[Senate Document 106-14]
[From the U.S. Government Publishing Office]
106th Congress Document
SENATE
2d Session 106-14
_______________________________________________________________________
SENATE ELECTION LAW GUIDEBOOK 2000
----------
A COMPILATION OF SENATE CAMPAIGN INFORMATION,
INCLUDING FEDERAL AND STATE LAWS GOVERNING
ELECTION TO THE UNITED STATES SENATE
----------
MITCH McCONNELL, Chairman
COMMITTEE ON RULES AND ADMINISTRATION
UNITED STATES SENATE
REVISED TO JANUARY 1, 2000
November 19, 1999.--Ordered to be printed
106th Congress
2d Session SENATE Document
106-14
_______________________________________________________________________
SENATE ELECTION LAW
GUIDEBOOK
2000
__________
A COMPILATION OF SENATE CAMPAIGN INFORMATION,
INCLUDING FEDERAL AND STATE LAWS GOVERNING
ELECTION TO THE UNITED STATES SENATE
__________
MITCH McCONNELL, Chairman
COMMITTEE ON RULES AND ADMINISTRATION
UNITED STATES SENATE
REVISED TO JANUARY 1, 2000
November 19, 1999.--Ordered to be printed
__________
U.S. GOVERNMENT PRINTING OFFICE
62-146 WASHINGTON : 2000
COMMITTEE ON RULES AND ADMINISTRATION
MITCH McCONNELL, Kentucky, Chairman
JESSE HELMS, North Carolina CHRISTOPHER J. DODD, Connecticut
TED STEVENS, Alaska ROBERT C. BYRD, West Virginia
JOHN WARNER, Virginia DANIEL K. INOUYE, Hawaii
THAD COCHRAN, Mississippi DANIEL PATRICK MOYNIHAN, New York
RICK SANTORUM, Pennsylvania DIANNE FEINSTEIN, California
DON NICKLES, Oklahoma ROBERT G. TORRICELLI, New Jersey
TRENT LOTT, Mississippi CHARLES E. SCHUMER, New York
KAY BAILEY HUTCHISON, Texas
Tamara S. Somerville, Staff Director
G. Hunter Bates, Chief Counsel
Kennie L. Gill, Democratic Staff Director and Chief Counsel
----------
SENATE RESOLUTION 235
In the Senate of the United States
November 19, 1999
Resolved, That the Committee on Rules and Administration
shall prepare a revised edition of the Senate Election Law
Guidebook, Senate document 105-12, and that such document shall
be printed as a Senate document.
Sec. 2. There shall be printed, beyond the usual number,
600 additional copies of the document specified in the first
section of this resolution for the use of the Committee on
Rules and Administration.
Attest:
Gary Sisco,
Secretary.
CAVEAT
----------
It is of paramount importance to check with the appropriate
secretary of state or state board of elections when questions
arise about the various state statutory materials contained in
this publication. Questions about dates and filing information
should also be directed to the secretary of state or state
election office, since changes in this area of law occur
frequently.
PREFACE
----------
The 2000 publication contains a comprehensive compilation
of constitutional and Federal statutory provisions and State
election laws relating to the nomination and election of
candidates to the United States Senate.
This Guidebook is designed as a ready reference, giving the
highlights of the provisions of Federal and State laws
pertaining to the election of Senators. It is anticipated that
it will be of benefit to senatorial candidates, to the
Committee on Rules and Administration, and to the public in
general. The detailed citations will afford opportunity for
reference to the statutory provisions if one should require
complete information on any given subject.
This revision of the Senate Election Law Guidebook was
prepared at the direction of the Committee on Rules and
Administration by L. Paige Whitaker, John Contrubis, Margaret
M. Lee, Jack Maskell, Robert B. Burdette, T.J. Halstead, Jon
Shimabukuro, legislative attorneys, and paralegal Gloria P.
Sugars, coordinator, under the supervision of Ellen M. Lazarus,
Deputy Assistant Director and Richard C. Ehlke, Assistant
Director, American Law Division, Congressional Research
Service, Library of Congress.
C O N T E N T S
----------
Page
Caveat........................................................... iii
Preface.......................................................... v
Important Election Dates......................................... xiii
The United States Senate......................................... 1
PART I: CONSTITUTIONAL AND FEDERAL STATUTORY PROVISIONS AND OTHER
RELATED MATERIALS REGULATING THE NOMINATIONS AND ELECTIONS OF
U.S. SENATORS
A. Federal Constitutional Provisions Relating to the Elections of
Senators....................................................... 9
Composition of Senate........................................ 9
Vacancies.................................................... 9
Qualifications............................................... 9
Conduct of Elections......................................... 9
Dual Office Holding.......................................... 9
Ban on Poll Tax.............................................. 10
Eighteen-Year-Old Vote....................................... 10
Pay of Senators.............................................. 10
B. Selected Laws Relating to the Elections of Senators (Title 2,
U.S. Code)..................................................... 11
2 U.S.C. Sec. 1. Time for Election of Senators............... 11
2 U.S.C. Sec. 1a. Election To Be Certified By Governor....... 11
2 U.S.C. Sec. 1b. Countersignature of Certificate of Election 11
2 U.S.C. Sec. 7. Time of Election............................ 11
2 U.S.C. Sec. 8. Vacancies................................... 11
2 U.S.C. Sec. 21. Oath of Senators........................... 12
2 U.S.C. Sec. 22. Oath of President of Senate................ 12
2 U.S.C. Sec. 23. Presiding Officer of Senate May Administer
Oaths...................................................... 12
2 U.S.C. Sec. 24. Secretary of Senate or Assistant Secretary
May Administer Oaths....................................... 12
2 U.S.C. Sec. 33. Senators' Salaries......................... 12
2 U.S.C. Sec. 36. Salaries of Senators....................... 12
2 U.S.C. Sec. 39. Deductions for Absence..................... 13
2 U.S.C. Sec. 40. Deductions for Withdrawal.................. 13
2 U.S.C. Sec. 40a. Deductions for Delinquent Indebtedness.... 13
2 U.S.C. Sec. 43d. Organizational Expenses of Senator-elect.. 14
2 U.S.C. Sec. 46a-1. Senate Revolving Fund for Stationery
Allowances, Availability of Unexpended Balances,
Withdrawals................................................ 15
C. Campaign Financing, Reporting and Disclosure (Title 2, U.S.
Code).......................................................... 17
2 U.S.C. Sec. 431. Definitions............................... 17
2 U.S.C. Sec. 432. Organization of Political Committees...... 23
2 U.S.C. Sec. 433. Registration of Political Committees;
Statements................................................. 27
2 U.S.C. Sec. 434. Reporting Requirements.................... 28
2 U.S.C. Sec. 437. Reports on Convention Financing........... 36
2 U.S.C. Sec. 437c. Federal Election Commission.............. 37
2 U.S.C. Sec. 437d. Powers of the Commission................. 39
2 U.S.C. Sec. 437f. Advisory Opinions........................ 41
2 U.S.C. Sec. 437g. Enforcement.............................. 42
2 U.S.C. Sec. 437h. Judicial Review.......................... 47
2 U.S.C. Sec. 438. Administrative Provisions................. 47
2 U.S.C. Sec. 439. Statements Filed With State Officers...... 50
2 U.S.C. Sec. 439a. Use of Contributed Amounts for Certain
Purposes................................................... 51
2 U.S.C. Sec. 439c. Authorization of Appropriations.......... 52
2 U.S.C. Sec. 441a. Limitations on Contributions and
Expenditures............................................... 53
2 U.S.C. Sec. 441b. Contributions or Expenditures by National
Banks, Corporations, or Labor Organizations................ 57
2 U.S.C. Sec. 441c. Contributions by Government Contractors.. 59
2 U.S.C. Sec. 441d. Publication and Distribution of
Statements and Solicitations............................... 60
2 U.S.C. Sec. 441e. Contributions by Foreign Nationals....... 61
2 U.S.C. Sec. 441f. Prohibition on Contributions in Name of
Another.................................................... 61
2 U.S.C. Sec. 441g. Limitation on Contribution of Currency... 61
2 U.S.C. Sec. 441h. Fraudulent Misrepresentation of Campaign
Authority.................................................. 62
2 U.S.C. Sec. 442. Authority to Procure Technical Support and
Other Services and Incur Travel Expenses, Payment of Such
Expenses................................................... 62
2 U.S.C. Sec. 451. Extension of Credit by Regulated
Industries; Regulations.................................... 63
2 U.S.C. Sec. 452. Prohibition Against Use of Certain Federal
Funds for Election Activities.............................. 63
2 U.S.C. Sec. 453. State Laws Affected....................... 63
2 U.S.C. Sec. 454. Partial Invalidity........................ 63
2 U.S.C. Sec. 455. Period of Limitations..................... 64
D. Financial Disclosure Requirements of Federal Personnel (Title
5, U.S. Code).................................................. 65
5 U.S.C. App. Sec. 101. Persons Required to File............. 65
5 U.S.C. App. Sec. 102. Contents of Reports.................. 68
5 U.S.C. App. Sec. 103. Filing of Reports.................... 78
5 U.S.C. App. Sec. 104. Failure to File or Filing False
Reports.................................................... 80
5 U.S.C. App. Sec. 105. Custody of and Public Access to
Reports.................................................... 81
5 U.S.C. App. Sec. 106. Review of Reports.................... 84
5 U.S.C. App. Sec. 107. Confidential Reports and other
Additional Requirements.................................... 85
5 U.S.C. App. Sec. 108. Authority of Comptroller General..... 86
5 U.S.C. App. Sec. 109. Definitions.......................... 86
5 U.S.C. App. Sec. 110. Notice of Actions Taken to Comply
with Ethics Agreements..................................... 90
5 U.S.C. App. Sec. 111. Administration of Provisions......... 90
E. Political Activities: Federal Employees (Title 5, U.S. Code).. 92
5 U.S.C. Sec. 7321. Political Participation.................. 92
5 U.S.C. Sec. 7322. Definitions.............................. 92
5 U.S.C. Sec. 7323. Political Activity Authorized;
Prohibitions............................................... 93
5 U.S.C. Sec. 7324. Political Activities on Duty; Prohibition 94
5 U.S.C. Sec. 7325. Political Activity Permitted; Employees
Residing in Certain Municipalities......................... 95
5 U.S.C. Sec. 7326. Penalties................................ 95
5 U.S.C. Sec. 7351. Gifts to Superiors....................... 95
5 U.S.C. Sec. 7353. Gifts to Federal Employees............... 96
F. Political Activities: State and Local Employees (Title 5, U.S.
Code).......................................................... 98
5 U.S.C. Sec. 1501. Definitions.............................. 98
5 U.S.C. Sec. 1502. Influencing Elections; Taking Part in
Political Campaigns; Prohibitions; Exceptions.............. 98
5 U.S.C. Sec. 1503. Nonpartisan Candidacies Permitted........ 99
5 U.S.C. Sec. 1504. Investigations; Notice of Hearing........ 99
5 U.S.C. Sec. 1505. Hearings; Adjudications; Notice of
Determinations............................................. 99
5 U.S.C. Sec. 1506. Orders; Withholding Loans or Grants;
Limitations................................................ 100
5 U.S.C. Sec. 1507. Subpenas and Depositions................. 100
5 U.S.C. Sec. 1508. Judicial Review.......................... 101
G. Limitations on Outside Employment and Elimination of Honoraria
(Title 5, U.S. Code)........................................... 103
5 U.S.C. App. Sec. 501. Outside Earned Income Limitation..... 103
5 U.S.C. App. Sec. 502. Limitations on Outside Employment.... 104
5 U.S.C. App. Sec. 503. Administration....................... 105
5 U.S.C. App. Sec. 504. Civil Penalties...................... 105
5 U.S.C. App. Sec. 505. Definitions.......................... 105
H. Criminal Code Provisions (Title 18, U.S. Code)................ 107
18 U.S.C. Sec. 203. Compensation to Members of Congress,
Officers, and Others in Matters Affecting the Government... 107
18 U.S.C. Sec. 210. Offer to Procure Appointive Public Office 108
18 U.S.C. Sec. 211. Acceptance or Solicitation to Obtain
Appointive Public Office................................... 109
18 U.S.C. Sec. 592. Troops at Polls.......................... 109
18 U.S.C. Sec. 593. Interference by Armed Forces............. 109
18 U.S.C. Sec. 594. Intimidation of Voters................... 110
18 U.S.C. Sec. 595. Interference by Administrative Employees. 110
18 U.S.C. Sec. 596. Polling Armed Forces..................... 111
18 U.S.C. Sec. 597. Expenditures to Influence Voting......... 111
18 U.S.C. Sec. 598. Coercion by Appropriations............... 111
18 U.S.C. Sec. 599. Promise of Appointment by Candidate...... 112
18 U.S.C. Sec. 600. Promise of Employment or Other Benefit... 112
18 U.S.C. Sec. 601. Deprivation of Employment or Other
Benefit.................................................... 112
18 U.S.C. Sec. 602. Solicitation of Political Contributions.. 113
18 U.S.C. Sec. 603. Making Political Contributions........... 114
18 U.S.C. Sec. 604. Solicitation From Persons on Relief...... 114
18 U.S.C. Sec. 605. Disclosure of Names of Persons on Relief. 114
18 U.S.C. Sec. 606. Intimidation to Secure Political
Contributions.............................................. 115
18 U.S.C. Sec. 607. Place of Solicitation.................... 115
18 U.S.C. Sec. 608. Absent Uniformed Services Voters and
Overseas Voters............................................ 115
18 U.S.C. Sec. 609. Use of Military Authority to Influence
Vote of Member of Armed Forces............................. 115
18 U.S.C. Sec. 610. Coercion of Political Activity........... 116
I. Use of Franked Mail (Title 39, U.S. Code)..................... 117
39 U.S.C. Sec. 3201. Definitions............................. 117
39 U.S.C. Sec. 3210. Franked Mail Transmitted by the Vice
President, Members of Congress, and Congressional Officials 117
39 U.S.C. Sec. 3211. Public Documents........................ 122
39 U.S.C. Sec. 3212. Congressional Record Under Frank of
Members of Congress........................................ 123
39 U.S.C. Sec. 3213. Seeds and Reports From Department of
Agriculture................................................ 123
39 U.S.C. Sec. 3215. Lending or Permitting Use of Frank
Unlawful................................................... 123
39 U.S.C. Sec. 3216. Reimbursement for Franked Mailings...... 123
39 U.S.C. Sec. 3218. Franked Mail for Survivors of Members of
Congress................................................... 125
39 U.S.C. Sec. 3219. Mailgrams............................... 125
2 U.S.C. Sec. 502. Select Committee on Ethics of the Senate.. 125
Regulations Governing Franked Mail (Senate Committee on Rules
and Administration)........................................ 127
J. Communications Media (Title 47, U.S. Code).................... 140
47 U.S.C. Sec. 312. Administrative Sanctions................. 140
47 U.S.C. Sec. 315. Candidates for Public Office............. 140
PART II. PERTINENT STANDING RULES OF THE SENATE RELATING TO THE
ELECTION OF SENATORS
A. Rule II, Presentation of Credentials and Questions of Privilege.145
B. Rule III, Oaths.................................................146
C. Rule XXXIV, Public Financial Disclosure.........................147
D. Rule XXXV, Gifts................................................148
E. Rule XXXVI, Outside Earned Income...............................154
F. Rule XXXVII, Conflict of Interest...............................154
G. Rule XXXVIII, Prohibition of Unofficial Office Accounts.........157
H. Rule XXXIX, Foreign Travel......................................158
I. Rule XL, Franking Privilege and Radio and Television Studios....159
J. Rule XLI, Political Fund Activity; Definitions..................160
K. Rule XLIII, Representation by Members...........................162
L. S. Res. 28, Tape Duplication of Senate Proceedings..............162
PART III. STATE ELECTION LAWS RELATING TO CANDIDATES FOR THE U.S.
SENATE
Alabama.......................................................... 165
Alaska........................................................... 166
Arizona.......................................................... 167
Arkansas......................................................... 169
California....................................................... 171
Colorado......................................................... 172
Connecticut...................................................... 174
Delaware......................................................... 176
Florida.......................................................... 177
Georgia.......................................................... 178
Hawaii........................................................... 181
Idaho............................................................ 182
Illinois......................................................... 183
Indiana.......................................................... 184
Iowa............................................................. 185
Kansas........................................................... 187
Kentucky......................................................... 188
Louisiana........................................................ 189
Maine............................................................ 192
Maryland......................................................... 193
Massachusetts.................................................... 195
Michigan......................................................... 196
Minnesota........................................................ 198
Mississippi...................................................... 199
Missouri......................................................... 201
Montana.......................................................... 202
Nebraska......................................................... 204
Nevada........................................................... 206
New Hampshire.................................................... 207
New Jersey....................................................... 208
New Mexico....................................................... 209
New York......................................................... 211
North Carolina................................................... 213
North Dakota..................................................... 214
Ohio............................................................. 215
Oklahoma......................................................... 216
Oregon........................................................... 217
Pennsylvania..................................................... 219
Rhode Island..................................................... 221
South Carolina................................................... 222
South Dakota..................................................... 223
Tennessee........................................................ 224
Texas............................................................ 225
Utah............................................................. 227
Vermont.......................................................... 228
Virginia......................................................... 229
Washington....................................................... 230
West Virginia.................................................... 232
Wisconsin........................................................ 234
Wyoming.......................................................... 235
PART IV. CAMPAIGN ACTIVITIES BY CONGRESSIONAL EMPLOYEES
A. General Campaign Activities................................... 239
1. Campaigning and Official Duties........................... 240
2. False Claims, Fraud and Theft: Federal Criminal Law....... 247
3. Running for Elective Office............................... 251
B. Campaign Funds and Finances................................... 253
1. Political Contributions................................... 253
2. Fundraising Dinners and Testimonials...................... 257
3. Campaign Fund Activity by Senate Employees................ 258
4. Campaign Activity in a Federal Building................... 260
C. Quick Reference List of Specific Campaign Prohibitions........ 263
1. General................................................... 263
2. Soliciting or Receiving Campaign Contributions............ 263
3. Making Political Contributions............................ 264
PART V. SUMMARY OF THE EFFECT OF NEW ETHICS LAWS ON THE SENATE
A. Gifts......................................................... 267
B. Outside Earned Income and Honoraria........................... 269
C. Financial Interests: Conflicts and Disclosure................. 271
D. Post-employment, ``Revolving Door,'' Restrictions............. 272
E. Campaign Funds and Official Expenses.......................... 273
F. Campaign Funds and Personal Use............................... 273
PART VI. QUALIFICATIONS OF MEMBERS OF CONGRESS FOR ELIGIBILITY
FOR OFFICE
A. Introduction and Background.....................................277
B. State Residence Requirements....................................279
C. Definition of Inhabitancy.......................................280
D. Holding Public Office and Eligibility for Congressional Office..282
E. Subversive Activities and Eligibility for Congress..............283
F. Felony Conviction and Eligibility for Congress..................284
G. Eligibility of Congressional Candidates After Defeat in Primary
Election........................................................284
H. State Requirements for Obtaining Ballot Access..................285
I. Recall of Members of Congress...................................287
J. Issue of Term Limitations of Members of Congress................289
IMPORTANT ELECTION DATES IN 2000
A. General Election Date: November 7, 2000
B. Congressional Primary Dates Chronologically *
------------------------------------------------------------------------
State Primary date Runoff date
------------------------------------------------------------------------
Puerto Rico Nov. 14, 1999 ..................
California Mar. 7 ..................
Maryland Mar. 7 ..................
Ohio Mar. 7 ..................
Mississippi Mar. 14 Apr. 4
Texas Mar. 14 Apr. 11
Illinois Mar. 21 ..................
Pennsylvania Apr. 4 ..................
D.C. May 2 ..................
Indiana May 2 ..................
North Carolina May 2 May 30
Nebraska May 9 ..................
West Virginia May 9 ..................
Oregon May 16 ..................
Idaho May 23 ..................
Kentucky May 23 ..................
Arkansas May 23 June 13
Iowa June 6 ..................
Montana June 6 ..................
New Jersey June 6 ..................
New Mexico June 6 ..................
South Dakota June 6 June 20
Alabama June 6 June 27
Maine June 13 ..................
North Dakota June 13 ..................
Virginia June 13 ..................
South Carolina June 13 June 27
Utah June 27 ..................
Georgia July 18 Aug. 8
Kansas Aug. 1 ..................
Tennessee Aug. 3 ..................
Colorado Aug. 8 ..................
Michigan Aug. 8 ..................
Missouri Aug. 8 ..................
Alaska Aug. 22 ..................
Wyoming Aug. 22 ..................
Oklahoma Aug. 22 Sept. 19
Guam Sept. 2 ..................
Nevada Sept. 5 ..................
Florida Sept. 5 Oct. 3
Delaware Sept. 9 ..................
Virgin Islands Sept. 9 ..................
Arizona Sept. 12 ..................
Connecticut Sept. 12 ..................
Minnesota Sept. 12 ..................
New Hampshire Sept. 12 ..................
New York Sept. 12 ..................
Rhode Island Sept. 12 ..................
Vermont Sept. 12 ..................
Wisconsin Sept. 12 ..................
Massachusetts Sept. 19 ..................
Washington Sept. 19 ..................
Hawaii Sept. 23 ..................
American Samoa Nov. 7 Nov. 21
Louisiana Nov. 7 Dec. 9
------------------------------------------------------------------------
* Source: Federal Election Commission. S indicates a U.S. Senate
election. Dates subject to change by the state legislatures.
C. 2000 Congressional Primary Dates and Filing Deadlines *
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Filing deadline for primary Independent \1\ filing deadline for general
State Primary date Runoff date ballot access election
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Alabama June 6 June 27 Apr. 7 July 3
Alaska Aug. 22 ........................... June 1 June 1
American Samoa Nov. 7 Nov. 21 Sept. 1 Sept. 1
Arizona Sept. 12 ........................... June 14 June 14 Independent/Third
Arkansas May 23 June 13 Apr. 4 May 1
California Mar. 7 ........................... Dec. 10, 1999 Aug. 11
Colorado Aug. 8 ........................... May 30 July 10 3 pm
Connecticut Sept. 12 \2\ ........................... Aug. 9 Aug. 9
Delaware Sept. 9 ........................... July 28 Sept. 1
D.C May 2 ........................... Feb. 23 5 pm Aug. 30
Florida Sept. 5 Oct. 3 May 12 July 14
Georgia July 18 Aug. 8 Apr. 28 July 11
Guam Sept. 2 ........................... July 5 July 5
Hawaii Sept. 23 ........................... July 25 July 25
Idaho May 23 ........................... Mar. 31 Mar. 20
Illinois Mar. 21 ........................... Dec. 20, 1999 Dec. 20 Independent
............................ ........................... ................................. June 26 Third/Minor
Indiana May 2 ........................... Feb. 8 Noon Sept. 1 Noon
Iowa June 6 ........................... Mar. 17 Aug. 18
Kansas Aug. 1 ........................... June 12 Noon July 31 Noon
Kentucky May 23 ........................... Jan. 25 4 pm Aug. 8 4 pm
Louisiana Nov. 7 Dec. 9 Aug. 18 Aug. 18
Maine June 13 ........................... Mar. 15 June 1
Maryland Mar. 7 ........................... Dec. 27, 1999 Aug. 7
Massachusetts Sept. 19 ........................... May 9 5 pm Aug. 1 5 pm
Michigan Aug. 8 ........................... May 16 July 20 4 pm
Minnesota Sept. 12 ........................... July 18 July 18
Mississippi Mar. 14 Apr. 4 Jan. 14 Jan. 14
Missouri Aug. 8 ........................... Mar. 28 July 31
Montana June 6 ........................... Mar. 23 June 5
Nebraska May 9 ........................... Feb. 15 Incumbents Sept. 1 Independent
............................ ........................... Mar. 1 All Others ...............................................
Nevada Sept. 5 ........................... May 15 May 15
New Hampshire Sept. 12 ........................... June 16 June 16
New Jersey June 6 ........................... Apr. 13 June 6
New Mexico June 6 ........................... Mar. 29 July 11 Independent/Minor
New York Sept. 12 ........................... July 13 Aug. 22
North Carolina May 2 May 30 Feb. 7 June 30 Independent
North Dakota June 13 ........................... Apr. 14 4 pm Sept. 8 4 pm
Ohio Mar. 7 ........................... Jan. 7 Jan. 7 Minor
............................ ........................... ................................. Mar. 6 Independent
Oklahoma Aug. 22 Sept. 19 July 12 July 12 Independent
Oregon May 16 ........................... Mar. 7 Aug. 29 Independent/Minor
Pennsylvania Apr. 4 ........................... Jan. 25 Aug. 1
Puerto Rico Nov. 14, 1999 ........................... Sept. 16, 1999 Sept. 16, 1999
Rhode Island Sept. 12 ........................... June 28 June 28
South Carolina June 13 June 27 Mar. 30 Aug. 1
South Dakota June 6 June 20 Apr. 4 June 20 Independent
Tennessee Aug. 3 ........................... Apr. 6 Apr. 6 Independent
Texas Mar. 14 Apr. 11 Jan. 3 May 11 Independent
............................ ........................... ................................. May 30 Third
Utah June 27 \2\ ........................... Mar. 17 Feb. 15 Third/Minor
............................ ........................... ................................. Mar. 17 Independent
Vermont Sept. 12 ........................... July 17 5 pm Sept. 21
Virginia June 13 \3\ ........................... Apr. 14 5 pm June 13 7 pm
Virgin Islands Sept. 9 ........................... Aug. 1 Aug. 1
Washington Sept. 19 ........................... July 28 July 1
West Virginia May 9 ........................... Jan. 29 May 8 Independent/Minor
Wisconsin Sept. 12 ........................... July 11 July 11
Wyoming Aug. 22 ........................... June 2 Aug. 21 Third/Minor
............................ ........................... ................................. Aug. 28 Independent
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* Source: Federal Election Commission. S indicates a U.S. Senate election. Dates subject to change by the state legislatures.
\1\ The column Independent Filing Deadline shows the date for the filing of petitions by independent or third/minor party candidates. This is a general reference date for use by the public
and voters. Candidates and others seeking specific information should contact the states for other deadlines that may need to be met. For example, the petitions may have to be checked by
officials prior to this date. A declaration of candidacy may be due before the petitions are due. New parties may have different deadlines.
\2\ Nominating conventions are held by the state parties prior to the primary.
\3\ Political parties may choose to nominate candidates by convention rather than by primary. Notification of adoption of a primary must be made to the State Board of Elections by March 15,
2000.
FEC REPORTING DATES FOR CONGRESSIONAL CANDIDATES
PRE-ELECTION REPORTING DATES FOR 2000 PRIMARY AND RUNOFF ELECTIONS
----------------------------------------------------------------------------------------------------------------
Registered or
State or territory Election date Close of books \1\ certified mailing Filing date \2\
date \2\
----------------------------------------------------------------------------------------------------------------
Alabama......................... June 6 May 17 May 22 May 25.
Runoff...................... June 27 June 7 June 12 June 15
Alaska.......................... Aug. 22 Aug. 2 Aug. 7 Aug. 10.
American Samoa.................. Nov. 7 Oct. 18 Oct. 23 Oct. 26.
Runoff...................... Nov. 21 Nov. 1 Nov. 9 \3\ Nov. 9.
* Arizona....................... Sept. 12 Aug. 23 Aug. 28 Aug. 31
Arkansas........................ May 23 May 3 May 8 May 11.
Runoff...................... June 13 May 24 May 29 \4\ June 1.
* California.................... Mar. 7 Feb. 16 Feb. 21 \4\ Feb. 24.
Colorado........................ Aug. 8 July 19 July 24 July 27.
* Connecticut................... Sept. 12 Aug. 23 Aug. 28 Aug. 31.
* Delaware...................... Sept. 9 Aug. 20 Aug. 25 Aug. 28.
District of Columbia............ May 2 Apr. 12 Apr. 17 Apr. 20.
* Florida....................... Sept. 5 Aug. 16 Aug. 21 Aug. 24.
Runoff...................... Oct. 3 Sept. 13 Sept. 18 Sept. 21.
Georgia......................... July 18 June 28 July 3 July 6.\6\
Runoff...................... Aug. 8 July 19 July 24 July 27.
Guam............................ Sept. 2 Aug. 13 Aug. 18 Aug. 21.
* Hawaii........................ Sept. 23 Sept. 3 Sept. 8 Sept. 11.
Idaho........................... May 23 May 3 May 8 May 11.
Illinois........................ Mar. 21 Mar. 1 Mar. 6 Mar. 9.
* Indiana....................... May 2 Apr. 12 Apr. 17 Apr. 20.
Iowa............................ June 6 May 17 May 22 May 25.
Kansas.......................... Aug. 1 July 12 July 17 July 20.
Kentucky........................ May 23 May 3 May 8 May 11.
Louisiana....................... Nov. 7 Oct. 18 Oct. 23 Oct. 26.
Runoff...................... Dec. 9 Nov. 19 Nov. 24 Nov. 27.
* Maine......................... June 13 May 24 May 29 \4\ June 1.
* Maryland...................... Mar. 7 Feb. 16 Feb. 21 \4\ Feb. 24.
* Massachusetts................. Sept. 19 Aug. 30 Sept. 4 \4\ Sept. 7.
* Michigan...................... Aug. 8 July 19 July 24 July 27.
* Minnesota..................... Sept. 12 Aug. 23 Aug. 28 Aug. 31.
* Mississippi................... Mar. 14 Feb. 23 Feb. 28 Mar. 2.
Runoff...................... Apr. 4 Mar. 15 Mar. 20 Mar. 23.
* Missouri...................... Aug. 8 July 19 July 24 July 27.
* Montana....................... June 6 May 17 May 22 May 25.
* Nebraska...................... May 9 Apr. 19 Apr. 24 Apr. 27.
* Nevada........................ Sept. 5 Aug. 16 Aug. 21 Aug. 24.
New Hampshire................... Sept. 12 Aug. 23 Aug. 28 Aug. 31.
* New Jersey.................... June 6 May 17 May 22 May 25.
* New Mexico.................... June 6 May 17 May 22 May 25.
* New York...................... Sept. 12 Aug. 23 Aug. 28 Aug. 31.
North Carolina.................. May 2 Apr. 12 Apr. 17 Apr. 20.
Runoff...................... May 30 May 10 May 15 May 18.
* North Dakota.................. June 13 May 24 May 29 \4\ June 1.
* Ohio.......................... Mar. 7 Feb. 16 Feb. 21 Feb. 24.
Oklahoma........................ Aug. 22 Aug. 2 Aug. 7 Aug. 10.
Runoff...................... Sept. 19 Aug. 30 Sept. 4 \4\ Sept. 7.
Oregon.......................... May 16 Apr. 26 May 1 May 4.
* Pennsylvania.................. Apr. 4 Mar. 15 Mar. 20 Mar. 23.
Puerto Rico..................... Nov. 14, 1999 Oct. 25, 1999 Oct. 30, 1999 Nov. 2, 1999.
* Rhode Island.................. Sept. 12 Aug. 23 Aug. 28 Aug. 31.
South Carolina.................. June 13 May 24 May 29 \4\ June 1.
Runoff...................... June 27 June 7 June 15 \3\ June 15.
South Dakota.................... June 6 May 17 May 22 May 25.
Runoff...................... June 20 May 31 June 8 \3\ June 8.
* Tennessee..................... Aug. 3 July 14 July 19 July 22.\5\
* Texas......................... Mar. 14 Feb. 23 Feb. 28 Mar 2.
Runoff...................... Apr. 11 Mar. 22 Mar. 27 Mar. 30.
* Utah.......................... June 27 June 7 June 12 June 15.
* Vermont....................... Sept. 12 Aug. 23 Aug. 28 Aug. 31.
* Virginia...................... June 13 May 24 May 29 \4\ June 1.
Virgin Islands.................. Sept. 9 Aug. 20 Aug. 25 Aug. 28.
* Washington.................... Sept. 19 Aug. 30 Sept. 4 \4\ Sept. 7.
* West Virginia................. May 9 Apr. 19 Apr. 24 Apr. 27.
* Wisconsin..................... Sept. 12 Aug. 23 Aug. 28 Aug. 31.
* Wyoming....................... Aug. 22 Aug. 2 Aug. 7 Aug. 10.
----------------------------------------------------------------------------------------------------------------
* States holding 2000 Senate elections.
\1\ This date indicates the end of the reporting period. A reporting period always begins the day after the
closing date of the last report filed. If the committee is new and has not previously filed a report, the
first report must cover all activity that occurred before the committee registered and, if applicable, before
the individual became a candidate.
\2\ Reports sent by registered or certified mail must be postmarked by the mailing date. Otherwise, they must be
received by the filing date.
\3\ The mailing date is the same as the filing date because the computed mail date would fall one day before the
primary was held.
\4\ Federal holiday. For registered/certified mailing date, the report should be postmarked before that date.
For filing date, the report should be received by the FEC the day before (or, in the case of Labor Day and
Memorial Day, the Friday before).
\5\ Saturday or Sunday. Because filing dates are not extended when they fall on nonworking days, the report
should be received by the appropriate filing offices the Friday before.
\6\ The July Quarterly report is waived for committees filing the Georgia pre-primary report. See 11 CFR
104.5(a)(1)(iii)(C) and (c)(1)(i)(C).
The United States Senate
One Hundred Sixth Congress
ALBERT GORE, Jr., Vice President
STROM THURMOND, President Pro Tempore
GARY SISCO, Secretary
JAMES ZIGLAR, Sergeant at Arms
ELIZABETH B. LETCHWORTH, Secretary for the Majority
MARTIN P. PAONE, Secretary for the Minority
DR. LLOYD J. OGILVIE, Chaplain
[Republicans in roman; Democrats in italic]
----------------------------------------------------------------------------------------------------------------
Name Residence Service from Term expires
----------------------------------------------------------------------------------------------------------------
Spencer Abraham................. Auburn Hills, MI................ Jan. 3, 1995 Jan. 3, 2001
Daniel K. Akaka................. Honolulu, HI.................... May 16, 1990 Jan. 3, 2001
Wayne Allard.................... Loveland, CO.................... Jan. 3, 1997 Jan. 3, 2003
John Ashcroft................... Ballwin, MO..................... Jan. 3, 1995 Jan. 3, 2001
Max Baucus...................... Missoula, MT.................... Dec. 15, 1978 Jan. 3, 2003
Evan Bayh....................... Indianapolis, IN................ Jan. 3, 1999 Jan. 3, 2005
Robert F. Bennett............... Salt Lake City, UT.............. Jan. 5, 1993 Jan. 3, 2005
Joseph R. Biden, Jr............. Hockessin, DE................... Jan. 3, 1973 Jan. 3, 2003
Jeff Bingaman................... Santa Fe, NM.................... Jan. 3, 1983 Jan. 3, 2001
Christopher S. Bond............. Mexico, MO...................... Jan. 3, 1987 Jan. 3, 2005
Barbara Boxer................... Greenbrae, CA................... Jan. 5, 1993 Jan. 3, 2005
John B. Breaux.................. Crowley, LA..................... Jan. 3, 1987 Jan. 3, 2005
Sam Brownback \1\............... Topeka, KS...................... Jan. 3, 1997 Jan. 3, 2005
Richard H. Bryan................ Las Vegas, NV................... Jan. 3, 1989 Jan. 3, 2001
Jim Bunning..................... Southgate, KY................... Jan. 3, 1999 Jan. 3, 2005
Conrad R. Burns................. Billings, MT.................... Jan. 3, 1989 Jan. 3, 2001
Robert C. Byrd.................. Sophia, WV...................... Jan. 3, 1959 Jan. 3, 2001
Ben Nighthorse Campbell......... Ignacio, CO..................... Jan. 5, 1993 Jan. 3, 2005
John H. Chafee \2\.............. Warwick, RI..................... Dec. 29, 1976 Jan. 3, 2001
Lincoln D. Chafee \3\........... Warwick, RI..................... Nov 4, 1999 Jan. 3, 2001
Max Cleland..................... Lithonia, GA.................... Jan. 3, 1997 Jan. 3, 2003
Thad Cochran.................... Jackson, MS..................... Dec. 27, 1978 Jan. 3, 2003
Susan Collins................... Bangor, ME...................... Jan. 3, 1997 Jan. 3, 2003
Kent Conrad..................... Bismarck, ND.................... Jan. 3, 1987 Jan. 3, 2001
Paul Coverdell.................. Atlanta, GA..................... Jan. 5, 1993 Jan. 3, 2005
Larry E. Craig.................. Boise, ID....................... Jan. 3, 1991 Jan. 3, 2003
Michael D. Crapo................ Idaho Falls, ID................. Jan. 3, 1999 Jan. 3, 2005
Thomas A. Daschle............... Aberdeen, SD.................... Jan. 3, 1987 Jan. 3, 2005
Mike DeWine..................... Cedarville, OH.................. Jan. 3, 1995 Jan. 3, 2001
Christopher J. Dodd............. Norwich, CT..................... Jan. 3, 1981 Jan. 3, 2005
Pete V. Domenici................ Albuquerque, NM................. Jan. 3, 1973 Jan. 3, 2003
Byron L. Dorgan................. Bismarck, ND.................... Jan. 5, 1993 Jan. 3, 2005
Richard Durbin.................. Springfield, IL................. Jan. 3, 1997 Jan. 3, 2003
John Edwards.................... Raleigh, NC..................... Jan. 3, 1999 Jan. 3, 2005
Michael B. Enzi................. Gillette, WY.................... Jan. 3, 1997 Jan. 3, 2003
Russell D. Feingold............. Middleton, WI................... Jan. 5, 1993 Jan. 3, 2005
Dianne Feinstein................ San Francisco, CA............... Nov. 10, 1992 Jan. 3, 2001
Peter G. Fitzgerald............. Inverness, IL................... Jan. 3, 1999 Jan. 3, 2005
William H. Frist................ Nashville, TN................... Jan. 3, 1995 Jan. 3, 2001
Slade Gorton.................... Seattle, WA..................... Jan. 3, 1981 Jan. 3, 2001
Bob Graham...................... Miami Lakes, FL................. Jan. 3, 1987 Jan. 3, 2005
Phil Gramm...................... College Station, TX............. Jan. 3, 1985 Jan. 3, 2003
Rod Grams....................... Ramsey, MN...................... Jan. 3, 1995 Jan. 3, 2001
Charles E. Grassley............. New Hartford, IA................ Jan. 3, 1981 Jan. 3, 2005
Judd Gregg...................... Greenfield, NH.................. Jan. 5, 1993 Jan. 3, 2005
Chuck Hagel..................... Omaha, NE....................... Jan. 3, 1997 Jan. 3, 2003
Tom Harkin...................... Cumming, IA..................... Jan. 3, 1985 Jan. 3, 2003
Orrin G. Hatch.................. Salt Lake City, UT.............. Jan. 3, 1977 Jan. 3, 2001
Jesse Helms..................... Raleigh, NC..................... Jan. 3, 1973 Jan. 3, 2003
Ernest F. Hollings.............. Charleston, SC.................. Nov. 9, 1966 Jan. 3, 2005
Tim Hutchinson.................. Bentonville, AR................. Jan. 3, 1997 Jan. 3, 2003
Kay Bailey Hutchison............ Dallas, TX...................... June 14, 1993 Jan. 3, 2001
James M. Inhofe................. Tulsa, OK....................... Nov. 16, 1994 Jan. 3, 2003
Daniel K. Inouye................ Honolulu, HI.................... Jan. 3, 1963 Jan. 3, 2005
James M. Jeffords............... Shrewsbury, VT.................. Jan. 3, 1989 Jan. 3, 2001
Tim Johnson..................... Vermillion, SD.................. Jan. 3, 1997 Jan. 3, 2003
Edward M. Kennedy............... Boston, MA...................... Nov. 7, 1962 Jan. 3, 2001
J. Robert Kerrey................ Omaha, NE....................... Jan. 3, 1989 Jan. 3, 2001
John F. Kerry................... Boston, MA...................... Jan. 2, 1985 Jan. 3, 2003
Herbert Kohl.................... Milwaukee, WI................... Jan. 3, 1989 Jan. 3, 2001
Jon Kyl......................... Phoenix, AZ..................... Jan. 3, 1995 Jan. 3, 2001
Mary L. Landrieu................ New Orleans, LA................. Jan. 3, 1997 Jan. 3, 2003
Frank R. Lautenberg............. Clifford, NJ.................... Dec. 27, 1982 Jan. 3, 2001
Patrick J. Leahy................ Burlington, VT.................. Jan. 3, 1975 Jan. 3, 2005
Carl Levin...................... Detroit, MI..................... Jan. 3, 1979 Jan. 3, 2003
Joseph I. Lieberman............. New Haven, CT................... Jan. 3, 1989 Jan. 3, 2001
Blanche L. Lincoln.............. Hughes, AR...................... Jan. 3, 1999 Jan. 3, 2005
Trent Lott...................... Pascagoula, MS.................. Jan. 3, 1989 Jan. 3, 2001
Richard G. Lugar................ Indianapolis, IN................ Jan. 3, 1977 Jan. 3, 2001
Connie Mack..................... Cape Coral, FL.................. Jan. 3, 1989 Jan. 3, 2001
John S. McCain.................. Phoenix, AZ..................... Jan. 3, 1987 Jan. 3, 2005
Mitch McConnell................. Louisville, KY.................. Jan. 3, 1985 Jan. 3, 2003
Barbara A. Mikulski............. Baltimore, MD................... Jan. 3, 1987 Jan. 3, 2005
Daniel Patrick Moynihan......... Oneonta, NY..................... Jan. 3, 1977 Jan. 3, 2001
Frank H. Murkowski.............. Fairbanks, AK................... Jan. 3, 1981 Jan. 3, 2005
Patty Murray.................... Seattle, WA..................... Jan. 5, 1993 Jan. 3, 2005
Don Nickles..................... Ponca City, OK.................. Jan. 3, 1981 Jan. 3, 2005
Jack Reed....................... Cranston, RI.................... Jan. 3, 1997 Jan. 3, 2003
Harry Reid...................... Las Vegas, NV................... Jan. 3, 1987 Jan. 3, 2005
Charles S. Robb................. McLean, VA...................... Jan. 3, 1989 Jan. 3, 2001
Pat Roberts..................... Dodge City, KS.................. Jan. 3, 1997 Jan. 3, 2003
John D. Rockefeller IV.......... Charleston, WV.................. Jan. 15, 1985 Jan. 3, 2003
William V. Roth, Jr............. Wilmington, DE.................. Jan. 1, 1971 Jan. 3, 2001
Rick Santorum................... Pittsburgh, PA.................. Jan. 3, 1995 Jan. 3, 2001
Paul S. Sarbanes................ Baltimore, MD................... Jan. 3, 1977 Jan. 3, 2001
Charles E. Schumer.............. Brooklyn, NY.................... Jan. 3, 1999 Jan. 3, 2005
Jeff Sessions................... Mobile, AL...................... Jan. 3, 1997 Jan. 3, 2003
Richard C. Shelby............... Tuscaloosa, AL.................. Jan. 3, 1987 Jan. 3, 2005
Bob Smith....................... Tuftonboro, NH.................. Dec. 7, 1990 Jan. 3, 2003
Gordon H. Smith................. Pendleton, OR................... Jan. 3, 1997 Jan. 3, 2003
Olympia J. Snowe................ Auburn, ME...................... Jan. 3, 1995 Jan. 3, 2001
Arlen Specter................... Philadelphia, PA................ Jan. 3, 1981 Jan. 3, 2005
Ted Stevens..................... Anchorage, AK................... Dec. 24, 1968 Jan. 3, 2003
Craig Thomas.................... Casper, WY...................... Jan. 3, 1995 Jan. 3, 2001
Fred Thompson................... Nashville, TN................... Dec. 2, 1994 Jan. 3, 2003
Strom Thurmond.................. Aiken, SC....................... Nov. 7, 1956 Jan. 3, 2003
Robert Torricelli............... Englewood, NJ................... Jan. 3, 1997 Jan. 3, 2003
George V. Voinovich............. Cleveland, OH................... Jan. 3, 1999 Jan. 3, 2005
John W. Warner.................. Middleburg, VA.................. Jan. 2, 1979 Jan. 3, 2003
Paul D. Wellstone............... Northfield, MN.................. Jan. 3, 1991 Jan. 3, 2003
Ron Wyden \4\................... Portland, OR.................... Feb. 6, 1996 Jan. 3, 2005
----------------------------------------------------------------------------------------------------------------
\1\ Elected Nov. 5, 1996 to fill unexpired term. \2\ Deceased Oct. 24, 1999. \3\ Apointed to fill
unexpired term Nov. 4, 1999. \4\ Elected Jan. 30, 1996 to fill unexpired term.
SENATORS IN THE ONE HUNDRED SIXTH CONGRESS
2001
class 1
Democrats (14):
Akaka, Daniel K.........................................Honolulu, HI
Bingaman, Jeff..........................................Santa Fe, NM
Bryan, Richard H.......................................Las Vegas, NV
Byrd, Robert C............................................Sophia, WV
Conrad, Kent............................................Bismarck, ND
Feinstein, Dianne..................................San Francisco, CA
Kennedy, Edward M.........................................Boston, MA
Kerrey, J. Robert..........................................Omaha, NE
Kohl, Herb.............................................Milwaukee, WI
Lautenberg, Frank R.....................................Clifford, NJ
Lieberman, Joseph I....................................New Haven, CT
Moynihan, Daniel Patrick.................................Oneonta, NY
Robb, Charles S...........................................McLean, VA
Sarbanes, Paul S.......................................Baltimore, MD
Republicans (19):
Abraham, Spencer....................................Auburn Hills, MI
Ashcroft, John...........................................Ballwin, MO
Burns, Conrad R.........................................Billings, MT
Chafee, John H \1\.......................................Warwick, RI
Chafee, Lincoln D........................................Warwick, RI
DeWine, Mike..........................................Cedarville, OH
Frist, William H.......................................Nashville, TN
Gorton, Slade............................................Seattle, WA
Grams, Rod................................................Ramsey, MN
Hatch, Orrin G....................................Salt Lake City, UT
Hutchison, Kay Bailey.....................................Dallas, TX
Jeffords, James M.....................................Shrewsbury, VT
Kyl, Jon.................................................Phoenix, AZ
Lott, Trent...........................................Pascagoula, MS
Lugar, Richard G....................................Indianapolis, IN
Mack, Connie..........................................Cape Coral, FL
Roth, William V., Jr..................................Wilmington, DE
Santorum, Rick........................................Pittsburgh, PA
Snowe, Olympia J..........................................Auburn, ME
Thomas, Craig.............................................Casper, WY
2003
class 2
Democrats (13):
Baucus, Max.............................................Missoula, MT
Biden, Joseph R., Jr...................................Hockessin, DE
Cleland, Max............................................Lithonia, GA
Durbin, Richard......................................Springfield, IL
Harkin, Tom..............................................Cumming, IA
Johnson, Tim..........................................Vermillion, SD
Kerry, John F.............................................Boston, MA
Landrieu, Mary L.....................................New Orleans, LA
Levin, Carl..............................................Detroit, MI
Reed, Jack..............................................Cranston, RI
Rockefeller, John D., IV..............................Charleston, WV
Torricelli, Robert G...................................Englewood, NJ
Wellstone, Paul.......................................Northfield, MN
Republicans (20):
Allard, Wayne...........................................Loveland, CO
Cochran, Thad............................................Jackson, MS
Collins, Susan M..........................................Bangor, ME
Craig, Larry E.............................................Boise, ID
Domenici, Pete V.....................................Albuquerque, NM
Enzi, Michael B.........................................Gillette, WY
Gramm, Phil......................................College Station, TX
Hagel, Chuck...............................................Omaha, NE
Helms, Jesse.............................................Raleigh, NC
Hutchinson, Tim......................................Bentonville, AR
Inhofe, James M............................................Tulsa, OK
McConnell, Mitch......................................Louisville, KY
Roberts, Pat..........................................Dodge City, KS
Sessions, Jeff............................................Mobile, AL
Smith, Bob............................................Tuftonboro, NH
Smith, Gordon H........................................Pendleton, OR
Stevens, Ted...........................................Anchorage, AK
Thompson, Fred.........................................Nashville, TN
Thurmond, Strom............................................Aiken, SC
Warner, John W........................................Middleburg, VA
2005
class 3
Democrats (18):
Bayh, Evan..........................................Indianapolis, IN
Boxer, Barbara.........................................Greenbrae, CA
Breaux, John B...........................................Crowley, LA
Daschle, Thomas A.......................................Aberdeen, SD
Dodd, Christopher J......................................Norwich, CT
Dorgan, Byron L.........................................Bismarck, ND
Edwards, John............................................Raleigh, NC
Feingold, Russell D....................................Middleton, WI
Graham, Bob..........................................Miami Lakes, FL
Hollings, Ernest F....................................Charleston, SC
Inouye, Daniel K........................................Honolulu, HI
Leahy, Patrick J......................................Burlington, VT
Lincoln, Blanche L........................................Hughes, AR
Mikulski, Barbara A....................................Baltimore, MD
Murray, Patty............................................Seattle, WA
Reid, Harry............................................Las Vegas, NV
Schumer, Charles E......................................Brooklyn, NY
Wyden, Ron..............................................Portland, OR
Republicans (16):
Bennett, Robert F.................................Salt Lake City, UT
Bond, Christopher S.......................................Mexico, MO
Brownback, Sam............................................Topeka, KS
Bunning, Jim...........................................Southgate, KY
Campbell, Ben Nighthorse.................................Ignacio, CO
Coverdell, Paul..........................................Atlanta, GA
Crapo, Michael D.....................................Idaho Falls, ID
Fitzgerald, Peter G....................................Inverness, IL
Grassley, Charles E.................................New Hartford, IA
Gregg, Judd...........................................Greenfield, NH
McCain, John S...........................................Phoenix, AZ
Murkowski, Frank H.....................................Fairbanks, AK
Nickles, Don..........................................Ponca City, OK
Shelby, Richard C.....................................Tuscaloosa, AL
Specter, Arlen......................................Philadelphia, PA
Voinovich, George V....................................Cleveland, OH
democrats
2001.............................................................. 14
2003.............................................................. 13
2005.............................................................. 18
______
Total........................................................... 45
republicans
2001.............................................................. 19
2003.............................................................. 20
2005.............................................................. 16
______
Total........................................................... 55
totals
Republicans....................................................... 55
Democrats......................................................... 45
______
Total........................................................... 100
\1\ Deceased Oct. 24, 1999.
\2\Apointed to fill unexpired term Nov. 4, 1999.
=======================================================================
PART I
CONSTITUTIONAL AND FEDERAL STATUTORY PROVISIONS AND OTHER RELATED
MATERIALS REGULATING THE NOMINATIONS AND ELECTIONS OF UNITED STATES
SENATORS
=======================================================================
A. FEDERAL CONSTITUTIONAL PROVISIONS RELATING TO THE ELECTIONS OF
SENATORS
Composition of Senate
The Senate of the United States shall be composed of two
Senators from each State, elected by the people thereof, for
six years; and each Senator shall have one vote. The electors
in each State shall have the qualifications requisite for
electors of the most numerous branch of the State legislatures.
(Amendment XVII.)
Vacancies
When vacancies happen in the representation of any State in
the Senate, the executive authority of such State shall issue
writs of election to fill such vacancies: Provided, That the
legislature of any State may empower the executive thereof to
make temporary appointments until the people fill the vacancies
by election as the legislature may direct. (Amendment XVII, cl.
2.)
Qualifications
No person shall be a Senator who shall not have attained to
the age of thirty years, and been nine years a citizen of the
United States, and who shall not, when elected, be an
inhabitant of that State for which he shall be chosen. (Art. 1,
Sec. 3, cl. 3.)
No person shall be a Senator or Representative in Congress,
. . . who, having previously taken an oath, as a member of
Congress, or as an officer of the United States, or as a member
of any State legislature, or as an executive or judicial of any
state, to support the Constitution of the United States, shall
have engaged in insurrection or rebellion against the same, or
given aid or comfort to the enemies thereof. But Congress may,
by a vote of two-thirds of each House, remove such disability.
(Amendment XIV, Sec. 3.)
Conduct of Elections
The times, places, and manner of holding elections for
Senators and Representatives, shall be prescribed in each State
by the legislature thereof; but the Congress may at any time by
law make or alter such regulations, except as to the places of
choosing Senators. (Art. 1, Sec. 4, cl. 1.)
Each House shall be the judge of the elections, returns,
and qualifications of its own members, and a majority of each
shall constitute a quorum to do business. (Art. 1, Sec. 5, cl.
1.)
Dual Office Holding
No Senator or Representative, shall, during the time for
which he was elected, be appointed to any civil office under
the authority of the United States, which shall have been
created, or the emoluments whereof shall have been increased
during such time; and no person holding any office under the
United States, shall be a Member of either House during his
continuance in office. (Art. 1, Sec. 6, cl. 2.)
No Senator or Representative, . . . shall be appointed an
Elector. (Art. 2, Sec. 1, cl. 2.)
