Fair Political Practices Commission Forms and Deadlines

Fair Political Practices Commission (FPPC)
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Campaign Forms

The table which follows shows the campaign forms most commonly used by candidates for elected office. Column 1 is for individuals who plan to raise/spend less than $1,000 for election purposes and column 2 for those planning to raise/spend more than $1,000.

Personal funds used by a candidate to pay for a Candidate's Statement are excluded from the calculation of the $1,000 expenditure limit.

 

RAISE / SPEND
LESS THAN $1,000

RAISE / SPEND
$1,000 OR MORE

Getting Started Forms

Form 501: Candidate Intention Statement

Form 501: Candidate Intention Statement

Form 410: Statement of Organization for Recipient Committee

Keeping Track Forms

Form 470: Officeholder and Candidate Campaign Statement – Short Form

Form 460: Recipient Committee Campaign Statement

Form 496: Late Independent Expenditures of $1,000 or more (last 16 days before an election only)

Form 497: Late Contributions of $1,000 or more (last 16 days before an election only)

 

Filing Deadlines

Deadline

Period

Form

Description

Apr 30
Quarterly

1/1 – 3/31

460
(link to http://www.fppc.ca.gov/forms/1-05forms/460.pdf)

  • Ballot Measure Committees formed during this period must file this report. Candidate committees and committees primarily formed to support/oppose candidates are not required to file this report.

 

July 31
Semi-Annual

1/1 – 6/30

460 (link to http://www.fppc.ca.gov/forms/1-05forms/460.pdf)
470 (link to http://www.fppc.ca.gov/forms/11-07forms/470.pdf )

  • All committees must file Form 460.
  • Incumbents and candidates who filed candidacy papers on or before June 30, and who do not have open committees must file Form 470. (See Form 470 bullet below.)

 

Oct 6
Pre-Election

7/1 – 9/30

460 (link to http://www.fppc.ca.gov/forms/1-05forms/460.pdf)
470 (link to http://www.fppc.ca.gov/forms/11-07forms/470.pdf )

  • All committees must file Form 460.
  • Incumbents and candidates who are listed on the ballot and who do not have open committees must file Form 470. This report is not required if a Form 470 was filed by July 31.

 

Oct 23
Pre-Election

10/1 – 10/16

460 (link to http://www.fppc.ca.gov/forms/1-05forms/460.pdf)

  • All committees must file this report.
  • File personal delivery or guaranteed overnight service.

 

Within 24 Hours

10/17 – 11/4

496 (link to http://www.fppc.ca.gov/forms/11-07forms/496ne.pdf)
497 (link to http://www.fppc.ca.gov/forms/11-07forms/497ne.pdf )

  • 496: File if independent expenditures of $1,000 or more are made. Candidates and primarily formed ballot measure committees: Do not file for expenditures made on your own committee’s behalf.
  • 497: File if a contribution of $1,000 or more is received.
  • 497: File if a contribution of $1,000 or more is made to another candidate or another measure being voted upon November 6.
  • Deadlines: File within 24 hours except the deadline for a Form 497 reporting a contribution received on October 21 is October 22, and the deadline for a Form 497 due October 27 or 28, is extended to October 29.
  • The recipient of a non-monetary contribution during this period must file a Form 497 report within 48 hours from the time the contribution is received.
  • File personal delivery, guaranteed overnight service, or fax.

 

Jan 31
Semi-Annual

10/21 – 12/31

460
(link to http://www.fppc.ca.gov/forms/1-05forms/460.pdf

  • All committees must file this report unless the committee filed a termination Form 410 and Form 460 before December 31.

 

DESCRIPTION OF CAMPAIGN FORMS

Below is a brief description of the campaign forms used by the Fair Political Practices Commission. Refer to the campaign manual for specific filing requirements.

Statements Typically Filed at the Beginning of a Campaign

  • Form 501: Candidate Intention Statement - Notifies interested persons that an individual intends to raise money to run for a specific office. This form does not get a candidate's name on the ballot.
  • Form 410: Statement of Organization - This statement is required when a group or person has become a campaign committee. This is the document used by committees to obtain a campaign identification number and to terminate the committee.

 

Campaign Disclosure Statements

  • Form 460: Recipient Committee Campaign Statement - This is the campaign disclosure form used at various times by candidates and committees that raise/ spend $1,000 or more.
  • Form 470: Officeholder/Candidate Campaign Statement - This is the campaign disclosure form used only by candidates who do not raise or spend $1,000.
  • Form 465: Supplemental Independent Expenditure Report - This form is filed when a committee makes an independent expenditure of $1,000 or more to support or oppose a single candidate or a single measure.
  • Form 495: Supplemental Pre-election Campaign Statement - This form is used if a committee makes contributions totaling $10,000 or more to any number of candidates or committees primarily formed to support or oppose candidates or measures all being voted upon in one jurisdiction on the same day.

