2022 COMMITTEE MANUAL - City of San Diego
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
2022 COMMITTEE MANUAL
Campaign Finance Information for the
Following Committees Participating in
City of San Diego Elections:
Recipient Committees Primarily Formed to Support or
Oppose City Candidates or City Ballot Measures
City, County, and State General Purpose Recipient
Committees
City, County, and State Independent Expenditure
Committees
Technical assistance via telephone: (619) 533-3476
Via e-mail: ethicscommission@sandiego.gov
Rev. January 28, 2021Table of Contents
Introduction ...............................................................................................................................................................1
Chapter 1 - Campaign Committees Explained ................................................................................................... 1-1
Recipient Committees ........................................................................................................................................ 1-1
Primarily Formed Recipient Committees ....................................................................................................... 1-2
General Purpose Recipient Committees ....................................................................................................... 1-2
Independent Expenditure Committees ............................................................................................................... 1-3
City of San Diego Independent Expenditure Committees ............................................................................. 1-3
County Independent Expenditure Committees .............................................................................................. 1-3
State Independent Expenditure Committees ................................................................................................. 1-3
Considerations for Multi-Purpose Organizations ............................................................................................... 1-3
Considerations for Candidate-Controlled Committees ....................................................................................... 1-4
Considerations for Sponsored Committees ....................................................................................................... 1-4
General Filing Notes ........................................................................................................................................... 1-5
Flowchart: Types of Political Committees ......................................................................................................... 1-6
Chapter 2 - "Candidate" Primarily Formed Recipient Committee ................................................................... 2-1
Naming Requirements ........................................................................................................................................ 2-1
Limits and Prohibitions ....................................................................................................................................... 2-2
Checking Account .............................................................................................................................................. 2-2
Recordkeeping ................................................................................................................................................... 2-2
$10,000 Donors .................................................................................................................................................. 2-4
Typical Filings with the City Clerk ...................................................................................................................... 2-4
Campaign Statements ........................................................................................................................................ 2-5
Form 410 - Statement of Organization (initial) ............................................................................................... 2-5
Form 410 - Statement of Organization (amendment) .................................................................................... 2-6
Form 425 - Semi-Annual Statement of No Activity ........................................................................................ 2-7
Form 450 - Recipient Committee Short Form (semi-annual and pre-election report) ................................... 2-7
Form 460 – Recipient Committee Campaign Statement (semi-annual report) ............................................. 2-8
Form 460 – Recipient Committee Campaign Statement (pre-election report) .............................................. 2-8
Form 460 - Recipient Committee Campaign Statement (termination report) ................................................ 2-9
Form 462 - Verification of Independent Expenditures ................................................................................... 2-9
Form 496 - Independent Expenditure Report (24 hour reporting period) .................................................... 2-10
Form 497 - Contribution Report (24 hour reporting period) ......................................................................... 2-11
Form 497 - Contribution Report (third pre-election report) .......................................................................... 2-12
Specific Filing Deadlines .................................................................................................................................. 2-12
Electronic Filing ................................................................................................................................................ 2-13
Audits................................................................................................................................................................ 2-13
SAN DIEGO ETHICS COMMISSION CONTENTS - 1 2022 PRIMARY/GENERAL ELECTIONSChapter 3 - “Ballot Measure” Primarily Formed Recipient Committees ......................................................... 3-1
Naming Requirements ........................................................................................................................................ 3-2
Limits and Prohibitions ....................................................................................................................................... 3-2
Checking Account .............................................................................................................................................. 3-2
Recordkeeping ................................................................................................................................................... 3-2
$10,000 Donors .................................................................................................................................................. 3-4
Filing Official ....................................................................................................................................................... 3-4
Qualification of Initiative or Referendum ............................................................................................................ 3-5
Typical Filings with the City Clerk ...................................................................................................................... 3-6
Campaign Statements ........................................................................................................................................ 3-7
Form 410 - Statement of Organization (initial) ............................................................................................... 3-7
Form 410 - Statement of Organization (amendment) .................................................................................... 3-8
Form 410 - Statement of Organization (termination) ..................................................................................... 3-8
Form 425 - Semi-Annual Statement of No Activity ........................................................................................ 3-9
Form 450 - Recipient Committee Short Form (quarterly, semi-annual and pre-election report) ................... 3-9
Form 460 – Recipient Committee Campaign Statement (quarterly report) ................................................... 3-9
Form 460 – Recipient Committee Campaign Statement (semi-annual report) ........................................... 3-10
Form 460 – Recipient Committee Campaign Statement (pre-election report) ............................................ 3-11
Form 460 – Recipient Committee Campaign Statement (termination report) ............................................. 3-11
Form 462 - Verification of Independent Expenditures ................................................................................. 3-11
Form 497 - Contribution Report (24 hour reporting period) ......................................................................... 3-13
Specific Filing Deadlines .................................................................................................................................. 3-15
Electronic Filing ................................................................................................................................................ 3-15
Audits................................................................................................................................................................ 3-16
Chapter 4 - “City” General Purpose Recipient Committees ............................................................................ 4-1
Naming Requirements ........................................................................................................................................ 4-1
Limits and Prohibitions ....................................................................................................................................... 4-1
Recordkeeping ................................................................................................................................................... 4-2
