|
DIRECTORY
State
Election Laws, Nomination Petitions, Recounts
Department
of the Secretary of State
Bureau of Corporations, Elections and Commissions
101 State House Station
Augusta, Maine 04333-0101
(207) 624-7650
(207) 287-6545 FAX
State
Campaign Finance Laws, Reporting Requirements, Disclaimers
Commission
on Governmental Ethics and Election Practices
135 State House Station
Augusta, Maine 04333-0135
(207) 287-4179
(207) 287-6775 FAX
Federal
Election and Campaign Finance Laws
Federal
Elections Commission
999 E Street, NW
Washington, DC 20463
(800) 424-9530
(202) 219-3670
(202) 694-1100 - information hotline
(202) 219-8500 FAX
Political
Sign Regulations
Department
of Transportation
16 State House Station
Augusta, Maine 04333-0016
(207) 287-2616
(207) 287-3725 FAX ATTN: OBDS
Political
Broadcasting
Federal
Communications Commission
Office of Political Programming
445 12th Street, S.W.
Washington, DC 20554
(202) 418-1440
(202) 418-1124 FAX
Postal
Permits
Raffles,
Games of Chance
Department
of Public Safety
164 State House Station
Augusta, Maine 04333-0164
(207) 624-8775
(207) 624-8767 FAX
State
Taxes
Maine
Revenue Services
24 State House Station
Augusta, Maine 04333-0024
(207) 626-8475
(207) 287-4028 FAX
Federal
Taxes, Tax ID Number (SS-4 Form)
Internal
Revenue Service (Local)
1-800-829-3676 Forms
(508) 474-9717 Tax ID Number
(508) 474-9774 FAX
TABLE
OF CONTENTS
What
Offices Are Available And What Are The Requirements?
Who
Is A Candidate?
Only
Once On The Ballot!
Party
Candidates:
How
Many Signatures Must I Collect?
Party Candidate Petition
Verification, Certification And Consent
Write-In
Candidates:
Who
Is A Write-In Candidate?
Declaration Of Write-In Candidacy
Enrollment Qualifications of a Write-in Candidate
Party Name or Designation of a Write-in Candidate
How Does A Voter Cast A Write-In Vote?
Minimum Number of Votes Needed
Non-Party
Candidates:
How
Many Signatures Must I Collect?
Non-Party Candidate Petition
Verification, Certification And Consent
Restricted
Activity
Voter
Registration and Enrollment Cards
Absentee
Voting
Placement
Of Political Signs
Campaign
Finance Reporting:
The
Keys To Successful Compliance
Who Must Report
Where To File Reports
When To File Reports
How to File Reports
Exemption From Filing Requirements
Registration Requirements
Other Responsibilities Of The Candidate
Treasurer's Responsibilities
Bookkeeping Recommendations
Completing Campaign Finance Reports
Reporting Personal Contributions by the Candidate
Reporting Requirements For Candidates Receiving And Spending Less Than
$500
Commission Notices/Postmark Provision
Penalties For Late Filings
Prohibitions And Restrictions
Publication/Distribution Of Political Communications
Compliance Procedures
Most Frequently Asked Questions About the Maine Clean Election Act
Definitions:
WHAT
OFFICES ARE AVAILABLE AND WHAT ARE THE REQUIREMENTS?
|
Office
|
Age |
Citizenship/Residency |
NATIONAL
|
Representative
to Congress
(U.S.Constitution, Art. I, §2) |
25 |
7
years/Resident of State in which running
|
STATE
|
State
Senator
(Maine Constitution, Art. IV,
Part Second, § 6) |
25 |
5
years/1 year Maine resident; reside in district 3 months before
the election* |
Representative
to the Legislature
(Maine
Constitution, Art. IV,
Part First, § 4) |
21 |
5
years/1 year Maine resident; reside in district 3 months before
the election*
|
*
No person may be a candidate unless, at the time of nomination
for placement on the primary, general or special election ballot,
that person is a resident in the district which he or she seeks
to represent.
|
COUNTY
OFFICES
(21-A MRSA § 333 and § 352) |
18 |
Resident
and voter in the electoral district the candidate seeks to represent
as of the date established for filing nomination petitions in
the year of the election |
|
County
Commissioner
(30-A MRSA § 61)
|
|
County
Treasurer
(30-A MRSA § 151)
|
|
District
Attorney
(30-A MRSA § 251 -- must be an attorney)
|
|
Judge
of Probate
(Maine Constitution, Art. VI, § 6; 4 MRSA § 301 --
must be an attorney)
|
|
Register
of Probate
(Maine Constitution, Art. VI, § 6; 18-A MRSA 1-501)
|
|
Register
of Deeds
(33 MRSA § 601)
|
Sheriff
(Maine Constitution, Art. IX, § 10; 30-A MRSA § 371-B) |
--must
swear to or affirm the Law Enforcement Code of Ethics; and
--must apply to the S.O.S. for a criminal background investigation;
and
--must never have been convicted of a Class C or higher crime;
and
--must submit written certification from the Maine Criminal Justice
Academy that the candidate has:
-
met the basic law enforcement training standards under Title 25,
§2804-C, or
-
met the basic corrections training standards under Title 25, §2804-D,
and has
5
years of supervisory experience.
NOTE:
Candidates for sheriff must file a separate consent form with
the S.O.S., along with the nomination papers, confirming compliance
with the above qualifications.
Any
person who was serving or who has previously served in the office
of sheriff on or before June 26, 1997 (the effective date of
PL 1997, c. 37) is deemed to meet these minimum qualifications.
|
A
"candidate" is any one or combination of the following:
- A person who
has filed a petition and has qualified to be nominated by Primary
Election as a party candidate;
- A
person who has filed a petition and has qualified as a "non-party"
candidate;
- A
person who has filed a declaration with the Secretary of State as
a Write-In candidate;
- A
person who has received contributions or made expenditures with the
intent of qualifying as a candidate; or
- A
person who has given his or her consent to any other person to receive
contributions or make expenditures with the intent of qualifying as
a candidate.
ONLY
ONCE ON THE BALLOT!
A
person may be a candidate for only one office in any election and may
choose only one method (primary election or non-party petition) to gain
access to the printed general election ballot.
Exception:
A person may be a candidate for county charter commission or
for Presidential elector and may also be a candidate for one
additional office at the same election.
PARTY
CANDIDATES
Parties
meeting the qualifications outlined in 21-A MRSA c. 5 are eligible to
participate in the Primary Election on June 8, 2004.
- If
unenrolled, must enroll in the party named in the petition on or before
March 15, 2004. If changing enrollment from one party to another,
a candidate must file an application to change enrollment prior to
January 1, 2004.
- May
pick up primary nomination petitions from the Department of the Secretary
of State, Bureau of Corporations, Elections and Commissions.
- May
circulate petitions beginning January 1, 2004.
- Must
sign a "Candidate's Consent" before a notary public. (Click
here for further details.)
- Must
have each petition verified by its circulator, and have all signatures
certified by the applicable registrar of voters prior to filing with
the S.O.S. (Click here for further details.)
- Must
present the petitions to the Secretary of State for review on or before
5 p.m., March 15, 2004. If properly completed with the required number
of signatures, the petitions will be accepted and filed by the Secretary
of State.
- Will
be notified by the Secretary of State of the acceptance of the petitions.
- Must
comply with the campaign finance law regarding registration, record
keeping and reporting requirements.
HOW
MANY SIGNATURES MUST I COLLECT?
The
number of valid signatures of registered voters required on Primary
Nomination Petitions are:
| OFFICE |
MINIMUM |
MAXIMUM |
| Representative
to Congress |
1,000 |
1,500 |
| State
Senator |
100 |
150 |
| Representative
to the Legislature |
25 |
40 |
| County
Commissioner |
50 |
75 |
| Other
County Officers |
150 |
200 |
PARTY
CANDIDATE PETITION
Petition
forms must be typed or printed except where a signature is required.
Separate petition forms should be used for each municipality in which
signatures are solicited.
| 1. |
State the
candidate's name in one of the following forms:
|
|
A.
first name, middle name, last name
B. first name, middle initial, last name
C. first initial, middle name, last name
D. first name, last name |
|
2.
|
State
the exact title of the office sought, i.e., Representative
to Congress, State Senator, Representative to the Legislature, Judge
of Probate, Register of Probate, County Treasurer, Register of Deeds,
Sheriff, District Attorney, or County Commissioner. |
|
3.
|
State
the electoral division to be represented, i.e.,
U.S. Congressional District 1, Maine Senate District 1, Maine House
District 1, Prosecutorial District 1, etc. |
| 4. |
State
the term of office only when 2 U.S. Senators or 2 County Commissioners
are to be nominated. |
| 5. |
State
the residence address where the candidate is registered to vote. |
| 6. |
State
the mailing address of the candidate, if different. If the
mailing address is the same, so indicate. |
|
7.
|
Petition
may only be signed by voters who reside in the electoral district
in which the nomination is sought and who are enrolled in the party
named in the petition. The voter must sign his or her name personally. |
|
8.
|
The
printed name of the voter, the date signed, the street address and
municipality may be completed by either the voter or the circulator.
