restrictions and reporting requirements. Local candidates and committees should check with the local elections office about reporting obligations under local laws.
8 Schedule A Summary
Complete the Schedule A Summary section by entering the total amount of itemized contributions ($100 or more) received this period on Line 1 and the total amount of unitemized contributions (less than $100) received this period on Line 2. Add Lines 1 and 2 and enter that amount on Line 3. The amount on Line 3 is carried forward to the overall Summary Page, Column A, Line 2.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 20
Campaign Manual 2 June 2020
Schedule B Part 1 Loans Received
to whole dollars.
Statement covers period
from
7/1/XX
460 CALIFORNIA FORM
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
through
12/31/XX
Page xx
I.D. NUMBER
of xx
Manuel Alvarez for Mayor 20XX
Schedule B Part 1 LoFaULnLsNARMEe, ScTReEOiEvFTLeAEDdNDDREERSS AND ZIP CODE
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
Amounts may be rounded
IF AN INDIVIDUAL, ENTER
OCCUPATION AND EMPLOYER
(IF SELF-EMPLOYED, ENTER NAME OF BUSINESS)
tOoUwThSoT(Aale)NdDoINllGars.
(b) AMOUNT
BALANCE BEGINNING THIS
PERIOD
RECEIVED THIS PERIOD
SAEmE eINrSicTaRUnCCTIrOeNdSitOUN nREioVnERSE N3A5M0ESOoFuFtILhERPark Street OMaaknmueolnAt,lvCaAre9z5f4o4r3Mayor 20XX
1
2 FULL NAME, STREET ADDRESS AND ZIP CODE
IND
COM OF LEONTDHER PTY
SCC
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
IF AN INDIVIDUAL, ENTER
OCCUPATION AND EMPLOYER
(IF SELF-EMPLOYED, ENTER NAME OF BUSINESS)
Manuel Alvarez
Editor, Oakmont Weekly
A42m4e5riMcacnDCowredSittreUention 3O5a0kmSoountth, CPAar9k5S4t4re3et Oakmont, CA 95443
IND IND
COM COM
OTH OTH
PTY PTY
SCC SCC
a 0 $OUTST(Aa)NDING
BALANCE BEGINNING THIS
PERIOD
b $
1(0b),000
AMOUNT
RECEIVED THIS
PERIOD
$ $
2,000 0
$ $
10,0000
(c)
Statem(de) nt covers per(ieo)d
OATMRHOIFSUOPNRETGRIPIVOAEIDDN*froCmOLBUOATPSLSEAETRNAOICNOFEDDTIANHT7GIS/1/XXIPNPATEIDERRTIOEHDSIST
PAID
through
12/31/XX
$
0
c FORGIVEN
$
0 (c)
AMOUNT PAID
OR FORGIVEN
THPIASIDPERIOD *
$ 10,000
d
7/1/(Xd) X
OBUADTLASATTENADCNUEDEIANTG CLOSE OF THIS
PERIOD
5%
RATE
e
$
(e) 250
INTEREST
PAID THIS
PERIOD
$ $
PAID1,000 0
FORGIVEN
FORGIVEN
$ $
00
$ 1,000 $ 10,000
N/A 7DA/T1E/XDUXE
$ $
DATE DUE
0% 5RATE %
RATE
-0250
Manuel Alvarez 4245 McDow Street Oakmont, CA 95443
Editor, Oakmont Weekly
PPAAIIDD $$ 1,000 $$
FORGIVENN
1,000
0 %%
RRAATTEE
12344XSXCHEDULE B - PART 1
460 COARLIG(IfIF)NOALRNIACUMU(gL)ATIVE
AMOFUONTROMF CONTRIBUTIONS
LOAN
TO DATE
Page xx I.$D. N1U0M,B0E0R0
f 12344XX 7/1(/fX) X
DAOTERIINGCIUNRARLED AMOUNT OF LOAN
oCfALENDxAxR YEAR
$
N/A
g PER ELECTION**
$
(g) N/A
CUMULATIVE
CONTRIBUTIONS
CALTEONDDAARTYEEAR
$ 2,000 $ 10,000
1/15/XX DAT7E/I1N/CXURXRED
DATE INCURRED
$CALEND2A,R0Y0E0AR $PER ELECNTIO/AN **
PER ELECTION**
$ $
N/A N/A
CCAALLEENNDDAARR YYEEAARR
$$ 2,000 $$ 2,000 PPEERR EELLEECCTTIIOONN****
IND
COM
OTH
PTY
SCC
$
2,000 $
0 $
0
N/A
$ $
DDAATTEE DDUUEE
-0- 1/15/XX $$ DDAATTEE IINNCCUURRRREEDD
N/A
3
Schedule B Summary
SUBTOTALS $
10,000 $ PAID1,000 $
11,000 $
250
$
$
%
$
(EnteRr A(TeE) on
FORGIVEN
Schedule E, Line 3)
CALENDAR YEAR
$
PER ELECTION **
1 .
Loans received this period .................................................................$.......................$.....................$.......$ (ITNoDtal CoCluOmM n (b)OTpHlus unPitTeYmizedSCloCans of less than $100.)
10,000 $
DATE DUE
$ DATE INCURRED
Contributor Codes
2. Loans paid or forgiven this period ...................................................S..U..B...T.O...T..A..L..S.....$..........1..0..,.0..0..0...$..........$1,000 $ Sch(Teodtaul CleolBumSnu(cm) pmluasrlyoans under $100 paid or forgiven.)
111,0,00000 $
25I0ND Individual
(Enter (e) on COM Recipient Committee
Schedule E, Line 3)
(other than PTY or SCC)
1. (LIonaclnusderelcoeainvesdpathidisbpyeariothdi.r.d...p..a..r.t.y...t.h..a..t..a..r.e...a..l.s..o...it.e..m...i.z..e..d...o..n...S..c..h..e..d..u..l.e...A....)...........................................$ (Total Column (b) plus unitemized loans of less than $100.)
3. Net change this period. (Subtract Line 2 from Line 1.) .............................................................. NET $
10,000 9,000
OTH Other (e.g., business entity) PTY Political Party SCoCntriSbumtoarllCCoodnetrsibutor Committee
2. ELonatenrsthpeaindeotrhfeoregiavennd tohnisthpeerSioudm..m...a..r.y...P..a..g..e..,..C...o..l.u..m...n...A..,..L..i.n..e...2..........................................................$ (May be a negative n1u,m0be0r)0 (Total Column (c) plus loans under $100 paid or forgiven.)
IND Individual COM Recipient Committee
(other than PTY or SCC)
*A(mInoucnlutsdfeorgloivaennsorppaaiidd bbyyaanotthheirrdpapratyrtaylstohmatusatrbee arelspoortietedmonizSecdheodnuleSAc.hedule A.)
OTH OtFhPePr C(eF.go.r,mbu4s6in0e(sJsane/n2ti0ty1)6)
** 3.
If required. Net change this period. (Subtract Line 2 from Enter the net here and on the Summary Page,
Line 1.) Column
.A..,..L..i.n..e...2..............C...l.e..a..r..S...c..h....B...-.1............P. NrEinTt
F$orm(May
be
a
9,000FPPC
negative number)
Advice:
aPSdTCviYCce@PSfompliptaiccll.acClaoP.gnaotrrtviyb(u8to6r6C/2o7m5m-3i7tt7e2e) www.fppc.ca.gov
*Amounts forgiven or paid by another party also must be reported on Schedule A. ** If required.
Clear Sch B-1
Print Form
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
F. Completing the Form 460 Schedule B Part 1 (Loans Received)
Schedule B is used to report activity on loans received by the committee. Outstanding loans are reported on each campaign statement until they are paid off or forgiven. Schedule B has two parts:
· Part 1 lists loans received or outstanding, and the repayment, forgiveness, or payment by a third party of a loan previously received.
· Part 2 lists information about loan guarantors, if any.
Quick
If the committee has
Tip
drawn on a line of
credit, it is reported as a
loan.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 21
Campaign Manual 2 June 2020
1 Lender Information and Contributor Code
Provide the full name, street address, city, state, and zip code, of each lender of $100 or more. For each itemized lender, check the appropriate box to indicate whether the lender is an individual, a committee, "other" (such as a business entity), or a political party. (The code "SCC" is for small contributor committees and is applicable only to state candidates and committees.)
Financial Institution
If a financial institution (i.e., bank or credit union) has made a loan to the committee, or the committee has drawn on a line of credit from a financial institution, report the institution as the lender, even if the candidate has established the line of credit.
Quick
A loan received
Tip
from a commercial
lending institution in the
normal course of business
is reportable on Schedule
B but is not considered a
contribution. Contributor
codes and cumulative
amounts are only
required for loans that are
contributions.
2 Individual Lender
If the lender is an individual (including a candidate or officeholder using personal funds to make a loan to his or her committee), provide the individual's occupation and the name of his or her employer. If the individual is self-employed, provide the name of his or her business. Do not leave this column blank. If this information has not yet been obtained, enter "requested" or similar language and amend Schedule B, Part 1, when the information is received. (See Chapter 2 for information about the requirement to return contributions/loans if the name, address, occupation, or employer information is not received.)
Loan Amounts
a Outstanding Balance Beginning This Period
Enter the outstanding loan balance at the beginning of this reporting period (Column (d) of the last report filed). If the loan was received this period, enter zero.
Quick
A candidate or
Tip
officeholder who
deposits personal funds into
his or her own campaign
bank account may report the
funds as a loan on Schedule
B or as a contribution on
Schedule A.
Quick
Report each loan
Tip
separately, even if
the committee has received
more than one loan from a
single source.
b Amount Received This Period
Enter the amount received from the lender during this reporting period. If this loan was received in a previous reporting period, enter zero.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 22
Campaign Manual 2 June 2020
c Amount Paid or Forgiven This Period
Enter the amount of any reduction of the loan during this reporting period. Check the appropriate box to indicate whether the reduction was a payment or forgiveness. When the lender forgives all or part of a loan, or a third party makes a payment on a loan, also report the lender or third party on Schedule A as a contributor. Enter zero if no payments were made during this reporting period.
d Outstanding Balance at Close of This Period
Enter the outstanding balance of the loan at the close of this reporting period. Enter the due date, if any.
e Interest Paid This Period
Enter the interest rate and the amount of interest paid on the loan during this reporting period. If the lender is not charging interest, indicate "none" on the "interest rate" line. Interest paid is reported separately from payments made on the loan principal. Interest payments are also transferred to the Schedule E Summary.
f Original Amount of Loan
Enter the original amount of the loan and the date it was received. If this is the first time the loan is being reported, this is the same amount as reported in Column (b).
g Cumulative Contributions to Date
Enter the cumulative amount of contributions (including loans, loan guarantees, monetary and nonmonetary contributions) received from the lender. Contributions from a single source are generally cumulated from January 1 through December 31 of the current calendar year. However, there is an exception to calendar year cumulation if the committee is required to file a preelection statement in one calendar year in connection with an election held in the next calendar year. See "Calendar Year Cumulation Exception" under Section D., General Rules for Reporting Contributions Received on Schedule A.
Quick
Do not report the
Tip
repayment of a loan
on Schedule E. Only the
"Interest Paid This Period"
should be reported on
Schedule E.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 23
Campaign Manual 2 June 2020
The "Per Election to Date" column is generally for state candidates and committees that are subject to contribution limits. The Act does not contain contribution limits for local candidates and committees; however, local ordinances may include limits and other restrictions and reporting requirements. Local candidates and committees should check with the local elections office about reporting obligations under local laws.
3 Schedule B Summary
Complete the Schedule B Summary by entering the total amount of loans received this period on Line 1 and the total amount of loans paid or forgiven on Line 2. Subtract Line 2 from Line 1 and enter the difference (net change this period) on Line 3. The amount on Line 3 will be a negative amount when the loans paid or forgiven this period are more than the amount of new loans received. The amount on Line 3 is carried forward to the overall Summary Page, Column A, Line 2.
Outstanding Loans Received (Summary Page Column B, Line 2)
Loans received are carried forward on future statements until they are paid off or forgiven. To determine the amount for Column B, Line 2 of the overall Summary Page, add the amount from Column A, Line 2 of this statement to the amount of Column B, Line 2 of the previous statement. If the amount in Column A, Line 2 is a negative number, subtract it from the amount in Column B, Line 7 of the previous statement.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 24
Campaign Manual 2 June 2020
Joseph Alvarez 445 C Street Oakmont, CA 95443
IND
COM OTH PTY SCC
Realtor, Alvarez and Mitchell Realty
American Credit Union
DATE
7/1/XX
$10,000
$ 10,000
PER ELECTION (IF REQUIRED)
$
N/A
$10,000
Schedule B Part 2 Loan Guarantors
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
Manuel Alvarez for Mayor 20XX
1
FULL NAME, STREET ADDRESS AND
ZIP CODE OF GUARANTOR
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
IND COM OTH PTY SCC
Amounts may be rounded to whole dollars.
IND
COM
2
OTH PTY
3
IF AN INDIVIDUAL, ENTER
4
CONCTSROCIDBCEUTOR
OCCUPATION AND EMPLOYER
(IF SELF-EMPLOYED, ENTER
NAME OF BUSINESS)
LENDER DATE
LENDER DATE
LOAN
CALENDAR YEAR
Statement covers period
from
7/1/XX
through
12/31/XX
$
SCHEDULE B - PART 2
460 P(IEFRRCEEQLAEUCLIRTIEIFODNO) RNIA FORM
$
xx CALENPDaAgReYEAR
of xx
5 AMOUNT
GUARANTEED THIS PERIOD
I.D. NUMBER
$
PER1E2LE3C4TI4OXN X
6 7 (IF REQUIRED)
BALANCE
CUMULATIVE
OUTSTANDING
$ TO DATE
TO DATE
Joseph Alvarez 445 C Street Oakmont, CA 95443
IND
CCOOMM OOTTHH PPTTYY SSCCCC
Realtor, Alvarez and Mitchell Realty
IND
LENDER
American Credit Union
DDAATTEE
7/1/XX
SUBTOTAL $
LENDER
$10,000
CCAALLEENNDDAARR YYEEAARR
$$ 10,000
PP(IEFERRREEEQLLEEUCCIRTTEIIOODNN) (IF REQUIRED)
10,000
$ $
N/A
Enter on CSAuLmEmNaDrAyRPaYgEeA, R
Line 17 only.
$10,000
COM
Clear Sch B-2
Print FormOTH
DATE
G.Completing the Form 460 PSTYchedule B Part 2 (Loan
SCC
Guarantors)
IND
LENDER
$
PER ELECTION
(IF REQUFIPREPDC) Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
$
CALENDAR YEAR
COM
1 Guarantor Information OTH PTY
DATE
$
PER ELECTION (IF REQUIRED)
SCC
If someone other than the controlling candidate co-signs, endorses, or LENDER
provides security for a loan of $10ICNOD0M or more, enter the full name, street
address, city, state, and zip codeO, ToH f the guarantor.
DATE
PTY
$
CALENDAR YEAR
$ PER ELECTION (IF REQUIRED)
SCC
$
Lines of Credit
SUBTOTAL $
10,000
Enter on Summary Page,
Line 17 only.
If a third pCaleratryScehsBta-2blishesParinltinFoermof credit of $100 or more for the committee, enter the third party's full name, street address, city, state,
and zip code, as the guarantor.
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
2 Contributor Code
For each itemized guarantor, check the appropriate box to indicate whether the guarantor is an individual, committee, "other" (i.e., business entity), or a political party. (The code "SCC" is for small contributor committees and is applicable only to state candidates and committees.)
3 Individual Loan Guarantor
If the guarantor is an individual, provide the individual's occupation and the name of his or her employer. If the individual is self-employed, provide the name of his or her business. Do not leave this column
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 25
Campaign Manual 2 June 2020
blank. If this information has not yet been obtained, enter "requested" or similar language and amend Schedule B, Part 2, when the information is received.
4 Loan/Lender
Enter the name of the lender or the entity at which a line of credit was established and the date of the loan or the date the line of credit was established.
5 Amount Guaranteed This Period
Enter the amount guaranteed this period, if applicable. For lines of credit, enter the full amount established or secured by the guarantor during the period. (Report amounts drawn on a line of credit on Schedule B -- Part 1.)
6 Cumulative to Date
Enter the cumulative amount of contributions (including loans, loan guarantees, monetary and nonmonetary contributions) received from the guarantor. Contributions from a single source are generally cumulated from January 1 through December 31 of the current calendar year. However, there is an exception to calendar year cumulation if the committee is required to file a preelection statement in one calendar year in connection with an election held in the next calendar year. See "Calendar Year Cumulation Exception" under Section D., General Rules for Reporting Contributions Received on Schedule A.
The "per election" information is generally only required for state candidates and committees that are subject to contribution limits. The Act does not contain contribution limits for local candidates and committees; however, local ordinances may include limits and other restrictions and reporting requirements. Local candidates and committees should check with the local elections office about reporting obligations under local laws.
7 Balance Outstanding to Date
Report the outstanding balance for which the guarantor is liable at the close of the reporting period.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 26
Quick
Loan guarantees are
Tip
not included in the
Schedule B Summary, but
are carried forward in a lump
sum to Line 17 of the overall
Summary Page.
Campaign Manual 2 June 2020
H.General Rules for Reporting Nonmonetary Contributions Received on Schedule C
Schedule C is used to report nonmonetary contributions received by the committee. Nonmonetary contributions are goods or services provided to the committee for which it does not pay the fair market value.
The fair market value is the amount the committee would pay for the goods or services on the open market whatever it would cost any member of the general public to obtain the same goods or services. (See Chapter 3 for assistance in determining the fair market value of a nonmonetary contribution.)
Ex 8.5 - A restaurant donates food for a committee fundraiser. The cost of the food if purchased by the committee would be $1,000. The committee must report $1,000 as the fair market value of the contribution even though the cost to the restaurant was less than the fair market value.
Examples of Nonmonetary Contributions · Items donated for a garage sale, raffle, or auction
· Poll results
· Signs, postage, and printing
· Food and entertainment provided for a fundraiser
· Discounts or rebates that are not extended to the general public
· Mailing lists, mailings, and other advertising
· Forgiveness of an accrued expense by the creditor
· Use of an office, automobile, or airplane
· Mail production, postage, printing, shipping, data and graphics
· Phone banking and public communications
· Media consulting services
· Video services
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 27
Campaign Manual 2 June 2020
· Staff time and expenses
· Banner ads
· Precinct walking and door hangers
· Food for volunteers
· Slate mailer/slate cards
· Campaign materials, flyers for rally, buttons, t-shirts
· Corporate stock
· Compensation paid by an employer to an employee who spends more than 10 percent of his or her compensated time in a calendar month working on campaign activities for one or more campaigns. Compensation includes gross wages paid and any benefits in lieu of wages, such as stock options or an annuity purchase. Compensation does not include standard benefits, such as the employer's payments to a retirement or health plan.
Quick
If corporate stock
Tip
is received as a
contribution, the amount
reported on Schedule C is
the value listed on the stock
exchange on the date of
receipt. When the stock
is sold, the proceeds are
reported on Schedule I as
a miscellaneous increase
to cash. See Chapter 3 for
additional information.