Typical Filings with the City Clerk ...................................................................................................................... 4-3
Campaign Statements ........................................................................................................................................ 4-4
Form 410 - Statement of Organization (initial) ............................................................................................... 4-4
Form 410 - Statement of Organization (amendment) .................................................................................... 4-5
Form 410 - Statement of Organization (termination) ..................................................................................... 4-5
Form 425 - Semi-Annual Statement of No Activity ........................................................................................ 4-6
Form 450 - Recipient Committee Short Form (semi-annual and pre-election report) ................................... 4-6
Form 460 – Recipient Committee Campaign Statement (semi-annual report) ............................................. 4-7
Form 460 – Recipient Committee Campaign Statement (pre-election report) .............................................. 4-7
Form 460 – Recipient Committee Campaign Statement (termination report) ............................................... 4-8
SAN DIEGO ETHICS COMMISSION CONTENTS - 2 2022 PRIMARY/GENERAL ELECTIONSForm 462 - Verification of Independent Expenditures ................................................................................... 4-8
Form 496 - Independent Expenditure Report (24 hour reporting period) ...................................................... 4-9
Form 497 - Contribution Report (24 hour reporting period) ......................................................................... 4-10
Specific Filing Deadlines .................................................................................................................................. 4-11
Electronic Filing ................................................................................................................................................ 4-11
Chapter 5 - State and County General Purpose Recipient Committees ......................................................... 5-1
Limits and Prohibitions ....................................................................................................................................... 5-1
Filing Official ....................................................................................................................................................... 5-2
Typical Filings with the City Clerk ...................................................................................................................... 5-2
Campaign Statements ........................................................................................................................................ 5-2
Form 462 - Verification of Independent Expenditures ................................................................................... 5-2
Form 496 - Independent Expenditure Report (24 hour reporting period) ...................................................... 5-3
Form 497 - Contribution Report (24 hour reporting period) ........................................................................... 5-4
Electronic Filing .................................................................................................................................................. 5-5
Chapter 6 -“City” Independent Expenditure Committee .................................................................................. 6-1
Naming Requirements ........................................................................................................................................ 6-1
Limits and Prohibitions ....................................................................................................................................... 6-2
Filing Official ....................................................................................................................................................... 6-2
Typical Filings with the City Clerk ...................................................................................................................... 6-2
Campaign Statements ........................................................................................................................................ 6-2
Form 461 - Independent Expenditure Committee Campaign Statement (semi-annual report) ..................... 6-2
Form 462 - Verification of Independent Expenditures ................................................................................... 6-3
Form 496 - Independent Expenditure Report (24 hour reporting period) ...................................................... 6-4
Form 497 - Contribution Report (24 hour reporting period) ........................................................................... 6-5
Specific Filing Deadlines .................................................................................................................................... 6-7
Electronic Filing .................................................................................................................................................. 6-7
Chapter 7 - State & County Independent Expenditure Committees ................................................................ 7-1
Limits and Prohibitions ....................................................................................................................................... 7-2
Typical Filings with the City Clerk ...................................................................................................................... 7-2
Campaign Statements ........................................................................................................................................ 7-2
Form 462 - Verification of Independent Expenditures ................................................................................... 7-2
Form 497 - Contribution Report (24 hour reporting period) ........................................................................... 7-4
Electronic Filing .................................................................................................................................................. 7-5
Chapter 8 - Making Independent Expenditures in the City of San Diego ....................................................... 8-1
At the Behest ...................................................................................................................................................... 8-1
Duplication of Candidate Materials .................................................................................................................... 8-3
Accepting Contributions and Making Expenditures ........................................................................................... 8-4
Coordination Between Committees .................................................................................................................... 8-4
SAN DIEGO ETHICS COMMISSION CONTENTS - 3 2022 PRIMARY/GENERAL ELECTIONSChapter 9 - Campaign Advertising and Advocacy in the City of San Diego .................................................. 9-1 Campaign Literature ........................................................................................................................................... 9-1 Campaign Signs ................................................................................................................................................. 9-1 Telephone Communications .............................................................................................................................. 9-1 Newspaper and Magazine Advertisements........................................................................................................ 9-2 Internet Text/Graphic Advertisements ................................................................................................................ 9-2 Television and Internet Video Advertisements ................................................................................................... 9-3 Radio and other Audio Advertisements .............................................................................................................. 9-3 Major Donor Disclosures for Primarily Formed Recipient Committees .............................................................. 9-3 Funding Details Disclosures for Primarily Formed Recipient Committees ........................................................ 9-4 Major Donor Disclosures for General Purpose Recipient Committees .............................................................. 9-4 Email Communications....................................................................................................................................... 9-4 Committee Websites .......................................................................................................................................... 9-4 Independent Expenditures Supporting Candidates ........................................................................................... 9-5 Maintaining Advertising Records ........................................................................................................................ 9-5 Vendor Credit for Primarily Formed Recipient Committees ............................................................................... 9-5 SAN DIEGO ETHICS COMMISSION CONTENTS - 4 2022 PRIMARY/GENERAL ELECTIONS
What’s New
Since the last City election, the following
changes to local campaign finance laws
have gone into effect:
• Primary Election Date
The California Legislature has moved
the date of the primary election from
March to June during years in which
there is no presidential election. In 2022,
the City’s primary election will be held
on June 7, 2022.