Ditto marks are permitted only for street address and municipality
of registration. |
| 9. |
Signatures
may not be collected prior to January 1, 2004. |
VERIFICATION,
CERTIFICATION AND CONSENT
FOR A PARTY CANDIDATE PETITION
|
1.
|
After the circulator has gathered all of the signatures on a particular petition form, the
circulator must take oath before a notary public
that each signature is the signature of the person whose name it
purports to be; was made in his or her presence; and that each signer
is a registered voter of the electoral district named on the petition
and enrolled in the party designated on the petition. Once the circulator has taken the oath before a notary, no signatures may be added to that petition form. |
| 2. |
The
Registrar or Municipal Clerk in the candidate's municipality of
residence must certify that the candidate is enrolled in the party
named on the petition as of the date the petition is certified (and no later than March 15, 2004).
The certification of enrollment needs to be completed only once
for a candidate. |
| 3. |
The
Registrar or Municipal Clerk must certify that each person whose
name appears on the petition is registered to vote in that municipality,
in the electoral district named on the petition and is enrolled
in the party designated on the petition. |
| 4. |
The
candidate must sign, before a notary public: a consent to accept
if nominated at the Primary Election; a declaration of the candidate's
municipality of residence and party designation; and a statement
that the candidate meets the qualifications of the office sought.
The signature of the candidate on the consent must appear the same
as the name of the candidate on the front of the petition. The
candidate's consent needs to be completed only once. |
WHO
IS A WRITE-IN CANDIDATE?
A
"write-in candidate" is a person:
-
Whose
name is not printed on the ballot; and
-
Who
otherwise fulfills the qualifications for the office designated;
and
-
Who
receives one or more valid write-in votes for an office listed on
a primary, general or special election ballot; and
-
Who
has filed a "Declaration of Write-in Candidacy" either before the
election or no later than 3 business days after the election. Declaration
forms are available from the Secretary of State, Bureau of Corporations,
Elections and Commissions. Telephone: 624-7650. Website:
www.maine.gov/sos/cec/elec/write-in.htm
ENROLLMENT
QUALIFICATIONS OF A
PRIMARY WRITE-IN CANDIDATE
-
The
candidate must be enrolled, on or before March 15, 2004, in the
party in which the candidate is seeking a write-in nomination;
and
-
The
candidate must meet the same qualifications as a candidate filing
a petition for nomination by primary election under §144.3
(by filing an application to change enrollment, if applicable, prior
to January 1st).
PARTY NAME
OR DESIGNATION
OF A WRITE-IN CANDIDATE
-
For
the Primary Election, the candidate must indicate which party's
nomination the candidate is seeking by checking the appropriate
box.
-
For
the General Election, the candidate may indicate a party
or political designation by writing that party or political designation
in the appropriate space on the Declaration of Write-in Candidacy.
The candidate may write in the name of a qualified party (Democratic,
Green Independent, or Republican) or choose a political designation
which may not exceed 3 words in length, and may not incorporate
the candidate's name, or the designation or an abbreviation of the
designation of a party that is qualified to nominate candidates
by primary election, and may not consist of or comprise language that is obscene or violates any other provision of Maine law with respect to names. A candidate who intends to form a new party
about that person's candidacy must use the proposed party's designation.
HOW
DOES A VOTER CAST A WRITE-IN VOTE?
- A
voter must mark the write-in indicator (square, oval or arrow) as
instructed on the ballot; AND
- The
voter must also write the name and municipality of residence in the
blank space provided at the end of the list of candidates for that
office; OR
- For
a Primary Election Only, the voter may paste a sticker on the
ballot containing the name and municipality of residence of the write-in
candidate. A sticker is an adhesive label, bearing the required information.
Stickers used with automatic tabulating equipment should be prepared
in accordance with the manufacturer's specifications for that equipment.
Contact the Department of the Secretary of State for additional information.
MINIMUM
NUMBER OF VOTES NEEDED
For
a Primary Election: the number of valid write-in votes must be equal
to at least twice the minimum number of signatures required on a primary
petition for that office. If more than one person receives the minimum
number of write-in votes for an office, the person receiving the greatest
number of votes is nominated.
For
a General Election: the person receiving the greatest number of
votes is elected.
NON-PARTY
CANDIDATES
| Ø |
If
enrolled in a qualified party, must withdraw enrollment on or
before March 1, 2004. |
| Ø |
May
pick up nomination petitions from the Department of the Secretary
of State, Bureau of Corporations, Elections and Commissions. |
| Ø |
May
circulate petitions beginning January 1, 2004. |
| Ø |
Must
sign a "Candidate's Consent" before a notary public. (Click
here for further details.) |
| Ø |
Must
have each petition verified by its circulator, and have all signatures
certified by the applicable registrar of voters prior to filing
with the S.O.S. (Click here for further details.) |
| Ø |
Must
submit petitions to the appropriate Registrars or Municipal Clerks
for certification by 5 p.m., May 25, 2004. |
| Ø |
Must
present the petitions to the Secretary of State for review on
or before 5 p.m., June 1, 2004.
If properly completed with the required number of signatures,
the petitions will be accepted and filed by the Secretary of State. |
| Ø |
Will
be notified by the Secretary of State of the acceptance of the
petitions. |
| Ø |
Must
comply with the campaign finance law regarding registration, record
keeping and reporting requirements. |
HOW
MANY SIGNATURES
MUST I COLLECT?
The
number of valid signatures of registered voters required on Non-Party
Nomination Petitions
are:
| OFFICE |
MINIMUM |
MAXIMUM |
| Representative
to Congress |
2,000 |
3,000 |
| State Senator |
200 |
300 |
| Representative
to the Legislature |
50 |
80 |
| County Commissioner |
100 |
150 |
| County Charter
Commission Member |
50 |
80 |
| Other County
Officers |
300 |
400 |
NON-PARTY CANDIDATE
PETITION
Petition forms
must be typed or printed except where a signature is required.
Separate petition forms should be used for each municipality in which
signatures are solicited.
| 1. |
State
the candidate's name in one of the following forms: |
| |
A. first
name, middle name, last name
B. first name, middle initial, last name
C. first initial, middle name, last name
D. first name, last name
|
| 2. |
State
the exact title of the office sought, i.e., Representative
to Congress, State Senator, Representative to the Legislature, Judge
of Probate, Register of Probate, County Treasurer, Register of Deeds,
Sheriff, District Attorney or County Commissioner. |
| 3. |
State
the electoral division to be represented, i.e., U.S. Congressional District 1, Maine Senate District 1, Maine House
District 1, Prosecutorial District 1, etc. |
| 4. |
State
the term of office only when 2 U.S. Senators or 2 County Commissioners
are to be nominated. |
| 5. |
State
the residence address where the candidate is registered to vote. |
| 6. |
State
the mailing address of the candidate, if different. If the mailing
address is the same, so indicate. |
| 7. |
State
the candidate's political designation which may not exceed 3 words
in length and may not include the candidate's name or the name or
designation of a party that is qualified to nominate candidates
by primary election, and may not consist of or comprise language that is obscene or violates any other provision of Maine law with respect to names. |
| 8. |
Petition
may only be signed by voters who reside in the electoral district
in which the nomination is sought. The voter must sign his or her
name personally. |
| 9. |
The
printed name of the voter, the date signed, the street address and
municipality may be completed by either the voter or the circulator.
Ditto marks are permitted only for street address and municipality
of registration. |
| 10. |
Signatures
may not be collected prior to January 1, 2004. |
VERIFICATION,
CERTIFICATION AND CONSENT
FOR A NON-PARTY CANDIDATE PETITION
| 1. |
After the circulator has gathered all of the signatures on a particular petition form, the
circulator must take oath before a notary public
that each signature is the signature of the person whose name
it purports to be; was made in his or her presence; and that each
signer is a registered voter of the electoral district named on
the petition. Once the circulator has taken the oath before a notary, no signatures may be added to that petition form. |
| 2. |
The
Registrar or Municipal Clerk in the candidate's municipality of
residence must certify that the candidate was not enrolled in
a party at the time of certification, (and after March 1, 2004). The certification of unenrollment
needs to be completed only once for a candidate. |
| 3. |
The
Registrar or Municipal Clerk must certify that each person whose
name appears on the petition is registered to vote in that municipality,
in the electoral district named on the petition. |
| 4. |
The
candidate must sign, before a notary public: a consent to accept
the nomination by petition; a declaration of the candidate's municipality
of residence and that the candidate has not been enrolled in a
party at the time of certification (and after March 1, 2004); and a statement that the candidate
meets the qualifications of the office sought. The signature of
the candidate on the consent must appear the same as the name
of the candidate on the front of the petition. The candidate's
consent needs to be completed only once. |
RESTRICTED
ACTIVITY
Voting Place
Activity:
Certain activities
are restricted on election day at the voting place, as follows:
- The voting
place is the building in which voting is conducted.
- Interference
with the voters' free passage at the voting place is prohibited. Influence
of the voters is prohibited in the voting place and within 250 feet
of the entrance to the voting place.
- The guardrail
enclosure encompasses the area within 6 feet of the voting booths
and the ballot box. Only the municipal clerk, the election officials
(warden, deputy warden or ward clerk and election clerks) and not
more than 2 voters in excess of the number of voting booths are allowed
within the guardrail enclosure. Party workers and others may
remain in the voting place outside the guardrail as long as they do
not attempt to influence voters or interfere with their free passage.