The terms of the President and Vice President shall end at
noon on the 20th day of January, and the terms of Senators and
Representatives at noon on the 3d day of January, of the years
in which such terms would have ended if this article had not
been ratified; and the terms of their successors shall then
begin. (Amendment XX, Sec. 1.)
Ban on Poll Tax
The right of citizens of the United States to vote in any
primary or other election for President or Vice President, for
electors for President or Vice President, or for Senator or
Representative in Congress shall not be denied or abridged by
the United States or any State by reason of failure to pay any
poll tax or other tax. (Amendment XXIV, Sec. 1.)
Eighteen Year Old Vote
The right of citizens of the United States, who are
eighteen years of age or older, to vote shall not be denied or
abridged by the United States or by any State on account of
age. (Amendment XXVI, Sec. 1.)
Pay of Senators
No law, varying the compensation for the services of the
Senators and Representatives, shall take effect, until an
election of Representatives shall have intervened. (Amendment
XXVII.)
B. SELECTED LAWS RELATING TO THE ELECTIONS OF SENATORS (TITLE 2, UNITED
STATES CODE)
----------
CHAPTER 1--ELECTION OF SENATORS AND REPRESENTATIVES
2 U.S.C. Sec. 1. Time for Election of Senators
At the regular election held in any State next preceding
the expiration of the term for which any Senator was elected to
represent such State in Congress, at which election a
Representative to Congress is regularly by law to be chosen, a
United States Senator from said State shall be elected by the
people thereof for the term commencing on the 3d day of January
next thereafter.
June 4, 1914, ch. 103, Sec. 1, 38 Stat. 384; June 5, 1934, ch.
390, Sec. 3, 48 Stat. 879.
2 U.S.C. Sec. 1a. Election To Be Certified by Governor
It shall be the duty of the executive of the State from
which any Senator has been chosen to certify his election,
under the seal of the State, to the President of the Senate of
the United States.
R.S. Sec. 18. See form suggested by Senate Rule II, infra.
2 U.S.C. Sec. 1b. Countersignature of Certificate of Election
The certificate mentioned in section 1a of this title shall
be countersigned by the Secretary of State of the State.
R.S. Sec. 19.
2 U.S.C. Sec. 7. Time of Election
The Tuesday next after the 1st Monday in November, in every
even numbered year, is established as the day for the election,
in each of the States and Territories of the United States, of
Representatives and Delegates to the Congress commencing on the
3d day of January, next thereafter.
R.S. Sec. 25; Mar. 3, 1875, ch. 130, Sec. 6, 18 Stat. 400; June
5, 1934, ch. 390, Sec. 2, 48 Stat. 879.
2 U.S.C. Sec. 8. Vacancies
The time for holding elections in any State, district, or
territory for a Representative or Delegate to fill a vacancy,
whether such vacancy is caused by a failure to elect at the
time prescribed by law, or by the death, resignation, or
incapacity of a person elected, may be prescribed by the laws
of the several States and territories respectively.
R.S. Sec. 26.
CHAPTER 2--ORGANIZATION OF CONGRESS (OATH OF OFFICE)
2 U.S.C. Sec. 21. Oath of Senators
The oath of office shall be administered by the President
of the Senate to each Senator who shall be elected, previous to
his taking his seat.
R.S. Sec. 28.
2. U.S.C. Sec. 22. Oath of President of Senate
When a President of the Senate has not taken the oath of
office, it shall be administered to him by any Member of the
Senate.
R.S. Sec. 29.
2 U.S.C. Sec. 23. Presiding Officer of Senate May Administer Oaths
The presiding officer, for the time being, of the Senate of
the United States, shall have power to administer all oaths and
affirmations that are or may be required by the Constitution,
or by law, to be taken by any Senator, officer of the Senate,
witness, or other person, in respect to any matter within the
jurisdiction of the Senate.
Apr. 18, 1876, ch. 66, Sec. 1, 19 Stat. 34.
2 U.S.C. Sec. 24. Secretary of Senate or Assistant Secretary May
Administer Oaths
The Secretary of the Senate, and the Assistant Secretary
thereof, shall, respectively, have power to administer any oath
or affirmation required by law, or by the rules or orders of
the Senate, to be taken by any officer of the Senate, and to
any witness produced before it.
(Apr. 18, 1876, c. 66, Sec. 2, 19 Stat. 34; July 9, 1971,
Pub.L. 92-51, 85 Stat. 125).
CHAPTER 3--COMPENSATION AND ALLOWANCES OF MEMBERS
2 U.S.C. Sec. 33. Senators' Salaries
Senators elected, whose term of office begins on the 3d day
of January, and whose credentials in due form of law shall have
been presented in the Senate, may receive their compensation,
from the beginning of their term.
June 19, 1934, ch. 648, Title I, Sec. 1, 48 Stat. 1022; Oct. 1,
1981, Pub.L. 97-51, Sec. 112(b)(2), 95 Stat. 963.
2 U.S.C. Sec. 36. Salaries of Senators
Salaries of Senators appointed to fill vacancies in the
Senate shall commence on the day of their appointment and
continue until their successors are elected and qualified:
Provided, That when Senators have been elected during a sine
die adjournment of the Senate to succeed appointees, the
salaries of Senators so elected shall commence on the day
following their election.
Salaries of Senators elected during a session to succeed
appointees shall commence on the day they qualify: Provided,
That when Senators have been elected during a session to
succeed appointees, but have not qualified, the salaries of
Senators so elected shall commence on the day following the
sine die adjournment of the Senate.
When no appointments have been made the salaries of
Senators elected to fill such vacancies shall commence on the
day following their election.
Feb. 10, 1923, ch. 68, 42 Stat. 1225; Feb. 6, 1931, ch. 111, 46
Stat. 1065, June 19, 1934, ch. 648, Title I,
Sec. 1, 48 Stat. 1022; Feb. 13, 1935, ch. 6,
Sec. 1, 49 Stat. 22, 23.
2 U.S.C. Sec. 39. Deductions for absence
The Secretary of the Senate and the Chief Administrative
Officer of the House of Representatives (upon certification by
the Clerk of the House of Representatives), respectively, shall
deduct from the monthly payments (or other periodic payments
authorized by law) of each Member or Delegate the amount of his
salary for each day that he has been absent from the Senate or
House, respectively, unless such Member or Delegate assigns as
the reason for such absence the sickness of himself or of some
member of his family.
(R.S. Sec. 40; Pub.L. 97-51, Sec. 112(d), Oct. 1, 1981, 95
Stat. 963;
Pub.L. 104-186, Title II, Sec. 203(7), Aug. 20,
1996, 110 Stat. 1726.)
2 U.S.C. Sec. 40. Deductions for withdrawal
When any Member or Delegate withdraws from his seat and
does not return before the adjournment of Congress, he shall,
in addition to the sum deducted for each day, forfeit a sum
equal to the amount which would have been allowed by law for
his mileage in returning home; and such sum shall be deducted
from his compensation, unless the withdrawal is with the leave
of the Senate or House of Representatives respectively.
R.S. Sec. 41.
2 U.S.C. Sec. 40a. Deductions for delinquent indebtedness
Whenever a Representative, Delegate, or Resident
Commissioner, or a United States Senator, shall fail to pay any
sum or sums due from such person to the House of
Representatives or Senate, respectively, the appropriate
committee or officer of the House of Representatives or Senate,
as the case may be, having jurisdiction of the activity under
which such debt arose, shall certify such delinquent sum or
sums to the Chief Administrative Officer of the House of
Representatives in the case of an indebtedness to the House of
Representatives and to the Secretary of the Senate in the case
of an indebtedness to the Senate, and such latter officials are
authorized and directed, respectively, to deduct from any
salary, mileage, or expense money due to any such delinquent
such certified amounts or so much thereof as the balance or
balances due such delinquent may cover. Sums so deducted by the
Secretary of the Senate shall be disposed of by him in
accordance with existing law and sums so deducted by the Chief
Administrative Officer of the House of Representatives shall be
disposed of by him in accordance with existing law.
(June 19, 1934, c. 648, Title I, Sec. 1, 48 Stat. 1024; Aug.
20, 1996, Pub.L. 104-186, Title II, Sec. 203(8),
110 Stat. 1726.)
2 U.S.C. Sec. 43d. Organizational expenses of Senator-elect
(a) Appointment of employees by Secretary of Senate to
assist; termination of employment.
Upon the recommendation of a Senator-elect (other than an
incumbent Senator or a Senator elected to fill a vacancy), the
Secretary of the Senate shall appoint two employees to assist
such Senator-elect. Any employee so appointed shall serve
through the day before the date on which the Senator-elect
recommending his appointment commences his service as a
Senator, except that his employment may be terminated before
such day upon recommendation of such Senator-elect.
(b) Payment of salaries of appointed employees; funding;
maximum amount.
(1) Salaries of employees appointed under subsection (a) of
this section shall be paid from the appropriation for
``Administrative, Clerical, and Legislative Assistance to
Senators''.
(2) Salaries paid to employees appointed upon
recommendation of a Senator-elect under subsection (a) of this
section shall be charged against the amount of compensation
which may be paid to employees in his office under section 61-
1(d) of this title (hereinafter referred to as the ``clerk-hire
allowance''), for the fiscal year in which his service as a
Senator commences. The total amount of salaries paid to
employees so appointed upon recommendation of a Senator-elect
shall be charged against his clerk-hire allowance for each
month in such fiscal year beginning with the month in which his
service as a Senator commences (until the total amount has been
charged) by whichever of the following amounts is greater: (1)
one-ninth of the amount of salaries so paid, or (2) the amount
by which the aggregate amount of his clerk-hire allowance which
may be paid as of the close of such month under section 61-
1(d)(1)(B) of this title exceeds the aggregate amount of his
clerk-hire allowance actually paid as of the close of such
month.
(c) Payment of transportation and per diem expenses of
Senator-elect and appointed employees for one round trip from
home State to Washington, D.C. for business of impending
Congress; funding; maximum amount.
Each Senator-elect and each employee appointed under
subsection (a) of this section is authorized one round trip
from the home State of the Senator-elect to Washington, D.C.,
and return, for the purposes of attending conferences,
caucuses, or organizational meetings, or for any other official
business connected with the impending Congress. In addition,
each Senator-elect and each such employee is authorized per
diem for not more than seven days while en route to and from
Washington, D.C., and while in Washington, D.C. Such
transportation and per diem expenses shall be in the same
amounts as are payable to Senators and employees in the office
of a Senator under section 58(e) of this title, and shall be
paid from the contingent fund of the Senate upon itemized
vouchers certified by the Senator-elect concerned and approved
by the Secretary of the Senate.
(d) Payment of telegrams, telephone services, and
stationery expenses incurred by Senator-elect; funding; maximum
amount.
(1) Each Senator-elect is authorized to be reimbursed for
expenses incurred for telegrams, telephone services, and
stationery related to his position as Senator-elect in an
amount not exceeding one-twelfth of the total amount of
expenses authorized to be paid to or on behalf of a Senator
from the State which he will represent under section 58 of this
title. Reimbursement to a Senator-elect under this subsection
shall be paid from the contingent fund of the Senate upon
itemized vouchers certified by such Senator-elect and approved
by the Secretary of the Senate.
(2) Amounts reimbursed to a Senator-elect under this
subsection shall be charged against the amount of expenses
which are authorized to be paid to him or on his behalf under
section 58 of this title, for each of the twelve months
beginning with the month in which his service as a Senator
commences (until all of such amounts have been charged) by
whichever of the following amounts is greater: (1) one-twelfth
of the amounts so reimbursed, or (2) the amount by which the
aggregate amount authorized to be so paid under section 58(c)
of this title as of the close of such month exceeds the
aggregate amount actually paid under such section 58 as of the
close of such month.
(e) Effective date.
This section shall take effect on October 1, 1978.
Pub.L. 95-355, Title I, Sec. 105, Sept. 8, 1978, 92 Stat.
534; Pub. L. 104-197, Title I, Sec. 2, Sept. 16, 1996, 110
Stat. 2397.)
2 U.S.C. Sec. 46a-1. Senate revolving fund for stationery allowances;
availability of unexpended balances; withdrawals
There is established within the Contingent Fund of the
Senate a revolving fund which shall consist of (1) the
unexpended balance of the appropriation ``Contingent Expenses,
Senate, Stationery, fiscal year 1957'', (2) any amounts
hereafter appropriated for stationery allowances of the
President of the Senate, and for stationery for use of officers
of the Senate and the Conference of the Majority and the
Conference of the Minority of the Senate, and (3) any
undeposited amounts heretofore received, and any amounts
hereafter received as proceeds of sales by the stationery room
of the Senate. Any moneys in the fund shall be available until
expended for use in the same manner and for the same purposes
as funds heretofore appropriated to the Contingent Fund of the
Senate for stationery, except that (1) the balance of any
amount appropriated for stationery for use of committees and
officers of the Senate which remains unexpended at the end of
any fiscal year and (2) allowances which are not available for
obligation due to vacancies or waiver entitlement thereto,
shall be withdrawn from the revolving fund. Disbursements from
the fund shall be made upon vouchers approved by the Secretary
of the Senate, or his designee.
(Pub.L. 85-58, Ch. XI, June 21, 1957, 71 Stat. 188; Pub.L.
92-607, Ch. V, Sec. 506(l), formerly Sec. 506(i), Oct. 31,
1972, 86 Stat. 1508, renumbered Sec. 506(j), Pub.L. 95-391,
Title I, Sec. 108(a), Sept. 30, 1978, 92 Stat. 773, renumbered
Sec. 506(k) and amended Pub.L. 96-304, Title I, Sec. Sec. 101.
112(b)(3), July 8, 1980, 96 Stat. 889, 892, renumbered
Sec. 506(l), Pub.L. 97-276, Sec. 101(e), Oct. 2, 1982, 96 Stat.
1189, Pub.L. 105-55, Title I, Sec. 7, Oct. 7, 1997, 111 Stat.
1181.)
C. CAMPAIGN FINANCING, REPORTING, AND DISCLOSURE (TITLE 2, UNITED
STATES CODE)
----------
FEDERAL ELECTION CAMPAIGN ACT
2 U.S.C. Sec. 431. Definitions
When used in this Act:
(1) The term ``election'' means--
(A) a general, special, primary, or runoff election;
(B) a convention or caucus of a political party which
has authority to nominate a candidate;
(C) a primary election held for the selection of
delegates to a national nominating convention of a
political party; and
(D) a primary election held for the expression of a
preference for the nomination of individuals for
election to the office of President.
(2) The term ``candidate'' means an individual who seeks
nomination for election, or election, to Federal office and,
for the purpose of this paragraph, an individual shall be
deemed to seek nomination for election, or election--
(A) if such individual has received contributions
aggregating in excess of $5,000 or has made
expenditures aggregating in excess of $5,000; or
(B) if such individual has given his or her consent
to another person to receive contributions or make
expenditures on behalf of such individual and if such
person has received such contributions aggregating in
excess of $5,000 or has made such expenditures
aggregating in excess of $5,000.
(3) The term ``Federal office'' means the office of
President or Vice President, or of Senator or Representative
in, or Delegate or Resident Commissioner to, the Congress.
(4) the term ``political committee'' means--
(A) any committee, club, association, or other group
of persons which receives contributions aggregating in
excess of $1,000 during a calendar year or which makes
expenditures aggregating in excess of $1,000 during a
calendar year; or
(B) any separate segregated fund established under
the provisions of sections 441(b) of this title; or
(C) any local committee of a political party which
receives contributions aggregating in excess of $5,000
during a calendar year, or makes payments exempted from
the definition of contribution or expenditure as
defined in paragraphs (8) and (9) of this Section
aggregating in excess of $5,000 during a calendar year,
or makes contributions aggregating in excess of $1,000
during a calendar year or makes expenditures
aggregating in excess of $1,000 during a calendar year.
(5) The term ``principal campaign committee'' means a
political committee designated and authorized by a candidate
under section 432(e)(1) of this title.
(6) The term ``authorized committee'' means the principal
campaign committee or any other political committee authorized
by a candidate under section 432(e)(1) of this title to receive
contributions or make expenditures on behalf of such candidate.
(7) The term ``connected organization'' means any
organization which is not a political committee but which
directly or indirectly establishes, administers, or financially
supports a political committee.
(8)(A) The term ``contribution'' includes--
(i) any gift, subscription, loan, advance, or deposit
of money or anything of value made by any person for
the purpose of influencing an election for Federal
office; or
(ii) the payment by any person of compensation for
the personal services of another person which are
rendered to a political committee without charge for
any purpose.
(B) The term ``contribution'' does not include--
(i) the value of services provided without
compensation by any individual who volunteers on behalf
of a candidate or political committee;
(ii) the use of real or personal property, including
a church or community room used on a regular basis by
members of a community for noncommercial purposes, and
the cost of invitations, food, and beverages,
voluntarily provided by an individual to any candidate
or any political committee of a political party in
rendering voluntary personal services on the
individual's residential premises or in the church or
community room for candidate-related or political
party-related activities, to the extent that the
cumulative value of such invitations, food, and
beverages provided by such individual on behalf of any
single candidate does not exceed $1,000 with respect to
any single election, and on behalf of all political
committees of a political party does not exceed $2,000
in any calendar year;
(iii) the sale of any food or beverage by a vendor
for use in any candidate's campaign or for use by or on
behalf of any political committee of a political party
at a charge less than the normal comparable charge, if
such charge is at least equal to the cost of such food
or beverage to the vendor, to the extent that the
cumulative value of such activity by such vendor on
behalf of any single candidate does not exceed $1,000
with respect to any single election, and on behalf of
all political committees of a political party does not
exceed $2,000 in any calendar year;
(iv) any unreimbursed payment for travel expenses
made by any individual on behalf of any candidate or
any political committee of a political party, to the
extent that the cumulative value of such activity by
such individual on behalf of any single candidate does
not exceed $1,000 with respect to any single election,
and on behalf of all political committees of a
political party does not exceed $2,000 in any calendar
year;
(v) the payment by a State or local committee of a
political party of the costs of preparation, display,
or mailing or other distribution incurred by such
committee with respect to a printed slate card or
sample ballot, or other printed listing, of 3 or more
candidates for any public office for which an election
is held in the State in which such committee is
organized, except that this clause shall not apply to
any cost incurred by such committee with respect to a
display of any such listing made on broadcasting
stations, or in newspapers, magazines, or similar types
of general public political advertising;
(vi) any payment made or obligation incurred by a
corporation or a labor organization which, under
section 441b(b) of this title, would not constitute an
expenditure by such corporation or labor organization;
(vii) any loan of money by a State bank, a federally
chartered depository institution, or a depository
institution the deposits or accounts of which are
insured by the Federal Deposit Insurance Corporation,
Federal Savings and Loan Insurance Corporation, or the
National Credit Union Administration, other than any
overdraft made with respect to a checking or savings
account, made in accordance with applicable law and in
the ordinary course of business, but such loan--
(I) shall be considered a loan by each
endorser or guarantor, in that proportion of
the unpaid balance that each endorser or
guarantor bears to the total number of
endorsers or guarantors;
(II) shall be made on a basis which assures
repayment, evidenced by a written instrument,
and subject to a due date or amortization
schedule; and
(III) shall bear the usual and customary
interest rate of the lending institution;
(viii) any gift, subscription, loan, advance, or
deposit of money or anything of value to a national or
a State committee of a political party specifically
designated to defray any cost for construction or
purchase of any office facility not acquired for the
purpose of influencing the election of any candidate in
any particular election for Federal office;
(ix) any legal or accounting services rendered to or
on behalf of--
(I) any political committee of a political
party if the person paying for such services is
the regular employer of the person rendering
such services and if such services are not
attributable to activities which directly
further the election of any designated
candidate to Federal office; or
(II) an authorized committee of a candidate
or any other political committee, if the person
paying for such services is the regular
employer of the individual rendering such
services and if such services are solely for
the purpose of ensuring compliance with this
Act or chapter 95 or chapter 96 of title 26,
but amounts paid or incurred by the regular employer
for such legal or accounting services shall be reported
in accordance with section 434(b) of this title by the
committee receiving such services;
(x) the payment by a State or local committee of a
political party of the costs of campaign materials
(such as pins, bumper stickers, handbills, brochures,
posters, tabloids, and yard signs) used by such
committee in connection with volunteer activities on
behalf of nominees of such party Provided, That--
(1) such payments are not for the costs of
campaign materials or activities used in
connection with any broadcasting, newspaper,
magazine, billboard, direct mail, or similar
type of general public communication or
political advertising;
(2) such payments are made from contributions
subject to the limitations and prohibitions of
this Act; and
(3) such payments are not made from
contributions designated to be spent on behalf
of a particular candidate or particular
candidates;
(xi) the payment by a candidate, for nomination or
election to any public office (including State or local
office), or authorized committee of a candidate, of the
costs of campaign materials which include information
on or reference to any other candidate and which are
used in connection with volunteer activities (including
pins, bumper stickers, handbills, brochures, posters,
and yard signs, but not including the use of
broadcasting, newspapers, magazines, billboards, direct
mail, or similar types of general public communication
or political advertising): Provided, That such payments
are made from contributions subject to the limitations
and prohibitions of this Act;
(xii) the payment by a State or local committee of a
political party of the costs of voter registration and
get-out-the-vote activities conducted by such committee
on behalf of nominees of such party for President and
Vice President: Provided, That--
(1) such payments are not for the costs of
campaign materials or activities used in
connection with any broadcasting, newspaper,
magazine, billboard, direct mail, or similar
type of general public communication or
political advertising;
(2) such payments are made from contributions
subject to the limitations and prohibitions of
this Act; and
(3) such payments are not made from
contributions designated to be spent on behalf
of a particular candidate or candidates:
(xiii) payments made by a candidate or the authorized
committee of a candidate as a condition of ballot
access and payments received by any political party
committee as a condition of ballot access; and
(xiv) any honorarium (within the meaning of section
441i of this title).
(9)(A) The term ``expenditure'' includes--
(i) any purchase, payment, distribution, loan,
advance, deposit, or gift of money or anything of
value, made by any person for the purpose of
influencing any election for Federal office; and
(ii) a written contract, promise, or agreement to
make an expenditure.
(B) The term ``expenditure'' does not include--
(i) any news story, commentary, or editorial
distributed through the facilities of any broadcasting
station, newspaper, magazine, or other periodical
publication, unless such facilities are owned or
controlled by any political party, political committee,
or candidate;
(ii) nonpartisan activity designed to encourage
individuals to vote or to register to vote;
(iii) any communication by any membership
organization or corporation to its members,
stockholders, or executive or administrative personnel,
if such membership organization or corporation is not
organized primarily for the purpose of influencing the
nomination for election, or election, of any individual
to Federal office, except that the costs incurred by a
membership organization (including a labor
organization) or by a corporation directly attributable
to a communication expressly advocating the election or
defeat of a clearly identified candidate (other than a
communication primarily devoted to subjects other than
the express advocacy of the election or defeat of a
clearly identified candidate), shall, if such costs
exceed $2,000 for any election, be reported to the
Commission in accordance with section 434(a)(4)(A)(i)
of this title and in accordance with section
434(a)(4)(A)(ii) of this title with respect to any
general election;
(iv) the payment by a State or local committee of a
political party of the costs of preparation, display,
or mailing or other distribution incurred by such
committee with respect to a printed slate card or
sample ballot, or other printed listing, of 3 or more
candidates for any public office for which an election
is held in the State in which such committee is
organized, except that this clause shall not apply to
costs incurred by such committee with respect to a
display of any such listing made on broadcasting
stations, or in newspapers, magazines, or similar types
of general public political advertising;
(v) any payment made or obligation incurred by a
corporation or a labor organization which, under
section 441b(b) of this title, would not constitute an
expenditure by such corporation or labor organization;
(vi) any costs incurred by an authorized committee or
candidate in connection with the solicitation of
contributions on behalf of such candidate, except that
this clause shall not apply with respect to costs
incurred by an authorized committee of a candidate in
excess of an amount equal to 20 percent of the
expenditure limitation applicable to such candidate
under section 441a(b) but all such costs shall be
reported in accordance with section 434(b);
(vii) the payment of compensation for legal or
accounting services--
(I) rendered to or on behalf of any political
committee of a political party if the person
paying for such services is the regular
employer of the individual rendering such
services, and if such services are not
attributable to activities which directly
further the election of any designated
candidate to Federal office; or
(II) rendered to or on behalf of a candidate
or political committee if the person paying for
such services is the regular employer of the
individual rendering such services, and if such
services are solely for the purpose of ensuring
compliance with this Act or chapter 95 or
chapter 96 of title 26,
but amounts paid or incurred by the regular employer
for such legal or accounting services shall be reported
in accordance with section 434(b) by the committee
receiving such services;
(viii) the payment by a State or local committee of a
political party of the costs of campaign materials
(such as pins, bumper stickers, handbills, brochures,
posters, party tabloids, and yard signs) used by such
committee in connection with volunteer activities on
behalf of nominees of such party: Provided, That--
(1) such payments are not for the costs of
campaign materials or activities used in
connection with any broadcasting, newspaper,
magazine, billboard, direct mail, or similar
type of general public communication or
political advertising;
(2) such payments are made from contributions
subject to the limitations and prohibitions of
this Act; and
(3) such payments are not made from
contributions designated to be spent on behalf
of a particular candidate or particular
candidates;
(ix) the payment by a State or local committee of a
political party of the costs of voter registration and
get-out-the-vote activities conducted by such committee
on behalf of nominees of such party for President and
Vice President: Provided, That--
(1) such payments are not for the costs of
campaign materials or activities used in
connection with any broadcasting, newspaper,
magazine, billboard, direct mail, or similar
type of general public communication or
political advertising;
(2) such payments are made from contributions
subject to the limitations and prohibitions of
this Act; and
(3) such payments are not made from
contributions designated to be spent on behalf
of a particular candidate or candidates; and
(x) payments received by a political party committee
as a condition of ballot access which are transferred
to another political party committee or the appropriate
State official.
(10) The term ``Commission'' means the Federal Election
Commission.
(11) The term ``person'' includes an individual,
partnership, committee, association, corporation, labor
organization, or any other organization or group of persons,
but such term does not include the Federal Government or any
authority of the Federal Government.
(12) The term ``State'' means a State of the United States,
the District of Columbia, the Commonwealth of Puerto Rico, or a
territory or possession of the United States.
(13) The term ``identification'' means--
(A) in the case of any individual, the name, the
mailing address, and the occupation of such individual,
as well as the name of his or her employer; and
(B) in the case of any other person, the full name
and address of such person.
(14) The term ``national committee'' means the organization
which, by virtue of the bylaws of a political party, is
responsible for the day-to-day operation of such political
party at the national level, as determined by the Commission.
(15) The term ``State committee'' means the organization
which, by virtue of the bylaws of a political party, is
responsible for the day-to-day operation of such political
party at the State level, as determined by the Commission.
(16) The term ``political party'' means an association,
committee, or organization which nominates a candidate for
election to any Federal office whose name appears on the
election ballot as the candidate of such association,
committee, or organization.
(17) The term ``independent expenditure'' means an
expenditure by a person expressly advocating the election or
defeat of a clearly identified candidate which is made without
cooperation or consultation with any candidate, or any
authorized committee or agent of such candidate, and which is
not made in concert with, or at the request or suggestion of,
any candidate, or any authorized committee or agency of such
candidate.
(18) The term ``clearly identified'' means that--
(A) the name of the candidate involved appears;
(B) a photograph or drawing of the candidate appears;
or
(C) the identity of the candidate is apparent by
unambiguous reference.
(19) The term ``Act'' means the Federal Election Campaign
Act of 1971 as amended.
Pub.L. 92-225, Title III, Sec. 301, Feb. 7, 1972, 86 Stat. 11;
Pub.L. 93-443, Title II, Sec. Sec. 201(a), 208(c)(1), Oct. 15,
1974, 88 Stat. 1272, 1286; Pub.L. 94-283, Title I,
Sec. Sec. 102, 115(d), (h), May 11, 1976, 90 Stat. 478, 495,
496; Pub.L. 96-187, Title I, Sec. 101, Jan. 8, 1980, 93 Stat.
1339; Pub.L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.)
2 U.S.C. Sec. 432. Organization of political committees--Treasurer;
vacancy; official authorizations
(a) Every political committee shall have a treasurer. No
contribution or expenditure shall be accepted or made by or on
behalf of a political committee during any period in which the
office of treasurer is vacant. No expenditure shall be made for
or on behalf of a political committee without the authorization
of the treasurer or his or her designated agent.
Account of contributions; segregated funds
(b)(1) Every person who receives a contribution for an
authorized political committee shall, not later than 10 days
after receiving such contribution, forward to the treasurer
such contribution, and if the amount of the contribution is in
excess of $50 the name and address of the person making the
contribution and the date of receipt.
(2) Every person who receives a contribution for a
political committee which is not an authorized committee
shall--
(A) if the amount of the contribution is $50 or less,
forward to the treasurer such contribution no later
than 30 days after receiving the contribution; and
(B) if the amount of the contribution is in excess of
$50, forward to the treasurer such contribution, the
name and address of the person making the contribution,
and the date of receipt of the contribution, no later
than 10 days after receiving the contribution.
(3) All funds of a political committee shall be segregated
from, and may not be commingled with, the personal funds of any
individual.
Recordkeeping
(c) The treasurer of a political committee shall keep an
account of--
(1) all contributions received by or on behalf of
such political committee;
(2) the name and address of any person who makes any
contribution in excess of $50, together with the date
and amount of such contribution by any person;
(3) the identification of any person who makes a
contribution or contributions aggregating more than
$200 during a calendar year, together with the date and
amount of any such contribution;
(4) the identification of any political committee
which makes a contribution, together with the date and
amount of any such contribution; and
(5) the name and address of every person to whom any
disbursement is made, the date, amount, and purpose of
the disbursement, and the name of the candidate and the
office sought by the candidate, if any, for whom the
disbursement was made, including a receipt, invoice, or
canceled check for each disbursement in excess of $200.
Preservation of records and copies of reports
(d) The treasurer shall preserve all records required to be
kept by this section and copies of all reports required to be
filed by this subchapter for 3 years after the report is filed.
For any report filed in electronic format under section
434(a)(11) of this title, the treasurer shall retain a machine-
readable copy of the report as the copy preserved under the
preceding sentence.
principal and additional campaign committees; designations, status of
candidate, authorized committees, etc.
(e)(1) Each candidate for Federal office (other than the
nominee for the office of Vice President) shall designate in
writing a political committee in accordance with paragraph (3)
to serve as the principal campaign committee of such candidate.
Such designation shall be made no later than 15 days after
becoming a candidate. A candidate may designate additional
political committees in accordance with paragraph (3) to serve
as authorized committees of such candidate. Such designation
shall be in writing and filed with the principal campaign
committee of such candidate in accordance with subsection
(f)(1) of this section.
(2) Any candidate described in paragraph (1) who receives a
contribution, or any loan for use in connection with the
campaign of such candidate for election, or makes a
disbursement in connection with such campaign, shall be
considered, for purposes of this Act, as having received the
contribution or loan, or as having made the disbursement, as
the case may be, as an agent of the authorized committee or
committees of such candidate.
(3)(A) No political committee which supports or has
supported more than one candidate may be designated as an
authorized committee, except that--
(i) the candidate for the office of President
nominated by a political party may designate the
national committee of such political party as a
principal campaign committee, but only if that national
committee maintains separate books of account with
respect to its function as a principal campaign
committee; and
(ii) candidates may designate a political committee
established solely for the purpose of joint fundraising
by such candidates as an authorized committee.
(B) As used in this section, the term ``support'' does not
include a contribution by any authorized committee in amounts
of $1,000 or less to an authorized committee of any other
candidate.
(4) The name of each authorized committee shall include the
name of the candidate who authorized such committee under
paragraph (1). In the case of any political committee which is
not an authorized committee, such political committee shall not
include the name of any candidate in its name.
(5) The name of any separate segregated fund established
pursuant to section 441(b) shall include the name of its
connected organization.
Filing with and receipt of designations, statements, and reports by
principal campaign committees
(f)(1) Notwithstanding any other provision of this Act,
each designation, statement, or report of receipts or
disbursements made by an authorized committee of a candidate
shall be filed with the candidate's principal campaign
committee.
(2) Each principal campaign committee shall receive all
designations, statements, and reports required to be filed with
it under paragraph (1) and shall compile and file such
designations, statements, and reports in accordance with this
Act.
Filing with and receipt of designations, statements, and reports by
secretary of senate; forwarding to commission; filing requirements with
commission; public inspection and preservation of designations, etc.
(g)(1) Designations, statements, and reports required to be
filed under this Act by a candidate, for the office of Senator,
by the principal campaign committee of such a candidate, and by
the Republican and Democratic Senatorial Campaign Committees,
shall be filed with the Secretary of the Senate, who shall
receive such designations, statements, and reports, as
custodian for the Commission.
(2) The Secretary of the Senate shall forward a copy of any
designation, statement, or report filed with the Secretary
under this subsection to the Commission as soon as possible
(but no later than 2 working days) after receiving such
designation, statement, or report.
(3) All designations, statements, and reports required to
be filed under this Act, except designations, statements, and
reports filed in accordance with paragraph (1), shall be filed
with the Commission.
(4) The Secretary of the Senate shall make the
designations, statements, and reports received under this
subsection available for public inspection and copying in the
same manner as the Commission under section 438(a)(4) of this
title, and shall preserve such designations, statements, and
reports in the same manner as the Commission under section
438(a)(5) of this title.
Campaign depositories; designations, maintenance of accounts, etc.;
petty cash fund for disbursements; record of disbursements
(h)(1) Each political committee shall designate one or more
State banks, federally chartered depository institutions, or
depository institutions the deposits or accounts of which are
insured by the Federal Deposit Insurance Corporation, the
Federal Savings and Loan Insurance Corporation, or the National
Credit Union Administration, as its campaign depository or
depositories. Each political committee shall maintain at least
one checking account and such other accounts as the committee
determines at a depository designated by such committee. All
receipts received by such committee shall be deposited in such
accounts. No disbursements may be made (other than petty cash
disbursements under paragraph (2)) by such committee except by
check drawn on such accounts in accordance with this section.
(2) A political committee may maintain a petty cash fund
for disbursements not in excess of $100 to any person in
connection with a single purchase or transaction. A record of
all petty cash disbursements shall be maintained in accordance
with subsection (c)(5) of this section.
reports and records, compliance with requirements based on best efforts
(i) When the treasurer of a political committee shows that
best efforts have been used to obtain, maintain, and submit the
information required by this Act for the political committee,
any report or any records of such committee shall be considered
in compliance with this Act or chapter 95 or chapter 96 of
title 26.
Pub.L. 92-225, Title III, Sec. 302, Feb. 7, 1972, 86 Stat. 12;
Pub.L. 93-443, Title II, Sec. Sec. 202, 208(c)(2), Oct. 15,
1974, 88 Stat. 1275, 1286; Pub.L. 94-283, Title I, Sec. 103,
May 11, 1976, 90 Stat. 480; Pub.L. 96-187, Title I, Sec. 102,
Jan. 8, 1980, 93 Stat. 1345; Pub.L. 99-514, Sec. 2, Oct. 22,
1986, 100 Stat. 2095; Pub.L. 104-79, Sec. Sec. 1(b), 3(a), Dec.
28, 1995, 109 Stat. 791, 792; Pub. L. 105-61, Title VI,
Sec. 637, Oct. 10, 1997, 111 Stat. 1316.)
2 U.S.C. Sec. 433. Registration of political committees--Statements of
organizations
(a) Each authorized campaign committee shall file a
statement of organization not later than 10 days after
designation pursuant to section 432(e)(1). Each separate
segregated fund established under the provisions of section
441b(b) shall file a statement of organization no later than 10
days after establishment. All other committees shall file a
statement of organization within 10 days after becoming a
political committee within the meaning of section 431(4).
contents of statements
(b) The statement of organization of a political committee
shall include--
(1) the name, address, and type of committee;
(2) the name, address, relationship, and type of any
connected organization or affiliated committee;
(3) the name, address, and position of the custodian
of books and accounts of the committee;
(4) the name and address of the treasurer of the
committee;
(5) if the committee is authorized by a candidate,
the name, address, office sought, and party affiliation
of the candidate; and
(6) a listing of all banks, safety deposit boxes, or
other depositories used by the committee.
change of information in statements
(c) Any change in information previously submitted in a
statement of organization shall be reported in accordance with
section 432(g) no later than 10 days after the date of the
change.
termination, etc., requirements of authorities
(d)(1) A political committee may terminate only when such a
committee files a written statement, in accordance with section
432(g), that it will no longer receive any contributions or
make any disbursements and that such committee has no
outstanding debts or obligations.
(2) Nothing contained in this subsection may be construed
to eliminate or limit the authority of the Commission to
establish procedures for--
(A) the determination of insolvency with respect to
any political committee;
(B) the orderly liquidation of an insolvent political
committee, and the orderly application of its assets
for reduction of outstanding debts; and
(C) the termination of an insolvent political
committee after such liquidation and application of
assets.
Pub.L. 92-225, Title III, Sec. 303, Feb. 7, 1972, 86 Stat. 14;
Pub.L. 93-443, Title II, Sec. Sec. 203, 208(c)(3),
Oct. 15, 1974, 88 Stat. 1276, 1286; Pub.L. 96-187,
Title I, Sec. 103, Jan. 8, 1980, 93 Stat. 1347.
2 U.S.C. Sec. 434. Reporting requirements--Receipts and disbursements
by treasurers of political committees; filing
requirements
(a)(1) Each treasurer of a political committee shall file
reports of receipts and disbursements in accordance with the
provisions of this subsection. The treasurer shall sign each
such report.
(2) If the political committee is the principal campaign
committee of a candidate for the House of Representatives or
for the Senate--
(A) in any calendar year during which there is
regularly scheduled election for which such candidate
is seeking election, or nomination for election, the
treasurer shall file the following reports:
(i) a pre-election report, which shall be
filed no later than the 12th day before (or
posted by registered or certified mail no later
than the 15th day before) any election in which
such candidate is seeking election, or
nomination for election, and which shall be
complete as of the 20th day before such
election;
(ii) a post-general election report, which
shall be filed no later than the 30th day after
any general election in which such candidate
has sought election, and which shall be
complete as of the 20th day after such general
election; and
(iii) additional quarterly reports, which
shall be filed no later than the 15th day after
the last day of each calendar quarter, and
which shall be complete as of the last day of
each calendar quarter; except that the report
for the quarter ending December 31 shall be
filed no later than January 31 of the following
calendar year; and
(B) in any other calendar year the following reports
shall be filed:
(i) a report covering the period beginning
January 1 and ending June 30, which shall be
filed no later than July 31; and
(ii) a report covering the period beginning
July 1 and ending December 31, which shall be
filed no later than January 31 of the following
calendar year.
(3) If the committee is the principal campaign committee of
a candidate for the office of President--
(A) in any calendar year during which a general
election is held to fill such office--
(i) the treasurer shall file monthly reports
if such committee has on January 1 of such
year, received contributions aggregating
$100,000 or made expenditures aggregating
$100,000 or anticipates receiving contributions
aggregating $100,000 or more or making
expenditures aggregating $100,000 or more
during such year; such monthly reports shall be
filed no later than the 20th day after the last
day of each month and shall be complete as of
the last day of the month, except that, in lieu
of filing the report otherwise due in November
and December, a pre-general election report
shall be filed in accordance with paragraph
(2)(A)(i), a post-general election report shall
be field in accordance with paragraph
(2)(A)(ii), and a year end report shall be
filed no later than January 31 of the following
calendar year;
(ii) the treasurer of the other principal
campaign committees of a candidate for the
office of President shall file a pre-election
report or reports in accordance with paragraph
(2)(A)(i), a post-general election report in
accordance with paragraph (2)(A)(ii), and
quarterly reports in accordance with paragraph
(2)(A)(iii), and
(iii) if at any time during the election year
a committee filing under paragraph (3)(A)(ii)
receives contributions in excess of $100,000 or
makes expenditures in excess of $100,000 the
treasurer shall begin filing monthly reports
under paragraph (3)(A)(i) at the next reporting
period; and
(B) in any other calendar year, the treasurer shall
file either--
(i) monthly reports, which shall be filed no
later than the 20th day after the last day of
each month and shall be complete as of the last
day of the month; or
(ii) quarterly reports, which shall be filed
no later than the 15th day after the last day
of each calendar quarter and which shall be
complete as of the last day of each calendar
quarter.
(4) All political committees other than authorized
committees of a candidate shall file either--
(A)(i) quarterly reports, in a calendar year in which
a regularly scheduled general election is held, which
shall be filed no later than the 15th day after the
last day of each calendar quarter; except that the
report for the quarter ending on December 31 of such
calendar year shall be filed no later than January 31
of the following calendar year;
(ii) a pre-election report, which shall be filed no
later than the 12th day before (or posted by registered
or certified mail no later than the 15th day before)
any election in which the committee makes a
contribution to or expenditure on behalf of a candidate
in such election, and which shall be complete as of the
20th day before the election;
(iii) a post-general election report, which shall be
filed no later than the 30th day after the general
election and which shall be complete as of the 20th day
after such general election; and
(iv) in any other calendar year, a report covering
the period beginning January 1 and ending June 30,
which shall be filed no later than July 31 and a report
covering the period beginning July 1 and ending
December 31, which shall be filed no later than January
31 of the following calendar year; or
(B) monthly reports in all calendar years which shall
be filed no later than the 20th day after the last day
of the month and shall be complete as of the last day
of the month, except that, in lieu of filing the
reports otherwise due in November and December of any
year in which a regularly scheduled general election is
held, a pre-general election report shall be filed in
accordance with paragraph (2)(A)(i), a post-general
election report shall be filed in accordance with
paragraph (2)(A)(ii), and a year end report shall be
filed no later than January 31 of the following
calendar year.
(5) If a designation, report, or statement filed pursuant
to this Act (other than under paragraph (2)(A)(i) or
(4)(A)(ii)) is sent by registered or certified mail, the United
States postmark shall be considered the date of filing of the
designation, report, or statement.
(6)(A) The principal campaign committee of a candidate
shall notify the Secretary, or the Commission, and the
Secretary of State, as appropriate, in writing, of any
contribution of $1,000 or more received by any authorized
committee of such candidate after the 20th day, but more than
48 hours before, any election. This notification shall be made
within 48 hours after the receipt of such contribution and
shall include the name of the candidate and the office sought
by the candidate, the identification of the contributor, and
the date of receipt and amount of the contribution.
(B) The notification required under this paragraph shall be
in addition to all other reporting requirements under this Act.
(7) The reports required to be filed by this subsection
shall be cumulative during the calendar year to which they
relate, but where there has been no change in an item reported
in a previous report during such year, only the amount need be
carried forward.
(8) The requirements for a political committee to file a
quarterly report under paragraph (2)(A)(iii) or paragraph
(4)(A)(i) shall be waived if such committee is required to file
a pre-election report under paragraph (2)(A)(i), or paragraph
(4)(A)(ii) during the period beginning on the 5th day after the
close of the calendar quarter and ending on the 15th day after
the close of the calendar quarter.
(9) The Commission shall set filing dates for reports to be
filed by principal campaign committees of candidates seeking
election, or nomination for election, in special elections and
political committees filing under paragraph (4)(A) which make
contributions to or expenditures on behalf of a candidate or
candidates in special elections. The Commission shall require
no more than one pre-election report for each election and one
post-election report for the election which fills the vacancy.
The Commission may waive any reporting obligation of committees
required to file for special elections if any report required
by paragraph (2) or (4) is required to be filed within 10 days
of a report required under this subsection. The Commission
shall establish the reporting dates within 5 days of the
setting of such election and shall publish such dates and
notify the principal campaign committees of all candidates in
such election of the reporting dates.
(10) The treasurer of a committee supporting a candidate
for the office of Vice President (other than the nominee of a
political party) shall file reports in accordance with
paragraph (3).
(11)(A) The Commission shall permit reports required by
this Act to be filed and preserved by means of computer disk or
any other appropriate electronic format or method, as
determined by the Commission.
(B) In carrying out subparagraph (A) with respect to filing
of reports, the Commission shall provide for one or more
methods (other than requiring a signature on the report being
filed) for verifying reports filed by means of computer disk or
other electronic format or method. Any verification under the
preceding sentence shall be treated for all purposes (including
penalties for perjury) in the same manner as a verification by
signature.
(C) As used in this paragraph, the term ``report'' means,
respect to the Commission, a report, designation, or statement
required by this Act to be filed with the Commission.
contents of reports
(b) Each report under this section shall disclose--
(1) the amount of cash on hand at the beginning of
the reporting period;
(2) for the reporting period and the calendar year,
the total amount of all receipts, and the total amount
of all receipts in the following categories:
(A) contributions from persons other than
political committees;
(B) for an authorized committee,
contributions from the candidate;
(C) contributions from political party
committees;
(D) contributions from other political
committees;
(E) for an authorized committee, transfers
from other authorized committees of the same
candidate;
(F) transfers from affiliated committees and,
where the reporting committee is a political
party committee, transfers from other political
party committees, regardless of whether such
committees are affiliated;
(G) for an authorized committee, loans made
by or guaranteed by the candidate;
(H) all other loans;
(I) rebates, refunds, and other offsets to
operating expenditures;
(J) dividends, interest, and other forms of
receipts; and
(K) for an authorized committee of a
candidate for the office of President, Federal
funds received under chapter 95 and chapter 96
of title 26;
(3) the identification of each--
(A) person (other than a political committee)
who makes a contribution to the reporting
committee during the reporting period, whose
contribution or contributions have an aggregate
amount or value in excess of $200 within the
calendar year, or in any lesser amount if the
reporting committee should so elect, together
with the date and amount of any such
contribution;
(B) political committee which makes a
contribution to the reporting committee during
the reporting period, together with the date
and amount of any such contribution;
(C) authorized committee which makes a
transfer to the reporting committee;
(D) affiliated committee which makes a
transfer to the reporting committee during the
reporting period and, where the reporting
committee is a political party committee, each
transfer of funds to the reporting committee
from another political party committee,
regardless of whether such committees are
affiliated, together with the date and amount
of such transfer;
(E) person who makes a loan to the reporting
committee during the reporting period, together
with the identification of any endorser or
guarantor of such loan, and the date and amount
of value of such loan;
(F) person who provides a rebate, refund, or
other offset to operating expenditures to the
reporting committee in an aggregate amount or
value in excess of $200 within the calendar
year, together with the date and amount of such
receipt; and
(G) person who provides any dividend,
interest, or other receipt to the reporting
committee in an aggregate value or amount in
excess of $200 within the calendar year,
together with the date and amount of any such
receipt;
(4) for the reporting period and the calendar year,
the total amount of all disbursements, and all
disbursements in the following categories:
(A) expenditures made to meet candidate or
committee operating expenses;
(B) for authorized committees, transfers to
other committees authorized by the same
candidate;
(C) transfers to affiliated committees and,
where the reporting committee is a political
party committee, transfers to other political
party committees, regardless of whether they
are affiliated;
(D) for an authorized committee, repayment of
loans made by or guaranteed by the candidate;
(E) repayment of all other loans;
(F) contribution refunds and other offsets to
contributions;
(G) for an authorized committee, any other
disbursements;
(H) for any political committee other than an
authorized committee--
(i) contributions made to other
political committees;
(ii) loans made by the reporting
committees;
(iii) independent expenditures;
(iv) expenditures made under section
441a(d) of this title, and
(v) any other disbursements; and
(I) for an authorized committee of a
candidate for the office of President,
disbursements not subject to the limitation of
section 441a(b);
(5) the name and address of each--
(A) person to whom an expenditure in an
aggregate amount or value in excess of $200
within the calendar year is made by the
reporting committee to meet a candidate or
committee operating expense, together with the
date, amount, and purpose of such operating
expenditure;
(B) authorized committee to which a transfer
is made by the reporting committee;
(C) affiliated committee to which a transfer
is made by the reporting committee during the
reporting period and, where the reporting
committee is a political party committee, each
transfer of funds by the reporting committee to
another political party committee, regardless
of whether such committees are affiliated,
together with the date and amount of such
transfers;
(D) person who receives a loan repayment from
the reporting committee during the reporting
period, together with the date and amount of
such loan repayment; and
(E) person who receives a contribution refund
or other offset to contributions from the
reporting committee where such contribution was
reported under paragraph (3)(A) of this
subsection together with the date and amount of
such disbursement;
(6)(A) for an authorized committee, the name and
address of each person who has received any
disbursement not disclosed under paragraph (5) in an
aggregate amount or value in excess of $200 within the
calendar year, together with the date and amount of any
such disbursement;
(B) for any other political committee, the name and
address of each--
(i) political committee which has received a
contribution from the reporting committee
during the reporting period, together with the
date and amount of any such contribution;
(ii) person who has received a loan from the
reporting committee during the reporting
period, together with the date and amount of
such loan;
(iii) person who receives any disbursement
during the reporting period in an aggregate
amount or value in excess of $200 within the
calendar year in connection with an independent
expenditure by the reporting committee,
together with the date, amount, and purpose of
any such independent expenditure and a
statement which indicates whether such
independent expenditure is in support of, or in
opposition to, a candidate, as well as the name
and office sought by such candidate, and a
certification, under penalty of perjury,
whether such independent expenditure is made in
cooperation, consultation, or concert with, or
at the request or suggestion of, any candidate
or any authorized committee or agent of such
committee;
(iv) person who receives any expenditure from
the reporting committee during the reporting
period in connection with an expenditure under
section 441a(d) of this title, together with
the date, amount, and purpose of any such
expenditure as well as the name of, and office
sought by, the candidate on whose behalf the
expenditure is made; and
(v) person who has received any disbursement
not otherwise disclosed in this paragraph or
paragraph (5) in an aggregate amount or value
in excess of $200 within the calendar year from
the reporting committee within the reporting
period together with the date, amount, and
purpose of any such disbursement;
(7) the total sum of all contributions to such
political committee, together with the total
contributions less offsets to contributions and the
total sum of all operating expenditures made by such
political committee, together with total operating
expenditures less offsets to operating expenditures,
for both the reporting period and the calendar year;
and
(8) the amount and nature of outstanding debts and
obligations owed by or to such political committee; and
where such debts and obligations are settled for less
than their reported amount or value, a statement as to
the circumstances and conditions under which such debts
or obligations were extinguished and the consideration
therefor.
Statements by Other than Political Committees; Filing; Contents;
Indices of Expenditures
(c)(1) Every person (other than a political committee) who
makes independent expenditures in an aggregate amount or value
in excess of $250 during a calendar year shall file a statement
containing the information required under subsection (b)(3)(A)
of this section for all contributions received by such person.
(2) Statements required to be filed by this subsection
shall be filed in accordance with subsection (a)(2) of this
section, and shall include--
(A) the information required by subsection
(b)(6)(B)(iii) of this section, indicating whether the
independent expenditure is in support of, or in
opposition to, the candidate involved;
(B) under penalty of perjury, a certification whether
or not such independent expenditure is made in
cooperation, consultation, or concert with, or at the
request or suggestion of any candidate or any
authorized committee or agent of such candidate; and
(C) the identification of each person who made a
contribution in excess of $200 to the person filing
such statement which was made for the purpose of
furthering an independent expenditure.
Any independent expenditure (including those described in
subsection (b)(6)(B)(iii) of this section), aggregating $1,000
or more made after the 20th day, but more than 24 hours, before
any election shall be reported within 24 hours after such
independent expenditure is made. Such statement shall be filed
with the Secretary, or the Commission and the Secretary of
State and shall contain the information required by subsection
(b)(6)(B)(iii) of this section, indicating whether the
independent expenditure is in support of, or in opposition to,
the candidate involved.
(3) The Commission shall be responsible for expeditiously
preparing indices which set forth, on a candidate-by-candidate
basis, all independent expenditures separately, including those
reported under section (b)(6)(B)(iii) of this section, made by
or for each candidate, as reported under this subsection, and
for periodically publishing such indices on a timely pre-
election basis.
Pub.L. 92-225, Title III, Sec. 304, Feb. 7, 1972, 86 Stat. 14,
as amended by Pub.L. 93-113, Title II,
Sec. Sec. 204(a)-(c), 208(c)(4), Oct. 15, 1974, 88
Stat. 1276, 1277, 1278, 1286; Pub.L. 94-283, Title
I, Sec. 104, May 11, 1976, 90 Stat. 480, and
amended by Pub.L. 96-187, Title I, Sec. 104, Jan.
8, 1980, 93 Stat. 1348; Pub.L. 99-514, Sec. 2, Oct.
22, 1986, 100 Stat. 2095; Pub.L. 104-79,
Sec. Sec. 1(a), 3(b), Dec. 28, 1995, 109 Stat. 791,
792.
