RULES AND REGULATIONS
Title 4--ADMINISTRATION
DEPARTMENT OF STATE
[4 PA. CODE CHS. 174, 176 AND 177]
Campaign Finance Forms
[30 Pa.B. 5138] The Department of State (Department), Bureau of Commissions, Elections and Legislation amends §§ 174.1, 176.2, 176.8, 177.1, 177.2 and 177.9 to read as set forth in the Annex A.
The notice of proposed rulemaking was published at 30 Pa.B. 1255 (March 4, 2000) and was subject to a 30-day public comment period. The Department received no public comments and no comments from the House and Senate State Government Committees. The Independent Regulatory Review Commission (IRRC) made comments on May 4, 2000.
These amendments revise the references to four of the six existing forms in § 177.9 (relating to official forms) and add references to two additional forms, which have been in use since 1980 but never incorporated by reference in regulations. The Department has modernized the campaign finance forms, which will ease documentation for filers. Additionally, the regulations incorporate a provision announcing that reports may be filed on diskette.
Although the existing forms are included in the current regulations, this rulemaking deletes the forms from the regulations to comply with § 2.10(a) of the Pennsylvania Code & Bulletin Style Manual, which recommends that the forms be referenced in regulations rather than adopted in regulations. The information required to be reported continues to be set forth in Chapters 174, 176 and 177.
While candidates and political committees are provided with the revised forms for reporting during the 2000 elections, the Department will allow candidates and political committees to continue to file the prior version of the forms during the 2000 election year.
IRRC asked the Department to clarify in the final-form regulations who has to file and what must be filed under each of the forms listed in § 177.9(a). For those forms for which this filing information is already contained in other regulations, IRRC suggested that appropriate cross references be made between § 177.9 and those relevant sections. IRRC also requested that appropriate cross references be made in those relevant sections to § 177.9. These revisions were made as more specifically set forth in Part II of this Preamble.
Finally, IRRC asked the Department to correct typographical errors in other relevant sections that refer to the forms contained in § 177.9. An example of an error occurs in § 177.1(f) on Independent Expenditures Reports, which had incorrectly referred to filing Campaign Financial Reports on DSBE Form 502. As noted in the Annex A, the reference to independent expenditure reports was changed to filing Independent Expenditure Reports on DSEB Form 505.
As a result of the comments received to the proposed amendments from IRRC and upon further review by the Department, Chapters 174, 176 and 177 were also revised to make editorial changes and make these regulations internally consistent as the Department added cross references to the other chapters.
I. Statutory Authority
The Secretary of the Commonwealth (Secretary) has the authority to promulgate regulations on reporting forms under section 201(a) of the act of June 3, 1937 (P. L. 1333, No. 320) (25 P. S. § 2621(a)).
II. Description of Revisions
§ 174.1 (relating to business entity).
At the request of IRRC, the Department added a cross reference to Form DSEB 504 in § 177.9 because this form is used to report contributions by nonbid contract recipients as required in § 174.1.
§ 176.2 (relating to forms and filing).
At the request of IRRC, the Department added a cross reference to Form DSEB 500 in § 177.9 and changed the previous incorrect reference from Form DSBE 501.
§ 176.8 (relating to authorization of political committee).
At the request of IRRC, the Department added a cross-reference to Form DSEB 501 in § 177.9 and made an additional editorial correction to the county board of elections.
§ 177.1 (relating to general).
Subsections (a) and (b). At the request of IRRC, the Department added a cross reference to Form DSEB 502 in Section 177.9 and made other editorial changes to make the references to the forms consistent with those in § 177.9.
Subsection (c). At the request of IRRC, the Department added a cross reference to Form DSEB 503 in § 177.9.
Subsection (f). At the request of IRRC, the Department added a cross reference to Form DSEB 505 in § 177.9 and corrected the previous reference to DSBE Form 502.
In subsections (a), (b), (b)(4), (e) and (f), the Department made editorial changes to the title of Form DSEB 502, changing it from Campaign Financial Reports to Campaign Finance Reports to obtain consistency with § 177.9.
In subsection (b)(7), the Department followed the suggestion of the IRRC to correct a reference to the Independent Expenditure Reports on Form DSEB 505 and to cross reference that form to § 177.9.
§ 177.9 (Official Forms)
The following four forms which were promulgated in 1980, at 10 Pa.B. 962 (March 8, 1980), are revised and renamed as follows and in Annex A:
(1) Form DSEB-500 (Political Committee Registration Statement).
(2) Form DSEB-501 (Authorization For a Political Committee To Receive Funds on Behalf of a Candidate).