- Stickers intended
to be pasted on the ballot containing the name and municipality of
residence of a write-in candidate are allowed in a primary
election, but are not allowed in a general election.
- Advertising
in any form is prohibited within 250 feet of the entrance
to the voting place and to the registrar's office.
- Cellular
phones, beepers, voice or signal pagers and similar devices may
not be used within the voting place. Emergency workers are exempted
from this provision.
- Candidates
are permitted within the voting place and may communicate orally with
voters, as long as they do not attempt to influence their vote.
A candidate may shake hands and state their name, but may not
state the name of the office he or she is seeking, or ask a person
to vote for them.
- Campaign
buttons may only be worn by persons who are present in the voting
place solely for the purpose of voting. The longest dimension
of the button may not exceed 3 inches. Everyone else is prohibited
from wearing buttons of any size. Badges or stickers containing
a candidate's name or promoting a question on the ballot are likewise
prohibited.
- The warden
is the presiding officer at the voting place and is responsible for
the enforcement of the law governing voting and counting procedures.
The jurisdiction of the warden includes the voting place and the area
within 250 feet of the entrance to the voting place. The municipal
clerk is the supervisor of elections and is responsible for advising
the warden on election laws and procedures.
VOTER
REGISTRATION AND ENROLLMENT CARDS
| Ø |
All
applications for voter registration and party enrollment delivered
by mail or by a third person must be received by the registrar
no later than the close of business 10 business days before
election day. |
| Ø |
A
person who registers during the closed period, beginning
at 5:00 p.m. on the 10th business day before election day and including election
day, must register in person and show proof of identity
and residency, or cast a challenged ballot. |
| Ø |
An
application for voter registration by a person who otherwise qualifies
as an absentee voter, may be accepted by the clerk at
any time. The receipt of a completed absentee ballot application
by the clerk establishes a presumption of qualification, sufficient
for the clerk to issue an absentee ballot to the voter, along
with a voter registration application. The voter must complete
and return the voter registration application to the registrar,
separate from the absentee ballot, by 8 p.m. on election day,
in order for the absentee ballot to be counted. |
ABSENTEE
VOTING
| Ø |
During
the 45 days preceding an election, when the clerk's
office is open and may be conducting absentee voting, the display
or distribution of any advertising material intended to
influence a voter's choice regarding a candidate or ballot issue
is prohibited within the clerk's office and on public property
within 250 feet of the entrance to the clerk's office or on the
property on which the clerk's office stands. |
| Ø |
Any
registered voter may cast an absentee ballot instead of voting
in person at the polling place on election day. The voter does
not need to have a specific reason or be unable to vote at the
polls on election day to ask for and receive an absentee ballot.
|
| Ø |
A
candidate or members of the candidate's immediate family
may not handle or deliver absentee ballots. |
| Ø |
Immediate
family member means a person's spouse, parent, grandparent,
child, grandchild, sister, brother, stepparent, stepgrandparent,
stepchild, stepgrandchild, stepsister, stepbrother, mother-in-law,
father-in-law, brother-in-law, sister-in-law, son-in-law, daughter-in-law,
guardian or former guardian (relationship to voter must be indicated
on the application). |
| Ø |
Absentee
ballots delivered by a third person must be properly witnessed.
A third person may not have more than 5 absentee ballots
from a single municipality in their possession at any one time. |
| Ø |
An
absentee voter may not be influenced or observed
in the marking of his or her ballot by any other person, except
that a voter may request assistance from an aide in reading or
marking his or her ballot because of physical disability, illiteracy
or religious faith. In this event, another individual must act
as witness, but may not observe how the ballot is marked by the
absentee voter or aide. |
PLACEMENT
OF POLITICAL SIGNS
To All Candidates
for Political Office:
The Department
of Transportation would like to inform all candidates and their co-workers
of the present statutory and regulatory requirements applicable to placement
of roadside posters and signs advertising their candidacy.
Under the
provisions of 23 M.R.S.A., Section 1913-A and Department Regulations,
political posters and signs may be erected and maintained as follows:
| 1. |
May
be erected on private property outside the Right of Way limits of
public ways at any time prior to an election, primary or referendum,
limited in size to a maximum of 50 square feet; |
| 2. |
May
be erected within the Right of Way limits of public ways no sooner
than six (6) weeks prior to an election, primary or referendum and
must be removed no later than one week following the date of the
election, primary or referendum; |
| 3. |
Prohibited
practices: political posters and signs shall not be erected
or maintained on any traffic control signs or devices, public utility
poles or fixtures, upon any trees or painted or drawn upon rocks
or other natural features; |
| 4. |
No
person shall place, maintain or display upon or in view of any highway
any unauthorized sign, signal, marking or device which purports
to be or is an imitation of or resembles an official
traffic-control device, such as a stop sign; |
| 5. |
Political
signs may be displayed to view to all public ways except
for the Interstate Highway System. Title 23, MRSA §1913-A, paragraph
3 regulations, sub-paragraph 6 interstate system states that: Signs
may not be placed within the limits of any controlled access
highway nor erected within 660 ft. of the nearest edge
of the Interstate Highway System in such a manner that the message
may be read from the Interstate Highway. All signs located at
interstate interchanges are in violation and will be removed. |
| 6. |
Municipal
ordinances advocating stricter control take precedence over
state law. |
Traffic safety
should be of the utmost consideration in placement of political signs
or posters. Candidates and/or their campaign workers should take great
care not to place signs or posters where same could create a traffic
hazard. For example, signs or posters should not be placed at or near
intersections where they could obstruct the view of on-coming traffic
to the motorist entering the intersection. Also, signs or posters should
not be erected on or in any manner so as to interfere with the effectiveness
of traffic control devices.
Acceptable display
would be those posters or signs affixed to their own stake or post and
set in the ground well outside the traveled portion of the highway,
or, with the owner's consent and permission, attached to a building
or dwelling, or displayed on vehicles or in the windows of establishments,
and in other like manner.
We realize that
most "violations" are the result of the efforts of ardent co-workers
who do not know the law. It is therefore suggested that this information
be passed on to them. Maine Department of Transportation Maintenance
employees will have instructions to remove all improperly placed or
maintained political posters and signs.
May we please have
your full cooperation in our endeavor to prevent an unsightly, indiscriminate
and uncontrolled display of election campaign posters throughout the
state, also to prevent any possible embarrassment to political candidates.
Sincerely,
Robert F. Sinclair
Supervisor
Right of Way Maintenance Control
Website: www.maine.gov/mdot/traffic/obds/homepage.htm
Rev. 6/01
CAMPAIGN
FINANCE REPORTING
A Guide for
Candidates and their Treasurers
Maine's Campaign Reports and Finances Laws require gubernatorial,
state legislative, county, and municipal candidates in cities and
towns with a population of 15,000 or more to disclose their contributions
and expenditures and to abide by certain contribution limitations
and prohibitions. The Commission on Governmental Ethics and Election
Practices has prepared this guide to assist candidates and their treasurers in complying with these laws. The Commission urges candidates and their
campaign associates to become familiar with its contents as early
in the campaign as possible.
The Commission
has taken care to make this guide concise and accurate. However, users
should not substitute the information presented here for the applicable
provisions of the law that are controlling in the event of any conflict
with or omission in this guide. Candidates and treasurers may obtain
copies of the law from the Commission's Internet Web site or the Commission's
office.
We welcome your suggestions for additions or changes to this publication.
Please direct your comments or questions to:
Commission
on Governmental Ethics and Election Practices
Office Location: 242 State Street, Augusta
Mail: 135 State House Station
Augusta, Maine 04333-0135
Telephone: 287-4179 Fax: 287-6775
Web site: www.maine.gov/ethics
Electronic Filing:
www.mainecampaignfinance.com/public/home.asp
Additional information,
including copies of statutes and regulations administered by the Commission
and campaign registration and finance reporting forms, may be obtained
from the Commission's Internet Web site at:
www.maine.gov/ethics
THE KEYS TO
SUCCESSFUL COMPLIANCE
- Register
on time
- Read all
Commission communications carefully
- Keep detailed
records of contributions and expenditures
- File reports
on time
WHO MUST
REPORT
The treasurer of
each state, county and gubernatorial candidate and of each municipal
candidate of a city or town with a population of 15,000 or more must
file campaign finance reports, unless the candidate is exempt from filing
(see "exemption from filing requirements in this guide "). (Click
here for further information). The definition of a "candidate"
is not limited to one who has qualified by petition. A candidate within
the legal meaning also is any individual who receives contributions
or makes expenditures or gives consent for another to do so with
the intent of qualifying for elective office.
WHERE TO
FILE REPORTS
State,
county and gubernatorial candidates file reports with the Commission.
Municipal candidates file with the city/town clerk.
WHEN
TO FILE REPORTS
This
filing schedule is applicable to state and county candidates only.
Municipal candidates should check with their municipal clerk
for filing deadlines applicable to their municipality.
During
2004, reports are due from all candidates on the following dates and
for the following time periods. These dates are set pursuant to the
provisions of 21-A M.R.S.A. § 1017.