• Audits
The percentages for committees being
selected for audit have changed. For
example, all primarily formed recipient
committees that have raised $100,000
or more will be audited.
SAN DIEGO ETHICS COMMISSION WHAT’S NEW 2022 PRIMARY/GENERAL ELECTIONSIntroduction
This manual is designed to help political The City Clerk is the filing officer for the City
committees understand and comply with of San Diego and is responsible for
the City of San Diego’s campaign laws. It is administering the City’s elections.
intended to serve as a supplement to the Questions concerning filing procedures
State of California Fair Political Practices should be directed to the City Clerk as
Commission’s [FPPC] Campaign follows:
Disclosure Manuals, which can be viewed
online at the following address: (619) 533-4000
http://www.fppc.ca.gov/forms/all-fppc- www.sandiego.gov/city-clerk
manuals.html
Other requests for advice and assistance
This manual has been prepared specifically concerning the City’s campaign laws,
for committees that spend money to including questions concerning the contents
support or oppose City candidates and City of disclosure statements, should be
ballot measures appearing on the June 7, directed to the Ethics Commission as
2022, primary election ballot and the follows:
November 8, 2022, general election ballot. (619) 533-3476
ethicscommission@sandiego.gov
This manual is not designed for candidates.
The Ethics Commission has prepared a Keep in mind that the Ethics Commission
separate 2022 Candidate Manual designed can only provide technical assistance to
solely for candidates and their election committees and their representatives in
committees. The candidate manual is advance of contemplated action. In other
available on the Commission’s website. words, the Ethics Commission cannot help
you after you have violated the City’s
This manual is also not designed for major campaign laws, so please be sure to
donors (individuals and entities that make contact our office before you take the action
contributions totaling $10,000 or more in a in question.
calendar year). The City’s campaign
finance laws do not regulate major donors; Finally, please remember that your decision
contact the FPPC for assistance. to participate in a City of San Diego election
carries with it certain responsibilities. In
Many of the state’s campaign laws have particular, you are required to abide by
been incorporated into the City’s laws. This state and local laws that regulate the
manual focuses on the rules and conduct of political committees, which are
requirements that govern committees explained in detail in the FPPC Manuals
politically active in the City of San Diego,
and in the various chapters in this manual.
including City laws that are more stringent
The failure to adhere to these laws could
than the state’s laws. result in a variety of penalties, including but
not limited to administrative fines imposed
This manual is not meant to serve as a by the Ethics Commission in amounts up to
substitute for the actual provisions in state
$5,000 per violation.
law (the Political Reform Act) or City law
(the Election Campaign Control Ordinance).
SAN DIEGO ETHICS COMMISSION INTRODUCTION - 1 2022 PRIMARY/GENERAL ELECTIONSChapter 1
Campaign Committees Explained
Committees active in City of San Diego • The period beginning January 1 of the
elections may take a number of different most recent odd numbered year,
forms, depending on where their money through the end of the most recent
comes from and how their money is spent. calendar quarter. For example, a
Entities that accept donations and use committee evaluating its activities on
some or all of these donations for political March 31, 2022, would review the
purposes are considered “recipient period from January 1, 2021, through
committees” and can be either a “primarily March 31, 2022.
formed recipient committee” or a “general
purpose recipient committee.” • The committee must use whichever time
period most accurately reflects its
On the other hand, an entity that spends its current and upcoming activities.
own money for political purposes without
accepting donations from others is called Each committee must review its activity at
an “independent expenditure committee.” the end of March, June, September, and
December to determine whether it must
Note: Although primarily formed recipient change its designation, except as set forth
committees and general purpose recipient below.
committees may make independent
expenditures, they are not classified as • A committee that has not made
“independent expenditure committees.” contributions or expenditures of $5,000
or more to support or oppose
The rules defining the different types of candidates or measures in the
committees are a matter of state law. The preceding quarterly time period is not
flowchart at the end of this chapter required to review or change its status.
illustrates these rules, as described more
fully below: • A new committee formed within six
months of an election in connection with
Recipient Committees which it will make contributions or
Whether a recipient committee is a expenditures must review its activity at
“primarily formed recipient committee” or a the end of each month (unless it has not
“general purpose recipient committee” made contributions or expenditures of
depends on where it spends its money for $1,000 or more to support or oppose
political purposes. On a quarterly basis, candidates or measures that month).
each type of recipient committee must
count the contributions and expenditures it • If a committee’s status changes, it must
made to support or oppose candidates or file a Form 410 amendment within ten
measures during: days.