The following amendments to the Federal Election Campaign
Act of 1971 will become effective January 1, 2001 pursuant to
Pub. L. 106-58, 106-1, Sept. 29, 1999:
Sec. 639. (a) Section 304(a) of the Federal Election
Campaign Act of 1971 (2 U.S.C. 434(a)) is amended by striking
paragraph (11) and inserting the following:
``(11)(A) The Commission shall promulgate a regulation
under which a person required to file a designation, statement,
or report under this Act--
``(i) is required to maintain and file a designation,
statement, or report for any calendar year in
electronic form accessible by computers if the person
has, or has reason to expect to have, aggregate
contributions or expenditures in excess of a threshold
amount determined by the Commission; and
``(ii) may maintain and file a designation,
statement, or report in electronic form or an
alternative form if not required to do so under the
regulation promulgated under clause (i).
``(B) The Commission shall make a designation, statement,
report, or notification that is filed electronically with the
Commission accessible to the public on the Internet not later
than 24 hours after the designation, statement, report, or
notification is received by the Commission.
``(C) In promulgating a regulation under this paragraph,
the Commission shall provide methods (other than requiring a
signature on the document being filed) for verifying
designations, statements, and reports covered by the
regulation. Any document verified under any of the methods
shall be treated for all purposes (including penalties for
perjury) in the same manner as a document verified by
signature.
``(D) As used in this paragraph, the term `report' means,
with respect to the Commission, a report, designation, or
statement required by this Act to be filed with the
Commission.''.
(b) The amendments made by this section shall be effective
for reporting periods beginning after December 31, 2000.
Sec. 641. (a) Section 304(b) of the Federal Election
Campaign Act (2 U.S.C. 434(b)) is amended by inserting ``(or
election cycle, in the case of an authorized committee of a
candidate for Federal office)'' after ``calendar year'' each
place it appears in paragraphs (2), (3), (4), (6), and (7).
(b) The amendments made by this section shall become
effective with respect to reporting periods beginning after
December 31, 2000.
2 U.S.C. Sec. 435. [Requirements relating to campaign advertising]
Repealed.
[2 U.S.C. Sec. 435 (based on Pub.L. 92-225, Title III,
Sec. 305, Feb. 7, 1972, 86 Stat. 16; as amended by Pub.L. 93-
443, Title II, Sec. 205, Oct. 15, 1974, 88 Stat. 1278) was
repealed by Pub.L. 96-187, Title I, Sec. 105(a)(1) Jan. 8,
1980, 93 Stat. 1354.]
2 U.S.C. Sec. 436. [Formal requirements respecting reports and
statements] Repealed.
[2 U.S.C. Sec. 436 (based on Pub.L. 92-225, Title III,
Sec. 306, Feb. 7, 1972, 86 Stat. 16; as amended by Pub.L. 93-
443, Title II, Sec. Sec. 206, 207, 208(a)(5), Oct. 15, 1974, 88
Stat. 1278, 1279, 1286; Pub.L. 94-283, Title I, Sec. 115(a)(1),
May 11, 1976, 90 Stat. 495) was repealed by Pub.L. 96-187,
Title I, Sec. 105(a)(1), Jan. 8, 1980, 93 Stat. 1354.]
2 U.S.C. Sec. 437. Reports on convention financing
Each committee or other organization which--
(1) represents a State, or a political subdivision
thereof, or any group of persons, in dealing with
officials of a national political party with respect to
matters involving a convention held in such State or
political subdivision to nominate a candidate for the
office of President or Vice President, or
(2) represents a national political party in making
arrangements for the convention of such party held to
nominate a candidate for the office of President or
Vice President,
shall within 60 days following the end of the convention (but
not later than 20 days prior to the date on which presidential
and vice presidential electors are chosen), file with the
Commission a full and complete financial statement, in such
form and detail as it may prescribe of the sources from which
it derived its funds, and the purposes for which such funds
were expended.
Pub.L. 92-225, Title III, Sec. 305, formerly Sec. 307, Feb. 7,
1972, 86 Stat. 16, as amended by Pub.L. 93-443,
Title II, Sec. 208(c)(6), Oct. 15, 1974, 88 Stat.
1286, and renumbered and amended by Pub.L. 96-187,
Title I, Sec. Sec. 105(a)(2), 112(a), Jan. 8, 1980,
93 Stat. 1354, 1366.
2 U.S.C. Sec. 437a. [Reports by certain persons] Repealed.
[2 U.S.C. Sec. 437a (which was based on section 308 of
Pub.L. 94-225, as added by section 208(a) of Pub.L. 93-443) as
repealed by Pub.L. 94-283, Title I, Sec. 105, May 11, 1976, 90
Stat. 481.]
2 U.S.C. Sec. 437b. [Campaign depositories] Repealed.
[2 U.S.C. Sec. 437b (based on Pub.L. 92-225 Title III,
Sec. 308, formerly Sec. 309, as added by Pub.L. 93-443, Title
II, Sec. 208(a), Oct. 15, 1974, 88 Stat. 1280, and renumbered
and amended by Pub.L. 94-283, Title I, Sec. Sec. 105, 106,
115(i), May 11, 1976, 90 Stat. 481, 496) was repealed by Pub.L.
96-187, Title I, Sec. 105(a)(1), Jan. 8, 1980, 93 Stat. 1354.]
2 U.S.C. Sec. 437c. Federal Election Commission--Establishment;
membership; term of office; vacancies;
qualifications; compensation; chairman and vice
chairman
(a)(1) There is established a commission to be known as the
Federal Election Commission. The Commission is composed of the
Secretary of the Senate and the Clerk of the House of
Representatives or their designees, ex officio and without the
right to vote, and 6 members appointed by the President, by and
with the advice and consent of the Senate. No more than 3
members of the Commission appointed under this paragraph may be
affiliated with the same political party.
(2)(A) Members of the Commission shall serve for a single
term of 6 years, except that of the members first appointed--
(i) two of the members, not affiliated with the same
political party, shall be appointed for terms ending on
April 30, 1977;
(ii) two of the members, not affiliated with the same
political party, shall be appointed for terms ending on
April 30, 1979; and
(iii) two of the members, not affiliated with the
same political party, shall be appointed for terms
ending on April 30, 1981.
(B) A member of the Commission may serve on the Commission
after the expiration of his or her term until his or her
successor has taken office as a member of the Commission.
(C) An individual appointed to fill a vacancy occurring
other than by the expiration of a term of office shall be
appointed only for the unexpired term of the member he or she
succeeds.
(D) Any vacancy occurring in the membership of the
Commission shall be filled in the same manner as in the case of
the original appointment.
(3) Members shall be chosen on the basis of their
experience, integrity, impartiality, and good judgment and
members (other than the Secretary of the Senate and the Clerk
of the House of Representatives) shall be individuals who, at
the time appointed to the Commission, are not elected or
appointed officers or employees in the executive, legislative
or judicial branch of the Federal Government. Such members of
the Commission shall not engage in any other business,
vocation, or employment. Any individual who is engaging in any
other business, vocation, or employment at the time of his or
her appointment to the Commission shall terminate or liquidate
such activity no later than 90 days after such appointment.
(4) Members of the Commission (other than the Secretary of
the Senate and the Clerk of the House of Representatives) shall
receive compensation equivalent to the compensation paid at
level IV of the Executive Schedule (5 U.S.C. 5315).
(5) The Commission shall elect a chairman and a vice
chairman from among its members (other than the Secretary of
the Senate and the Clerk of the House of Representatives) for a
term of one year. A member may serve as chairman only once
during any term of office to which such member is appointed.
The chairman and the vice chairman shall not be affiliated with
the same political party. The vice chairman shall act as
chairman in the absence or disability of the chairman or in the
event of a vacancy in such office.
administration, enforcement, and formulation of policy; exclusive
jurisdiction of civil enforcement, congressional authorities or
functions with respect to elections for federal office
(b)(1) The Commission shall administer, seek to obtain
compliance with, and formulate policy with respect to, this Act
and chapter 95 and chapter 96 of title 26. The Commission shall
have exclusive jurisdiction with respect to the civil
enforcement of such provisions.
(2) Nothing in this Act shall be construed to limit,
restrict, or diminish any investigatory, informational,
oversight, supervisory, or disciplinary authority or function
of the Congress or any committee of the Congress with respect
to elections for Federal office.
voting requirements; delegation of authorities
(c) All decisions of the Commission with respect to the
exercise of its duties and powers under the provisions of this
Act shall be made by a majority vote of the members of the
Commission. A member of the Commission may not delegate to any
person his or her vote or any decisionmaking authority or duty
vested in the Commission by the provisions of this Act, except
that the affirmative vote of 4 members of the Commission shall
be required in order for the Commission to take any action in
accordance with paragraph (6), (7), (8), or (9) of section
437d(a) of this title or with chapter 95 or chapter 96 of title
26.
meetings
(d) The Commission shall meet at least once each month and
also at the call of any member.
rules for conduct of activities; judicial notice of seal; principal
office
(e) The Commission shall prepare written rules for the
conduct of its activities, shall have an official seal which
shall be judicially noticed, and shall have its principal
office in or near the District of Columbia (but it may meet or
exercise any of its powers anywhere in the United States).
staff director and general counsel; appointment and compensation;
appointment and compensation of personnel and procurement of
intermittent services by staff director; use of assistance, personnel,
and facilities of federal agencies and departments; counsel for defense
of actions
(f)(1) The Commission shall have a staff director and a
general counsel who shall be appointed by the Commission. The
staff director shall be paid at a rate not to exceed the rate
of basic pay in effect for level IV of the Executive Schedule
(5 U.S.C. 5315). The general counsel shall be paid at a rate
not to exceed the rate of basic pay in effect for level V of
the Executive Schedule (5 U.S.C. 5316). With the approval of
the Commission, the staff director may appoint and fix the pay
of such additional personnel as he or she considers desirable
without regard to the provisions of title 5 governing
appointments in the competitive service.
(2) With the approval of the Commission, the staff director
may procure temporary and intermittent services to the same
extent as is authorized by section 3109(b) of title 5 but at
rates for individuals not to exceed the daily equivalent of the
annual rate of basic pay in effect for grade GS-15 of the
General Schedule (5 U.S.C. 5332).
(3) In carrying out its responsibilities under this Act,
the Commission shall, to the fullest extent practicable, avail
itself of the assistance, including personnel and facilities of
other agencies and departments of the United States. The heads
of such agencies and departments may make available to the
Commission such personnel, facilities, and other assistance,
with or without reimbursement as the Commission may request.
(4) Notwithstanding the provisions of paragraph (2), the
Commission is authorized to appear in and defend against any
action instituted under this Act; either (A) by attorneys
employed in its office, or (B) by counsel whom it may appoint,
on a temporary basis as may be necessary for such purpose,
without regard to the provisions of title 5 governing
appointments in the competitive service, and whose compensation
it may fix without regard to the provisions of chapter 51 and
subchapter III of chapter 53 of such title. The compensation of
counsel so appointed on a temporary basis shall be paid out of
any funds otherwise available to pay the compensation of
employees of the commission.
Pub.L. 92-225, Title III, Sec. 306, formerly Sec. 310, as added
by Pub.L. 93-443, Title II, Sec. 208(a), Oct. 15,
1974, 88 Stat. 1280; as amended and renumbered by
Pub.L. 94-283, Title I, Sec. Sec. 101(a)-(d), 105,
May 11, 1976, 90 Stat. 475, 481; and as amended and
renumbered by Pub.L. 96-187, Title I,
Sec. Sec. 105(a) (3), (6), 112(b), Jan. 8, 1980, 93
Stat. 1354, 1366; Pub.L. 99-514, Sec. 2, Oct. 22,
1986, 100 Stat. 2095; Pub. L. 105-61, Title V,
Sec. 512(a), Oct. 10, 1997, 111 Stat. 1305.
2 U.S.C. Sec. 437d. Powers of Commission--Specific authorities
(a) The Commission has the power--
(1) to require by special or general orders, any
person to submit, under oath, such written reports and
answers to questions as the Commission may prescribe;
(2) to administer oaths or affirmations;
(3) to require by subpena, signed by the chairman or
the vice chairman, the attendance and testimony of
witnesses and the production of all documentary
evidence relating to the execution of its duties;
(4) in any proceeding or investigation, to order
testimony to be taken by deposition before any person
who is designated by the Commission and has the power
to administer oaths and, in such instances, to compel
testimony and the production of evidence in the same
manner as authorized under paragraph (3);
(5) to pay witnesses the same fees and mileage as are
paid in like circumstances in the courts of the United
States;
(6) to initiate (through civil actions for
injunctive, declaratory, or other appropriate relief),
defend (in the case of any civil action brought under
section 437g(a)(8) of this title) or appeal any civil
action in the name of the Commission to enforce the
provisions of this Act and chapter 95 and chapter 96 of
title 26, through its general counsel;
(7) to render advisory opinions under section 437f of
this title;
(8) to develop such prescribed forms and to make,
amend, and repeal such rules, pursuant to the
provisions of chapter 5 of title 5 as are necessary to
carry out the provisions of this Act and chapter 95 and
chapter 96 of title 26; and
(9) to conduct investigations and hearings
expeditiously, to encourage voluntary compliance, and
to report apparent violations to the appropriate law
enforcement authorities.
judicial orders for compliance with subpenas and orders of commission;
contempt of court
(b) Upon petition by the Commission, any United States
district court within the jurisdiction of which any inquiry is
being carried on may, in case of refusal to obey a subpena or
order of the Commission issued under subsection (a) of this
section, issue an order requiring compliance. Any failure to
obey the order of the court may be punished by the court as a
contempt thereof.
civil liability for disclosure of information
(c) No person shall be subject to civil liability to any
person (other than the Commission or the United States) for
disclosing information at the request of the Commission.
concurrent transmissions to congress or member of budget estimates,
etc.; prior submission of legislative recommendations, testimony, or
comments on legislation
(d)(1) Whenever the Commission submits any budget estimate
or request to the President or the Office of Management and
Budget, it shall concurrently transmit a copy of such estimate
or request to the Congress.
(2) Whenever the Commission submits any legislative
recommendation, or testimony, or comments on legislation,
requested by the Congress or by any Member of the Congress, to
the President or the Office of Management and Budget, it shall
concurrently transmit a copy thereof to the Congress or to the
Member requesting the same. No officer or agency of the United
States shall have any authority to require the Commission to
submit its legislative recommendations, testimony, or comments
on legislation, to any office or agency of the United States
for approval, comments, or review, prior to the submission of
such recommendations, testimony, or comments to the Congress.
exclusive civil remedy for enforcement
(e) Except as provided in section 437g(a)(8) of this title
the power of the Commission to initiate civil actions under
subsection (a)(6) of this section shall be the exclusive civil
remedy for the enforcement of the provisions of this Act.
Pub.L. 92-225, Title III, Sec. 307, formerly Sec. 311, as added
by Pub.L. 93-443, Title II, Sec. 208(a), Oct. 15,
1974, 88 Stat. 1282; as amended and renumbered by
Pub.L. 94-283, Title I, Sec. Sec. 105, 107,
115(a)(2), May 11, 1976, 90 Stat. 481, 495; and as
amended and renumbered by Pub.L. 96-187, Title I,
Sec. Sec. 105(a)(3), 106, Jan. 8, 1980, 93 Stat.
1354, 1356; Pub.L. 99-514, Sec. 2, Oct. 22, 1986,
100 Stat. 2095.
2 U.S.C. Sec. 437e. [Reports] Repealed.
[2 U.S.C. Sec. 437e (based on Pub.L. 92-225, Title III,
Sec. 311, formerly Sec. 312, as added by Pub.L. 93-443, Title
II Sec. 208(a), Oct. 15, 1974, 88 Stat. 1283, and renumbered by
Pub.L. 94-283, Title I, Sec. 105, May 11, 1976, 80 Stat. 481)
was repealed by Pub.L. 96-187, Title I, Sec. 105(a)(1), Jan. 8,
1980, 93 Stat. 1354.]
2 U.S.C. Sec. 437f. Advisory Opinions
requests by persons, candidates, or authorized committees; subject
matter; time for response
(a)(1) Not later than 60 days after the Commission receives
from a person a complete written request concerning the
application of this Act, chapter 95 or chapter 96 of title 26,
or a rule or regulation prescribed by the Commission, with
respect to a specific transaction or activity by the person,
the Commission shall render a written advisory opinion relating
to such transaction or activity to the person.
(2) If an advisory opinion is requested by a candidate, or
any authorized committee of such candidate, during the 60-day
period before any election for Federal office involving the
requesting party, the Commission shall render a written
advisory opinion relating to such request no later than 20 days
after the Commission receives a complete written request.
procedures applicable to initial proposal of rules or regulations, and
advisory opinions
(b) Any rule of law which is not stated in this Act or in
chapter 95 or chapter 96 of title 26 may be initially proposed
by the Commission only as a rule or regulation pursuant to
procedures established in section 438(d) of this title. No
opinion of any advisory nature may be issued by the Commission
or any of its employees except in accordance with the
provisions of this section.
persons entitled to rely upon opinions; scope of protection for good
faith reliance
(c)(1) Any advisory opinion rendered by the Commission
under subsection (a) of this section may be relied upon by--
(A) any person involved in the specific transaction
or activity with respect to which such advisory opinion
is rendered; and
(B) any person involved in any specific transaction
or activity which is indistinguishable in all its
material aspects from the transaction or activity with
respect to which such advisory opinion is rendered.
(2) Notwithstanding any other provisions of law, any person
who relies upon any provision or finding of an advisory opinion
in accordance with the provisions of paragraph (1) and who acts
in good faith in accordance with the provisions and findings of
such advisory opinion shall not, as a result of any such act,
be subject to any sanction provided by this Act or by chapter
95 or chapter 96 of title 26.
requests made public; submission of written comments by interested
public
(d) The Commission shall make public any request made under
subsection (a) of this section for an advisory opinion. Before
rendering an advisory opinion, the Commission shall accept
written comments submitted by any interested party within the
10-day period following the date the request is made public.
Pub.L. 92-225, Title III, Sec. 308, formerly Sec. 313, as added
by Pub.L. 93-443, Title I, Sec. 208(a), Oct. 15,
1974, 88 Stat. 1283; amended and renumbered by
Pub.L. 94-283, Title I, Sec. Sec. 105, 108, May 11,
1976, 90 Stat. 481, 482; and amended and renumbered
by Pub.L. 96-187, Title I, Sec. Sec. 105(a)(4),
107, Jan 8, 1980, Stat. 1354, 1357; Pub.L. 99-514,
Sec. 2, Oct. 22, 1986, 100 Stat. 2095.
2 U.S.C. Sec. 437g. Enforcement--Administrative and judicial practice
and procedure
(a)(1) Any person who believes a violation of this Act or
of chapter 95 or chapter 96 of title 26, has occurred, may file
a complaint with the Commission. Such complaint shall be in
writing, signed and sworn to by the person filing such
complaint, shall be notarized, and shall be made under penalty
of perjury and subject to the provisions of section 1001 of
title 18. Within 5 days after receipt of a complaint, the
Commission shall notify, in writing, any person alleged in the
complaint to have committed such a violation. Before the
Commission conducts any vote on the complaint, other than a
vote to dismiss, any person so notified shall have the
opportunity to demonstrate in writing to the Commission within
15 days after notification that no action should be taken
against such person on the basis of the complaint. The
Commission may not conduct any investigation or take any other
action under this section solely on the basis of a complaint of
a person whose identity is not disclosed to the Commission.
(2) If the Commission, upon receiving a complaint under
paragraph (1) or on the basis of information ascertained in the
normal course of carrying out its supervisory responsibilities,
determines, by an affirmative vote of 4 of its members, that it
has reason to believe that a person has committed, or is about
to commit, a violation of this Act or chapter 95 or chapter 96
of title 26, the Commission shall, through its chairman or vice
chairman, notify the person of the alleged violation. Such
notification shall set forth the factual basis for such alleged
violations. The Commission shall make an investigation of such
alleged violation, which may include a field investigation or
audit, in accordance with the provisions of this section.
(3) The general counsel of the Commission shall notify the
respondent of any recommendation to the Commission by the
general counsel to proceed to a vote on probable cause pursuant
to paragraph (4)(A)(i). With such notification, the general
counsel shall include a brief stating the position of the
general counsel on the legal and factual issues of the case.
Within 15 days of receipt of such brief, respondent may submit
a brief stating the position of such respondent on the legal
and factual issues of the case, and replying to the brief of
general counsel. Such briefs shall be filed with the Secretary
of the Commission and shall be considered by the Commission
before proceeding under paragraph (4).
(4)(A)(i) Except as provided in clauses (ii) and
subparagraph (C), if the Commission determines by an
affirmative vote of 4 of its members, that there is probable
cause to believe that any person has committed, or is about to
commit, a violation of this Act or of chapter 95 or chapter 96
of title 26, the Commission shall attempt, for a period of at
least 30 days, to correct or prevent such violation by informal
methods of conference, conciliation, and persuasion, and to
enter into a conciliation agreement with any person involved.
Such attempt by the Commission to correct or prevent such
violation may continue for a period of not more than 90 days.
The Commission may not enter into a conciliation agreement
under this clause except pursuant to an affirmative vote of 4
of its members. A conciliation agreement, unless violated, is a
complete bar to any further action by the Commission, including
the bringing of a civil proceeding under paragraph (6)(A).
(ii) If any determination of the Commission under clause
(i) occurs during the 45-day period immediately preceding any
election, then the Commission shall attempt, for a period of at
least 15 days, to correct or prevent the violation involved by
the methods specified in clause (i).
(B)(i) No action by the Commission or any person, and no
information derived, in connection with any conciliation
attempt by the Commission under subparagraph (A) may be made
public by the Commission without the written consent of the
respondent and the Commission.
(ii) If a conciliation agreement is agreed upon by the
Commission and the respondent, the Commission shall make public
any conciliation agreement signed by both the Commission and
the respondent. If the Commission makes a determination that a
person has not violated this Act or chapter 95 or chapter 96 of
title 26 the Commission shall make public such determination.
(C)(i) Notwithstanding subparagraph (A), in the case of a
violation of any requirement of section 304(a) of the Act (2
U.S.C. 434(a)), the Commission may--
``(I) find that a person committed such a violation
on the basis of information obtained pursuant to the
procedures described in paragraphs (1) and (2); and
``(II) based on such finding, require the person to
pay a civil money penalty in an amount determined under
a schedule of penalties which is established and
published by the Commission and which takes into
account the amount of the violation involved, the
existence of previous violations by the person, and
such other factors as the Commission considers
appropriate.
``(ii) The Commission may not make any determination
adverse to a person under clause (i) until the person has been
given written notice and an opportunity to be heard before the
Commission.
``(iii) Any person against whom an adverse determination is
made under this subparagraph may obtain a review of such
determination in the district court of the United States for
the district in which the person resides, or transacts
business, by filing in such court (prior to the expiration of
the 30-day period which begins on the date the person receives
notification of the determination) a written petition
requesting that the determination be modified or set aside.
(5)(A) If the Commission believes that a violation of this
Act or of chapter 95 or chapter 96 of title 26 has been
committed, a conciliation agreement entered into by the
Commission under paragraph (4)(A) may include a requirement
that the person involved in such conciliation agreement shall
pay a civil penalty which does not exceed the greater of $5,000
or an amount equal to any contribution or expenditure involved
in such violation.
(B) If the Commission believes that a knowing and willful
violation of this Act or of chapter 95 or chapter 96 of title
26 has been committed, a conciliation agreement entered into by
the Commission under paragraph (4)(A) may require that the
person involved in such conciliation agreement shall pay a
civil penalty which does not exceed the greater of $10,000 or
an amount equal to 200 percent of any contribution or
expenditure involved in such violation.
(C) If the Commission by an affirmative vote of 4 of its
members, determines that there is probable cause to believe
that a knowing and willful violation of this Act which is
subject to subsection (d) of this section, or a knowing and
willful violation of chapter 95 or chapter 96 of title 26, has
occurred or is about to occur, it may refer such apparent
violation to the Attorney General of the United States without
regard to any limitations set forth in paragraph (4)(A).
(D) In any case in which a person has entered into a
conciliation agreement with the Commission under paragraph
(4)(A), the Commission may institute a civil action for relief
under paragraph (6)(A) if it believes that the person has
violated any provision of such conciliation agreement. For the
Commission to obtain relief in any civil action, the Commission
need only establish that the person has violated, in whole or
in part, any requirement of such conciliation agreement.
(6)(A) If the Commission is unable to correct or prevent
any violation of this Act or of chapter 95 or chapter 96 of
title 26, by the methods specified in paragraph (4), the
Commission may, upon an affirmative vote of 4 of its members,
institute a civil action for relief, including a permanent or
temporary injunction, restraining order, or any other
appropriate order (including an order for a civil penalty which
does not exceed the greater of $5,000 or an amount equal to any
contribution or expenditure involved in such violation) in the
district court of the United States for the district in which
the person against whom such action is brought is found,
resides, or transacts business.
(B) In any civil action instituted by the Commission under
subparagraph (A), the court may grant a permanent or temporary
injunction, restraining order, or other order, including a
civil penalty which does not exceed the greater of $5,000 or an
amount equal to any contribution or expenditure involved in
such violation, upon a proper showing that the person involved
has committed, or is about to commit (if the relief sought is a
permanent or temporary injunction or a restraining order), a
violation of this Act or chapter 95 or chapter 96 of title 26.
(C) In any civil action for relief instituted by the
Commission under subparagraph (A), if the court determines that
the Commission has established that the person involved in such
civil action has committed a knowing and willful violation of
this Act or of chapter 95 or chapter 96 of title 26, the court
may impose a civil penalty which does not exceed the greater of
$10,000 or an amount equal to 200 percent of any contribution
or expenditure involved in such violation.
(7) In any action brought under paragraph (5) or (6),
subpoenas for witnesses who are required to attend a United
States district court may run into any other district.
(8)(A) Any party aggrieved by an order of the Commission
dismissing a complaint filed by such party under paragraph (1),
or by a failure of the Commission to act on such complaint
during the 120-day period beginning on the date the complaint
is filed, may file a petition with the United States District
Court for the District of Columbia.
(B) Any petition under subparagraph (A) shall be filed, in
the case of a dismissal of a complaint by the Commission,
within 60 days after the date of the dismissal.
(C) In any proceeding under this paragraph the court may
declare that the dismissal of the complaint or the failure to
act is contrary to law, and may direct the Commission to
conform with such declaration within 30 days, failing which the
complainant may bring, in the name of such complainant, a civil
action to remedy the violation involved in the original
complaint.
(9) Any judgment of a district court under this subsection
may be appealed to the court of appeals, and the judgment of
the court of appeals affirming or setting aside, in whole or in
part, any such order of the district court shall be final,
subject to review by the Supreme Court of the United States
upon certiorari or certification as provided in section 1254 of
title 28, United States Code.
(10) [Repealed]
(11) If the Commission determines after an investigation
that any person has violated an order of the court entered in a
proceeding brought under paragraph (6), it may petition the
court for an order to hold such person in civil contempt, but
if it believes the violation to be knowing and willful it may
petition the court for an order to hold such person in criminal
contempt.
(12)(A) Any notification or investigation made under this
section shall not be made public by the Commission or by any
person without the written consent of the person receiving such
notification or the person with respect to whom such
investigation is made.
(B) Any member or employee of the Commission, or any other
person, who violates the provisions of subparagraph (A) shall
be fined not more than $2,000. Any such member, employee, or
other person who knowingly and willfully violates the
provisions of subparagraph (A) shall be fined not more than
$5,000.
notice to persons not filing required reports prior to institution of
enforcement action; publication of identity of persons and unfiled
reports
(b) Before taking any action under subsection (a) of this
section against any person who has failed to file a report
required under section 434(a)(2)(A)(iii) of this title for the
calendar quarter immediately preceding the election involved,
or in accordance with section 434(a)(2)(A)(i), the Commission
shall notify the person of such failure to file the required
reports. If a satisfactory response is not received within 4
business days after the date of notification, the Commission
shall, pursuant to section 438(a)(7) of this title, publish
before the election the name of the person and the report or
reports such person has failed to file.
reports by attorney general of apparent violation
(c) Whenever the Commission refers an apparent violation to
the Attorney General, the Attorney General shall report to the
Commission any action taken by the Attorney General regarding
the apparent violation. Each report shall be transmitted within
60 days after the date the Commission refers an apparent
violation, and every 30 days thereafter until the final
disposition of the apparent violation.
penalties; defenses; mitigation of offenses
(d)(1)(A) Any person who knowingly and willfully commits a
violation of any provision of this Act which involves the
making, receiving, or reporting of any contribution or
expenditure aggregating $2,000 or more during a calendar year
shall be fined, or imprisoned for not more than one year, or
both. The amount of this fine shall not exceed the greater of
$25,000 or 300 percent of any contribution or expenditure
involved in such violation.
(B) In the case of a knowing and willful violation of
section 441b(b)(3) of this title, the penalties set forth in
this subsection shall apply to a violation involving an amount
aggregating $250 or more during a calendar year. Such violation
of section 441b(b)(3) of this title, may incorporate a
violation of section 441c(b), 441f or 441g of this title.
(C) In the case of a knowing and willful violation of
section 441h of this title, the penalties set forth in this
subsection shall apply without regard to whether the making,
receiving, or reporting of a contribution or expenditure of
$1,000 or more is involved.
(2) In any criminal action brought for a violation of any
provision of this Act or of chapter 95 or chapter 96 of Title
26, any defendant may evidence their lack of knowledge or
intent to commit the alleged violation by introducing as
evidence a conciliation agreement entered into between the
defendant and the Commission under subsection (a)(4)(A) of this
section, which specifically deals with the act or failure to
act constituting such violation and which is still in effect.
(3) In any criminal action brought for a violation of any
provision of this Act or chapter 95 or chapter 96 of Title 26,
the court before which such action is brought shall take into
account, in weighing the seriousness of the violation and in
considering the appropriateness of the penalty to be imposed if
the defendant is found guilty, whether--
(A) the specific act or failure to act which
constitutes the violation for which the action was
brought is the subject of a conciliation agreement
entered into between the defendant and the Commission
under subparagraph (a)(4)(A);
(B) the conciliation agreement is in effect; and
(C) the defendant is, with respect to the violation
involved, in compliance with the conciliation
agreement.
Pub.L. 92-225, Title III, Sec. 309, formerly Sec. 314, as added
by Pub.L. 93-443, Title II, Sec. 208(a), Oct. 15,
1974, 88 Stat. 1284; amended and renumbered by
Pub.L. 94-283, Title I, Sec. Sec. 105, 109, May 11,
1976, 90 Stat. 481, 483; and amended and renumbered
by Pub.L. 96-187, Title I, Sec. Sec. 105(a)(4),
108, Jan. 8, 1980, 93 Stat. 1354, 1358-62; and
amended by Pub.L. 98-620, Title IV, subtitle A,
Sec. 402(1)(A), Nov. 8, 1984, 98 Stat. 3357; Pub.L.
99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2905.
2 U.S.C. Sec. 437h. Judicial review
The Commission, the national committee of any political
party, or any individual eligible to vote in any election for
the office of President may institute such actions in the
appropriate district court of the United States, including
actions for declaratory judgment, as may be appropriate to
construe the constitutionality of any provision of this Act.
The district court immediately shall certify all questions of
constitutionality of this Act to the United States court of
appeals for the circuit involved, which shall hear the matter
sitting en banc.
Pub.L. 92-225, Title III, Sec. 310, formerly Sec. 315, as added
by Pub.L. 93-443, Title II, Sec. 208, Oct. 15,
1974, 88 Stat. 1285; amended and renumbered by
Pub.L. 94-283, Title I, Sec. Sec. 105, 115(e), May
11, 1976, 90 Stat. 481, 496; and amended and
renumbered by Pub.L. 96-187, Sec. Sec. 105(a)(4),
112(c), Jan. 8, 1980, 93 Stat. 1354, 1366; amended
by Pub.L. 98-620, Title IV, subtitle A,
Sec. 402(1)(B), Nov. 8, 1984, 98 Stat; and amended
by Pub.L. 100-352, 6(a), June 27, 1988, 102 Stat.
663.
2 U.S.C. Sec. 438. Administrative provisions--Duties of Commission
(a) The Commission shall--
(1) prescribe forms necessary to implement this Act;
(2) prepare, publish, and furnish to all persons
required to file reports and statements under this Act
a manual recommending uniform methods of bookkeeping
and reporting;
(3) develop a filing, coding, and cross-indexing
system consistent with the purposes of this Act;
(4) within 48 hours after the time of the receipt by
the Commission of reports and statements filed with it,
make them available for public inspection, and copying,
at the expense of the person requesting such copying,
except that any information copied from such reports or
statements may not be sold or used by any person for
the purpose of soliciting contributions or for
commercial purposes, other than using the name and
address of any political committee to solicit
contributions from such committee. A political
committee may submit 10 pseudonyms on each report filed
in order to protect against the illegal use of names
and addresses of contributors, provided such committee
attaches a list of such pseudonyms to the appropriate
report. The Secretary, or the Commission shall exclude
these lists from the public record;
(5) keep such designations, reports, and statements
for a period of 10 years from the date of receipt,
except that designations, reports, and statements that
relate solely to candidates for the House of
Representatives shall be kept for 5 years from the date
of their receipt;
(6)(A) compile and maintain a cumulative index of
designations, reports, and statements filed under this
Act, which index shall be published at regular
intervals and made available for purchase directly or
by mail;
(B) compile, maintain, and revise a separate
cumulative index of reports and statements filed by
multi-candidate committees including in such index a
list of multi-candidate committees; and
(C) compile and maintain a list of multi-candidate
committees, which shall be revised and made available
monthly;
(7) prepare and publish periodically lists of
authorized committees which fail to file reports and
required by this Act;
(8) prescribe rules, regulations, and forms to carry
out the provisions of this Act, in accordance with the
provisions of subsection (d) of this section;
(9) transmit to the President and to each House of
the Congress no later than June 1 of each year, a
report which states in detail the activities of the
Commission in carrying out its duties under this Act,
and any recommendations for any legislative or other
action the Commission considers appropriate; and
(10) serve as national clearinghouse for the
compilation of information and review of procedures
with respect to the administration of Federal
elections. The Commission may enter into contracts for
the purpose of conducting studies under this paragraph.
Reports or studies made under this paragraph shall be
available to the public upon the payment of the cost
thereof, except that copies shall be made available
without cost, upon request, to agencies and branches of
the Federal Government.
audits and field investigations
(b) The Commission may conduct audits and field
investigations of any political committee required to file a
report under section 434 of this title. All audits and field
investigations concerning the verification for, and receipt and
use of, any payments received by a candidate or committee under
chapter 95 or chapter 96 of Title 26 shall be given priority.
Prior to conducting any audit under this subsection, the
Commission shall perform an internal review of reports filed by
selected committees to determine if the reports filed by a
particular committee meet the threshold requirements for
substantial compliance with the Act. Such thresholds for
compliance shall be established by the Commission. The
Commission may, upon an affirmative vote of 4 of its members,
conduct an audit and field investigation of any committee which
does meet the threshold requirements established by the
Committee. Such audit shall be commenced within 30 days of such
vote, except that any audit of an authorized committee of a
candidate, under the provisions of this subsection, shall be
commenced within 6 months of the election for which such
committee is authorized.
statutory provisions applicable to forms and information-gathering
activities
(c) Any forms prescribed by the Commission under subsection
(a)(1) of this section, and any information-gathering
activities of the Commission under this Act, shall not be
subject to the provisions of section 3512 of title 44.
rules, regulations, or forms; issuance, procedures applicable, etc.
(d)(1) Before prescribing any rule, regulation, or form
under this section or any other provision of this Act, the
Commission shall transmit a statement with respect to such
rule, regulation, or form to the Senate and the House of
Representatives, in accordance with this subsection. Such
statement shall set forth the proposed rule, regulation, or
form, and shall contain a detailed explanation and
justification of it.
(2) If either House of the Congress does not disapprove by
resolution any proposed rule or regulation submitted by the
Commission under this section within 30 legislative days after
the date of the receipt of such proposed rule or regulation or
within 10 legislative days after the date of receipt of such
proposed form, the Commission may prescribe such rule,
regulation, or form.
(3) For purposes of this subsection, the term ``legislative
day'' means, with respect to statements transmitted to the
Senate, any calendar day on which the Senate is in session, and
with respect to statements transmitted to the House of
Representatives, any calendar day on which the House of
Representatives is in session.
(4) For purposes of this subsection, the terms ``rule'' and
``regulation'' mean a provision or series of interrelated
provisions stating a single, separable rule of law.
(5)(A) A motion to discharge a committee of the Senate from
the consideration of a resolution relating to any such rule,
regulation, form or motion to proceed to the consideration of
such a resolution, is highly privileged and shall be decided
without debate.
(B) Whenever a committee of the House of Representatives
reports any resolution relating to any such form, rule or
regulation, it is at any time thereafter in order (even though
a previous motion to the same effect has been disagreed to) to
move to proceed to the consideration of the resolution. The
motion is highly privileged and is not debatable. An amendment
to the motion is not in order, and it is not in order to move
to reconsider the vote by which the motion is agreed to or
disagreed with.
scope of protection for good faith reliance upon rules or regulations
(e) Notwithstanding any other provision of law, any person
who relies upon any rule or regulation prescribed by the
Commission in accordance with the provisions of this section
and who acts in good faith in accordance with such rule or
regulation shall not, as a result of such act, be subject to
any sanction provided by this Act or by chapter 95 or chapter
96 of Title 26.
promulgation of rules, regulations and forms by commission and internal
revenue service; report to congress on cooperative efforts
(f) In prescribing such rules, regulations, and forms under
this section, the Commission and the Internal Revenue Service
shall consult and work together to promulgate rules,
regulations, and forms which are mutually consistent. The
Commission shall report to the Congress annually on the steps
it has taken to comply with this subsection.
Pub.L. 92-225, Title III, Sec. 311, formerly Sec. 308, Feb. 7,
1972, 86 Stat. 16; as renumbered and amended by
Pub.L. 93-443, Title II, Sec. Sec. 208 (a), (c)(8)-
(10), 209 (a)(1), (b), Oct. 15, 1974, 88 Stat.
1279, 1286, 1287; and renumbered and amended by
Pub.L. 94-283, Title I, Sec. Sec. 105, 110, May 11,
1976, 90 Stat. 481, 486; and as renumbered and
amended by Pub.L. 96-187, Title I,
Sec. Sec. 105(a)(4), 109, Jan. 8, 1980, 93 Stat.
1354, 1362; Pub.L. 99-514, Sec. 2, Oct. 22, 1986,
100 Stat. 2095; Pub.L. 104-79, Sec. 3(c), Dec. 28,
1995, 109 Stat. 792.
2 U.S.C. Sec. 439. Statements filed with State officers; ``appropriate
State'' defined; duties of State officers; waiver
of duplicate filing requirement for States with
electronic access
statements filed; ``appropriate state'' defined
(a)(1) A copy of each report and statement required to be
filed by any person under this Act shall be filed by such
person with the Secretary of State (or equivalent State
officer) of the appropriate State, or, if different, the
officer of such State who is charged by State law with
maintaining State election campaign reports. The chief
executive officer of such State shall designate any such
officer and notify the Commission of any such designation.
(2) For purposes of this subsection, the term ``appropriate
State'' means--
(A) for statements and reports in connection with the
campaign for nomination for election of a candidate to
the office of President or Vice President, each State
in which an expenditure is made on behalf of the
candidate; and
(B) for statements and reports in connection with the
campaign for nomination for election, or election, of a
candidate to the office of Senator or Representative
in, or Delegate or Resident Commissioner to, the
Congress, the State in which the candidate seeks
election; except that political committees other than
authorized committees are only required to file, and
Secretaries of State required to keep, that portion of
the report applicable to candidates seeking election in
that State.
duties of state officers
(b) The Secretary of State (or equivalent State officer),
or the officer designated under subsection (a)(1) of this
section, shall--
(1) receive and maintain in an orderly manner all
reports and statements required by this Act to be filed
therewith;
(2) keep such reports and statements (either in
original filed form or in facsimile copy by microfilm
or otherwise) for 2 years after their date of receipt;
(3) make each report and statement filed therewith
available as soon as practicable (but within 48 hours
of receipt) for public inspection and copying during
regular business hours, and permit copying of any such
report or statement by hand or by duplicating machine
at the request of any person, except that such copying
shall be at the expense of the person making the
request; and
(4) compile and maintain a current list of all
reports and statements pertaining to each candidate.
waiver; electronic access
(c) Subsections (a) and (b) of this section shall not apply
with respect to any State that, as determined by the
Commission, has a system that permits electronic access to, and
duplication of, reports and statements that are filed with the
Commission.
Pub.L. 92-225, Title III, Sec. 312, formerly Sec. 309, Feb. 7,
1972, 86 Stat. 18; as renumbered and amended by
Pub.L. 93-443, Title II, Sec. 208 (a), (c)(11),
Oct. 15, 1974, 88 Stat. 1279, 1287; renumbered by
Pub.L. 94-283, Title I, Sec. 105, May 11, 1976, 90
Stat. 481; and as renumbered and amended by Pub.L.
96-187, Title I, Sec. Sec. 105(a)(4), 110, Jan. 8,
1980, 93 Stat. 1354, 1364; Pub.L. 104-79, Sec. 2,
Dec. 28, 1995, 109 Stat. 791.
2 U.S.C. Sec. 439a. Use of contributed amounts for certain purposes
Amounts received by a candidate as contributions that are
in excess of any amount necessary to defray his expenditures,
and any other amounts contributed to an individual for the
purpose of supporting his or her activities as a holder of
Federal office, may be used by such candidate or individual, as
the case may be, to defray any ordinary and necessary expenses
incurred in connection with his or her duties as a holder of
Federal office, may be contributed to any organization
described in section 170(c) of Title 26, or may be used for any
other lawful purpose, including transfers without limitation to
any national, State, or local committee of any political party;
except that no such amounts may be converted by any person to
any personal use, other than to defray any ordinary and
necessary expenses incurred in connection with his or her
duties as a holder of Federal office.
Pub.L. 92-225, Title III, Sec. 313, formerly Sec. 318, as added
by Pub.L. 93-443, Title II, Sec. 210, Oct. 15,
1974, 88 Stat. 1280; renumbered by Pub.L. 94-283,
Title I, Sec. 105, May 11, 1976, 90 Stat. 481;
renumbered and amended by Pub.L. 96-187, Title I,
Sec. Sec. 105(a)(4), 113, Jan. 8, 1980, 93 Stat.
1354, 1366-67, and as amended by Pub.L. 101-194,
Title V, Sec. 504, Nov. 30, 1989, 103 Stat. 1755.
2. U.S.C. Sec. 439b. [Prohibition of franked solicitations] Repealed.
[2 U.S.C. Sec. 439b (based on Pub.L. 92-225, Title III,
Sec. 318, formerly Sec. 319, as added by Pub.L. 93-443, Title
II, Sec. 210, 88 Stat. 1289, renumbered by Pub.L. 94-283, Title
I, Sec. 105, May 11, 1976, 90 Stat. 481) was repealed by Pub.L.
96-187, Title I, Sec. 105(a)(1), Jan. 8, 1980, 93 Stat. 1354.]
2 U.S.C. Sec. 439c. Authorization of appropriations
There are authorized to be appropriated to the Commission
for the purpose of carrying out its functions under this Act,
and under chapters 95 and 96 of Title 26, not to exceed
$5,000,000 for the fiscal year ending June 30, 1975. There are
authorized to be appropriated to the Commission $6,000,000 for
the fiscal year ending June 30, 1976; $1,500,000 for the period
beginning July 1, 1976, and ending September 30, 1976;
$6,000,000 for the fiscal year ending September 30, 1977;
$7,811,500 for the fiscal year ending September 30, 1978; and
$9,400,000 (of which not more than $400,000 are authorized to
be appropriated for the national clearinghouse function
described in Sec. 438(a)(10) of this title) for the fiscal year
ending September 30, 1981.
Pub.L. 92-225, Title III, Sec. 314, formerly Sec. 320, as added
by Pub.L. 93-443, Title II, Sec. 210, Oct. 15,
1974, 88 Stat. 1289; renumbered and amended by
Pub.L. 94-283, Title I, Sec. Sec. 105, 113, May 11,
1976, 90 Stat. 481, 495; and renumbered by Pub.L.
96-187, Title I, Sec. 105(a)(5), Jan. 8, 1980, 93
Stat. 1354; Pub.L. 96-253, May 29, 1980, 94 Stat.
398; Pub.L. 99-514, Sec. 2, Oct. 22, 1986, 100
Stat. 2095.
2 U.S.C. Sec. 440. [Prohibition of contributions in name of another]
Repealed.
[2 U.S.C. Sec. 440 (based on Pub.L. 92-225, Title III,
Sec. 310, Feb. 7, 1972, 86 Stat. 19) was repealed by Pub.L. 93-
443, Sec. 101(f)(4), Oct. 15, 1974, 88 Stat. 1268, and replaced
by a new section 614 of Title 18, U.S.C. Section 614 of Title
18 was repealed by Pub.L. 94-283, Sec. 201(a), May 11, 1976, 90
Stat. 496, and replaced by section 441f of Title 2, U.S.C.]
2 U.S.C. Sec. 441. [Penalties for violations] Repealed.
[2 U.S.C. Sec. 441 (based on Pub.L. 92-225, Title III,
Sec. 320, formerly Sec. 321, formerly Sec. 311 Feb. 7, 1972, 86
Stat. 19, renumbered Pub.L. 93-443, Sec. 208(a) and Pub.L. 94-
283, Sec. 105) was repealed by Pub.L. 94-283, Title I,
Sec. 112(1), May 11, 1976, 90 Stat. 486.]
2 U.S.C. Sec. 441a. Limitations on contributions and expenditures--
Dollar limits on contributions
(a)(1) No person shall make contributions--
(A) to any candidate and his authorized political
committees with respect to any election for Federal
office which, in the aggregate, exceed $1,000;
(B) to the political committees established and
maintained by a national political party, which are not
the authorized political committees of any candidate,
in any calendar year, which, in the aggregate, exceed
$20,000; or
(C) to any other political committee in any calendar
year which, in the aggregate, exceed $5,000.
(2) No multicandidate political committee shall make
contributions--
(A) to any candidate and his authorized political
committees with respect to any election for Federal
office which, in the aggregate, exceed $5,000;
(B) to the political committees established and
maintained by a national political party, which are not
the authorized political committees of any candidate,
in any calendar year, which, in the aggregate, exceed
$15,000; or
(C) to any other political committee in any calendar
year which, in the aggregate, exceed $5,000.
(3) No individual shall make contributions aggregating more
than $25,000 in any calendar year. For purposes of this
paragraph, any contribution made to a candidate in a year other
than the calendar year in which the election is held with
respect to which such contribution is made, is considered to be
made during the calendar year in which such election is held.
(4) The limitations on contributions contained in
paragraphs (1) and (2) do not apply to transfers between and
among political committees which are national, State, district,
or local committees (including any subordinate committee
thereof) of the same political party. For purposes of paragraph
(2), the term ``multicandidate political committee'' means a
political committee which has been registered under section 433
of this title for a period of not less than 6 months, which has
received contributions from more than 50 persons, and except
for any State political party organization, has made
contributions to 5 or more candidates for Federal office.
(5) For purposes of the limitations provided by paragraph
(1) and paragraph (2), all contributions made by political
committees established or financed or maintained or controlled
by any corporation, labor organization, or any other person,
including any parent, subsidiary, branch, division, department,
or local unit of such corporation, labor organization, or any
other person, or by any group of such persons, shall be
considered to have been made by a single political committee,
except that (A) nothing in this sentence shall limit transfers
between political committees of funds raised through joint fund
raising efforts; (B) for purposes of the limitations provided
by paragraph (1) and paragraph (2) all contributions made by a
single political committee established or financed or
maintained or controlled by a national committee or a political
party and by a single political committee established or
financed or maintained or controlled by the State committee of
a political party shall not be considered to have been made by
a single political committee; and (C) nothing in this section
shall limit the transfer of funds between the principal
campaign committee of a candidate seeking nomination or
election to a Federal office and the principal campaign
committee of that candidate for nomination or election to
another Federal office if (i) such transfer is not made when
the candidate is actively seeking nomination or election to
both such offices; (ii) the limitations contained in this Act
on contributions by persons are not exceeded by such transfer;
and (iii) the candidate has not elected to receive any funds
under chapter 95 or chapter 96 of title 26. In any case in
which a corporation and any of its subsidiaries, branches,
divisions, departments, or local units, or a labor organization
and any of its subsidiaries, branches, divisions, departments,
or local units establish or finance or maintain or control more
than one separate segregated fund, all such separate segregated
funds shall be treated as a single separate segregated fund for
purposes of the limitations provided by paragraph (1) and
paragraph (2).
(6) The limitations on contributions to a candidate imposed
by paragraphs (1) and (2) of this subsection shall apply
separately with respect to each election, except that all
elections held in any calendar year of the office of President
of the United States (except a general election for such
office) shall be considered to be one election.
(7) For the purposes of this subsection--
(A) contributions to a named candidate made to any
political committee authorized by such candidate to
accept contributions on his behalf shall be considered
to be contributions made to such candidate;
(B)(i) expenditures made by any person in
cooperation, consultation, or concert, with, or at the
request or suggestion of, a candidate, his authorized
political committees, or their agents, shall be
considered to be a contribution to such candidate;
(ii) the financing by any person of the
dissemination, distribution, or republication, in whole
or in part, of any broadcast or any written, graphic,
or other form of campaign materials prepared by the
candidate, his campaign committee, or their authorized
agents shall be considered to be an expenditure for
purposes of this paragraph; and
(C) contributions made to or for the benefit of any
candidate nominated by a political party for election
to the office of Vice President of the United States
shall be considered to be contributions made to or for
the benefit of the candidate of such party for election
to the office of President of the United States.
(8) For purposes of the limitations imposed by this
section, all contributions made by a person, either directly or
indirectly, on behalf of a particular candidate, including
contributions which are in any way earmarked or otherwise
directed through an intermediary or conduit to such candidate,
shall be treated as contributions from such person to such
candidate. The intermediary or conduct shall report the
original source and the intended recipient of such contribution
to the Commission and to the intended recipient.
DOLLAR LIMITS ON EXPENDITURES BY CANDIDATES FOR OFFICE OF PRESIDENT OF
THE UNITED STATES
(b)(1) No candidate for the office of President of the
United States who is eligible under section 9003 of title 26
(relating to condition for eligibility for payments) or under
section 9033 of title 26 (relating to eligibility for payments)
to receive payments from the Secretary of the Treasury may make
expenditures in excess of--
(A) $10,000,000, in the case of a campaign for
nomination for election to such office, except the
aggregate of expenditures under this subparagraph in
any one State shall not exceed the greater of 16 cents
multiplied by the voting age population of the State
(as certified under subsection (e) of this section), or
$200,000; or
(B) $20,000,000 in the case of a campaign for
election to such office.
(2) For purposes of this subsection--
(A) expenditures made by or on behalf of any
candidate nominated by a political party for election
to the office of Vice President of the United States
shall be considered to be expenditures made by or on
behalf of the candidate of such party for election to
the office of President of the United States; and
(B) an expenditure is made on behalf of a candidate,
including a vice presidential candidate, if it is made
by--
(i) an authorized committee or any other
agent of the candidate for purposes of making
any expenditure; or
(ii) any person authorized or requested by
the candidate, an authorized committee of the
candidate, or an agent of the candidate, to
make the expenditure.
INCREASES ON LIMITS BASED ON INCREASES IN PRICE INDEX
(c)(1) At the beginning of each calendar year (commencing
in 1976), as there become available necessary data from the
Bureau of Labor Statistics of the Department of Labor, the
Secretary of Labor shall certify to the Commission and publish
in the Federal Register the percent difference between the
price index for the 12 months preceding the beginning of such
calendar year and the price index for the base period. Each
limitation established by subsection (b) of this section and
subsection (d) of this section shall be increased by such
percent difference. Each amount so increased shall be the
amount in effect for such calendar year.
(2) For purposes of paragraph (1)--
(A) the term ``price index'' means the average over a
calendar year of the Consumer Price Index (all items--
United States city average) published monthly by the
Bureau of Labor Statistics; and
(B) the term ``base period'' means the calendar year
1974.
EXPENDITURES BY NATIONAL COMMITTEE, STATE COMMITTEE, OR SUBORDINATE
COMMITTEE OF STATE COMMITTEE IN CONNECTION WITH GENERAL ELECTION
CAMPAIGN OF CANDIDATES FOR FEDERAL OFFICE
(d)(1) Notwithstanding any other provision of law with
respect to limitations on expenditures or limitations on
contributions, the national committee of a political party and
a State committee of a political party, including any
subordinate committee of a State committee, may make
expenditures in connection with the general election campaign
of candidates for Federal office, subject to the limitations
contained in paragraphs (2) and (3) of this subsection.
(2) The national committee of a political party may not
make any expenditure in connection with the general election
campaign of any candidate for President of the United States
who is affiliated with such party which exceeds an amount equal
to 2 cents multiplied by the voting age population of the
United States (as certified under subsection (e) of this
section). Any expenditure under this paragraph shall be in
addition to any expenditure campaign committee of a candidate
for the office of President of the United States.