Reports
Required of All Candidates
| Pre-
and Post-Election Reports: |
Report
Type
6-Day Pre-Primary
42-Day Post-Primary
6-Day Pre-General
42-Day Post-General
|
Due
Date
06/02/04
07/20/04
10/27/04
12/14/04
|
Covering
Period
Through 5/27/04*
05/28/04-07/13/04
07/14/04-10/21/04*
10/22/04-12/7/04 |
* If a previous
report was filed, report only transactions that were made after
the completion date of the prior report through this date. If no
previous report was filed, report all financial transactions
through this date.
48-Hour
Reports:
Special reports
must be filed to disclose contributions aggregating $1,000 or more
from the candidate or candidate's spouse or single expenditures
of $1,000 or more made:
after
May 27, 2004 and before 5:00 p.m. on June 6, 2004
and
after October 21, 2004 and before 5:00 p.m. on
October 31, 2004.
The reports
must be filed within 48 hours of receiving the contribution or making
the expenditure, or by noon of the first business day after the
transaction, whichever occurs later.
Please note
that as of the printing of this guide, a bill is pending before
the Legislature that would shorten this deadline to within 24 hours
of the contribution or expenditure. Consult the Ethics Commission
staff or Web site after April 1, 2004 to confirm whether this deadline
has been amended.
Additional
Reporting Requirements for Non-Participating Candidates with a Maine
Clean Election Act Opponent
In addition
to the reports described above, any candidate for Governor, State
Senator, or State Representative who is not participating as a Maine
Clean Election Act (MCEA) candidate, who has a certified MCEA opponent
in an election, and who receives, spends, or obligates more than
1% in excess of the primary or general election distribution amounts
for that MCEA opponent in the same race must file, within 48 hours
of such receipt, expenditure, or obligation, an accelerated report
(called a 101% Report) detailing the candidate's total campaign
contributions, expenditures, and obligations to date.
Any non-participating
candidate with an MCEA opponent must also file three pre-election
reports stating the candidate's total campaign contributions, obligations,
and expenditures to date, unless the candidate files an affidavit
by the deadline attesting that the candidate has not received, spent
or obligated the amount that is 101% of the MCEA candidate's distribution
amount:
|
Report
Type
42-day pre-primary
21-day pre-primary
12-day pre-primary
42-day pre-general
21-day pre-general
12-day pre-general
|
Due
Date
4/27/04
5/18/04
5/27/04
9/21/04
10/12/04
10/21/04
|
Covering
Period
Through 4/25/04
Through 5/16/04
Through 5/25/04
Through 9/19/04
Through 10/10/04
Through 10/19/04 |
Any
nonparticipating candidate for Governor, State Senator or Representative with
a certified MCEA opponent who is required to file a 101% Report must
file an updated report with the Commission that discloses single expenditures
of $1,000 for gubernatorial candidates, $750 or more for candidates for State Senator, or $500 or more by
candidates for State Representative made after the 14th day before
an election. Please note that as of the printing of this guide,
a bill is pending before the Legislature that would shorten this deadline
to within 24 hours of the expenditure. Consult the Ethics Commission
staff or Web site after May 1, 2004 to confirm whether this deadline
has been amended.
Post-Election
Reports Required by All Candidates with Unspent Cash or Debts of More
than $50 after an Election:
Unsuccessful
primary election candidates who end the post-primary filing period
with unexpended funds (surplus) or outstanding debts (deficit) of
more than $50 must file semiannual reports until the surplus or deficit
is eliminated. The first such report is due by
5 p.m. on
January 18, 2005 and covers the period from
July 14, 2004 through December 31, 2004.
Likewise, general
election candidates are accountable for any surplus or deficit of
more than $50 remaining after the post-general filing period. These
candidates must report by
5 p.m. on
July 15, 2005 for the period covering
December 8, 2004 through June 30, 2005.
HOW TO FILE REPORTS
Reports
sent by means other than certified or registered U.S. Mail must arrive
in the Commission office not later than 5 P.M. on the filing deadline.
A
report that is properly signed by the candidate and treasurer may
be faxed to the Commission, provided that the original
of the same report is received by the Commission within 5 calendar
days thereafter.
EXEMPTION
FROM FILING REQUIREMENTS
| IMPORTANT:
PERSONAL FUNDS OF THE CANDIDATE USED FOR CAMPAIGN PURPOSES ARE
CONSIDERED CAMPAIGN CONTRIBUTIONS AND EXPENDITURES UNDER MAINE
LAW. HENCE, A CANDIDATE WHO SPENDS PERSONAL FUNDS IN SUPPORT OF
HIS OR HER CANDIDACY IS NOT ELIGIBLE FOR A REPORTING EXEMPTION. |
Candidates
who do not accept contributions, make expenditures, or incur obligations
during the election are exempt from the requirements of appointing
a treasurer and filing campaign finance reports with the Commission.
To obtain this exemption, a candidate must file a sworn, notarized
statement that the candidate will not accept campaign contributions,
make expenditures, or incur obligations in support of that candidacy.
The statement should be filed at the time the candidate registers
with the Commission. Forms for completing the statement may be obtained
from the Commission office.
If,
later, an exempted candidate decides to collect or spend any money
whatsoever on the campaign, the candidate must revoke the statement.
Until a Statement of Revocation has been filed and a treasurer appointed,
the candidate may not accept contributions or make expenditures to
promote his or her candidacy.
REGISTRATION
REQUIREMENTS
Before
accepting contributions or making expenditures, a candidate must meet
the following registration requirements:
-
Appoint
a treasurer no later than 10 days after becoming a candidate. The
candidate may serve as his or her own treasurer. A candidate may
have only one treasurer, but may appoint a deputy treasurer (frequently
the candidate, if not serving as treasurer).
-
Register
the name and address of both the candidate and the treasurer no
later than 10 days after appointing the treasurer.
-
If
the candidate has formed a political committee and no treasurer
was previously appointed, appoint a committee treasurer.
-
No
later than 10 days after appointing a political committee, register
the name of the committee, the name and address of the committee
treasurer, the name of the candidate who authorized the committee,
and the names and addresses of committee officers.
OTHER RESPONSIBILITIES
OF THE CANDIDATE
In
addition to complying with registration requirements, the candidate
must:
-
File
with the Commission a written statement as to whether the candidate
agrees to accept certain voluntary campaign spending limits. (Forms
may be obtained from the Commission office.) The statement must
be filed within 10 days of either 1) qualifying by petition, or
2) receiving contributions, making expenditures, or incurring obligations
with the intent of qualifying as a candidate — whichever is
earlier. These voluntary limits are set pursuant to the provisions
of 21-A M.R.S.A. § 1015(8) and are as follows:
A. For State
Senator - $25,000 per election
B. For State Representative - $5,000 per election
-
If
the candidate seeks a Legislative office, file a Statement of Sources
of Income no later than 5 p.m. on August 2, 2004. Forms are mailed
to candidates in July of the election year.
NOTE:
Incumbent legislators who have filed a Statement of Sources
of Income in February of the election year are not required to file
the statement in August.
-
Within 5 days of the transaction, report to the treasurer all contributions
received and expenditures made, including personal funds of the
candidate that are used for campaign expenses.
-
Notify
the Commission within 10 days if the treasurer's office becomes
vacant, and appoint a successor. Serve as treasurer from the date
of the vacancy until the appointment.
-
Check
with the treasurer to make sure campaign finance reports are filed
on time. The candidate and the treasurer jointly are responsible
for the timely and accurate filing of each required report.
-
File
an amended registration if any information on the registration changes.
The amendment must be filed within 10 days of the change.
-
Sign campaign finance reports.
TREASURER'S
RESPONSIBILITIES
Although
the duties of treasurer may include many other responsibilities, the
Campaign Reports and Finances Laws require the treasurer to perform
these specific functions:
-
Keep
detailed records of all contributions received and of each expenditure
the treasurer or candidate makes or authorizes. The following records
must be maintained:
-
The
name and address of every person making a contribution of more
than $10, and the date and amount of the contribution.
-
The name, address, occupation, and principal place of business,
if any, of every person contributing more than $50 in the aggregate
in any report filing period and the date and amount of the contribution.
Personal funds of the candidate used for campaign purposes
must be reported to and recorded by the treasurer as campaign
contributions and expenditures. (See "Recording
Loans and Loan Repayments" in this guide.)
-
An
account of each expenditure made by or on behalf of the candidate
or committee, including the full name and complete address of
each payee/creditor, the date and purpose of the expenditure,
and the amount.
-
Complete
and file campaign finance reports on time.
-
Certify
the completeness and accuracy of the information disclosed in campaign
finance reports.
-
Obtain
and keep receipts for bills for each expenditure of more than $50
made by or on behalf of the candidate, and for any such expenditure
in a lesser amount if the aggregate amount of those expenditures
to the same person in any election exceeds $50. Receipts for bills
must be kept for two years following the final report required to
be filed for the election to which they pertain.
-
Sign
all campaign finance reports.
BOOKKEEPING RECOMMENDATIONS
The
following guidelines for maintaining records are advisory only; you
may prefer other methods. Feel free to use any manual or electronic
system that helps you to meet legal requirements. However, before
establishing a record-keeping system, the candidate and treasurer
should thoroughly review the Campaign Reports and Finances Laws and
this guide in order to know exactly what is required. Contact the
Commission staff whenever questions or problems arise.
Opening
a Bank Account:
Good
bookkeeping practices call for the establishment of a separate campaign
account in a bank. The law prohibits the commingling of campaign funds
with any personal funds of the candidate or any other person associated
with the campaign.
