1. Who do I report ethics violations to?
2. What registration and reporting is required of committees other than candidate committees?
3. Do campaign contributions and expenditures reports have to be notarized?
4. What are the duties of treasurer and deputy treasurer?
5. Can the candidate be his or her own chair and/or treasurer?
6. Do I need to file a statement of financial interests as a candidate if I am also on a board or commission or am a current officeholder, etc.?
7. On the statement of financial interests, do I have to list the "amount" of income I receive, and if I am a state employee, do I list my state salary?
8. How many ethics violations are recorded each year?
9. Must a state candidate have a candidate committee.
10. What registration and reporting is required of a candidate who runs for an elective office?
11. What happens if a required registration, campaign report or financial statement is not timely filed?
12. What happens if a required registration, campaign report or financial statement is not timely filed?
13. What are the maximum contribution limits?
14. How does a candidate end a previous campaign and start a new campaign?
15. How do I report the filing fee for running for office?
16. How do I file information alleging a violation of the Rules of the Ethics Commission?
17. May a candidate loan money to the campaign, then be reimbursed after contributions are accepted?
18. On the statement of financial interests, do I include my spouse's interests?
19. After an election, what may a candidate do with surplus campaign funds?
20. As a candidate, if I receive contributions from a corporation or labor organization, what should I do?
21. Where do I file reports?
22. What constitutes a candidate committee?
23. What reporting is required for candidates for federal office?
24. What financial records should be kept by candidate committees?
25. If a committee has not accepted any contributions or made any expenditures, are they still required to file reports?
1. Who do I report ethics violations to?
Marilyn Hughes
Top
2. What registration and reporting is required of committees other than candidate committees?
Committees, including out-of-state and federal committees, which support or oppose candidates but which are not candidate committees, contributing or spending in excess of $500 in the aggregate in a calendar year, must file a statement of organization [Form SO-2] and pay a $50 registration fee no later than 5 days after exceeding $500 in contributions or expenditures. A new statement of organization must be filed and fee paid between January 1 and 31 of each year thereafter. The committee may designate its intent neither to accept contributions nor make expenditures in excess of $500 in the aggregate during the current calendar year. Inactive committees must re-register within 10 days of reaching requirements to do so.
Committees of this type must submit campaign contributions and expenditures reports [Form C-1R] quarterly by January 31, April 30, July 31, and October 31, to include financial activity as of December 31, March 31, June 30, and September 30, respectively. A pre-election report is also due no later than eight days, and no earlier than 14 days, prior to the Primary, Special Primary, Runoff Primary and General or Special General Election. The pre-election reports filed prior to the Primary, Runoff Primary and General will substitute for the quarterly reports due on July 31 and October 31 during an election year for a committee supporting or opposing candidates in that election cycle. The first report is due for the period in which the statement of organization is filed.
For committees supporting or opposing ballot measures, reports must be submitted no later than the 10th day of each month to include all contributions and expenditures during the previous month. The first report filed will be the next report due following the filing of a statement of organization. A pre-election report is also due no later than eight days, and no earlier than 14 days, prior to the election when the issue is on the ballot.
Top
3. Do campaign contributions and expenditures reports have to be notarized?
No; however, a verification that the report is true and correct must be signed by the candidate with his or her signature notarized and received by the Commission within five business days of the treasurer or deputy treasurer of a candidate committee filing a required report.
Top
4. What are the duties of treasurer and deputy treasurer?
The treasurer, or deputy treasurer in the treasurer’s absence, is responsible for maintenance and preservation of financial records. The candidate, or any officer of a committee, may be designated on the statement of organization as the official recipient of all notices, forms, letters of instruction, etc., from the Ethics Commission. The treasurer is required to maintain for at least three years all written records of the committee. It is recommended such records be kept for four years since litigation under these Rules may be commenced as late as four years after the date a violation is alleged to have been committed.
Top
5. Can the candidate be his or her own chair and/or treasurer?
Yes, and, if so, the candidate should be listed as such on the Statement of Organization.
Top
6. Do I need to file a statement of financial interests as a candidate if I am also on a board or commission or am a current officeholder, etc.?
Yes, if you filed the uncompensated form [Form F-2R]. No, if you have a Form F-1R on file for calendar year 2007. These would have been filed any time between January 2 and May 15, 2008.