(3) The national committee of a political party, or a State
committee of a political party, including any subordinate
committee of a State committee, may not make any expenditure in
connection with the general election campaign of a candidate
for Federal office in a State who is affiliated with such party
which exceeds--
(A) in the case of a candidate for election to the
office of Senator, or of Representative from a State
which is entitled to only one Representative, the
greater of--
(i) 2 cents multiplied by the voting age
population of the State (as certified under
subsection (c) of this section); or
(ii) $20,000; and
(B) in the case of a candidate for election to the
office of Representative, Delegate, or Resident
Commissioner in any other State, $10,000.
CERTIFICATION AND PUBLICATION OF ESTIMATED VOTING AGE POPULATION
(e) During the first week of January 1975, and every
subsequent year, the Secretary of Commerce shall certify to the
Commission and publish in the Federal Register an estimate of
the voting age population of the United States, of each State,
and of each congressional district as of the first day of July
next preceding the date of certification. The term ``voting age
population'' means resident population, 18 years of age or
older.
PROHIBITED CONTRIBUTIONS AND EXPENDITURES
(f) No candidate or political committee shall knowingly
accept any contribution or make any expenditure in violation of
the provisions of this section. No officer or employee of a
political committee shall knowingly accept a contribution made
for the benefit or use of a candidate, or knowingly make any
expenditure on behalf of a candidate, in violation of any
limitation imposed on contributions and expenditures under this
section.
ATTRIBUTION OR MULTI-STATE EXPENDITURES TO CANDIDATE'S EXPENDITURES
LIMITATION IN EACH STATE
(g) The Commission shall prescribe rules under which any
expenditure by a candidate for presidential nominations for use
in 2 or more States shall be attributed to such candidate's
expenditure limitation in each such State, based on the voting
age population in such State which can reasonably be expected
to be influenced by such expenditure.
SENATORIAL CANDIDATES
(h) Notwithstanding any other provision of this Act,
amounts totaling not more than $17,500 may be contributed to a
candidate for nomination for election, or for election, to the
United States Senate during the year in which an election is
held in which he is such a candidate, by the Republican or
Democratic Senatorial Campaign Committee, or the national
committee of a political party, or any combination of such
committees.
Pub.L. 92-225, Title III, Sec. 315, formerly Sec. 320, as added
by Pub.L. 94-283, Title I, Sec. 112(2), May 11,
1976, 90 Stat. 486, renumbered by Pub.L. 96-187,
Title I, Sec. 105(a)(5), Jan. 8, 1980, 93 Stat.
1354; Pub.L. 99-514, Sec. 2, Oct. 22, 1986, 100
Stat. 2095.
2 U.S.C. Sec. 441b. Contributions or expenditures by national banks,
corporations, or labor organizations
(a) It is unlawful for any national bank, or any
corporation organized by authority of any law of Congress, to
make a contribution or expenditure in connection with any
election to any political office, or in connection with any
primary election or political convention or caucus held to
select candidates for any political office, or for any
corporation whatever, or any labor organization, to make a
contribution or expenditure in connection with any election at
which presidential and vice presidential electors or a Senator
or Representative in, or a Delegate or Resident Commissioner
to, Congress are to be voted for, or in connection with any
primary election or political convention or caucus held to
select candidates for any of the foregoing offices, or for any
candidate, political committee, or other person knowingly to
accept or receive any contribution prohibited by this section,
or any officer or any director of any corporation or any
national bank or any officer of any labor organization to
consent to any contribution or expenditure by the corporation,
national bank, or labor organization, as the case may be,
prohibited by this section.
(b)(1) For the purposes of this section the term ``labor
organization'' means any organization of any kind, or any
agency or employee representation committee or plan, in which
employees participate and which exists for the purpose, in
whole or in part, of dealing with employers concerning
grievances, labor disputes, disputes, wages, rates of pay,
hours of employment, or conditions of work.
(2) For purposes of this section and section 79l(h) of
title 15, the term ``contribution or expenditure'' shall
include any direct or indirect payment, distribution, loan,
advance, deposit, or gift of money, or any services, or
anything of value (except a loan of money by a national or
State bank made in accordance with the applicable banking laws
and regulations and in the ordinary course of business) to any
candidate, campaign committee, or political party or
organization, in connection with any election to any of the
offices referred to in this section, but shall not include (A)
communications by a corporation to its stockholders and
executive or administrative personnel and their families or by
a labor organization to its members and their families on any
subject; (B) nonpartisan registration and get-out-the-vote
campaigns by a corporation aimed at its stockholders and
executive or administrative personnel and their families, or by
a labor organization aimed at its members and their families;
and (C) the establishment, administration, and solicitation of
contributions to a separate segregated fund to be utilized for
political purposes by a corporation, labor organization,
membership organization, cooperative, or corporation without
capital stock.
(3) It shall be unlawful--
(A) for such a fund to make a contribution or
expenditure by utilizing money or anything of value
secured by physical force, job discrimination,
financial reprisals, or the threat of force, job
discrimination, or financial reprisal; or by dues,
fees, or other moneys required as a condition of
membership in a labor organization or as a condition of
employment, or by moneys obtained in any commercial
transaction;
(B) for any person soliciting an employee for a
contribution to such a fund to fail to inform such
employee of the political purposes of such a fund at
the time of such solicitation; and
(C) for any person soliciting an employee for a
contribution to such a fund to fail to inform such
employee, at the time of such solicitation, of his
right to refuse to so contribute without any reprisal.
(4)(A) Except as provided in subparagraphs (B), (C), and
(D), it shall be unlawful--
(i) for a corporation, or a separate segregated fund
established by a corporation, to solicit contributions
to such a fund from any person other than its
stockholders and their families and its executive or
administrative personnel and their families, and
(ii) for a labor organization, or a separate
segregated fund established by a labor organization, to
solicit contributions to such a fund from any person
other than its members and their families.
(B) It shall not be unlawful under this section for a
corporation, a labor organization, or a separate segregated
fund established by such corporation or such labor organization
to make 2 written solicitations for contributions during the
calendar year from any stockholder, executive or administrative
personnel, or employee of a corporation or the families of such
persons. A solicitation under this subparagraph may be made
only by mail addressed to stockholders, executive or
administrative personnel, or employees at their residence and
shall be so designed that the corporation, labor organization,
or separate segregated fund conducting such solicitation cannot
determine who makes a contribution of $50 or less as a result
of such solicitation and who does not make such a contribution.
(C) This paragraph shall not prevent a membership
organization, cooperative, or corporation without capital
stock, or a separate segregated fund established by a
membership organization, cooperative, or corporation without
capital stock, from soliciting contributions to such a fund
from members of such organization, cooperative, or corporation
without capital stock.
(D) This paragraph shall not prevent a trade association or
a separate segregated fund established by a trade association
from soliciting contributions from the stockholders and
executive or administrative personnel of the member
corporations of such trade association and the families of such
stockholders or personnel to the extent that such solicitation
of such stockholders and personnel, and their families, has
been separately and specifically approved by the member
corporation involved, and such member corporation does not
approve any such solicitation by more than one such trade
association in any calendar year.
(5) Notwithstanding any other law, any method of soliciting
voluntary contributions or of facilitating the making of
voluntary contributions to a separate segregated fund
established by a corporation, permitted by law to corporations
with regard to stockholders and executive or administrative
personnel, shall also be permitted to labor organizations with
regard to their members.
(6) Any corporation, including its subsidiaries, branches,
divisions, and affiliates, that utilizes a method of soliciting
voluntary contributions or facilitating the making of voluntary
contributions, shall make available such method, on written
request and at a cost sufficient only to reimburse the
corporation for the expenses incurred thereby, to a labor
organization representing any members working for such
corporation, its subsidiaries, branches, divisions, and
affiliates.
(7) For purposes of this section, the term ``executive or
administrative personnel'' means individuals employed by a
corporation who are paid on a salary, rather than hourly, basis
and who have policymaking managerial, professional, or
supervisory responsibilities.
Pub.L. 92-225, Title III, Sec. 316, formerly Sec. 321, as added
by Pub.L. 94-283, Title I, Sec. 112(2), May 11,
1976, 90 Stat. 490, renumbered and amended by
Pub.L. 96-187, Title I, Sec. Sec. 105(a)(5),
112(d), Jan. 8, 1980, 93 Stat. 1354, 1366.
2 U.S.C. Sec. 441c. Contributions by Government contractors
(a) Prohibition
It shall be unlawful for any person--
(1) who enters into any contract with the United
States or any department or agency thereof either for
the rendition of personal services or furnishing any
material, supplies, or equipment to the United States
or any department or agency thereof or for selling any
land or building to the United States or any department
or agency thereof, if payment for the performance of
such contract or payment for such material, supplies,
equipment, land, or building is to be made in whole or
in part from funds appropriated by the Congress, at any
time between the commencement of negotiations for and
the later of (A) the completion of performance under;
or (B) the termination of negotiations for, such
contract or furnishing of material, supplies,
equipment, land, or buildings, directly or indirectly
to make any contribution of money or other things of
value, or to promise expressly or impliedly to make any
such contribution to any political party, committee, or
candidate for public office or to any person for any
political purpose or use; or
(2) knowingly to solicit any such contribution from
any such person for any such purpose during any such
period.
(b) Separate Segregated Funds
This section does not prohibit or make unlawful the
establishment or administration of, or the solicitation of
contributions to, any separate segregated fund by any
corporation, labor organization, membership organization,
cooperative, or corporation without capital stock for the
purpose of influencing the nomination for election, or
election, of any person to Federal office, unless the
provisions of section 411b of this title prohibit or make
unlawful the establishment or administration of, or the
solicitation of contributions to, such fund. Each specific
prohibition, allowance, and duty applicable to a corporation,
labor organization, or separate segregated fund under section
411b of this title applies to a corporation, labor
organization, or separate segregated fund to which this
subsection applies.
(c) ``Labor Organization'' Defined
For purposes of this section, the term ``labor
organization'' has the meaning given it by section 441b(b)(1)
of this title.
Pub.L. 92-225, Title III, Sec. 317, formerly Sec. 322, as added
by Pub.L. 94-283, Title I, Sec. 112(2), May 11,
1976, 90 Stat. 492, renumbered by Pub.L. 96-187,
Title I, Sec. 105(a)(5), Jan. 8, 1980, 93 Stat.
1354.
2 U.S.C. Sec. 441d. Publication and distribution of political
statements and solicitations
(a) Whenever any person makes an expenditure for the
purpose of financing communications expressly advocating the
election or defeat of a clearly identified candidate, or
solicits any contribution through any broadcasting station,
newspaper, magazine, outdoor advertising facility, direct
mailing, or any other type of general public political
advertising, such communication--
(1) if paid for an authorized by a candidate, an
authorized political committee of a candidate, or its
agents, shall clearly state that the communication has
been paid for by such authorized political committee,
or
(2) if paid for by other persons but authorized by a
candidate, an authorized political committee of a
candidate, or its agents, shall clearly state that the
communication is paid for by such other persons and
authorized by such authorized political committee;
(3) if not authorized by a candidate, and authorized
political committee of a candidate, or its agents,
shall clearly state the name of the person who paid for
the communication and state that the communication is
not authorized by any candidate or candidate's
committee.
(b) No person who sells space in a newspaper or magazine to
a candidate or to the agent of a candidate, for use in
connection with such candidate's campaign, may charge any
amount for such space which exceeds the amount charged for
comparable use of such space for other purposes.
Pub.L. 92-225, Title III, Sec. 318, formerly Sec. 323, as added
by Pub.L. 94-283, Title I, Sec. 112(2), May 11,
1976, 90 Stat. 493, renumbered and amended by
Pub.L. 96-187, Title I, Sec. Sec. 105(a)(5), 111,
Jan. 8, 1980, 93 Stat. 1354, 1365.
2 U.S.C. Sec. 441e. Contributions by foreign nationals
(a) It shall be unlawful for a foreign national directly or
through any other person to make any contribution of money or
other thing of value, or to promise expressly or impliedly to
make any such contribution, in connection with an election to
any political office or in connection with any primary
election, convention, or caucus held to select candidates for
any political office; or for any person to solicit, accept, or
receive any such contribution from a foreign national.
(b) As used in this section, the term ``foreign national''
means--
(1) a foreign principal, as such term is defined by
section 611(b) of title 22, except that the term
``foreign national'' shall not include any individual
who is a citizen of the United States; or
(2) an individual who is not a citizen of the United
States and who is not lawfully admitted for permanent
residence, as defined by section 1101(a)(20) of title
8.
Pub.L. 94-225, Title III, Sec. 319, formerly Sec. 324, as added
by Pub.L. 94-283, Title I, Sec. 112(2), May 11,
1976, 90 Stat. 493, renumbered by Pub.L. 96-187,
Title I, Sec. 105(a)(5), Jan 8, 1980, 93 Stat.
1354.
2 U.S.C. Sec. 441f. Contributions in name of another prohibited
No person shall make a contribution in the name of another
person or knowingly permit his name to be used to effect such a
contribution, and no person shall knowingly accept a
contribution made by one person in the name of another person.
Pub.L. 92-225, Title III, Sec. 320, formerly Sec. 325, as added
by Pub.L. 94-283, Title I, Sec. 112(2), May 11,
1976, 90 Stat. 494, renumbered by Pub.L. 96-187,
Title I, Sec. 105(a)(5), Jan 8, 1980, 93 Stat.
1354.
2 U.S.C. Sec. 441g. Limitation on contribution of currency
No person shall make contributions of currency of the
United States or currency of any foreign country to or for the
benefit of any candidate which, in the aggregate, exceed $100,
with respect to any campaign of such candidate for nomination
for election, or for election, to Federal office.
Pub.L. 92-225, Title III, Sec. 321, formerly Sec. 326, as added
by Pub.L. 94-283, Title I, Sec. 112(2), May 11,
1976, 90 Stat. 494, renumbered by Pub.L. 96-187,
Title I, Sec. 105(a)(5), Jan 8, 1980, 93 Stat.
1354.
2 U.S.C. Sec. 441h. Fraudulent misrepresentation of campaign authority
No person who is a candidate for Federal office or an
employee or agent of such a candidate shall--
(1) fraudulently misrepresent himself or any
committee or organization under his control as speaking
or writing or otherwise acting for or on behalf of any
other candidate or political party or employee or agent
thereof on a matter which is damaging to such other
candidate or political party or employee or agent
thereof; or
(2) willfully and knowingly participate in or
conspire to participate in any plan, scheme, or design
to violate paragraph (1).
Pub.L. 92-225, Title III, Sec. 332, formerly Sec. 327, as added
by Pub.L. 94-283, Title I, Sec. 112(2), May 11,
1976, 90 Stat. 494, renumbered by Pub.L. 96-187,
Title I, Sec. 105(a)(5), Jan 8, 1980, 93 Stat.
1354.
2. U.S.C. Sec. 441i. [Acceptance of excessive honorariums] Repealed.
[2 U.S.C. Sec. 441i (based on Pub.L. 92-225, Title III,
Sec. 323, formerly Sec. 322 as added Pub.L 94-283, title I,
Sec. 112(2), May 11, 1976, 90 Stat. 494; amended Pub.L. 95-216,
Title V, Sec. 112(2), May 11, 1976, 90 Stat. 494; amended
Pub.L. 95-216, Title V, Sec. 502(a), Dec. 20, 1977, 91 Stat.
1565; renumbered Pub.L. 96-187, Title I, Sec. 105(5), Jan. 8,
1980, 93 Stat. 1354; amended Pub.L. 97-51, Sec. 130(a), Oct. 1,
1981, 95 Stat. 966; amended Pub.L. 98-63, Title I, Sec. 908(g),
July 30, 1983, 97 Stat. 338; amended Pub.L. 101-194, Title VI,
Sec. 601(b)(1), Nov. 30, 1989, 103 Stat. 1762; and amended
Pub.L. 101-280, Sec. 7(b), May 4, 1990, 104 Stat. 161) was
repealed by Pub.L. 102-90, Title I, Sec. 6(d), Aug. 14, 1991,
105 Stat. 447.]
2 U.S.C. Sec. 441j. [Penalty for violations] Repealed.
[2 U.S.C. Sec. 441j (based on Pub.L. 92-225, Title III,
Sec. 329, as added by Pub.L. 94-283, Title I, Sec. 112(2), May
11, 1976, 90 Stat. 494) was repealed by Pub.L. 96-187, Title I,
Sec. 105(a)(1), Jan. 8, 1980, 93 Stat. 1354.]
2 U.S.C. Sec. 442. Authority to procure technical support and other
services and incur travel expenses; payment of such
expenses
For the purpose of carrying out his duties under the
Federal Election Campaign Act of 1971, the Secretary of the
Senate is authorized from and after July 1, 1972, (1) to
procure technical support services, (2) to procure the
temporary or intermittent services of individual technicians,
experts or consultants, or organizations thereof, in the same
manner and under the same conditions, to the extent applicable,
as a standing committee of the Senate may procure such services
under section 72a(i) of this title, (3) with the prior consent
of the Government department or agency concerned and the
Committee on Rules and Administration, to use on a reimbursable
basis the services of personnel of any such department or
agency, and (4) to incur official travel expenses. Payments to
carry out the provisions of this paragraph shall be made from
funds included in the appropriation ``Miscellaneous Items''
under the heading ``Contingent Expenses of the Senate'' upon
vouchers approved by the Secretary of the Senate. All sums
received by the Secretary under authority of the Federal
Election Campaign Act of 1971 shall be covered into the
Treasury as miscellaneous receipts.
Pub.L. 92-342, Sec. 101, July 10, 1972, 86 Stat. 435.
2 U.S.C. Sec. 451. Extension of credit by regulated industries;
regulations
The Secretary of Transportation, the Federal Communications
Commission, and the Surface Transportation Board shall each
maintain,\1\ its own regulations with respect to the extension
of credit, without security, by any person regulated by the
Secretary under subpart II of part A of subtitle VII of Title
49, or such Commission or Board, to any candidate for Federal
office, or to any person on behalf of such a candidate, for
goods furnished or services rendered in connection with the
campaign of such candidate for nomination for election, or
election, to such office.
\1\ So in original. The comma probably should not appear.
(Pub.L. 92-225, Title IV, Sec. 401, Feb. 7, 1972, 86 Stat. 19;
Pub.L. 93-443, Title II, Sec. 201(b)(1), Oct. 15, 1974, 88
Stat. 1275; Pub.L. 103-272, Sec. 4(a), July 5, 1994, 108 Stat.
1360; Pub.L. 104-88, Title III, Sec. 313, Dec. 29, 1995, 109
Stat. 948; Pub.L. 104-287, Sec. 6(g), Oct. 11, 1996, 110 Stat.
3399.)
2 U.S.C. Sec. 452. Prohibition against use of certain Federal funds for
election activities
No part of any funds appropriated to carry out the Economic
Opportunity Act of 1964 [42 U.S.C. 2701 et seq.] shall be used
to finance directly or indirectly, any activity designed to
influence the outcome of any election to Federal office, or any
voter registration activity, or to pay the salary of any
officer or employee of the Community Services Administration
who, in his official capacity as such an officer or employee,
engages in any such activity.
Pub.L. 92-225, Title IV, Sec. 401, Feb. 7, 1972, 86 Stat. 19,
amended by Pub.L. 93-443, Title II, 201(b)(2), Oct.
15, 1974, 88 Stat. 1275.
2 U.S.C. Sec. 453. State laws affected
The provisions of this Act, and of rules prescribed under
this Act, supersede and preempt any provision of State law with
respect to election to Federal office.
Pub.L. 92-225, Title IV, Sec. 403, Feb. 7, 1972, 86 Stat. 20,
as amended by Pub.L. 93-443, Title III, Sec. 301,
Oct. 15, 1974, 88 Stat. 1289.
2 U.S.C. Sec. 454. Partial invalidity
If any provision of this Act, or the application thereof to
any person or circumstance, is held invalid, the validity of
the remainder of the Act and the application of such provision
to other persons and circumstances shall not be affected
thereby.
Pub.L. 92-225, title IV, Sec. 404, Feb. 7, 1972, 86 Stat. 20.
2 U.S.C. Sec. 455. Period of limitations
(a) No person shall be prosecuted, tried, or punished for
any violation of subchapter I of this chapter unless the
indictment is found or the information is instituted within 3
years after the date of the violation.
(b) Notwithstanding any other provision of law--
(1) the period of limitations referred to in
subsection (a) of this section shall apply with respect
to violations referred to in such subsection committed
before, on, or after the effective date of this
section; and
(2) no criminal proceeding shall be instituted
against any person for any act or omission which was a
violation of any provision of subchapter I of this
chapter, as in effect on December 21, 1974, if such act
or omission does not constitute a violation of any such
provision, as amended by the Federal Election Campaign
Act Amendments of 1974.
Nothing in this subsection shall affect any proceeding pending
in any court of the United States on January 1, 1975.
Pub.L. 92-225, Title IV, Sec. 406, as added by Pub.L. 93-443,
Title III, Sec. 302, Oct. 15, 1974, 88 Stat. 1289-
90, as amended by Pub.L. 94-283, Title I,
Sec. 115(f), May 11, 1976, 90 Stat. 496.
2 U.S.C. Sec. 456. [Additional enforcement authority] Repealed.
[2 U.S.C. Sec. 456 (which was based on section 407 of
Pub.L. 92-225, as added by section 302 of Pub.L. 93-443) was
repealed by Pub.L. 94-283, Title I, Sec. 111, May 11, 1976, 90
Stat. 486.]
D. FINANCIAL DISCLOSURE REQUIREMENTS OF FEDERAL PERSONNEL
----------
5 U.S.C. App. 4 Sec. 101. Persons required to file
(a) Within thirty days of assuming the position of an
officer or employee described in subsection (f), an individual
shall file a report containing the information described in
section 102(b) [5 U.S.C. App. 4 Sec. 102(b)] unless the
individual has left another position described in subsection
(f) within thirty days prior to assuming such new position or
has already filed a report under this title [5 U.S.C. App. 4
Sec. Sec. 101 et seq.] with respect to nomination for the new
position or as a candidate for the position.
(b)(1) Within five days of the transmittal by the President
to the Senate of the nomination of an individual (other than an
individual nominated for appointment to a position as a Foreign
Service Officer or a grade or rank in the uniformed services
for which the pay grade prescribed by section 201 of title 37,
United States Code, is O-6 or below) to a position, appointment
to which requires the advice and consent of the Senate, such
individual shall file a report containing the information
described in section 102(b) [5 U.S.C. App. 4 Sec. 102(b)]. Such
individual shall, not later than the date of the first hearing
to consider the nomination of such individual, make current the
report filed pursuant to this paragraph by filing the
information required by section 102(a)(1)(A) [5 U.S.C. App. 4
Sec. 102(a)(1)(A)] with respect to income and honoraria
received as of the date which occurs five days before the date
of such hearing. Nothing in this Act shall prevent any
Congressional committee from requesting, as a condition of
confirmation, any additional financial information from any
Presidential nominee whose nomination has been referred to that
committee.
(2) An individual whom the President or the President-elect
has publicly announced he intends to nominate to a position may
file the report required by paragraph (1) at any time after the
public announcement, but not later than is required under the
first sentence of such paragraph.
(c) Within thirty days of becoming a candidate as defined
in section 301 of the Federal Campaign Act of 1971 [2 U.S.C.
Sec. 431], in a calendar year for nomination or election to the
office of President, Vice President, or Member of Congress, or
on or before May 15 of that calendar year, whichever is later,
but in no event later than 30 days before the election, and on
or before May 15 of each successive year an individual
continues to be a candidate, an individual other than an
incumbent President, Vice President, or Member of Congress
shall file a report containing the information described in
section 102(b) [5 U.S.C. App. 4 Sec. 102(b)]. Notwithstanding
the preceding sentence, in any calendar year in which an
individual continues to be a candidate for any office but all
elections for such office relating to such candidacy were held
in prior calendar years, such individual need not file a report
unless he becomes a candidate for another vacancy in that
office or another office during that year.
(d) Any individual who is an officer or employee described
in subsection (f) during any calendar year and performs the
duties of his position or office for a period in excess of
sixty days in that calendar year shall file on or before May 15
of the succeeding year a report containing the information
described in section 102(a) [5 U.S.C. App. 4 Sec. 102(a)].
(e) Any individual who occupies a position described in
subsection (f) shall, on or before the thirtieth day after
termination of employment in such position, file a report
containing the information described in section 102(a) [5
U.S.C. App. 4 Sec. 102(a)] covering the preceding calendar year
if the report required by subsection (d) has not been filed and
covering the portion of the calendar year in which such
termination occurs up to the date the individual left such
office or position, unless such individual has accepted
employment in another position described in subsection (f).
(f) The officers and employees referred to in subsections
(a), (d), and (e) are--
(1) the President;
(2) the Vice President;
(3) each officer or employee in the executive branch,
including a special Government employee as defined in
section 202 of title 18, United States Code, who
occupies a position classified above GS-15 of the
General Schedule or, in the case of positions not under
the General Schedule, for which the rate of basic pay
is equal to or greater than 120 percent of the minimum
rate of basic pay payable for GS-15 of the General
Schedule; each member of a uniformed service whose pay
grade is at or in excess of O-7 under section 201 of
title 37, United States Code; and each officer or
employee in any other position determined by the
Director of the Office of Government Ethics to be of
equal classification;
(4) each employee appointed pursuant to section 3105
of title 5, United States Code;
(5) any employee not described in paragraph (3) who
is in a position in the executive branch which is
excepted from the competitive service by reason of
being of a confidential or policymaking character,
except that the Director of the Office of Government
Ethics may, by regulation, exclude from the application
of this paragraph any individual, or group of
individuals, who are in such positions, but only in
cases in which the Director determines such exclusion
would not affect adversely the integrity of the
Government or the public's confidence in the integrity
of the Government;
(6) the Postmaster General, the Deputy Postmaster
General, each Governor of the Board of Governors of the
United States Postal Service and each officer or
employee of the United States Postal Service or Postal
Rate Commission who occupies a position for which the
rate of basic pay is equal to or greater than 120
percent of the minimum rate of basic pay payable for
GS-15 of the General Schedule;
(7) the Director of the Office of Government Ethnics
and each designated agency ethics official;
(8) any civilian employee not described in paragraph
(3), employed in the Executive Office of the President
(other than a special government employee) who holds a
commission or appointment from the President;
(9) a Member of Congress as defined under section
109(12) [5 U.S.C. App. 4 Sec. 109(12)];
(10) an officer or employee of the Congress as
defined under section 109(13) [5 U.S.C. App. 4
Sec. 109(13)];
(11) a judicial officer as defined under section
109(10) [5 U.S.C. App. 4 Sec. 109(10)]; and
(12) a judicial employee as defined under section
109(8) [5 U.S.C. App. 4 Sec. 109(8)].
(g)(1) Reasonable extensions of time for filing any report
may be granted under procedures prescribed by the supervising
ethics office for each branch, but the total of such extensions
shall not exceed ninety days.
(2)(A) In the case of an individual who is serving in the
Armed Forces, or serving in support of the Armed Forces, in an
area while that area is designated by the President by
Executive order as a combat zone for purposes of section 112 of
the Internal Revenue Code of 1986, the date for the filing of
any report shall be extended so that the date is 180 days after
the later of--
(i) the last day of the individual's service in such
area during such designated period; or
(ii) the last day of the individual's hospitalization
as a result of injury received or disease contracted
while serving in such area.
(B) The Office of Government Ethics, in consultation with
the Secretary of Defense, may prescribe procedures under this
paragraph.
(h) The provisions of subsection (a), (b), and (e) shall
not apply to an individual who, as determined by the designated
agency ethics official or Secretary concerned (or in the case
of a Presidential appointee under subsection (b), the Director
of the Office of Government Ethics), the congressional ethics
committees, or the Judicial Conference, is not reasonably
expected to perform the duties of his office or position for
more than sixty days in a calendar year, except that if such
individual performs the duties of his office or position for
more than sixty days in a calendar year--
(1) the report required by subsections (a) and (b)
shall be filed within fifteen days of the sixtieth day,
and
(2) the report required by subsection (e) shall be
filed as provided in such subsection.
(i) The supervising ethics office for each branch may grant
a publicly available request for a waiver of any reporting
requirement under this section for an individual who is
expected to perform or has performed the duties of his office
or position less than one hundred and thirty days in a calendar
year, but only if the supervising ethics office determines
that--
(1) such individual is not a full-time employee of
the Government,
(2) such individual is able to provide services
specially needed by the Government,
(3) it is unlikely that the individual's outside
employment or financial interests will create a
conflict of interest, and
(4) public financial disclosure by such individual is
not necessary in the circumstances.
Pub.L. 95-521, Title I, Sec. 101; Oct. 26, 1978, 92 Stat. 1824;
Pub.L. 96-19, Sec. Sec. 2 (a)(1), (b), (c)(1),
4(b)(1), (d)-(f), 5, June 13, 1979, 93 Stat. 37,
38, 40; Pub.L. 101-194, Title II, Sec. 202, Nov.
30, 1989, 103 Stat. 1725; Pub.L. 101-280, Sec. 3
(1), (2), May 4, 1990, 104 Stat. 152; Pub.L. 102-
25, Title VI, Sec. 605(a), Apr. 6, 1991, 105 Stat.
110; Pub.L. 102-378, Sec. 4(a)(1), Oct. 2, 1992,
106 Stat. 1356.
5 U.S.C. App. 4 Sec. 102. Contents of reports
(a) Each report filed pursuant to section 101(d) and (e) [5
U.S.C. App. Sec. 101(d), (e)] shall include a full and complete
statement with respect to the following:
(1)(A) The source, type, and amount or value of income
(other than income referred to in subparagraph (B)) from any
source (other than from current employment by the United States
Government), and the source, date, and amount of honoraria from
any source, received during the preceding calendar year,
aggregating $200 or more in value and, effective January 1,
1991, the source, date, and amount of payments made to
charitable organizations in lieu of honoraria, and the
reporting individual shall simultaneously file with the
applicable supervising ethics office, on a confidential basis,
a corresponding list of recipients of all such payments,
together with the dates and amounts of such payments.
(B) The source and type of income which consists of
dividends, rents, interest, and capital gains, received during
the preceding calendar year which exceeds $200 in amount or
value, and an indication of which of the following categories
the amount or value of such item of income is within:
(i) not more than $1,000;
(ii) greater than $1,000 but not more than $2,500;
(iii) greater than $2,500 but not more than $5,000;
(iv) greater than $5,000 but not more than $15,000;
(v) greater than $15,000 but not more than $50,000;
(vi) greater than $50,000 but not more than $100,000;
(vii) greater than $100,000 but not more than
$1,000,000;
(viii) greater than $1,000,000 but not more than
$5,000,000, or
(ix) greater than $5,000,000.
(2)(A) The identity of the source, a brief description, and
the value of all gifts aggregating more than the minimal value
as established by section 7342(a)(5) of title 5, United States
Code, or $250, whichever is greater, received from any source
other than a relative of the reporting individual during the
preceding calendar year, except that any food, lodging or
entertainment received as personal hospitality of an individual
need not be reported, and any gift with a fair market value of
$100 or less, as adjusted at the same time and by the same
percentage as the minimal value is adjusted, need not be
aggregated for purposes of this subparagraph.
(B) The identity of the source and a brief description
(including a travel itinerary, dates, and nature of expense
provided) of reimbursements received from any source
aggregating more than the minimal value as established by
Sec. 7342(a)(5) of Title 5, U.S.C., or $250, whichever is
greater in value and received during the preceding calendar
year.
(C) In an unusual case, a gift need not be aggregated under
subparagraph (A) if a publicly available request for a waiver
is granted.
(3) The identity and category of value of any interest in
property held during the preceding calendar year, in a trade or
business, or for investment or the production of income, which
has a fair market value which exceeds $1,000 as of the close of
the preceding calendar year, excluding any personal liability
owed to the reporting individual by a spouse, or by a parent,
brother, sister, or child of the reporting individual or of the
reporting individual's spouse, or any deposits aggregating
$5,000 or less in a personal savings account. For purposes of
this paragraph, a personal savings account shall include any
certificate of deposit or any other form of deposit in a bank,
savings and loan association, credit union, or similar
financial institution.
(4) The identity and category of value of the total
liabilities owed to any creditor other than a spouse, or a
parent, brother, sister, or child of the reporting individual's
spouse which exceed $10,000 at any time during the preceding
calendar year, excluding--
(A) any mortgage secured by real property which is a
personal residence of the reporting individual or his
spouse; and
(B) any loan secured by a personal motor vehicle,
household furniture, or appliances, which loan does not
exceed the purchase price of the item which secures it.
With respect to revolving charge accounts, only those with
an outstanding liability which exceeds $10,000 as of the close
of the preceding calendar year need be reported under this
paragraph.
(5) Except as provided in this paragraph, a brief
description, the date, and category of value of any purchase,
sale or exchange during the preceding calendar year which
exceeds $1,000--
(A) in real property, other than property used solely
as a personal residence of the reporting individual or
his spouse; or
(B) in stocks, bonds, commodities futures, and other
forms of securities.
Reporting is not required under this paragraph of any
transaction solely by and between the reporting individual, his
spouse, or dependent children.
(6)(A) The identity of all positions held on or before the
date of filing during the current calendar year (and, for the
first report filed by an individual, during the two-year period
preceding such calendar year) as an officer, director, trustee,
partner, proprietor, representative, employee, or consultant of
any corporation, company, firm, partnership, or the business
enterprise, any nonprofit organization, any labor organization,
or any educational or other institution other than the United
States. This subparagraph shall not require the reporting of
positions held in any religious, social, fraternal, or
political entity and positions solely of an honorary nature.
(B) If any person, other than the United States Government,
paid a nonelected reporting individual compensation in excess
of $5,000 in any of the two calendar years prior to the
calendar year during which the individual files his first
report under this title [5 U.S.C. App. Sec. Sec. 101 et seq.],
the individual shall include in the report--
(i) the identify of each source of such compensation;
and
(ii) a brief description of the nature of the duties
performed or services rendered by the reporting
individual for each such source.
The preceding sentence shall not require any individual to
include in such report any information which is considered
confidential as a result of a privileged relationship,
established by law, between such individual and any person nor
shall it require an individual to report any information with
respect to any person for whom services were provided by any
firm or association of which such individual was a member,
partner, or employee unless such individual was directly
involved in the provision of such services.
(7) A description of the date, parties to, and terms of any
agreement or arrangement with respect to (A) future employment;
(B) a leave of absence during the period of the reporting
individual's Government service; (C) continuation of payments
by a former employer other than the United States Government;
and (D) continuing participation in an employee welfare or
benefit plan maintained by a former employer.
(8) The category of the total cash value of any interest of
the reporting individual in a qualified blind trust, unless the
trust instrument was executed prior to July 24, 1995 and
precludes the beneficiary from receiving information on the
total cash value of any interest in the qualified blind trust.
(b)(1) Each report filed pursuant to subsections (a), (b),
and (c) of section 101 [5 U.S.C. App. Sec. 101(a)-(c)] shall
include a full and complete statement with respect to the
information required by--
(A) paragraph (1) of subsection (a) for the year of
filing and the preceding calendar year,
(B) paragraphs (3) and (4) of subsection (a) as of
the date specified in the report but which is less than
thirty-one days before the filing date, and
(C) paragraphs (6) and (7) of subsection (a) as of
the filing date but for periods described in such
paragraphs.
(2)(A) In lieu of filling out one or more schedules of a
financial disclosure form, an individual may supply the
required information in an alternative format, pursuant to
either rules adopted by the supervising ethics office for the
branch in which such individual serves or pursuant to a
specific written determination by such office for a reporting
individual.
(B) In lieu of indicating the category of amount or value
of any item contained in any report filed under this title [5
U.S.C. App. Sec. Sec. 101 et seq.], a reporting individual may
indicate the exact dollar amount of such item.
(c) In the case of any individual described in section
101(e) [5 U.S.C. App. Sec. 101(e)], any reference to the
preceding calendar year shall be considered also to include
that part of the calendar year of filing up to the date of the
termination of employment.
(d)(1) The categories for reporting the amount or value of
the items covered in paragraphs (3), (4), (5), and (8) of
subsection (a) are as follows:
(A) not more than $15,000;
(B) greater than $15,000 but not more than $50,000;
(C) greater than $50,000 but not more than $100,000;
(D) greater than $100,000 but not more than $250,000;
(E) greater than $250,000 but not more than $500,000;
(F) greater than $500,000 but not more than
$1,000,000;
(G) greater than $1,000,000 but not more than
$5,000,000;
(H) greater than $5,000,000 but not more than
$25,000,000;
(I) greater than $25,000,000 but not more than
$50,000,000; and
(J) greater than $50,000,000.
(2) For the purposes of paragraph (3) of subsection (a) if
the current value of an interest in real property (or an
interest in a real estate partnership) is not ascertainable
without an appraisal, an individual may list (A) the date of
purchase and the purchase price of the interest in the real
property, or (B) the assessed value of the real property for
tax purposes, adjusted to reflect the market value of the
property used for the assessment if the assessed value is
computed at less than 100 percent of such market value, but
such individual shall include in his report a full and complete
description of the method used to determine such assessed
value, instead of specifying a category of value pursuant (1)
of this subsection. If the current value of any other item
required to be reported under paragraph (3) of subsection (a)
is not ascertainable without an appraisal, such individual may
list the book value of a corporation whose stock is not
publicly traded, the net worth of a business partnership, the
equity value of an individually owned business, or with respect
to other holdings, any recognized indication of value, but such
individual shall include in his report a full and complete
description of the method used in determining such value. In
lieu of any value referred to in the preceding sentence, an
individual may list the assessed value of the item for tax
purposes, adjusted to reflect the market value of the item used
for the assessment if the assessed value is computed at less
than 100 percent of such market value, but a full and complete
description of the method used in determining such assessed
value shall be included in the report.
(e)(1) Except as provided in the last sentence of this
paragraph, each report required by section 101 shall also
contain information listed in paragraphs (1) through (5) of
subsection (a) of this section respecting the spouse or
dependent child of the reporting individual as follows:
(A) The source of items of earned income earned by a
spouse from any person which exceed $1,000 and the
source and amount of any honoraria received by a
spouse, except that, with respect to earned income
(other than honoraria), if the spouse is self-employed
in business or a profession, only the nature of such
business or profession need be reported.
(B) All information required to be reported in
subsection (a)(1)(B) with respect to income derived by
a spouse or dependent child from any asset held by the
spouse or dependent child and reported pursuant to
subsection (a)(3).
(C) In the case of any gifts received by a spouse or
dependent child which are not received totally
independent of the relationship of the spouse or
dependent child to the reporting individual, the
identity of the source and a brief description of gifts
of transportation, lodging, food or entertainment and a
brief description and the value of other gifts.
(D) In the case of any reimbursements received by a
spouse or dependent child which are not received
totally independent of the relationship of the spouse
or dependent child to the reporting individual, the
identity of the source and brief description of each
such reimbursement.
(E) In the case of items described in paragraphs (3)
through (5) of subsection (a), all information required
to be reported under these paragraphs other than items
(i) which the reporting individual certifies represent
the spouse's or dependent child's sole financial
interest or responsibility and which the reporting
individual has no knowledge of, (ii) which are not in
any way, past or present, derived from the income,
assets, or activities of the reporting individual, and
(iii) from which the reporting individual neither
derives, nor expects to derive, any financial or
economic benefit.
(F) For purposes of this section, categories with
amounts or values greater than $1,000,000 set forth in
sections 102(a)(1)(B) and 102(d)(1) shall apply to the
income, assets, or liabilities of spouses and dependent
children only if the income, assets, or liabilities are
held jointly with the reporting individual. All other
income, assets, or liabilities of the spouse or
dependent children required to be reported under this
section in an amount or value greater than $1,000,000
shall be categorized only as an amount or value greater
than $1,000,000.
Reports required by subsections (a), (b), and (c) of
section 101 shall, with respect to the spouse and dependent
child of the reporting individual, only contain information
listed in paragraphs (1), (3), and (4) of subsection (a), as
specified in this paragraph.
(2) No report shall be required with respect to a spouse
living separate and apart from the reporting individual with
the intention of terminating the marriage or providing for
permanent separation; or with respect to any income or
obligations of an individual arising from the dissolution of
his marriage or the permanent separation from his spouse.
(f)(1) Except as provided in paragraph (2), each reporting
individual shall report the information required to be reported
pursuant to subsections (a), (b), and (c) of this section with
respect to the holdings of and the income from a trust or other
financial arrangement from which income is received by, or with
respect to which a beneficial interest in principal or income
is held by, such individual, his spouse, or any dependent
child.
(2) A reporting individual need not report the holdings of
the source of income from any of the holdings of--
(A) any qualified blind trust (as defined in
paragraph (3));
(B) a trust--
(i) which was not created directly by such
individual, his spouse, or any dependent child,
and
(ii) the holdings or sources of income of
which such individual, his spouse, and any
dependent child have no knowledge of; or
(C) an entity described under the provisions of
paragraph (8), but such individual shall report the
category of the amount of income received by him, his
spouse, or any dependent child from the trust or other
entity under subsection (a)(1)(B) of this section.
(3) For purposes of this subsection, the term ``qualified
blind trust'' includes any trust in which a reporting
individual, his spouse, or any minor or dependent child has a
beneficial interest in the principal or income, and which meets
the following requirements:
(A)(i) The trustee of the trust and any other entity
designated in the trust instrument to perform fiduciary
duties is a financial institution, an attorney, a
certified public accountant, a broker, or an investment
advisor who--
(I) is independent of and not associated with
any interested party so that the trustee or
other person cannot be controlled or influenced
in the administration of the trust by any
interested party; and
(II) is not and has not been an employee of
or affiliated with any interested party and is
not a partner of, or involved in any joint
venture or other investment with, any
interested party; and
(III) is not a relative of any interested
party.
(ii) Any officer or employee of a trustee or other
entity who is involved in the management or control of
the trust--
(I) is independent of and not associated with
any interested party so that such officer or
employee cannot be controlled or influenced in
the administration of the trust by any
interested party;
(II) is not a partner of, or involved in any
joint venture or other investment with, any
interested party; and
(III) is not a relative of any interested
party.
(B) Any asset transferred to the trust by an
interested party is free of any restriction with
respect to its transfer or sale unless such restriction
is expressly approved by the supervising ethics office
of the reporting individual.
(C) The trust instrument which establishes the trust
provides that--
(i) except to the extent provided in
subparagraph (B) of this paragraph, the trustee
in the exercise of his authority and discretion
to manage and control the assets of the trust
shall not consult or notify any interested
party;
(ii) the trust shall not contain any asset
the holding of which by an interested party is
prohibited by any law or regulation;
(iii) the trustee shall promptly notify the
reporting individual and his supervising ethics
office when the holdings of any particular
asset transferred to the trust by any
interested party are disposed of or when the
value of such holding is less than $1,000;
(iv) the trust tax return shall be prepared
by the trustee or his designee, and such return
and any information relating thereto (other
than the trust income summarized in appropriate
categories necessary to complete an interested
party's tax return), shall not be disclosed to
any interested party;
(v) an interested party shall not receive any
report on the holdings and sources of income of
the trust, except a report at the end of each
calendar quarter with respect to the total cash
value of the interest of the interested party
in the trust or the net income or loss of the
trust or any reports necessary to enable the
interested party to complete an individual tax
return required by law or to provide the
information required by subsection (a)(1) of
this section, but such report shall not
identify any asset or holding;
(vi) except for communications which solely
consist of requests for distributions of cash
or other unspecified assets of the trust, there
shall be no direct or indirect communication
between the trustee and an interested party
with respect to the trust unless such
communication is in writing and unless it
relates only (I) to the general financial
interest and needs of the interested party
(including, but not limited to, an interest in
maximizing income or long-term capital gain),
(II) to the notification of the trustee of a
law or regulation subsequently applicable to
the reporting individual which prohibits the
interested party from holding an asset, which
notification directs that the asset not be held
by the trust, or (III) to directions to the
trustee to sell all of an asset initially
placed in the trust by an interested party
which in the determination of the reporting
individual creates a conflict of interest or
the appearance thereof due to the subsequent
assumption of duties by the reporting
individual (but nothing herein shall require
any such direction); and
(vii) the interested parties shall make no
effort to obtain information with respect to
the holdings of the trust, including obtaining
a copy of any trust tax return filed or any
information relating thereto except as
otherwise provided in this subsection.
(D) The proposed trust instrument and the proposed
trustee is approved by the reporting individual's
supervising ethics office.
(E) For purposes of this subsection, ``interested
party'' means a reporting individual, his spouse, and
any minor or dependent child; ``broker'' has the
meaning set forth in section 3(a)(4) of the Securities
and Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and
``investment adviser'' includes any investment adviser
who, as determined under regulations prescribed by the
supervising ethics office, is generally involved in his
role as such an adviser in the management or control of
trusts.
(F) Any trust qualified by a supervising ethics
office before the effective date of title II of the
Ethics Reform Act of 1989 shall continue to be governed
by the law and regulations in effect immediately before
such effective date.
(4)(A) An asset placed in a trust by an interested party
shall be considered a financial interest of the reporting
individual, for the purposes of any applicable conflict of
interest statutes, regulations, or rules of the Federal
Government (including section 208 of title 18, United States
Code), until such time as the reporting individual is notified
by the trustee that such asset has been disposed of, or has a
value of less than $1,000.
(B)(i) The provisions of subparagraph (A) shall not apply
with regard to a trust created for the benefit of a reporting
individual, or the spouse, dependent child, or minor child of
such a person, if the supervising ethics office for such
reporting individual finds that--
(I) the assets placed in the trust consist of a well-
diversified portfolio of readily marketable securities;
(II) none of the assets consist of securities of
entities having substantial activities in the area of
the reporting individual's primary area of
responsibility;
(III) the trust instrument prohibits the trustee,
notwithstanding the provisions of paragraphs (3)(C)
(iii) and (iv) of this subsection, from making public
or informing any interested party of the sale of any
securities;
(IV) the trustee is given power of attorney,
notwithstanding the provisions of paragraph (3)(C)(v)
of this subsection, to prepare on behalf of any
interested party the personal income tax returns and
similar returns which may contain information relating
to the trust; and
(V) except as otherwise provided in this paragraph,
the trust instrument provides (or in the case of a
trust established prior to the effective date of this
Act which by its terms does not permit amendment, the
trustee, the reporting individual, and any other
interested party agree in writing) that the trust shall
be administered in accordance with the requirements of
this subsection and the trustee of such trust meets the
requirements of paragraph (3)(A).
(ii) In any instance covered by subparagraph (B) in which
the reporting individual is an individual whose nomination is
being considered by a congressional committee, the reporting
individual shall inform the congressional committee considering
his nomination before or during the period of such individual's
confirmation hearing of his intention to comply with this
paragraph.
(5)(A) The reporting individual shall, within thirty days
after a qualified blind trust is approved by his supervising
ethics office, file with such office a copy of--
(i) the executed trust instrument of such trust
(other than those provisions which relate to the
testamentary disposition of the trust assets), and
(ii) a list of assets which were transferred to such
trust, including the category of value of each asset as
determined under subsection (d) of this section.
This subparagraph shall not apply with respect to a trust
meeting the requirements for being considered a qualified blind
trust under paragraph (7) of this subsection.
(B) The reporting individual shall, within thirty days of
transferring an asset (other than cash) to a previously
established qualified blind trust, notify his supervising
ethics office of the identity of each such asset and the
category of value of each asset as determined under subsection
(d) of this section.
(C) Within thirty days of the dissolution of a qualified
blind trust, a reporting individual shall--
(i) notify his supervising ethics office of such
dissolution, and
(ii) file with such office a copy of a list of the
assets of the trust at the time of such dissolution and
the category of value under subsection (d) of this
section of each such asset.
(D) Documents filed under subparagraphs (A), (B), and (C)
of this paragraph and the lists provided by the trustee of
assets placed in the trust by an interested party which have
been sold shall be made available to the public in the same
manner as a report is made available under section 105 [5
U.S.C. App. Sec. 105] and the provisions of that section shall
apply with respect to such documents and lists.
(E) A copy of each written communication with respect to
the trust under paragraph (3)(C)(vi) shall be filed by the
person initiating the communication with the reporting
individual's supervising ethics office within five days of the
date of the communication.
(6)(A) A trustee of a qualified blind trust shall not
knowingly and willfully, or negligently, (i) disclose any
information to an interested party with respect to such trust
that may not be disclosed under paragraph (3) of this
subsection; (ii) acquire any holding the ownership of which is
prohibited by the trust instrument; (iii) solicit advice from
any interested party with respect to such trust, which
solicitation is prohibited by paragraph (3) of this subsection
or the trust agreement; or (iv) fail to file any document
required by this subsection.
(B) A reporting individual shall not knowingly and
willfully, or negligently, (i) solicit or receive any
information with respect to a qualified blind trust of which he
is an interested party that may not be disclosed under
paragraph (3)(C) of this subsection or (ii) fail to file any
document required by this subsection.
(C)(i) The Attorney General may bring a civil action in any
appropriate United States district court against any individual
who knowingly and willfully violates the provisions of
subparagraph (A) and (B) of this paragraph. The court in which
such action is brought may assess against such individual a
civil penalty in any amount not to exceed $10,000.
(ii) The Attorney General may bring a civil action in any
appropriate United States district court against any individual
who negligently violates the provisions of subparagraph (A) or
(B) of this paragraph. The court in which such action is
brought may assess against such individual a civil penalty in
any amount not to exceed $5,000.
(7) Any trust may be considered to be a qualified blind
trust if--
(A) the trust instrument is amended to comply with
the requirements of paragraph (3) or, in the case of a
trust instrument which does not by its terms permit
amendment, the trustee, the reporting individual, and
any other interested party agree in writing that the
trust shall be administered in accordance with the
requirements of this subsection and the trustee of such
trust meets the requirements of paragraph (3)(A);
except that in the case of any interested party who is
a dependent child, a parent or guardian of such child
may execute the agreement referred to in this
subparagraph;
(B) a copy of the trust instrument (except
testamentary provisions) and a copy of the agreement
referred to in subparagraph (A), and a list of the
assets held by the trust at the time of approval by the
supervising ethics office, including the category of
value of each asset as determined under subsection (d)
of this section, are filed with such office and made
available to the public as provided under paragraph
(5)(D) of this subsection; and
(C) the supervising ethics office determines that
approval of the trust arrangement as a qualified blind
trust is in the particular case appropriate to assure
compliance with applicable laws and regulations.
(8) A reporting individual shall not be required to report
the financial interests held by a widely held investment fund
(whether such fund is a mutual fund, regulated investment
company, pension or deferred compensation plan, or other
investment fund), if--
(A)(i) the fund is publicly traded; or
(ii) the assets of the fund are widely diversified;
and
(B) the reporting individual neither exercises
control over nor has the ability to exercise control
over the financial interests held by the fund.
(g) Political campaign funds, including campaign receipts
and expenditures, need not be included in any report filed
pursuant to this title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.].
(h) A report filed pursuant to subsection (a), (d), or (e)
of section 101 [5 U.S.C. App. 4 Sec. 101 (a), (d), or (e)] need
not contain the information described in subparagraphs (A),
(B), and (C) of subsection (a)(2) with respect to gifts and
reimbursements received in a period when the reporting
individual was not an officer or employee of the Federal
Government.
(i) A reporting individual shall not be required under this
title [5 U.S.C. App. Sec. Sec. 101 et seq.] to report--
(1) financial interests in or income derived from--
(A) any retirement system under title 5,
United States Code (including the Thrift
Savings Plan under subchapter III of chapter 84
of such title [5 U.S.C. Sec. Sec. 8431 et
seq.]); or
(B) any other retirement system maintained by
the United States for officers or employees of
the United States, including the President, or
for members of the uniformed services; or
(2) benefits received under the Social Security Act
[42 U.S.C. Sec. Sec. 301 et seq.].
Pub.L. 95-521, Title II, Sec. 102; as amended June 13, 1979,
Pub.L. 96-19, Sec. Sec. 3(a)(1), (b), 6(a), 7(a)-
(d)(1), (f), 9(b)(c)(1), (j), 93 Stat. 39-43; Oct.
1, 1981, Pub.L. 97-51, Sec. 130(b), 95 Stat. 966;
Nov. 11, 1983, Pub.L. 98-150, Sec. 10 in part, 97
Stat. 962; Nov. 30, 1989, Pub.L. 101-194, Title II,
Sec. 202, 103 Stat. 1727; May 4, 1990, Pub.L. 101-
280, Sec. 3(3), 104 Stat. 152; Pub.L. 102-90, Title
III, Sec. 314(a), 105 Stat. 469, Aug. 14, 1991;
Pub.L. 104-65, Sec. Sec. 20, 22 (a), (b), Dec. 19,
1995, 109 Stat. 704, 705.