See Chapter 3 for exceptions, such as volunteer personal services, home/office fundraisers, and member communications.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 28
Campaign Manual 2 June 2020
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
through
12/31/XX
Page xx of xx
I.D. NUMBER
Manuel Alvarez for Mayor 20XX
12344XX
DATE
SRcEhCEeIVdEDule C
FULL NAME, STREET ADDRESS AND
ZIP CODE OF CONTRIBUTOR
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
Nonmonetary Contributions Received
9/25/XX
Genesis Insurance Company 850 F Street
Oakmont, CA 95443
SEE INSTRUCTIONS ON REVERSE
NAME OF FILER
* CONTRIBUTOR CODE
IF AN INDIVIDUAL, ENTER
OCCUPATION AND EMPLOYER Amou(InF tSNsEALMmFE-EaOMyFPbBLOUeYSErINoDE,uSEnSN)dTEeRd
to whole dollars.
IND COM
OTH
PTY SCC
DESCRIPTION OF GOODS OR SERVICES
AMOUNT/ FAIR MARKET
VALUE
CUMULATIVE TO DATE
CALENDAR YEAR (JAN 1 - DEC 31)
PER ELECTION TO DATE
(IF RSECQHUIERDEUD)LE C
Food for Fundraiser
Statement covers period
from
$17,/510/X0X
460 CALIFORNIA
$1,50F0ORM
N/A
through
12/31/XX
Page xx of xx
I.D. NUMBER
IND
1
2 1M0a/1n/uXeXl Alva(CIrDietizz1ef1on6rs7Mf8o7arXyIomXr)p2r0oXviXng Oakmont
DATE
1275 MFUaLiLnNSAMtrEe,eStT,ROEEaTkAmDDoRnEt,SSCAAND95443
RECEIVED
ZIP CODE OF CONTRIBUTOR
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
3 4 5 6 COM OTH CONCTPSROITCDBYECUT*OR
IF AN INDIVIDUAL, ENTER
OCCUPATION AND EMPLOYER
(IF SELF-EMPLOYED, ENTER NAME OF BUSINESS)
Employee Compensation forDECSaCmRIPpTaIOigNnOF AGOcOtivDiStiOeRs SERVICES
12344XX
7 8 $5,000
AMOUNT/
$5,000
CUMULATIVE TO
FAIR MARKET
DATE
VALUE
CALENDAR YEAR
(JAN 1 - DEC 31)
N/A
PER ELECTION TO DATE
(IF REQUIRED)
9/25/XX
Genesis Insurance Company 850 F Street Oakmont, CA 95443
IND
ICNOD M
COOTMH OPSPSTCTTCYHCYC
Food for Fundraiser
$1,500
$1,500
N/A
10/1/XX
Citizens for Improving Oakmont (ID 116787XX) 1275 Main Street, Oakmont, CA 95443
IINNDD CCOOMM
OOTTHH PPTTYY SSCCCC
Employee Compensation
$5,000
$5,000
N/A
for Campaign
Activities
Attach additional information on appropriately labeled continINuDation sheets.
COM
SUBTOTAL $
9 Schedule C Summary
OTH PTY
1. Amount received this period itemized nonmonetary conStrCibCutions.
(Include all Schedule C subtotals.)....................................I.N..D...............................................................................$
COM
2. Amount received this period unitemized nonmonetary cOoTnHtributions of less than $100 ..................................$
3. Total nonmonetary contributions received this period.
PTY SCC
(Add Lines 1 and 2. Enter here and on the Summary Page, Column A, Lines 4 and 10.) .....................TOTAL $
Attach additional information on appropriately labeled continuation sheets.
SUBTOTAL $
Schedule C SumClmeaar rSych C
Print Form
I. Completing the Form 460 Schedule C (Nonmonetary 1. Amount received this period itemized nonmonetary contributions. (Include all Schedule C subtotals.)......................................................................................................................$
Contributions Received) 2. Amount received this period unitemized nonmonetary contributions of less than $100 ..................................$
3. Total nonmonetary contributions received this period. (Add Lines 1 and 2. Enter here and on the Summary Page, Column A, Lines 4 and 10.) .....................TOTAL $
6,500
*Contributor Codes
6,500 0
6,500
IND Individual COM Recipient Committee
(other than PTY or SCC) OTH Other (e.g., business entity) PTY Political Party SCC Small Contributor Committee
6,500
FPPC Form 460 (Jan/2016)
FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov *Contributor Codes
6,500 0
6,500
IND Individual COM Recipient Committee
(other than PTY or SCC) OTH Other (e.g., business entity) PTY Political Party SCC Small Contributor Committee
1 Date ReCcleeariSvceh dC
Print Form
A nonmonetary contribution is received on the earlier of the following:
· The date that funds are expended by the contributor for the goods or services;
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
Ex 8.6 - A generalwpwuw.rfpppco.csa.egov committee, in coordination with your committee, printed a brochure advocating your election to the school board. The committee delivered the
· The date that the candidate or committee obtains possession or
brochures to your committee headquarters on February 22
control of the goods or services; or
and paid the printing bill on March 15. Your committee
· The date the committee receives the benefit of the expenditure.
received the nonmonetary contribution on February 22.
2 Contributor Information
Itemize persons who have contributed to the committee a cumulative amount of $100 or more during the calendar year. Provide each contributor's name, street address, city, state, and zip code. Remember to maintain the names and addresses of contributors of $25 or more in your records. (See Chapter 2.)
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 29
Campaign Manual 2 June 2020
3 Contributor Code
For each itemized contributor, check the appropriate box to indicate whether the contributor is an individual, committee, "other" (i.e., business entity), or a political party. (The code "SCC" is for small contributor committees and is applicable only to state candidates and committees.)
4 Occupation and Employer
If the contributor is an individual, provide the individual's occupation and the name of his or her employer. If the individual is self-employed, provide the name of his or her business. Do not leave this column blank. If this information has not yet been obtained, enter "requested" or similar language and amend Schedule C when the information has been received.
5 Description of Goods or Services
Provide a brief description of the goods or services received.
6 Amount/Fair Market Value
Report the value of the nonmonetary contribution received.
7 Cumulative to Date
Enter the cumulative amount of contributions (including loans, loan guarantees, monetary and nonmonetary contributions) received from the contributor. Contributions from a single source are generally cumulated from January 1 through December 31 of the current calendar year. However, there is an exception to calendar year cumulation if the committee is required to file a preelection statement in one calendar year in connection with an election held in the next calendar year. See "Calendar Year Cumulation Exception" under Section D., General Rules for Reporting Contributions Received on Schedule A.
Quick If an individual donates Tip
his or her personal or professional services to a campaign (including his or her travel expenses), no contribution has been made or received as long as the individual is not paid or reimbursed.
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8 Per Election to Date
The "Per Election to Date" column is generally for state candidates and committees that are subject to contribution limits. The Act does not contain contribution limits for local candidates and committees; however, local ordinances may include limits and other restrictions and reporting requirements. Local candidates and committees should check with the local elections office about reporting obligations under local laws.
9 Schedule C Summary
Complete the Schedule C Summary section by entering the total amount of itemized nonmonetary contributions ($100 or more) received this period on Line 1 and the total amount of unitemized nonmonetary contributions (less than $100) received this period on Line 2. Add Lines 1 and 2 and enter the total on Line 3. The amount on Line 3 is carried forward to the overall Summary Page, Column A, Lines 4 and 10. Reminder: Once a contributor has contributed $100 or more in a calendar year, all future contributions received from that person, regardless of the amount, must be itemized.
Answering Your Nonmonetary Contributions Questions
A. What is the value of the time provided by a graphic artist who volunteers to design a logo for my committee?
The artist's time is not reportable if it constitutes volunteer personal services. But, if the artist is an employee of a business and spends more than 10 percent of his or her compensated time in a calendar month working on the design, the paid compensation becomes a nonmonetary contribution from the artist's employer.
B. How do I determine the fair market value of a mailing list provided by another committee?
The most common way for a committee to determine the value is to contact a business from which a similar mailing list may be obtained.
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J.General Rules for Reporting Expenditures Supporting/ Opposing Other Candidates, Measures, and Committees on Schedule D
Schedule D provides a summary of payments reported on Schedules E, F, and H that are contributions or independent expenditures to support or oppose other candidates, measures, and committees. Such payments include:
· Monetary contributions or loans to other candidates and committees.
· Payments to vendors for goods or services for other candidates and committees (nonmonetary contributions).
· Donations to other candidates and committees of goods on hand, or the payment of salary or expenses for a campaign employee who spends more than 10 percent of his or her compensated time in a calendar month on campaign activities for other candidates or committees (nonmonetary contributions).
· Payments for communications (e.g., mailings, billboards, radio ads) that expressly advocates support of or opposition to a clearly identified candidate or ballot measure, but the payments are not made to, or at the behest of, the candidate or ballot measure committee (independent expenditures).
Candidate Controlled Committees
Payments made to support the controlling candidate's own candidacy, or to oppose the candidate's opponent(s), are not reported on Schedule D. These payments are direct campaign expenditures and are reported only on Schedule E.
If, during a calendar year, an officeholder or candidate uses personal funds to make contributions of $10,000 or more, or independent expenditures of $1,000 or more, to support or oppose other officeholders, candidates, committees, or ballot measures (including a controlled ballot measure committee), the candidate must file a Major Donor and Independent Expenditure Committee Campaign Statement (Form 461). These payments are not reported on Schedule D.
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Primarily Formed Committees
Payments made for communications that support or oppose the candidate for which the committee is primarily formed are required to be reported on Schedule D as either contributions or independent expenditures, depending on whether the payments were made at the behest of the candidate. These payments are also reported on Schedule E or F.
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Schedule D Summary of Expenditures Supporting/Opposing Other Candidates, Measures and Committees
Amounts may be rounded to whole dollars.
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
Manuel Alvarez for Mayor 20XX
1
2
DATE
NAME OF CANDIDATE, OFFICE, AND DISTRICT, OR MEASURE NUMBER OR LETTER AND JURISDICTION,
OR COMMITTEE
3
4
TYPE OF PAYMENT
DESCRIPTION (IF REQUIRED)
10/1/XX
Committee for Bike Lanes in Oakmont Yes on Measure E (ID 12456XX) City of Oakmont
Support
Oppose
10/12/XX
Del Norte County Independent Central Committee (ID 11852XX)
Support
Oppose
Monetary
Contribution
Nonmonetary Contribution
Independent Expenditure
Loan
Monetary
Contribution
Nonmonetary Contribution
Independent Expenditure
Support
Oppose
Monetary Contribution
Nonmonetary Contribution
Independent Expenditure
Statement covers period
from
7/1/XX
SCHEDULE D
460 CALIFORNIA FORM
through
12/31/XX
Page xx of xx
I.D. NUMBER
12344XX
5
6 7 CUMULATIVE TO DATE
PER ELECTION
AMOUNT THIS
CALENDAR YEAR
TO DATE
PERIOD
(JAN. 1 - DEC. 31)
(IF REQUIRED)
$1,000
$1,000
N/A
$500
$500
N/A
SUBTOTAL $
1,500
8
Schedule D Summary
1. Itemized contributions and independent expenditures made this period. (Include all Schedule D subtotals.)....................................................... $
2. Unitemized contributions and independent expenditures made this period of under $100.................................................................................... $
3. Total contributions and independent expenditures made this period. (Add Lines 1 and 2. Do not enter on the Summary Page.) .......... TOTAL .. $
1,500 0
1,500
K.Completing the FCloearrmSch4D60 ScPrhinet Fdorumle D (Summary of Expenditures Supporting/Opposing Other Candidates, Measures and Committees)
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
1 Date
Report the date the contribution or independent expenditure was made. A monetary contribution is made on the date it is mailed, delivered, or otherwise transmitted to the officeholder, candidate, or committee.
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A nonmonetary contribution is made on the earlier of the following:
· The date an expenditure is made for the goods or services;
· The date the committee or an agent of the committee obtained possession or control of the goods or services; or
· The date the committee otherwise received the benefit of the expenditure.
A payment made in connection with the development, production, or dissemination of a communication that is an independent expenditure must be reported no later than the date the communication is mailed, broadcast, or otherwise disseminated to the public.
Ex 8.7 - Your committee, working on behalf of the Friends of the Forest committee, arranged for the mailing of a campaign piece supporting their issue. The mailer is sent to voters directly from the mail house on September 4. On September 6, the mail house submits an invoice for payment to your committee. Your committee made a nonmonetary contribution to the Friends of the Forest committee on September 4 (the date they received the benefit of the expenditure).
A payment for a communication that is never disseminated to the public is not considered an independent expenditure and need not be reported on Schedule D. The payment must be reported on Schedule E as an expenditure.
2 Candidate and Office, Measure and Jurisdiction, or Committee
If a total of $100 or more is contributed or expended during a calendar year to support or oppose a single candidate, ballot measure, or a general purpose committee (e.g., a political party), disclose the name of the candidate and the office sought or held, the number or letter and jurisdiction of the ballot measure, or the name of the general purpose committee. For each candidate or measure listed, indicate whether the payment was made to support or oppose the candidate or measure.
3 Type of Payment
Check the appropriate box to indicate whether the payment was a monetary contribution, nonmonetary contribution, or independent expenditure.
Quick
Schedule D is a
Tip
summary of payments
made by the committee
that were contributions
to other candidates and
committees or independent
expenditures to support or
oppose other candidates
and ballot measures. The
payments are also reported
on Schedule E, F, or H.
Ex 8.8 -The Committee to Elect Waters for Seaside Mayor 20XX made a contribution of $100 to the Committee to Support Growth in Seaside, Yes on Measure C. In addition to reporting the contribution on Schedule D, the expenditure must also be reported on Schedule E.
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4 Description of Nonmonetary Contribution Where No Payment is Made
Because payments must be described when they are reported on Schedule E or F, a description is not required on Schedule D for payments reported on Schedule E or F that are nonmonetary contributions or independent expenditures. However, if no payment was made, describe the goods or services. For example, if goods on hand (i.e., office supplies) are contributed to another candidate or committee, a description must be included.
5 Amount This Period
Provide the amount(s) of contributions or independent expenditures made this period relative to each candidate, measure, or committee.
6 Cumulative to Date Calendar Year
Report the cumulative amount contributed to or expended to support or oppose each itemized candidate, ballot measure, or committee since January 1 of the current calendar year.
If contributions are made to more than one election committee controlled by the same candidate, report the total amount contributed to all of the committees. Do not cumulate contributions made to a candidate's election committee with contributions made to other committees controlled by the candidate, such as a ballot measure committee or a legal defense fund committee. Contributions and independent expenditures are cumulative separately.
7 Per Election to Date
If contributions of $100 or more were made to state candidates during a state election cycle, the cumulative amount contributed during the election cycle is reported in this column.
In addition, a local ordinance may require committees in that jurisdiction to report the cumulative amount contributed to a local candidate during a specified period. Check with the local elections office.
Fair Political Practices Commission advice@fppc.ca.gov
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8 Schedule D Summary
Complete the Schedule D Summary by entering the total amount of itemized contributions and independent expenditures of $100 or more (Line 1), the total amount of unitemized contributions and independent expenditures of less than $100 (Line 2), and the total amount for both (Line 3). Totals from the Schedule D Summary are not carried forward to the overall Summary Page.
Answering Your Major Donor Questions
A. Must a candidate file the Form 461 (Major Donor and Independent Expenditure Committee Campaign Statement) if he or she makes personal contributions to his or her controlled election campaign committee of $10,000 or more?
No. A candidate's contributions to his or her own election committee do not trigger the requirement to file the Form 461. But, if a candidate otherwise qualifies as a major donor committee by making personal contributions of $10,000 or more to other candidates or committees, the Form 461 must also include personal contributions made to his or her own controlled committees.
B. Must the spouse of a candidate file the Form 461 if he or she makes personal contributions to his or her spouse's campaign of $10,000 or more?
If the contributions are made from community funds, neither the spouse nor the candidate will qualify as a major donor. But, if the candidate's spouse makes contributions from legally separate funds, the spouse will become a major donor and must file the Form 461.
C. Must a candidate file the Form 461 if he or she makes personal contributions to his or her controlled ballot measure committee of $10,000 or more? Yes.
Fair Political Practices Commission advice@fppc.ca.gov
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D. Using personal funds, a candidate made contributions totaling $9,000 to other candidates and committees. She also contributed $3,000 to her own election committee. Since the total amount of all contributions made is $12,000, must the candidate file the Form 461 as a major donor?
No. Contributions to a candidate's own election committee are not counted toward the $10,000 major donor threshold.
L.General Rules for Reporting Payments Made on Schedule E and Accrued Expenses (Unpaid Bills) on Schedule F
Schedule E is used to report money spent by the committee during the reporting period, except for payments made on loans received by the committee or payments made in the form of loans to other candidates or committees. Use Schedule B (Part 1) to report repayments on loans received by the committee. Use Schedule H to report loans made to other candidates and committees.
An expenditure is "made" on the date the payment is made or the date the committee receives the goods or services, whichever is earlier. Use Schedule F to report amounts owed by the committee for goods or services received but not paid for by the end of the reporting period.
Quick
Expenditures of
Tip
campaign funds must
have a political, legislative,
or governmental purpose.
(See Chapter 5.)
Ex 8.9 - During October and November, your committee:
(a) Paid a deposit on a room for a fundraiser to be held January 10;
(b) Ordered and received the fundraiser invitations for which you were billed but had not made a payment by December 31; and
(c) Ordered, but did not receive, flowers for the fundraiser for which you will be billed at the end of January.
On your semi-annual statement covering the period ending December 31, report the payment for the room deposit on Schedule E. Because you received the invitations but had not paid for them by December 31, report the outstanding amount on Schedule F. The cost of the flowers will not be reported until the next reporting period because you did not pay for nor receive the flowers during the period covered by the statement.
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The committee's unpaid administrative overhead expenses, such as rent, utilities, phones, or employee salaries, need not be reported on Schedule F if the committee has not received a bill in the normal course of business or if the due date for the payment is after the closing date of the statement. Regular administrative overhead does not include contracts for services such as accounting, legal services, campaign consulting, and public relations.
Information Required
Itemize each payment or accrued expense of $100 or more to a single payee, and any payments totaling $100 or more for a single product or service made during the period.
If the committee has entered into an agreement to make payments over time for a product or service, other than general administrative expenses such as rent and utilities, the unpaid balance may be reportable on Schedule F as an accrued expense.
Ex 8.10 - On June 15, your committee received two bills for June services. One bill was from the restaurant where your committee held a fundraiser and the other was for office rent. The due date for both invoices is July 15. If, on June 30, the committee has not paid the two bills, the bill from the restaurant is reported on Schedule F as an accrued expense on your semiannual statement. Since the rent bill is a regular administrative overhead expense, it does not need to be reported as an accrued expense.
Payments for Online Communications
Additional expenditure reporting is required when a committee pays a person to provide favorable or unfavorable content about a candidate or ballot measure on an Internet site other than the committee's own website. The committee must specifically describe amounts the committee paid to provide favorable or unfavorable content on a candidate or ballot measure by:
· Providing such content for or posting on a website or blog, whether one's own or another's.
· Providing such content for or posting on a social media platform.
· Providing such video content for posting online.
Content means that which is offered on a website or other digital platform in writing, picture, video, photograph or other similar format.