Top
7. On the statement of financial interests, do I have to list the "amount" of income I receive, and if I am a state employee, do I list my state salary?
No. Do not list the amount of income you receive. The requirement is that you itemize the sources of your income. All state officials, employees, etc. who receive more than $5,000 annually from the state should list the governmental entity from which the income is received.
Top
8. How many ethics violations are recorded each year?
There were 40 in 2006 and 30 in 2007.
Top
9. Must a state candidate have a candidate committee.
Yes. Under the Rules, each state candidate must have a candidate committee. The committee must have a chair and a treasurer. Both of these offices may be held by the candidate. A candidate may not designate more than one candidate committee per election cycle. The name of the committee must include the name of the candidate designating the committee and the General Election year.
Top
10. What registration and reporting is required of a candidate who runs for an elective office?
A statement of organization [Form SO-1) must be filed by a candidate committee no later than ten days after accepting or expending $500 or filing a declaration of candidacy, whichever is earlier. A candidate committee which does not plan to accept contributions or make expenditures exceeding $500 in the aggregate may file an affidavit of minimal activity with the Ethics Commission so stating which shall exempt that committee from filing required reports [257:10-1-13(c)(3)].
A candidate must file a statement of financial interests [Form F-1R] no later than 10 days after filing a declaration of candidacy. This form may be filed anytime between January 1 and the tenth day after filing a declaration of candidacy.
A campaign contributions and expenditures report [Form C-1R] or statement of inactivity [Form C-3R], if appropriate, is due quarterly by January 31, April 30, July 31, and October 31, to include financial activity as of December 31, March 31, June 30, and September 30, respectively. In an election year, a pre-election report is also due no later than eight days, but no earlier than 14 days, before the Primary, Special Primary, Runoff Primary and General or Special General Election. The pre-election report filed prior to the Primary, Runoff Primary and General will substitute for the reports due on July 31 and October 31 for a candidate committee during an election year or a committee supporting or opposing candidates in that election cycle. Reporting is continued until the campaign is concluded and a "Final" report is submitted. A "Final" report may be submitted at any stage in the reporting process based on when and if the candidate's name appears on a ballot, a zero cash balance and final disposition of assets. Submission of a "Final" report concludes all campaign reporting.
Top
11. What happens if a required registration, campaign report or financial statement is not timely filed?
The law allows for an assessment for late filings: for any committee up to $100 per day to a maximum of $1,000 for a registration; for a candidate for a statement of financial interests or a campaign report by his or her candidate committee up to $100 per day to a maximum of $1,000; for a ballot measure committee, up to $1,000 per day to a maximum of $10,000 for a campaign report. If prosecution is sought in district court for a willful failure to file, a maximum fine of $50,000 could be recommended by the Ethics Commission to the district court.
Top
12. What happens if a required registration, campaign report or financial statement is not timely filed?
The law allows for an assessment for late filings: for any committee up to $100 per day to a maximum of $1,000 for a registration; for a candidate for a statement of financial interests or a campaign report by his or her candidate committee up to $100 per day to a maximum of $1,000; for a ballot measure committee, up to $1,000 per day to a maximum of $10,000 for a campaign report. If prosecution is sought in district court for a willful failure to file, a maximum fine of $50,000 could be recommended by the Ethics Commission to the district court.
Top
13. What are the maximum contribution limits?
A family may give a maximum of $5,000 to a state candidate committee for an entire campaign and $5,000 annually to a person, committee or party supporting or opposing candidates. A family is defined as an individual, his or her spouse, if any, and all children under the age of eighteen (18) years residing in the same household. Corporations and labor organizations are prohibited from contributing to any committee supporting or opposing candidates. Other business entities, without corporations as owners, may contribute if they have no corporate owners, but the percentage ownership amount of the contribution is applied to the owner’s family limit. Under the Rules, a political party may give up to $50,000 to its gubernatorial candidate and up to $25,000 to any other statewide candidate; however, statutes set the limit from a party at $5,000. Exceeding this amount would constitute a criminal violation. There are no limits on contributions from a person, corporation, or labor organization to committees supporting or opposing ballot measures.