• The immediately preceding 24 months; Note: If a City committee changes its status
or to a state or county committee in the middle
of the year, it must continue filing a copy of
its campaign statements with the City Clerk
until the end of the calendar year.
SAN DIEGO ETHICS COMMISSION PAGE 1-1 CAMPAIGN COMMITTEES EXPLAINEDPrimarily Formed Recipient Committees Primarily formed recipient committees are
A committee is a City of San Diego further divided depending on whether they
primarily formed recipient committee under are focused on candidates or ballot
either of the following circumstances: measures in an upcoming election. A
committee formed to support one or more
A. The committee’s primary purpose candidates in the same election will be
and activities are to support or oppose: referred to as a candidate primarily formed
(1) a single City of San Diego candidate; recipient committee. These committees are
(2) a single City of San Diego ballot discussed in greater detail in Chapter 2 of
measure; (3) a group of candidates this manual. A committee that is formed to
running for office in the same City of support one or more ballot measures in the
San Diego election; or (4) two or more same election is referred to as a ballot
ballot measures being voted upon in the measure primarily formed recipient
same City of San Diego election. committee. These committees are
discussed in greater detail in Chapter 3 of
OR this manual.
B. More than 70% of its contributions General Purpose Recipient Committees
and expenditures are spent on: (1) a A recipient committee that is not a primarily
single City of San Diego candidate; (2) a formed recipient committee is a “general
single City of San Diego ballot measure; purpose recipient committee.” These
(3) a group of candidates running for committees are typically not limited to a
office in the same City of San Diego single election. They are ongoing in nature
election; or (4) two or more ballot and generally support a variety of
measures being voted upon in the same candidates and ballot measures, often in
City of San Diego election. multiple jurisdictions.
Accordingly, a committee created to At the time of registration, a general
support or oppose one or more City purpose recipient committee must declare
candidates running in the 2022 election whether it is a state, county, or city
cycle is a primarily formed recipient committee. Its committee status may
committee. A committee whose change in the future, depending on whether
expenditures have reached the 70% it makes more than 70% of its contributions
threshold described above in support of or or expenditures on candidates or measures
opposition to one or more City candidates being voted on in the same city or county.
running in the 2022 election cycle is also a
primarily formed recipient committee.
EXAMPLE: Tax Alert was formed six years
ago as a County of San Diego general
NOTE: An existing general purpose purpose recipient committee. When
recipient committee is not required to reviewing the contributions and
change to a primarily formed recipient expenditures it made over the previous two
committee unless the 70% threshold has years, it determined that 72% of those
been met and it has spent at least $10,000 payments were made for the purpose of
supporting the relevant candidate(s) or opposing City of San Diego candidates and
measure(s). ballot measures. Tax Alert will file a Form
410 amendment to re-designate itself as a
City of San Diego general purpose
recipient committee.
SAN DIEGO ETHICS COMMISSION PAGE 1-2 CAMPAIGN COMMITTEES EXPLAINEDCity general purpose recipient committees City of San Diego Independent Expenditure
are discussed in greater detail in Chapter 4 Committees
of this manual. County and state general If 70 percent or more of a committee’s
purpose recipient committees are contributions and expenditures are made to
discussed in greater detail in Chapter 5 of support or oppose City of San Diego
this manual. candidates and/or ballot measures, and it
has not spent any money on state
Independent Expenditure Committees candidates or measures, then it is a City of
An independent expenditure committee is San Diego independent expenditure
an individual or entity (e.g., corporation, committee. These types of committees are
firm, business, or proprietorship) that discussed in greater detail in Chapter 6.
makes independent expenditures totaling
$1,000 or more in a calendar year. An County Independent Expenditure
“independent expenditure committee” is not Committees
a “recipient” committee; it does not accept If 70 percent or more of a committee’s
payments from others to fund its political contributions and expenditures are made to
activities. support or oppose candidates or ballot
measures voted on in a single county, or in
EXAMPLE: Access Builders is a local more than one jurisdiction within a single
developer opposed to a City of San Diego county, and it has not spent any money on
ballot measure that would impact state candidates or measures, then it is a
affordable housing requirements. Using its county independent expenditure committee.
own money, it spends $1,500 on billboards These types of committees are discussed in
opposing the measure. It has become an greater detail in Chapter 7.
independent expenditure committee.