The
bank will report interest paid on the account to the IRS. Therefore,
you should consult the IRS or your tax advisor regarding tax liability
or the requirement to file a tax return. To obtain a federal tax ID
Number, contact the IRS office nearest you, or call the IRS at the
number listed in the directory at the front of this guide.
Establish
a policy of promptly depositing all receipts in your campaign account.
To implement that policy, insist that campaign workers who solicit
contributions promptly turn them into the treasurer for deposit. Workers
should also be advised that Maine law requires candidates and their
agents to report the receipt of a contribution or the making of an
expenditure to the treasurer within five days. A contribution should
be reported as received on the date it actually comes into the candidate's
or treasurer's possession, not when it is dated or deposited in the
campaign account.
Bookkeeping
Tools:
Bookkeeping
tools include such items as notes kept regarding contributions and
expenditures, receipts, bank statements, checkbooks, canceled checks,
invoices, and copies of the campaign reporting forms. These tools
will help you to categorize and summarize contributions and expenditures.
The orderly recording of transactions will make the job of reporting
easier as well as provide you with valuable supporting records for
your reports. One convenient way to keep track of financial transactions
is to maintain an alphabetical card file for every contributor and/or
a journal type of recording system.
Former
treasurers have suggested using pages from the reporting form for
your journal and filing them in a loose-leaf binder. The reporting
form consists of separate "schedule" pages, each of which
is designed to accommodate a specific kind of information. You can
obtain the forms from the Commission's Internet web site or office
and reproduce them locally. Before beginning, make several copies
of each page. Number the pages for easy reference. Start a new section
of the journal for each filing period.
Recording
Contributions:
Record all cash contributions made to or for the candidate or committee
directly on the applicable contributions schedule of the reporting
form. Cash contributions include all monetary contributions, whether
in the form of cash or checks. For further clarification,
see the definition of "contribution" at the end
of this guide.
Include the following information in the journal:
-
The
name and address of every person making a contribution of more than
$10, and the date and amount of each contribution.
-
The
name, address, occupation, and principal place of business of every
person who has contributed more than $50 in the aggregate (i.e.,
cumulative total), and the date and amount of each contribution.
-
The
aggregate (i.e., cumulative total) of contributions of $10 or less
and the source (i.e., fundraiser, raffle etc.) of each contribution.
Be
sure to include contributions made by the candidate or candidate's
spouse. If the contributor is a member of the candidate's immediate
family, record the relationship.
Your
bank statement is another supporting document for cash contributions.
If you record transactions on the applicable contributions schedule
every time you make a bank deposit, you should always be able to match
your journal with the deposits appearing on your bank statement.
Also,
you may find it helpful to keep an alphabetical card file of contributors.
Remember that you will be reporting detailed information about each
contributor whose contributions exceed $50 in the aggregate (i.e.,
cumulative total). Maintaining a record of each individual's contributions
will help you to know if the contributor reaches the itemization threshold.
The card file (or electronic equivalent) also will help you to comply
with the contribution limitations (see "Prohibitions and Restrictions"
in this guide). In addition to the contributor information you list
in your journal, you may want to include other reference information
in the card file such as check number, thank you sent, etc. Make your
record useful!
Sample
3" by 5" Contribution Card
Name: Smith, Sally
Address: 15 Ash Street
City, zip: Oakville, ME 04901
|
| Date
of contribution |
Amount |
Cumulative |
Occupation |
Place
of business |
| 8/9/04 |
$40 |
$40 |
Teacher |
Oakville |
| 9/10/04 |
$55 |
$95 |
. |
H.S. |
| Remarks:
Thank you note sent 8/15 and 9/20. |
In-Kind
Contributions:
In-kind
contributions and their concurrent expenditures include donated materials,
goods, services, or supplies in a form other than cash or negotiable
instruments. Record all such contributions on the applicable schedule
of the reporting form along with the fair market value of the items.
The fair market value is what it would have cost if you had paid cash
for the donated items or services. Record the item or service provided,
the name and address of each person whose donation was valued at more
than $10 and the name, address, occupation and principal place of
business of each person whose donation was valued at more than $50.
Some
services and items do not constitute in-kind contributions and, therefore,
are not reportable. These include the value of volunteer services
provided without compensation and the cost of incidental food and
refreshments served in the home of the person furnishing the food
and refreshments if that person has received no compensation. For
further clarification of what constitutes a reportable contribution,
refer to the definition of "contribution" at the end of
this guide.
Recording
Expenditures:
Written
records and supporting documents that show how money was spent are
just as important as the records showing where money came from. If
you use checks to pay expenses whenever practical, you will have a
verifiable, chronological history of your expenditures. Receipts are
another means of verifying expenses; so obtain a receipt for each expenditure, and indicate on it the number of the check written to
pay that bill. Insist at the start of a campaign that each person,
including the candidate, who makes an expenditure provides a receipt
when requesting reimbursement.
Bills
are normally maintained alphabetically by vendor. This helps prevent
double payments and makes for ready access to information concerning
all transactions with any one vendor. Alternatively, small campaigns
may find it more convenient to maintain bills in chronological order
by date of purchase.
All
expenditures made by or on behalf of the candidate should be recorded
in at least two places. You will record them first in your checkbook
that will provide a permanent record for each individual check and
an up-to-date record of your bank balance.
You
also should record each expenditure on the applicable schedule of
the reporting form. (You will need to adapt the kind of information
shown in the sample below to accommodate the reporting form.) List
the date and amount of the expenditure, the name and address of each
payee or creditor, and a description of the expenditure. The journal
will be a more comprehensive record than your checkbook because it
will include both paid and unpaid bills. It also will be a useful
cross-reference as well as a source of information for completing
the applicable schedule for unpaid bills other than loans on the reporting
form.
Sample
Journal Entries
(Expenditures Made Month of July)
Date
ordered |
Payee/
Creditor |
Purpose
|
Amt.
Owed |
Amt.
Paid |
Ck.
No. |
Balance |
| 7/8/04 |
Jones Printing
3 Allen St. Brunswick |
Invitations
for fund raiser |
$500 |
$300
7/14/04 |
25 |
$200 |
| 7/9/04 |
Lord's
Lumber
2 School St. Brunswick |
Signs |
$1,000 |
$500
8/2/04 |
60 |
$500 |
|
Outstanding
bills $700
|
Recording
Loans and Loan Repayments:
Record
all loans received by the candidate, including loans from the candidate
and the candidate's spouse, on the appropriate schedule. Enter loans
from the candidate or candidate's spouse, loans from other (noncommercial)
sources, and loans from financial institutions in the applicable Part
of the appropriate schedule. Show the date the loan was made, the
name and address of the person from whom the loan was received, the
amount of the loan, and, if the loan is from a noncommercial source
and the amount is more than $50, the occupation and principal place
of business of the lender. Also, list the name and address of each
person who is a cosigner or guarantor on the loan and the amount undertaken
by each.
Remember,
noncommercial loans are considered contributions to the candidate;
therefore, the lender is subject to the contribution limitations.
However, this limitation does not apply to loans by a candidate or
the candidate's spouse to the campaign.
Also,
record all loan repayments on the appropriate schedule of the reporting
form. Enter the date of the loan repayment, the full name and address
of the lender, the amount repaid, and the date of the repayment.
Recording
Pledges:
A
contribution is defined as a contract, promise, or agreement to
make a contribution. Since a pledge fits within that definition,
it must be disclosed. Record pledges on the appropriate schedule.
The information required for pledge entries is essentially the same
as that required for cash contributions. The pledge is not added to
the contributions summary, however, until the funds are actually received
by the campaign and recorded on the contribution schedule.
COMPLETING
CAMPAIGN FINANCE REPORTS
Both
the treasurer and the candidate must sign reports. All required
information must be provided on forms prescribed by the Commission.
Type or print clearly in ink on all reports. First, complete
the top section (candidate and report information) of the cover page.
The term "filing period" means the period covered by the
report. To complete this part, refer to the applicable filing dates
and periods covered by each report on the cover page or in this guide.
Make
copies of the blank schedule pages before filling out the report so
that you will have extra pages to list contributions and expenditures.
The reporting form contains summary sections that summarize all of
the information contained in the report. Complete all applicable
schedules of the reporting form before completing the summary sections
of the report. If two or more pages of any schedule are used,
the totals from all pages of that schedule should be added together
and entered only on the final page of that schedule. Follow the
instructions at the top and bottom of each schedule page carefully.
All
the dates for transactions included on a report must fall within the
filing period covered by that report. If you enter transactions that
occurred outside the period covered by the report, you will be asked
to file an amended report showing the transactions in the proper reporting
period. The following sections provide some general information about
completing the reports. Candidates should refer to the specific instructions
that accompany the campaign finance report forms. The Commission
encourages you to call its staff with any questions you may have concerning
the completion of reports.
Contributions:
Using file cards or a journal, record the sources of contributions
of more than $10, listing the date the contribution was made, the
contributor's name, address, the amount of the contribution, and the
aggregate (i.e., cumulative total) to date from that same source.
If a person's contributions in any report filing period total more
than $50, the account must include the contributor's occupation and
principal place of business, if any. Complete the applicable schedules
of the report form based on the type and source of each contribution.