Top
14. How does a candidate end a previous campaign and start a new campaign?
When a candidate's name will no longer appear on any ballot, and it is determined that no more contributions will be accepted or expenditures made, a campaign contributions and expenditures report [Form C-1R] or statement of inactivity [Form C-3R] marked "Final" can be filed. A list of any material assets worth $50 or more, if any, with details concerning their disposition must be disclosed on schedule C (sale of assets), schedule G (monetary transfers) or H (in-kind transfers of non-monetary assets or debt). Disposition of funds must be included in schedule “G” so that the total on Line 25 of Form C-1R is zero. To start a new campaign, a candidate must file a new statement of organization (SO-1) no later than ten days after accepting or expending $500 or filing a declaration of candidacy, whichever is earlier. A candidate may not have two committees for the same office open at the same time.
Top
15. How do I report the filing fee for running for office?
A filing fee is a campaign expenditure, Schedule E. A refund is a receipt, Schedule C.
Top
16. How do I file information alleging a violation of the Rules of the Ethics Commission?
Allegations may be accepted in any form, including anonymously. The Commission can act on anonymous information only upon a unanimous vote. With written and verified allegations, the Commission can proceed on a majority vote. Forms are available on the Commission webiste at www.ethics.ok.gov for use in submitting written and verified information but are not necessary. The alleged violation must have occurred within three years of the date an investigation is ordered.
Top
17. May a candidate loan money to the campaign, then be reimbursed after contributions are accepted?
Yes. However, terms of the loan should be comparable to those offered by lending institutions at that time for the same amount.
Top
18. On the statement of financial interests, do I include my spouse's interests?
Some questions require information about your spouse. Others do not. Each question will state whether your spouse’s interests should be included.
Top
19. After an election, what may a candidate do with surplus campaign funds?
A candidate is prohibited from converting campaign funds to personal use. Surplus funds may be deposited with the State Treasurer to the credit of the General Revenue Fund; returned to the contributors pursuant to a formula approved by the candidate, provided no contributor receives more than the original contribution; contributed to a charitable organization; retained [candidate or candidate committee only] for use in a future election for a six-year period following the General Election for the same or a different state office; used to defend legal actions or proceedings arising out of the campaign, election or performance of official duties as a state officer but not to defend criminal charges; used for political activity or community activity; transferred to the state or local central committee of a political party; or distributed using a combination of these options.
Top
20. As a candidate, if I receive contributions from a corporation or labor organization, what should I do?
Corporate and labor organization contributions to candidates, candidate committees, political parties, organizations or committees supporting or opposing candidates are prohibited. You should expressly and unconditionally return the contribution to the corporation or labor organization within 6 business days and do not deposit it or use it, including as collateral for a loan. If it is inadvertently deposited, you should refund it immediately and disclose it both as a contribution and a refund of a contribution on Schedule A.
Top
21. Where do I file reports?
All required registration and reporting forms are available on our website at www.ethics.ok.gov and are filed with the Ethics Commission, 2300 North Lincoln Boulevard, Room B5, Oklahoma City, OK 73105-4812, FAX (405) 521-4905 or online for campaign reports at www.ok.gov/ethics
Top
22. What constitutes a candidate committee?
Candidate committee means a committee, consisting of one or more persons, who may be the candidate only, designated by the candidate to promote the candidate's candidacy and to serve as the recipient of all contributions and the disburser of all expenditures for the candidate.
Top
23. What reporting is required for candidates for federal office?
U.S. House, U.S. Senate and Presidential candidate and federal committees are exempt from filing with this office.
Top
24. What financial records should be kept by candidate committees?
Promissory notes evidencing loans and detailed records of the contributor's name, address, occupation and employer or principal business activity [contributor statements are required for aggregate contributions over $50], owners with percentage ownership if a business entity, date contribution was accepted, nature of contribution [cash, draft, in-kind] and amount should be maintained along with receipts for expenditures of over $50 and bank records. Campaign funds must be kept in a separate bank account and not be commingled with other funds. Records should be kept for a minimum of three years.
Top
25. If a committee has not accepted any contributions or made any expenditures, are they still required to file reports?
Until a "Final" report has been filed, a committee must file all reports. If there has been no activity during a reporting period, a statement of inactivity [Form C-3R] can be filed instead of a campaign contributions and expenditures report [Form C-1R]. A candidate committee which anticipates less than $500 in contributions or expenditures in a calendar year may file a statement of minimal calendar year activity by April 30 allowing it to file annual reports [257:10-1-13(c)(4)(A)].
Top