State Independent Expenditure Committees
If a committee has spent any amount of
Independent expenditure committees
money on state candidates or measures,
qualify anew as a committee each year. For
then it is a state independent expenditure
purposes of determining its jurisdiction, an
committee. These committees are
independent expenditure committee counts
discussed in greater detail in Chapter 7.
contributions and expenditures made to
support or oppose candidates or measures Considerations for Multi-Purpose
during the current calendar year and Organizations
calculates the percentage quarterly at the
An entity established for purposes other
end of March, June, September, and
than making contributions or independent
December.
expenditures may not consider itself a
political committee. If, however, such an
An independent expenditure committee that
entity decides to get involved in a political
has not made contributions or expenditures
campaign, it may nevertheless qualify as a
of $5,000 or more to support or oppose
committee and become subject to
candidates or measures in the relevant
disclosure obligations. For example, a
quarterly period is not required to review or
nonprofit organization created to support
change its status.
union activities may qualify as a recipient
committee if it makes political expenditures
Depending on the calculation, an
using dues or donations.
independent expenditure committee will fall
within one of these three categories:
SAN DIEGO ETHICS COMMISSION PAGE 1-3 CAMPAIGN COMMITTEES EXPLAINEDState law dictates when these types of committee or participates in the
organizations become committees. In committee’s decisions regarding
particular, an organization becomes a expenditures. Candidate-controlled
recipient committee if it does any of the committees are subject to rules that are
following: different from those imposed on other
committees.
(1) registers as a political committee with
another state or with the Federal Elections For example, any committee that is
Commission and makes contributions or controlled by a candidate must include the
expenditures of $2,000 or more in candidate’s last name in the committee’s
California; or name. The particular rules applicable to
candidate-controlled committees are
(2) solicits and receives payments from discussed later in this manual.
donors totaling $2,000 or more for the
purpose of making contributions or Notes for Sponsored Committees
expenditures, or with the understanding that When an entity is largely responsible for
the payments may be used for making funding the operations of a committee or
contributions or expenditures; or controls the administrative aspects of a
committee, that entity is the committee’s
(3) has received funds from a donor, and “sponsor.” When an entity sponsors a
reaches a subsequent understanding with committee, it must be identified in the
the donor that the funds may be used for committee’s name for purposes of filing
making $2,000 or more in contributions or campaign statements and making
expenditures; or disclosures on campaign advertisements.
(4) makes contributions or expenditures A “sponsor" of a committee means any
totaling $50,000 or more in 12 months, or entity (business, organization, etc.) to
$100,000 or more in 4 consecutive years whom any of the following applies:
(unless it uses only non-donated funds,
such as investment income or sales of • The committee receives 80 percent or
goods and services). more of its contributions either from the
entity or from the entity’s members,
If an organization doesn’t meet any of the officers, employees, or shareholders;
above criteria for a recipient committee, but
spends $1,000 or more on independent • The entity collects contributions for the
expenditures, it will have to disclose its committee by use of payroll deductions
expenditures as an independent or dues from its members, officers, or
expenditure committee. employees;
Contact the Ethics Commission for • The entity provides, alone or in
additional assistance determining whether a combination with other organizations, all
multi-purpose entity has become a political or nearly all of the administrative
committee. services for the committee; or
Notes for Candidate-Controlled Committees • The entity sets, alone or in combination
A candidate “controls” a committee when with other organizations, the policies for
he or she exercises significant influence soliciting contributions or making
over the actions and decisions of the expenditures of committee funds.
SAN DIEGO ETHICS COMMISSION PAGE 1-4 CAMPAIGN COMMITTEES EXPLAINEDIf a committee is a sponsored committee, it • Notwithstanding the previous bullet,
must include the name of its sponsor in the there is no requirement that the Form
name of the committee. If the sponsored 410 be filed electronically.
committee has more than one sponsor and
the sponsors are members of an industry or • Deadlines that fall on a Saturday,
other identifiable group, the name of the Sunday, or an official City holiday are
committee must include a term identifying extended to the next business day. This
that industry or group. rule applies to electronic filings and
paper filings. Note, however, that this
NOTE: A committee can be “candidate rule does not apply to the Form 496 or
controlled” or “sponsored,” but not both. to certain types of Form 410
amendments made within 16 days of an
election. The extension also does not
Contact the Ethics Commission for
apply to a Form 497 due on a Saturday,
additional assistance regarding the
Sunday, or official City holiday
requirements applicable to sponsored
immediately prior to the date of an
committees.
election.