 

Forms Which May be Filed During the Final 16 Days Before an Election

  • Form 496: Late Independent Expenditure - Used during the final 16 days before an election. The form advises voters when a committee has expended $1,000 or more supporting or opposing a candidate or measure and is done entirely independent of the candidate or measure.
  • Form 497: Late Contribution Report - Used during the final 16 days before an election. The form is used by committees to report when they have made a contribution of $1,000 or more to a candidate or measure, and used by candidates to report when they have received a contribution of $1,000 or more.

 

Soliciting Campaign Funds and Limits

Candidates are advised to exercise caution anytime money is involved.  Almost all State and City legislation regulating the conduct of campaigns relates directly or indirectly to funding.

Campaign Committees

Campaign committees are regulated by a large number of State and City laws. Candidates who will raise or spend $ 1,000 or more in a calendar year must:

File Form 501 (Candidate Intention Statement) before raising or spending any funds, including the candidate’s personal funds, with the Santa Ana Clerk of the Council, 20 Civic Center Plaza, Room 809, Santa Ana, California, 92701.

Set up a bank account

Within 10 days of receiving $1,000 in contributions, file a Statement of Organization (Form 410) with the California Secretary of State, Political Reform Division, 1500 11th Street, Room 495, Sacramento, CA 95814; a copy of Form 410 must be filed with the Clerk of the Council.

Other regulations related to campaign committees include the following:

  • A candidate for Mayor or Councilmember shall have no more than one campaign committee and one campaign contribution account out of which all expenditures for the purpose of seeking such office shall be made. (Santa Ana City Charter § 1207)
  • A candidate may not use campaign funds to make independent expenditures to support or oppose other local candidates.
  • The Secretary of State assigns an identification number to each committee. Candidates and committees must include their assigned identification numbers on all FPPC forms filed.
  • No person who serves as the treasurer of a campaign committee which receives contributions for any candidate for mayor or councilmember shall be eligible for appointment to any board or commission (Charter Section 901.1)
  • Pursuant to section 901.1 of the City’s Charter, if any member of an appointive board or commission shall become the treasurer of a campaign committee which receives contributions for any candidate for mayor or councilmember, his or her office shall become vacant and shall be so declared.
  • A recipient committee may designate one assistant treasurer on the committee’s Statement of Organization (Form 410). The assistant treasurer will assume the duties and responsibilities of the treasurer if the treasurer is unavailable or vacates the office of treasurer.

 

The Secretary of State maintains the public record of committees. Inquiries regarding the status of a committee (active/terminated) should be directed to the Political Reform Division at (916) 653-6224, or the Secretary of State’s website at: www.sos.ca.gov.

Campaign Bank Accounts

  • A campaign bank account must be established at an office of a financial institution located in the state
  • A new bank account and committee must be established to run for a different office.
  • A Statement of Organization (Form 410) must be filed with the Secretary of State; a copy of the Form 410 should be filed with the Clerk of the Council.
  • All money to be used for campaign purposes, including the candidate’s personal funds must be deposited in the campaign bank account for the specific office prior to expenditure, excluding personal funds used to pay the fee for the statement of qualifications in the ballot pamphlet

 

$1,000 Campaign Contribution Limit

Santa Ana City Charter § 1206 provides that:

  • Candidates for city office shall accept no more than $1,000 from any one person per election cycle.
  • "Election cycle" is the period of time between the date of an election to the office of Mayor or Councilmember and the date of the next election to the same office. The election cycles run two years for the Mayor and four years for a Councilmember.

 

CAMPAIGN REPORTING

The Political Reform Act of 1974 is codified in Government Code sections 81000 through 91015.

The Act requires all candidates, office holders, and committees supporting or opposing candidates or ballot measures to file campaign statements. The statements are designed to inform voters about:

  • who is contributing to candidate and/or committee
  • how much is being contributed
  • accrued expenses reported

 

Failure to file the appropriate statements and reports can result in substantive criminal, civil, and/or administrative penalties.

Detailed information on campaign reporting requirements are contained in FPPC Campaign Disclosure Manual 2. Manual 2 details campaign reporting guidelines for local candidates and is included in the election packet provided by the Clerk’s Office. Specific questions should be directed to the FPPC. Information is available on the Commission’s website (www.fppc.ca.gov ) or through a toll-free advice line at 1-866-ASK-FPPC.