REPORTING
PERSONAL CONTRIBUTIONS BY THE CANDIDATE
(TREASURERS TAKE SPECIAL NOTE!!)
Some treasurers have encountered problems reporting personal contributions
and expenditures of the candidate. You may avoid common errors by
observing the following guidelines:
- Any expenditure
of personal funds by a candidate to support that candidate's campaign
is either a contribution or loan to the campaign and must be
reported as such. There are several ways to report these transactions:
- If the candidate
expects to be reimbursed for the expenditure, the treasurer
should itemize the transaction on the expenditure schedule
and record the amount spent as a loan by the candidate in
the appropriate part of the loan schedule.
- If the candidate
does not expect to be reimbursed for the expenditure, the
treasurer should report the transaction both as a contribution
and as an expenditure.
Example: On three separate occasions, the candidate
pays for miscellaneous, campaign-related travel expenses out-of-pocket
and later reports the transactions to the treasurer. The candidate
expects to be reimbursed at a later date if funds become available.
Report the transactions as follows:
On the
Expenditure Schedule
| Date |
Payee/creditor,
address, zip code
|
Purpose
of
Expenditure
|
Amount
|
| 6/08/04 |
Joe's
Arco (by candidate)
State Highway
North Tucker, ME 04197 |
Gas
mileage |
$15.00
|
| 7/15/04 |
Carl's
Eats (by candidate)
16 Minot Street
Brighton, ME 04326 |
Food |
$8.00
|
| 7/15/04 |
Daze
Inn (by candidate)
36 Water Street
Eastwick, ME 04569 |
Lodging |
$45.00
|
|
Total
expended |
$68.00
|
On the
Loan Schedule
6/8/04-
7/15/04 |
Candidate's
name and address |
|
$68.00 |
When
the loan is repaid, show the payment on the loan repayment schedule.
If
the candidate makes a loan to the campaign and later decides to write
off (i.e., forgive) all or any portion of the loan, the amount forgiven
must be reported on Schedule C. Because the forgiven amount is a contribution,
it may not exceed the applicable $250 or $500 contribution limit.
Another
reporting problem occurs when the treasurer gives the candidate petty
cash from the campaign account for incidental expenses. Treasurers
often mistakenly report such transactions as reimbursement to the
candidate for expenses.
The
transaction is properly reported on the Expenditure Schedule of the
report as follows:
| Date |
Payee/creditor,
address, zip code |
Purpose
of
expenditure |
Amount |
| 8/15/04 |
Payment
of $100 in petty cash to candidate.
These funds were used as follows: |
|
-- |
| 8/16/04 |
Betty's
Shop'n Stop
6 Main St.
Blackstone, ME 04823 |
Gas mileage |
$10.00 |
| 8/19/04 |
Sally's
Restaurant
90 Ridge Rd.
East Ogden, ME 04916 |
Food |
$12.00 |
| 8/23/04 |
Sam's Gas
Rt. 39
Taylor, ME 04721 |
Gas mileage |
$15.00 |
| 8/25/04 |
Seaside
Motel
Fourth St.
Gilbert, ME 04502 |
Lodging |
$63.00 |
| |
|
Total expended |
$100.00 |
NOTE:
The law requires the candidate to report to the treasurer all financial
transactions the candidate makes; however, it does not require
the candidate to deposit personal contributions made by the candidate
into the campaign account. Therefore, if the candidate chooses to
pay for miscellaneous expenses out-of-pocket using personal funds,
the campaign account's bank deposits will not match the campaign's
contributor records.
In-Kind
Contributions: List the item or service provided and
the date and fair market value of the goods/services donated. If the
value of a contribution is more than $50, list the contributor's name,
address, occupation and principal place of business. Follow the instructions
on the applicable reporting schedules.
Valuation
of Contributions Sold at Auction (including yard sale, etc.):
Any contribution received by a candidate that is later sold at auction
should be reported as follows:
A. If the contribution
is sold at auction before the start of or during the
reporting period, the value of the contribution is the amount of the
purchase price paid at auction/sale, etc.
B. If the contribution
is sold after the end of the reporting period, the value of
the contribution is the difference between the value of the contribution
as originally reported (i.e., as an "in-kind" contribution
with estimated "fair market value") and the amount of the
purchase price paid at auction/sale, etc.
REMINDER:
Individual contribution limits apply to ALL CONTRIBUTIONS, not only
cash contributions. See the definition of "contribution"
at the end of this guide.
Expenditures:
Using journal entries, itemize all expenditures (except unpaid bills,
debts, or obligations) made or authorized, no matter what the amount.
List the date, amount, and purpose of each expenditure and the name
of each payee and creditor.
Loans:
Using journal entries, list noncommercial loans and loans from financial
institutions. List the name and address of the lender making the loan,
and the date and amount of each loan. In addition, list the name and
address of each person who is a cosigner or guarantor of each loan and
the amount of the obligation undertaken by each.
Loan
Repayments: List each payment made against any loan. Enter the
name and address of the lender and the date and the amount paid.
Debts
and Obligations: Using an alphabetical file of creditors or
journal entries, list unpaid bills, debts, or obligations. Include the
date the debt or obligation was incurred, the amount and purpose of
the transaction, and the name of the creditor. A debt must be reported
on each report filed after the date of purchase of goods or services
on credit until full payment is made to the vendor. If only partial
payment is made on the debt, continue to disclose the unpaid balance
of that debt or obligation. When any payment is made on a debt or obligation,
that payment amount should be reported as an expenditure.
| No forms
are prescribed for reporting either the return of a contribution
or the reimbursement by a creditor for overpayment or other charge.
Contribution
refunds should be reported on the contributions schedule
as a negative contribution; while the reimbursement
of an expenditure should be reported on the expenditure
schedule as a negative expenditure.
Service
charges on your checking account should be reported in the
expenditure schedule; while interest paid on the
account should be reported either on the contributions
schedule or miscellaneous receipts line of the summary page.
|
Follow
the detailed instructions on the reporting forms for completing the
Summary Pages.
REPORTING
REQUIREMENTS FOR CANDIDATES
RECEIVING AND SPENDING LESS THAN $500
IN AN ELECTION
A
candidate who receives less than $500 in contributions and makes less
than $500 in expenditures with respect to any election is not required
to itemize transactions. The transactions may be reported as lump
sums. However, a candidate must maintain detailed records of all contributions
received and expenditures made, even if the candidate chooses to file
an unitemized report under this option. If, at any time during the
election, either the total contributions or total expenditures reaches
the $500 limit, the treasurer must file an itemized report of all
financial transactions that were previously made. The report is
due by the deadline date for the filing period in which the contribution
or expenditure threshold is exceeded.
COMMISSION
NOTICES/POSTMARK PROVISION
Candidates and
their treasurers must strictly adhere to the filing deadlines, as well
as provide all required information on the reports to avoid penalties
for late or incomplete reports.
Reports that are
sent by certified or registered U.S. mail and postmarked at least
2 days before the deadline are not subject to penalty.
A report that is
properly signed by the candidate and treasurer may be faxed to the Commission,
provided that the original of the same report
is received by the Commission within 5 calendar days thereafter.
REPORTS SENT
BY MEANS OTHER THAN CERTIFIED OR REGISTERED U.S. MAIL MUST ARRIVE
IN THE COMMISSION OFFICE NO LATER THAN 5 P.M. ON THE FILING DEADLINE.
NOTE: The
Commission provides a reporting schedule to each candidate upon registration
that fulfills the Commission's requirement to notify candidates of the
filing deadlines. While the Commission attempts to send reminders to
candidates approximately two weeks before each filing deadline, failure
to receive such a reminder will not excuse the late filing of a report.
PENALTIES
FOR LATE FILINGS
The candidate
and the treasurer are jointly responsible for the accurate and
timely filing of each required report. A penalty may be assessed
against a candidate and treasurer who fail to file a required
report by the specified date, or who fail to file a complete and accurate
report. The penalty for filing a report that does not substantially
conform to the disclosure requirements, as determined by the Commission,
or the late filing of a report is a percentage of the greater of the
total contributions or expenditures for the filing period multiplied
by the number of calendar days late, as follows:
|
For the 1st
violation: |
1% |
|
For the 2nd
violation: |
3% |
|
For the 3rd
and subsequent violations:
|
5%
|
|
Example:
|
|
|
Total contributions: |
$1,000 |
|
Total expenditures:
|
$ 500 |
Penalty =
$1,000 x 1% (1st violation) x 5 days late = $50.00
Any penalty of less than $5 is waived.
Violations accumulate
over a two-year period that begins on January 1st of each even-numbered
year. Waiver of a penalty does not nullify the finding of a violation.
A CANDIDATE
OR TREASURER WHO FAILS TO FILE A REQUIRED REPORT WITHIN 30 DAYS OF THE
FILING DATE IS GUILTY OF A CLASS E CRIME.
Late registrations
carry a penalty of $10.
PROHIBITIONS
AND RESTRICTIONS
Contribution
Limitations:
| For these
purposes, the primary and general elections are considered separate
elections. |
- An individual,
political committee, other committee, corporation or association may
not make contributions to a candidate, in support of the candidacy
of one person, aggregating more than $500 in any election for a gubernatorial
candidate or more than $250 in any election for any other candidate.
This limitation does not apply to contributions in support of a candidate
by that candidate or that candidate's spouse.