(3) Form DSEB-502 (Campaign Finance Report).
(4) Form DSEB-503 (Campaign Finance Statement).
The title of Form DSEB-501 was changed because the appointment of a treasurer is not done on that form because it already appears on Form DSEB-500. The titles of Forms DSEB-502 and DSEB-503 were changed from Campaign Expense to Campaign Finance because the Report includes not only campaign expenses but also receipts, contributions, in-kind contributions and unpaid debts. The Statement includes both receipts and disbursements.
The Department also revised the reference to two additional forms that have been in use since the regulations were last promulgated in 1980:
(1) Form DSEB-504 (Contributions By Non-bid Contract Recipients).
(2) Form DSEB-505 (Independent Expenditure Report).
Finally, a reference is added to § 177.9 to indicate that reports will be accepted on diskette as long as it meets the technical specifications of the Department.
Chapter 177. Forms of Reports by Candidates, Political Committees and Other Persons
Copies of all of these forms and the technical specifications for diskette filing are available from the Bureau of Commissions, Elections and Legislation, Department of State, 302 North Office Building, Harrisburg, PA 17120 or from the Department's website at www.dos.state.pa.us. The Secretary deletes from the regulations copies of the forms. Executive Order 1996-1 directs that agencies eliminate unnecessary regulatory provisions. The forms themselves are nonregulatory documents and do not impose any additional duties or liabilities on the general public or on the political committees that file reports. Furthermore, the Legislative Reference Bureau recommends that forms not be adopted in the Code and Bulletin but be referred to in regulations. See § 2.10 of the Pennsylvania Code & Bulletin Style Manual.
III. Fiscal Impact
These amendments will have no measurable fiscal impact on the Commonwealth, its political subdivisions or the private sector because the Commonwealth charges no fees for filing these reports. The Commonwealth will continue to charge a nominal fee for photocopies of the reports. However, reports will be made available on the Department's web page. Therefore, individuals with access to the Internet would no longer need to pay to obtain copies of the campaign finance reports.
IV. Paperwork Requirements
Although the Department is revising its campaign finance reporting forms, these amendments will not create new paperwork for other agencies of the Commonwealth. As in the past, county boards of elections will be required to reproduce and distribute the forms prescribed by the Department to local candidates and political committees.
V. Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on February 22, 2000, the Department submitted a copy of the proposed rulemaking to IRRC and the Majority and Minority Chairpersons of the House and Senate State Government Committees.
In compliance with section 5(c) of the Regulatory Review Act, the Department also provided the new and former versions of the campaign finance forms. In preparing the final-form regulations, the Department considered the comments it had received from IRRC.
These final-form regulations were deemed approved by the House and Senate Committees on August 29, 2000. IRRC met on September 7, 2000, and approved the amendments in accordance with section 5.1(e) of the Regulatory Review Act (71 P. S. § 745.5a(e)).
IV. Contact Person
Interested persons may contact Mary S. Heinlen, Director of Campaign Finance, Bureau of Commissions, Elections and Legislation, Department of State, 302 North Office Building, Harrisburg, PA 17120 concerning these regulations.
Order
(a) The regulations of the Department, 4 Pa. Code Chapters 174, 176 and 177, are amended by amending §§ 174.1, 176.2, 176.8, 177.1, 177.2 and 177.9 to read as set forth in Annex A.
(Editor's Note: The Department did not propose to amend §§ 174.1, 176.2, 176.8, 177.1 and 177.2 at 30 Pa.B. 1255.)
(b) The Secretary shall certify this order and Annex A and deposit them with the Legislative Reference Bureau as require by law.
(c) This order shall take effect upon publication in the Pennsylvania Bulletin.
KIM PIZZINGRILLI,
Secretary of the Commonwealth(Editor's Note: For the text of the order of the Independent Regulatory Review Commission relating to this document, see 30 Pa.B. 4981 (September 23, 2000).)
Fiscal Note: 16-22. No fiscal impact; (8) recommends adoption.
Annex A
TITLE 4. ADMINISTRATION
PART VIII. BUREAU OF LEGISLATION, COMMISSIONS AND ELECTIONS
CHAPTER 174. REPORTS OF POLITICAL CONTRIBUTIONS § 174.1. Business entity.
(a) A rational and appropriate distinction may be made between enterprises operated for profit and those for nonprofit. The word ''business'' connotes being operated for profit. The purpose of Act 201 is to require disclosure of political contributions which could have been made with the object of obtaining financially remunerative nonbid contracts from government bodies. Nonprofit organizations would not normally benefit from these contracts, and are hereby deemed to fall outside the scope of the legislative intent.