General Filing Notes
• Most campaign statements may not be
Keep in mind that although this manual
filed by fax. An exception exists for
focuses on campaign statements that are
committees not required to file
filed with the San Diego City Clerk,
campaign statements electronically;
committees may also have reporting
such committees may file their 24-hour
obligations with other filing officials in
reports (Forms 496 and 497) by fax.
California. For example, all recipient
committees must file a Statement of • With the exception of the Form 462,
Organization (Form 410) with the Secretary campaign statements may not be filed
of State. In addition, when a City of San by e-mail (except that the City Clerk will
Diego committee spends money on accept the copy of the Form 410 by
independent expenditures in other email).
jurisdictions, it must file disclosure
statements with the filing official in that • Campaign statements may be filed at
jurisdiction. any time prior to the deadline so long as
they include all required information.
Committees should also be mindful of the
following rules:
• Every committee that has received or
spent $10,000 or more in connection
with one or more City elections must
electronically file campaign statements
using the City Clerk’s online filing
system. Campaign statements filed
electronically need not also be filed in
paper format.
SAN DIEGO ETHICS COMMISSION PAGE 1-5 CAMPAIGN COMMITTEES EXPLAINEDFlowchart: Types of Political Committees
Have you received or spent $1,000 or
You are not required to file
more for the purpose of supporting or No as a political committee.
opposing candidates or ballot measures?
You are a STATE
Yes
independent expenditure
Did you spend committee if you spent any
No $1,000 or more Yes money on state elections.
on independent You are a CITY or COUNTY
Have you received, or do expenditures? committee if more than 70%
you expect to receive, of your payments were
$2,000 or more from other made in one city or county.
individuals or entities to
fund your political activities? a single candidate
Yes a group of candidates being You are a primarily
voted upon in the same city, formed recipient
county, or multicounty election committee in the
jurisdiction where
(1) Were you created to support or the candidate(s) or
oppose the following, or (2) were measure(s) are on
more than 70% of your total a single ballot measure
the ballot.
contributions and expenditures
over the past 24 months* for:
two or more measures being
* If it more accurately reflects your voted upon in the same city,
current and upcoming activities, use county, or multicounty
instead the period beginning January
1 of the most recent odd numbered
year through the end of the current
calendar quarter. none of the above
You are a CITY
one city general purpose
recipient committee.
Over the past 24 months*, were
more than 70% of your contributions one county, or in more You are a COUNTY
and expenditures made to support than one jurisdiction general purpose
or oppose candidates or measures within one county recipient committee.
voted on in:
You are a STATE
none of the above general purpose
recipient committee.
SAN DIEGO ETHICS COMMISSION PAGE 1-6 CAMPAIGN COMMITTEES EXPLAINEDChapter 2
“Candidate” Primarily Formed Recipient Committees
This chapter focuses on recipient e.g., whether it has reached the 70%
committees that are primarily formed to threshold. Keep in mind that the committee
support or oppose one or more candidates must recalculate the applicable percentage
for City Council. quarterly at the end of March, June,
September, and December. A new
A committee is a City candidate primarily committee formed within six months of an
formed recipient committee under either of election in connection with which the
the following circumstances: committee makes contributions and
expenditures must calculate the percentage
A. It was created for the purpose of at the end of each month in which it spent
running a campaign for or against (1) a at least $1,000 supporting candidates and
single City of San Diego candidate; or measures.
(2) a group of candidates running for
office in the same City of San Diego Note that an existing general purpose
election. recipient committee that meets the 70%
threshold for a City candidate or group of
OR City candidates on the same ballot will not
have to re-designate itself as a primarily
B. It spends more than 70 percent of its formed committee unless it has also spent
total contributions and expenditures on $10,000 for those candidates.
(1) a single City candidate (or against
that candidate's opponents); or (2) a
group of candidates being voted upon in EXAMPLE: Alliance Against Hunger is a
the same City election. general purpose recipient committee that
recently focused its spending on City
Note that this type of committee is not candidate Suzanne Miller. When
controlled by a candidate. See the Ethics performing its quarterly review, the
committee calculated that it spent $9,500
Commission’s candidate manual for
to support Miller, an amount representing
information regarding committees controlled 74% of the contributions and
by candidates for the purpose of seeking expenditures it made during the review
elective office. period. Even though it reached the 70%
threshold, the committee is not required
This type of committee needn’t spend all of to redesignate as a primarily formed
its funds on the candidate for which it was recipient committee because it did not
primarily formed. It can also support other also reach the $10,000 threshold.
candidates and measures. Substantial
payments for other purposes may,
however, cause the committee’s status Naming Requirements
and/or jurisdiction to change. The name of a committee primarily formed
to support or oppose one or more City
Refer to the rules in Chapter 1 for candidates must include the last name of
determining whether a committee is, or is each candidate whom the committee
not, a primarily formed recipient committee, supports or opposes, along with the office
SAN DIEGO ETHICS COMMISSION PAGE 2-1 CANDIDATE PRIM. FORMED COMMITTEESsought and year of the election. In addition, institution that has an office or branch in
a sponsored committee must contain the California. All contributions must be
name of its sponsor. deposited into this account, and all
expenditures must be made from this
Example: A committee is primarily formed to account. In addition:
support Betty Azul for Council District 2 in the
June 2022 election. It obtains nearly all of its • a committee has “received” a
funding from the Mission Beach Restaurant contribution whenever any
Association. When it files its Form 410 representative of the committee (i.e.