5 U.S.C. App. 4 Sec. 103. Filing of reports
(a) Except as otherwise provided in this section, the
reports required under this title [5 U.S.C. App. 4
Sec. Sec. 101 et seq.] shall be filed by the reporting
individual with the designated agency ethics official at the
agency by which he is employed (or in the case of an individual
described in section 101(e) [5 U.S.C. App. 4 Sec. 101(e)], was
employed) or in which he will serve. The date any report is
received (and the date of receipt of any supplemental report)
shall be noted on such report by such official.
(b) The President, the Vice President, and independent
counsel and persons appointed by independent counsel under
chapter 40 of title 28, United States Code [28 U.S.C.
Sec. Sec. 591 et seq.], shall file reports required under this
title with the Director of the Office of Government Ethics.
(c) Copies of the reports required to be filed under this
title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.] by the Postmaster
General, the Deputy Postmaster General, the Governors of the
Board of Governors of the United States Postal Service,
designated agency ethics officials, employees described in
section 105(a)(2) (A) or (B), 106(a)(1) (A) or (B), or 107
(a)(1)(A) or (b)(1)(A)(i), of title 3, United States Code,
candidates for the office of President or Vice President and
officers and employees in (and nominees to) offices or
positions which require confirmation by the Senate or by both
Houses of Congress other than individuals nominated to be
judicial officers and those referred to in subsection (f) shall
be transmitted to the Director of the Office of Government
Ethics. The Director shall forward a copy of the report of each
nominee to the congressional committee considering the
nomination.
(d) Reports required to be filed under this title [5 U.S.C.
App. 4 Sec. Sec. 101 et seq.] by the Director of the Office of
Government Ethics shall be filed in the Office of Government
Ethics and, immediately after being filed, shall be made
available to the public in accordance with this title [5 U.S.C.
App. 4 Sec. Sec. 101 et seq.].
(e) Each individual identified in section 101(c) [5 U.S.C.
App. 4 Sec. 101(c)] who is a candidate for nomination or
election to the Office of President or Vice President shall
file the reports required by this title [5 U.S.C. App. 4
Sec. Sec. 101 et seq.] with the Federal Election Commission.
(f) Reports required of members of the uniformed services
shall be filed with the Secretary concerned.
(g) Each supervising ethics office shall develop and make
available forms for reporting the information required by this
title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.].
(h)(1) The reports required under this title shall be filed
by a reporting individual with--
(A)(i)(I) the Clerk of the House of Representatives,
in the case of a Representative in Congress, a Delegate
to Congress, the Resident Commissioner from Puerto
Rico, an officer or employee of the Congress whose
compensation is disbursed by the Chief Administrative
Officer of the House of Representatives, an officer or
employee of the Architect of the Capitol, the United
States Botanic Garden, the Congressional Budget Office,
the Government Printing Office, the Library of
Congress, or the Copyright Royalty Tribunal (including
any individual terminating service, under section
101(e), in any office or position referred to in this
subclause), or an individual described in section
101(c) who is a candidate for nomination or election as
a Representative in Congress, a Delegate to Congress,
or the Resident Commissioner from Puerto Rico; and
(II) the Secretary of the Senate, in the case of a
Senator, an officer or employee of the Congress whose
compensation is disbursed by the Secretary of the
Senate, an officer or employee of the General
Accounting Office, the Office of Technology Assessment,
or the Office of the Attending Physician (including any
individual terminating service, under section 101(2) [5
U.S.C. App. 4 Sec. 101(e)], in any office or position
referred to in this subclause), or an individual
described in section 101(c) [5 U.S.C. App. 4
Sec. 101(c)] who is a candidate for nomination or
election as a Senator; and
(ii) in the case of an officer or employee of the
Congress as described under section 101(f)(10) [5
U.S.C. App. 4 Sec. 101(f)(10)] who is employed by an
agency or commission established in the legislative
branch after the date of the enactment of the Ethics
Reform Act of 1989 [enacted Nov. 30, 1989]--
(I) the Secretary of the Senate or the Clerk
of the House of Representatives, as the case
may be, as designated in the statute
establishing such agency or commission; or
(II) if such statute does not designate such
committee, the Secretary of the Senate for
agencies and commissions established in even
numbered calendar years, and the Clerk of the
House of Representatives for agencies and
commissions established in odd numbered
calendar years; and
(B) the Judicial Conference with regard to a judicial
officer or employee described under paragraphs (11) and
(12) of section 101(f) [5 U.S.C. App. 4
Sec. 101(f)(11), (12)] (including individuals
terminating service in such office or position under
section 101(e) [5 U.S.C. App. 4 Sec. 101(e)] or
immediately preceding service in such office or
position).
(2) The date any report is received (and the date of
receipt of any supplemental report) shall be noted on such
report by such committee.
(i) A copy of each report filed under this title [5 U.S.C.
App. 4 Sec. Sec. 101 et seq.] by a Member or an individual who
is a candidate for the office of Member shall be sent by the
Clerk of the House of Representatives or Secretary of the
Senate, as the case may be, to the appropriate State officer
designated under section 316(a) of the Federal Election
Campaign Act of 1971 [2 U.S.C. Sec. 439(a)] of the State
represented by the Member or in which the individual is a
candidate, as the case may be, within the thirty-day period
beginning on the day the report is filed with the Clerk or
Secretary.
(j)(1) A copy of each report filed under this title [5
U.S.C. App. 4 Sec. Sec. 101 et seq.] with the Clerk of the
House of Representatives shall be sent by the Clerk to the
Committee on Standards of Official Conduct of the House of
Representatives within the 7-day period beginning on the day
the report is filed.
(2) A copy of each report filed under this title [5 U.S.C.
App. 4 Sec. Sec. 101 et seq.] with the Secretary of the Senate
shall be sent by the Secretary to the Select Committee on
Ethics of the Senate within the 7-day period beginning on the
day the report is filed.
(k) In carrying out their responsibilities under this title
[5 U.S.C. App. 4 Sec. Sec. 101 et seq.] with respect to
candidates for office, the Clerk of the House of
Representatives and the Secretary of the Senate shall avail
themselves of the assistance of the Federal Election
Commission. The Commission shall make available to the Clerk
and the Secretary on a regular basis a complete list of names
and addresses of all candidates registered with the Commission,
and shall cooperate and coordinate its candidate information
and notification program with the Clerk and the Secretary to
the greatest extent possible.
Pub.L. 95-521, Title II, Sec. 103; as amended June 13, 1979,
Pub.L. 96-19, Sec. Sec. 4(b)(2), 9(a), 93 Stat. 40,
42; Nov. 30, 1989, Pub.L. 101-194, Title II,
Sec. 202, 103 Stat. 1736; May 4, 1990, Pub.L. 101-
280, Sec. 3(1), (4), 104 Stat. 152, 153; Pub.L.
102-90, Title III, Sec. 313(1), 105 Stat. 469, Aug.
14, 1991; Pub.L. 104-186, title II, Sec. 216(1),
Aug. 20, 1996, 110 Stat. 1747.
5 U.S.C. App. 4 Sec. 104. Failure to file or filing false reports
(a) The Attorney General may bring a civil action in any
appropriate United States district court against any individual
who knowingly and willfully falsifies or who knowingly and
willfully fails to file or report any information that such
individual is required to report pursuant to section 102 [5
U.S.C. App. 4 Sec. 102]. The court in which such action is
brought may assess against such individual a civil penalty in
any amount, not to exceed $10,000.
(b) The head of each agency, each Secretary concerned, the
Director of the Office of Government Ethics, each congressional
ethics committee, or the Judicial Conference, as the case may
be, shall refer to the Attorney General the name of any
individual which such official or committee has reasonable
cause to believe has willfully failed to file a report or has
willfully falsified or willfully failed to file information
required to be reported. Whenever the Judicial Conference
refers a name to the Attorney General under this subsection,
the Judicial Conference also shall notify the judicial council
of the circuit in which the named individual serves of the
referral.
(c) The President, the Vice President, the Secretary
concerned, the head of each agency, the Office of Personnel
Management, a congressional ethics committee, and the Judicial
Conference, may take any appropriate personnel or other action
in accordance with applicable law or regulation against any
individual failing to file a report or falsifying or failing to
report information required to be reported.
(d)(1) Any individual who files a report required to be
filed under this title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.]
more than 30 days after the later of--
(A) the date such report is required to be filed
pursuant to the provisions of this title [5 U.S.C. App.
4 Sec. Sec. 101 et seq.] and the rules and regulations
promulgated thereunder; or
(B) if a filing extension is granted to such
individual under section 101(g) [5 U.S.C. App. 4
Sec. 101(g)], the last day of the filing extension
period,
shall, at the direction of and pursuant to regulations issued
by the supervising ethics office, pay a filing fee of $200. All
such fees shall be deposited in the miscellaneous receipts of
the Treasury. The authority under this paragraph to direct the
payment of a filing fee may be delegated by the supervising
ethics office in the executive branch to other agencies in the
executive branch.
(2) The supervising ethics office may waive the filing fee
under this subsection in extraordinary circumstances.
Pub.L. 95-521, Title II, Sec. 104; as amended June 13, 1979,
Pub.L. 96-19, Sec. 8(a), 93 Stat. 41; Nov. 30,
1989, Pub.L. 101-194, Title II, Sec. 202, 103 Stat.
1737; May 4, 1990, Pub.L. 101-280, Sec. 3(1), (5),
104 Stat. 152, 154; Pub.L. 101-650, Title IV,
Sec. 405, Dec. 1, 1990, 104 Stat. 5124.
5 U.S.C. App. 4 Sec. 105. Custody of and public access to reports
(a) Each agency, each supervising ethics office in the
executive or judicial branch, the Clerk of the House of
Representatives, and the Secretary of the Senate shall make
available to the public, in accordance with subsection (b),
each report filed under this title with such agency or office
or with the Clerk or the Secretary of the Senate, except that--
(1) this section does not require public availability
of a report filed by any individual in the Central
Intelligence Agency, the Defense Intelligence Agency,
or the National Imagery and Mapping Agency, or the
National Security Agency, or any individual engaged in
intelligence activities in any agency of the United
States, if the President finds or has found that, due
to the nature of the office or position occupied by
such individual, public disclosure of such report
would, be \1\ revealing the identity of the individual
or other sensitive information, compromise the national
interest of the United States; and such individuals may
be authorized, notwithstanding section 104(a), to file
such additional reports as are necessary to protect
their identity from public disclosure if the President
first finds or has found that such filing is necessary
in the national interest; and
---------------------------------------------------------------------------
\1\ So in original. Probably should be ``by''.
---------------------------------------------------------------------------
(2) any report filed by an independent counsel whose
identity has not been disclosed by the division of the
court under chapter 40 of title 28, United States Code,
and any report filed by any person appointed by that
independent counsel under such chapter, shall not be
made available to the public under this title [5 U.S.C.
App. 4 Sec. Sec. 101 et seq.].
(b)(1) Except as provided in the second sentence of this
subsection, each agency, each supervising ethics office in the
executive or judicial branch, the Clerk of the House of
Representatives, and the Secretary of the Senate shall, within
thirty days after any report is received under this title [5
U.S.C. App. 4 Sec. Sec. 101 et seq.] by such agency or office
or by the Clerk or the Secretary of the Senate, as the case may
be, permit inspection of such report by or furnish a copy of
such report to any person requesting such inspection or copy.
With respect to any report required to be filed by May 15 of
any year, such report shall be made available for public
inspection within 30 calendar days after May 15 of such year or
within 30 days of the date of filing such a report for which an
extension is granted pursuant to section 101(g). The agency,
office, Clerk, or Secretary of the Senate, as the case may be
may require a reasonable fee to be paid in any amount which is
found necessary to recover the cost of reproduction or mailing
of such report excluding any salary of any employee involved in
such reproduction or mailing. A copy of such report may be
furnished without charge or at a reduced charge if it is
determined that waiver or reduction of the fee is in the public
interest.
(2) Notwithstanding paragraph (1), a report may not be made
available under this section to any person nor may any copy
thereof be provided under this section to any person except
upon a written application by such person stating--
(A) that person's name, occupation and address;
(B) the name and address of any other person or
organization on whose behalf the inspection or copy is
requested; and
(C) that such person is aware of the prohibitions on
the obtaining or use of the report.
Any such application shall be made available to the public
throughout the period during which the report is made available
to the public.
(3)(A) This section does not require the immediate and
unconditional availability of reports filed by an individual
described in section 109(8) or 109(10) of this Act [sections
109(8) or 109(10) of Appendix 4 of this title] if a finding is
made by the Judicial Conference, in consultation with United
States Marshall Service, that revealing personal and sensitive
information could endanger that individual.
(B) A report may be redacted pursuant to this paragraph
only--
(i) to the extent necessary to protect the individual
who filed the report; and
(ii) for as long as the danger to such individual
exists.
(C) The Administrative Office of the United States Courts
shall submit to the Committees on the Judiciary of the House of
Representatives and of the Senate an annual report with respect
to the operation of this paragraph including--
(i) the total number of reports redacted pursuant to
this paragraph;
(ii) the total number of individuals whose reports
have been redacted pursuant to this paragraph; and
(iii) the types of threats against individuals whose
reports are redacted, if appropriate.
(D) The Judicial Conference, in consultation with the
Department of Justice, shall issue regulations setting forth
the circumstances under which redaction is appropriate under
this paragraph and the procedures for redaction.
(E) This paragraph shall expire on December 31, 2001, and
apply to filings through calendar year 2001.
(c)(1) It shall be unlawful for any person to obtain or use
a report--
(A) for any unlawful purpose;
(B) for any commercial purpose, other than by news
and communications media for dissemination to the
general public;
(C) for determining or establishing the credit rating
of any individual; or
(D) for use, directly or indirectly, in the
solicitation of money for any political, charitable, or
other purpose.
(2) The Attorney General may bring a civil action against
any person who obtains or uses a report for any purpose
prohibited in paragraph (1) of this subsection. The court in
which such action is brought may assess against such person a
penalty in any amount not to exceed $10,000. Such remedy shall
be in addition to any other remedy available under statutory or
common law.
(d) Any report filed with or transmitted to an agency or
supervising ethics office or to the Clerk of the House of
Representatives or the Secretary of the Senate pursuant to this
title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.] shall be retained
by such agency or office or by the Clerk or the Secretary of
the Senate, as the case may be. Such report shall be made
available to the public for a period of six years after receipt
of the report. After such six-year period the report shall be
destroyed unless needed in an ongoing investigation, except
that in the case of an individual who filed the report pursuant
to section 101(b) [5 U.S.C. App. 4 Sec. 101(b)] and was not
subsequently confirmed by the Senate, or who filed the report
pursuant to section 101(c) [5 U.S.C. App. 4 Sec. 101(c)] and
was not subsequently elected, such reports shall be destroyed
one year after the individual either is no longer under
consideration by the Senate or is no longer a candidate for
nomination or election to the Office of President, Vice
President, or as a Member of Congress, unless needed in an
ongoing investigation.
Pub.L. 95-521, Title II, Sec. 105; as amended Nov. 30, 1989,
Pub.L. 101-194, Title II, Sec. 202, 103 Stat. 1737;
May 4, 1990, Pub.L. 101-280, Sec. 3(6), 104 Stat.
154; Pub.L. 102-90, Title III, Sec. 313(2), 105
Stat. 469, Aug. 14, 1991; Pub.L. 104-201, Div. A,
title XI, Sec. 1122(b)(2), Sept. 23, 1996, 110
Stat. 2687; Pub.L. 105-318, Sec. 7, Oct. 30, 1998,
112 Stat. 3011.
5 U.S.C. App. 4 Sec. 106. Review of reports
(a)(1) Each designated agency ethics official or Secretary
concerned shall make provisions to ensure that each report
filed with him under this title [5 U.S.C. App. 4 Sec. Sec. 101
et seq.] is reviewed within sixty days after the date of such
filing, except that the Director of the Office of Government
Ethics shall review only those reports required to be
transmitted to him under this title [5 U.S.C. App. 4
Sec. Sec. 101 et seq.] within sixty days after the date of
transmittal.
(2) Each congressional ethics committee and the Judicial
Conference shall make provisions to ensure that each report
filed under this title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.]
is reviewed within sixty days after the date of such filing.
(b)(1) If after reviewing any report under subsection (a),
the Director of the Office of Government Ethics, the Secretary
concerned, the designated agency ethics official, a person
designated by the congressional ethics committee, or a person
designated by the Judicial Conference, as the case may be, is
of the opinion that on the basis of information contained in
such report the individual submitting such report is in
compliance with applicable laws and regulations, he shall state
such opinion on the report, and shall sign such report.
(2) If the Director of the Office of Government Ethics, the
Secretary concerned, the designated agency ethics official, a
person designated by a congressional ethics committee, or a
person designated by the Judicial Conference, after reviewing
any report under subsection (a)--
(A) believes additional information is required to be
submitted, he shall notify the individual submitting
such report what additional information is required and
the time by which it must be submitted, or
(B) is of the opinion, on the basis of information
submitted, that the individual is not in compliance
with applicable laws and regulations, he shall notify
the individual, afford a reasonable opportunity for a
written or oral response, and after consideration of
such response, reach an opinion as to whether or not,
on the basis of information submitted, the individual
is in compliance with such laws and regulations.
(3) If the Director of the Office of Government Ethics, the
Secretary concerned, the designated agency ethics official, a
person designated by a congressional ethics committee, or a
person designated by the Judicial Conference, reaches an
opinion under paragraph (2)(B) that an individual is not in
compliance with applicable laws and regulations, the official
or committee shall notify the individual of that opinion and,
after an opportunity for personal consultation (if
practicable), determine and notify the individual of which
steps, if any, would in the opinion of such official or
committee be appropriate for assuring compliance with such laws
and regulations and the date by which such steps should be
taken. Such steps may include, as appropriate--
(A) divestiture,
(B) restitution,
(C) the establishment of a blind trust,
(D) request for an exemption under section 208(b) of
title 18, United States Code, or
(E) voluntary request for transfer, reassignment,
limitation of duties, or resignation.
The use of any such steps shall be in accordance with such
rules or regulations as the supervising ethics office may
prescribe.
(4) If steps for assuring compliance with applicable laws
and regulations are not taken by the date set under paragraph
(3) by an individual in a position in the executive branch
(other than in the Foreign Service or the uniformed services),
appointment to which requires the advice and consent of the
Senate, the matter shall be referred to the President for
appropriate action.
(5) If steps for assuring compliance with applicable laws
and regulations are not taken by the date set under paragraph
(3) by a member of the Foreign Service or the uniformed
services, the Secretary concerned shall take appropriate
action.
(6) If steps for assuring compliance with applicable laws
and regulations are not taken by the date set under paragraph
(3) by any other officer or employee, the matter shall be
referred to the head of the appropriate agency, the
congressional ethics committee, or the Judicial Conference, for
appropriate action; except that in the case of the Postmaster
General or Deputy Postmaster General, the Director of the
Office of Government Ethics shall recommend to the Governors of
the Board of Governors of the United States Postal Service the
action to be taken.
(7) Each supervising ethics office may render advisory
opinions interpreting this title [5 U.S.C. App. 4 Sec. Sec. 101
et seq.] within its respective jurisdiction. Notwithstanding
any other provision of law, the individual to whom a public
advisory opinion is rendered in accordance with this paragraph,
and any other individual covered by this title [5 U.S.C. App. 4
Sec. Sec. 101 et seq.] who is involved in a fact situation
which is indistinguishable in all material aspects, and who
acts in good faith in accordance with the provisions and
findings of such advisory opinion shall not, as a result of
such act, be subject to any penalty or sanction provided by
this title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.].
Pub.L. 95-521, Title II, Sec. 106; as amended Nov. 30, 1989,
Pub.L. 101-194, Title II, Sec. 202, 103 Stat. 1739;
May 4, 1990, Pub.L. 101-280, Sec. 3(1), (7), 104
Stat. 152, 155.
5 U.S.C. App. 4 Sec. 107. Confidential reports and other additional
requirements
(a)(1) Each supervising ethics office may require officers
and employees under its jurisdiction (including special
Government employees as defined in section 202 of title 18,
United States Code) to file confidential financial disclosure
reports, in such form as the supervising ethics office may
prescribe. The information required to be reported under this
subsection by the officers and employees of any department or
agency shall be set forth in rules or regulations prescribed by
the supervising ethics office, and may be less extensive than
otherwise required by this title [5 U.S.C. App. 4 Sec. Sec. 101
et seq.], or more extensive when determined by the supervising
ethics office to be necessary and appropriate in light of
sections 202 through 209 of title 18, United States Code,
regulations promulgated thereunder, or the authorized
activities of such officers or employees. Any individual
required to file a report pursuant to section 101 [5 U.S.C.
App. 4 Sec. 101] shall not be required to file a confidential
report pursuant to this subsection, except with respect to
information which is more extensive than information otherwise
required by this title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.].
Subsections (a), (b), and (d) of section 105 [5 U.S.C. App. 4
Sec. 105 (a), (b), (d)] shall not apply with respect to any
such report.
(2) Any information required to be provided by an
individual under this subsection shall be confidential and
shall not be disclosed to the public.
(3) Nothing in this subsection exempts any individual
otherwise covered by the requirement to file a public financial
disclosure report under this title [5 U.S.C. App. 4
Sec. Sec. 101 et seq.] from such requirement.
(b) The provisions of this title [5 U.S.C. App. 4
Sec. Sec. 101 et seq.] requiring the reporting of information
shall supersede any general requirement under any other
provision of law or regulation with respect to the reporting of
information required for purposes of preventing conflicts of
interest or apparent conflicts of interest. Such provisions of
this title [5 U.S.C. App. 4 Sec. Sec. 101 et seq.] shall not
supersede the requirements of section 7342 of title 5, United
States Code.
(c) Nothing in this Act requiring reporting of information
shall be deemed to authorize the receipt of income, gifts, or
reimbursements; the holding of assets, liabilities, or
positions; or the participation in transactions that are
prohibited by law, Executive order, rule, or regulation.
Pub.L. 95-521, Title II, Sec. 107; as amended June 13, 1979,
Pub.L. 96-19, Sec. 9(d), (g), 93 Stat. 42, 43; Nov.
30, 1989, Pub.L. 101-194, Title II, Sec. 202, 103
Stat. 1740.
5 U.S.C. App. Sec. 108. Authority of Comptroller General
(a) The Comptroller General shall have access to financial
disclosure reports filed under this title [5 U.S.C. App.
Sec. Sec. 101 et seq.] for the purposes of carrying out his
statutory responsibilities.
(b) No later than December 31, 1992, and regularly
thereafter, the Comptroller General shall conduct a study to
determine whether the provisions of this title are being
carried out effectively.
Pub.L. 95-521, Title II, Sec. 108; as amended June 13, 1979,
Pub.L. 96-19, Sec. 9(t), 93 Stat. 44; Nov. 30,
1989, Pub.L. 101-194, Title II, Sec. 202, 103 Stat.
1741.
5 U.S.C. App. Sec. 109. Definitions
For the purposes of this title [5 U.S.C. App. Sec. Sec. 101
et seq.], the term--
(1) ``congressional ethics committees'' means the
Select Committee on Ethics of the Senate and the
Committee on Standards of Official Conduct of the House
of Representatives;
(2) ``dependent child'' means, when used with respect
to any reporting individual, any individual who is a
son, daughter, stepson, or stepdaughter and who--
(A) is unmarried and under age 21 and is
living in the household of such reporting
individual; or
(B) is a dependent of such reporting
individual within the meaning of section 152 of
the Internal Revenue Code of 1986 [26 U.S.C.
Sec. 152];
(3) ``designated agency ethics official'' means an
officer or employee who is designated to administer the
provisions of this title within an agency;
(4) ``executive branch'' includes each Executive
agency (as defined in section 105 of title 5, United
States Code), other than the General Accounting Office,
and any other entity or administrative unit in the
executive branch;
(5) ``gift'' means a payment, advance, forbearance,
rendering, or deposit of money, or any thing of value,
unless consideration of equal or greater value is
received by the donor, but does not include--
(A) bequest and other forms of inheritance;
(B) suitable mementos of a function honoring
the reporting individual;
(C) food, lodging, transportation, and
entertainment provided by a foreign government
within a foreign country or by the United
States Government, the District of Columbia, or
a State or local government or political
subdivision thereof;
(D) food and beverages which are not consumed
in connection with a gift of overnight lodging;
(E) communications to the offices of a
reporting individual, including subscriptions
to newspapers and periodicals; or
(F) consumable products provided by home-
State businesses to the offices of a reporting
individual who is an elected official, if those
products are intended for consumption by
persons other than such reporting individual;
(6) ``honoraria'' has the meaning given such term in
section 505 of this Act [5 U.S.C. App. Sec. 505];
(7) ``income'' means all income from whatever source
derived, including but not limited to the following
items: compensation for services, including fees,
commissions, and similar items; gross income derived
from business (and net income if the individual elects
to include it); gains derived from dealings in
property; interest; rents; royalties; dividends;
annuities; income from life insurance and endowment
contracts; pensions; income from discharge of
indebtedness; distributive share of partnership income;
and income from an interest in an estate or trust;
(8) ``judicial employee'' means any employee of the
judicial branch of the Government, of the United States
Sentencing Commission, of the Tax Court, of the Court
of Federal Claims, of the Court of Appeals for Veterans
Claims, or of the United States Court of Appeals for
the Armed Forces, who is not a judicial officer and who
is authorized to perform adjudicatory functions with
respect to proceedings in the judicial branch, or who
occupies a position for which the rate of basic pay is
equal to or greater than 120 percent of the minimum
rate of basic pay payable for GS-15 of the General
Schedule;
(9) ``Judicial Conference'' means the Judicial
Conference of the United States;
(10) ``judicial officer'' means the Chief Justice of
the United States, the Associate Justices of the
Supreme Court, and the judges of the United States
courts of appeals, United States district courts,
including the district courts in Guam, the Northern
Mariana Islands, and the Virgin Islands, Court of
Appeals for the Federal Circuit, Court of International
Trade, Tax Court, Claims Court, Court of Appeals for
Veterans Claims, United States Court of Appeals for the
Armed Forces, and any court created by Act of Congress,
the judges of which are entitled to hold office during
good behavior;
(11) ``legislative branch'' includes--
(A) the Architect of the Capitol;
(B) the Botanic Gardens;
(C) the Congressional Budget Office;
(D) the General Accounting Office;
(E) the Government Printing Office;
(F) the Library of Congress;
(G) the United States Capitol Police;
(H) the Office of Technology Assessment; and
(I) any other agency, entity, office, or
commission established in the legislative
branch;
(12) ``Member of Congress'' means a United States
Senator, a Representative in Congress, a Delegate to
Congress, or the Resident Commissioner from Puerto
Rico;
(13) ``officer or employee of the Congress'' means--
(A) any individual described under
subparagraph (B), other than a Member of
Congress or the Vice President, whose
compensation is disbursed by the Secretary of
the Senate or the Chief Administrative Officer
of the House of Representatives;
(B)(i) each officer or employee of the
legislative branch who, for at least 60 days,
occupies a position for which the rate of basic
pay is equal to or greater than 120 percent of
the minimum rate of basic pay payable for GS-15
of the General Schedule; and
(ii) at least one principal assistant
designated for purposes of this paragraph by
each Member who does not have an employee who
occupies a position for which the rate of basic
pay is equal to or greater than 120 percent of
the minimum rate of basic pay payable for GS-15
of the General Schedule;
(14) ``personal hospitality of any individual'' means
hospitality extended for a nonbusiness purpose by an
individual, not a corporation or organization, at the
personal residence of that individual or his family or
on property or facilities owned by that individual or
his family;
(15) ``reimbursement'' means any payment or other
thing of value received by the reporting individual,
other than gifts, to cover travel-related expenses of
such individual other than those which are--
(A) provided by the United States Government,
the District of Columbia, or a State or local
government or political subdivision thereof;
(B) required to be reported by the reporting
individual under section 7342 of title 5,
United States Code; or
(C) required to be reported under section 304
of the Federal Election Campaign Act of 1971 (2
U.S.C. 434);
(16) ``relative'' means an individual who is related
to the reporting individual, as father, mother, son,
daughter, brother, sister, uncle, aunt, great aunt,
great uncle, first cousin, nephew, niece, husband,
wife, grandfather, grandmother, grandson,
granddaughter, father-in-law, mother-in-law, son-in-
law, daughter-in-law, brother-in-law, sister-in-law,
stepfather, stepmother, stepson, stepdaughter,
stepbrother, stepsister, half brother, half sister, or
who is the grandfather or grandmother of the spouse of
the reporting individual, and shall be deemed to
include the fiance or fiancee of the reporting
individual;
(17) ``Secretary concerned'' has the meaning set
forth in section 101(a)(9) of title 10, United States
Code, and, in addition means--
(A) the Secretary of the Commerce, with
respect to matters concerning the National
Oceanic and Atmospheric Administration;
(B) the Secretary of Health and Human
Services, with respect to matters concerning
the Public Health Service; and
(C) the Secretary of State, with respect to
matters concerning the Foreign Service;
(18) ``supervising ethics office'' means--
(A) the Select Committee on Ethics of the
Senate, for Senators, officers and employees of
the Senate, and other officers or employees of
the legislative branch required to file
financial disclosure reports with the Secretary
of the Senate pursuant to section 103(h) of
this title [5 U.S.C. App. Sec. 103(a)];
(B) the Committee on Standards of Official
Conduct of the House of Representatives, for
Members, officers and employees of the House of
Representatives and other officers or employees
of the legislative branch required to file
financial disclosure reports with the Clerk of
the House of Representatives pursuant to
section 103(h) of this title [5 U.S.C. App.
Sec. 103(h)];
(C) the Judicial Conference for judicial
officers and judicial employees; and
(D) the Office of Government Ethics for all
executive branch officers and employees; and
(19) ``value'' means a good faith estimate of the
dollar value if the exact value is neither known nor
easily obtainable by the reporting individual.
Pub.L. 95-521, Title I, Sec. 109, Oct. 26, 1978, 92 Stat. 1836;
Pub.L. 101-194, Title II Sec. 202, Nov. 30, 1989, 103 Stat.
1741; Pub.L. 101-280, Sec. 3(1), (8), May 4, 1990, 104 Stat.
152, 155; Pub.L. 102-378, Sec. 4(a)(2), Oct. 2, 1992, 106 Stat.
1357; Pub.L. 102-572, Title IX, Sec. 902(b)(2), Oct. 29, 1992,
106 Stat. 4516; Pub.L. 103-160, Div. A, Title XI,
Sec. 1182(d)(3), Nov. 30, 1993, 107 Stat. 1773; Pub.L. 103-337,
Div. A, Title IX, Sec. 924(d)(3), Oct. 5, 1994, 108 Stat. 2832;
Pub.L. 104-186, Title II, Sec. 216(2), Aug. 20, 1996, 110 Stat.
1747.
5 U.S.C. App. Sec. 110. Notice of actions taken to comply with ethics
agreements
(a) In any case in which an individual agrees with that
individual's designated agency ethics official, the Office of
Government Ethics, a Senate confirmation committee, a
congressional ethics committee, or the Judicial Conference, to
take any action to comply with this Act or any other law or
regulation governing conflicts of interest of, or establishing
standards of conduct applicable with respect to, officers or
employees of the Government, that individual shall notify in
writing the designated agency ethics official, the Office of
Government Ethics, the appropriate committee of the Senate, the
congressional ethics committee, or the Judicial Conference, as
the case may be, of any action taken by the individual pursuant
to the agreement. Such notification shall be made not later
than the date specified in the agreement by which action by the
individual must be taken, or not later than three months after
the date of the agreement, if no date for action is so
specified.
(b) If an agreement described in subsection (a) requires
that the individual recuse himself or herself from particular
categories of agency or other official action, the individual
shall reduce to writing those subjects regarding which the
recusal agreement will apply and the process by which it will
be determined whether the individual must recuse himself or
herself in a specific instance. An individual shall be
considered to have complied with the requirements of subsection
(a) with respect to such recusal agreement if such individual
files a copy of the document setting forth the information
described in the preceding sentence with such individual's
designated agency ethics official or the appropriate
supervising ethics office within the time prescribed in the
last sentence of subsection (a).
Pub.L. 95-521, Title I, Sec. 110, as added Nov. 30, 1989,
Pub.L. 101-194, Title II, Sec. 202, 103 Stat. 1744;
as amended May 4, 1990, Pub.L. 101-280, Sec. 3(1),
104 Stat. 152.
5 U.S.C. App. Sec. 111. Administration of provisions
The provisions of this title [5 U.S.C. App. Sec. Sec. 101
et seq.] shall be administered by --
(1) the Director of the Office of Government Ethics,
the designated agency ethics official, or the Secretary
concerned, as appropriate, with regard to officers and
employees described in paragraphs (1) through (8) of
section 101(f) [5 U.S.C. App. Sec. 101(f)(1)-(8)];
(2) the Select Committee on Ethics of the Senate and
the Committee on Standards of Official Conduct of the
House of Representatives, as appropriate, with regard
to officers and employees described in paragraphs (9)
and (10) of section 101(f) [5 U.S.C. App. Sec. 101(f)
(9), (10)]; and
(3) the Judicial Conference in the case of an officer
or employee described in paragraphs (11) and (12) of
section 101(f) [5 U.S.C. App. Sec. 101(f) (11), (12)].
The Judicial Conference may delegate any authority it
has under title [5 U.S.C. App. Sec. Sec. 101 et seq.]
to an ethics committee established by the Judicial
Conference.
Pub.L. 95-521, Title I, Sec. 111, as added Nov. 30, 1989,
Pub.L. 101-194, Title II, Sec. 202, 103 Stat. 1744;
as amended May 4, 1990, Pub.L. 101-280, Sec. 3(1),
(9), 104 Stat. 152, 157.
E. POLITICAL ACTIVITIES: FEDERAL EMPLOYEES (TITLE 5, UNITED STATES
CODE)
----------
5 U.S.C. Sec. 7321. Political participation
It is the policy of the Congress that employees should be
encouraged to exercise fully, freely, and without fear of
penalty or reprisal, and to the extent not expressly prohibited
by law, their right to participate or to refrain from
participating in the political processes of the Nation.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 525; Pub.L. 103-94,
Sec. 2, Oct. 6, 1993, 107 Stat. 1001.
5 U.S.C. Sec. 7322. Definitions
For the purpose of this subchapter--
(1) ``employee'' means any individual, other than the
President and the Vice President, employed or holding
office in--
(A) an Executive agency other than the
General Accounting Office;
(B) a position within the competitive service
which is not in an Executive agency; or
(C) the government of the District of
Columbia, other than the Mayor or a member of
the City Council or the Recorder of Deeds;
but does not include a member of the uniformed
services;
(2) ``partisan political office'' means any office
for which any candidate is nominated or elected as
representing a party any of whose candidates for
Presidential elector received votes in the last
preceding election at which Presidential electors were
selected, but shall exclude any office or position
within a political party or affiliated organization;
and
(3) ``political contribution''--
(A) means any gift, subscription, loan,
advance, or deposit of money or anything of
value, made for any political purpose;
(B) includes any contract, promise, or
agreement, express or implied, whether or not
legally enforceable, to make a contribution for
any political purpose;
(C) includes any payment by any person, other
than a candidate or a political party or
affiliated organization, of compensation for
the personal services of another person which
are rendered to any candidate or political
party or affiliated organization without charge
for any political purpose; and
(D) includes the provision of personal
services for any political purpose.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 525; Pub.L. 103-94,
Sec. 2, Oct. 6, 1993, 107 Stat. 1001.
5 U.S.C. Sec. 7323. Political activity authorized; prohibitions
(a) Subject to the provisions of subsection (b), an
employee may take an active part in political management or in
political campaigns, except an employee may not--
(1) use his official authority or influence for the
purpose of interfering with or affecting the result of
an election;
(2) knowingly solicit, accept, or receive a political
contribution from any person, unless such person is--
(A) a member of the same Federal labor
organization as defined under section 7103(4)
of this title or a Federal employee
organization which as of the date of enactment
of the Hatch Act Reform Amendments of 1993 had
a multicandidate political committee (as
defined under section 315(a)(4) of the Federal
Election Campaign Act of 1971 (2 U.S.C.
441a(a)(4)));
(B) not a subordinate employee; and
(C) the solicitation is for a contribution to
the multicandidate political committee (as
defined under section 315(a)(4) of the Federal
Election Campaign Act of 1971 (2 U.S.C.
441a(a)(4))) of such Federal labor organization
as defined under section 7103(4) of this title
or a Federal employee organization which as of
the date of the enactment of the Hatch Act
Reform Amendments of 1993 had a multicandidate
political committee (as defined under section
315(a)(4) of the Federal Election Campaign Act
of 1971 (2 U.S.C. 441a(a)(4))); or
(3) run for the nomination or as a candidate for
election to a partisan political office; or
(4) knowingly solicit or discourage the participation
in any political activity of any person who--
(A) has an application for any compensation,
grant, contract, ruling, license, permit, or
certificate pending before the employing office
of such employee; or
(B) is the subject of or a participant in an
ongoing audit, investigation, or enforcement
action being carried out by the employing
office of such employee.
(b)(1) An employee of the Federal Election Commission
(except one appointed by the President, by and with the advice
and consent of the Senate), may not request or receive from, or
give to, an employee, a Member of Congress, or an officer of a
uniformed service a political contribution.
(2)(A) No employee described under subparagraph (B) (except
one appointed by the President, by and with the advice and
consent of the Senate), may take an active part in political
management or political campaigns.
(B) The provisions of subparagraph (A) shall apply to--
(i) an employee of--
(I) the Federal Election Commission;
(II) the Federal Bureau of Investigation;
(III) the Secret Service;
(IV) the Central Intelligence Agency;
(V) the National Security Council;
(VI) the National Security Agency;
(VII) the Defense Intelligence Agency;
(VIII) the Merit Systems Protection Board;
(IX) the Office of Special Counsel;
(X) the Office of Criminal Investigation of
the Internal Revenue Service;
(XI) the Office of Investigative Programs of
the United States Customs Service; or
(XII) the Office of Law Enforcement of the
Bureau of Alcohol, Tobacco, and Firearms; or
(XIII) the National Imagery and Mapping
Agency; or
(ii) a person employed in a position described under
section 3132(a)(4), 5372, or 5372a of title 5, United
States Code.
(3) No employee of the Criminal Division of the Department
of Justice (except one appointed by the President, by and with
the advice and consent of the Senate), may take an active part
in political management or political campaigns.
(4) For purposes of this subsection, the term ``active part
in political management or in a political campaign'' means
those acts of political management or political campaigning
which were prohibited for employees of the competitive service
before July 19, 1940, by determinations of the Civil Service
Commission under the rules prescribed by the President.
(c) An employee retains the right to vote as he chooses and
to express his opinion on political subjects and candidates.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 525; Pub.L. 103-94,
Sec. 2, Oct. 6, 1993, 107 Stat. 1002; Pub.L. 103-
359, Title V, Sec. 501(k), Oct. 14, 1994, 108 Stat.
3430; Pub.L. 104-201, Div. A, Title XI,
Sec. 1122(a)(1), Sept. 23, 1996, 110 Stat. 2687.
5 U.S.C. Sec. 7324. Political activities on duty; prohibition
(a) An employee may not engage in political activity--
(1) while the employee is on duty;
(2) in any room or building occupied in the discharge
of official duties by an individual employed or holding
office in the Government of the United States or any
agency or instrumentality thereof;
(3) while wearing a uniform or official insignia
identifying the office or position of the employee; or
(4) using any vehicle owned or leased by the
Government of the United States or any agency or
instrumentality thereof.
(b)(1) An employee described in paragraph (2) of this
subsection may engage in political activity otherwise
prohibited by subsection (a) if the costs associated with that
political activity are not paid for by money derived from the
Treasury of the United States.
(2) Paragraph (1) applies to an employee--
(A) the duties and responsibilities of whose position
continue outside normal duty hours and while away from
the normal duty post; and
(B) who is--
(i) an employee paid from an appropriation
for the Executive Office of the President; or
(ii) an employee appointed by the President,
by and with the advice and consent of the
Senate, whose position is located within the
United States, who determines policies to be
pursued by the United States in relations with
foreign powers or in the nationwide
administration of Federal laws.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 525; as amended by
Pub.L. 93-268, Sec. 4(a), Apr. 17, 1974, 88 Stat.
87; Pub.L. 103-94, Sec. 2, Oct. 6, 1993, 107 Stat.
1003.
5 U.S.C. Sec. 7325. Political activity permitted; employees residing in
certain municipalities
The Office of Personnel Management may prescribe
regulations permitting employees, without regard to the
prohibitions in paragraphs (2) and (3) of section 7323(a) and
paragraph (2) of Section 7323(b) of this title, to take an
active part in political management and political campaigns
involving the municipality or other political subdivision in
which they reside, to the extent the Office considers it to be
in their domestic interest, when--
(1) the municipality or political subdivision is in
Maryland or Virginia and in the immediate vicinity of
the District of Columbia, or is a municipality in which
the majority of voters are employed by the Government
of the United States; and
(2) the Office determines that because of special or
unusual circumstances which exist in the municipality
or political subdivision it is in the domestic interest
of the employees and individuals to permit that
political participation.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 526; Pub.L. 96-54,
Sec. 2(a)(44), Aug. 14, 1979, 93 Stat. 384; Pub.L.
103-94, Sec. 2, Oct. 6, 1993, 107 Stat. 1004;
Pub.L. 104-93; Title III, Sec. 308, Jan. 6, 1996,
109 Stat. 966.
5 U.S.C. Sec. 7326. Penalties
An employee or individual who violates section 7323 or 7324
of this title shall be removed from his position, and funds
appropriated for the position from which removed thereafter may
not be used to pay the employee or individual. However, if the
Merit Systems Protection Board finds by unanimous vote that the
violation does not warrant removal, a penalty of not less than
30 days' suspension without pay shall be imposed by direction
of the Board.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 526; Pub.L. 103-94,
Sec. 2, Oct. 6, 1993, 107 Stat. 1004.
5 U.S.C. Sec. 7351. Gifts to superiors
(a) An employee may not--
(1) solicit a contribution from another employee for
a gift to an official superior;
(2) make a donation as a gift or give a gift to an
official superior; or
(3) accept a gift from an employee receiving less pay
than himself.
(b) An employee who violates this section shall be subject
to appropriate disciplinary action by the employing agency or
entity.
(c) Each supervising ethics office (as defined in section
7353(d)(1)) is authorized to issue regulations implementing
this section, including regulations exempting voluntary gifts
or contributions that are given or received for special
occasions such as marriage or retirement or under other
circumstances in which gifts are traditionally given or
exchanged.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 527; as amended Pub.L.
101-194, Title III, Sec. 301, Nov. 30, 1989, 103
Stat. 1745; Pub.L. 101-280, Sec. 4(a), May 4, 1990,
104 Stat. 157.)
5 U.S.C. Sec. 7353. Gifts to Federal employees
(a) Except as permitted by subsection (b), no Member of
Congress or officer or employee of the executive, legislative,
or judicial branch shall solicit or accept anything of value
from a person--
(1) seeking official action from, doing business
with, or (in the case of executive branch officers and
employees) conducting activities regulated by, the
individual's employing entity; or
(2) whose interests may be substantially affected by
the performance or nonperformance of the individual's
official duties.
(b)(1) Each supervising ethics office is authorized to
issue rules or regulations implementing the provisions of this
section and providing for such reasonable exceptions as may be
appropriate.
(2)(A) Subject to subparagraph (B), a Member, officer, or
employee may accept a gift pursuant to rules or regulations
established by such individual's supervising ethics office
pursuant to paragraph (1);
(B) No gift may be accepted pursuant to subparagraph (A) in
return for being influenced in the performance of any official
act.
(3) Nothing in this section precludes a Member, officer, or
employee from accepting gifts on behalf of the United States
Government or any of its agencies in accordance with statutory
authority.
(c) A Member of Congress or an officer or employee who
violates this section shall be subject to appropriate
disciplinary and other remedial action in accordance with any
applicable laws. Executive orders, and rules or regulations.
(d) For purposes of this section--
(1) the term ``supervising ethics office'' means--
(A) the Committee on Standards of Official
Conduct of the House of Representatives or the
House of Representatives as a whole, for
Members, officers, and employees of the House
of Representatives;
(B) the Select Committee on Ethics of the
Senate, or the Senate as a whole, for Senators,
officers, and employees of the Senate;
(C) the Judicial Conference of the United
States for judges and judicial branch officers
and employees;
(D) the Office of Government Ethics for all
executive branch officers and employees; and
(E) the ethics committee with which the
officer or employee is required to file
financial disclosure forms, for all legislative
branch officers and employees other than those
specified in subparagraphs (A) and (B), except
that such authority may be delegated; and
(2) the term ``officer or employee'' means an
individual holding an appointive or elective position
in the executive, legislative, or judicial branch of
Government, other than a Member of Congress.
Added Pub.L. 101-194, Nov. 30, 1989, Title III, Sec. 303, 103
Stat. 1746, amended Pub.L. 101-280, Sec. 4(d), May
4, 1990, 104 Stat. 158.
F. POLITICAL ACTIVITIES: STATE AND LOCAL EMPLOYEES (TITLE 5, UNITED
STATES CODE)
----------
5 U.S.C. Sec. 1501. Definitions
For the purpose of this chapter--
(1) ``State'' means a State or territory or
possession of the United States;
(2) ``State or local agency'' means the executive
branch of a State, municipality, or other political
subdivision of a State, or an agency or department
thereof;
(3) ``Federal agency'' means an Executive agency or
other agency of the United States, but does not include
a member bank of the Federal Reserve System; and
(4) ``State or local officer or employee'' means an
individual employed by a State or local agency whose
principal employment is in connection with an activity
which is financed in whole or in part by loans or
grants made by the United States or a Federal agency,
but does not include--
(A) an individual who exercises no functions
in connection with that activity; or
(B) an individual employed by an educational
or research institution, establishment, agency
or system which is supported in whole or in
part by a State or political subdivision
thereof, or by a recognized religious,
philanthropic, or cultural organization.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 403; as amended by
Pub.L. 93-443, Title VI, Sec. 401(c), Oct. 15,
1974, 88 Stat. 1290.
5 U.S.C. Sec. 1502. Influencing elections; taking part in political
campaigns; prohibitions; exceptions
(a) A State or local officer or employee may not--
(1) use his official authority or influence for the
purpose of interfering with or affecting the result of
an election or a nomination for office;
(2) directly or indirectly coerce, attempt to coerce,
command, or advise a State or local officer or employee
to pay, lend, or contribute anything of value to a
party, committee, organization, agency, or person for
political purposes; or
(3) be a candidate for elective office.
(b) A State or local officer or employee retains the right
to vote as he chooses and to express his opinions on political
subjects and candidates.
(c) Subsection (a)(3) of this section does not apply to--
(1) the Governor or Lieutenant Governor of a State or
an individual authorized by law to act as Governor;
(2) the mayor of a city;
(3) a duly elected head of an executive department of
a State or municipality who is not classified under a
State or municipal merit or civil-service system; or
(4) an individual holding elective office.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 404; as amended by
Pub.L. 93-443, Title IV, Sec. 401(a), Oct. 15,
1974, 88 Stat. 1290.
5 U.S.C. Sec. 1503. Nonpartisan candidacies permitted
Section 1502(a)(3) of this title does not prohibit any
State or local officer or employee from being a candidate in
any election if none of the candidates is to be nominated or
elected at such election as representing a party any of whose
candidates for Presidential elector received votes in the last
preceding election at which Presidential electors were
selected.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 404; as amended by
Pub.L. 93-443, Title IV, Sec. 401(b)(1), Oct. 15,
1974, 88 Stat. 1290.
5 U.S.C. Sec. 1504. Investigations; notice of hearing
When a Federal agency charged with the duty of making a
loan or grant of funds of the United States for use in an
activity by a State or local officer or employee has reason to
believe that the officer or employee has violated section 1502
of this title, it shall report the matter to the Special
Counsel. On receipt of the report, or on receipt of other
information which seems to the Special Counsel to warrant an
investigation, the Special Counsel shall investigate the report
and such other information and present his findings and any
charges based on such findings to the Merit Systems Protection
Board, which shall--
(1) fix a time and place for a hearing; and
(2) send, by registered or certified mail, to the
officer or employee charged with the violation and to
the State or local agency employing him a notice
setting forth a summary of the alleged violation and
giving the time and place of the hearing.
The hearing may not be held earlier than 10 days after the
mailing of the notice.
Pub.L. 89-544, Sept. 6, 1966, 80 Stat. 405; as amended by
Pub.L. 95-454, Title IX, Sec. 906(c)(7), Oct. 13,
1978, 92 Stat. 1225.
5 U.S.C. Sec. 1505. Hearings; adjudications; notice of determinations
Either the State or local officer or employee or the State
or local agency employing him, or both, are entitled to appear
with counsel at the hearing under section 1504 of this title,
and be heard. After this hearing, the Merit System Protection
Board shall--
(1) determine whether a violation of section 1502 of
this title has occurred;
(2) determine whether the violation warrants the
removal of the officer or employee from his office or
employment; and
(3) notify the officer or employee and the agency of
the determination by registered or certified mail.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 405; as amended by
Pub.L. 95-454, Title IX, Sec. 906(a)(6), Oct. 13,
1978, 92 Stat. 1225.
5 U.S.C. Sec. 1506. Orders; withholding loans or grants; limitations
(a) When the Merit Systems Protection Board finds--
(1) that a State or local officer or employee has not
been removed from his office or employment within 30
days after notice of a determination by the Board that
he has violated section 1502 of this title and that the
violation warrants removal; or
(2) that the State or local officer or employee has
been removed and has been appointed within 18 months
after his removal to an office or employment in the
same State in a State or local agency which does not
receive loans or grants from a Federal agency;
the Board shall make and certify to the appropriate Federal
agency an order requiring that agency to withhold from its
loans or grants to the State or local agency to which notice
was given an amount equal to 2 years' pay at the rate the
officer or employee was receiving at the time of the violation.
When the State or local agency to which appointment within 18
months after removal has been made is one that receives loans
or grants from a Federal agency, the Board order shall direct
that the withholding be made from that State or local agency.
(b) Notice of the order shall be sent by registered or
certified mail to the State or local agency from which the
amount is ordered to be withheld. After the order becomes
final, the Federal agency to which the order is certified shall
withhold the amount in accordance with the terms of the order.
Except as provided by section 1508 of this title, a
determination or order of the Board becomes final at the end of
30 days after mailing the notice of the determination or order.
(c) The Board may not require an amount to be withheld from
a loan or grant pledged by a State or local agency as security
for its bonds or notes if the withholding of that amount would
jeopardize the payment of the principal or interest on the
bonds or notes.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 405; as amended by
Pub.L. 95-454, Title IX, Sec. 906(a)(6), Oct. 13,
1978, 92 Stat. 1225.
5 U.S.C. Sec. 1507. Subpenas and depositions
(a) The Merit Systems Protection Board may require by
subpena the attendance and testimony of witnesses and the
production of documentary evidence relating to any matter
before it as a result of this chapter. Any member of the Board
may sign subpenas, and members of the Board and its examiners
when authorized by the Board may administer oaths, examine
witnesses, and receive evidence. The attendance of witnesses
and the production of documentary evidence may be required from
any place in the United States at the designated place of
hearing. In case of disobedience to a subpena, the Board may
invoke the aid of a court of the United States in requiring the
attendance and testimony of witnesses and the production of
documentary evidence. In case of contumacy or refusal to obey a
subpena issued to a person, the United States District Court
within whose jurisdiction the inquiry is carried on may issue
an order requiring him to appear before the Board, or to
produce documentary evidence if so ordered, or to give evidence
concerning the matter in question; and any failure to obey the
order of the court may be punished by the court as a contempt
thereof.
(b) The Board may order testimony to be taken by deposition
at any stage of a proceeding or investigation before it as a
result of this chapter. Depositions may be taken before an
individual designated by the Board and having the power to
administer oaths. Testimony shall be reduced to writing by the
individual taking the deposition, or under his direction, and
shall be subscribed by the deponent. Any person may be
compelled to appear and depose and to produce documentary
evidence before the Board as provided by this section.
(c) A person may not be excused from attending and
testifying or from producing documentary evidence or in
obedience to a subpena on the ground that the testimony or
evidence, documentary or otherwise, required of him may tend to
incriminate him or subject him to a penalty or forfeiture for
or on account of any transaction, matter, or thing concerning
which he is compelled to testify, or produce evidence,
documentary or otherwise, before the Board in obedience to a
subpena issued by it. A person so testifying is not exempt from
prosecution and punishment for perjury committed in so
testifying.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 406; as amended by
Pub.L. 95-454, Title IX, Sec. 906(a)(6), Oct. 13,
1978, 92 Stat. 1225.
5 U.S.C. Sec. 1508. Judicial review
A party aggrieved by a determination or order of the Merit
Systems Protection Board under section 1504, 1505, or 1506 of
this title may, within 30 days after the mailing of notice of
the determination or order, institute proceedings for review
thereof by filing a petition in the United States District
Court for the district in which the State or local officer or
employee resides. The institution of the proceedings does not
operate as a stay of the determination or order unless--
(1) the court specifically orders a stay; and
(2) the officer or employee is suspended from his
office or employment while the proceedings are pending.