Fair Political Practices Commission advice@fppc.ca.gov
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Payments made to an individual, either directly or through a third party, must be reported on Schedule E or F using the code "WEB." In addition, the following information must be included: the amount of the payment, the payee, the name of the individual providing content, and the name of the website or the URL on which the communication is published in the first instance. The committee is not required to know where the content is shared or passed on to after the initial post. The additional reporting is not required if the fact that the campaign paid for the content is posted in a clearly conspicuous manner with the posted content. (See Regulation 18421.5 for additional information.)
Savings Accounts/Certificates of Deposit/Money Market Accounts
Do not report on Schedule E the transfer of campaign funds into a savings account, certificate of deposit, money market account, or the purchase of any other asset that can be readily converted to cash. Report these amounts as cash on hand on the Summary Page, Line 16.
Transfers
If a candidate controlled committee transfers funds to another committee controlled by the candidate, the transfer is reported on Schedule E. The receiving committee reports the transfer on Schedule I (Miscellaneous Increases to Cash). There are restrictions on transfers of surplus funds (see Chapter 5) and on transfers of funds to run for state office. (See Campaign Disclosure Manual 1 for State Candidates.)
Contributions and Independent Expenditures
If the committee makes contributions and/or independent expenditures to support or oppose other candidates, officeholders, or committees, in addition to reporting the payments or accrued expenses on Schedule E or F, they must also be reported on Schedule D. For payments made for goods or services that are nonmonetary contributions or independent expenditures, also identify the candidate, committee, or ballot measure supported or opposed by the expenditure in the "Description of Payment" column on Schedule E or F.
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When a primarily formed committee makes a payment for a communication that expressly advocates support for or opposition to the candidate for whom the committee is formed, the payment is reported as a contribution or independent expenditure. As discussed in Chapter 6, the determination is based on whether the payment was made at the behest of the candidate. If the payment is an independent expenditure, additional forms, such as the Verification of Independent Expenditures (Form 462) and the 24-Hour/10-Day Independent Expenditure Report (Form 496), may be required. (See Chapter 10 for additional information.)
If a primarily formed committee makes payments for contributions or independent expenditures to support or oppose other candidates, officeholders, committees, or ballot measures, it may qualify as a different type of committee (i.e., a general purpose committee), which has different reporting obligations. Contact the FPPC for assistance.
Subvendor Payments (often reported on Schedule G)
When an agent or independent contractor (such as a campaign worker, consulting firm, or advertising agency) makes an expenditure, or incurs a debt, of $500 or more on behalf of the committee, the expenditure must be reported in the same detail as if it had been made directly by the committee. These are commonly known as "subvendor payments." The committee must also obtain and keep receipts, invoices, and other documentation for subvendor payments. (See Chapter 2.)
Examples of subvendor payments that must be itemized include:
· Development of campaign strategy;
· Media placements television, radio, cable, digital (specifically listing the TV or radio stations);
· Commissions paid to media firms for media placements;
· Travel expenses, such as a commercial airline or hotel paid $500 or more;
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· Print or online advertisements;
· Polling and survey research; · Talent and media services, production costs; · Voter canvas program, including individuals paid $500 or more; · Robocalls; · Printing and literature; and
Quick
Payments made to
Tip
subvendors may be
itemized on Schedule E
or Schedule G. Accrued
expenses owed to a
subvendor are reported on
Schedule F.
· Design or management of campaign literature or advertising.
Generally, agents and independent contractors must provide the committee with the required payment information no later than three working days prior to the deadline for filing the campaign statement; however, an expenditure of $1,000 or more made for a contribution or independent expenditure in the 90 days before an election, including the date of the election, must be reported to the committee within 24 hours. Expenditures made by the agent or independent contractor for its own overhead and operating expenses need not be itemized.
In many cases, funds paid to an agent or independent contractor in one reporting period will not be used by the agent or contractor until a subsequent reporting period. Payments to an agent or contractor are reported on Schedule E of the campaign statement covering the period in which the payments are made. When the agent or contractor spends the money, subvendor payments are reported on the campaign statement covering the period in which the expenditures are made. Payments of $500 or more must be itemized.
Subvendor payments are most commonly reported on Schedule G, but may be reported on Schedule E or F along with the payment made or owed to the agent or contractor. When itemizing subvendor payments on Schedule E or F, do not include the payments in the "Amount Paid" column, as this will inflate expenditure totals.
Ex 8.11 - An agent purchased $535 worth of flowers, $250 worth of postage, and $100 worth of balloons for a fundraiser. Itemize the agent on Schedule E (or Schedule F if the agent was not reimbursed during the reporting period). Provide the agent's name and address, a code or a description of the expenditures, and the amount being reimbursed ($885). In addition, since the payment to the florist was $500 or more, the florist must also be itemized. Provide the name and address of the florist, a code or description of the expenditure, and the amount paid to the florist ($535).
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Credit Card Payments
When reporting payments to a credit card company, provide the name, street address, city, state, zip code, and the amount of payment. In addition, provide the name, street address, city, state, and zip code of any vendor that received $100 or more, the amount paid to each itemized vendor, and a code or description of the payment.
If a payment has not been made on the credit card by the end of the reporting period, or only partial payment has been made, report the amount outstanding to the credit card company on Schedule F. Payments to the credit card company should be reflected on Schedule E when payments are made and Schedule F when there is a balance still owing at the end of the reporting period. Vendors are not required to be listed more than one time, on either Schedule E or Schedule F. Schedule G may also be used to disclose vendors.
Contingency Payments
If the committee has entered into an agreement to pay a contingency fee, such as a bonus to a consultant if the campaign is successful, report the fee amount on Schedule F only if it is outstanding at the end of the campaign. The fee is not required to be reported as an accrued expense until it is due.
Reimbursements Candidates
Candidates may not use their personal funds for campaign expenses (except for filing and ballot statement fees and the $50 Secretary of State fee) without first depositing them into the campaign bank account.
Reimbursements Volunteers, Employees, Agents and Contractors
Volunteers (including a candidate's spouse), employees, and agents or independent contractors (e.g., a consultant or an advertising agent), may be reimbursed for goods, services, or travel expenses when the following criteria are met:
· The treasurer is provided with a dated receipt and a written description of each expenditure prior to reimbursement;
Ex 8.12 - Sandra's committee for city council used the campaign credit card on December 28 at two different vendors to purchase office supplies and to have invitations to a fundraiser printed. The printing job cost $560, while the office supplies were under $100. Since the committee did not make a payment on the credit card by December 31, the end of the reporting period, the amount owed is reported on Schedule F. In addition to the total amount owed to the financial institution that issued the credit card, the committee also itemizes the printer, since the amount owed is $100 or more. The committee will report payments it makes to the financial institution, but does not reitemize any vendors.
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· The reimbursement is paid within 45 calendar days after the expenditure is made; and
· There is a written contract between the committee and the agent or independent contractor providing for the reimbursement of expenditures. (Volunteers and employees do not need a written contract.)
If the reimbursement does not occur within 45 calendar days, the expenditure is considered a nonmonetary contribution from the volunteer, paid employee, agent or independent contractor, unless the person seeking reimbursement has made a good faith effort to obtain reimbursement and is unable to collect from the committee.
Reimbursements Officeholders
Officeholders may be reimbursed for expenses related to holding office paid for from personal funds when the following criteria are met.
· The expenditures are not campaign expenditures;
· The committee's treasurer is provided with a dated receipt and a written description of the expenditure; and
· Reimbursement occurs:
For a monetary expenditure: Within 90 calendar days after the officeholder incurs the expense.
For a credit card or charge account: Within 90 calendar days of the end of the billing period.
If the reimbursement does not occur within the 90-day period, the amount must be reported as a nonmonetary contribution from the officeholder to the committee and no reimbursement may occur.
An officeholder may be reimbursed from either the controlled committee campaign bank account established for election to the incumbent term of office, or from a controlled committee bank account established for a different election to the same office, if all of the conditions above are met. When reporting reimbursements to the officeholder, subvendor payments of $100 or more must be itemized.
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Expenditures Made for Gifts, Meals, and Travel Payments
A candidate controlled committee that makes an expenditure of $100 or more for a gift, meal, or travel must further explain the expenditure in the "Description of Payment" column as described below. The explanation must be provided even if an expenditure code is used.
Gifts: When reporting an itemized expenditure for a gift, the committee must briefly describe the political, legislative, or governmental purpose of the expenditure. In addition, the committee must provide the date of the gift and a description of the gift. If the gift was made to an individual recipient, the name of the recipient must be included. If a gift was made to a group of recipients, the name of each recipient who received a benefit of $50 or more is required. When the recipient of a gift with a value of $50 or more is not known at the time the payment is required to be reported, the committee must report that the gift was for an "undetermined recipient." Once the gift has been given to the recipient, the campaign statement must be amended within 45 calendar days to disclose the name of the recipient.
Ex 8.13 -The mayor's election committee purchased $50 restaurant gift certificates for two volunteer campaign workers. On Schedule E, the payment must be itemized. In the "Description of Payment" column, the following would adequately describe the payment: "12/5/XX gift certificates for campaign workers, Linda Davis ($50), and Richard Bailey ($50)."
Meals: When reporting an itemized expenditure for a meal (other than a meal reported as an itemized expenditure for travel, as discussed below), the committee must briefly describe the political, legislative, or governmental purpose of the expenditure. In addition, the committee must provide the date of the meal, the number of individuals who were present at the meal, and whether the candidate, a member of his or her household, or an individual with authority to approve expenditures of campaign funds was present at the meal. It is not necessary to include the names of individual attendees on the report. However, the names of the attendees must be maintained in the committee's records. (See Chapter 2.)
Ex 8.14 -The committee's controlling candidate and campaign manager discuss the election campaign during a lunch meeting at a restaurant. The meal was charged to the campaign credit card. On Schedule E, the payment to the credit card company and the restaurant must be itemized. In the "Description of Payment" column, the following would adequately describe the payment: "9/1/XX Lunch meeting regarding campaign attended by campaign manager and candidate.
Fair Political Practices Commission advice@fppc.ca.gov
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Travel Payments: When reporting an itemized expenditure for travel, including lodging and meals, the committee must briefly describe the political, legislative, or governmental purpose of the expenditure. In addition, the committee must also provide the date or dates of the travel, the destination, and the goods or services purchased. The description must also include the number of individuals for whom the payment was made and whether the trip included the candidate, a member of his or her household, or an individual with the authority to approve expenditures of campaign funds. The names of individuals who traveled are not required to be disclosed on the report. However, the names of the travelers must be maintained in the committee's records. (See Chapter 2.)
Ex 8.15 - A San Diego elected officeholder attended a fundraiser in Sacramento for a state ballot measure committee. The officeholder's committee paid for the travel expenses. On Schedule E, the payment to the airline must be itemized. In the "Description of Payment" column, the following would adequately describe the payment: "8/1/XX and 8/3/XX Round trip airfare to Sacramento for officeholder to attend ballot measure committee fundraiser."
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Schedule E Payments Made
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
Manuel Alvarez for Mayor 20XX
Amounts may be rounded to whole dollars.
Statement covers period
from
7/1/XX
through
12/31/XX
SCHEDULE E
460 CALIFORNIA FORM
Page xx
I.D. NUMBER
12344XX
of xx
CODES: If one of the following codes accurately describes the payment, you may enter the code. Otherwise, describe the payment.
CMP campaign paraphernalia/misc. CNS campaign consultants CTB contribution (explain nonmonetary)* CVC civic donations FIL candidate filing/ballot fees FND fundraising events IND independent expenditure supporting/opposing others (explain)* LEG legal defense LIT campaign literature and mailings
MBR member communications MTG meetings and appearances OFC office expenses PET petition circulating PHO phone banks POL polling and survey research POS postage, delivery and messenger services PRO professional services (legal, accounting) PRT print ads
RAD radio airtime and production costs RFD returned contributions SAL campaign workers' salaries TEL t.v. or cable airtime and production costs TRC candidate travel, lodging, and meals TRS staff/spouse travel, lodging, and meals TSF transfer between committees of the same candidate/sponsor VOT voter registration WEB information technology costs (internet, e-mail)
1
2
3
NAME AND ADDRESS OF PAYEE
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
CODE OR
DESCRIPTION OF PAYMENT
AMOUNT PAID
Del Norte County Bank (Visa) 8995 Pine Street, Crescent City, CA 95531
$15,000
Subvendor:
Mailings and More $14,500
LIT
855 Redwood Street, Oakmont, CA 95443
Lam and Pettit Consultants 2720 P Street Crescent City, CA 95531
PRO
See Schedule G for subvendors
$20,000
* Payments that are contributions or independent expenditures must also be summarized on Schedule D.
4 Schedule E Summary
SUBTOTAL $
1. Itemized payments made this period. (Include all Schedule E subtotals.) ............................................................................................................. $ 2. Unitemized payments made this period of under $100.......................................................................................................................................... $ 3. Total interest paid this period on loans. (Enter amount from Schedule B, Part 1, Column (e).)............................................................................. $ 4. Total payments made this period. (Add Lines 1, 2, and 3. Enter here and on the Summary Page, Column A, Line 6.) ........................... TOTAL $
35,000
37,200 3,500 250
40,950
Schedule E (Continuation SChleeaer St)ch E Payments Made
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
Manuel Alvarez for Mayor 20XX
Print Form
Amounts may be rounded to whole dollars.
FPPCSFCoHrmED4U6L0E(JEan(C/2O0N1T6.))
460 Statement
from
coFvPePrCs pAedrviiocde: 7/1/XX
adviceC@AfpLFpIOcF.cORaM.RgoNwvIA(w8w66.f/p2p7c5.c-3a7.g7o2v)
through
12/31/XX
Page xx of xx
I.D. NUMBER
12344XX
CODES: If one of the following codes accurately describes the payment, you may enter the code. Otherwise, describe the payment.
CMP campaign paraphernalia/misc. CNS campaign consultants CTB contribution (explain nonmonetary)* CVC civic donations FIL candidate filing/ballot fees FND fundraising events IND independent expenditure supporting/opposing others (explain)* LEG legal defense LIT campaign literature and mailings
MBR member communications MTG meetings and appearances OFC office expenses PET petition circulating PHO phone banks POL polling and survey research POS postage, delivery and messenger services PRO professional services (legal, accounting) PRT print ads
RAD radio airtime and production costs RFD returned contributions SAL campaign workers' salaries TEL t.v. or cable airtime and production costs TRC candidate travel, lodging, and meals TRS staff/spouse travel, lodging, and meals TSF transfer between committees of the same candidate/sponsor VOT voter registration WEB information technology costs (internet, e-mail)
NAME AND ADDRESS OF PAYEE
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
CODE OR
DESCRIPTION OF PAYMENT
AMOUNT PAID
Del Norte County Independent Central Committee (ID 11852XX) 18885 Ocean Blvd. Crescent City, CA 95531
CTB
$500
Manuel Alvarez 4245 McDow Street Oakmont, CA 95443
Reimbursement of filing fee
$1,500
Nelson Legal Group, LLC 4950 Professional Blvd. Crescent City, CA 95531
PRO
$200
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Chapter 8. 47
Campaign Manual 2 June 2020
M. Completing the Form 460 Schedule E (Payments Made)
1 Name and Address of Payee
Itemize each payment of $100 or more made to a single payee during the reporting period, and any payments totaling $100 or more made during the period for a single product of service. Include the name, street address, city, state, and zip code of the payee. Do not use a post office box number when reporting the address of a payee or creditor.
2 Code or Description of Payment
When itemizing payments, provide either a code or a description of the payment. Expenditure codes are explained in detail in the Form 460, Schedule E instructions. If none of the codes listed on Schedule E fully explains the expenditure, leave the code column blank and provide a brief description of the goods or services purchased.
If several expenditures are made to one vendor during the same reporting period, all of the payments to the vendor may be reported in a single record. When coding the expenditures, use the code that represents the largest share of the expenditures, and the description field for the other codes or a description. Alternatively, each expenditure may be reported separately by category.
Quick
The spouse or
Tip
registered domestic
partner of an elected officer
or a candidate for elective
office may not receive, in
exchange for any services
rendered, compensation
from campaign funds held
by a controlled committee of
the officer or candidate.
Campaign funds may be used only for certain types of legal payments. See Chapter 5 for information about the permissible uses of campaign funds.
Quick Tip
For expenditures that are nonmonetary contributions or independent expenditures, provide the applicable code ("CTB" or "IND") and disclose the name of the candidate or committee that received the contribution, or the name of the candidate or ballot measure supported or opposed by the independent expenditure. Also include a brief description of the contribution or independent expenditure. These expenditures must also be disclosed on Schedule D.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 48
Campaign Manual 2 June 2020
3 Amount Paid
Enter the total amount paid to the payee during the reporting period.
Payment of Accrued Expenses
When paying for accrued expenses previously reported on Schedule F, report all payments on Schedule E, itemizing each payment of $100 or more. Subvendor information does not need to be reitemized if it was disclosed on Schedule F of a previous statement.
4 Schedule E Summary
Complete the Schedule E Summary by entering the total amount of itemized payments of $100 or more (Line 1) and the total amount of unitemized payments of less than $100 (Line 2). If the committee is paying interest on loans, enter the amount from Schedule B, Part 1, Column (e) on Line 3. The total amount of all payments made is entered on Line 4. The amount on Line 4 is carried forward to the overall Summary Page, Column A, Line 6.
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Chapter 8. 49
Campaign Manual 2 June 2020
Schedule F Accrued Expenses (Unpaid Bills)
Amounts may be rounded to whole dollars.
Statement covers period
from
7/1/XX
SCHEDULE F
460 CALIFORNIA FORM
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
Manuel Alvarez for Mayor 20XX
through
12/31/XX
Page xx
I.D. NUMBER
12344XX
of xx
CODES: If one of the following codes accurately describes the payment, you may enter the code. Otherwise, describe the payment.
CMP campaign paraphernalia/misc.
MBR member communications
RAD radio airtime and production costs
CNS campaign consultants
MTG meetings and appearances
RFD returned contributions
CTB contribution (explain nonmonetary)*
OFC office expenses
SAL campaign workers' salaries
CVC civic donations
PET petition circulating
TEL t.v. or cable airtime and production costs
FIL candidate filing/ballot fees
PHO phone banks
TRC candidate travel, lodging, and meals
FND fundraising events
POL polling and survey research
TRS staff/spouse travel, lodging, and meals
IND independent expenditure supporting/opposing others (explain)*
POS postage, delivery and messenger services
TSF transfer between committees of the same candidate/sponsor
LEG legal defense
PRO professional services (legal, accounting)
VOT voter registration
LIT campaign literature and mailings
PRT print ads
WEB information technology costs (internet, e-mail)
1
2
3
(a)
(b)
(c)
(d)
NAME AND ADDRESS OF CREDITOR
CODE OR
OUTSTANDING
AMOUNT INCURRED
AMOUNT PAID
OUTSTANDING
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
DESCRIPTION OF PAYMENT BALANCE BEGINNING
THIS PERIOD
THIS PERIOD
BALANCE AT CLOSE
OF THIS PERIOD
(ALSO REPORT ON E)
OF THIS PERIOD
Nelson Legal Group, LLC 4950 Professional Blvd. Crescent City, CA 95531
PRO
$2,000
0
$200
$1,800
Tri Cities Bank (Mastercard) 9650 Main Street Crescent City, CA 95531
0
$1,750
0
$1,750
Subvendor: Home Depot $750 750 Industrial Way, Oakmont, CA 95443
CMP
* Payments that are contributions or independent expenditures must also be
4 summarized on Schedule D. Schedule F Summary
SUBTOTALS $
2,000 $
1,750 $
200 $
3,550
1. Total accrued expenses incurred this period. (Include all Schedule F, Column (b) subtotals for accrued expenses of $100 or more, plus total unitemized accrued expenses under $100.) ..............................................INCURRED TOTALS $
1,750
2. Total accrued expenses paid this period. (Include all Schedule F, Column (c) subtotals for payments on
accrued expenses of $100 or more, plus total unitemized payments on accrued expenses under $100.)................................... PAID TOTALS $
200
3. Net change this period. (Subtract Line 2 from Line 1. Enter the difference here and
on the Summary Page, Column A, Line 9.) ................................................................................................................................................................................... NET $
1,550
May be a negative number
Clear Sch F
Print Form
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
N.Completing the Form 460 Schedule F Accrued Expenses (Unpaid Bills)
1 Name and Address of Creditor
Itemize each accrued expense of $100 or more owed to a single creditor. Provide the name, street address, city, state, and zip code of the creditor. Do not use post office box numbers. Continue to list an unpaid bill until it is paid off.