Statement of Organization, it identifies itself as
treasurer or fundraiser) takes
“Citizens Supporting Azul for City Council 2022,
sponsored by the Mission Beach Restaurant
possession of the contribution;
Association.”
• all campaign contributions must be
Limits and Prohibitions deposited into the committee’s bank
The City’s campaign laws do not impose on account;
primarily formed recipient committees any
• all expenditures must be made from the
limits on the sources or amounts of
committee’s bank account;
contributions they receive. For example,
such committees may receive a $5,000
• if an expenditure is made by check, it
contribution from a business entity and use
must be signed by the committee’s
those funds to make an independent
campaign treasurer, assistant treasurer,
expenditure supporting a City candidate.
or other designated agent;
NOTE: These committees must be careful • refer to the guidelines in the FPPC
when accepting contributions from Manual regarding the use of a credit
candidate-controlled committees, which card to make campaign expenditures.
are prohibited under state law from making
contributions to other committees for the Recordkeeping
purpose of making independent
Primarily formed recipient committees are
expenditures supporting or opposing a
candidate. required to maintain records associated
with all contributions received and all
expenditures made by their committees for
Primarily formed recipient committees may a period of four years. In particular,
not make a contribution to a City candidate. committees must maintain the following
Nor may they make expenditures at the records:
request, suggestion, or direction of, or in
cooperation, consultation, concert or • for contributions made via check, credit
coordination with, a City candidate. Such card, or electronic payment, copies of
expenditures are not considered the written instrument, credit card
“independent”; they would instead be receipt, and/or transaction records, as
treated as an unlawful in-kind (non- well as deposit slips;
monetary) contribution to the candidate.
• for cash contributions, a notation that
Checking Account
cash was received, and a legible
All City of San Diego primarily formed photocopy of the bank deposit slip
recipient committees must open a showing that the cash contribution was
campaign checking account at a financial
SAN DIEGO ETHICS COMMISSION PAGE 2-2 CANDIDATE PRIM. FORMED COMMITTEESdeposited into the campaign contribution not obtained all of the information by the
checking account; earlier of:
• if a contribution is something other than • the 60th calendar day following the
money, a description of what was committee’s receipt of the contribution;
contributed, a reasonable good faith or,
estimate of the monetary value of the
contribution, and the basis for the • the filing of the campaign statement
estimate; (Form 460 or 497) covering the
reporting period in which the
• for each check drawn on the campaign contribution was received.
checking account, the canceled check
and the bank statement showing the
payment. NOTE: If the contribution is not returned to
the donor within the applicable timeframe,
• for every expenditure, records reflecting the amount of the contribution must be paid
the date and amount of the expenditure, from campaign funds and delivered to the
City Clerk. Contact the Ethics Commission
the name and address of the payee, and
for additional assistance.
a description of the goods or services
provided, as well as all source
documentation such as invoices and As indicated above, a personal mailbox
receipts. (mail delivery receptacle rented from a
business) is not an acceptable “street
Contributor Information address” for a contributor. When
Committees must obtain all of the following determining whether a contributor’s address
information for each contribution: is a personal mailbox, consider whether the
address provided includes:
• the contributor’s full name;
• the term “PMB” or “UMB”;
• the contributor’s street address
(business addresses are allowed, but • a number not identified as an apartment
post office boxes and personal or suite number; or,
mailboxes are not acceptable); and,
• a suite number followed by another
• the contributor’s occupation and number.
employer (if the contributor has given
you a total of $100 or more). If a Committees should contact the contributor
contributor is self-employed, candidates if there is any reason to believe that the
must obtain the name of the business. address provided belongs to a personal
mailbox. Any address that does not identify
This requirement applies to all the specific location where the contributor
contributions, whether they are made via resides or works is not legally sufficient.
cash, check, debit card, or credit card.
Committees must exercise due diligence
All of the above information must be when reporting each contributor’s
disclosed on the committee’s next occupation and employer. Do not identify a
campaign statement. The committee must contributor as unemployed or retired unless
return the contribution to the donor if it has this designation is based on current and
SAN DIEGO ETHICS COMMISSION PAGE 2-3 CANDIDATE PRIM. FORMED COMMITTEESreliable data. If a contributor is actually • the contributor’s name; and
unemployed or retired, enter “None” in the
employer field, not “N/A.” • if the contributor is a primarily formed
recipient committee or a general
Although the City’s laws do not expressly purpose recipient committee, the
require that committees obtain contributor contributor’s committee identification
information directly from the contributor, the number.