(b) Only those business entities doing business in this Commonwealth are required to report on the current version of Form DSEB 504, as described in § 177.9 (relating to official forms). Parent companies of subsidiaries doing business in this Commonwealth but which do not do business here themselves shall also be excluded, even when a director of the parent corporation also serves on the board of directors of the subsidiary. In that case, that director's knowledge is relevant only as it pertains to contributions of other directors of the subsidiary.
(c) With the exemption of the business official authorized under the Business Corporation Law or analogous laws to sign the report on behalf of the business entity, there is no duty of any other business official to inquire as to the making of any political contributions by other business officials or employes.
CHAPTER 176. REGISTRATION AND ORGANIZATION OF POLITICAL COMMITTEES § 176.2. Forms and filing.
(a) The Registration Statement shall be filed on the current version of Form DSEB 500, as described in § 177.9 (relating to official forms), which may be obtained from the Secretary or any county board of elections.
(b) The Registration Statement, to be signed by the treasurer, shall include the following:
(1) The names, addresses and phone numbers of the political committee.
(2) The name, address and phone number of the committee's treasurer.
(3) The name, address and phone number of the committee's chairperson.
(4) The names, addresses and relationships of other affiliated or connected organizations.
(5) The candidates, if any, and their names and addresses.
(6) The ballot question, if any, which the committee intends to support or oppose.
(7) The banks, safety deposit boxes or other repositories and their addresses used by the committee.
(8) The proposed period of operation of the committee.
§ 176.8. Authorization of political committees.
(a) Any political committee receiving contributions on behalf of a candidate shall be authorized in writing by the candidate on the current version of Form DSEB-501, as described in § 177.9 (relating to official forms). The written authorization shall be filed with the Secretary or the respective county board of elections, as appropriate.
(b) A candidate is not required to authorize any State, county, city, borough, township, ward or other regularly constituted party committee of any political body to receive contributions on behalf of the candidate in a general, municipal or special election.
CHAPTER 177. REPORTS BY CANDIDATES, POLITICAL COMMITTEES AND OTHER PERSONS § 177.1. General.
(a) Every political committee and candidate shall file cumulative annual Campaign Finance Reports on the current version of Form DSEB 502, as described in § 177.9 (relating to official forms).
(b) Each treasurer of a political committee and each candidate which receives contributions or makes expenditures or incurs liabilities exceeding the sum of $250 shall file Campaign Finance Reports on the current version of Form DSEB 502, as described in § 177.9, with the Secretary or the respective county board of elections, or both.
(c) A treasurer of a political committee or a candidate which receives contributions or makes expenditures or incurs liabilities in an amount not exceeding the sum of $250 shall file a sworn statement to that effect on the current version of Form DSEB 503, as described in § 177.9, with the Secretary or the respective county board of elections, or both.
(1) Treasurers of political committees and candidates, including those who have authorized political committees, are required to file reports or statements.
(2) A treasurer of a political committee and a candidate who receives no contributions or makes no expenditures or incurs no liabilities shall file a sworn statement to that effect with the Secretary or the respective county board of elections, or both. These statements shall be filed at the reporting times prescribed in section 1626 of the Pennsylvania Election Code (25 P. S. § 3246) and § 177.3 (relating to filing dates).
(d) For purposes of this section, expenditures shall consist of the following:
(1) Printing and traveling expenses and personal expenses incident thereto, stationery, advertising, postage, expressage, freight, telegraph, telephone and public messenger service.
(2) The rental of radio facilities and amplified systems.
(3) Political meetings, demonstrations and conventions and the pay and transportation of speakers.
(4) The rent, maintenance and furnishing of offices.
(5) The payment of clerks, typewriters, stenographers, janitors and messengers actually employed.
(6) Transportation of electors to and from the polls.
(7) The employment of watchers at primaries and elections to the number and in the amount permitted by the Pennsylvania Election Code (25 P. S. §§ 2600--3573).
(8) Expenses, legal counsel, incurred in good faith in connection with any primary or elections.
(9) Contributions to other political committees.
(e) The Nomination Filing Petition Fees are expenditures for the purposes of this section.
(f) Every person, other than a political committee or candidate who makes independent expenditures expressly advocating the election or defeat of a clearly identified candidate or question appearing on the ballot, other than by contribution to a political committee or candidate, in an amount exceeding the sum of $100 during a calendar year shall file Independent Expenditure Reports on the current version of Form DSEB 505, as described in § 177.9, with the Secretary or the respective county board of elections, or both.
(g) A person may not use the contents of a filed statement or report for a commercial purpose.
§ 177.2. Form and content of reports.