2 Code or Description of Payment
When itemizing accrued expenses, provide either a code or a description of the outstanding payment. Expenditure codes are
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 50
Campaign Manual 2 June 2020
explained in detail in the Form 460, Schedule E instructions. If none of the codes listed on Schedule F fully explains the outstanding payment, leave the code column blank and provide a brief description of the goods or services.
If several accrued expenses are owed to one vendor during the same reporting period, all of the accrued expenses to the vendor may be reported in a single record. The code that represents the largest share of the accrued expenses should be used, and the description field may be used for other codes or descriptions. Alternatively, each accrued expense may be reported separately by category.
For accrued expenses in connection with nonmonetary contributions or independent expenditures, provide the applicable code ("CTB" or "IND") and disclose the name of the candidate or committee that received the contribution, or the name of the candidate or ballot measure supported or opposed by the independent expenditure. Also include a brief description of the contribution or independent expenditure. These expenditures also must be disclosed on Schedule D.
3 Amount Columns
For each itemized accrued expense, report any outstanding balance remaining for the accrued expense from the previous period in column (a), the amount of new accrued expenses incurred this period in column (b), the amount paid this period in column (c), and any outstanding balance at the close of the period in column (d).
When payments on accrued expenses are made, in addition to itemizing payments of $100 or more on Schedule F, itemize the payments on Schedule E. Include unitemized payments on accrued expenses on Line 2 of the summary section of Schedule E.
Estimating Accrued Expenses
If the exact amount of a debt or obligation is unknown, an estimate may be reported. When the committee is made aware of the exact amount, the committee must 1) amend the statement on which the estimated amount was reported; or 2) make an adjustment on the next
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Chapter 8. 51
Campaign Manual 2 June 2020
campaign statement by showing the difference between the estimated amount and the actual amount in column (b), "Amount Incurred This Period." If the actual amount is less than the estimate, the amount listed in column (b) should be a negative number and subtracted from the totals. When reporting estimated amounts or corrections to estimated amounts, note that fact on the campaign statement.
Forgiven Accrued Expenses or Third Party Payments
If a creditor reduces or forgives a debt previously reported on Schedule F, or if another person pays a debt for the committee:
· Indicate that the debt was forgiven, reduced, or paid by a third party and enter "see Schedule C" in the "Description of Payment" column. Also report the creditor or payor and the amount as a nonmonetary contribution on Schedule C.
· Report the amount forgiven, reduced, or paid by a third party in the "Amount Paid This Period" column and indicate that it was a forgiveness or third party payment or report the amount as a negative number in the "Amount Incurred This Period" column. Do not report the amount on Schedule E.
Ex 8.16 - On its second preelection statement, the committee's treasurer reported an estimated accrued expense of $5,000 owed to ABC Printing. An invoice was received during the next reporting period showing the actual amount owed as $4,500. On Schedule F, column (a) of its next statement, the committee will report an outstanding accrued expense of $5,000. In column (b), the amount incurred this period will be a negative $500. The committee paid the entire bill and therefore will report $4,500 as the amount paid this period in column (c), with a zero balance in column (d).
If the decision to forgive or reduce the debt is based on a bona fide business judgment that all or part of the debt is uncollectible, the creditor may not be making a contribution. Contact the FPPC for assistance.
4 Schedule F Summary
Complete the Schedule F Summary by entering the total amount of accrued expenses incurred on Line 1 and the total amount of accrued expenses paid on Line 2. Subtract Line 2 from Line 1 and enter the difference (net change this period) on Line 3. The amount on Line 3 will be a negative amount when the accrued expenses paid are more than the amount of new accrued expenses. The amount on Line 3 is carried forward to the overall Summary Page, Column A, Line 9.
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Outstanding Accrued Expenses (Summary Page, Column B, Line 9)
Accrued expenses are carried forward on future statements until they are paid off. To determine the amount for Column B, Line 9 of the overall Summary Page, add the amount from Column A, Line 9 of the current statement to the amount of Column B, Line 9 of the previous statement. If the amount in Column A, Line 9 is a negative number, subtract it from the amount in Column B, Line 9 of the previous statement.
Answering Your Accrued Expenses Questions
A. When are unpaid bills reportable as accrued expenses?
The basic rule is that you must report an accrued expense any time you have received goods or services but have not paid for them by the end of the reporting period.
B. What if our committee has not yet received an invoice from the vendor?
If you have received the goods or services, you must report the accrued expense on Schedule F even if you have not received an invoice. If you do not know the actual amount, you may report an estimate. Once the committee is made aware of the actual amount, the committee must either amend the statement on which the estimated amount was reported or make an adjustment on the next campaign statement by showing the difference between the estimated amount and the actual amount. When reporting estimated amounts or corrections to estimated amounts, note that fact on Schedule F.
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Chapter 8. 53
Campaign Manual 2 June 2020
C. We have a contract to pay our campaign consultant $1,000 per month. If the closing date of the campaign statement falls during the middle of the month, for example March 17, must we report an accrued expense for the period of March 1 through March 17?
No. When you have agreed in writing to pay a contractor a set amount at regular intervals, it is not necessary to prorate the amount owed to the contractor if the reporting period closes before the end of the contract period. The payment will be reported on the campaign statement for the period in which the payment is made.
D. When an accrued expense is owed and there are subvendor payments, when are the subvendors reported? For example, if we report an accrued expense owed on a credit card and list the subvendors, must we reitemize the subvendors again on Schedules E and F when the accrued expense is paid?
No. It is not necessary to reitemize subvendors when payments are made on accrued expenses, or if an accrued expense is reported on more than one statement. In this example, the subvendors must be reported on the first statement disclosing the accrued expense owed to the credit card company. On subsequent statements, only the credit card company must be itemized.
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Chapter 8. 54
Campaign Manual 2 June 2020
E. Prior to attending an FPPC webinar and learning that it was not permitted, I used personal funds to pay for some of my campaign expenses before I opened a campaign bank account. How do I report these expenditures on the Form 460?
So that the activity is properly disclosed, you should report the amount of personal funds used on Schedule A as a contribution and Schedule E as an expenditure (itemizing subvendors of $100 or more). If you wish to be reimbursed by the committee, you may report the amount on Schedule F as an accrued expense. If you have already been reimbursed by the committee, you will report the amount on Schedule E as an expenditure itemizing subvendors of $100 or more. Nondisclosure of the payments is a violation of the Act. All future payments must be made from the campaign bank account; personal funds must be deposited into the account before making expenditures.
O.General Rules for Reporting Payments Made by an Agent or Independent Contractor on Schedule G
Schedule G is used to report payments made by agents (such as campaign workers) and independent contractors (such as consulting firms or advertising agencies) on behalf of the committee. This schedule may be used in lieu of itemizing these amounts on Schedule E or F. See the general rules for Schedules E and F for additional information.
Schedule G may be completed by the committee from information provided by the agent or independent contractor or it may be completed by the agent or independent contractor. Agents and independent contractors must provide the committee with the required payment information no later than three working days prior to the filing deadline of the campaign statement. If an agent or independent contractor makes an expenditure of $1,000 or more for a contribution or independent expenditure in the 90 days before an election, including the date of the election, they must provide the committee with the required payment information within 24 hours.
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Chapter 8. 55
Campaign Manual 2 June 2020
Schedule G Payments Made by an Agent or Independent Contractor (on Behalf of This Committee)
Amounts may be rounded to whole dollars.
Statement covers period
from
7/1/XX
SCHEDULE G
460 CALIFORNIA FORM
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
Manuel Alvarez for Mayor 20XX
NAME OF AGENT OR INDEPENDENT CONTRACTOR
Lam and Pettit Consultants
through
12/31/XX
Page xx
I.D. NUMBER
12344XX
of xx
CODES: If one of the following codes accurately describes the payment, you may enter the code. Otherwise, describe the payment.
CMP campaign paraphernalia/misc. CNS campaign consultants CTB contribution (explain nonmonetary)* CVC civic donations FIL candidate filing/ballot fees FND fundraising events IND independent expenditure supporting/opposing others (explain)* LEG legal defense LIT campaign literature and mailings
MBR member communications MTG meetings and appearances OFC office expenses PET petition circulating PHO phone banks POL polling and survey research POS postage, delivery and messenger services PRO professional services (legal, accounting) PRT print ads
RAD radio airtime and production costs RFD returned contributions SAL campaign workers' salaries TEL t.v. or cable airtime and production costs TRC candidate travel, lodging, and meals TRS staff/spouse travel, lodging, and meals TSF transfer between committees of the same candidate/sponsor VOT voter registration WEB information technology costs (internet, e-mail)
* Payments that are contributions or independent expenditures must also be summarized on Schedule D.
1
NAME AND ADDRESS OF PAYEE OR CREDITOR
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
2 CODE OR
DESCRIPTION OF PAYMENT
3 AMOUNT PAID
KXTL Radio 5656 Westside Way Oakmont, CA 95443
RAD
$2,000
Good Day Oakmont
2620 H Street
TEL
Oakmont, CA 95443
$7,000
Northwest Airlines 2500 Crosby Circle Chicago, IL 60606
10/15/XX: Sacramento, Airfare to Attend Meeting (1, TRC Consultant)
$155
Albino's Italian Eats 1325 Sicily Street Oakmont, CA 95443
MTG
7/10/XX: Committee Staff Meeting (4, Candidate and Treasurer)
$125
Attach additional information on appropriately labeled continuation sheets.
* Do not transfer to any other schedule or to the Summary Page. This total may not equal the amount paid to the agent or
independent contractor as reported on Schedule E.
Clear Sch G
Print Form
P. Completing Form 460 Schedule G (Payments Made by an Agent or Independent Contractor)
TOTAL* $
9,280
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
1 Name and Address of Payee or Creditor
Itemize each payment of $500 or more made by the agent or independent contractor. Provide the name, street address, city, state, and zip code of the payee or creditor. Do not use a post office box number.
2 Code or Description of Payment
When itemizing each payment, provide either a code or a description of the payment. If none of the codes listed on Schedule G fully
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Chapter 8. 56
Campaign Manual 2 June 2020
explains the payment, leave the code column blank and provide a brief description of the payment. Payments that are contributions or independent expenditures must also be reported on Schedule D.
3 Amount Paid
Enter the total amount paid to the payee during the reporting period.
Schedule G totals are not transferred to any other schedule or to the Summary Page.
Q.General Rules for Reporting Loans Made to Others on Schedule H
Schedule H is for reporting loans made by the committee. Campaign funds may be used to make loans to bona fide charitable, educational, civic, religious, or similar tax-exempt, nonprofit organizations, so long as the loan does not personally benefit the officeholder, candidate, committee treasurer, or any individual with authority to approve the expenditure of campaign funds, or any such person's immediate family member. The loan must be reasonably related to a political, legislative, or governmental purpose.
Because a loan is considered a contribution, loans to other candidates and committees are subject to applicable state or local contribution limits. Loans to other candidates and committees must also be reported on Schedule D.
Outstanding loans are reported on each campaign statement until they are paid.
Quick Most local committees Tip
will not make loans to others. If there is nothing to report on Schedule H, the schedule does not need to be included with the Form 460. Simply enter a zero or the word "none" on Line 7 of the overall Summary Page.
Quick
If a primarily formed
Tip
committee makes
contributions (including
loans) to candidates,
officeholders, or committees
(other than to the candidate
for which the committee is
primarily formed), it may
qualify as a different type
of committee with different
reporting obligations.
Contact the FPPC for
assistance.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 8. 57
Campaign Manual 2 June 2020
Schedule H Loans Made to Others*
SEE INSTRUCTIONS ON REVERSE
SNcAMhEeOdF FuILlEeR H LoMaannuselMAlavadreeztfoor OMathyoerr2s0*XX
FULL NAME, STREET ADDRESS AND ZIP CODE
SEE INSTRUCTIONS OONF RREECVIEPRIESNET
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
NAME OF FILER
CMoamnumeitltAeelvaforreBz ifkoer LMaanyeosr i2n0OXaXkmont,
1
Yes on Measure E (ID 12456XX) 15F0U0LLDNASMtEre, SeTtREET ADDRESS AND ZIP CODE
Oakmont, CA 9O5F 4R4EC3IPIENT
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
Committee for Bike Lanes in Oakmont, Yes on Measure E (ID 12456XX) 1500 D Street Oakmont, CA 95443
Amounts may be rounded to whole dollars.
Statement covers period
from
7/1/XX
SCHEDULE H
460 CALIFORNIA FORM
IF AN INDIVIDUAL, ENTER
OCCUPATION AND EMPLOYER
(IF SELF-EMPLOYED, ENTER NAME OF BUSINESS)
Amounts may be rounded to whole dollars.
through
12/31/XX
Statement covers period
from
7/1/XX
(a)
OUTSTANDING BALANCE
BEGINNING THIS PERIOD
(b) AMOUNT LOANED THIS PERIOD
(c)
(d)
(e)
RFETOHPRAISGYIMPVEEERNNITEOSODSR* thrCOoLBuUOAgTPSLShEAETRNAOICNOFEDDTIANHT1GIS2/31R/INXETCXEERIVEESDT
Page xx
oSfCHExxDULE H
460 IC.DA. NLUIMFBOERR NIA
1234F4OXRXM
(f)
APOMaRgOeIUGNINTAxOLxF
I.D. LNOUAMNBER
(g)
CoUf MLOUAxLNAxTSIVE
TO DATE
PAID
12344XX
CALENDAR YEAR
a b c d e f g IF AN INDIVIDUAL, ENTER
OCCUPATION AND EMPLOYER
(IF SELF-EMPLOYED, ENTER NAME OF BUSINESS)
(a)
OUTSTANDING
B$EGBINALNAINNGCETHI0S
PERIOD
$
0
(b)
(c)
AMOUNT
REPFAOYRMGEIVNETNOR
LOANED1T,0H0IS0
$ PERIOD
F$TOHRISGIPVEERNIEOSD0S*
$
1,000
(d)
OUTSTANDING
CLBOASLNAEoNOnCFeETAHTIS
DPAETRE IDOUDE
5%
R(AeT)E
INTEREST
$ RECEIVED0
$ 1,000
(f)
ORIGINAL
A7M/O1U5N/XT XOF
DATELIONCAUNRRED
$
1,000
PCEURMEUL(gEL)CATTIIOVNE**
$
LOANSN/A
TO DATE
PAID
CALENDAR YEAR
PAID $
0$
1,000
5%
$
1,000 C$ALENDA1R ,Y0EA0R0
$
$
FORGIVEN
FORGIVEN
RATE %
$
RATE
$ PER ELECTION** PER ELECTION**
$ $
0 $ $
1,000 $ $
0
None
$
DDAATTEE DDUUEE
$
0 7/15/XX $ DDAATTEE IINNCCUURRRREEDD $
N/A
*Loans that are contributions to another candidate or committee must
also be summarized on Schedule D. Loans forgiven must also be
reported on Schedule E.
SUBTOTALS $
PAID
1,000 $$
0 $$
1,000
FORGIVEN
2 Schedule H Summary
$
$
$
DATE DUE
*ar12eLl..spoooLP(aTrbnotaoeesaydttsanmhuoalsmnetCmmSnaorctaeaslhrudieczrmodeeenudncttlerheoi(binEibsvu.S)teipocpdenhlseuroidsotnoudlulaeo.nn.Da.oi.t.nt.eh.sL.em.or....aic..zn..ae..sn..d..df..oi..dl..ro..ga..iat..ve..ne....ons..r..m..co..o..uf..ms..l..tem..a..s..ilt..sst..eo..t..ehb....mea....nu....s..$..t..1....0....0.......)............................S....U....B......T....O....T....A....L....S..........$......................1....,..0....0....0........$..................................0..........$....................1....,..0$$00
CALENDAR YEAR
$
%0 $
RATE (Enter (e) on
Schedule I, Line 3)
$
PER ELECTION**
$
$
DATE INCURRED
1,000
$
00
**If Required
(Total Column (c) plus unitemized payments of less than $100.) 3. Net change this period. (Subtract Line 2 from Line 1.) ............................................................................................ NET $
(Enter (e) on Schedule I, Line 3)
1,000
Sch(EendteurlteheHneStuhemremaanrdyon the Summary Page, Column A, Line 7.)
(May be a negative number)
1. Loans made this period ....................................................................................................................................................$
1,000
(Total Column (b) plus unitemized loans of less than $100.)
**If Required
Clear Sch H
Print Form
2. Payments received on loans ............................................................................................................................................$
FPPC Advice: adv0ice@fpFpPcP.CcaF.goormv (486606/(2Ja7n5/-32707126))
R.C(Tootaml Coplulment(ci)npglus utnhiteemizFedopramymen4ts6o0f lesSs tchahn e$1d00u.) le H (Loans Made to 3. Net change this period. (Subtract Line 2 from Line 1.) ............................................................................................NET $
1,000
www.fppc.ca.gov
Others) (Enter the net here and on the Summary Page, Column A, Line 7.)
(May be a negative number)
1 Recipient InfoClremar SacthioHn Print Form
For each loan of $100 or more that was made or outstanding during the reporting period, provide the recipient's full name and street address, including the zip code. If the recipient is an individual, provide the individual's occupation and the name of his or her employer. If the individual is self-employed, provide the name of his or her business.
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
Loan Amounts
a Outstanding Balance Beginning This Period
Enter the outstanding loan balance at the beginning of this reporting period (Column (d) of the last report filed). If the loan was received this period, Column (a) should be left blank.
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Chapter 8. 58
Campaign Manual 2 June 2020
b Amount Loaned This Period
Enter the amount loaned to the recipient during this reporting period. If the loan was made in a previous reporting period, Column (b) should be left blank.
c Repayment or Forgiveness This Period
Enter the amount of any reduction of the loan during this reporting period. Indicate whether the loan was paid or forgiven. If the committee forgives a loan, also report the transaction on Schedule E and, if the recipient of the loan is a candidate or committee, report the forgiveness as a contribution on Schedule D.
d Outstanding Balance at Close of This Period
Enter the outstanding balance of the loan at the close of this reporting period. Enter the due date, if any.
e Interest Received
Enter the interest rate and amount of interest received on the loan during this reporting period. Interest received is reported separately from payments received on the loan principal. Interest received is also transferred to the Schedule I Summary.
f Original Amount of Loan
Enter the original amount of the loan and the date it was made. If this is the first time the loan is being reported, this will be the same amount as reported in Column (b).
g Cumulative Loans to Date
For each loan that is a contribution, enter the cumulative amount of contributions (including loans, loan guarantees, monetary and nonmonetary contributions) made to the recipient during the calendar year covered by the statement. If the recipient is subject to state contribution limits, also enter the total amount contributed in connection with each election and identify the election year. Because loans are contributions, the total amount of contributions made to a state candidate's committee, including loans, may not exceed the applicable limit. (Loans to candidates or other committees must also be reported on Schedule D.)