A copy of the petition shall immediately be served on the
Board, and thereupon the Board shall certify and file in the
court a transcript of the record on which the determination or
order was made. The court shall review the entire record
including questions of fact and questions of law. If
application is made to the court for leave to adduce additional
evidence, and it is shown to the satisfaction of the court that
the additional evidence may materially affect the result of the
proceedings and that there were reasonable grounds for failure
to adduce this evidence in the hearing before the Board, the
court may direct that the additional evidence be taken before
the Board in the manner and on the terms and conditions fixed
by the court. The Board may modify its findings of fact or its
determination or order in view of the additional evidence and
shall file with the court the modified findings, determination,
or order; and the modified findings of fact, if supported by
substantial evidence, are conclusive. The court shall affirm
the determination or order, or the modified determination or
order, if the court determines that it is in accordance with
law. If the court determines that the determination or order,
or the modified determination or order, is not in accordance
with law, the court shall remand the proceeding to the Board
with directions either to make a determination or order
determined by the court to be lawful or to take such further
proceedings as, in the opinion of the court, the law requires.
The judgment and decree of the court are final, subject to
review by the appropriate United States Court of Appeals as in
other cases, and the judgment and decree of the court of
appeals are final, subject to review by the Supreme Court of
the United States on certiorari or certification as provided by
section 1254 of title 28. If a provision of this section is
held to be invalid as applied to a party by a determination or
order of the Board, the determination or order becomes final
and effective as to that party as if the provision had not been
enacted.
Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 406; as amended by
Pub.L. 95-454, Title IX, Sec. 906(a)(6), Oct. 13,
1978, 92 Stat. 1225.
G. LIMITATIONS ON OUTSIDE EMPLOYMENT AND ELIMINATION OF HONORARIA
----------
5 U.S.C. App. 4 Sec. 501. Outside earned income limitation [title V of
the Ethics in Government Act of 1978, as amended]
(a) Outside earned income limitation--
(1) Except as provided by paragraph (2), a Member or
an officer or employee who is a noncareer officer or
employee and who occupies a position classfied above
GS-15 of the General Schedule or, in the case of
positions not under the General Schedule, for which the
rate of basic pay is equal to or greater than 120
percent of the minimum rate of basic pay payable for
GS-15 of the General Schedule, may not in any calendar
year have outside earned income attributable to such
calendar year which exceeds 15 percent of the annual
rate of basic pay for level II of the Executive
Schedule under section 5313 of title 5, United States
Code, as of January 1 of such calendar year.
(2) In the case of any individual who becomes a
Member or an officer or employee who is a noncareer
officer or employee and who occupies a position
classified above GS-15 of the General Schedule or, in
the case of positions not under the General Schedule,
for which the rate of basic pay is equal to or greater
than 120 percent of the minimum rate of basic pay
payable for GS-15 of the General Schedule, such
individual may not have outside earned income
attributable to the portion of that calendar year which
occurs after such individual becomes a Member or such
an officer or employee which exceeds 15 percent of the
annual rate of basic pay for level II of the Executive
Schedule under section 5313 of title 5, United States
Code, as of January 1 of such calendar year multiplied
by a fraction, the numerator of which is the number of
days such individual is a Member or such officer or
employee during such calendar year and the denominator
of which is 365.
(b) Honoraria prohibition.--An individual may not receive
any honorarium while that individual is a Member, officer or
employee.
(c) Treatment of charitable contributions.--Any honorarium
which, except for subsection (b), might be paid to a Member,
officer or employee, but which is paid instead on behalf of
such Member, officer or employee to a charitable organization,
shall be deemed not to be received by such Member, officer or
employee. [See also Senate Rule 35 pertaining to gifts.] No
such payment shall exceed $2,000 or be made to a charitable
organization from which such individual or a parent, sibling,
spouse, child, or dependent relative of such individual derives
any financial benefit.
Pub.L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
amended Pub.L. 101-194, Title VI Sec. 601(a), Nov.
30, 1989, 103 Stat. 1760; Pub.L. 101-280 Sec. 7(a),
May 4, 1990, 104 Stat. 161; Pub.L. 102-378,
Sec. 4(b)(1), (2), Oct. 2, 1992, 106 Stat. 1357.
5 U.S.C. App. Sec. 502. Limitations on outside employment
(a) Limitations.--A Member or an officer or employee who is
a noncareer officer or employee and who occupies a position
classified above GS-15 of the General Schedule or, in the case
of positions not under the General Schedule, for which the rate
of basic pay is equal to or greater than 120 percent of the
minimum rate of basic pay payable for GS-15 of the General
Schedule shall not--
(1) receive compensation for affiliating with or
being employed by a firm, partnership, association,
corporation, or other entity which provides
professional services involving a fiduciary
relationship;
(2) permit that Member's, officer's, or employee's
name to be used by any such firm, partnership,
association, corporation, or other entity;
(3) receive compensation for practicing a profession
which involves a fiduciary relationship;
(4) serve for compensation as an officer or member of
the board of any association, corporation, or other
entity; or
(5) receive compensation for teaching, without the
prior notification and approval of the appropriate
entity referred to in section 503.
(b) Teaching compensation of justices and judges retired
from regular active service.--For purposes of the limitation
under section 501(a), any compensation for teaching approved
under subsection (a)(5) of this section shall not be treated as
outside earned income--
(1) when received by a justice of the United States
retired from regular active service under section
371(b) of title 28, United States Code;
(2) when received by a judge of the United States
retired from regular active service under section
371(b) of title 28, United States Code, for teaching
performed during any calendar year for which such judge
has met the requirements of subsection (f) of section
371 of title 28, United States Code, as certified in
accordance with such subsection; or
(3) when received by a justice or judge of the United
States retired from regular active service under
section 372(a) of title 28, United States Code.
Pub.L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
amended Pub.L. 101-194, Title VI, Sec. 601(a), Nov.
30, 1989, 103 Stat. 1760; Pub.L. 101-280,
Sec. 7(a)(1), (b), May 4, 1990, 104 Stat. 161;
Pub.L. 101-650, Title III, Sec. 319, Dec. 1, 1990,
104 Stat. 5117; Pub.L. 102-198, Sec. 6, Dec. 9,
1991, 105 Stat. 1624; Pub.L. 102-378, Sec. 4(b)(3),
Oct. 2, 1992, 106 Stat. 1357.
5 U.S.C. App. Sec. 503. Administration
This title shall be subject to the rules and regulations
of--
(1) and administered by--
(A) the Committee on Standards of Official
Conduct of the House of Representatives, with
respect to Members, officers, and employees of
the House of Representatives; and
(B) in the case of Senators and legislative
branch officers and employees other than those
officers and employees specified in
subparagraph (A), the committee to which
reports filed by such officers and employees
under title I are transmitted under such title,
except that the authority of this section may
be delegated by such committee with respect to
such officers and employees;
(2) The Office of Government Ethics and administered
by designated agency ethics officials with respect to
officers and employees of the executive branch; and
(3) and administered by the Judicial Conference of
the United States (or such other agency as it may
designate) with respect to officers and employees of
the judicial branch.
Pub.L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
amended Pub.L. 101-194, Title VI Sec. 601(a), Nov.
30, 1989, 103 Stat. 1760; Pub.L. 101-280,
Sec. 7(c), May 4, 1990, 104 Stat. 161; Pub.L. 102-
90, Title I, Sec. 6(b)(1), Aug. 14, 1991, 105 Stat.
450.
5 U.S.C. App. Sec. 504. Civil penalties
(a) Civil action.--The Attorney General may bring a civil
action in any appropriate United States district court against
any individual who violates any provision of section 501 or
502. The court in which such action is brought may assess
against such individual a civil penalty of not more than
$10,000 or the amount of compensation, if any, which the
individual received for the prohibited conduct, whichever is
greater.
(b) Advisory opinions.--Any entity described in section 503
may render advisory opinions interpreting this title, in
writing, to individuals covered by this title. Any individual
to whom such an advisory opinion is rendered and any other
individual covered by this title who is involved in a fact
situation which is indistinguishable in all material aspects,
and who, after the issuance of such advisory opinion, acts in
good faith in accordance with its provisions and findings shall
not, as a result of such actions, be subject to any sanction
under subsection (a).
Pub.L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
amended Pub.L. 101-194, Title VI, Sec. 601(a), Nov.
30, 1989, 103 Stat. 1761.
5 U.S.C. App. Sec. 505. Definitions
For purposes of this title:
(1) The term ``Member'' means a Senator in, a
Representative in, or a Delegate or Resident
Commissioner to, the Congress.
(2) The term ``officer or employee'' means any
officer or employee of the Government except any
special Government employee (as defined in section 202
of title 18, United States Code).
(3) The term ``honorarium'' means a payment of money
or anything of value for an appearance, speech or
article (including a series of appearances, speeches,
or articles if the subject matter is directly related
to the individual's official duties or the payment is
made because of the individual's status with the
Government) by a Member, officer or employee, excluding
any actual and necessary travel expenses incurred by
such individual (and one relative) to the extent that
such expenses are paid or reimbursed by any other
person, and the amount otherwise determined shall be
reduced by the amount of any such expenses to the
extent that such expenses are not paid or reimbursed.
(4) The term ``travel expenses'' means, with respect
to a Member, officer or employee, or a relative of any
such individual, the cost of transportation, and the
cost of lodging and meals while away from his or her
residence or principal place of employment.
(5) The term ``charitable organization'' means an
organization described in section 170(c) of the
Internal Revenue Code of 1986.
Pub.L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
amended Pub.L. 101-194, Title VI, Sec. 601(A), Nov.
30, 1989, 103 Stat. 1760; Pub.L. 102-90, Title I,
Sec. 6(b)(2) and Title III, Sec. 314(b), August 14,
1991, 105 Stat. 450, 469.
H. CRIMINAL CODE PROVISIONS (TITLE 18, UNITED STATES CODE)
----------
Chapter 11--Bribery, Graft, and Conflicts of Interest
18 U.S.C. Sec. 203. Compensation to Members of Congress, officers and
others in matters affecting the Government
(a) Whoever, otherwise than as provided by law for the
proper discharge of official duties, directly or indirectly--
(1) demands, seeks, receives, accepts, or agrees to
receive or accept any compensation for any
representational services, as agent or attorney or
otherwise, rendered or to be rendered either personally
or by another--
(A) at a time when such person is a Member of
Congress, Member of Congress Elect, Delegate,
Delegate Elect, Resident Commissioner, or
Resident Commissioner Elect; or
(B) at a time when such person is an officer
or employee or Federal judge of the United
States in the executive, legislative, or
judicial branch of the Government, or in any
agency of the United States, in relation to any
proceeding, application, request for a ruling
or other determination, contract, claim,
controversy, charge, accusation, arrest or
other particular matter in which the United
States is a party or has a direct and
substantial interest, before any department,
agency, court, court-martial, officer, or any
civil, military, or naval commission; or
(2) knowingly gives, promises, or offers any
compensation for any such representational services
rendered or to be rendered at a time when the person to
whom the compensation is given, promised, or offered,
is or was such a Member, Member Elect, Delegate,
Delegate Elect, Commissioner, Commissioner Elect,
Federal judge, officer, or employee;
(b) Whoever, otherwise than as provided by law for the
proper discharge of official duties, directly or indirectly--
(1) demands, seeks, receives, accepts, or agrees to
receive or accept any compensation for any
representational services, as agent or attorney or
otherwise, rendered or to be rendered either personally
or by another, at a time when such person is an officer
or employee of the District of Columbia, in relation to
any proceeding, application, request for a ruling or
other determination, contract, claim, controversy,
charge, accusation, arrest, other particular matter in
which the District of Columbia is a party or has a
direct and substantial interest, before any department,
agency, court, officer, or commission; or
(2) knowingly gives, promises, or offers any
compensation for any such representational services
rendered or to be rendered at a time when the person to
whom the compensation is given, promised, or offered,
is or was an officer or employee of the District of
Columbia;
shall be subject to the penalties set forth in section 216 of
this title.
(c) A special Government employee shall be subject to
subsections (a) and (b) only in relation to a particular matter
involving a specific party or parties--
(1) in which such employee has at any time
participated personally and substantially as a
Government employee or as a special Government employee
through decision, approval, disapproval,
recommendation, the rendering of advice, investigation
or otherwise; or
(2) which is pending in the department or agency of
the Government in which such employee is serving except
that paragraph (2) of this subsection shall not apply
in the case of a special Government employee who has
served in such department or agency no more than sixty
days during the immediately preceding period of three
hundred and sixty-five consecutive days.
(d) Nothing in this section prevents an officer or
employee, including a special Government employee, from acting,
with or without compensation, as agent or attorney for or
otherwise representing his parents, spouse, child, or any
person for whom, or for any estate for which, he is serving as
guardian, executor, administrator, trustee, or other personal
fiduciary except--
(1) in those matters in which he has participated
personally and substantially as a Government employee
or as a special Government employee through decision,
approval, disapproval, recommendation, the rendering of
advice, investigation, or otherwise; or
(2) in those matters that are the subject of his
official responsibility, subject to approval by the
Government official responsible for appointment to his
position.
(e) Nothing in this section prevents a special Government
employee from acting as agent or attorney for another person in
the performance of work under a grant by, or a contract with or
for the benefit of, the United States if the head of the
department or agency concerned with the grant or contract
certifies in writing that the national interest so requires and
publishes such certification in the Federal Register.
(f) Nothing in this section prevents an individual from
giving testimony under oath or from making statements required
to be made under penalty or perjury.
Added Pub.L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1121;
amended Pub.L. 91-405, Title II, Sec. 204(d) (2),
(3), Sept. 22, 1970, 84 Stat 853; Pub.L. 99-646,
Sec. 47(a), Nov. 10, 1986, 100 Stat. 3604; Pub.L.
101-194, Title IV, Sec. 402, Nov. 30, 1989, 103
Stat. 1748; Pub.L. 101-280, Sec. 5(b), May 4, 1990,
104 Stat. 159.
18 U.S.C. Sec. 210. Offer to procure appointive public office
Whoever pays or offers or promises any money or things of
value, to any person, firm, or corporation in consideration of
the use or promise to use any influence to procure any
appointive office or place under the United States for any
person, shall be fined under this title or imprisoned not more
than one year, or both.
June 25, 1948, ch. 62 Stat. 694; Sec. 210, formerly Sec. 214,
renumbered Oct. 23, 1962, Pub.L. 87-849, Sec. 1(b),
76 Stat. 1125; Sept. 13, 1994, Pub.L. 103-322,
Title XXXIII, Sec. 330016(1)(H), 108 Stat. 2147.
18 U.S.C. Sec. 211. Acceptance or solicitation to obtain appointive
public office
Whoever solicits or receives, either as a political
contribution, or for personal emolument, any money or thing of
value, in consideration of the promise of support or use of
influence in obtaining for any person any appointive office or
place under the United States, shall be fined under this title
or imprisoned not more than one year, or both.
Whoever solicits or receives anything of value in
consideration of aiding a person to obtain employment under the
United States either by referring his name to an executive
department or agency of the United States or by requiring the
payment of a fee because such person has secured such
employment shall be fined under this title or imprisoned not
more than one year, or both. This section shall not apply to
such services rendered by an employment agency pursuant to the
written request of an executive department or agency of the
United States.
June 25, 1948, ch. 645, 62 Stat. 694; Sec. 211, formerly
Sec. 215, amended Sept. 13, 1951, ch. 380, 65 Stat.
320; and renumbered Oct. 23, 1962, Pub.L. 87-849,
Sec. 1(b), 76 Stat. 1125; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat.
2147.
18 U.S.C. Sec. 592. Troops at polls
Whoever, being an officer of the Army or Navy, or other
person in the civil, military, or naval service of the United
States, orders, brings, keeps, or has under his authority or
control any troops or armed men at any place where a general or
special election is held, unless such force be necessary to
repel armed enemies of the United States, shall be fined under
this title or imprisoned not more than five years, or both; and
be disqualified from holding any office of honor, profit, or
trust under the United States.
This section shall not prevent any officer or member of the
Armed Forces of the United States from exercising the right of
suffrage in any election district to which he may belong, if
otherwise qualified according to the laws of the State in which
he offers to vote.
June 24, 1948, ch. 645, 62 Stat. 719; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(K), 108 Stat.
2147.
18 U.S.C. Sec. 593. Interference by Armed Forces
Whoever, being an officer or member of the Armed Forces of
the United States prescribes or fixes or attempts to prescribe
or fix, whether by proclamation, order or otherwise, the
qualifications of voters at any election in any State; or
Whoever, being such officer or member, prevents or attempts
to prevent by force, threat, intimidation, advice, or otherwise
any qualified voter of any State from fully exercising the
right of suffrage at any general or special election; or
Whoever, being such officer or member, orders or compels or
attempts to compel any election officer in any State to receive
a vote from a person not legally qualified to vote; or
Whoever, being such officer or member, imposes or attempts
to impose any regulations for conducting any general or special
election in a State, different from those prescribed by law; or
Whoever, being such officer or member, interferes in any
manner with an election officer's discharge of his duties--
shall be fined under this title or imprisoned not more than
five years, or both; and disqualified from holding any office
of honor, profit, or trust under the United States.
This section shall not prevent any officer or member of the
Armed Forces from exercising the right of suffrage in any
district to which he may belong, if otherwise qualified
according to the laws of the State of such district.
June 25, 1948, ch. 645, 62 Stat. 719; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(K), 108 Stat.
2147.
18 U.S.C. Sec. 594. Intimidation of voters
Whoever intimidates, threatens, coerces, or attempts to
intimidate, threaten, or coerce, any other person for the
purposes of interfering with the right of such other person to
vote or to vote as he may choose, or of causing such other
person to vote for, or not to vote for, any candidate for the
office of President, Vice President, Presidential elector,
Member of the Senate, Member of the House of Representatives,
Delegate from the District of Columbia, or Resident
Commissioner, at any election held solely or in part for the
purpose of electing such candidate, shall be fined under this
title or imprisoned not more than one year, or both.
June 25, 1948, ch. 645, 62 Stat. 720; as amended by Pub.L. 91-
405, Title II, Sec. 204(d)(5), Sept. 22, 1970, 84
Stat. 853; Sept. 13, 1994, Pub.L. 103-322, Title
XXXIII, Sec. 330016(1)(H), 108 Stat. 2147.
18 U.S.C. Sec. 595. Interference by administrative employees of
Federal, State, or territorial governments
Whoever, being a person employed in any administrative
position by the United States, or by any department or agency
thereof, or by the District of Columbia or any agency or
instrumentality thereof, or by any State, Territory, or
Possession of the United States, or any political subdivision,
municipality, or agency thereof, or agency of such political
subdivision or municipality (including any corporation owned or
controlled by any State, Territory or Possession of the United
States or by any such political subdivision, municipality, or
agency), in connection with any activity which is financed in
whole or in part by loans or grants made by the United States,
or any department or agency thereof, uses his official
authority for the purpose of interfering with, or affecting,
the nomination or the election of any candidate for the office
of President, Vice President, Presidential elector, Member of
the Senate, Member of the House of Representatives, Delegate
from the District of Columbia, or Resident Commissioner, shall
be fined under this title or imprisoned not more than one year,
or both.
This section shall not prohibit or make unlawful any act by
any officer or employee of any educational or research
institution, establishment, agency, or system which is
supported in whole or in part by any State or political
subdivision thereof, or by the District of Columbia or by any
Territory or Possession of the United States; or by any
recognized religious, philanthropic or cultural organization.
June 25, 1948, c. 645, 62 Stat. 720; as amended by Pub.L. 91-
405, Title II, Sec. 204(d)(6), 84 Stat. 853; Sept.
13, 1994, Pub.L. 103-322, Title XXXIII,
Sec. 330016(1)(H), (L), 108 Stat. 2147.
18 U.S.C. Sec. 596. Polling Armed Forces
Whoever, within or without the Armed Forces of the United
States, polls any member of such forces, either within or
without the United States, either before or after he executes
any ballot under any Federal or State law, with reference to
his choice of or his vote for any candidate, or states,
publishes, or releases any result of any purported poll taken
from or among the members of the Armed Forces of the United
States or including within it the statement of choice for such
candidate or of such votes cast by any member of the Armed
Forces of the United States, shall be fined under this title or
imprisoned for not more than one year, or both.
The word ``poll'' means any request for information, verbal
or written which by its language or form of expression requires
or implies the necessity of an answer, where the request is
made with the intent of compiling the result of the answers
obtained, either for the personal use of the person making the
request, or for the purpose of reporting the same to any other
person, persons, political party, unincorporated association or
corporation, or for the purpose of publishing the same orally,
by radio, or in written or printed form.
June 25, 1948, ch. 645, 62 Stat. 720; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat.
2147.
18 U.S.C. Sec. 597. Expenditures to influence voting
Whoever makes or offers to make an expenditure to any
person, either to vote or withhold his vote, or to vote for or
against any candidate; and
Whoever solicits, accepts, or receives any such expenditure
in consideration of his vote or the withholding of his vote--
shall be fined under this title or imprisoned not more than one
year, or both; and if the violation was willful, shall be fined
under this title or imprisoned not more than two years, or
both.
June 24, 1948, ch. 645, 62 Stat. 721; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat.
2147; Oct. 11, 1996, Pub.L. 104-294, Title VI,
Sec. 601(a)(12), 110 Stat. 3498.
18 U.S.C. Sec. 598. Coercion by means of relief appropriations
Whoever uses any part of any appropriation made by Congress
for work relief, relief, or for increasing employment by
providing loans and grants for public-works projects, or
exercises or administers any authority conferred by any
Appropriation Act for the purpose of interfering with,
restraining, or coercing any individual in the exercise of his
right to vote at any election, shall be fined under this title
or imprisoned not more than one year, or both.
June 25, 1948, ch. 645, 62 Stat. 721; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat.
2147.
18 U.S.C. Sec. 599. Promise of appointment by candidate
Whoever, being a candidate, directly or indirectly promises
or pledges the appointment, or the use of his influence or
support for the appointment of any person to any public or
private position or employment, for the purpose of procuring
support in his candidacy shall be fined under this title or
imprisoned not more than one year, or both; and if the
violation was willful, shall be fined under this title or
imprisoned not more than two years, or both.
June 25, 1948, ch. 645, 62 Stat. 721; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(H), (L), 108
Stat. 2147.
18 U.S.C. Sec. 600. Promise of employment or other benefit for
political activity
Whoever, directly or indirectly, promises any employment,
position, compensation, contract, appointment, or other
benefit, provided for or made possible in whole or in part any
Act of Congress, or any special consideration in obtaining any
such benefit, to any person as a consideration, favor, or
reward for any political activity or for the support of our
opposition to any candidate or any political party in
connection with any general or special election to any
political office or in connection with any primary election or
political convention or caucus held to select candidates for
any political office, shall be fined under this title or
imprisoned not more than one year, or both.
June 15, 1948, ch. 645, 62 Stat. 721; as amended Pub.L. 92-225,
Title II, Sec. 202, Feb. 7, 1972, 86 Stat. 9; and
Pub.L. 94-453, Sec. 3, Oct. 2, 1976, 90 Stat. 1517;
Sept. 13, 1994, Pub.L. 103-322, Title XXXIII,
Sec. 330016(2)(L), 108 Stat. 2147.
18 U.S.C. Sec. 601. Deprivation of employment or other benefit for
political contribution
(a) Whoever, directly or indirectly knowingly causes or
attempts to cause any person to make a contribution of a thing
of value (including services) for the benefit of any candidate
of any political party, by means of the denial or deprivation,
or the threat of the denial or deprivation, of--
(1) any employment, position, or work in or for any
agency or other entity of the Government of the United
States, a State, or a political subdivision of a State,
or any compensation or benefit of such employment,
position, or work; or
(2) any payment or benefit of a program of the United
States, a State, or a political subdivision of a State;
if such employment, position, work, compensation,
payment, or benefit is provided for or made possible in
whole or in part by an Act of Congress, shall be fined
under this title or imprisoned not more than one year,
or both.
(b) As used in this section--
(1) the term ``candidate'' means an individual who
seeks nomination for election, or election, to Federal,
State, or local office, whether or not such individual
is elected, and, for purposes of this paragraph, an
individual shall be deemed to seek nomination for
election, or election, to Federal, State, or local
office, if he has (A) taken the action necessary under
the law of a State to qualify himself for nomination
for election, or election, or (B) received
contributions or made expenditures, or has given his
consent for any other person to receive contributions
or make expenditures, with a view to bringing about his
nomination for election, or election, to such office;
(2) the term ``election'' means (A) a general,
special primary, or runoff election, (B) a convention
or caucus of a political party held to nominate a
candidate, (C) a primary election held for the
selection of delegates to a nominating convention of a
political party, (D) a primary election held for the
expression of a preference for the nomination of
persons for election to the office of President, and
(E) the election of delegates to a constitutional
convention for proposing amendments to the Constitution
of the United States or of any State; and
(3) the term ``State'' means a State of the United
States, the District of Columbia, the Commonwealth of
Puerto Rico, or any territory or possession of the
United States.
June 25, 1948, ch. 645, Stat. 721; as amended by Pub.L. 94-453,
Sec. 1, Oct. 2, 1976, 90 Stat. 1516; Sept. 13,
1994, Pub.L. 103-322, Title XXXIII,
Sec. 330016(1)(L), 108 Stat. 2147.
18 U.S.C. Sec. 602. Solicitation of political contributions
(a) It shall be unlawful for--
(1) a candidate for the Congress;
(2) an individual elected to or serving in the office
of Senator or Representative in, or Delegate or
Resident Commissioner to, the Congress;
(3) an officer or employee of the United States or
any department or agency thereof; or
(4) a person receiving any salary or compensation for
services from money derived from the Treasury of the
United States;
to knowingly solicit any contribution within the meaning of
section 301(8) of the Federal Election Campaign Act of 1971 (2
U.S.C. Sec. 431(8)) from any other such officer, employee, or
person. Any person who violates this section shall be fined
under this title or imprisoned not more than 3 years, or both.
(b) The prohibition in subsection (a) shall not apply to
any activity of an employee (as defined in section 7322(1) of
title 5) or any individual employed in or under the United
States Postal Service or the Postal Rate Commission, unless
that activity is prohibited by section 7323 or 7324 of such
title.
June 25, 1948, ch. 645, 62 Stat. 722; as amended by Pub.L. 96-
187, Title II, Sec. 201(a)(3), Jan. 8, 1980, 93
Stat. 1367; Pub.L. 103-94, Sec. 4, Oct. 6, 1993,
107 Stat. 1004; Sept. 13, 1994, Pub.L. 103-322,
Title XXXIII, Sec. 330016(1)(K), 108 Stat. 2147.
18 U.S.C. Sec. 603. Making political contributions
(a) It shall be unlawful for an officer or employee of the
United States or any department or agency thereof, or a person
receiving any salary or compensation for services from money
derived from the Treasury of the United States, to make any
contribution within the meaning of section 301(8) of the
Federal Election Campaign Act of 1971 (2 U.S.C. Sec. 431(8)) to
any other such officer, employee or person or to any Senator or
Representative in, or Delegate, or Resident Commissioner to,
the Congress, if the person receiving such contribution is the
employer or employing authority of the person making the
contribution. Any person who violates this section shall be
fined under this title or imprisoned not more than three years,
or both.
(b) For purposes of this section, a contribution to an
authorized committee as defined in section 302(e)(1) of the
Federal Election Campaign Act of 1971 [2 U.S.C. Sec. 432(e)(1)]
shall be considered a contribution to the individual who has
authorized such committee.
(c) The prohibition in subsection (a) shall not apply to
any activity of an employee (as defined in section 7322(1) of
title 5) or any individual employed in or under the United
States Postal Service or the Postal Rate Commission, unless
that activity is prohibited by section 7323 or 7324 of such
title.
June 25, 1948, ch. 645, 62 Stat. 722; Oct. 31, 1951, ch. 665,
Sec. 20(b), 65 Stat. 718; as amended by Pub.L. 96-
187, Title II, Sec. 201, Jan. 8, 1980, 93 Stat.
1367; Pub.L. 103-94, Sec. 4, Oct. 6, 1993, 107
Stat. 1005; Sept. 13, 1994, Pub.L. 103-322, Title
XXXIII, Sec. 330016(1)(K), 108 Stat. 2147.
18 U.S.C. Sec. 604. Solicitation from persons on relief
Whoever solicits or receives or is in any manner concerned
in soliciting or receiving any assessment, subscription, or
contribution for any political purpose from any person known by
him to be entitled to, or receiving compensation, employment,
or other benefit provided for or made possible by any Act of
Congress appropriating funds for work relief or relief
purposes, shall be fined under this title or imprisoned not
more than one year, or both.
June 25, 1948, ch. 645, 62 Stat. 722; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat.
2147.
18 U.S.C. Sec. 605. Disclosure of names of persons on relief
Whoever, for political purposes, furnishes or discloses any
list or names of persons receiving compensation, employment or
benefits provided for or made possible by any Act of Congress
appropriating, or authorizing the appropriation of funds for
work relief or relief purposes, to a political candidate,
committee, campaign manager, or to any person for delivery to a
political candidate, committee, or campaign manager; and
whoever receives any such list or names for political purposes
shall be fined under this title or imprisoned not more than one
year, or both.
June 25, 1948, ch. 645, 62 Stat. 722; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat.
2147.
18 U.S.C. Sec. 606. Intimidation to secure political contributions
Whoever, being one of the officers or employees of the
United States mentioned in section 602 of this title,
discharges, or promotes, or degrades, or in any manner changes
the official rank or compensation of any other officer or
employee, or promises or threatens so to do, for giving or
withholding or neglecting to make any contribution of money or
other valuable thing for any political purpose, shall be fined
under this title or imprisoned not more than three years, or
both.
June 25, 1948, ch. 645, 62 Stat. 722; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(K), 108 Stat.
2147.
18 U.S.C. Sec. 607. Place of solicitation
(a) It shall be unlawful for any person to solicit or
receive any contribution within the meaning of section 301(8)
of the Federal Election Campaign Act of 1971 in any room or
building occupied in the discharge of official duties by any
person mentioned in section 603, or in any navy yard, fort, or
arsenal. Any person who violates this section shall be fined
under this title or imprisoned not more than three years, or
both.
(b) The prohibition in subsection (a) shall not apply to
the receipt of contributions by persons on the staff of a
Senator or Representative in, or Delegate or Resident
Commissioner to, the Congress, provided, that such
contributions have not been solicited in any manner which
directs the contributor to mail or deliver a contribution to
any room, building, or other facility referred to in subsection
(a), and provided, that such contributions are transferred
within seven days of receipt to a political committee within
the meaning of section 302(e) of the Federal Election Campaign
Act of 1971.
June 25, 1948, c. 645, 62 Stat. 722; Pub.L. 96-187, Title II,
Sec. 201(a)(5), Jan. 8, 1980, 93 Stat. 1367; Pub.L. 103-322,
Title XXXIII, Sec. 330016(1)(K), Sept. 13, 1994, 108 Stat.
2147.
18 U.S.C. Sec. 608. Absent uniformed services voters and overseas
voters
(a) Whoever knowingly deprives or attempts to deprive any
person of a right under the Uniformed and Overseas Citizens
Absentee Voting Act shall be fined in accordance with this
title or imprisoned not more than five years, or both.
(b) Whoever knowingly gives false information for the
purpose of establishing the eligibility of any person to
register or vote under the Uniformed and Overseas Citizens
Absentee Voting Act, or pays or offers to pay, or accepts
payment for registering or voting under such Act shall be fined
in accordance with this title or imprisoned not more than five
years, or both.
Added Pub.L. 99-410, Title II, Sec. 202(a), Aug. 28, 1986, 100
Stat. 929.
18 U.S.C. Sec. 609. Use of military authority to influence vote of
member of Armed Forces
Whoever, being a commissioned, noncommissioned, warrant, or
petty officer of an Armed Force, uses military authority to
influence the vote of a member of the Armed Forces or to
require a member of the Armed Forces to march to a polling
place, or attempts to do so, shall be fined in accordance with
this title or imprisoned not more than five years, or both.
Nothing in this section shall prohibit free discussion of
political issues or candidates for public office.
Added Pub.L. 99--410, Title II, Sec. 202(a), Aug. 28, 1986, 100
Stat. 929.
18 U.S.C. Sec. 610. Coercion of political activity
It shall be unlawful for any person to intimidate,
threaten, command, or coerce, or attempt to intimidate,
threaten, command, or coerce, any employee of the Federal
Government as defined section 7322(1) of title 5, United States
Code, to engage in, or not to engage in, any political
activity, including, but not limited to, voting or refusing to
vote for any candidate or measure in any election, making or
refusing to make any political contribution, or working or
refusing to work on behalf of any candidate. Any person who
violates this section shall be fined under this title or
imprisoned not more than three years, or both.
Pub.L. 103-94, Sec. 4(c)(1), Oct. 6, 1993, 107 Stat. 1005;
Pub.L. 104-294, Title VI, Sec. 601(a)(1), Oct. 11, 1996, 110
Stat. 3498.
I. USE OF FRANKED MAIL (TITLE 39, UNITED STATES CODE)
----------
39 U.S.C. Sec. 3201. Definitions
As used in this chapter--
(1) ``penalty mail'' means official mail, other than
franked mail, which is authorized by law to be
transmitted in the mail without prepayment of postage;
(2) ``penalty cover'' means envelopes, wrappers,
labels, or cards used to transmit penalty mail;
(3) ``frank'' means the autographic or facsimile
signature of persons authorized by section 3210-3216
and 3218 of this title to transmit matter through the
mail without prepayment of postage or other indicia
contemplated by section 733 and 907 of title 44;
(4) ``franked mail'' means mail which is transmitted
in the mail under a frank;
(5) ``Members of Congress'' includes Senators,
Representatives, Delegates, and Resident Commissioners;
and
(6) ``missing child'' has the meaning provided by
section 403(1) of the Juvenile Justice and Delinquency
Prevention Act of 1974.
Pub.L. 91-375, Aug. 12, 1970, 84 Stat. 751; Pub.L. 99-87,
Sec. 1(b), Aug. 9, 1985, 99 Stat. 291.
39 U.S.C. Sec. 3210. Franked mail transmitted by the Vice President,
Members of Congress, and congressional officials
(a)(1) It is the policy of the Congress that the privilege
of sending mail as franked mail shall be established under this
section in order to assist and expedite the conduct of the
official business, activities, and duties of the Congress of
the United States.
(2) It is the intent of the Congress that such official
business, activities, and duties cover all matters which
directly or indirectly pertain to the legislative process or to
any congressional representative functions generally, or to the
functioning, working, or operating of the Congress and the
performance of official duties in connection therewith, and
shall include, but not be limited to, the conveying of
information to the public, and the requesting of the views of
the public, or the views and information of other authority of
government, as a guide or a means of assistance in the
performance of those functions.
(3) It is the intent of the Congress that mail matter which
is frankable specifically includes, but is not limited to--
(A) mail matter to any person and to all agencies and
officials of Federal, State, and local governments
regarding programs, decisions, and other related
matters of public concern or public service, including
any matter relating to actions of a past or current
Congress;
(B) the usual and customary congressional newsletter
or press release which may deal with such matters as
the impact of laws and decisions on State and local
governments and individual citizens; reports on public
and official actions taken by Members of Congress; and
discussions of proposed or pending legislation or
governmental actions and the positions of the Members
of Congress on, and arguments for or against, such
matters;
(C) the usual and customary congressional
questionnaire seeking public opinion on any law,
pending or proposed legislation, public issue, or
subject;
(D) mail matter dispatched by a Member of Congress
between his Washington office and any congressional
district offices, or between his district offices;
(E) mail matter directed by one Member of Congress to
another Member of Congress or to representatives of the
legislative bodies of State and local governments;
(F) mail matter expressing congratulations to a
person who has achieved some public distinction;
(G) mail matter, including general mass mailings,
which consists of Federal laws, Federal regulations,
other Federal publications, publications purchased with
Federal funds, or publications containing items of
general information;
(H) mail matter which consists of voter registration
or election information or assistance prepared and
mailed in a non-partisan manner;
(I) mail matter which constitutes or includes a
biography or autobiography of any Member of, or Member-
elect to, Congress or any biographical or
autobiographical material concerning such Member or
Member-elect or the spouse or other members of the
family of such Member or Member-elect, and which is so
mailed as a part of a Federal publication or in
response to a specific request therefor and is not
included for publicity purposes in a newsletter or
other general mass mailing of the Member or Member-
elect under the franking privilege; or
(J) mail matter which contains a picture, sketch, or
other likeness of any Member or Member-elect and which
is so mailed as a part of a Federal publication or in
response to a specific request therefor and, when
contained in a newsletter or other general mass mailing
of any Member or Member-elect, is not of such size, or
does not occur with such frequency in the mail matter
concerned, as to lead to the conclusion that the
purpose of such picture, sketch, or likeness is to
advertise the Member or Member-elect rather than to
illustrate accompanying text.
(4) It is the intent of the Congress that the franking
privilege under this section shall not permit, and may not be
used for, the transmission through the mails as franked mail,
of matter which in its nature is purely personal to the sender
or to any other person and is unrelated to the official
business, activities, and duties of the public officials
covered by subsection (b)(1) of this section.
(5) It is the intent of the Congress that a Member of or
Member-elect to Congress may not mail as franked mail--
(A) mail matter which constitutes or includes any
article, account, sketch, narration, or other text
laudatory and complimentary of any Member of, or
Member-elect to, Congress on a purely personal or
political basis rather than on the basis of performance
of official duties as a Member or on the basis of
activities as a Member-elect;
(B) mail matter which constitutes or includes--
(i) greetings from the spouse or other
members of the family of such Member or Member-
elect unless it is a brief reference in
otherwise frankable mail;
(ii) reports of how or when such Member or
Member-elect, or the spouse or any other member
of the family of such Member or Member-elect,
spends time other than in the performance of,
or in connection with, the legislative,
representative, and other official functions of
such Member or the activities of such Member-
elect as a Member-elect; or
(iii) any card expressing holiday greetings
from such Member or Member-elect; or
(C) mail matter which specifically solicits political
support for the sender or any other person or any
political party, or a vote or financial assistance for
any candidate for any public office.
The House Commission on Congressional Mailing Standards and the
Select Committee on Standards and Conduct of the Senate shall
prescribe for their respective Houses such rules and
regulations and shall take such other action, as the Commission
or Committee considers necessary and proper for the Members and
Members-elect to conform to the provisions of this clause and
applicable rules and regulations. Such rules and regulations
shall include, but not be limited to, provisions prescribing
the time within which such mailings shall be mailed at or
delivered to any postal facility to attain compliance with this
clause and the time when such mailings shall be deemed to have
been so mailed or delivered and such compliance attained.
(6)(A) It is the intent of Congress that a Member of, or
Member-elect to, Congress may not mail any mass mailing as
franked mail--
(i) if the mass mailing is postmarked fewer than 60
days (or, in the case of a Member of the House, fewer
than 90 days) immediately before the date of any
primary election or general election (whether regular,
special, or runoff) in which the Member is a candidate
for reelection; or
(ii) in the case of a Member of, or Member-elect to,
the House who is a candidate for any other public
office, if the mass mailing--
(I) is prepared for delivery within any
portion of the jurisdiction of or the area
covered by the public office which is outside
the area constituting the congressional
district from which the Member of Member-elect
was elected; or
(II) is postmarked fewer than 90 days
immediately before the date of any primary
election or general election (whether regular,
special, or runoff) in which the Member or
Member-elect is a candidate for any other
public office.
(B) Any mass mailing which is mailed by the chairman of any
organization referred to in the last sentence of section 3215
of this title which relates to the normal and regular business
of the organization may be mailed without regard to the
provisions of this paragraph.
(C) No Member of the Senate may mail any mass mailing as
franked mail if such mass mailing is postmarked fewer than 60
days immediately before the date of any primary election or
general election (whether regular, special, or runoff) for any
national, State or local office in which such Member is a
candidate for election.
(D) The Select Committee on Ethics of the Senate and the
House Commission on Congressional Mailing Standards shall
prescribe for their respective House rules and regulations, and
shall take other action as the Committee or the Commission
considers necessary and proper for Members and Members-elect to
comply with the provisions of this paragraph and applicable
rules and regulations. The rules and regulations shall include
provisions prescribing the time within which mailings shall be
mailed at or delivered to any postal facility and the time when
the mailings shall be deemed to have been mailed or delivered
to comply with the provisions of this paragraph.
(E) As used in this section, the term ``mass mailing''
means, with respect to a session of Congress, any mailing of
newsletters or other pieces of mail with substantially
identical content (whether such mail is deposited singly or in
bulk, or at the same time or different times), totaling more
than 500 pieces in that session, except that such term does not
include any mailing--
(i) of matter in direct response to a communication
from a person to whom the matter is mailed;
(ii) from a Member of Congress to other Members of
Congress, or to Federal, State, or local government
officials; or
(iii) of a news release to the communications media.
(F) For purposes of subparagraphs (A) and (C) if mail
matter is of a type which is not customarily postmarked, the
date on which such matter would have been postmarked if it were
of a type customarily postmarked shall apply.
(7) A Member of the House of Representatives may not send
any mass mailing outside the congressional district from which
the Member was elected.
(b)(1) The Vice President, each Member of or Member-elect
to Congress, the Secretary of the Senate, the Sergeant at Arms
of the Senate, each of the elected officers of the House of
Representatives (other than a Member of the House), the
Legislative Counsels of the House of Representatives and the
Senate, the Law Revision Counsel of the House of
Representatives, and the Senate Legal Counsel, may send, as
franked mail, matter relating to their official business,
activities, and duties, as intended by Congress to be mailable
as franked mail under subsection (a)(2) and (3) of this
section.
(2) If a vacancy occurs in the Office of the Secretary of
the Senate, the Sergeant at Arms of the Senate, an elected
officer of the House of Representatives (other than a Member of
the House), the Legislative Counsel of the House of
Representatives or the Senate, the Law Revision Counsel of the
House of Representatives, or the Senate Legal Counsel, any
authorized person may exercise the franking privilege in the
officer's name during the period of the vacancy.
(3) The Vice President, each Member of Congress, the
Secretary of the Senate, the Sergeant at Arms of the Senate,
and each of the elected officers of the House (other than a
Member of the House), during the 90-day period immediately
following the date on which they leave office, may send, as
franked mail, matter on official business relating to the
closing of their respective offices. The House Commission on
Congressional Mailing Standards and the Select Committee on
Standards and Conduct of the Senate shall prescribe for their
respective Houses such rules and regulations, and shall take
such other action as the Commission or Committee considers
necessary and proper, to carry out the provisions of this
paragraph.
(c) Franked mail may be in any form appropriate for mail
matter, including, but not limited to, correspondence,
newsletters, questionnaires, recordings, facsimiles, reprints,
and reproductions. Franked mail shall not include matter which
is intended by Congress to be nonmailable as franked mail under
subsection (a)(4) and (5) of this section.
(d)(1) A Member of Congress may mail franked mail with a
simplified form of address for delivery within that area
constituting the congressional district or State from which the
Member was elected.
(2) A Member-elect to the Congress may mail franked mail
with a simplified form of address for delivery within that area
constituting the congressional district or the State from which
he was elected.
(3) A Delegate, Delegate-elect, Resident Commissioner, or
Resident Commissioner-elect to the House of Representatives may
mail franked mail with a simplified form of address for
delivery within the area from which he was elected.
(4) Any franked mail which is mailed under this subsection
shall be mailed at the equivalent rate of postage which assures
that the mail will be sent by the most economical means
practicable.
(5) The Senate Committee on Rules and Administration and
the House Commission on Congressional Mailing Standards shall
prescribe for their respective Houses rules and regulations
governing any franked mail which is mailed under this
subsection and shall by regulation limit the number of such
mailings allowed under this subsection.
(6)(A) Any Member of, or Member-elect to, the House of
Representatives entitled to make any mailing as franked mail
under this subsection shall, before making any mailing, submit
a sample or description of the mail matter involved to the
House Commission on Congressional Mailing Standards for an
advisory opinion as to whether the proposed mailing is in
compliance with the provisions of this subsection.
(B) The Senate Select Committee on Ethics may require any
Member of, or Member-elect to, the Senate entitled to make any
mailings as franked mail under this subsection to submit a
sample or description of the mail matter to the Committee for
an advisory opinion as to whether the proposed mailing is in
compliance with the provisions of this subsection.
(7) Franked mail mailed with a simplified form of address
under this subsection--
(A) shall be prepared as directed by the Postal
Service; and
(B) may be delivered to--
(i) each box holder or family on a rural or
state route;
(ii) each post office box holder; and
(iii) each stop or box on a city carrier
route.
(8) For the purposes of this subsection, a congressional
district includes, in the case of a Representative at Large or
Representative at Large-elect, the State from which he was
elected.
(e) The frankability of mail matter shall be determined
under the provisions of this section by the type and content of
the mail sent, or to be sent.
(f) Any mass mailing which otherwise would be permitted to
be mailed as franked mail under this section shall not be so
mailed unless the cost of preparing and printing the mail
matter is paid exclusively from funds appropriated by Congress,
except that an otherwise frankable mass mailing may contain, as
an enclosure or supplement, any public service material which
is purely instructional or informational in nature, and which
in content is frankable under this section.
(g) Notwithstanding any other provision of Federal, State,
or local law, or any regulation thereunder, the equivalent
amount of postage determined under section 3216 of this title
on franked mail mailed under the frank of the Vice President or
a Member of Congress, and the cost of preparing or printing
such frankable matter for such mailing under the frank, shall
not be considered as a contribution to, or an expenditure by,
the Vice President or a Member of Congress for the purpose of
determining any limitation on expenditures or contributions
with respect to any such official, imposed by any Federal,
State, or local law or regulation, in connection with any
campaign of such official for election to any Federal office.
Pub.L. 91-375, Aug. 12, 1970, 84 Stat. 754; Pub.L. 92-51,
Sec. 101, July 9, 1971, 85 Stat. 132; Pub.L. 93-
191, Sec. 1(a), Dec. 18, 1973, 87 Stat. 737; Pub.L.
94-177, Dec. 23, 1975, 89 Stat. 1032; Pub.L. 95-
521, Title VII, Sec. 714(a), Oct. 26, 1978, 92
Stat. 1884; Pub.L. 97-69, Sec. Sec. 1-3(a), 4, Oct.
26, 1981, 95 Stat. 1041-1043; Pub.L. 97-263,
Sec. 1(1), (2), Sept. 24, 1982, 96 Stat. 1132;
Pub.L. 101-163, Title III, Sec. 318, Nov. 21, 1989,
103 Stat. 1068; Pub.L. 101-520, Title III,
Sec. Sec. 311(h)(1), 316, Nov. 5, 1990, 104 Stat.
2280, 2283; Pub.L. 102-392, Title III, Sec. 309(a),
Oct. 6, 1992, 106 Stat. 1722; Pub.L. 104-197, Title
I, Sec. 102(a), Sept. 16, 1996, 110 Stat. 2401.
39 U.S.C. Sec. 3211. Public documents
The Vice President, Members of Congress, the Secretary of
the Senate, the Sergeant at Arms of the Senate, each of the
elected officers of the House of Representatives (other than a
Member of the House) during the 90-day period immediately
following the expiration of their respective terms of office,
may send and receive as franked mail all public documents
printed by order of Congress.
Pub.L. 91-375, Aug. 12, 1970, 84 Stat. 754; Pub.L. 93-191,
Sec. 2, Dec. 18, 1973, 87 Stat. 741; Pub.L. 97-69,
Sec. 5(a), Oct. 26, 1981, 95 Stat. 1043.
39 U.S.C. Sec. 3212. Congressional Record under frank of Members of
Congress
(a) Members of Congress may send the Congressional Record
as franked mail.
(b) Members of Congress may send, as franked mail, any part
of, or a reprint any part of, the Congressional Record,
including speeches or reports contained therein, if such matter
is mailable as franked mail under section 3210 of this title.
Pub.L. 91-375, Aug. 12, 1970, 84 Stat. 754; Pub.L. 93-191,
Sec. 3, Dec. 18, 1973, 87 Stat. 741.
39 U.S.C. Sec. 3213. Seeds and reports from Department of Agriculture
Seeds and agriculture reports emanating from the Department
of Agriculture may be mailed--
(1) as penalty mail by the Secretary of Agriculture;
and
(2) during the 90-day period immediately following
the expiration of their terms of office, as franked
mail by Members of Congress.
Pub.L. 91-375, Aug. 12, 1970, Sec. 2, 84 Stat. 754; Pub.L. 97-
69, Sec. 5(b), Oct. 26, 1981, 95 Stat. 1043.
39 U.S.C. Sec. 3215. Lending or permitting use of frank unlawful
A person entitled to use a frank may not lend it or permit
its use by any committee, organization, or association, or
permit its use by any person for the benefit or use of any
committee, organization, or association. This section does not
apply to any standing, select, special, or joint committee, or
subcommittee thereof, or commission, of the Senate, House of
Representatives, or Congress, composed of Members of Congress,
or to the Democratic caucus or the Republican conference of the
House of Representatives or of the Senate.
Pub.L. 91-375, Aug. 12, 1970, 84 Stat 754; Pub.L. 93-191,
Sec. 10, Dec. 18, 1973, 87 Stat. 746.
39 U.S.C. Sec. 3216. Reimbursement for franked mailings
(a) The equivalent of--
(1) postage on, and fees and charges in connection
with, mail matter sent through the mails--
(A) under the franking privilege (other than
under section 3219 of this title), by the Vice
President, Members of and Members-elect to
Congress, the Secretary of the Senate, the
Sergeant at Arms of the Senate, each of the
elected officers of the House of
Representatives (other than a Member of the
House), the Legislative Counsels of the House
of Representatives and the Senate, the Law
Revision Counsel of the House of
Representatives, and the Senate Legal Counsel;
and
(B) by the survivors of a Member of Congress
under section 3218 of this title; and
(2) those portions of fees and charges to be paid for
handling and delivery by the Postal Service of
Mailgrams considered as franked mail under section 3219
of this title;
shall be paid by appropriations for the official mail costs of
the Senate and House of Representatives for that purpose and
then paid to the Postal Service as postal revenue. Except as to
Mailgrams and except as provided by sections 733 and 907 of
title 44, envelopes, wrappers, cards, or labels used to
transmit franked mail shall bear, in the upper right-hand
corner, the sender's signature, or a facsimile thereof.
(b) Postage on, and fees and charges in connection with,
mail matter sent through the mails under section 3214 of this
title shall be paid each fiscal year, out of any appropriation
made for that purpose, to the Postal Service as postal revenue
in an amount equivalent to the postage, fees, and charges which
would otherwise be payable on, or in connection with, such mail
matter.
(c) Payment under subsection (a) or (b) of this section
shall be deemed payment for all matter mailed under the frank
and for all fees and charges due the Postal Service in
connection therewith.
(d) Money collected for matter improperly mailed under the
franking privilege shall be deposited as miscellaneous receipts
in the general fund of the Treasury.
(e)(1) Not later than two weeks after the last day of each
quarter of the fiscal year, or as soon as practicable
thereafter, the Postmaster General shall send to the Chief
Administrative Officer of the House of Representatives, the
House of Commission on Congressional Mailing Standards, the
Secretary of the Senate, and the Senate Committee on Rules and
Administration a report which shall contain a tabulation of the
estimated number of pieces and costs of franked mail, as
defined in section 3201 of this title, in each mail
classification sent through the mail for that quarter and for
the preceding quarters in the fiscal year, together with
separate tabulations of the number of pieces and costs of such
mail sent by the House and by the Senate.
(2) Two weeks after the close of the second quarter of the
fiscal year, or as soon as practicable thereafter, the
Postmaster General shall send to the Chief Administrative
Officer of the House of Representatives, the House Commission
on Congressional Mailing Standards, the Committee on House
Oversight, the Secretary of the Senate, and the Senate
Committee on Rules and Administration, a statement of the costs
of postage on, and fees and charges in connection with, mail
matter sent through the mails as described in paragraph (1) of
this subsection for the preceding two quarters together with an
estimate of such costs for the balance of the fiscal year. As
soon as practicable after receipt of this statement, the House
Commission on Congressional Mailing Standards, the Committee on
House Oversight, and the Senate Committee on Rules and
Administration shall consider promulgating such regulations for
their respective Houses as may be necessary to ensure that
total postage costs, as described in paragraph (1) of this
subsection, will not exceed the amounts available for the
fiscal year.
Pub.L. 91-375, Aug. 12, 1970, 84 Stat. 754; Pub.L. 92-51
Sec. 101, July 9, 1971, 85 Stat. 132; Pub.L. 93-
191, Sec. 7, Dec. 18, 1973, 87 Stat. 745; Pub.L.
93-255, Sec. 2(a), Mar. 27, 1974, 88 Stat. 52;
Pub.L. 95-521, Title VII, Sec. 714(b), Oct. 26,
1978, 92 Stat. 1884; Pub.L. 97-69, Sec. 6(a), Oct.