(a) The Campaign Finance Reports shall be filed on the current version of Form DSEB 502, which may be obtained from the Secretary or any county board of elections.
(b) The Campaign Finance Report, to be signed and sworn to by the individual submitting the report, shall include the following:
(1) The full name, mailing address, occupation and name of employer, if any, or the principal place of business, if self-employed, of each person who has made one or more contributions to or for the committee or candidate within the reporting period in an aggregate amount or value in excess of $250, together with the amount and date of the contributions. The accuracy of the information furnished to the candidate or committee shall be the responsibility of the contributor.
(2) The full name and mailing address of each person who has made one or more contributions to or for the committee or candidate within the reporting period in an aggregate amount or value in excess of $50, together with the amount and date of the contributions. The accuracy of the information furnished by the contributor shall be the responsibility of the contributor.
(3) The total sum of individual contributions made to or for the committee or candidate during the reporting period and not reported under paragraphs (1) and (2).
(4) Every expenditure, the date made, the full name and address of the person to whom made, and the purpose for which the expenditure was made. Each Campaign Finance Report of a political committee shall itemize only those expenditures made to influence the election or defeat of a candidate for nomination or election in this Commonwealth or a question appearing on the ballot in this Commonwealth and all other expenditures made outside this Commonwealth, not relevant to elections within this Commonwealth, shall be aggregated and reported as one lump sum.
(5) Unpaid debts and liabilities, with the nature and amount of each, the date incurred and the full name and address of the person owed.
(6) The account shall include an unexpended balance of contributions or other receipts appearing from the last account filed.
(7) In addition, the Independent Expenditure Reports on the current version of Form DSEB 505, as described in § 177.9 (relating to official forms), filed by persons making independent expenditures shall contain the name of the candidates or questions supported or opposed.
(c) Receipted bills are required as follows:
(1) Each candidate or committee treasurer shall retain a receipted bill from the person to whom the expenditure is made by or on behalf of the political committee or candidate in excess of $25.
(2) The receipted bill shall contain the following:
(i) The identification of the person to whom the expenditure is made.
(ii) The amount of the expenditures.
(iii) The particulars of the expenditures.
(iv) The date the expenditures were made.
(3) When a receipted bill is not available, the treasurer may retain the following:
(i) The cancelled check showing payment of the bill.
(ii) The bill, invoice or other contemporaneous memorandum of the transaction supplied to the committee by the payee containing the same information as referred to in paragraph (2).
(iii) Both.
(d) A person may inspect or copy the vouchers, or copies of vouchers, for expenditures itemized in a Campaign Finance Report by filing a written request, with the appropriate supervisor, after the filing date for the report. The supervisor shall notify the candidate or committee treasurer of the request and the candidate or committee treasurer shall either forward the vouchers, or copy of the vouchers, to the supervisor or make the vouchers, or copy of the vouchers, available to the requesting person.
(e) Each Campaign Finance Report shall contain a summary, on a separate page, of the information required by subsection (b).
(f) Each Campaign Finance Report of a political committee created solely for the purpose of influencing an election on behalf of a single candidate shall be accompanied by an affidavit of the candidate. The affidavit shall affirm that, to the best of the candidate's knowledge, the political committee has not violated the act of October 4, 1978 (P. L. 893, No. 1978-171).
§ 177.9. Official Forms.
(a) The following official forms have been promulgated under the provisions in this chapter:
(1) Form DSEB-500 (Political Committee Registration Statement) as required by §§ 176.1--176.3 (relating to registration of political committees; forms and filing; and change or correction in information).
(2) Form DSEB-501 (Authorization For a Political Committee To Receive Funds On Behalf of a Candidate) as required by § 176.8 (relating to authorization of political committees).
(3) Form DSEB-502 (Campaign Finance Report) as required by §§ 177.1(a) and (b) and 177.2 (relating to general; and form and content of reports).
(4) Form DSEB-503 (Campaign Finance Statement) as required by § 177.1(c).
(5) Form DSEB-504 (Contributions By Non-bid Contract Recipients) as required by § 174.1 (relating to business entity).
(6) Form DSEB-505 (Independent Expenditure Report) as required by §§ 177.1(f) and 177.2(b)(7).
(b) The Department also accepts campaign finance reports on diskette in lieu of a paper report as long as it meets the technical specifications of the Department and is accompanied by a cover page and signed affidavit. This information can be obtained by accessing the Department's website at www.dos.state.pa.us or contacting the Bureau at (717) 787-5280.
[Pa.B. Doc. No. 00-1718. Filed for public inspection October 6, 2000, 9:00 a.m.]
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