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Chapter 8. 59
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2 Schedule H Summary
Complete the Schedule H Summary by entering the total amount of loans made on Line 1 and the total amount of loan payments received on Line 2. Subtract Line 2 from Line 1 and enter the difference (net change this period) on Line 3. The amount on Line 3 will be a negative amount when the loan payments received this period are more than the amount of new loans made. The amount on Line 3 is carried forward to the overall Summary Page, Column A, Line 7.
Outstanding Loans Made (Summary Page Column B, Line 7)
Loans made are carried forward on future statements until they are paid off. To determine the amount for Column B, Line 7 of the overall Summary Page, add the amount from Column A, Line 7 of this statement to the amount of Column B, Line 7 of the previous statement. If the amount in Column A, Line 7 is a negative number, subtract it from the amount in Column B, Line 7 of the previous statement.
S.General Rules for Reporting Miscellaneous Increases to Cash on Schedule I
Schedule I is used to report increases to the committee's cash position that are not monetary contributions, loans, or repayments of loans made to others. Examples include:
· Proceeds, up to the fair market value, of items sold at a garage sale or auction.
· Contributions returned to the committee.
· Refunds received on deposits, such as a telephone or room rental deposit or from over-payment of bills.
· Interest received or credited to a checking or savings account or other time deposit.
· Interest payments received on loans made to others.
· Receipts from the sale of committee assets.
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· Transfers of funds received by a controlled committee from another committee controlled by the same candidate. There are special rules for transferring funds to a committee for state office. (See Campaign Disclosure Manual 1.)
· Receipt of earmarked funds when acting as an intermediary. (See Chapter 8.)
Donated Items
When reporting sources who have purchased donated items (e.g., items sold at an auction), report the amount received, up to the fair market value, on Schedule I. Any amount in excess of the fair market value is reported as a contribution on Schedule A.
Uncashed Checks
If the committee writes a check that is never deposited or negotiated, report the amount of the uncashed check on Schedule I.
Decreases to Cash
All decreases to cash must be reported as expenditures on Schedule E or H.
Ex 8.17 - A television was donated by Seaside TV Sales for your committee's auction. The television's fair market value was $1,000. A person paid $1,500 for the television. Report the purchaser information and report $1,000 in the amount column of Schedule I. On Schedule A also report the purchaser as a contributor of $500, the amount over the fair market value. Seaside will be reported as a contributor of $1,000 on Schedule C for the nonmonetary contribution of the television.
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7/5/XX
Alvarez for City Council 20XX 225 Presley Street Oakmont, CA 95443
Transferred funds (ID 12257XX)
$3,000
Schedule I Miscellaneous Increases to Cash
SEE INSTRUCTIONS ON REVERSE NAME OF FILER
1 2 Manuel Alvarez for Mayor 20XX DATE RECEIVED
FULL NAME AND ADDRESS OF SOURCE
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
7/5/XX
Alvarez for City Council 20XX 225 Presley Street Oakmont, CA 95443
Amounts may be rounded to whole dollars.
Statement covers period
from
7/1/XX
through
12/31/XX
3 DESCRIPTION OF RECEIPT
Transferred funds (ID 12257XX)
SCHEDULE I
460 CALIFORNIA FORM
Page xx of xx
I.D. NUMBER
12344XX
4
AMOUNT OF
INCREASE TO CASH
$3,000
Attach additional information on appropriately labeled continuation sheets.
5 Schedule I Summary
1. Itemized increases to cash this period. ...........................................................................................................................$ 2. Unitemized increases to cash of under $100 this period. ................................................................................................$ 3. Total of all interest received this period on loans made to others. (Schedule H, Column (e).) .......................................$ 4. Total miscellaneous increases to cash this period. (Add Lines 1, 2, and 3. Enter here and on the
Summary Page, Line 14.) ............................................................................................................................. TOTAL $
Clear Sch I
Print Form
SUBTOTAL $
3,000
3,000 0 0
3,000
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
T. Completing the Form 460 Schedule I (Miscellaneous Increases to Cash) Attach additional information on appropriately labeled continuation sheets.
SUBTOTAL $
3,000
Schedule I Summary
1 Date Received 1. Itemized increases to cash this period. ...........................................................................................................................$ 2. Unitemized increases to cash of under $100 this period. ................................................................................................$
3. Total of all interest received this period on loans made to others. (Schedule H, Column (e).) .......................................$
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Summary Page, Line 14.) ............................................................................................................................. TOTAL $
2 Source InformatiColenar Sch I
Print Form
3,000 0 0
3,000
FPPC Form 460 (Jan/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
Itemize sources of $100 or more. Provide the full name, street address, city, state, and zip code of the source. Post office box numbers are not acceptable.
3 Description of Receipt
Provide a description of the receipt (e.g., refund on room deposit for fundraiser, interest earned on loans made to others).
4 Amount of Increase Enter the amount of the receipt.
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5 Schedule I Summary
Complete the Schedule I Summary by entering the total amount of itemized increases to cash of $100 or more on Line 1 and the total amount of unitemized increases to cash on Line 2. Enter the total of all interest received this period on loans made to others (from Schedule H, Column (e)) on Line 3. Add Lines 1,2, and 3 to determine the total miscellaneous increases to cash this period and enter the amount on Line 4. The amount on Line 4 is carried forward to the overall Summary Page, Line 14.
U. Amending the Form 460
To change or provide information missing from a previously filed Form 460, complete a new Cover Page and check the "Amendment" box under "Type of Statement." Also check the box indicating the type of statement being amended (e.g., semi-annual, preelection) and enter the period covered by the statement being amended. Provide a brief explanation of the reason for the amendment and attach the schedule(s) being amended, including the Summary Page, if applicable. The amendment is filed with each of the filing officers that received the original filing.
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Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
81004 81004.5 82013 82015 82015.5 82018 82025 82025.5 82044 84105 84203 84211 84212 84213 84216 84216.5 84302 84303 84306
84615
85201 85700
89511.5 89515
Reports and Statements; Perjury; Verification. Reports and Statements; Amendments. Committee. Contribution. Contribution; Aggregation. Cumulative Amount. Expenditure. Fair Market Value. Payment. Notification of Contributors. Late Contribution; Reports. Contents of Campaign Statement. Forms; Loans. Verification. Loans. Loans Made by a Candidate or Committee. Contributions by Intermediary or Agent. Expenditures by Agent or Independent Contractor. Contributions Received by Agents of Candidates and Committees. Campaign Reports and Statements Electronic Filing for Local Agencies. Campaign Bank Account. Donor Information Requirements; Return of Contributions. Use of Personal Funds for Incumbent Elected Officers. Use of Campaign Funds for Donations and Loans.
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Title 2 Regulations
18215 18216 18401 18421 18421.1 18421.2 18421.3
18421.5
18421.6 18421.7 18421.9
18423
18427
18427.1 18428
18431
18432.5 18526 18533 18570
Contribution. Enforceable Promise to Make a Payment. Required Recordkeeping for Chapters 4 & 5. Cash Equivalents. Disclosure of the Making and Receipt of Contributions. Street Address. Reporting of Contributions and Expenditures Collected by Contract Vendors or Collecting Agents. Reporting an Expenditure for Paid Online Communications. Reporting Accrued Expenses. Reporting an Expenditure for a Gift, a Meal or Travel. Reporting Expenditures Charged to a Credit, Debit or Charge Card by a Candidate or Committee. Payments for Personal Services as Contributions and Expenditures. Duties of Treasurers and Candidates with Respect to Campaign Statements. Notification to Contributors of Filing Obligations. Reporting of Contributions and Independent Expenditures Required to be Aggregated. Reporting of Expenditures by an Agent or Independent Contractor. Intermediary and Earmarked Funds Disclosure. Reimbursement of Expenditures. Contributions from Joint Checking Accounts. Return of Contributions with Insufficient Donor Information.
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When and Where to File the Form 460
9 chapter
This chapter reviews when and where committees file the Recipient Committee Campaign Statement (Form 460). The Form 460 is the comprehensive report that discloses all receipts and expenditures of a committee. The Form 460 includes payments previously reported on forms such as the 24-Hour/10-Day Contribution Report (Form 497). All reports and statements filed under the Political Reform Act (Act) are public records available for public inspection.
Candidates and officeholders who do not have an open committee during a calendar year are not required to file the Form 460, but may be required to file the Officeholder/Candidate Campaign Statement-- Short Form (Form 470). Review Chapter 1 for information about the Form 470, including when and where to file.
Primarily formed committees that have minimal activity in a reporting period may be eligible to use the Recipient Committee Campaign Statement--Short Form (Form 450) or the Semi-Annual Statement of No Activity (Form 425) instead of the Form 460. These forms are filed at the same time and locations as the Form 460.
A. General Information
Filing Schedules: The FPPC posts on its website filing schedules for specific election dates (e.g., June and November elections). In addition, county elections offices and city clerks often post filing schedules. Local candidates and committees should contact their local filing officer as some local jurisdictions may require filings in addition to what is required by the Act.
The committee treasurer is responsible for meeting all applicable filing deadlines. Filing officers are not required to send reminder notices about upcoming deadlines; however, they are required to notify committees that have missed a filing deadline.
Quick
If the FPPC's website
Tip
does not have a filing
schedule for your specific
election date, contact your
local elections office for
information about the filing
deadlines.
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Campaign Manual 2 June 2020
Deadlines: Except where noted, statements filed on paper must be hand-delivered or postmarked by the due date. Deadlines that fall on a Saturday, Sunday, or official state holiday are extended to the next business day; however, this extension does not apply to the 24-Hour/10-Day Independent Expenditure Reports (Form 496) or to the 24-Hour/10-Day Contribution Reports (Form 497) required the weekend before an election. For example, if a committee receives a $1,000 contribution on the Saturday before the election, the deadline is not extended to the next business day. The committee must file a Form 497 within 24 hours. There are no other provisions for extending a deadline.
Late Fines: A late filing penalty of up to $10 per day may be assessed for each day the statement is late. The FPPC or a local filing officer cannot extend a filing deadline. A committee may request a waiver of late fines assessed by the local filing officer or the Secretary of State.
Failure to File: Filing officers must refer committees to the FPPC or another enforcement agency if a committee fails to file a campaign statement. Administrative penalties of up to $5,000 per violation may be assessed. (See Government Code Section 83116.) Committees fined by the FPPC Enforcement Division are listed on the FPPC website.
Ex 9.1 - A county supervisor has a controlled committee. The supervisor is not seeking reelection and the committee did not raise or spend any funds during the calendar year. The committee must file a semiannual statement for the period covering January 1 through June 30, due on or before July 31, and a semi-annual statement for the period July 1 through December 31, due on or before January 31.
B. When to File
Semi-Annual Statements
Most committees file a semi-annual statement for each half of the year, whether or not they receive contributions or make expenditures during the six-month period. An existing committee or a committee newly formed during the first six months of the year must file a semi-annual statement due on or before July 31 for the period covering January 1 through June 30.
Committees must also file a semi-annual statement due on or before January 31 of the following year for the period covering July 1 through December 31. The period covered for a committee newly formed during the last six months of the year will be January 1 through December 31.
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Chapter 9. 2
Ex 9.2 - A primarily formed committee is formed in May to support a city council candidate in the November election. The committee must file a semi-annual statement for the period covering January 1 through June 30, due on or before July 31. In October, the committee must file the two required preelection statements (due dates and periods covered are listed on the filing schedule). The committee must continue to file semi-annual statements until it terminates.
Campaign Manual 2 June 2020
Exception: Unpaid Elected Officeholders, Judges, and Judicial Candidates
Unpaid officeholders (defined in the Act as those who receive less than $200 per month for serving in office) and judges are not required to file semi-annual statements (i.e., Form 460 or Form 470) during any six-month period in which they have not received any contributions or made any expenditures.
To determine whether $200 has been received, only the elected official's fixed compensation for services (i.e., salary) need be counted. Payments for health benefits, reimbursement of expenses (including travel expenses), or per diem received from the elected official's agency are not counted.
Non-incumbent judicial candidates that will not be listed on a ballot and incumbent judges that will not be listed on a ballot who do not receive any contributions or make any expenditures in a six-month period are not required to file the Form 460 or Form 470.
Preelection Statements
In addition to semi-annual statements, candidate controlled committees and primarily formed committees must file two preelection statements before the election in which the candidate is listed on the ballot. For specific reporting periods and filing deadlines, refer to the filing schedules on the FPPC's website or contact the local filing officer. The second preelection statement must be filed by personal delivery or guaranteed overnight delivery.
Quick
Some local agencies
Tip
require additional
statements before and
after an election. Local
committees should contact
the county elections office
or city clerk to determine if
additional statements are
required. Local campaign
ordinances are also posted
on the FPPC website.
Exception: Candidates Not on a Ballot
A candidate who will not appear on the ballot because he or she is running unopposed is not required to file preelection statements. In addition, a candidate who withdraws from an election and will not be listed on the ballot is not required to file preelection statements.
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Recall Elections Quarterly Reports
A committee established by an officeholder who is the subject of a recall election must file campaign statements (Form 460) on a quarterly basis until the semi-annual period in which the recall election is held. The quarterly filing schedule is:
Period Covered January 1 - March 31 April 1 - June 30 July 1 - September 30 October 1 - December 31
Filing Deadline April 30 July 31 October 31 January 31
During the semi-annual period in which the recall election is held, the committee must file two preelection statements and a semi-annual statement on the schedule provided by the filing officer.
Amendments
Except for amendments required to provide missing contributor information (see Chapter 2), there is no specified deadline for filing amendments to campaign statements. However, amendments should be filed as soon as practicable in the same location(s) as the original.
Faxing and Emailing Statements
Campaign statements that contain 30 pages or less may be faxed or emailed (if the local filing officer will accept an emailed statement) provided that the transmitted copy of the campaign statement is the exact copy of the original version. The original statement (with an original signature) must be sent by first-class mail, guaranteed overnight delivery, or personal delivery within 24 hours of the filing deadline.
Ex 9.3 - The local district attorney is the subject of a recall election being held in September. In March, he formed a separate committee to oppose the recall. The committee must file quarterly statements on April 30 and July 31. During the period covering July 1 through December 31, the committee must file two preelection statements in connection with the election, and a semi-annual statement for the period ending December 31, due on or before January 31 of the following year. After the January 31 filing, the committee will file semiannual statements until it terminates.
C. Where to File
Candidates, candidate controlled committees, and primarily formed committees file statements based on the office sought by the candidate. The following chart summarizes the locations where campaign statements (i.e., Forms 450, 460, 470) are generally filed.
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Campaign Manual 2 June 2020
Certain campaign activity may trigger reports that must be filed in another location (see Chapter 10.) An "original" campaign statement is one containing the original signature of the officeholder or candidate and/or the treasurer or assistant treasurer.
Candidate/Officeholder/ Primarily Formed Committee City Offices County Offices Multi-County Offices Local agencies with jurisdiction in more than one county
Judges and Judicial Candidates
Where to File
City Clerk County Elections Offices County with the largest number of registered voters in the jurisdiction County of Domicile, if different Electronic Filers Secretary of State
Non-Electronic Filers Secretary of State County of Domicile
What to File Original and one copy Original and one copy Original and one copy
One copy
Electronically and one paper original
Original and one copy One copy
Electronic Filing
Judges and judicial candidates (including Superior Court judges and candidates) that have raised or spent $25,000 or more must file electronically with the Secretary of State. The Act does not require other local candidates and committees to file electronically with their local jurisdictions. Some local agencies may require that campaign statements be filed electronically pursuant to a local ordinance. In those jurisdictions, paper copies may not be required, but most committees must submit a paper copy with a "wet signature" to the filing officer.
Multiple Controlled Committees in Same Jurisdiction
In general, a candidate or elected officer may only control one committee and have one bank account per election under the Act's one bank account rule. (See Chapter 1.) However, if a candidate or elected officer controls more than one committee in the same jurisdiction (i.e., different terms of the same elective office, officeholder
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Campaign Manual 2 June 2020
account, legal defense fund, or ballot measure committee), each of the committees must file preelection statements on the dates the candidate or elected officer is required to file in connection with his or her election. (See FPPC Regulation 18405.) This provides the voters with a complete summary of the contributions received and expenditures made by the candidate.
Note: A candidate's election committee is not required to file based on the ballot measure committee schedule if he or she is not also being voted on in the election.
Multiple Controlled Committees in Different Jurisdictions
When an individual is simultaneously a candidate for elective state office and elective local office, or for elective office in two different local jurisdictions, he or she must file campaign statements for all committees he or she controls with both jurisdictions on the dates the candidate is required to file semi-annual and preelection statements. The original statement should be filed with the relevant jurisdiction and a copy with the other jurisdiction. If a local candidate or officeholder also controls a state committee that is required to file electronically, the local committee must file the Form 460 electronically with the Secretary of State each time the Form 460 is due for either committee.
Ex 9.4 - A school board member has an open committee from the school board election. The school board member opens a committee to run for mayor in her city. As an incumbent school board member and a candidate for mayor, she must file campaign statements for both committees with both the county elections office and the city clerk. Preelection statements and semi-annual statements required to be filed in connection with the mayoral election are filed as follows:
· Mayoral Committee
City Clerk Original and one copy County Elections Office One copy
· School Board Committee
County Elections Office Original and one copy City Clerk One copy
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Ex 9.5 - A city council member has an open committee from the city council election. The council member opens a committee to run for State Assembly. Semi-annual and preelection statements required in connection with the State Assembly election are filed as follows:
· Assembly Committee
Electronic Filers: Secretary of State only Electronically and one paper original
Non-Electronic Filers: Secretary of State Original and one copy City Clerk One copy
· City Council Committee
City Clerk Original and one copy
Secretary of State One copy (the copy must be filed electronically if the Assembly Committee is an electronic filer)
An officeholder who does not have a controlled committee may file the Form 470 by July 31 for the position held. If the officeholder subsequently opens a committee to run for a different office, he or she must file the Form 460 for the required preelection and semi-annual statements. Since the Form 470 was filed in connection with a position for which the candidate does not have a committee, a Form 470 Supplement is not required. However, if the officeholder opens a committee prior to June 30 for election to a different office, the Form 460 must be filed by July 31 for both the position held and the office sought. The officeholder may file one Form 460 and list both the position held and the office sought on the Cover Page, Part 5.
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Answering Your Questions
A. I am currently a city council member without a campaign committee. I intend to run for the board of supervisors in the November election and will open a committee in July for that race. When must I file the first Form 460?
As a city council member, you must file a semi-annual statement for the period January 1 through June 30 on or before July 31. Since you do not have an open city council committee, you may file the Form 470 instead of the Form 460. By the first preelection deadline for the county election, file the Form 460 with the county elections officer, as well as a copy with the city clerk.