Ethics Commission strongly encourages
them to do so to avoid obtaining inaccurate The committee’s $10,000 donors will be
information. If you choose to obtain the identified on the City of San Diego’s
required information from other sources website (www.sandiego.gov/donors).
(e.g., the host of a fundraiser or a campaign
statement filed by another committee), you Filing Officer
do so at your own risk. Keep in mind that The San Diego City Clerk is the primary
the failure to disclose accurate contributor filling officer for the committee. Most of the
information could result in an Ethics committee’s campaign statements will be
Commission fine. filed solely with the City Clerk. There are
several exceptions, including the Statement
Committee representatives must produce of Organization (Form 410), which is filed
copies of records associated with campaign with the Secretary of State (and a copy filed
contributions and expenditures to the Ethics with the City Clerk), and the Form 462
Commission upon request. In addition, if (emailed to the FPPC). If the committee
requested, committees must provide the makes independent expenditures in another
Ethics Commission with written jurisdiction, it may have to file reports with
authorization to obtain records pertaining to the filing official in that jurisdiction.
their campaign bank accounts.
NOTE: If a City of San Diego primarily
$10,000 Donors formed recipient committee qualifies as
Primarily formed recipient committees must another type of committee in the middle of a
notify the Ethics Commission when any of calendar year (e.g., it becomes a County
their donors cross the $10,000 threshold for committee), it must continue to file copies of
cumulative contributions made to the the Form 460 with the City Clerk until the
end of the calendar year.
committee.
When determining its $10,000 donors, the Typical Filings with the City Clerk
committee must consider all contributions Form 410 – upon qualifying as a committee
cumulatively received from each of its Form 410 – amendments to committee
contributors since it became a committee. information
Every time one of its contributors reaches
Form 460 – semi-annual activity
the $10,000 threshold, the committee must
send an email to the Ethics Commission Form 460 – pre-election activity
(ethicscommission@sandiego.gov) within Form 496 – independent expenditures
three business days. The email must made during the 90 days prior
include: to the election
Form 497 – contributions made or received
• the committee’s full name and during the 90 days prior to the
identification number; election
SAN DIEGO ETHICS COMMISSION PAGE 2-4 CANDIDATE PRIM. FORMED COMMITTEESFrom 410 – termination of committee Campaign Statements
Form 460 – termination of committee The following are general filing rules
applicable to primarily formed recipient
committees formed to support or oppose a
EXAMPLE: A committee is formed to City candidate.
support Steven Murphy for
Councilmember in the 2022 election
cycle. On May 26, 2021, within ten days Form 410
of raising $2,000, it files a Form 410 with Statement of Organization (initial)
the Secretary of State (copy with the City
Clerk). It will also file:
BASIC RULES
a Form 460 semi-annual statement by GENERAL INFORMATION
August 2, 2021, reporting its activities BASIC RULES
through the end of June; An entity must file this form when it
another Form 460 semi-annual becomes a primarily formed recipient
statement by January 31, 2022, committee (by receiving $2,000 in
reporting its activities from July 1, 2021 contributions).
through December 31, 2021;
two pre-election Forms 460 in 2022 Committees state their official name on the
leading up to the June election. Form 410. As indicated above, the name
If it makes independent expenditures
must include the last name(s) of the
during the 90 days prior to the election, it candidate(s) supported or opposed, the
will report those expenditures within 24 office(s) sought, and the year of the
hours using the Form 496. If it receives election. It must also state whether the
contributions of $1,000 or more during committee supports or opposes the
that 90-day period, it will report them candidate. If the committee is sponsored by
within 24 hours on a Form 497. another entity, the sponsor’s name must
After the election, if Murphy doesn’t appear within the committee’s name.
proceed to the general election in
November, the committee will file a Form The Form 410 must include the name,
410 termination statement with the street address, and telephone number of
Secretary of State (copy with the City the committee’s principal officers. Principal
Clerk) and a Form 460 termination officers are the persons primarily
statement with the City Clerk. responsible for approving the activities of
the committee, including authorizing the
content of committee communications,
authorizing the committee’s contributions
and expenditures, and determining the
committee’s campaign strategy. If more
than three individuals qualify as principal
officers of the committee, identify no fewer
than three.
NOTE: Identifying a “straw” person as a
principal officer on a Form 410 in order to
conceal the true identity of an individual
responsible for the committee’s activities is
a violation of law.
SAN DIEGO ETHICS COMMISSION PAGE 2-5 CANDIDATE PRIM. FORMED COMMITTEESYou can also read