26, 1981, 95 Stat. 1043; Pub.L. 97-263, Sec. 1(3),
Sept. 24, 1982, 96 Stat. 1132; Pub.L. 101-163,
Title III, Sec. 316(b), formerly Sec. 316(c),
Sec. 317, Nov. 21, 1989, 103 Stat. 1067, renumbered
Pub.L. 101-520, Title III, Sec. 311(h)(3)(B), Nov.
5, 1990, 104 Stat. 2280; Pub.L. 102-90, Title III,
Sec. 306, Aug. 14, 1991, 105 Stat. 466; Pub.L. 104-
186, Title II, Sec. 220, Aug. 20, 1996, 110 Stat.
1748.
39 U.S.C. Sec. 3218. Franked mail for survivors of Members of Congress
Upon the death of a Member of Congress during his term of
office, the surviving spouse of such Member (or, if there is no
surviving spouse, a member of the immediate family of the
Member designated by the Secretary of the Senate or the Clerk
of the House of Representatives, as appropriate, in accordance
with rules and procedures established by the Secretary or the
Clerk) may send, for a period not to exceed 180 days after his
death, as franked mail, nonpolitical correspondence relating to
the death of the Member.
Pub.L. 91-375, Aug. 12, 1970, Sec. 2, 84 Stat. 755; Pub.L. 93-
191, Sec. 11, Dec. 18, 1973, 87 Stat. 746; Pub.L.
97-69, Sec. 6(b), (c)(1) Oct. 26, 1981, 95 Stat.
1043.
39 U.S.C. Sec. 3219. Mailgrams
Any Mailgram sent by the Vice President, a Member of or
Member-elect to Congress, the Secretary of the Senate, the
Sergeant at Arms of the Senate, an elected officer of the House
of Representatives (other than a Member of the House), the
Legislative Counsel of the House of Representatives or the
Senate, the Law Revision Counsel of the House of
Representatives, or the Senate Legal Counsel, and then
delivered by the Postal Service, shall be considered as franked
mail, subject to section 3216(a)(2) of this title, if such
Mailgram contains matter of the kind authorized to be sent by
that official as franked mail under section 3210 of this title.
Added Pub.L. 93-191, Sec. 12(a), Dec. 18, 1973, 87 Stat. 746;
Pub.L. 95-521, Title VII, Sec. 714(c), Oct. 26,
1978, 92 Stat. 1884; Pub.L. 97-263, Sec. (4), Sept.
24, 1982, 96 Stat. 1132.
Advisory Opinions (Title 2, United States Code) re Franking Privilege
2 U.S.C. Sec. 502. Select Committee on Ethics of the Senate
(a) Advisory opinions or consultations respecting franked mail for
persons entitled to franking privilege; franking privilege
regulations
The Select Committee on Standards and Conduct [Select
Committee on Ethics] of the Senate shall provide guidance,
assistance, advice and counsel, through advisory opinions or
consultations, in connection with the mailing or contemplated
mailing of franked mail under section 3210, 3211, 3212,
3213(2), 3218, or 3219, and in connection with the operation of
section 3215, of Title 39, upon the request of any Member of
the Senate or Member-elect, surviving spouse of any of the
foregoing, or other Senate official, entitled to send mail as
franked mail under any of those sections. The select committee
shall prescribe regulations governing the proper use of the
franking privilege under those sections by such persons.
(b) Complaint of franked mail violations; investigation; notice and
hearing; decision of select committee; enforcement
Any complaint filed by any person with the select committee
that a violation of any section of Title 39 referred to in
subsection (a) of this section is about to occur or has
occurred within the immediately preceding period of one year,
by any person referred to in such subsection (a), shall contain
pertinent factual material and shall conform to regulations
prescribed by the select committee. The select committee, if it
determines there is reasonable justification for the complaint,
shall conduct an investigation of the matter, including an
investigation of reports and statements filed by the
complainant with respect to the matter which is the subject of
the complaint. The committee shall afford to the person who is
the subject of the complaint due notice and, if it determines
that there is substantial reason to believe that such violation
has occurred or is about to occur, opportunity for all parties
to participate in a hearing before the select committee. The
select committee shall issue a written decision of each
complaint under this subsection not later than thirty days
after such a complaint has been filed or, if a hearing is held,
not later than thirty days after the conclusion of such
hearing. Such decision shall be based on written findings of
fact in the case by the select committee. If the select
committee finds in its written decision, that a violation has
occurred or is about to occur, the committee may take such
action and enforcement as it considers appropriate in
accordance with applicable rules, precedents, and standing
orders of the Senate, and such other standards as may be
prescribed by such committee.
(c) Administrative or judicial jurisdiction of civil actions respecting
franking law violations or abuses of franking privilege
dependent on filing of complaint with select committee and
rendition of decision of such committee
Notwithstanding any other provision of law, no court or
administrative body in the United States or in any territory
thereof shall have jurisdiction to entertain any civil action
of any character concerning or related to a violation of the
franking laws or an abuse of the franking privilege by any
person listed under subsection (a) of this section as entitled
to send mail as franked mail, until a complaint has been filed
with the select committee and the committee has rendered a
decision under subsection (b) of this section.
(d) Administrative procedure regulations
The select committee shall prescribe regulations for the
holding of investigations and hearings, the conduct of
proceedings, and the rendering of decisions under this
subsection providing for equitable procedures and the
protection of individual, public, and Government interests. The
regulations shall, insofar as practicable, contain the
substance of the administrative procedure provisions of
sections 551 to 559 and 701 to 706, of Title 5. These
regulations shall govern matters under this subsection subject
to judicial review thereof.
(e) Property of Senate; records of select committee; voting record;
location of records, data, and files
The select committee shall keep a complete record of all
its actions, including a record of the votes on any question on
which a record vote is demanded. All records, data, and files
of the select committee shall be the property of the Senate and
shall be kept in the offices of the select committee or such
other places as the committee may direct.
Pub.L. 93-191, Sec. 6, Dec. 18, 1973, 87 Stat. 743; Pub.L. 93-
255, Sec. 3(b), Mar. 27, 1974, 88 Stat. 52.
Regulations Governing Official Mail
As directed by Public Laws 97-69 and 99-87 and pursuant to
other authorities, it is resolved by the Committee on Rules and
Administration of the United States Senate, that use of Senate
resources and facilities for preparing and sending franked mail
shall be subject to the following regulations, effective Sept.
30, 1998.
definitions
Sec. 1. As used in these regulations--
(a) the term ``election fiscal year'' means a Federal
fiscal year in which regular biennial general elections
of Senators are held;
(b) the term ``final printing and mailing clearance''
means an approval of a blue line, color key, or other
page proof giving final authorization to print and mail
material submitted by a Senate office to the Sergeant
at Arms;
(c) the term ``franked mail'' as defined in section
3201(4) of title 39, U.S. Code, means--
``. . . mail which is transmitted in the mail under a
frank.''
(d) the term ``mass mailing'' as defined in section
3210(a)(6)(E) of title 39, U.S. Code, as amended by the
Legislative Branch Appropriations Act, 1995 (Pub.L.
103-283), means--
``. . . with respect to a session of Congress, a mailing of
more than five hundred newsletters or other pieces of mail with
substantially identical content (whether such mail is deposited
singly or in bulk, or at the same time or different times), but
does not include any mailing--(i) of matter in direct response
to a communication from a person to whom the matter is mailed;
(ii) to other Members of Congress, or to Federal, State, or
local government officials, or (iii) of a news release to the
communications media, or (iv) of a town meeting notice, but no
such mailing may be made fewer than 60 days immediately before
the date of any primary election or general election (whether
regular, special, or runoff) for any Federal, State, or local
office in which a Member of the Senate is a candidate for
election, or (v) of a Federal publication or other item that is
provided by the Senate to all Senators or made available by the
Senate for purchase by all Senators from official funds
specifically for distribution.'' With respect to (i), a franked
mailing made specifically and solely in response to, and mailed
not more than 120 days after the date of receipt of a written
request, inquiry, or expression of opinion or concern from the
person to whom it is addressed is not a mass mailing. (S. Res.
212, 101st Congress)
(e) the term ``name addressed mail'' means any
mailing sent to named individuals at specific
addresses;
(f) the term ``newsletter'' means any professionally
photocomposed mailing consisting of documents which set
forth, in textual and graphic form (or both), factual
information and commentary on prospective, pending, or
past issues of public policy. Newsletters may not be
mailed in franked envelopes;
(g) the term ``non-election fiscal year'' means a
Federal fiscal year other than an election fiscal year;
(h) the term ``postal patron mail'' means any mailing
prepared and mailed pursuant to section 3210(d) of
title 39, U.S. Code;
(i) the term ``official mail costs'' means the
equivalent of--
(1) postage on, and fees and charges in
connection with, mail matter sent through the
mail under the franking privilege; and
(2) the portions of the fees and charges paid
for handling and delivery by the Postal Service
of mailgrams considered as franked mail under
section 3219 of title 39, U.S. Code; and
(3) all other official mail other than the
franking privilege as defined in section
58(a)(3)(B) & (C) of title 2, U.S. Code.
(j) the term ``opinion survey'' means any assemblage
of mass mailings and related individual mailings,
including, but not limited to, survey questionnaires,
pre-survey letters, response forms, follow-up letters,
and instructions that are sent to a sample group of
individuals for the purpose of obtaining a reliable
estimate of the opinion of the population from which
the survey sample is drawn and are processed in
accordance with the ``Guidelines for Opinion Surveys''
issued by the Committee on Rules and Administration in
September 1979.
(k) the term ``Senate office'' means the Vice
President of the United States, a United States
Senator, a United States Senator-elect, a committee of
the Senate, the Joint Committee on Printing, the Joint
Economic Committee, an officer of the Senate, or an
office of the Senate authorized by section 3210(b)(1)
of title 39, U.S. Code, to send franked mail.
(l) the term ``town meeting notice'' means any
mailing which relates solely to a notice of the time
and place at which a Senator or a member or members of
his or her staff will be available to meet constituents
regarding legislative issues or problems with Federal
programs. The notice may include a short description as
to the subject matter or purpose of the town meeting
and an official photo in the banner of the notice.
(m) the term ``prepared'' means all necessary
preparation prior to mailing, including the production
of additional copies of a mailing, the folding of the
mailing, and inserting of the mail into envelopes.
postal allocations for non-election fiscal years
Sec. 2. (a) With respect to a nonelection fiscal year, as
soon as practicable after the enactment of the appropriation
for Senate franked mail costs for such year, the Committee on
Rules and Administration shall determine the following amounts:
(1) the amount that has been appropriated for franked
mail costs of the Senate for the nonelection fiscal
year;
(2) the amount necessary to be reserved for
contingencies, which shall not exceed 10 percent of the
amount determined pursuant to paragraph (1);
(3) the amount necessary for franked mail costs of
Senate offices other than Senators for the nonelection
fiscal year;
(4) the amount necessary for each Senator to send one
State-wide postal patron mailing, based on total
addresses in each state;
(5) one-third of the amount appropriated in paragraph
2(a)(1), after deducting the amount necessary for
contingencies and offices other than Senators;
(6) the amount which may be available for allocation
to Senators, when the amount in paragraph 2(a)(5) and
amounts in paragraphs 2(a)(2) and 2(a)(3) are
subtracted from the amount appropriated for official
mail in paragraph 2(a)(1);
(7) the factor to be used to equitably distribute
remaining appropriated funds, determined by dividing
the amount in paragraph 2(a)(6) by the sum of the
amounts in paragraph 2(a)(4).
(b) As soon as practicable after making the determination
described in section (a), the Committee on Rules and
Administration shall make the following allocations:
(1) the allocation to Senate offices (other than a
Senator's personal office) for the nonelection fiscal
year;
(2) the allocation for contingencies;
(3) the allocation to each Senator--
(A) to include the amount determined by
paragraph 2(a)(5), divided by 100, establishing
the base amount for each office; plus
(B) the amount to be allocated to each
Member, determined by multiplying each amount
in paragraph 2(a)(4) by the prorated percentage
determined in paragraph 2(a)(7).
postal allocations for election fiscal years
Sec. 3. (a) With respect to an election fiscal year, as
soon as practicable after the enactment of the appropriation
for Senate franked mail costs for such year, the Committee on
Rules and Administration shall determine the following amounts:
(1) the amount that has been appropriated for franked
mail costs of the Senate for the election fiscal year;
(2) the amount necessary to be reserved for
contingencies, which shall not exceed 10 percent of the
amount determined in paragraph 3(a)(1);
(3) for the election fiscal year, the amount
necessary for franked mail costs of Senate offices
other than Senators and Senators-elect;
(4) one-third of the amount appropriated in 3(a)(1),
after deducting the amount necessary for contingencies
and offices other than Senators;
(5) the amount which may be available for allocation
to Senators, for an election fiscal year, when the
amount in 3(a)(4), and the amounts in 3(a)(2), and
3(a)(3) are subtracted from the amount appropriated for
official mail in paragraph 3(a)(1);
(6) for the period beginning on the date immediately
following the date of the general election and ending
January 3 of the election fiscal year, 10 percent of
two-twelfths of the full funding amount necessary for
each Senator-elect to send one state-wide postal patron
mailing;
(7) for the period January 3 through September 30 of
the election fiscal year, 75 percent of the full
funding amount necessary for each newly-elected Senator
to send one state-wide postal patron mailing;
(8) for the period October 1 through January 3 of the
election fiscal year, 25 percent of the full funding
amount necessary for each Senator whose service as a
Senator will end on January 3 of the election fiscal
year to send one state-wide postal patron mailing;
(9) for the period January 3 through April 3 of the
election fiscal year, 10 percent of 25 percent of the
full funding amount necessary for each Senator whose
service as a Senator will end on January 3 of the
election fiscal year to send one state-wide postal
patron mailing;
(10) for the election fiscal year, the full funding
amounts necessary for each Senator, other than those
Senators whose terms of service as Senators will begin
or end on January 3 of the election fiscal year, to
send one state-wide postal patron mailing;
(11) the factor to be used to equitably distribute
remaining election fiscal year appropriated funds,
determined by dividing the amount in paragraph 3(a)(5)
by the sum of the amounts in paragraph 3(a)(6) through
3(a)(10).
(b) as soon as practicable after making the determination
described in subsection (b), the Committee on Rules and
Administration shall make the following allocations:
(1) the allocation to a Senate office (other than a
Senator or Senator-elect) for the election fiscal year;
(2) the allocation for contingencies;
(3) the allocation to each Senator--
(A) to include the amount determined in
subsection 3(a)(4), divided by 100,
establishing the base amount for each office
(\3/4\ of the individual amount to Senators-
elect, and \1/4\ to departing Senators); plus
(B) the amount determined in 3(a)(5),
allocated--
(i) To each Senator referred to in
3(a)(6), adjusted by the amount
determined in 3(a)(11);
(ii) To each Senator referred to in
3(a)(7), adjusted by the amount
determined in 3(a)(11);
(iii) To each Senator referred to in
3(a)(8), adjusted by the amount
determined in 3(a)(11);
(iv) To each Senator referred to in
3(a)(9), adjusted by the amount
determined in 3(a)(11);
(v) To each Senator referred to in
3(a)(10), adjusted by the amount
determined in 3(a)(11).
uses of funds reserved for contingencies
Sec. 4. The amounts described in sections 2(a)(2) and
3(a)(2) shall be available for distribution by the Committee on
Rules and Administration only for--
(a) providing a Senator appointed to complete the
term of a Senator who dies or retires with an
allocation for the fiscal year in which such
appointment is effective;
(b) providing the Secretary of the Senate with
sufficient postage to send franked mail as provided for
by section 3218 of title 39, U.S. Code; and
(c) reimbursing a Senator for a charge to the
Senator's allocation for franked mail costs when the
charge is the result of an error on the part of an
office of the Sergeant at Arms.
cost determination and reporting
Franked Mail, Mass Mail, Mail Prepared Pursuant to Section 9 of These
Regulations
Sec. 5. (a)(1) The postage on all franked mail shall be
determined by the Senate Customer Service Records Section and
reported to the U.S. Postal Service. State offices must advise
their D.C. offices of their frank mail counts on a monthly
basis. By the 5th of each month, the D.C. offices will inform
the Service Department of these counts. Timely and accurate
reports are required to ensure proper accounting of franked
mail.
(2) Not more than 250 extra copies of a mass mailing
printed with the frank may be returned to an office for
distribution in reception rooms and at town meetings.
Additional copies, printed without the frank, may be requested
on a separate workorder.
(3) No mass mailing and no mailing prepared pursuant to
section 9 shall be mailed until the density analysis,
indicating the total number of pieces to be mailed and the
locations to which they will be mailed, has been approved by
the office for which the mail is being sent. Such approval
shall be signified by signing a statement of approval on the
density analysis sheet. The approved copy of the density
analysis shall be retained by the Customer Service Records
Section with the work order and a copy of the mail matter.
(4) Before processing a request for a mass mailing
submitted by a Member office, the Sergeant at Arms shall
determine: (1) the postage cost of the mailing, and (2) that
the postage cost of the request, when added to costs incurred
or encumbered for mass mailings by that Member in the fiscal
year, will not exceed the amount ($50,000) allowed for mass
mailings by each Member each fiscal year. (Pub.L. 103-283) If
the requested mailing exceeds that amount, the Sergeant at Arms
shall notify the Member and take no further action on the
request.
Record Keeping
(b)(1) The Sergeant at Arms shall maintain records of the
following information for each Senate office to which postage
allocations are applicable:
(A) the amount of the allocation for franked mail
costs;
(B) each amount of franked mail cost determined
pursuant to this section;
(C) the amount of the allocation for franked mail
costs for such Senate office which remains after the
amounts described in paragraph (B) is added to or
subtracted from, as appropriate, the amount described
in paragraph (A).
(2) The Sergeant at Arms shall provide offices with monthly
reports on the status of their postal allocations.
(3) The Sergeant at Arms shall provide to each Member a
monthly report detailing the postage costs associated with
franked mailings and mass mailings, and shall provide the
office of the Financial Clerk of the Senate a monthly
certification of franked mailing and mass mailing costs for
each Member. The Financial Clerk of the Senate shall debit
these costs from the respective expense accounts for such
franked mailing and mass mailing, and issue a check in payment.
Publication of Mass Mail Costs
(c) Two weeks after the close of each calendar quarter, or
as soon as practicable thereafter, the Sergeant at Arms and
Doorkeeper of the Senate shall send to each Senate office a
statement of the cost of postage and paper and of the other
operating expenses incurred as a result of mass mailings
processed for such Senate office during such quarter. The
statement shall provide information regarding the cost of
postage and paper and other costs, and shall distinguish the
costs attributable to mass mailings. The statement shall also
include the total cost per capita in the State. A compilation
of all such statements shall be sent to the Senate Committee on
Rules and Administration. A summary tabulation of such
information shall be published quarterly in the Congressional
Record and included in the semiannual Report of the Secretary
of the Senate. Such summary tabulation shall set forth for each
Senate office the following information: the Senate office's
name, the total number of pieces ofmass mail mailed during the
quarter, the total cost of such mail, and, in the case of Senators, the
cost of such mail divided by the total population of the State from
which the Senator was elected, the total number of pieces of mass mail
divided by the total population of the State from which the Senator was
elected, and the allocation made to each Senator from the appropriation
for official mail expenses.
preparation of official mail
Sec. 6. (a) All mass mailings shall be submitted to and
mailed by the Sergeant at Arms and shall be charged against the
Senator's Official Personnel and Office Expense Account,
pursuant to the Legislative Appropriations Act, 1995 (Pub.L.
103-283). All mailings are to be presented to the Sergeant at
Arms for accountability prior to mailing. Such mailings shall
not exceed total postage cost of $50,000 in any fiscal year,
and must adhere to all regulations pertaining to mass mailings.
Two Sheet Limit
(b) A mass mailing by a Senator shall not exceed two sheets
of legal size paper (or their equivalent), including any
enclosure that--
(1) is prepared by or for the Senator who makes the
mailing; or
(2) contains information concerning, expresses the
views of, or otherwise relates to the Senator who makes
the mailing.
Taxpayer Expense Notice
(c) Each mass mailing by a Senate office shall contain the
following notice in a prominent place on the bottom of the
cover page of the document: ``PREPARED, PUBLISHED, AND MAILED
AT TAXPAYER EXPENSE.'' The notice shall be printed in a type
size not smaller than 7 points.
Mail to be Mailed under the Frank
(d) All mass mailings by Senate offices shall be mailed
under the frank.
Mail to the Mailed by the Sergeant at Arms
(e) The following mail matter shall be mailed through the
Sergeant at Arms:
(1) all mass mailings by Senate offices, whether
printed on the Sergeant at Arms' high speed laser
printers or elsewhere;
(2) all mail prepared pursuant to section 9 of these
regulations.
Town Meeting Notices
(3) Town meeting notices shall be processed as postal
patron mail, unless sending name addressed mail to
selected persons in the area served by the town meeting
would be more economical, or the town meeting is to be
on a subject or subjects that would not be of interest
to all the people who would receive a postal patron
mailing. Town meeting notices may not be mailed in
franked envelopes.
(4) All franked and mass mail sent from Washington,
DC offices, including flats and parcels, and
constituent response mail and comparable mail prepared
through an office's Office Automation System, shall be
picked up by the Senate Post Office and delivered by
the Senate Post Office to the Sergeant at Arms.
(5) Constituent response mail mailed through the
Sergeant at Arms shall be sorted and bundled by zip
code and endorsed with the most economical rate unless
otherwise specified by the Senator for whom the mail is
mailed. Senators may specify that such mail be endorsed
``AUTO PRESORT'' or ``BLK. RATE.''
Survey Questionnaires
(f) Mass mailings, other than opinion surveys, shall not
contain franked response cards or forms. Any mass mailing
containing a questionnaire shall contain instructions to the
recipients on how properly to return their responses.
Rates and Endorsements
(g)(1) Name addressed mass mailings shall be sent at the
lowest postal rate for which the mail qualifies, unless the
office for whom the mail is being mailed directs, in writing,
that it be mailed at a higher rate.
(2) Bulk rate mail will have no endorsement other than
``BLK. RATE'' or ``AUTO PRESORT.''
Pictures of Missing Children
(h)(1) Unless (A) a Senator, committee chairman, or other
office head for whom a mass mailing or automated mail system
mailing is being sent directs that such picture and information
not be printed on a particular mailing, or (B) the Sergeant at
Arms finds, with respect to any or all of the mass mailings in
a period of time, that the printing of such pictures and
information will significantly slow the processing of the mail,
all mass mailings that are mailed as self-mailers shall bear on
the address panel a picture of and information about a missing
child in accordance with this subsection, and all letters
prepared, folded, inserted in envelopes, and mailed by the
Sergeant at Arms shall be inserted in window envelopes bearing
the picture of and information about the same missing child
whose picture appears on mass mailings during the same work-
week. No other official mail of the Senate shall be used for
the mass dissemination of pictures of, and information about,
missing children.
(2) Only pictures of, and information about, missing
children that are provided by the National Center for Missing
and Exploited Children (hereinafter in this section referred to
as the Center) are to be printed on mass mail and envelopes
subject to this section. Sergeant at Arms shall be the liaison
with the Center for obtaining such pictures and information.
(3) The Sergeant at Arms and the Director of the Center or
his or her designee shall make arrangements for the Sergeant at
Arms to periodically receive photographs of and information
about a missing child from each State from which the Center has
such photographs and information.
(4) The pictures of, and information about, missing
children shall be made part of the printing plates prepared for
mailings subject to this section. To the greatest extent
possible, mail prepared for a Senator shall bear the photograph
of, and information about, a missing child from the Senator's
State.
(5) Whenever information is received from the Center that a
child has been found whose picture and information are
currently being printed on Senate mail, the Sergeant at Arms
shall determine whether or not printing plates currently in use
or awaiting use shall be discarded and new plates prepared.
Whenever information is received from the Center that a child
has been found whose picture and information were previously
printed on Senate mail, the Sergeant at Arms shall notify
offices on whose mail such picture and information were
printed, and such offices shall destroy any extra copies of
such mail that are on hand.
(6) The Sergeant at Arms shall transmit to the Center at
the end of each month a list of the mass mailings and automated
mail system letters mailed that month indicating for each
mailing the State to which mailed, the number of pieces, and
the child whose picture appeared thereon.
orange bag mail and express mail
Orange Bag Mail
Sec. 7. (a) Orange bags are used by offices only for intra-
office mail from Washington, DC to State offices. These bags
are charged at priority rates. (Orange bags used by State
offices are only for transportation of franked mail to the Post
Office.)
Express Mail
(b) The frank may not be used for Express mail. Expenses
for non-frankable official mail, such as Express mail, Overseas
mail, Registered and Certified mail, etc., may be defrayed from
any source of funds only as provided by subsections (d) and (I)
of section 311 of the Legislative Branch Appropriations Act,
1991 (Pub.L. 101-520). Offices are advised that the Senate Post
Office has created a system through which offices may present
Express mail, together with an authorization card similar to
the cards used to purchase office supplies from the Keeper of
Stationery, and have the cost of the Express mail charged to
the office's official office expense account. Offices choosing
to use Express mail originating outside Washington, DC may
establish commercial accounts with the U.S. Postal Service
instead of pre-paying each mailing.
restriction on the use of mass mail and town meeting notices prior to a
primary or biennial federal general election
Sec. 8. (a) No Senator may send mass mailings during the
period beginning 60 days before the date of any biennial
Federal general election. The 60-day pre-election moratorium on
mass mailings does not apply to a committee when such mass
mailings are mailed under the frank of the Chairman and relate
to the normal and regular business of the committee.
Use of mass mail by Senators who are candidates is further
restricted (unless the Senator's candidacy has been certified
as uncontested pursuant to procedures of the Committee on Rules
and Administration):
(b) Mass mailings may not be sent fewer than 60 days
immediately before the date of any primary or general election
(whether regular, special, or runoff) for any Federal, State,
or local office in which a Member of the Senate is a candidate
for election, unless the candidacy of the Senator in such
elections is uncontested.
(c) Town meeting notices in excess of 500 notices per town
meeting may not be sent fewer than 60 days immediately before
the date of any primary or general election (whether regular,
special, or runoff) for any Federal, State, or local office in
which a Member of the Senate is a candidate for election. There
is no exception for uncontested candidacies. (Pub.L. 103-283)
(d) Solicitation forms provided by a Member through a mass
mailing which are intended to be mailed back by constituents,
may not be responded to during the 60 days immediately before
the date of any primary or general election (whether regular,
special, or runoff) for any Federal, State, or local office in
which a Member of the Senate is a candidate for election.
responses to organized mail campaigns
Sec. 9. (a) Whenever a Senator determines that he or she is
the recipient of mail generated by an organized mail campaign
and that the resources of his or her office are not sufficient
to enter the names and addresses into the office's mail
management system, the Senator may use the services of
commercial vendors under contracts approved by the Committee on
Rules and Administration. This service converts names and
addresses to machine readable media which then may be added to
such Senator's mail management system. The Sergeant at Arms has
the responsibility for the processing and administrative
support for this service.
(b) Expenses for work performed in accordance with this
section shall be paid from funds from a Senator's Official
Personnel and Office Expense Account and shall be reported to
offices with their quarterly mass mail cost reports required by
section 5(c).
change of address programs
Sec. 10. Offices may have names and addresses on their mail
files processed through the National Change of Address (NCOA)
Program. A Senator may use any of the vendors certified by the
U.S. Postal Service to provide NCOA service. A current list of
vendors can be obtained from the Senate Computer Center.
Processing costs charged by the NCOA vendor and transportation
costs charged by the delivery service shall be billed, to, and
paid by, such Senator from his or her Official Personnel and
Office Expense Account.
(a) Such Senator shall request the Senate Computer Center
to prepare his or her mail file for shipment to the vendor
selected by the Senator, using the delivery service selected by
the Senator. A Sergeant at Arms ``Request for Assistance'' form
shall be used for this purpose, and shall include a statement
in the following format:
Processing and shipping costs will be paid by the
Office of Senator __________________ (insert name).
Bills are to be submitted to __________________ (insert
address).
__________________
Senator's Signature
(b) The Senate Computer Center will provide the Senator
with information about the mail file that will assist the
Senator in estimating processing costs that will be incurred.
Please contact the Sergeant at Arms for other options regarding
change of address.
(c) The Computer Center will prepare the Senator's file for
processing, and arrange for transportation, using the delivery
service designated by the Senator. The NCOA vendor and the
delivery service will be provided with copies of the ``Request
for Assistance'' for their use in billing the Senator for their
services. On receipt of the corrected file from the NCOA
vendor, the Senate Computer Center will restore it to the
Senate Mail File System or provide the updated file to the
appropriate vendor.
paper and envelope allowances
Sec. 12.* (a)(1)(A) Each year the Secretary of the Senate
shall provide each Senator with the greater of--
---------------------------------------------------------------------------
* So numbered in original. No section 11.
---------------------------------------------------------------------------
(i) one and one-third sheets of blank paper per adult
constituent, as reported by the Bureau of the Census;
or
(ii) 1,800,000 sheets of blank paper.
(B) Each year the Secretary of the Senate shall provide
each Senator with letterhead paper and envelopes in the greater
of the following quantities:
(i) 100 sheets and 100 envelopes per 1,000
constituents of the Senator; or
(ii) 180,000 sheets and 180,000 envelopes.
(2) A portion of a Senator's allowance for paper that is
unused at the end of a year may be used during the following
year, but lapses at the end of that year and shall not be
available for use thereafter.
(3) A portion of a Senator's allowance for paper that is
unused at the time the Senator resigns, retires, or otherwise
leaves office shall lapse and shall not be available for use
thereafter.
(4) No portion of the paper allowance of a Senator may be
given or otherwise transferred to another Senate office.
(b)(1) Each year the Secretary of the Senate shall provide
each office set forth below with 180,000 sheets of blank paper,
180,000 sheets of letterhead paper, and 180,000 envelopes:
(A) Each standing committee of the Senate.
(B) Each select committee of the Senate.
(C) Each special committee of the Senate.
(D) Each impeachment trial committee of the Senate.
(2) A portion of an allowance for paper made pursuant to
paragraph (1) that is unused at the end of a year shall not be
available for use thereafter.
(c)(1) The Secretary of the Senate shall provide each of
the following offices with such quantities of paper and
envelopes as may be necessary for the performance of its
official duties:
(A) The Joint Committee on the Library.
(B) The Joint Committee on Printing.
(C) The Joint Committee on Taxation.
(D) The Joint Economic Committee.
(E) The President of the Senate.
(F) The President pro tempore of the Senate.
(G) The Majority Leader of the Senate.
(H) The Assistant Majority Leader of the Senate.
(I) The Secretary for the Majority.
(J) The Minority Leader of the Senate.
(K) The Assistant Minority Leader of the Senate.
(L) The Secretary for the Minority.
(M) The Republican Conference.
(N) The Republican Policy Committee.
(O) The Republican Steering Committee.
(P) The Democratic Conference.
(Q) The Democratic Policy Committee.
(R) The Democratic Steering Committee.
(S) The Architect of the Capitol, including the
Senate Restaurants and the Superintendent of the Senate
Office Buildings.
(T) The Attending Physician.
(U) The Capitol Police.
(V) The Chaplain of the Senate.
(W) The Secretary of the Senate, including all
offices reporting thereto.
(X) The Senate Legislative Counsel.
(Y) The Senate Legal Counsel.
(Z) The Senate Sergeant at Arms, including all
offices reporting thereto.
(AA) The Congressional Budget Office.
(BB) The Democratic Senatorial Campaign Committee.
(CC) The Republican Senatorial Campaign Committee.
(DD) The Senate Employees' Federal Credit Union.
(EE) The Senate Day Care Center.
(FF) The Senate Defense Liaison Office.
(HH) The Senate Press Galleries.
(2) Except as provided in paragraph (3), no portion of an
allowance for paper made pursuant to paragraph (1) may be given
or otherwise transferred to a Senator or an office named in
subsection (b)(1).
(3) Paper from the allowance of the Sergeant at Arms may be
used to reprint matter previously printed and charged to the
allowance of another office if--
(A) an error in the previously printed matter was
caused by the Sergeant at Arms; and
(B)(i) the previously printed matter was destroyed
prior to distribution; or
(ii) the previously printed matter was distributed
before the discovery of the error, and the reprinted
matter is noted as a corrected version of such
previously printed matter.
(d) For the purposes of this section--
(1) blank paper means paper that is 8.5 inches by 11
inches or 8.5 inches by 14 inches; and
(2) letterhead means paper that is 8.5 inches by 11
inches.
(e) For the purposes of this section, the term ``year''
means the period beginning on January 3 of a calendar year and
ending on January 2 of the following year. Paper for any mass
mailing the work order for which is submitted prior to the
close of business of the Sergeant at Arms on January 2 of any
year shall be charged to the allotment for such year ending on
January 2 (or, in the case of Senators, to any remaining
balance from the previous year) if the office for which the
mass mailing is being prepared gives the Sergeant at Arms, by
its close of business the following February 14, a final
printing and mailing clearance. If final clearance for printing
is not given by close of business on February 14, the work
order for such work shall be canceled and, if the office still
desires to have the work completed, a new work order shall be
prepared and the paper charged to the year in which such work
order is dated (or, in the case of Senators, to any remaining
balance from the previous year). Costs incurred in processing
work order that is canceled because the final clearance for
printing was not received prior to close of business February
14 shall be reported in the cost report for the quarter ending
March 31.
printing of letterhead stationery and envelopes
Sec. 13. (a) The return address on envelopes to be used
with franked mail must bear the nine-digit zip code of the
office sending the mail.
(b) Envelopes with Senators' return addresses and nine-
digit zip codes shall not be used for mail from committees.
Envelopes with committee return addresses and nine-digit zip
codes shall not be used for mail from Senators' offices.
(c) Senators' letterhead stationery and envelope allowances
may be used for personal office letterhead stationery and
envelopes and committee letterhead stationery. Such allowances
shall not be used for committee envelopes.
(d) Paper used for the following purposes shall not be
charged to an office's paper allowance--
(1) mailings that relate solely to a notice of
appearance or scheduled itinerary of a Senator in the
State represented by the Senator and which is mailed to
the part of the State where such appearance is to
occur;
(2) ``Dear friend'' letters or post cards processed
in accordance with section 9 of these regulations;
(3) non-personalized Senate letterhead stationery
used for automated mail system letters printed on the
Sergeant at Arms' high speed laser printers.
(e) Committee envelopes may bear only the frank of the
chairman or the ranking minority member, the name and address
of the full committee, including the nine-digit zip code of the
committee, and ``Official Business'' or ``Public Document.''
history
Approved by the Committee on Rules and Administration
January 30, 1991 and revised pursuant to Pub.L. 102-392
effective Oct. 1, 1992, Pub.L. 103-69 effective Oct. 1, 1993,
Pub.L. 103-283 effective Oct. 1, 1994, Pub.L. 105-55 effective
Oct. 1, 1997; as amended by committee Oct. 30, 1997 and Sept.
30, 1998.
J. COMMUNICATIONS MEDIA (TITLE 47, UNITED STATES CODE)
----------
47 U.S.C. Sec. 312. Administrative sanctions [Revocation of station
license or construction permit]
(a) Revocation of station license or construction permit
The Commission may revoke any station license or
construction permit--
* * * * * * *
(7) for willful or repeated failure to allow reasonable
access to or to permit purchase of reasonable amounts of time
for the use of a broadcasting station by a legally qualified
candidate for Federal elective office on behalf of his
candidacy.
(f) ``Willful'' and ``repeated'' defined
For purposes of this section:
(1) The term ``willful'', when used with reference to
the commission or omission of any act, means the
conscious and deliberate commission or omission of such
act, irrespective of any intent to violate any
provision of this chapter or any rule or regulation of
the Commission authorized by this chapter or by a
treaty ratified by the United States.
(2) The term ``repeated'', when used with reference
to the commission or omission of any act, means the
commission or omission of such act more than once or,
if such commission or omission is continuous, for more
than one day.
June 19, 1934, c. 652, Title III, Sec. 312, 48 Stat. 1086; July
16, 1952, c. 879, Sec. 10, 66 Stat. 716; Sept. 13,
1960, Pub.L. 86-752, Sec. 6, 74 Stat. 893; Feb. 7,
1972, Pub.L. 92-225, Title I, Sec. 103(a)(2)(A), 86
Stat. 4; Sept. 13, 1982, Pub.L. 97-259, Title I,
Sec. 117, 96 Stat. 1095; Feb. 8, 1996, Pub.L. 104-
104, Title IV, Sec. 403(1), 110 Stat. 132.
47 U.S.C. Sec. 315. Candidates for Public Office
(a) Equal opportunities requirement; censorship prohibition; allowance
of station use; news appearances exception; public interest;
public issues discussion opportunities
If any licensee shall permit any person who is a legally
qualified candidate for any public office to use a broadcasting
station, he shall afford equal opportunities to all other such
candidates for that office in the use of such broadcasting
station: Provided, That such licensee shall have no power of
censorship over the material broadcast under the provisions of
this section. No obligation is imposed under this subsection
upon any licensee to allow the use of its station by any such
candidate. Appearance by a legally qualified candidate on any--
(1) bona fide newscast,
(2) bona fide news interview,
(3) bona fide news documentary (if the appearance of
the candidate is incidental to the presentation of the
subject or subjects covered by the news documentary),
or
(4) on-the-spot coverage of bona fide news events
(including but not limited to political conventions and
activities incidental thereto),
shall not be deemed to be use of a broadcasting station within
the meaning of this subsection. Nothing in the foregoing
sentence shall be construed as relieving broadcasters, in
connection with the presentation of newscasts, news interviews,
news documentaries, and on-the-spot coverage of news events,
from the obligation imposed upon them under this chapter to
operate in the public interest and to afford reasonable
opportunity for the discussion of conflicting views on issues
of public importance.
(b) Broadcast media rates
The charges made for the use of any broadcasting station by
any person who is a legally qualified candidate for any public
office in connection with his campaign for nomination for
election, or election, to such office shall not exceed--
(1) during the forty-five days preceding the date of
a primary or primary runoff election and during the
sixty days preceding the date of a general or special
election in which such person is a candidate, the
lowest unit charge of the station for the same class
and amount of time for the same period; and
(2) at any other time, the charges made for
comparable use of such station by other users thereof.
(c) Definitions
For purposes of this section--
(1) the term ``broadcasting station'' includes a
community antenna television system; and
(2) the terms ``licensee'' and ``station licensee''
when used with respect to a community antenna
television system mean the operator of such system.
(d) Rules and regulations
The Commission shall prescribe appropriate rules and
regulations to carry out the provisions of this section.
June 19, 1934, c.652, Title III, Sec. 315, 48 Stat. 1088; July
16, 1952, c.879 Sec. 11, 66 Stat. 717; Pub.L. 86-
274, Sec. 1, Sept. 14, 1959, 73 Stat. 557; Pub.L.
92-225, Title I, Sec. Sec. 103 (a)(1), (2)(B),
104(c), Feb. 7, 1972, 86 Stat. 4, 7; Pub.L. 93-443,
Title IV, Sec. 402, Oct. 15, 1974, 88 Stat. 1291.
=======================================================================
PART II
PERTINENT STANDING RULES OF THE SENATE RELATING TO THE ELECTION OF
SENATORS
=======================================================================
PERTINENT STANDING RULES OF THE SENATE RELATING TO THE ELECTION OF
SENATORS
---------- _
A. RULE II
presentation of credentials and questions of privilege
1. The presentation of the credentials of Senators elect or
of Senators designate and other questions of privilege shall
always be in order, except during the reading and correction of
the Journal, while a question of order or a motion to adjourn
is pending, or while the Senate is voting or ascertaining the
presence of a quorum; and all questions and motions arising or
made upon the presentation of such credentials shall be
proceeded with until disposed of.
2. The Secretary shall keep a record of the certificates of
election and certificates of appointment of Senators by
entering in a well-bound book kept for that purpose the date of
the election or appointment, the name of the person elected or
appointed, the date of the certificate, the name of the
governor and the secretary of state signing and countersigning
the name, and the State from which such Senator is elected or
appointed.
3. The Secretary of the Senate shall send copies of the
following recommended forms to the governor and secretary of
state of each State wherein an election is about to take place
or an appointment is to be made so that they may use such forms
if they see fit.
THE RECOMMENDED FORMS FOR CERTIFICATE OF ELECTION AND CERTIFICATE OF
APPOINTMENT ARE AS FOLLOWS:
certificate of election for six-year term
``To the President of the Senate of the United States:
``This is to certify that on the -- day of --, 19--, A----
-- B------ was duly chosen by the qualified electors of the
State of ------ a Senator from said State to represent said
State in the Senate of the United States for the term of six
years, beginning on the 3d day of January, 19----.
``Witness: His excellency our governor ------, and our seal
hereto affixed at ------ this -- day of ------, in the year of
our Lord 19----.
``By the governor:
``C------ D------,
``Governor.
``E------ F------,
``Secretary of State.''
certificate of election for unexpired term
``To the President of the Senate of the United States:
``This is to certify that on the -- day of ----, 19----,
A------ B------ was duly chosen by the qualified electors of
the State of ------ a Senator for the unexpired term ending at
noon on the 3d day of January, 19----, to fill the vacancy in
the representation from said State in the Senate of the United
States caused by the ------ of C------ D------.
``Witness: His excellency our governor ------, and our seal
hereto affixed at ------ this -- day of ------, in the year of
our Lord 19----.
``By the governor:
``E------ F------,
``Governor.
``G------ H------,
``Secretary of State.''
certificate of appointment
``To the President of the Senate of the United States:
``This is to certify that, pursuant to the power vested in
me by the Constitution of the United States and the laws of the
State of ------, I, A------ B------, the governor of said
State, do hereby appoint C------ D------ a Senator from said
State to represent said State in the Senate of the United
States until the vacancy therein caused by the ------ of E----
-- F------, is filed by election as provided by law.
``Witness: His excellency our governor ------, and our seal
hereto affixed at ------ this -- day of ------, in the year of
our Lord 20----.
``By the governor:
``G------ H------,
``Governor.
``I------ J------,
``Secretary of State.''
B. RULE III
oaths
The oaths or affirmations required by the Constitution and
prescribed by law shall be taken and subscribed by each
Senator, in open Senate, before entering upon his duties.
oath required by the constitution and by law to be taken by senators
I, A------ B------, do solemnly swear (or affirm) that I
will support and defend the Constitution of the United States
against all enemies, foreign and domestic; that I will bear
true faith and allegiance to the same; that I take this
obligation freely, without any mental reservation or purpose of
evasion; and that I will well and faithfully discharge the
duties of the office on which I am about to enter; so help me
God. (5 U.S.C. 3331.)
C. RULE XXXIV
public financial disclosure
1. For purposes of this rule, the provisions of title I of
the Ethics in Government Act of 1978 shall be deemed to be a
rule of the Senate as it pertains to Members, officers, and
employees of the Senate. [See 5 U.S.C. App. 6 Sec. Sec. 101-
111.]
2. (a) The Select Committee on Ethics shall transmit a copy
of each report filed with it under title I of the Ethics in
Government Act of 1978 (other than a report filed by a Member
of Congress) to the head of the employing office of the
individual filing the report.
(b) For purposes of this rule, the head of the employing
office shall be--
(1) in the case of an employee of a Member, the
Member by whom that person is employed;
(2) in the case of an employee of a Committee, the
chairman and ranking minority member of such Committee;
(3) in the case of an employee on the leadership
staff, the Member of the leadership on whose staff such
person serves; and
(4) in the case of any other employee of the
legislative branch, the head of the office in which
such individual serves.
3.\2\ In addition to the requirements of paragraph 1,
Members, officers, and employees of the Senate shall include in
each report filed under paragraph 1 the following additional
information:
---------------------------------------------------------------------------
\2\ Pursuant to S. Res. 158, 104-1, July 28, 1995, and S. Res. 198,
104-1, Dec. 7, 1995, paragraphs 3 and 4 were added effective Jan. 1,
1996.
---------------------------------------------------------------------------
(a) For purposes of section 102(a)(1)(B) of the
Ethics in Government Act of 1978 additional categories
of income as follows:
(1) greater than $1,000,000 but not more than
$5,000,000, or
(2) greater than $5,000,000.
(b) for purposes of section 102(d)(1) of the Ethics
in Government Act of 1978 additional categories of
value as follows:
(1) greater than $1,000,000 but not more than
$5,000,000;
(2) greater than $5,000,000 but not more than
$25,000,000;
(3) greater than $25,000,000 but not more
than $50,000,000; and
(4) greater than $50,000,000.
(c) For purposes of this paragraph and section 102 of
the Ethics in Government Act of 1978, additional
categories with amounts or values greater than
$1,000,000 set forth in section 102(a)(1)(B) and
102(d)(1) shall apply to the income, assets, or
liabilities of spouses and dependent children only if
the income, assets, or liabilities are held jointly
with the reporting individual. All other income,
assets, or liabilities of the spouse or dependent
children required to be reported under section 102 and
this paragraph in an amount or value greater than
$1,000,000 shall be categorized only as an amount or
value greater than $1,000,000.
4.\3\ In addition to the requirements of paragraph 1,
Members, officers, and employees of the Senate shall include in
each report filed under paragraph 1 an additional statement
under section 102(a) of the Ethics in Government Act of 1978
listing the category of the total cash value of any interest of
the reporting individual in a qualified blind trust as provided
in section 102(d)(1) of the Ethics in Government Act of 1978,
unless the trust instrument was executed prior to July 24, 1995
and precludes the beneficiary from receiving information on the
total cash value of any interest in the qualified blind trust.
---------------------------------------------------------------------------
\3\ This subsection applies with respect to reports filed under
title I of the Ethics in Government Act of 1978 for calendar year 1996
and thereafter.
---------------------------------------------------------------------------
D. RULE XXXV
GIFTS \4\
1. (a)(1) No Member, officer, or employee of the Senate
shall knowingly accept a gift except as provided in this rule.
---------------------------------------------------------------------------
\4\ As amended, S. Res. 158, 104-1, July 28, 1995, and S. Res. 198,
104-1, Dec. 7, 1995, effective Jan. 1, 1996. See also 2 U.S.C. 31-2.
---------------------------------------------------------------------------
(2) A Member, officer, or employee may accept a gift (other
than cash or cash equivalent) which the Member, officer, or
employee reasonably and in good faith believes to have a value
of less than $50, and a cumulative value from one source during
a calendar year of less than $100. No gift with a value below
$10 shall count toward the $100 annual limit. No formal
recordkeeping is required by this paragraph, but a Member,
officer, or employee shall make a good faith effort to comply
with this paragraph.
(b)(1) For the purpose of this rule, the term ``gift''
means any gratuity, favor, discount, entertainment,
hospitality, loan, forbearance, or other item having monetary
value. The term includes gifts of services, training,
transportation, lodging, and meals, whether provided in kind,
by purchase of a ticket, payment in advance, or reimbursement
after the expense has been incurred.
(2)(A) A gift to a family member of a Member, officer, or
employee, or a gift to any other individual based on that
individual's relationship with the Member, officer, or
employee, shall be considered a gift to the Member, officer, or
employee if it is given with the knowledge and acquiescence of
the Member, officer, or employee and the Member, officer, or
employee has reason to believe the gift was given because of
the official position of the Member, officer, or employee.
(B) If food or refreshment is provided at the same time and
place to both a Member, officer, or employee and the spouse or
dependent thereof, only the food or refreshment provided to the
Member, officer, or employee shall be treated as a gift for
purposes of this rule.
(c) The restrictions in subparagraph (a) shall not apply to
the following:
(1) Anything for which the Member, officer, or
employee pays the market value, or does not use and
promptly returns to the donor.
(2) A contribution, as defined in the Federal
Election Campaign Act of 1971 (2 U.S.C. 431 et seq.)
that is lawfully made under that Act, or attendance at
a fundraising event sponsored by a political
organization described in section 527(e) of the
Internal Revenue Code of 1986.
(3) A gift from a relative as described in section
109(16) of title I of the Ethics Reform Act of 1989 (5
U.S.C. App. 6).
(4)(A) Anything, including personal hospitality,
provided by an individual on the basis of a personal
friendship unless the Member, officer, or employee has
reason to believe that, under the circumstances, the
gift was provided because of the official position of
the Member, officer, or employee and not because of the
personal friendship.
(B) In determining whether a gift is provided on the
basis of personal friendship, the Member, officer, or
employee shall consider the circumstances under which
the gift was offered, such as:
(i) The history of the relationship between
the individual giving the gift and the
recipient of the gift, including any previous
exchange of gifts between such individuals.
(ii) Whether to the actual knowledge of the
Member, officer, or employee the individual who
gave the gift personally paid for the gift or
sought a tax deduction or business
reimbursement for the gift.
(iii) Whether to the actual knowledge of the
Member, officer, or employee the individual who
gave the gift also at the same time gave the
same or similar gifts to other Members,
officers, or employees.
(5) A contribution or other payment to a legal
expense fund established for the benefit of a Member,
officer, or employee, that is otherwise lawfully made,
subject to the disclosure requirements of the Select
Committee on Ethics, except as provided in paragraph
3(c).
(6) Any gift from another Member, officer, or
employee of the Senate or the House of Representatives.
(7) Food, refreshments, lodging, and other benefits--
(A) resulting from the outside business or
employment activities (or other outside
activities that are not connected to the duties
of the Member, officer, or employee as an
officeholder) of the Member, officer, or
employee, or the spouse of the Member, officer,
or employee, if such benefits have not been
offered or enhanced because of the official
position of the Member, officer, or employee
and are customarily provided to others in
similar circumstances;
(B) customarily provided by a prospective
employer in connection with bona fide
employment discussions; or
(C) provided by a political organization
described in section 527(e) of the Internal
Revenue Code of 1986 in connection with a
fundraising or campaign event sponsored by such
an organization.
(8) Pension and other benefits resulting from
continued participation in an employee welfare and
benefits plan maintained by a former employer.
(9) Informational materials that are sent to the
office of the Member, officer, or employee in the form
of books, articles, periodicals, other written
materials, audiotapes, videotapes, or other forms of
communication.
(10) Awards or prizes which are given to competitors
in contests or events open to the public, including
random drawings.
(11) Honorary degrees (and associated travel, food,
refreshments, and entertainment) and other bona fide,
nonmonetary awards presented in recognition of public
service (and associated food, refreshments, and
entertainment provided in the presentation of such
degrees and awards).
(12) Donations of products from the State that the
Member represents that are intended primarily for
promotional purposes, such as display or free
distribution, and are of minimal value to any
individual recipient.
(13) Training (including food and refreshments
furnished to all attendees as an integral part of the
training) provided to a Member, officer, or employee,
if such training is in the interest of the Senate.
(14) Bequests, inheritances, and other transfers at
death.
(15) Any item, the receipt of which is authorized by
the Foreign Gifts and Decorations Act, the Mutual
Educational and Cultural Exchange Act, or any other
statute.
(16) Anything which is paid for by the Federal
Government, by a State or local government, or secured
by the Government under a Government contract.
(17) A gift of personal hospitality (as defined in
section 109(14) \5\ of the Ethics in Government Act) of
an individual other than a registered lobbyist or agent
of a foreign principal.
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\5\ Definitions are found at 5 U.S.C. App. 6.
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(18) Free attendance at a widely attended event
permitted pursuant to subparagraph (d).
(19) Opportunities and benefits which are--
(A) available to the public or to a class
consisting of all Federal employees, whether or
not restricted on the basis of geographic
consideration;
(B) offered to members of a group or class in
which membership is unrelated to congressional
employment;
(C) offered to members of an organization,
such as an employees' association or
congressional credit union, in which membership
is related to congressional employment and
similar opportunities are available to large
segments of the public through organizations of
similar size;
(D) offered to any group or class that is not
defined in a manner that specifically
discriminates among Government employees on the
basis of branch of Government or type of
responsibility, or on a basis that favors those
of higher rank or rate of pay;
(E) in the form of loans from banks and other
financial institutions on terms generally
available to the public; or
(F) in the form of reduced membership or
other fees for participation in organization
activities offered to all Government employees
by professional organizations if the only
restrictions on membership relate to
professional qualifications.
(20) A plaque, trophy, or other item that is
substantially commemorative in nature and which is
intended solely for presentation.
(21) Anything for which, in an unusual case, a waiver
is granted by the Select Committee on Ethics.
(22) Food or refreshments of a nominal value offered
other than as a part of a meal.
(23) An item of little intrinsic value such as a
greeting card, baseball cap, or a T-shirt.
(d)(1) A Member, officer, or employee may accept an offer
of free attendance at a widely attended convention, conference,
symposium, forum, panel discussion, dinner, viewing, reception,
or similar event, provided by the sponsor of the event, if--
(A) the Member, officer, or employee participates in
the event as a speaker or a panel participant, by
presenting information related to Congress or matters
before Congress, or by performing a ceremonial function
appropriate to the Member's, officer's, or employee's
official position; or
(B) attendance at the event is appropriate to the
performance of the official duties or representative
function of the Member, officer, or employee.