B. In June, I was elected to the city council. After filing the semi-annual statement due on July 31, I paid off my remaining bills and terminated my committee in August by filing a terminating Form 410 and Form 460. I will not engage in any further campaign activities. Am I required to file another Form 460 by January 31 of the following year as a semi-annual statement?
As an elected officer, you must file semi-annual statements each year. You may designate the Form 460 you file in August as a terminating statement and a semi-annual statement, covering the period through December 31. However, if you subsequently receive any contributions or make any expenditures through December 31, file an amendment to your statement no later than January 31 of the following year. If you receive $200 or more in a calendar month for your elected position, you will be required to file the Form 470 by July 31 every year, even though you have terminated your committee.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
81004.5 81005
81007 81007.5 81008
82027 83116 84200 84200.5 84200.8
84206 84215 84605 84615 91013
Reports and Statements; Amendments. Reports and Statements; Filing Deadline on Weekend or Holiday. Mailing of Report or Statement. Faxing of Report or Statement. Public Records; Inspection; Reproduction; Time; Charges. Filing Officer. Violation of Title. Semi-Annual Statements. Preelection Statements. Time for Filing Preelection Statements for Elections Not Held in June or November of an Even-Numbered Year. Candidates Who Receive or Spend Less Than $2,000. Campaign Reports and Statements; Where to File. Who Shall File Online. Electronic Filing for Local Agencies. Late Filing of Statement or Report; Fees.
Title 2 Regulations
18110 18405 18406
18426 18531.5
Duties of Filing Officers Campaign Statements. Candidates with Multiple Controlled Committees. Short Form for Candidates or Officeholders Who Receive and Spend Less than $2,000 in a Calendar Year. Semi-Annual Statement Early Filing. Recall Elections.
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Additional Reports
In addition to the forms associated with starting a campaign (Forms 501 and 410) and the main campaign disclosure form (Form 460), there are several other forms that may be required, depending on the committee's activity. For example, most committees must file the 24Hour/10-Day Contribution Report (Form 497).
Primarily formed committees making independent expenditures must file the independent expenditure reports discussed below. A candidate's controlled committee for his or her election will likely not be filing independent expenditure reports because it is making direct campaign expenditures for the candidate's election to office.
This chapter reviews the following special reports that may be required.
· 24-Hour/10-Day Contribution Reports (Form 497)
· 24-Hour/10-Day Independent Expenditure Reports (Form 496)
· Verification of Independent Expenditures (Form 462)
· Special Odd-Year Reports (Form 460)
· Paid Spokesperson Reports (Form 511)
· Reports of Communications Identifying State Candidates (Form E-530)
10 chapter
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Chapter 10. 1
Campaign Manual 2 June 2020
Your Committee Receives Contributions:
FPPC Reporting Forms
Receives contributions totaling $1,000 or more from a single source during the 90 days before the election or on the date of the election
Makes Independent Expenditures:
Makes independent expenditures totaling $1,000 or more to support or oppose a single candidate or ballot measure during the 90 days before the candidate or measure's election or on the date of the election
Makes independent expenditures totaling $5,000 or more to support or oppose the qualification of a single local measure
Makes independent expenditures totaling $1,000 or more to support or oppose a single candidate or ballot measure
Makes Payments:
Makes contribution(s) totaling $10,000 or more to state officeholders during the first or third quarter of an odd-numbered year
Makes contributions totaling $1,000 or more to another candidate or ballot measure committee during the 90 days before the candidate or measure's election or on the date of the election, or to a state or county political party committee during the 90 days before any state election or on the date of the election
Makes contributions totaling $5,000 or more to support or oppose the qualification of a single local measure
Makes expenditures for an individual to appear in a ballot measure advertisement
Makes payments of $50,000 or more to "feature" a state candidate within 45 days before the candidate's election
File Form 497
Form 496 Form 496 Form 462
Form 460 Form 497
Form 497 Form 511 Form E-530
A. 24-Hour/10-Day Contribution Report (Form 497)
The 24-Hour/10-Day contribution report provides immediate reporting of contributions received or made near or on the election date. The Form 497 must be filed if a candidate controlled committee or a primarily formed committee:
· Receives contributions that total in the aggregate $1,000 or more from a single source during the 90 days before the candidate's election, including the date of the election; or
· Makes contributions that total in the aggregate $1,000 or more to a candidate or a committee primarily formed to support a
Quick
When aggregating
Tip
contributions from
a single source, monetary
contributions, nonmonetary
contributions, and loans are
included.
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Chapter 10. 2
Campaign Manual 2 June 2020
candidate(s) or ballot measure(s) during the 90 days before the candidate's or measure's election, including the date of the election; or
· Makes contributions that total in the aggregate $1,000 or more to a state or county political party committee during the 90 days before any state election, including the date of the election.
· Makes contributions that total in the aggregate $5,000 or more to support or oppose the qualification of a single local initiative or referendum ballot measure.
This Form 497 is required to be filed within 10 business days in the place(s) where the committee would be required to file campaign statements as if it were formed or existing primarily to support or oppose the local initiative or referendum ballot measure.
Contributions reported on the Form 497 must also be reported on the committee's next Form 460.
Ex 10.1 - Thirty days before the candidate's election, the candidate's committee received a $500 contribution. Four days later, the same person contributed $600. The candidate's committee must file a Form 497 since $1,000 or more was received from a single source during the 90-day period before the election. The same person must contribute another $1,000 or more in order for a subsequent Form 497 to be required.
Ex 10.2 - In June, the candidate's election committee for a November election received a contribution of $2,000. The Form 497 is not required because it was not received during the 90-day period before the November election. In October, the same person made a contribution of $600 to the candidate's committee. The Form 497 is not required until that person contributes $1,000 or more in the 90 days before or on the date of the November election. Contributions received prior to the 90 days before the November election are not aggregated with contributions received during the 90-day period.
In some local elections, a candidate's name will not appear on a ballot if no other individual runs for that office. Following the determination by the elections official that the candidate's name will not appear on the ballot, the Form 497 is not required to be filed by the candidate even if the candidate's committee receives $1,000 or more during the 90 days before the election, including the date of the election.
Quick
If a committee makes
Tip
a nonmonetary
contribution, it must
notify the recipient of the
contribution's value within
24 hours.
Quick
The 90-day,
Tip
24-Hour/10-Day
reporting period includes the
date of the election.
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Campaign Manual 2 June 2020
When and Where to File the Form 497
The Form 497 must be filed within 24 hours of receiving or making contributions as described above. A contribution is received on the date the candidate, committee, or an agent of the committee obtains possession or control of the check or nonmonetary item that constitutes a contribution. (See Chapter 2.) A contribution is made on the date it is mailed, delivered, or otherwise transmitted. A committee that makes a nonmonetary contribution must notify the recipient of the contribution's value within 24 hours by personal delivery, fax, or guaranteed overnight delivery.
Quick Contributions reported Tip
on the Form 497 must also be disclosed on the committee's next regular campaign statement (Form 460 or Form 450).
Exceptions:
· The Form 497 must be filed within 48 hours of receiving a nonmonetary contribution.
· The Form 497 must be filed within 10 business days when contributions that total $5,000 are made to support or oppose the qualification of a single local measure.
Filing deadlines are extended to the next business day when they fall on a Saturday, Sunday, or official state holiday. However, the extension does not apply on the Saturday, Sunday, or an official state holiday immediately prior to an election. For example, a fundraiser held on a Friday evening results in several individuals making contributions of $1,000 or more. Generally, the committee must file the Form 497 on the following Monday. However, if the fundraiser is held the Friday evening of the week before the election, the "next business day" deadline extension does not apply, so the Form 497 must be filed within 24 hours.
Except for the Form 497 triggered at $5,000, the Form 497 is filed in the same location the committee files its regular campaign statements (Form 460 or Form 450) and must be filed by fax, guaranteed overnight delivery service, or personal delivery. Regular mail may not be used. Some local agencies may have an electronic filing system or may accept the Form 497 via email.
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Chapter 10. 4
Campaign Manual 2 June 2020
Reporting Multiple Nonmonetary Contributions
If a committee anticipates that more than one nonmonetary contribution will be made to another committee or received from a single contributor during the 90 days before the election (including the date of the election), it may, on or before the deadline, file a single Form 497 covering the period in which the nonmonetary contributions will be made or received. The report must disclose the total value of nonmonetary contributions that will be made, or, if the actual value of nonmonetary contributions is not known at the time of filing, a good faith estimate of the value. If an estimated value differs from the reported amount by 20 percent or more, the committee must amend the Form 497 within 24 hours from the time the committee knows that the estimated value is incorrect.
449977 CCoonnttrriibbuuttiioonn RReeppoorrtt
ANAME OF FILER NAME OF FILER Manuel Alvarez for Mayor 20XX
AREA CODE/PHONE NUMBER AREA CODE/PHONE NUMBER
707-555-6868
I.D. NUMBER (if applicable) I.D. NUMBER (if applicable)
12344XX
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1
STREET ADDRESS STREET ADDRESS
225 Presley Street
CITY CITY
Oakmont
STATE STATE
CA
ZIP CODE ZIP CODE
95443
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DATE REDCAETIVEED RECEIVED
10/30/XX
FULL NAME, STREET ADDRESS AND ZIP CODE OF CONTRIBUTOR FULL NAME, STR(IFECEOTMAMDITDTREEE, SALSSOANENDTEZRIPI.DC.ONUDMEBOERF) CONTRIBUTOR
(IF COMMITTEE, ALSO ENTER I.D. NUMBER)
Loretta Stone 28 Hemlock Street Oakmont, CA 95434
10/30/XX
ABC Company 220 R Street Oakmont, CA 95434
Completing the Form 497 A Filer Information
CONTRIBUTOR
CONCCTROOIDDBEEUT**OR
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IF AN INDIVIDUAL, ENTER OCIFCUAPNAITNIDOINVIADNUDALE,MPLOYER (IEF NSETLEFR-EMOPCLOCYUEPDA, TENIOTENRANNAMDEEOMFPBLUOSIYNEESRS)
(IF SELF-EMPLOYED, ENTER NAME OF BUSINESS)
Nurse - Oakmont Hospital
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AMOUNT RAEMCOEUIVNETD RECEIVED
$2,000
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$3,000
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Provide the committee's full name, telephone number, street address,
city, state, zip code, and committee ID number.
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Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 5
Campaign Manual 2 June 2020
B Date, Report Number, Number of Pages Indicate the date the report is being filed; assign a unique number to each Form 497, such as 1, 2, 3, PR-1, PR-2, PR-3, etc.; and, indicate the number of pages included in the report.
1 Contributions Received For contributions received, provide:
· The date received.
· The contributor's full name, street address, and zip code.
· The contributor code. For each itemized contributor, check the box indicating whether the contributor is an individual, a committee, "other" (such as a business entity), a political party, or a small contributor committee.
· If the contributor is an individual, his or her occupation and employer must be provided. If the individual is self-employed, the name of the business must be provided.
· The amount of the contribution. Check the box if it was a loan.
Contributions Made For contributions made, provide:
· The date made.
· The recipient's full name, street address, and zip code.
· The office sought or held (if the contribution is made to a candidate).
· The ballot measure number or letter and jurisdiction (if the contribution is made to a ballot measure committee).
· The amount of the contribution.
· The date of election.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 6
Campaign Manual 2 June 2020
Amending the Form 497
To amend a previously filed Form 497, file another Form 497 with the corrected or missing information, assign a new unique identifying number as the Report Number, check the "Amendment" box, and enter the identifying number of the report being amended. Describe the reason for the amendment in the space provided at the bottom of the form. There is no specified deadline for filing amendments; however, amendments should be filed as soon as practicable. Amendments are filed in the same location as the original.
Answering Your Form 497 Questions
A. Must a candidate file a Form 497 if, during the 90 days before the election, or on the date of the election, she loans her campaign committee $1,000?
Yes. A candidate's personal funds that are loaned to or contributed to the committee trigger the Form 497 requirement.
B. Must a candidate file a Form 497 if, during the 90 days before the election (or on the date of the election), she transfers campaign funds totaling $1,000 or more from a campaign committee established for a prior office to the campaign committee established for the office she is currently seeking election to?
No. Transfers among a candidate's own local campaign election committees are reported as miscellaneous increases to cash, not as contributions.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 7
Campaign Manual 2 June 2020
C. A committee will receive nonmonetary contributions from a single source during the 90 days before the election, including the date of the election. The contributions involve several days of telephone banking by paid individuals. Rather than filing several reports, may the committee file one Form 497 with an estimated value of the nonmonetary contributions anticipated to be received from this source during the 90 days before the election?
Yes. The committee may make a good faith estimate of the value that will be received during the period. The Form 497 must be filed within 48 hours of receiving the first $1,000 in nonmonetary contributions. If the actual value differs from the estimated amount by 20 percent or more, the estimated report must be amended within 24 hours of determining the correct amount.
D. Must a committee file a Form 497 when a contributor forgives a loan of $1,000 or more during the 90 days before the election, including the date of the election?
Yes. A loan forgiveness is reported as a contribution and triggers the Form 497 requirement.
E. A candidate has one open committee for a past election and one for the current election. If the committee for the past election receives $1,000 or more from a single source in the 90-day, 24-Hour/10-Day reporting period for the current committee, must the committee for the past election file a Form 497?
Yes. When a candidate is in a 90-day reporting period, contributions totaling $1,000 or more to any of the candidate's committees trigger the Form 497 requirement.
Ex 10.3 - City council candidate Martinez's controlled committee for election to office does not file independent expenditure reports when it pays for mailers for the candidate's election, because these payments are direct campaign expenditures made by the candidate. An independent group sending mailers attacking council candidate Martinez's opponent, without the cooperation, knowledge or consent of council candidate Martinez, will file independent expenditure reports.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 8
Campaign Manual 2 June 2020
B. Independent Expenditure Reporting
As described in Chapter 6, a payment for a communication that expressly advocates support of or opposition to a candidate or ballot measure, which is not made at the behest of the candidate or measure committee, is an "independent expenditure." Chapter 6 defines in detail "expressly advocates" and "made at the behest of" and provides examples to assist committees in determining whether a payment made for a communication is considered an independent expenditure.
The Act requires committees making independent expenditures to file several forms so that voters are fully informed about who is paying for the communications that urge voters to support or oppose a particular candidate or ballot measure. Because the affected candidate or measure committee will not report the expenditures, the committee making the independent expenditures must file certain forms at the same time the candidate is required to file. In addition, a verification form that identifies an individual who is responsible for ensuring that the campaign committee's independent expenditures were not coordinated with the listed candidate or ballot measure (or the opponent) must be filed.
A committee that makes an independent expenditure of $1,000 or more must also file the forms listed below.
· Form 496 (24-Hour/10-Day Independent Expenditure Report)
· Form 462 (Verification of Independent Expenditures)
What is the Date an Independent Expenditure is Made?
A payment made in connection with the development, production, or dissemination of a communication that is an independent expenditure must be reported no later than the date the communication is mailed, broadcast, or otherwise disseminated to the public. If the communication is never disseminated to the public, it need not be reported.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 9
Campaign Manual 2 June 2020
Candidate Controlled Election Committees
Communications paid for by a candidate's controlled committee to support his or her own election, or to oppose his or her opponent, are direct campaign expenditures, not contributions or independent expenditures.
If a candidate pays for a communication supporting his or her own candidacy that also supports or opposes a ballot measure, the payment is not considered a contribution or independent expenditure made in connection with the ballot measure.
If a candidate pays for a communication that supports another candidate, and the payment is not made at the behest of the endorsed candidate, the payment is not considered to be an independent expenditure if: (1) the candidate paying for the communication also is included in the communication; (2) the non-paying candidate is listed on the same ballot as the paying candidate: and (3) the communication is targeted only to the potential voters in the paying candidate's district.
Primarily Formed Committees
A committee that is primarily formed to support or oppose a candidate is not associated with the candidate. Therefore, payments made for communications that expressly advocate support or opposition of the candidate are considered to be independent expenditures because they are not made at the behest of the candidate.
Filing Deadlines for Independent Expenditure Forms
This chart summarizes the deadlines and filing locations for each of the independent expenditure forms. Each of the forms is discussed in detail below.
Deadline Within 24 hours
10 days after first independent expenditure
Form 496
462
Filing Location Filing officer where election is held
FPPC
Ex 10.4 - A committee is primarily formed to support a mayoral candidate. The committee must act totally independent of the mayoral candidate's campaign. Seven days before the election, the committee paid $5,000 for an advertisement in a local newspaper urging voters to support the candidate. The primarily formed committee must file the Form 496.
Ex 10.5 - Ten days before an election, a committee spent $1,700 on a mailing that equally advocated support of two candidates. The mailing was done completely independent of the candidates. Since the value to each candidate was only $850 (less than $1,000), the committee is not required to file the Form 496 for either candidate.
Three days before the election, the committee independently spent $400 for lawn signs advocating support of one of the candidates included in the earlier mailing. Because the total spent on behalf of this candidate is now $1,000 or more in the 90 days before the election including the date of the election, the committee must file the Form 496 in connection with this candidate.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 10
Campaign Manual 2 June 2020
24-Hour/10-Day Independent Expenditure Report (Form 496)
The 24-Hour/10-Day Independent Expenditure Report provides immediate disclosure of independent expenditures made near or on the election date. The Form 496 must be filed if a committee makes independent expenditures totaling $1,000 or more to support or oppose a single candidate or a single ballot measure during the 90 days before the candidate's or measure's election, including the date of the election.
Note: The Sacramento Superior Court ruled in Charles R. "Chuck" Reed v. Fair Political Practices Commission that San Jose Mayor Reed was not subject to independent expenditure restrictions. For more information, contact the FPPC's Legal Division.
Expenditures reported on the Form 496 must also be reported on the committee's next regular campaign statement (Form 460). The Form 462 (Verification of Independent Expenditures) must also be filed.
When and Where to File the Form 496
The Form 496 must be filed within 24 hours of making an independent expenditure of $1,000 or more during the 90 days preceding the election, including the date of the election, in which the candidate or measure will be voted on. An independent expenditure is made when the communication is disseminated to the public. There is no deadline extension for filing the Form 496. It must be filed within 24 hours regardless of the day of the week. A separate Form 496 must be filed for each candidate or ballot measure supported or opposed.
The Form 496 is filed with the filing officer that receives the campaign statements for the candidate or measure supported or opposed. (See the chart below.) This allows voters in the affected jurisdiction to have access to reports disclosing who is spending funds attempting to influence them.
Local Elections: The Form 496 must be filed by fax, guaranteed overnight delivery, personal delivery, or email, if available. Regular mail may not be used. A local ordinance may require that the form be filed electronically. Contact the local filing officer to determine if electronic filing or email is available.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 11
Campaign Manual 2 June 2020
Location of Filing Form 496
State Elections: The Form 496 must be filed electronically with the Secretary of State's office when it is filed in connection with a state candidate or measure. No paper copies are accepted. If the Form 496 is filed in connection with a CalPERS or CalSTRS election, a copy must also be filed with the relevant board's office.
Ex 10.6 - A city councilmember's election committee made an independent expenditure of $8,000 to support a county ballot measure. The Form 496 must be filed with the county elections office.
10-day Independent Expenditure Report (Form 496)
Additionally, a Form 496 is required to be filed within 10 business days when a committee makes independent expenditures that total in the aggregate $5,000 or more to support or oppose the qualification of a single local initiative or referendum ballot measure.