- No individual
may make contributions to candidates aggregating more than $25,000
in any calendar year. This limitation does not apply to contributions
in support of a candidate by that candidate or that candidate's spouse.
Contributions
in Name of Another:
No person may make
a contribution in the name of another person, and no candidate may knowingly
accept such a contribution. For example, it would be illegal for a person
to contribute money to a state party committee with the intent that
the state party committee gives that or an equal contribution to a specified
candidate in the name of the party committee.
Anonymous
Contributions:
Campaign treasurers
must keep a detailed and exact account of all contributions made to
or for the candidate, including any contributions by the candidate;
and the name and address of every person contributing in excess of $10.
Therefore, anonymous contributions of more than $10 may not be accepted.
A candidate
or treasurer receiving an anonymous contribution in excess of $10 should
promptly dispose of the amount over $10, using any lawful purpose
unrelated to any State election, campaign or candidate.
Commingling
of Funds:
Contributions
or other receipts received by a candidate may not be commingled with
personal funds of the candidate, treasurer, or other officers, members,
or associates of the candidate's campaign committee. Personal funds
of the candidate used to support the candidacy must be recorded and
reported to the treasurer either as loans or contributions to the candidate
or the candidate's political committee (i.e., the campaign).
False
Statements:
No person, candidate,
treasurer, or political action committee may make a false statement
in any required report. Making a false statement in a required report
is a Class E crime.
Disposal
of Surplus Funds:
After
an election campaign, a candidate may be left with unexpended funds.
These funds may not be converted to personal use. Pursuant to the provisions
of 21-A M.R.S.A. § 1017(8), a treasurer may dispose of surplus
funds exceeding $50 only by:
- Distributing
the funds to the candidate's contributors on a pro rata basis;
- Making a gift
to a qualified political party within this State, including any county
or municipal subdivision of such a party;
- Making an unrestricted
gift to the State's general fund.
- Carrying forward
the funds to a political committee established to promote the same
candidate for a subsequent election;
- Carrying forward
the surplus balance for use by the candidate for a subsequent election;
- Transferring
the surplus balance to one or more other registered candidates or
to a political committee established to promote the election of those
candidates, provided that the amount transferred does not exceed contribution
limits;
- Repaying any
loans or retiring any other debts incurred to defray campaign expenses
of the candidate;
- Paying for any
expense incurred in the proper performance of the office to which
the candidate is elected, as long as each expenditure is itemized
on expenditure reports; and
- Making a gift
to a charitable or educational organization that is not prohibited,
for tax reasons, from receiving such a gift.
PUBLICATION/DISTRIBUTION
OF POLITICAL COMMUNICATIONS
Whenever
a person makes an expenditure to finance a communication expressly advocating
the election or defeat of a clearly identified candidate through broadcasting
stations, newspapers, magazines, outdoor advertising facilities, direct
mails or other similar types of general public political advertising,
or through flyers, handbills, bumper stickers and other nonperiodical
publications, the communication, if authorized by a candidate,
a candidate's authorized political committee or their agents, must
clearly and conspicuously state that the communication has
been so authorized and must clearly state the name and address
of the person who made or financed the expenditure for the communication.
The following are
examples of suitable attribution statements for political communications:
By
a Candidate:
- Paid for and
authorized by John Doe, 2 Main Street, Pinetree City
- Paid for and
authorized by the candidate, 2 Main Street, Pinetree City (where the
candidate's full name is clearly stated in the communication)
By
a Candidate's Political Committee:
- Authorized by
the Candidate and paid for by the Committee to Elect John Doe, 2 Main
Street, Pinetree City
By
the Candidate's Agents:
- Authorized by
Candidate John Doe and paid for by Sam Smith, Treasurer, 5 Oak Street,
Pinetree City
- Paid for by
the Candidate and authorized by John Jones, Chairman of Committee
to Reelect John Doe, 1 Cool Street, Pinetree City
Exempted
Items:
Items
exempt from the attribution law include: ashtrays, badges and badge
holders, balloons, campaign buttons, clothing, coasters, combs, emery
boards, envelopes, erasers, glasses, key rings, letter openers, matchbooks,
nail files, noisemakers, paper and plastic cups, pencils, pens, plastic
tableware, 12-inch or shorter rulers, swizzle sticks, and tickets to
fund-raisers.
The Commission
may exempt similar items if it determines those items are too small
and, therefore, it would be unnecessary to include the required disclosure.
NOTE:
YARD SIGNS ARE NOT EXEMPT FROM THE ATTRIBUTION REQUIREMENTS.
Broadcast
Communications:
No
person operating a broadcasting station within this State may broadcast
any communication expressly advocating the election or defeat of a clearly
identified candidate, whether or not such broadcast is authorized by
that candidate, without an oral or written visual announcement of the
name of the person who made or financed the expenditure for the communication.
COMPLIANCE
PROCEDURES
The
Commission on Governmental Ethics and Election Practices is responsible
for administering the Campaign Reports and Finances Law. The Commission
consists of 5 citizens and a full-time staff who conduct the day-to-day
business of the Commission.
The Commission
is strongly committed to one of its primary missions of ensuring the
full accounting of campaign contributions and expenditures by assisting
candidates and their treasurers in completing reports.
To ensure the complete,
accurate, and timely disclosure of campaign information, the Commission
staff reviews filings. The first such review is conducted on the filing
date to identify late or incomplete reports. Following that review,
each candidate and treasurer submitting a late report is notified by
certified letter of the late filing violation, the potential penalty,
the preliminary determination by the staff of the amount of that penalty
and of the candidate's right to apply to the Commission for a formal
penalty assessment and consideration of a penalty waiver.
If Commission consideration
is requested, the candidate or treasurer may appear in person before
the Commission, designate a representative to appear on the candidate's
behalf, or submit a notarized written explanation of the reasons for
the late filing. A request for a waiver must be made within 10 days
of receipt of the Commission's certified letter.
The Commission
may waive the penalty in whole or in part if it determines that the
tardiness of the report was due to "mitigating circumstances."
Pursuant to the provisions of 21-A M.R.S.A. §1020-A, the term "mitigating
circumstances" is defined as follows:
| A. |
A
valid emergency determined by the Commission, in the interest of
the sound
administration of justice, to warrant the waiver of the penalty
in whole or in part; |
| B. |
An
error by the Commission staff; |
| C. |
Failure to receive notice of the filing deadline; or |
| D. |
Other
circumstances determined by the Commission that warrant mitigation
of the penalty, based upon relevant evidence presented that a
bona fide effort was made to file the report in accordance with
the statutory requirements, including, but not limited to, unexplained
delays in postal service. |
After a hearing,
the candidate and treasurer are promptly notified of the Commission's
decision.
If no hearing is
requested, the candidate is expected to pay the penalty amount specified
by the preliminary determination, based upon the statutorily prescribed
formula, using the billing statement provided for that purpose.
The Commission
staff conducts a second review of reports after the filing deadline
date. If apparent errors or omissions are found, the candidate and campaign
treasurer are notified by mail and asked to correct the error or omission
within 15 days of the date of the notice. Failure to provide the remedy
requested may result in referral of the matter to the Commission. If
the Commission finds that a report does not "substantially conform"
to the reporting requirements of the law, or that a report has not been
properly signed, the report may be deemed late.
Failure to pay
any penalty levied by the Commission under the campaign reports and
finances laws is a civil violation. The Commission refers instances
of nonpayment and other apparent violations of the law to the Attorney
General for appropriate enforcement action.
In addition to
assessing late filing penalties, the Commission is authorized to investigate
any violations of the campaign reports and finances laws and may call
on the Attorney General, Secretary of State, and Department of Audit
for aid in the performance of its duties.
MOST FREQUENTLY
ASKED QUESTIONS ABOUT THE MAINE CLEAN ELECTION ACT
Candidates
who are interested in more detailed information about the Maine Clean
Election Act should obtain a copy of "A Candidate's Guide to
the Maine Clean Election Act" from the Ethics Commission office
or on the Commission's Internet web site at: www.maine.gov/ethics.
- What is
the Maine Clean Election Act?
The
Maine Clean Election Act (MCEA) is a campaign finance reform measure
that was initiated by Maine citizens and passed by voters in 1996.
It was first implemented for candidates for the State Senate and House
of Representatives in 2000 and for gubernatorial candidates in 2002.
The Act creates a campaign funding system that provides full public
funding to qualified candidates who agree to not engage in private
fundraising and to limit their spending to the amount of public funding
prescribed by the MCEA.
- When did
the new system go into effect?
Candidates
for State House and Senate were first able to qualify for MCEA funds in
2000, and gubernatorial candidates were eligible for the first
time in 2002.
- What does
a candidate have to do to qualify?
First,
a person has to demonstrate grassroots support. To qualify, the candidate
must collect a set number of $5 qualifying contributions from registered
voters in the candidate's electoral district. For State House races,
the number is 50; for State Senate, it is 150; and for Governor, it
is 2,500. These qualifying contributions are not for the candidate
to spend, but instead they go into the Clean Election Fund.
- Does this
mean it now costs $5 to sign a nominating petition?
No.
The nominating process has not changed. The $5 qualifying contributions
are collected in order to be eligible to receive public financing
from the Clean Election Fund. The processes are separate.
- Do candidates
have to participate?