Jurisdiction of Candidate or Measure Supported/ Opposed
Statewide
Senate or Assembly District
Secretary of State Electronically only Secretary of State Electronically only
Ex 10.7 - A county supervisor's election committee made an independent expenditure of $10,000 to support a state ballot measure. The Form 496 must be filed electronically with the Secretary of State's office.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 12
Campaign Manual 2 June 2020
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I.D. NUMBER (if applicable) I.DI..DN. UNMUMBEBRER(if (aifpapplipcalicbaleb)le)
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CITY CICTIYTY
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STATE STSATTAETE
CA
ZIP CODE ZIZPIPCOCDOEDE
95443
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Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 13
Campaign Manual 2 June 2020
Completing the Form 496
A Filer Information Provide the committee's name, street address, city, state, zip code, telephone number, and committee ID number.
Quick
Generally, the
Tip
"cumulative amount"
means the amount of
independent expenditures
made in the current calendar
year.
B Date, Report Number, Number of Pages
Indicate the date the report is being filed; assign a unique number to each Form 496, such as 1, 2, 3, PR-1, PR-2, PR-3, etc.; and, indicate the number of pages included in the report.
1 Name of Candidate or Ballot Measure Supported or Opposed
Provide the name of the candidate supported or opposed and the office sought or held (and district, if applicable). Or, provide the name of the ballot measure supported or opposed, the jurisdiction in which the measure is being voted upon, and its number or letter if it has been assigned. Indicate whether the independent expenditure supported or opposed the candidate or ballot measure.
2 Independent Expenditures Made
Provide the date the committee made the independent expenditure. In the "Description of Expenditure" field, include a description of the independent expenditure (e.g., radio advertisement, billboard, mailing) and the cumulative-to-date total for independent expenditures relating to each candidate or measure. List the amount of the specific expenditure in the "Amount" column.
3 Contributions of $100 or More Received
Disclose contributions of $100 or more received since the closing date of the last campaign statement filed through the date of the independent expenditure. If no previous campaign statement has been filed, disclose contributions of $100 or more received since January 1 of the current calendar year.
Disclose the name and street address of the contributor and, if the contributor is an individual, his or her occupation and the name of his
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 14
Campaign Manual 2 June 2020
or her employer. If the individual is self-employed, disclose the name of the business. Also disclose the date and amount of the contribution, the contributor code, and type of contribution. If the contribution is a loan, enter the interest rate. Once you have disclosed a contribution on the Form 496, it is not necessary to report that contribution on any additional Form 496 filings; however, it must be reported on the committee's next regular campaign statement (Form 460 or Form 450).
Amending the Form 496
To amend a previously filed Form 496, file another Form 496 with the corrected or missing information, assign a new unique identifying number as the Report Number, check the "Amendment" box, and enter the identifying number of the report being amended. Describe the reason for the amendment in the space provided at the bottom of the form. There is no specified deadline for filing amendments; however, amendments should be filed as soon as practicable. Amendments are filed in the same location as the original.
Verification of Independent Expenditures (Form 462)
The Form 462 must be filed if the committee makes an independent expenditure of $1,000 or more in a calendar year to support or oppose a single candidate or a single ballot measure. The purpose of the Form 462 is for officers of the committee making the independent expenditure to verify that the committee's expenditures are indeed independent and have not been coordinated with the affected candidate or ballot measure committee (or the opponent). The form also verifies that the committee has not received any unreported contributions or reimbursements to make the independent expenditures.
Ex 10.8 - A committee primarily formed to oppose a candidate made independent expenditures of $20,000 to oppose the candidate in the primary election. A Form 462 is required for the primary election. If the committee makes independent expenditures of $1,000 or more to oppose the candidate in the general election, another Form 462 must be filed.
Ex 10.9 - A committee primarily formed to support a candidate on a November ballot made its first independent expenditure of $1,000 or more in September and filed the Form 462 listing the candidate. In October, the committee made several more independent expenditures to support the candidate. No additional Form 462s are required for that candidate for the November election.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 15
Campaign Manual 2 June 2020
Form 462 Verification of Independent Expenditures
462 CALIFORNIA FORM
This verification form identifies the individual responsible for ensuring that a campaign committee's independent expenditures were not coordinated with the listed candidate (or the opponent) or measure committee and that the committee will report all contributions and reimbursements as required by law. An independent expenditure is not subject to state or local contribution limits.
1 1. Name of Committee:
NAME OF RECIPIENT COMMITTEE, ENTITY OR INDIVIDUAL
Amendment (Explain) COMMITTEE ID #
Friends Supporting Alvarez for Mayor 20XX
STREET ADDRESS
CITY
12399XX
10 Main Street
STATE
ZIP CODE
Oakmont
E-MAIL
TELEPHONE NUMBER
2 CA 2. Candidate or Measures:
95443
kluuci@hotmail.com
( 707 ) 111-2222
This committee has reported an independent expenditure(s) to support or oppose the candidate(s) or measure(s) listed on a ballot for the election date identified below. (Note: The reporting of an independent expenditure may occur after this form is filed if an independent expenditure is made before the 90 day, 24-hour reporting period of Government Code Sections 84204 and 85500.)
NAME OF CANDIDATE (First/Last) OR BALLOT MEASURE
SUPPORT OPPOSE OFFICE SOUGHT OR HELD/ BALLOT NO./LETTER JURISDICTION AND DISTRICT, IF ANY
ELECTION DATE
Manuel Alvarez
NAME OF CANDIDATE (First/Last) OR BALLOT MEASURE
Mayor
Oakmont
SUPPORT OPPOSE OFFICE SOUGHT OR HELD/ BALLOT NO./LETTER JURISDICTION AND DISTRICT, IF ANY
11/4/20XX
ELECTION DATE
NAME OF CANDIDATE (First/Last) OR BALLOT MEASURE
SUPPORT OPPOSE OFFICE SOUGHT OR HELD/ BALLOT NO./LETTER JURISDICTION AND DISTRICT, IF ANY
ELECTION DATE
NAME OF CANDIDATE (First/Last) OR BALLOT MEASURE
SUPPORT OPPOSE OFFICE SOUGHT OR HELD/ BALLOT NO./LETTER JURISDICTION AND DISTRICT, IF ANY
ELECTION DATE
3 3. Verification:
I have not received any unreported contributions or reimbursements to make these independent expenditures. I have not coordinated any expenditure made during this reporting period with the candidate or the opponent of the candidate who is the subject of the expenditure, with the proponent or the opponent of the state measure that is the subject of the expenditure, or with the agents of the candidate or the opponent of the candidate or the state measure proponent or opponent. I certify under penalty of perjury under the laws of the State of California that the following is true and correct.
Signature
[Signature Required]
Printed Name Karen Lucci
Signed on
[Date Required]
(month, day, year)
(Check One):
Principal Officer
Candidate/Officeholder
Clear Page
When and Where to File the Form 462
State Ballot Measure Proponent
Print
FPPC Form 462 (Aug/2016) FPPC Advice: advice@fppc.ca.gov (866/275-3772)
www.fppc.ca.gov
The Form 462 must be filed within 10 days from the date of the committee's first independent expenditure of $1,000 or more to support or oppose a candidate or measure in a calendar year. An independent expenditure is made when the communication is disseminated to the public. A candidate or measure is listed only once for each election. Primary, general, and runoff elections are considered separate elections.
The Form 462 must be filed via email with the FPPC (form462@ fppc.ca.gov). The originally signed form must be maintained with the committee's campaign records for four years.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Completing the Form 462
1 Name of Committee
Enter the name and street address of the committee that is making the independent expenditure(s). The address should be the same as the address listed on the committee's Statement of Organization (Form 410). Provide the committee's assigned committee ID number.
2 Candidates or Measures
List the name of the candidate(s) or ballot measure(s) and mark the applicable support or oppose box. For candidates, list the office sought or held. The candidate's or measure's jurisdiction (and district if applicable) and the date of the election must also be listed.
3 Verification
The form must be reviewed and signed by the committee's principal officer. A principal officer is an individual primarily responsible for approving the political activity of the committee. (See Chapter 1.) If the committee has more than one principal officer, only one individual must sign the Form 462. The individual must be listed on the committee's Statement of Organization (Form 410). The same individual is not required to sign each Form 462. In the case of a controlled committee, the candidate or officeholder must sign the form.
Amending the Form 462
To amend a previously filed Form 462, file another Form 462 with the corrected or missing information, check the "Amendment" box, and describe the reason for the amendment in the space provided. Amendments to the Form 462 must be filed within 10 days of the change. Like the original, the amendment must be signed and dated and filed via email with the FPPC (form462@fppc.ca.gov).
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Answering Your Independent Expenditure Questions A. How frequently must the Form 462 be filed?
The Form 462 is required to identify the candidate or measure supported or opposed only once for each election. Once a candidate or measure is listed on the Form 462, no further filings are required for that candidate or measure for that election. If a committee makes independent expenditures related to a candidate in the primary election and later makes independent expenditures related to the same candidate in the runoff election, two Form 462s must be filed as they are separate elections.
B. Is an independent expenditure reportable by the committee for the candidate or the ballot measure named in the communication?
No. Because the communication is not made at the behest of the candidate or ballot measure committee, the expenditure for the communication is not reported by the affected candidate or measure committee. The person making the independent expenditure has the reporting obligations.
C. Is a candidate's controlled committee making an independent expenditure when it pays for a communication that supports the controlling candidate and supports or opposes a ballot measure listed on the same ballot?
No. This type of expenditure considered to be a direct campaign expenditure to promote one's own election.
D. May a committee pro-rate the value of a communication that contains both an independent expenditure and a nonpolitical message?
Yes. The committee should value the independent expenditure as the portion of the costs directly associated with sending the message that expressly advocates support or opposition of a candidate or ballot measure.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
C. Special Odd-Year Report (Form 460 or 450)
The odd-year report is designed to timely show if a committee is making large contributions to a number of state legislators or elected state officers during an off-election year when important issues such as the state budget or controversial legislation is being considered. The odd-year report must be filed, if during any odd-numbered year, the committee makes contributions totaling $10,000 or more to elected state officers, their controlled committees, or committees primarily formed to support or oppose any elected state officer during the first and third quarters of the year.
The special odd-year report is completed in the same manner as a regular preelection or semi-annual statement (see Chapter 8) and includes all of the committee's activity during the reporting period, not just contributions to elected state officers.
When and Where to File the Special Odd-Year Report
The special odd-year report is filed where the committee files its regular campaign statements and is filed on the committee's regular campaign disclosure statement (Form 460 or Form 450).
Period Covered January 1 through March 31 July 1 through September 30
Filing Deadline April 30 October 31
Ex 10.13 - Between July 1 and September 30 of an odd-numbered year, a local candidate's election committee contributes $6,000 to the Governor's ballot measure committee and $6,000 to the Secretary of State's election committee. The local committee must file a special odd-year report covering the period July 1 through September 30, by October 31.
D. Advertisement Reports
Paid Spokesperson Report (Form 511)
Promoting "truth in advertising," the Act requires that when a teacher, firefighter, doctor, or other person is in a ballot measure advertisement giving their expert views for or against the measure, the advertisement must disclose if the person has been paid. The Form 511 must be filed if a committee pays an individual for his or her appearance in a ballot measure advertisement in the following situations:
Ex 10.14 - In support of a local ballot measure, a committee hires a public relations firm to produce a television advertisement. A local celebrity is paid $5,000 or more to appear in the ad. The committee must include the ad disclosure described in Chapter 7 and must file the Form 511.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Payments of $5,000 or More: The committee makes expenditures totaling $5,000 or more to an individual for his or her appearance in an advertisement to support or oppose the qualification, passage, or defeat of a state or local ballot measure.
Payments of Any Amount: The committee makes expenditures of any amount to an individual for his or her appearance in an advertisement to support or oppose the qualification, passage, or defeat of a state or local ballot measure and the advertisement states or suggests that the individual is a member of an occupation that requires licensure or certification or other specialized documented training as a prerequisite to engage in that occupation (nurse, doctor, firefighter, scientist, engineer, lawyer, etc.).
Committees that pay a spokesperson to appear in a ballot measure advertisement may be required to include specific disclosures on the advertisements. (See Chapter 7.)
When and Where to File the Form 511
The Form 511 must be filed within 10 days of making an expenditure identified above. An expenditure is made on the date the payment is made or the date the services are received, whichever is earlier. The Form 511 is filed in the same location the committee files its regular campaign statements (Form 460 or Form 450). Instructions for completing the Form 511 are provided on the FPPC's website.
Communications Identifying State Candidates (Form E-530)
The Act requires reporting of electioneering communications for state candidates, such as billboards on Interstate 5 saying "Thank you Senator Kim for your support of Central Valley Agriculture" placed right before the election. The Form E-530 must be filed if a committee makes a payment or a promise of a payment totaling $50,000 or more for a communication disseminated within 45 days of an election that clearly identifies a candidate for elective state office, but does not expressly advocate the election or defeat of the candidate.
Ex 10.15 - A committee pays $200 for a doctor to appear in a television advertisement supporting a local ballot measure. The ad will clearly identify the individual as a doctor. The committee is not required to include an ad disclosure, but it must file the Form 511.
Quick
Chapter 7 contains
Tip
the requirements
for advertisement
disclosures, including the
specific disclosures that may
be required if a committee
pays a spokesperson to
appear in a ballot measure
advertisement.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
The report must disclose the amount and date of the payment(s), and the name of and office sought by the candidate(s) identified in the communication. In addition, if $5,000 or more was received or promised from a single source to pay for the communication, the report must include the name and address of the contributor, as well as the date and amount received or promised. If the contributor is an individual, the individual's occupation and employer must also be included.
The report must be verified by a written "electronic filing declaration" signed, dated, and verified on the same date the report is transmitted to the Secretary of State. This declaration must be retained in the committee's records for five years following the date that the campaign report to which it relates is filed. The statement must include the following language:
"I have used all reasonable diligence in preparing this report and to the best of my knowledge the information contained herein is true and complete. I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct."
When and Where to File the Form E-530
The Form E-530 must be filed electronically with the Secretary of State within 48 hours of making or promising to make a payment of $50,000 or more. There is no paper version of the Form E-530. To access the online form, go to the Secretary of State's website (www. sos.ca.gov). If the committee has not previously filed electronically with the Secretary of State, the committee will need to request a filer ID and password. The request form (Electronic Filing Password Request) is located on the Secretary of State's website under Campaign Finance.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
81004.5 81005
82025 82031 82036 82036.5 82044 84200.6 84202.7
84203 84203.3 84204 84204.5 84213 84511 85310 85501
Reports and Statements; Amendments. Reports and Statements; Filing Deadline on Weekend or Holiday. Expenditure. Independent Expenditure. Late Contribution. Late Independent Expenditure. Payment. Special Campaign Statements and Reports. Time for Filing by Committees of Odd-Numbered Year Reports. Late Contribution; Reports. Late In-Kind Contributions. Late Independent Expenditures; Reports. Ballot Measure Contributions and Expenditures; Reports. Verification. Ballot Measure Ads; Paid Spokesperson Disclosure. Communications Identifying State Candidates. Prohibition on Independent Expenditures by Candidate Controlled Committees.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 22
Campaign Manual 2 June 2020
Title 2 Regulations
18421.1 18425 18428
18450.11 18465.1 18531.10 18539.2
18550
Disclosure of the Making and Receipt of Contributions. 24-Hour Contribution Reports. Reporting of Contributions and Independent Expenditures Required to be Aggregated. Spokesperson Disclosure. Verification of Online Filers. Communications Identifying State Candidates. Reporting Payments Pursuant to Government Code Section 85310. 24-Hour Independent Expenditure Reports.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 10. 23
Campaign Manual 2 June 2020
Filing Obligations After the Election and Terminating the Committee
After the election, a candidate's future filing obligations are determined by whether he or she was elected to office or not. Generally, a committee primarily formed to support or oppose a candidate will terminate after the election. The Political Reform Act (Act) does not require any local candidate or primarily formed committee to terminate; however, campaign statements must continue to be filed as long as the committee remains open. In addition, the $50 annual fee must be paid to the Secretary of State.
This chapter addresses the reporting requirements for successful candidates, defeated candidates, primarily formed committees, and the guidelines for terminating a campaign committee.
A. Successful Candidates
The requirements discussed below apply to candidates/officeholders immediately following the election and for subsequent non-election years. An officeholder retains his or her status as a "candidate" under the Act and must continue to file campaign reports either the full Form 460 or the short Form 470 until they have left elective office and terminated their committee. See "Candidates Using Campaign Funds for a Future Election" below to determine the requirements for a candidate/officeholder running for reelection or running for election to a different office.
Officeholders Who Filed Form 470 During Campaign
After the election, a candidate who filed the Form 470 (Officeholder and Candidate Campaign Statement Short Form) in connection with the election has no additional filing obligations that calendar year provided $2,000 or more is not raised or spent during that calendar year. So long as a candidate/officeholder does not have an open committee, a Form 470 must be filed by July 31 of each subsequent non-election year.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 11. 1
11 chapter
Campaign Manual 2 June 2020
Officeholders Who Filed Form 460 During Campaign
After the election, a successful candidate who filed the Form 460 (Recipient Committee Campaign Statement) in connection with the election must continue to file the Form 460 semi-annually as long as the committee remains open. In addition, other special reports may be required. The candidate/officeholder has the option of maintaining his or her committee and campaign bank account or terminating the campaign committee and closing the bank account. An officeholder who maintains a committee may:
· Continue to receive contributions;
· Use campaign funds to offset officeholder expenses; or
· Use funds for a future election. (See "Candidates Using Campaign Funds for a Future Election" below.)
Once an officeholder terminates the committee, he or she may be required to file the Form 470 the following year. However, if a candidate/officeholder has an open committee at any time during a calendar year, the Form 470 (short form) may not be filed instead of the Form 460.
Exception: Judges and Unpaid Officeholders
Unpaid officeholders (defined in the Act as those who receive less than $200 per month for serving in office) and judges are not required to file Form 460 or Form 470 for any semi-annual period in which they are not listed on a ballot and do not receive any contributions or make any expenditures. This exception applies even if a judge or unpaid officeholder has a controlled committee so long as the committee has not received any contributions or made any expenditures (excluding bank fees and interest).
To determine whether $200 has been received, only the elected officeholder's fixed compensation (i.e., salary) is counted. Payments for health benefits, reimbursement for expenses (including travel expenses), or per diem received from the officeholder's agency need not be counted toward the $200.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
Judges and unpaid officeholders who are listed on a ballot must file the Form 470.
Behested Payment Reports (Form 803)
An elected officer who fundraises for worthy causes in his or her community (such as for a local school, to build a new community center or restore a historic building) may have to file a "behested payments" report. Behested payments are donations made to a charity or a government agency at the request of an elected officer for a legislative, governmental or charitable purpose. These payments are not made for personal purposes (i.e., gifts) or campaign purposes (i.e., contributions).
A common example is when an elected officer co-sponsors a charitable, governmental, or legislative event, such as a job fair or a conference on public policy issues, with outside sources. Payments made by outside sources in connection with these events generally are considered behested payments.
Form 803 Filing Procedures:
· File the Form 803 when a person donates $5,000 or more in a calendar year to charitable organizations or events at the request of an elected officer.