No.
Participation in the MCEA's public funding system is optional and
entirely voluntary. Candidates who choose not to participate remain
free to raise and spend as much money as they wish, just as they always
have.
- Will there
be a label on the ballot saying "Clean Election Candidate?"
No.
There will be no indication on the ballot of participation or non-participation
in the optional, voluntary system.
- How can a
candidate afford to collect signatures and qualifying contributions
if they are not allowed to raise money?
In
order to qualify for certification, candidates are allowed to raise
a limited amount of "seed money" to get their campaigns
started. Seed money contributions may only come from individuals,
not PACs, corporations, or other types of organizations, and may not
exceed $100 per individual contributor. Total seed money amounts may
not exceed $500 for State House candidates, $1,500 for State Senate,
and $50,000 for Governor. Seed money may only be raised and spent
in the period before a candidate qualifies for Clean Election funds.
Any unspent seed money is deducted from the certified candidate's
initial distribution of MCEA funds.
- Will a candidate
who does not want to participate in the MCEA system be labeled a "dirty"
candidate?
No.
The words "Clean Election" refer to the system, not to the
candidates. Labeling is not part of the system.
- What does
this cost Maine taxpayers? Where does the money come from?
The
Legislature allocates $2 million a year from the General Fund to the
Maine Clean Election Fund. Additional money comes from a voluntary
Clean Election check-off on the Maine income tax return that adds
approximately $250,000 annually to the Fund from general tax
revenues. The MCEA system is estimated to cost each Maine resident
less than $2 per year. In the 2000 elections, 134 MCEA certified candidates
in the primary and general elections spent a total of approximately
$865,000 in MCEA funds. In the 2002 elections, 254 candidates participated in the Program and received approximately $3.0 million.
- What is the
spending limit for participating candidates?
Participating
candidates will be able to spend an amount of money based on the average
of the amount spent in similar races over the preceding two election
cycles. The Commission is required to determine the amount of funds
to be distributed to participating candidates based on the type of
election and office. The Commission has determined that the following
amounts will be initially distributed to participating candidates:
MAINE CLEAN ELECTION FUND
DISTRIBUTIONS FOR
STATE SENATORS & REPRESENTATIVES
| PRIMARY |
GENERAL |
| Contested |
Uncontested |
Contested |
Incontested |
| House |
Senate |
House |
Senate |
House |
Senate |
House |
Senate |
$1,374
|
$6,487
|
$456
|
$1,514 |
$4,032
|
$16,791
|
$1,613
|
$6,717
|
- What if the
amount given is not enough to stay competitive with a better-financed
opponent?
Candidates
will know ahead of time how much money will be available for participating
candidates. In the event that a participating candidate is outspent
by a privately funded (i.e., nonparticipating or traditionally funded)
opponent, dollar-for-dollar matching funds will be available, up to
two times the initial distribution, in addition to the original amount.
Independent expenditures also will be included in the formula to determine
the amount of matching funds to be released.
- What mechanism
exists for recommending improvements to the operation and administration
of the Maine Clean Election Act?
By
January 30, 2002, and every four years after that date, the Commission
on Governmental Ethics and Election Practices is required to prepare
for the Legislature a report documenting, evaluating, and making recommendations
relating to the administration, implementation and enforcement of
the Maine Clean Election Act and the Maine Clean Election Fund. Participating
candidates and any other interested member of the public is encouraged
to submit written suggestions and recommendations to the Commission
for inclusion in the report to the Legislature. The Commission's report
documenting the results of MCEA implementation in the 2000 elections
was submitted to the Legislature in August 2001.
DEFINITIONS
The
term "Contribution" includes:
| (1) |
A
gift, subscription, loan, advance or deposit of money or anything
of value made for the purpose of influencing the nomination or
election of any person to state, county or municipal office or
for the purpose of liquidating any campaign deficit of a candidate,
except that a loan of money to a candidate by a financial institution
in this State made in accordance with applicable banking laws
and regulations and in the ordinary course of business is not
included; |
| (2) |
A
contract, promise or agreement, express or implied, whether or
not legally enforceable, to make a contribution for such purposes; |
| (3) |
Funds
received by a candidate or a political committee that are transferred
to the candidate or committee from another political committee
or other source; and |
| (4) |
The
payment, by any person other than a candidate or a political committee,
of compensation for the personal services of other persons that
are provided to the candidate or political committee without charge
for any such purpose; and |
Does
not include:
| (1) |
The
value of services provided without compensation by individuals
who volunteer a portion or all of their time on behalf of a candidate
or political committee; |
| (2) |
The
use of real or personal property and the cost of invitations,
food and beverages, voluntarily provided by an individual to a
candidate in rendering voluntary personal services for candidate-related
activities, if the cumulative value of these activities by the
individual on behalf of any candidate does not exceed $50 with
respect to any election; |
| (3) |
The
sale of any food or beverage by a vendor for use in a candidate's
campaign at a charge less than the normal comparable charge, if
the charge to the candidate is at least equal to the cost of the
food or beverages to the vendor and if the cumulative value of
the food or beverage does not exceed $50 with respect to any election; |
| (4) |
Any
unreimbursed travel expenses incurred and paid for by an individual
who volunteers personal services to a candidate, if the cumulative
amount of these expenses does not exceed $50 with respect to any
election; |
| (5) |
The
payment by a party's state, district, county or municipal committee
of the costs of preparation, display or mailing or other distribution
incurred by the committee with respect to a printed slate card,
sample ballot or other printed listing of 3 or more candidates
for any political office; |
| (6) |
Documents,
in printed or electronic form, including party platforms, single
copies of issue papers, information pertaining to the requirements
of the Maine law on elections and lists of registered voters,
created or maintained by a political party for the general purpose
of party building and provided to a candidate who is a member
of that party; |
| (7) |
Compensation
paid by a political party to an employee of that party for the
following purposes: |
|
(a) |
Providing advice to any one candidate for a period
of no more than 20 hours in any election; |
|
(b) |
Recruiting and overseeing volunteers for campaign
activities involving 3 or more candidates; or |
|
(c) |
Coordinating campaign events involving 3 or more
candidates; |
| (8) |
Campaign
training sessions provided to 3 or more candidates; |
| (9) |
The
use of offices, telephones, computers and similar equipment when
that use does not result in additional cost to the provider; or |
| (10) |
Activity
or communication designed to encourage individuals to register
to vote or to vote if that activity or communication does not
mention a clearly identified candidate. |
The
term "Expenditure" includes:
| (1) |
A
purchase, payment, distribution, loan, advance, deposit or gift
of money or anything of value made for the purpose of influencing
the nomination or election of any person to political office,
except that a loan of money to a candidate by a financial institution
in this State made in accordance with applicable banking laws
and regulations and in the ordinary course of business is not
included; |
| (2) |
A
contract, promise or agreement, expressed or implied, whether
or not legally enforceable, to make any expenditure; or |
| (3) |
The
transfer of funds by a candidate or a political committee to another
candidate or political committee; and |
Does
not include:
| (1) |
Any
news story, commentary or editorial distributed through the facilities
of any broadcasting station, newspaper, magazine or other periodical
publication, unless the facilities are owned or controlled by
a political party, political committee or candidate; |
| (2) |
Activity
or communications designed to encourage individuals to register
to vote or to vote if that activity or communication does not
mention a clearly identified candidate; |
| (3) |
Any
communication by any membership organization or corporation to
its members or stockholders, if that membership organization or
corporation is not organized primarily for the purpose of influencing
the nomination or election of any person to state or county office; |
| (4) |
The
use of real or personal property and the cost of invitations,
food and beverages, voluntarily provided by an individual to a
candidate in rendering voluntary personal services for candidate-related
activities, if the cumulative value of these activities does not
exceed $50 with respect to any election. |
| (5) |
Any
unreimbursed travel expenses incurred and paid for by an individual
who volunteers personal services to a candidate, if the cumulative
amount of these expenses does not exceed $50 with respect to any
election; |
| (6) |
Any
communication by any person that is not made for the purpose of
influencing the nomination for election, or election, of any person
to state or county office; |
| (7) |
The
payment by a party's state, district, county or municipal committee
of the costs of preparation, display or mailing or other distribution
incurred by the committee with respect to a printed slate card
or sample ballot, or other printed listing, of 3 or more candidates
for any political office for which an election is held; |
| (8) |
The
use or distribution of any communication, as described in 21-A
M.R.S.A. Section 1014, prepared for a previous election and fully
paid for during that election campaign which was not used or distributed
in that previous election; |
| (9) |
Documents,
in printed or electronic form, including party platforms, single
copies of issue papers, information pertaining to the requirements
of this Title and lists of registered voters, created or maintained
by a political party for the general purpose of party building
and provided to a candidate who is a member of that party; |
| (10) |
Compensation
paid by a political party to an employee of that party for the
following purposes: |
|
(a) |
Providing
advice to any one candidate for a period of no more than 20 hours
in any election; |
|
(b) |
Recruiting
and overseeing volunteers for campaign activities involving 3
or more candidates; or |
|
(c) |
Coordinating
campaign events involving 3 or more candidates; |
| (11) |
Campaign
training sessions provided to 3 or more candidates; or |
| (12) |
The
use of offices, telephones, computers and similar equipment when
that use does not result in additional cost to the provider. |
|