· Once a source has made a behested payment(s) of $5,000 or more during the calendar year, subsequent payments of any amount from that source during the calendar year must be reported.
· File the Form 803 with the elected officer's agency within 30 days following the date of the payment.
· The elected officer's agency must forward the Form 803 to the filing officer who receives the elected officer's campaign statements within 30 days of receiving the form. The Form 803 is a public record. See the Form 803 example below.
Quick
Although behested
Tip
payments are
not considered gifts or
contributions to the elected
official, meals, lodging, and
travel payments received by
an official in connection with
a co-sponsored event may
be reportable gifts.
Ex 11.1 - At the mayor's request, a catering company donated refreshments valued at $5,000 for a city sponsored job fair. The mayor must file a Form 803 with the city clerk to report the behested payment.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 11. 3
Campaign Manual 2 June 2020
Form 803 Exceptions:
· A Form 803 is not required of a non-elected officer.
· A payment is not subject to behested payment reporting if the payment is made in response to a fundraising solicitation from a charitable organization requesting a payment where the solicitation does not "feature an elected officer," even if the solicitation includes an elected officer's name. A solicitation "features an elected officer" when it includes the officer's photograph or signature, or singles out the elected officer. An elected officer is also "featured" in a solicitation if the roster or letterhead listing the governing body contains a majority of elected officers. See Regulation 18215.3 for additional information.
· A payment is not subject to behested payment reporting if the elected officer makes a request for a payment from a local, state, or federal government agency.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 11. 4
Campaign Manual 2 June 2020
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advice@fppc.ca.gov
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Legal Defense Committees
The Act permits a local candidate or elected officer to establish a legal defense fund, if the candidate or officer is subject to civil, criminal or administrative proceedings arising directly out of the conduct of an election campaign, the electoral process, or the performance of the officer's governmental duties. Contributions raised for legal defense must be held in a separate account, they may be subject to contribution limits if provided by local ordinance, and they must be fully reported. Any funds raised may only be spent to defray attorneys fees and other related legal costs, as defined in the Act. (See Regulation 18530.45 for additional information.)
A candidate or officeholder may not use any funds to pay or be reimbursed for a penalty, judgement or settlement related to a claim of sexual assault, sexual abuse or sexual harassment filed against the candidate or officeholder in any civil, criminal or administrative proceeding.
A candidate or officeholder may use legal defense committee funds for other legal costs and expenses related to claims of sexual assault, sexual abuse or sexual harassment, but if the candidate or officeholder is held liable, the candidate or elected officer must reimburse the legal defense fund for all funds used in connection with those other legal costs and expenses.
"Sexual assault" and "sexual abuse" have the same meaning as provided in Penal Code Section 11165.1. "Sexual Harassment" has the same meaning as found in Government Code Section 12940(j).
Recall Elections
Under state law, an officeholder who is the subject of a recall may use an existing committee (set up for the office he or she currently holds) to receive contributions and make expenditures to oppose the qualification of the recall measure, and if the recall petition qualifies, the recall election.
Fair Political Practices Commission advice@fppc.ca.gov
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Campaign Manual 2 June 2020
An alternative option is to form a separate recall committee. A recall committee may be established once the officeholder receives a notice of intent to recall under Elections Code Section 11201. The committee must set up a separate bank account at a financial institution in California, file a Statement of Organization (Form 410), and, in addition to the officeholder's name, must include the word "recall" in the name of the committee. See Campaign Disclosure Manual 3 as a recall committee is considered a ballot measure committee. (FPPC Regulation 18531.5 contains specific guidance on recall elections.)
B. Defeated Candidates
Form 470 Filers
Following the election, a defeated candidate who filed the Form 470 (Officeholder and Candidate Campaign Statement Short Form) has no further reporting obligations so long as less than $2,000 was raised or spent during the calendar year.
Form 460 Filers
Following the election, a defeated candidate must continue to file the Form 460 on a semi-annual basis and pay the annual committee fee as long as the committee remains open. In addition, other special reports may be required.
There is no deadline for terminating the committee or disposing of leftover funds; however, if there are leftover funds and the candidate wants to use the funds for a future election, the funds must be redesignated or transferred as discussed below.
Fair Political Practices Commission advice@fppc.ca.gov
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C.Candidates Using Leftover Campaign Funds for a Future Election
A local candidate or officeholder may use leftover campaign funds for a future election so long as the funds are not considered "surplus funds" and the requirements below are met. Campaign funds become surplus on the 90th day after the closing date for the postelection reporting period or upon the 90th day after the date of leaving office, whichever occurs last. Surplus campaign funds are subject to restrictions, as described in Chapter 5, and may not be used for a future election.
Running for the Same Office
To use money remaining in the campaign bank account for a future election to the same office before the funds become surplus, a local candidate may redesignate his or her committee and campaign bank account by:
· Filing a new Form 501 (Candidate Intention Statement) for the specific future election; and,
· Filing an amended Form 410 (Statement of Organization) to reflect the redesignation for the future election.
Running for a Different Office
To use money remaining in the campaign bank account for a future election to a different office before the funds become surplus, a local candidate must:
Ex 11.2 - John Davis lost the city council election in November. John has $3,500 remaining in his campaign bank account and is considering seeking another city council position in two years. In order to use the remaining $3,500 for the future election, John must file a new Form 501 (Candidate Intention Statement) and redesignate the bank account to a future election by amending his Form 410 (Statement of Organization) to indicate the new office sought and year of election. This must be done within 90 days after the end of the postelection reporting period for the November election.
Quick Candidates should also Tip
check with the city or county to determine if there are local restrictions for redesignating or transferring campaign funds.
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 11. 8
Campaign Manual 2 June 2020
· File a new Form 501 (Candidate Intention Statement) for the specific future election;
· File a new Form 410 (Statement of Organization); and,
· Open a new bank account. So long as the funds are not surplus and there are no local restrictions, the campaign funds from the other account may be transferred to the new bank account.
D. Primarily Formed Committees
Generally, a committee established primarily to support or oppose a particular candidate(s) will terminate after the election, but the committee may remain open to:
· Raise funds to pay debts.
Ex 11.3 - Jayna Chacon is a city council member who plans to run for county supervisor in the next election. She would like to use the remaining funds in her city council committee bank account for the county election. Jayna must file a new Form 501 before she solicits or receives contributions for the county supervisor election. She must also file a new Form 410 and open a new bank account. The city council committee campaign funds must be transferred to the county supervisor campaign bank account within 90 days after the date Jayna leaves the city council position.
· Support or oppose other candidates or measures. The committee will need to amend its Statement of Organization (Form 410) to reflect the change.
A primarily formed committee must continue to file semi-annual campaign statements (i.e., Form 460 or Form 450) and pay the annual committee fee as long as the committee remains open.
E. Terminating the Committee
There is no deadline for terminating a committee controlled by a local candidate or officeholder unless the controlling candidate/officeholder becomes a state officeholder. In that case, the candidate should refer to Campaign Disclosure Manual 1 for State Candidates for the termination requirements.
Ex 11.4 - After the election, the committee primarily formed to support candidate Jones decides to support candidate Lopez in the next election. In order to do so, the committee must file an amended Form 410 (Statement of Organization) and will continue to file campaign statements.
A primarily formed committee also does not have a deadline to terminate. However, the committee, by its nature, may need to change its committee status if it remains open after the election. A committee that remains open must continue to file semi-annual campaign statements (i.e., Form 460 or Form 450) and pay the annual
Fair Political Practices Commission advice@fppc.ca.gov
Chapter 11. 9
Campaign Manual 2 June 2020
fee, as described in Chapter 1, until it terminates. There are specific requirements that must be met in order for a committee to terminate.
A committee may terminate only if the committee: · Has ceased receiving contributions or making expenditures and does not anticipate receiving contributions or making expenditures in the future;
· Has no remaining campaign funds;
· Has filed all required campaign statements, disclosing all reportable transactions, including the disposition of leftover funds; and
· Has eliminated all debts, or has no intention or ability to discharge debts.
A committee must file a Form 410 and a final Form 460 or Form 450. On the Form 410, the "Termination" box must be checked. List the committee's identification number and the date of termination; the date of termination generally is the date all funds have been expended. Complete Section 1 and the treasurer or assistant treasurer must sign the verification. For candidate controlled committees, the controlling officeholder(s)/candidate(s) also must sign the verification.
Form 450 or 460 also must be filed showing that all funds have been expended and the committee has no cash on hand. Check the "Termination" box on the cover page.
File the original Form 410 with the Secretary of State and a copy with the committee's local filing officer who receives the committee's original campaign statements. File the Form 450 or 460 in the committee's regular filing locations.
Ex 11.5 - At the end of November, after winning her election, Arlene decides to terminate her committee. To do so, she must file a Form 410 termination and a Form 460 termination showing that the committee has no remaining cash. On the Form 460 Cover Page, Type of Statement section, she will mark both the termination and semi-annual boxes and enter December 31 as the closing date of the statement. Unless there is additional activity, Arlene is not required to file a semiannual statement on January 31, and may file Form 470 by July 31 of the next year.
Fair Political Practices Commission advice@fppc.ca.gov
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F. Receiving a Refund After the Committee Has Terminated
Generally, once a committee has terminated, no transactions may be made by the committee. However, a candidate controlled committee that has terminated may accept a refund from a governmental entity (such as an overpayment of filing fees) without reopening. A committee may also accept a refund from a vendor or other person without reopening if the committee did not know of its entitlement to the refund prior to termination and the refund or refunds total no more than $10,000.
To report this type of refund, the terminated committee must file a Form 460 for the period in which the refund was received and report the refund as a miscellaneous increase to cash on Schedule I of the Form 460 and as an expenditure on Schedule E when the funds are spent. See Chapter 5 for the permissible uses of campaign funds. For the rules related to transferring the refund to another committee. see Regulation 18404.1.
Ex 11.6 - A candidate was defeated in a November election and closed her campaign committee in December. In February of the following year, she received a $1,500 refund from the county elections office for an overpayment of her filing fees. The candidate must disclose receipt of the refund on Schedule I of the Form 460. The refund must be used for a permissible expenditure as described in Chapter 5, such as to pay outstanding debts or to make a donation to a charity, and disclosed on Schedule E. If the candidate used personal funds to pay the filing fee, she may keep the refund without disclosing it on the Form 460.
Fair Political Practices Commission advice@fppc.ca.gov
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Answering Your Questions
A. Must I file the Form 470 even if I waive my $200 per month salary as a school board member?
Yes. The exception for unpaid officeholders (less than $200 per month) does not apply when an officeholder waives his or her salary.
B. May I terminate my committee even if I have outstanding debt?
Yes. When you file your termination statement showing outstanding debt, you are declaring that you do not have the ability to discharge debts, loans, or other obligations. However, if you plan to raise additional funds, or pay the outstanding debt with personal funds, you may not terminate.
C. After terminating my committee, I received a refund from the city clerk for an overpayment of my filing fees. How do I report this?
If you used campaign funds to pay for the filing fees, you must file a Form 460 to report the refund as a miscellaneous increase to cash (on Schedule I). You must also report the expenditure of the funds on Schedule E. See Chapter 5 for the permissible uses of campaign funds.
If you used personal funds to pay for the filing fees, you may keep the refund and you are not required to report it on a campaign statement.
Fair Political Practices Commission advice@fppc.ca.gov
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D. A nonprofit group paid for a survey they conducted and published. The group is claiming that my committee owes them for part of the costs of the survey, but my position is that, since they conducted the survey without my authorization, my committee does not owe them for the survey. The group has indicated that it may seek a small claims court judgment. I would like to close my committee, but should the committee remain open until the issue is resolved?
One of the requirements that must be met in order for a committee to terminate is for the treasurer to state, under penalty of perjury, that the committee has eliminated all debts or has declared that it has no intention or ability to discharge all of its debts, loans received, and other obligations.
If your treasurer does not want to declare that the committee has no intention or ability to discharge all of its debts, loans received, and other obligations, we recommend that the committee remain open until the issue is resolved.
Fair Political Practices Commission advice@fppc.ca.gov
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Authority
The following Government Code sections and Title 2 regulations provide authority for the information in this chapter:
Government Code Sections
82004.5 82041.3 82015 84103 84200 84206 84214 84224 85200 85201 85304.5
89519
Behested Payment. Made at the Behest of. Contribution. Statement of Organization; Amendment. Semi-Annual Statements. Candidates Who Receive or Spend Less than $2,000. Termination. Behested Payment Disclosure. Statement of Intention to be a Candidate. Campaign Bank Account. Legal Defense Fund; Local Candidates and Elected Officeholders. Use of Surplus Campaign Funds.
Title 2 Regulations
18215 18215.3 18402 18404
18404.1 18406
18426 18530.45 18531.5 18951
Contribution. Behested Payments Reporting. Committee Names. Termination of Candidate's and Committees' Filing Requirements. Termination and Reopening of Committees. Short Form for Candidates or Officeholders Who Receive and Spend Less than $2,000 in a Calendar Year. Semi-Annual Statement Early Filing. Legal Defense Funds Local Candidates and Officers. Recall Elections. Surplus Funds.
Fair Political Practices Commission advice@fppc.ca.gov
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Appendix About the Political Reform Act/ How to Get Help
The Political Reform Act of 1974
The Political Reform Act (the "Act") was a voter-approved initiative on the 1974 primary election ballot. One of the major provisions of the Act requires the truthful and accurate disclosure of campaign contributions and expenditures during elections.
The Fair Political Practices Commission
The Fair Political Practices Commission (FPPC) is the independent, nonpartisan state agency authorized to implement, interpret, and enforce the provisions of the Act. The Commission is comprised of a full-time chair appointed by the Governor, and four part-time commissioners, one each appointed by the Controller, the Attorney General, the Secretary of State, and the Governor. Each member serves a four-year term and no more than three members may be from the same political party. FPPC staff is comprised of five divisions: Executive, Administration and Technology, Enforcement, Legal, and External Affairs and Education.
Governing Statutes
The Political Reform Act is contained in Government Code Sections 81000 91014.
Regulations
Regulations interpreting the Political Reform Act are located at Title 2, Division 6 of the California Code of Regulations, beginning at Section 18110.
Opinions and Advice Letters
The FPPC periodically issues opinions interpreting provisions of the
Fair Political Practices Commission advice@fppc.ca.gov
Appendix - 1
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Political Reform Act. The opinions are adopted at a public meeting, with opportunity for input from interested persons.
In addition, FPPC staff issues written advice letters as to the applicability of the Political Reform Act and regulations to a particular factual situation. Refer to the information on requesting written advice from the FPPC available on the FPPC website.
Contact Information for the FPPC
Fair Political Practices Commission 1102 Q Street, Suite 3000 Sacramento, CA 95811 (916) 322-5660 (866) 275-3772 Toll-free www.fppc.ca.gov
Twitter: @CA_FPPC Facebook: CA FPPC
FPPC Website
Visit the FPPC website (www.fppc.ca.gov) to get copies of specific advice letters, sign up for RSS feeds, or to be put on mailing lists. The Commission's website also contains a wealth of helpful information, including:
· The Political Reform Act and its corresponding regulations
· Commission opinions
· Notices of Commission meeting dates, agendas, supporting documentation for agenda items, and meeting summaries
· Forms required by the Act (also available at the FPPC's offices, the Secretary of State's offices, and many local clerks' offices)
· Manuals, fact sheets, and useful summaries of the law
Fair Political Practices Commission advice@fppc.ca.gov
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· Schedules of upcoming training opportunities.
Additional Campaign Manuals
Additional copies of this manual, and manuals for other types of campaign committees are available from the FPPC, the Secretary of State, and many city clerks and county elections offices. Manuals are available for:
· State candidates and officeholders, and committees primarily formed to support/oppose state candidates
· General purpose recipient committees (including PACs, sponsored committees, political party committees, and county central committees)
· Ballot measure committees
· Major donor and independent expenditure committees
· Slate mailer organizations
Obtaining Information Elsewhere
A subscription for regulations is available from:
Barclay's Law Publishing P.O. Box 3066 South San Francisco, CA 94083 (800) 888-3600
Opinions and advice letters are available from these subscription services:
Westlaw (800) 328-9352 Database: "CA-ETH" (Advice letters from 1986 to present)
Lexis-Nexis (800) 227-9597 Database: "CA Fair Political Practices Commission"
Fair Political Practices Commission advice@fppc.ca.gov
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(Advice letters from 1990 to present)
Other Resources
The Secretary of State, city clerks, and county clerks or registrars of voters are the filing officers for campaign disclosure statements. Committee statements will be filed with the Secretary of State or the local elections office, depending on whether the filer is a state or local candidate or committee.
Secretary of State
The Secretary of State is also responsible for issuing campaign committee identification numbers.
(916) 653-6224 www.sos.ca.gov
Federal Election Commission
The Federal Election Commission answers questions regarding federal elections and contributions to all candidates from national banks, national corporations, and foreign nationals.
Federal Election Commission 999 E Street, NW Washington, DC 20463 (800) 424-9530 www.fec.gov
Franchise Tax Board
The California Franchise Tax Board is responsible for responding to questions regarding tax status, tax-deductibility of political contributions, 501(c)(3) groups, audits, or any tax-related questions.
Fair Political Practices Commission advice@fppc.ca.gov
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(800) 852-5711 or (800) 338-0505 www.ftb.ca.gov
Internal Revenue Service
The Internal Revenue Service provides assistance regarding federal tax laws and obtaining a taxpayer identification number.
(877) 829-5500 (located in Washington, D.C.) (800) 829-3676 (taxpayer ID number) www.irs.gov
Federal Communications Commission
The Federal Communications Commission answers questions regarding rates for purchasing broadcast time and equal access to broadcast media.
(888) 225-5322 (located in Washington, D.C.) www.fcc.gov Email: fccinfo@fcc.gov
Local Campaign Ordinances
A city or county officeholder, candidate, or committee may be subject to additional reporting or other requirements under a local campaign ordinance. Common examples include the requirement to file campaign statements electronically, local contribution limits, lower itemization thresholds, or the requirement to file an additional preelection statement. A city or county campaign ordinance may never preempt state law.
Privacy Information Notice
Information required on all FPPC forms is used by the FPPC to administer and enforce the Political Reform Act (Government Code sections 81000 91014 and California Code of Regulations sections 18110 18997). All information required by these forms is mandated by the Political Reform Act. Failure to provide all of the information required by the Act is a violation subject to administrative, criminal
Fair Political Practices Commission advice@fppc.ca.gov
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or civil prosecution. All reports and statements provided are public records open for public inspection and reproduction.
If you have any questions regarding this Privacy Notice, please contact the FPPC at:
General Counsel 1102 Q Street, Suite 3000 Sacramento, CA 95811 (916) 322-5660
Campaign statements are filed with the Secretary of State and city and county filing officers, depending upon the type of committee. (See Chapter 9.)
Enforcement
The Fair Political Practices Commission, the Attorney General, county district attorneys, and elected city attorneys of charter cities have enforcement authority under the Act. Failure to provide all or any part of the information required by the Political Reform Act is a violation subject to:
· An administrative enforcement proceeding before the Fair Political Practices Commission;
· A criminal misdemeanor proceeding;
· A civil action; and
· Levying of late penalties by filing officers.
Penalties of up to $5,000 per violation of the Political Reform Act may be imposed.
Fair Political Practices Commission advice@fppc.ca.gov
Appendix - 6
Campaign Manual 2 June 2020
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