(2) A Member, officer, or employee who attends an event
described in clause (1) may accept a sponsor's unsolicited
offer of free attendance at the event for an accompanying
individual if others in attendance will generally be similarly
accompanied or if such attendance is appropriate to assist in
the representation of the Senate.
(3) A Member, officer, or employee, or the spouse or
dependent thereof, may accept a sponsor's unsolicited offer of
free attendance at a charity event, except that reimbursement
for transportation and lodging may not be accepted in
connection with an event that does not meet the standards
provided in paragraph 2.
(4) For purposes of this paragraph, the term ``free
attendance'' may include waiver of all or part of a conference
or other fee, the provision of local transportation, or the
provision of food, refreshments, entertainment, and
instructional materials furnished to all attendees as an
integral part of the event. The term does not include
entertainment collateral to the event, nor does it include food
or refreshments taken other than in a group setting with all or
substantially all other attendees.
(e) No Member, officer, or employee may accept a gift the
value of which exceeds $250 on the basis of the personal
friendship exception in subparagraph (c)(4) unless the Select
Committee on Ethics issues a written determination that such
exception applies. No determination under this subparagraph is
required for gifts given on the basis of the family
relationship exception.
(f) When it is not practicable to return a tangible item
because it is perishable, the item may, at the discretion of
the recipient, be given to an appropriate charity or destroyed.
2. (a)(1) A reimbursement (including payment in kind) to a
Member, officer, or employee from an individual other than a
registered lobbyist or agent of a foreign principal for
necessary transportation, lodging and related expenses for
travel to a meeting, speaking engagement, factfinding trip or
similar event in connection with the duties of the Member,
officer, or employee as an officeholder shall be deemed to be a
reimbursement to the Senate and not a gift prohibited by this
rule, if the Member, officer, or employee--
(A) in the case of an employee, receives advance
authorization, from the Member or officer under whose
direct supervision the employee works, to accept
reimbursement, and
(B) discloses the expenses reimbursed or to be
reimbursed and the authorization to the Secretary of
the Senate within 30 days after the travel is
completed.
(2) For purposes of clause (1), events, the activities of
which are substantially recreational in nature, shall not be
considered to be in connection with the duties of a Member,
officer, or employee as an officeholder.
(b) Each advance authorization to accept reimbursement
shall be signed by the Member or officer under whose direct
supervision the employee works and shall include--
(1) the name of the employee;
(2) the name of the person who will make the
reimbursement;
(3) the time, place, and purpose of the travel; and
(4) a determination that the travel is in connection
with the duties of the employee as an officeholder and
would not create the appearance that the employee is
using public office for private gain.
(c) Each disclosure made under subparagraph (a)(1) of
expenses reimbursed or to be reimbursed shall be signed by the
Member or officer (in the case of travel by that Member or
officer) or by the Member or officer under whose direct
supervision the employee works (in the case of travel by an
employee) and shall include--
(1) a good faith estimate of total transportation
expenses reimbursed or to be reimbursed;
(2) a good faith estimate of total lodging expenses
reimbursed or to be reimbursed;
(3) a good faith estimate of total meal expenses
reimbursed or to be reimbursed;
(4) a good faith estimate of the total of other
expenses reimbursed or to be reimbursed;
(5) a determination that all such expenses are
necessary transportation, lodging, and related expenses
as defined in this paragraph; and
(6) in the case of a reimbursement to a Member or
officer, a determination that the travel was in
connection with the duties of the Member or officer as
an officeholder and would not create the appearance
that the Member or officer is using public office for
private gain.
(d) For the purposes of this paragraph, the term
``necessary transportation, lodging, and related expenses''--
(1) includes reasonable expenses that are necessary
for travel for a period not exceeding 3 days exclusive
of travel time within the United States or 7 days
exclusive of travel time outside of the United States
unless approved in advance by the Select Committee on
Ethics;
(2) is limited to reasonable expenditures for
transportation, lodging, conference fees and materials,
and food and refreshments, including reimbursement for
necessary transportation, whether or not such
transportation occurs within the periods described in
clause (1);
(3) does not include expenditures for recreational
activities, nor does it include entertainment other
than that provided to all attendees as an integral part
of the event, except for activities or entertainment
otherwise permissible under this rule; and
(4) may include travel expenses incurred on behalf of
either the spouse or a child of the Member, officer, or
employee, subject to a determination signed by the
Member or officer (or in the case of an employee, the
Member or officer under whose direct supervision the
employee works) that the attendance of the spouse or
child is appropriate to assist in the representation of
the Senate.
(e) The Secretary of the Senate shall make available to the
public all advance authorizations and disclosures of
reimbursement filed pursuant to subparagraph (a) as soon as
possible after they are received.
3. A gift prohibited by paragraph 1(a) includes the
following:
(a) Anything provided by a registered lobbyist or an
agent of a foreign principal to an entity that is
maintained or controlled by a Member, officer, or
employee.
(b) A charitable contribution (as defined in section
170(c) of the Internal Revenue Code of 1986) made by a
registered lobbyist or an agent of a foreign principal
on the basis of a designation, recommendation, or other
specification of a Member, officer, or employee (not
including a mass mailing or other solicitation directed
to a broad category of persons or entities), other than
a charitable contribution permitted by paragraph 4.
(c) A contribution or other payment by a registered
lobbyist or an agent of a foreign principal to a legal
expense fund established for the benefit of a Member,
officer, or employee.
(d) A financial contribution or expenditure made by a
registered lobbyist or an agent of a foreign principal
relating to a conference, retreat, or similar event,
sponsored by or affiliated with an official
congressional organization, for or on behalf of
Members, officers, or employees.
4. (a) A charitable contribution (as defined in section
170(c) of the Internal Revenue Code of 1986) made by a
registered lobbyist or an agent of a foreign principal in lieu
of an honorarium to a Member, officer, or employee shall not be
considered a gift under this rule if it is reported as provided
in subparagraph (b).
(b) A Member, officer, or employee who designates or
recommends a contribution to a charitable organization in lieu
of honoraria described in subparagraph (a) shall report within
30 days after such designation or recommendation to the
Secretary of the Senate--
(1) the name and address of the registered lobbyist
who is making the contribution in lieu of honoraria;
(2) the date and amount of the contribution; and
(3) the name and address of the charitable
organization designated or recommended by the Member.
The Secretary of the Senate shall make public information
received pursuant to this subparagraph as soon as possible
after it is received.
5. For purposes of this rule--
(a) the term ``registered lobbyist'' means a lobbyist
registered under the Federal Regulation of Lobbying Act
or any successor statute; and
(b) the term ``agent of a foreign principal'' means
an agent of a foreign principal registered under the
Foreign Agents Registration Act.
6. All the provisions of this rule shall be interpreted and
enforced solely by the Select Committee on Ethics.
The Select Committee on Ethics is authorized to issue
guidance on any matter contained in this rule.
E. RULE XXXVI
outside earned income
For purposes of this rule, the provisions of section 501 of
the Ethics in Government Act of 1978 (5 U.S.C. App. 7 501)
shall be deemed to be a rule of the Senate as it pertains to
Members, officers, and employees of the Senate.
F. RULE XXXVII
conflict of interest
1. A Member, officer, or employee of the Senate shall not
receive any compensation, nor shall he permit any compensation
to accrue to his beneficial interest from any source, the
receipt or accrual of which would occur by virtue of influence
improperly exerted from his position as a Member, officer, or
employee.
2. No Member, officer, or employee shall engage in any
outside business or professional activity or employment for
compensation which is inconsistent or in conflict with the
conscientious performance of official duties.
3. No officer or employee shall engage in any outside
business or professional activity or employment for
compensation unless he has reported in writing when such
activity or employment commences and on May 15 of each year
thereafter so long as such activity or employment continues,
the nature of such activity or employment to his supervisor.
The supervisor shall then, in the discharge of his duties, take
such action as he considers necessary for the avoidance of
conflict of interest or interference with duties to the Senate.
4. No Member, officer, or employee shall knowingly use his
official position to introduce or aid the progress or passage
of legislation, a principal purpose of which is to further only
his pecuniary interest, only the pecuniary interest of his
immediate family, or only the pecuniary interest of a limited
class of persons or enterprises, when he, or his immediate
family, or enterprises controlled by them, are members of the
affected class.
5. (a) No Member, officer, or employee of the Senate
compensated at a rate in excess of $25,000 per annum and
employed for more than ninety days in a calendar year shall (1)
affiliate with a firm, partnership, association, or corporation
for the purpose of providing professional services for
compensation; (2) permit that individual's name to be used by
such firm, partnership, association or corporation; or (3)
practice a profession for compensation to any extent during
regular office hours of the Senate office in which employed.
For the purpose of this paragraph, ``professional services''
shall include but not be limited to those which involve a
fiduciary relationship.
(b) A Member or an officer or employee whose rate of basic
pay is equal to or greater than 120 percent of the annual rate
of basic pay in effect for grade GS-15 of the General Schedule
shall not--
(1) receive compensation for affiliating with or
being employed by a firm, partnership, association,
corporation, or other entity which provides
professional services involving a fiduciary
relationship;
(2) permit that Member's, officer's, or employee's
name to be used by any such firm, partnership,
association, corporation, or other entity;
(3) receive compensation for practicing a profession
which involves a fiduciary relationship; or
(4) receive compensation for teaching, without the
prior notification and approval of the Select Committee
on Ethics.
6. (a) No Member, officer, or employee of the Senate
compensated at a rate in excess of $25,000 per annum and
employed for more than ninety days in a calendar year shall
serve as an officer or member of the board of any publicly held
or publicly regulated corporation, financial institution, or
business entity. The preceding sentence shall not apply to
service of a Member, officer, or employee as--
(1) an officer or member of the board of an
organization which is exempt from taxation under
section 501(c) of the Internal Revenue code of 1954, if
such service is performed without compensation;
(2) an officer or member of the board of an
institution or organization which is principally
available to Members, officers, or employees of the
Senate, or their families, if such service is performed
without compensation; or
(3) a member of the board of a corporation,
institution, or other business entity, if (A) the
Member, officer, or employee has served continuously as
a member of the board thereof for at least two years
prior to his election or appointment as a Member,
officer, or employee of the Senate, (B) the amount of
time required to perform such service is minimal, and
(C) the Member, officer, or employee is not a member
of, or a member of the staff of any Senate committee
which has legislative jurisdiction over any agency of
the Government charged with regulating the activities
of the corporation, institution, or other business
entity.
(b) A Member or an officer or employee whose rate of basic
pay is equal to or greater than 120 percent of the annual rate
of basic pay in effect for grade GS-15 of the General Schedule
shall not serve for compensation as an officer or member of the
board of any association, corporation, or other entity.
7. An employee on the staff of a committee who is
compensated at a rate in excess of $25,000 per annum and
employed for more than ninety days in a calendar year shall
divest himself of any substantial holdings which may be
directly affected by the actions of the committee for which he
works, unless the Select Committee, after consultation with the
employee's supervisor, grants permission in writing to retain
such holdings or the employee makes other arrangements
acceptable to the Select Committee and the employee's
supervisor to avoid participation in committee actions where
there is a conflict of interest, or the appearance thereof.
8. If a Member, upon leaving office, becomes a registered
lobbyist under the Federal Regulation of Lobbying Act of 1946
or any successor statute, or is employed or retained by such a
registered lobbyist for the purpose of influencing legislation,
he shall not lobby Members, officers, or employees of the
Senate for a period of one year after leaving office.
9. If an employee on the staff of a Member, upon leaving
that position, becomes a registered lobbyist under the Federal
Regulation of Lobbying Act of 1946 or any successor statute, or
is employed or retained by such a registered lobbyist for the
purpose of influencing legislation, such employee may not lobby
the Member for whom he worked or that Member's staff for a
period of one year after leaving that position. If an employee
on the staff of a committee, upon leaving his position, becomes
such a registered lobbyist or is employed or retained by such a
registered lobbyist for the purpose of influencing legislation,
such employee may not lobby the members of the committee for
which he worked, or the staff of that committee, for a period
of one year after leaving his position.
10. (a) Except as provided by subparagraph (b), any
employee of the Senate who is required to file a report
pursuant to rule XXXIV shall refrain from participating
personally and substantially as an employee of the Senate in
any contact with any agency of the executive or judicial branch
of Government with respect to non-legislative matters affecting
any non-governmental person in which the employee has a
significant financial interest.
(b) Subparagraph (a) shall not apply if an employee first
advises his supervising authority of his significant financial
interest and obtains from his employing authority a written
waiver stating that the participation of the employee is
necessary. A copy of each such waiver shall be filed with the
Select Committee.
11. For purposes of this rule--
(a) ``employee of the Senate'' includes an employee
or individual described in paragraphs 2, 3, and 4(c) of
rule XLI;
(b) an individual who is an employee on the staff of
a sub-committee of a committee shall be treated as an
employee on the staff of such committee; and
(c) the term ``lobbying'' means any oral or written
communication to influence the content or disposition
of any issue before Congress, including any pending or
future bill, resolution, treaty, nomination, hearing,
report, or investigation; but does not include--
(1) a communication (i) made in the form of
testimony given before a committee or office of
the Congress, or (ii) submitted for inclusion
in the public record, public docket, or public
file of a hearing; or
(2) a communication by an individual, acting
solely on his own behalf, for redress of
personal grievances, or to express his personal
opinion.
12. For purposes of this rule--
(a) a Senator or the Vice President is the supervisor
of his administrative, clerical, or other assistants;
(b) a Senator who is the chairman of a committee is
the supervisor of the professional, clerical, or other
assistants to the committee except that minority staff
members shall be under the supervision of the ranking
minority Senator on the committee;
(c) a Senator who is a chairman of a subcommittee
which has its own staff and financial authorization is
the supervisor of the professional, clerical, or other
assistants to the subcommittee except that minority
staff members shall be under the supervision of the
ranking minority Senator on the subcommittee;
(d) the President pro tempore is the supervisor of
the Secretary of the Senate, Sergeant at Arms and
Doorkeeper, the Chaplain, the Legislative Counsel, and
the employees of the Office of the Legislative Counsel;
(e) the Secretary of the Senate is the supervisor of
the employees of his office;
(f) the Sergeant at Arms and Doorkeeper is the
supervisor of the employees of his office;
(g) the Majority and Minority Leaders and the
Majority and Minority Whips are the supervisors of the
research, clerical, or other assistants assigned to
their respective offices;
(h) the Majority Leader is the supervisor of the
Secretary for the Majority and the Secretary for the
Majority is the supervisor of the employees of his
office; and
(i) the Minority Leader is the supervisor of the
Secretary for the Minority and the Secretary for the
Minority is the supervisor of the employees of his
office.
G. RULE XXXVIII
PROHIBITION OF UNOFFICIAL OFFICE ACCOUNTS
1. (a) No Member may maintain or have maintained for his
use an unofficial office account. The term ``unofficial office
account'' means an account or repository into which funds are
received for the purpose, at least in part, of defraying
otherwise unreimbursed expenses allowable in connection with
the operation of a Member's office. An unofficial office
account does not include, and expenses incurred by a Member in
connection with his official duties shall be defrayed only
from--
(1) personal funds of the Member;
(2) official funds specifically appropriated for that
purpose;
(3) funds derived from a political committee (as
defined in section 301(d) of the Federal Election
Campaign Act of 1971 (2 U.S.C. 431)); and
(4) funds received as reasonable reimbursement for
expenses incurred by a Member in connection with
personal services provided by the Member to the
organization making the reimbursement.
(b) Notwithstanding subparagraph (a), official expenses may
be defrayed only as provided by subsections (d) and (i) of
section 311 of the Legislative Appropriations Act, 1991 (Pub.L.
101-520).
2. No contribution (as defined in section 301(e) of the
Federal Election Campaign Act of 1971 (2 U.S.C. 431)) shall be
converted to the personal use of any Member or any former
Member. For the purposes of this rule ``personal use'' does not
include reimbursement of expenses incurred by a Member in
connection with his official duties.
H. RULE XXXIX
FOREIGN TRAVEL
1. (a) Unless authorized by the Senate (or by the President
of the United States after an adjournment sine die), no funds
from the United States Government (including foreign currencies
made available under section 502(b) of the Mutual Security Act
of 1954 (22 U.S.C. 1754(b))) shall be received for the purpose
of travel outside the United States by any Member of the Senate
whose term will expire at the end of a Congress after--
(1) the date of the general election in which his
successor is elected; or
(2) in the case of a Member who is not a candidate in
such general election, the earlier of the date of such
general election or the adjournment sine die of the
second regular session of that Congress.
(b) The travel restrictions provided by subparagraph (a)
with respect to a Member of the Senate whose term will expire
at the end of a Congress shall apply to travel by--
(1) any employee of the Member;
(2) any elected officer of the Senate whose
employment will terminate at the end of a Congress; and
(3) any employee of a committee whose employment will
terminate at the end of a Congress.
2. No Member, officer, or employee engaged in foreign
travel may claim payment or accept funds from the United States
Government (including foreign currencies made available under
section 502(b) of the Mutual Security Act of 1954 (22 U.S.C.
1754(b)) for any expense for which the individual has received
reimbursement from any other source; nor may such Member,
officer, or employee receive reimbursement for the same expense
more than once from the United States Government. No Member,
officer, or employee shall use any funds furnished to him to
defray ordinary and necessary expenses of foreign travel for
any purpose other than the purpose or purposes for which such
funds were furnished.
3. A per diem allowance provided a Member, officer, or
employee in connection with foreign travel shall be used solely
for lodging, food, and related expenses and it is the
responsibility of the Member, officer, or employee receiving
such an allowance to return to the United States Government
that portion of the allowance received which is not actually
used for necessary lodging, food, and related expenses.
I. RULE XL
Franking Privilege and Radio and Television Studios
1. A Senator or an individual who is a candidate for
nomination for election, or election, to the Senate may not use
the frank for any mass mailing (as defined in section
3210(a)(6)(E) of title 39, United States Code) if such mass
mailing is mailed at or delivered to any postal facility less
than sixty days immediately before the date of any primary or
general election (whether regular, special, or runoff) in which
the Senator is a candidate for public office or the individual
is a candidate for Senator, unless the candidacy of the Senator
in such election is uncontested.\6\
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\6\ As amended by S. Res. 224, 103-2, June 21, 1994.
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2. A Senator shall use only official funds of the Senate,
including his official Senate allowances, to purchase paper, to
print, or to prepare any mass mailing material which is to be
sent out under the frank.
3. (a) When a Senator disseminates information under the
frank by a mass mailing (as defined in section 3210(a)(6)(E) of
title 39, United States Code), the Senator shall register
quarterly with the Secretary of the Senate such mass mailings.
Such registration shall be made by filing with the Secretary a
copy of the matter mailed and providing, on a form supplied by
the Secretary, a description of the group or groups of persons
to whom the mass mailing was mailed.
(b) The Secretary of the Senate shall promptly make
available for public inspection and copying a copy of the mail
matter registered, and a description of the group or groups of
persons to whom the mass mailing was mailed.
4. Nothing in this rule shall apply to any mailing under
the frank which is (a) in direct response to inquiries or
requests from persons to whom the matter is mailed; (b)
addressed to colleagues in Congress or to government officials
(whether Federal, State, or local); or (c) consists entirely of
news releases to the communications media.
5. The Senate computer facilities shall not be used (a) to
store, maintain, or otherwise process any list or categories of
lists of names and addresses identifying the individuals
included in such lists as campaign workers or contributors, as
members of a political party, or by any other partisan
political designation, (b) to produce computer printouts except
as authorized by user guides approved by the Committee on Rules
and Administration, or (c) to produce mailing labels for mass
mailings, or computer tapes and discs, for use other than in
service facilities maintained and operated by the Senate or
under contract to the Senate. The Committee on Rules and
Administration shall prescribe such regulations not
inconsistent with the purposes of this paragraph as it
determines necessary to carry out such purposes.
6. (a) The radio and television studios provided by the
Senate or by the House of Representatives may not be used by a
Senator or an individual who is a candidate for nomination for
election, or election, to the Senate less than sixty days
immediately before the date of any primary or general election
(whether regular, special, or runoff) in which that Senator is
a candidate for public office or that individual is a candidate
for Senator, unless the candidacy of the Senator in such
election is uncontested.\7\
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\7\ As amended by S.Res. 224, 103-2, June 21, 1994.
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(b) This paragraph shall not apply if the facilities are to
be used at the request of, and at the expense of, a licensed
broadcast organization or an organization exempt from taxation
under section 501(c)(3) of the Internal Revenue Code of 1954.
J. RULE XLI
political fund activity; definitions
1. No officer or employee of the Senate may receive,
solicit, be a custodian of, or distribute any funds in
connection with any campaign for the nomination for election,
or the election, of any individual to be a Member of the Senate
or to any other Federal office. This prohibition does not apply
to three assistants to a Senator, at least one of whom is in
Washington, District of Columbia, who have been designated by
that Senator to perform any of the functions described in the
first sentence of this paragraph and who are compensated at an
annual rate in excess of $10,000 if such designation has been
made in writing and filed with the Secretary of the Senate and
if each such assistant files a financial statement in the form
provided under rule XXXIV for each year during which he is
designated under this rule. The Majority Leader and the
Minority Leader may each designate an employee of their
respective leadership office staff as one of the 3 designees
referred to in the second sentence. The Secretary of the Senate
shall make the designation available for public inspection.
2. For purposes of the Senate Code of Official Conduct--
(a) an employee of the Senate includes any employee
whose salary is disbursed by the Secretary of the
Senate; and
(b) the compensation of an officer or employee of the
Senate who is a reemployed annuitant shall include
amounts received by such officer or employee as an
annuity, and such amounts shall be treated as disbursed
by the Secretary of the Senate.
3. Before approving the utilization by any committee of the
Senate of the services of an officer or employee of the
Government in accordance with paragraph 4 of rule XXVII or with
an authorization provided by Senate resolution, the Committee
on Rules and Administration shall require such officer or
employee to agree in writing to comply with the Senate Code of
Official Conduct in the same manner and to the same extent as
an employee of the Senate. Any such officer or employee shall,
for purposes of such Code, be treated as an employee of the
Senate receiving compensation disbursed by the Secretary of the
Senate in an amount equal to the amount of compensation he is
receiving as an officer or employee of the Government.
4. No Member, officer, or employee of the Senate shall
utilize the full-time services of an individual for more than
ninety days in a calendar year in the conduct of official
duties of any committee or office of the Senate (including a
Member's office) unless such individual--
(a) is an officer or employee of the Senate,
(b) is an officer or employee of the Government
(other than the Senate), or
(c) agrees in writing to comply with the Senate Code
of Official Conduct in the same manner and to the same
extent as an employee of the Senate.
Any individual to whom subparagraph (c) applies shall, for
purposes of such Code, be treated as an employee of the Senate
receiving compensation disbursed by the Secretary of the Senate
in an amount equal to the amount of compensation which such
individual is receiving from any source for performing such
services.
5. In exceptional circumstances for good cause shown, the
Select Committee on Ethics may waive the applicability of any
provision of the Senate Code of Official Conduct to an employee
hired on a per diem basis.
6. (a) The supervisor of an individual who performs
services for any Member, committee, or office of the Senate for
a period in excess of four weeks and who receives compensation
therefor from any source other than the United States
Government shall report to the Select Committee on Ethics with
respect to the utilization of the services of such individual.
(b) A report under subparagraph (a) shall be made with
respect to an individual--
(1) when such individual begins performing services
described in such subparagraph;
(2) at the close of each calendar quarter while such
individual is performing such services; and
(3) when such individual ceases to perform such
services.
Each such report shall include the identity of the source of
the compensation received by such individual and the amount or
rate of compensation paid by such source.
(c) No report shall be required under subparagraph (a) with
respect to an individual who normally performs services for a
Member, committee, or office for less than eight hours a week.
(d) For purposes of this paragraph, the supervisor of an
individual shall be determined under paragraph 11 of Rule
XXXVII.
K. RULE XLIII
representation by members \8\
1. In responding to petitions for assistance, a Member of
the Senate, acting directly or through employees, has the right
to assist petitioners before executive and independent
government officials and agencies.
---------------------------------------------------------------------------
\8\ Rule established by S. Res. 273, 102-2, July 2, 1992.
---------------------------------------------------------------------------
2. At the request of a petitioner, a Member of the Senate,
or a Senate employee, may communicate with an executive or
independent government official or agency on any matter to--
(a) request information or a status report;
(b) urge prompt consideration;
(c) arrange for interviews or appointments;
(d) express judgment;
(e) call for reconsideration of an administrative
response which the Member believes is not reasonably
supported by statutes, regulations or considerations of
equity or public policy; or
(f) perform any other service of a similar nature
consistent with the provisions of this rule.
3. The decision to provide assistance to petitioners may
not be made on the basis of contributions or services, or
promises of contributions or services, to the Member's
political campaigns or to other organizations in which the
Member has a political, personal, or financial interest.
4. A Member shall make a reasonable effort to assure that
representations made in the Member's name by any Senate
employee are accurate and conform to the Member's instructions
and to this rule.
5. Nothing in this rule shall be construed to limit the
authority of Members, and Senate employees, to perform
legislative, including committee, responsibilities.
L. SENATE RESOLUTION 28, TAPE DUPLICATION OF SENATE PROCEEDINGS
to improve senate procedures
* * * * * * *
Sec. 6. (a) The use of any tape duplication of radio or
television coverage of the proceedings of the Senate for
political campaign purposes is strictly prohibited.
(b)(1) Except as provided in paragraph (2), any tape
duplication of radio or television coverage of the proceedings
of the Senate furnished to any person or organization shall be
made on the condition, agreed to in writing, that the tape
duplication shall not be used for political campaign purposes.
(2) Any public or commercial news organization furnished a
tape duplication described in paragraph (1) shall be subject to
the provisions of paragraph (1) but shall not be required to
enter into a written agreement.
* * * * * * *
=======================================================================
PART III
STATE ELECTION LAWS RELATING TO CANDIDATES FOR THE UNITED STATES SENATE
=======================================================================
Alabama
Unless otherwise designated, references are to the Code of Alabama 1975
Annotated, and to the 1998 Cumulative Supplement and the 1999 interim
supplement.
Primary Elections, when held (by parties polling over 20
percent of State vote) (optional) (Sec. Sec. 17-16-1,
17-16-2, 17-16-5).
If held, primary election shall be held on the first
Tuesday in June (June 6, 2000). If no candidate has
majority, second primary shall be held on the last
Tuesday in June (Sec. 17-16-6). (June 27, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy.--File with chairman of
State executive committee not later than 5 p.m. on 60th
day before primary (Sec. 17-16-11) (June 7, 2000).
Convention, caucus, or mass meeting, certificate of
nominations.--File with Secretary of State on or before
5 p.m. 6 days after the second primary election
(Sec. 17-7-1(a)(2)).
Independent candidate
Candidate petition.--Petition bearing signatures of
three percent of the qualified electors who voted in
the last gubernatorial general election in the State
must be filed with Secretary of State on or before 5
p.m. 6 days after the second primary election (Sec. 17-
7-1(a)(3)).
Filing Fees and Assessments.
May be assessed by parties on candidates able to pay.
Amount.--Not to exceed 2 percent of one year's salary
of the office sought.
Date of payment.--Apparently as set by party.
To whom paid.--Apparently as set by party (Sec. 17-
16-15).
Crossfiling by Candidates.
Prohibited. Candidate must pledge to support party
(Sec. Sec. 17-16-12, 17-16-14, 17-16-18).
Subversive Parties Barred from Ballot.
No provisions were found.
Write-in Provisions.
Permitted in general election (Sec. 17-8-20); on
voting machines in general elections (Sec. 17-9-7(6)).
Vacancy in Office.
The Governor may make temporary appointment of a
Senator in the Senate of the Congress of the United
States from Alabama, whenever a vacancy exists in that
office, the appointee to hold office until his
successor is elected and qualified (Sec. 36-9-7).
Whenever a vacancy occurs in the office of Senator of
and from the State of Alabama in the Senate of the
United States more than 4 months before a general
election, the Governor of Alabama shall forthwith order
an election to be held by the qualified electors of the
State to elect a Senator of and from the State of
Alabama to the United States Senate for the unexpired
term. If the vacancy occurs within 4 months of but more
than 60 days before a general election, the vacancy
shall be filled at that election. If the vacancy occurs
within 60 days before a general election, the Governor
shall order a special election to be held on the first
Tuesday after the lapse of 60 days from and after the
day on which the vacancy is known to the Governor, and
the Senator elected at such special election shall hold
office for the unexpired term (Sec. 36-9-8).
The Governor must give notice of a special election
to elect a Senator for an unexpired term in the same
manner and for the same time as is prescribed for
special elections to fill a vacancy in the office of
Members of the House of Representatives (Sec. 36-9-9),
i.e., by proclamation (Sec. 17-18-4). For special
election procedures, see Sec. Sec. 17-18-1--17-18-7.
Alaska
Unless otherwise indicated, references are to Alaska Statutes, 1998
main volume and 1999 Supplement.
Primary Elections, when held.
Fourth Tuesday in August in every even-numbered year
(Sec. 15.25.020). (August 22, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy.--Candidate should file on
or before June 1, prior to the primary. File with
director of elections or an election supervisor
(Sec. Sec. 15.25.030, 15.25.040 (a), (c)). The
declaration is filed by either--
(1) the actual physical delivery of the
declaration by mail or in person at or before 5
p.m., prevailing time, June 1 of the year in
which a general election is held for the
office, or
(2) the actual physical delivery by telegram
of a copy in substance for specified parts of
the statement at or before 5 p.m., prevailing
time, June 1 of the year in which a general
election is held for the office and also the
actual physical delivery of the entire
declaration by registered mail which is
received not more than 15 days after that time
(Sec. 15.25.040(a)).
Independent candidates
``No-party candidates''--Petition signed by not less
than one percent of the number of voters who cast
ballots in the preceding general election, should be
filed with director of elections on or before 5 p.m. on
June 1 in election year (Sec. Sec. 15.25.140-
15.25.205).
Filing Fees and Assessments--Primary Candidates
(Sec. Sec. 15.25.050).
Amount.--$100.
Date of payment.--At a time of filing declaration of
candidacy.
To whom paid.--Director of Elections.
Crossfiling by candidates.
Declaration of candidacy must state that the
candidate is not a candidate for any other office to be
voted on at the primary or general election and that he
has not filed another declaration of candidacy or
nominating petition for the office for which this
declaration is filed (Sec. 15.25.030(14)).
Subversive Parties Barred from Ballot.
No specific provisions, but persons advocating
forceful overthrow of government, or members of parties
advocating such, are not qualified for public office
(Const. of Alaska, Art. XII, Sec. 4).
Write-in Provisions.
Prohibited in primary (Sec. Sec. 15.25.060,
15.25.070); permitted in general election
(Sec. 15.15.030(5)). Stickers bearing a candidate's
name may be affixed to the ballot in lieu of writing in
a candidate's name where write-ins permitted
(Sec. 15.15.360(10)).
Vacancy in Office.
When a vacancy occurs in the office of a United
States Senator, the Governor, within 30 days, shall
appoint a qualified person of the same political party
of the predecessor to fill the vacancy. However, if the
remainder of the term of the predecessor in the office
will expire more than 30 calendar months after the
vacancy, the vacancy will be filled by a special
primary and special general election. (Sec. 15.40.010).
The special primary election shall be held on the
date of the first primary election that is held more
than 30 days after the vacancy. The special election to
fill the vacancy shall be held on the date of the first
general election after the first primary election which
is held more than 30 days after the vacancy occurs
(Sec. 15.40.050).
The Governor shall issue the proclamation calling the
special election at least 80 days before the election
(Sec. 15.40.060).
At the special election a United States Senator shall
be elected to fill the remainder of the unexpired term
(Sec. 15.40.070).
Arizona
Unless otherwise designated, references are to the Arizona Revised
Statutes Annotated (1996) and to the 1999 Cumulative Pocket Part.
Primary Elections, when held.
Eighth Tuesday prior to general election (Sec. 16-
201). (September 12, 2000).
Nominating Papers, Petitions, Etc.
Representation on ballot.--A political organization
which at the last preceding general election cast for
Governor or presidential electors or for county
attorney or for mayor, whichever applies, not less than
5 percent of the total votes cast for Governor or
presidential elector, in the State or in the county,
city or town; or, alternatively, a political
organization which has registered voters equal to two-
thirds of 1 one percent of the total registered
electors in a jurisdiction, is entitled to
representation on the official ballot (Sec. 16-804).
Party candidate for primary
Nominating petition and nomination papers.--File with
Secretary of State not more than 120 days before (May
15, 2000) or later than 5 p.m. on the 90th day before
(June 14, 2000) the primary election (Sec. 16-311).
Petition must be signed by qualified electors qualified
to vote for the candidate equal to at least one-half of
1 percent of the voter registration of the party of the
Candidate in at least three counties in the State, but
not less than one-half of 1 percent nor more than 10
percent of the total voter registration of his party in
the State (Sec. 16-322).
Independent candidates
Certification of nomination for candidates nominated
otherwise than by primary.--Signatures required, equal
in number to three percent of qualified electors in the
State who are not members of a political party
qualified for a ballot position in primary and general
election and who did not sign a nominating petition for
party primary candidate. File with Secretary of State
not more than 120 days before or later than 5 p.m. on
the 90th day before the primary election (Sec. 16-341).
New party.--To be recognized in the primary and
general election, a new political party must file a
petition signed by qualified electors numbering no less
than one and one-third percent of the votes cast for
Governor or presidential elector in the last preceding
election (Sec. 16-801). File with Secretary of State
not less than 75 nor more than 105 days prior to
primary election (Sec. Sec. 16-801, 16-803).
The signatures on the petition shall be verified by
the county recorder of each county; the petition shall
not be submitted for verification to such county
recorder later than 112 days prior to the primary
election (May 16, 1998) (Sec. Sec. 16-801, 16-803). The
petition shall be verified by the affidavit of ten
qualified electors of the State, asking that the
signers thereof be recognized as a new political party;
the status as qualified electors of the signers of the
affidavit shall be certified by the county recorder of
the state in which they reside (Sec. 16-801).
Write-in candidate
Nomination papers.--File with Secretary of State no
later than 5 p.m. on the 14th day prior to the election
(Sec. 16-312).
Filing Fees and Assessments.--Prohibited (Const., Art. 7,
Sec. 14)
Crossfiling by Candidates.
Prohibited.--Candidate must be a member of party
whose nomination he seeks (Sec. Sec. 16-311(A), 16-
314). If a person is nominated on more than one ticket
he must choose one (Sec. 16-467).
A candidate defeated in the primary is prohibited
from seeking nomination as a write-in candidate
(Sec. 16-312).
Subversive Parties Barred from Ballot.
Communist Party.--Sec. Sec. 16-805, 16-806; but see
Blawis v. Bolin, 358 F. Supp. 349 (D. Ariz. 1973),
where provisions of the (Federal) Communist Control
Act, 50 U.S.C. Sec. Sec. 841-842 and former
Sec. Sec. 16-205, 16-206. Ariz. Rev. Stats. (comparable
to present Sec. Sec. 16-805, 16-806), which
specifically disenfranchised the Communist Party U.S.A.
and its affiliates were held unconstitutional as bills
of attainder that denied party members due process and
equal protection of law.
Advocating overthrow of Government by force.--
Sec. 16-806.
Write-in Provisions.
Allowed in primary (Sec. 16-462); general election
(Sec. 16-502), on voting machines (Sec. 16-424); on
electronic voting systems (Sec. Sec. 16-446, 16-448).
In order to be nominated by a write-in vote at a
primary election, a write-in candidate must receive a
number of votes equivalent to the number of signatures
required on the nomination papers of a party candidate
for the primary (Sec. 16-645).
Vacancy in Office.
When a vacancy occurs in the office of United States
Senator by reason of death or resignation, or from any
other cause, the vacancy shall be filled at the next
general election. At such election the person elected
shall fill the unexpired term of the vacated office. In
the interim, the governor shall appoint a person to
fill the vacancy. That appointee shall be of the same
political party as the person vacating the office and
shall serve until the person elected at the next
general election is qualified and assumes office
(Sec. 16-222).
Arkansas
Unless otherwise designated, references are to Arkansas Code of 1987
Annotated (1993 Replacement volume) and the 1999 Supplement.
Primary Elections, when held.
Preferential primary.--On the Tuesday 3 weeks prior
to the general primary (Sec. 7-7-203). (May 23, 2000)
If at such preferential primary a candidate receives a
majority of the votes cast for the office, such person
shall be declared the party nominee, and it shall not
be necessary for his name to appear on the general
primary ballot (Sec. Sec. 7-7-203, 7-7-304).
General primary (runoff).--Second Tuesday in June
preceding general election (Sec. 7-7-203). (June 13,
2000) If no candidate receives a majority of votes cast
for that office at the preferential primary election,
the names of the two candidates who received the
highest number of votes shall be printed on the ballot
at the general primary election (Sec. Sec. 7-7-202, 7-
7-304).
Nominating Papers, Petitions, Etc.
Party pledge.--Not earlier than noon of the 3rd
Tuesday in March (March 21, 2000) or later than noon on
the 14th day thereafter (April 4, 2000); candidate to
file with secretary of State party committee (Sec. 7-7-
203).
Political practice pledge.--File pledge with
secretary of state party committee no earlier than noon
of the 3rd Tuesday in March or later than noon on the
14th day thereafter (Sec. 7-7-203(c)).
Certification of nomination.
Party candidate for primary.--No later than forty
(40) days before the preferential primary election
(April 13, 2000), the chairman and secretary of State
committee of the political party shall certify to the
various county committees and the various county boards
of election commissioners the names of all candidates
who have qualified with the state committee for
election by filing the party pledge and paying the
ballot fee within the time required by law (Sec. 7-7-
203(d)).
New party.--Any group desiring to form a new
political party may file with the Secretary of State a
petition signed by qualified electors equal in number
to at least 3 percent of the total number of votes cast
for Governor or presidential electors, whichever is
less, at the last election. The petition shall be filed
no later than the 1st Monday in May before the general
election and shall be circulated during the period
beginning 150 days prior to the filing deadline. Upon
certification of sufficiency and declaration of the new
party by the Secretary of State, the new party may
nominate candidates by convention for the first
election after certification. If it maintains party
status by obtaining 3 percent of the total vote cast
for Governor or presidential electors at the first
election after certification, then the new party shall
nominate candidates in a party primary (Sec. Sec. 7-7-
203; 7-7-204).
Independent candidate.--File with Secretary of State,
by time required for filing political practice pledges
and party pledges, a request that name be placed on
general election ballot, together with petitions,
signed by not less than 3 percent of the qualified
electors of the State or 10,000, whichever is less
(Sec. Sec. 7-7-103(b)(2), 7-7-401).
Write-in candidate.--No votes for write-in candidates
in general elections shall be counted or tabulated
unless the candidate or his agent shall notify in
writing the county board of election commissioners and
the Secretary of State of his intention to be a write-
in candidate not later than sixty (60) days before
election day (Sept. 8, 2000) (Sec. 7-5-205).
Filing Fees and Assessments.
Amount.--As established by the state executive
committee for the political party (Sec. 7-7-301).
Date of payment.--By party candidates, no earlier
than noon of the 3rd Tuesday in March and no later than
noon on the fourteenth day thereafter before the
primary election (Sec. Sec. 7-7-203(c), 7-7-301(a)).
To whom paid.--The secretary of the state committee
of the political party or his designated agent (Sec. 7-
7-301(a)(1)).
Crossfiling by Candidates.
Prohibited.--Candidates for nomination may not be a
nominee of any other political party for the same
office. (Sec. 7-7-204, as enacted by Acts 1997, No.
343, Sec. 1). Person defeated at the primary shall not
be permitted to file as an independent candidate for
the same office at the general election (Sec. 7-7-
103(e); 7-7-204(b)).
Subversive Parties Barred from Ballot.
Communist Party (Sec. 7-3-108).
Advocating a program of sabotage, force and violence,
sedition, or treason against the Government (Sec. 7-3-
108).
Write-in Provision.
Permitted in general election if candidate or his
agent notifies the county board of election
commissioners and the Secretary of State in writing not
later than 60 days prior to election, of his intention
to be a write-in candidate (Sec. Sec. 7-5-205, 7-5-
208(f)(3)); on voting machines (Sec. 7-5-525); where
electronic voting systems are used (Sec. 7-5-610).
Vacancy in Office.
A vacancy in the United States Senate from Arkansas
shall be filled by the governor by temporary
appointment until the people fill the vacancy at the
next ensuing general election for state and county
officers to be held more than 60 days and less than 12
months after such vacancy shall occur; provided that if
no general election for state and county officers shall
occur within 12 months after such vacancy, the governor
shall call a special election to be held not less than
60 days and not more than 120 days after the vacancy
shall occur (Sec. 7-8-102).
California
Unless otherwise indicated, references are to the California Elections
Code Annotated (1996), the 1999 Cumulative Docket Part and the 1999
California Legislative Service.
Primary Elections, when held.
The statewide primary will be held on the 1st Tuesday
in March and will be consolidated with the presidential
primary held (Sec. 1201(b)) (March 7, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy.--No candidate's name may be
printed on the ballot to be used at a direct primary
unless nomination documents are filed not later than 5
p.m. on the 88th day before nor earlier than the 113th
day before the direct primary. Include with declaration
nomination papers signed by not less than 65 nor more
than 100 qualified party voters (Sec. Sec. 8041, 8062).
All nomination documents must be filed in the office of
the Secretary of State (Sec. 8100) and also,
apparently, with the county election officials
(Sec. 8020).
Independent candidate (Sec. Sec. 8003, 8300-8550).
Declaration of candidacy.--88 days before election,
candidate must leave a declaration of candidacy in same
office as nomination papers (Sec. 8550).
Nomination papers.--Signatures are required equal in
number to not less than 1 percent of the entire number
of registered voters at the preceding general election
(Sec. 8400). Leave with county elections official for
examination not earlier than 148 nor later than 5 p.m.
88 days before general election; county official must
forward to the Secretary of State within 24 days
(Sec. 8403).
Filing Fees and Assessments.
Amount.--Two percent of first year's salary
(Sec. 8103(a)(1)).
Date of payment.--When declarations are filed
(Sec. 8105).
To whom paid.--The county elections official; the
county official transmits the fee to the Secretary of
State (Sec. 8105).
Alternatively, file petition signed by 10,000
registered voters with clerk from whom nomination
papers were obtained, at least 15 days prior to the
close of the nomination period (Sec. 8106).
Crossfiling.
Prohibited.--Candidate must have been affiliated with
party whose nomination he seeks for at least 3 months
immediately prior to filing of declaration of
candidacy, as shown by his affidavit of registration,
and must not have registered affiliation with any other
party within 12 months immediately prior to filing
(Sec. 8001). A candidate of a party who was defeated at
the primary is ineligible for nomination as an
independent candidate (Sec. 8003(a) (Sec. 8301)). No
person may file nomination papers for a party
nomination and an independent nomination for the same
office, or for more than one office at the same
election (Sec. 8003(b)).
Subversive Parties Barred from Ballot.
Parties advocating overthrow of Government by force
or advocating a program of sabotage, force and
violence, sedition or treason against the Government
disqualified from participating in primary (Sec. 5102).
Write-in Provisions.
Permitted in all elections (Sec. Sec. 15340, 15341,
15342), on voting machines (Sec. 19304), on punchcard
voting system, (Sec. 13262). The use of pressure-
sensitive stickers not approved or methods other than
handwriting by Secretary of State is invalid
(Sec. 15342(c)). Write-in candidate must comply with
filing requirements according to Sec. Sec. 15341, 8600-
8605.
Vacancy in Office.
If a vacancy occurs in the representation of this
State in the Senate of the United States, the Governor
may appoint and commission an elector of this State,
who possesses the qualifications for the office, to
fill the vacancy until his successor is elected and
qualifies and is admitted to his seat by the United
States Senate. However, whenever a vacancy occurs
within term fixed by law to expire on the third day of
January following the next general election, the person
so appointed shall hold office for the remainder of the
unexpired term unless such vacancy is filled at a
special election held prior to such general election,
in which case the person elected at such special
election shall hold office for the remainder of the
unexpired term. An election to fill a vacancy in the
term of a United States Senator shall be held at the
general election next succeeding the occurrence of the
vacancy or at any special election (Sec. 10720).
The special election shall be proclaimed within 14
calendar days after the occurrence of the vacancy
(Sec. 10700).
When the vacancy occurs in a congressional office
after the close of the nomination period in the final
year of the term of office, the Governor may decline to
issue an election proclamation at his discretion
(Sec. 10701).
Colorado
Unless otherwise designated, references are to 1997 Colorado Revised
Statutes Annotated, and the 1998 and 1999 Session Laws of Colorado.
Primary Elections, when held.
Second Tuesday in August in each even-numbered year
(Sec. Sec. 1-1-104(32), 1-4-101). (August 8, 2000).
Nominating Papers, Petitions, Etc.
Major party candidate for primary
Certificate of designation for candidates selected by
assembly of political party.--All candidates who
receive thirty percent or more of the votes of the
delegates to such assembly, shall be certified by the
presiding officer and secretary of such assembly, for a
place on the direct primary ballot. No more than two
ballots are to be taken by the assembly upon candidates
for each office. If on the second ballot, no candidate
receives 30 percent or more of the votes, the two
candidates receiving the highest number of votes shall
be certified as candidates. Certificate of designation
must certify that the candidate has been a member of
said political party for period of 12 months. If two or
more candidates receive equal number of votes, the
order of certification of designation shall be
determined by lot by such candidates (Sec. 1-4-601. See
1998 Session Laws, Ch. 95, Sec. 7).
A party assembly shall be held no later than 65 days
preceding the primary election (Sec. 1-4-601).
File certificate of designation in the office of the
Secretary of State within 10 days after the adjournment
of the assembly (Sec. 1-4-604).
Acceptance of nomination by candidate designated by
party assemblies must be filed in writing with the
Secretary of State within 10 days after the adjournment
of the assembly (Sec. 1-4-601(3)).
Petition.--A candidate may be placed on the direct
primary ballot by a petition signed by eligible
electors in a number equal to at least one thousand
five hundred in each congressional district for
candidates for U.S. Senator (Sec. Sec. 1-4-603, 1-4-
801(2)(c)) as amended in 1998 Session Laws, Ch. 185,
Sec. 6).
No person who attempted and failed to receive at
least ten percent of the votes for the nomination of a
political party assembly for a particular office shall
be placed in nomination by petition on behalf of the
political party for the same office (Sec. 1-4-801(4)).
Petitions shall not be circulated before the 1st Monday
in April (Sec. 1-4-801(5)). Petitions shall be filed no
later than the 66th day before the primary election
(Sec. 1-4-801(5)).
Minor party candidate
Minor political party may nominate candidates in
accordance with 1-4-302, 1-4-402(1)(a), and 1-4-502(1).
(Sec. 1-4-1304, 1998 Session Laws, Ch. 95, Sec. 1)
Independent candidate
Certificate of nomination.--Signatures of eligible
voters, equal in number to the lesser of 1000 or two
percent of the votes cast for the office of Senator in
the most recent general election, are required. File
with Secretary of State not later than 3 p.m. on the
28th day preceding the primary election (Sec. 1-4-
802(c), (f)).
Filing Fees and Assessments.--No statutory provision.
Crossfiling by Candidates.
Prohibited. Candidate must have been affiliated with
party whose nomination he seeks for at least twelve
months prior to nomination (Sec. Sec. 1-4-101(3), 1-4-
601(4), 1-4-801(3)).
Write-in Provisions.
Permitted in primary and in general election
(Sec. Sec. 1-4-1101, 1-5-407(3)); on voting machines
(Sec. 1-5-405(2)); on electronic voting ballots
(Sec. 1-5-408(2)).
A write-in candidate for any election must file an
affidavit of intent with the Secretary of State by the
close of business on the 30th day before the election,
and no write-in vote shall be counted unless the
candidate for whom the vote was cast has filed such
affidavit of intent (Sec. Sec. 1-4-1101, 1-4-1102).
Vacancy in Office.
(1) Whenever a vacancy happens in the office of
United States Senator from this State, the Governor
shall make a temporary appointment to fill such vacancy
until the same is filled by election.
(2) When a vacancy happens, the Governor shall direct
the Secretary of State to include in the general
election notice for the next general election a notice
of the filling of such vacancy. The Secretary of State
shall give notice accordingly. At such election the
vacancy shall be filled for the unexpired term. If for
any reason, no United States Senator is elected at the
next general election, the person temporarily appointed
by the Governor shall hold the office until a United
States Senator is elected at a succeeding general
election (Sec. 1-12-201).
Connecticut
Unless otherwise designated, references are to Connecticut General
Statutes Annotated (1989), the 1999 Cumulative Annual Pocket Part, and
the 1999 Connecticut Legislative Service.
Primary Elections, when held.
Must be held by parties whose gubernatorial candidate
polled at least 20 percent of total vote for all
candidates for Governor or which had, at the last
preceding gubernatorial election, a number of enrolled
members on the active registry list equal to 20 percent
of the total number of enrolled members of all
political parties on the active registry list in the
state (Sec. Sec. 9-381, 9-372(5)). May be held by minor
parties if party rules so provide (Sec. 9-451).
If, at a state convention, no person other than a
party-endorsed candidate has received at least 15
percent of the votes of the delegates or if within the
time specified, no candidacy for nomination by a
political party to the office has been filed by or on
behalf of a person other than a party-endorsed
candidate, no primary shall be held by the party for
the office and the party-endorsed candidate for the
office shall be deemed to have been lawfully chosen as
the nominee of the party for the office (Sec. 9-416).
Primary Date.--Fifty-sixth day preceding day of
election (Sec. 9-423) (September 12, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary, if held
Party-endorsed candidate.--State convention shall
choose candidate according to party rules (Sec. 9-382).
Such convention shall be convened not earlier than the
68th day and closed not later than the 50th day
preceding the primary election (respectively). Filing
deadline is the fourteenth day after the State
convention (Sec. 9-400).
Certificate of endorsement
Whenever a convention of a political party is held
for the endorsement of candidates for nomination to
state or district office, each candidate endorsed at
such convention shall file with the secretary of the
state a certificate, signed by him, stating that he was
endorsed by such convention, his name and full
residence address, and the title and district, if
applicable, of the office for which he was endorsed.
Such certificate shall be attested by either (1) the
chairman or presiding officer or (2) the secretary of
such convention and shall be received by the secretary
of the state not later than 4 p.m. on the 14th day
after the close of such convention (Sec. Sec. 9-388, 9-
400).
Candidates of minor parties
Parties whose candidate for this office at the last
general election for such office received at least 1
percent of total vote for all candidates for such
office may nominate candidate in accordance with their
party rules which were filed with the Secretary of
State at least 60 days in advance of such nomination.
Presiding officer of nominating body shall certify
candidate to Secretary of State not less than 55 days
before election (Sec. Sec. 9-372(6); 9-374; 9-451; 9-
452).
Nominating petition--Signatures of qualified voters
are required, equal in number to the lesser of 1
percent of all votes cast for the same office at last
general election for such office or 7,500. File with
the town clerk of the town in which the signers reside
or with the secretary of state not later than 4 p.m. of
the 34th day prior to the primary election
(Sec. Sec. 9-453a--9-453t). No party designation may be
specified in the petition unless such designation has
been reserved in accordance with Sec. 9-453u or unless
the designation is the same name as a minor party
entitled to nominate candidates for a different office
or offices on the same ballot.
Filing Fees and Assessments
No statutory provisions were found.
Crossfiling by Candidates
Candidates who are nominated by a major or minor
party are prohibited from appearing on the ballot by a
nominating petition (Sec. 9-453t). And being a
candidate in any other political party or organization
is prima facie evidence of party disaffiliation
(Sec. 9-61 as amended by Public Act 97-154, Sec. 10).
Communist Party Barred From Ballot. (Op. Atty. Gen. (June 17,
1964), 25 Conn. L.J. No. 32, p. 17).
Write-in Provisions.
Apparently permitted in any election upon
registration of candidacy with the Secretary of State
not earlier than 90 days before the election and not
later than 4 p.m. on the 14th day before the election
(Sec. 9-373a); on voting machines (Sec. 9-265).
Vacancy in Office.
In case of a vacancy in the office of Senator in
Congress, the Governor is empowered to fill such
vacancy by appointment. If such vacancy occurs 60 or
more days prior to a state election, the appointee
shall serve until the third day of January following
such election, and at such election there shall be
elected a Senator in Congress to serve for the
remaining portion, if any, of the term vacated. If such
vacancy occurs within less than 60 days of a state
election and the term vacated does not expire on the
third day of January following such election, the
appointee shall serve until the third day of January
following the next such election but one, and at such
next election but one there shall be elected a Senator
in Congress to serve for the remaining portion, if any,
of the term vacated. If such vacancy occurs within less
than 60 days of a state election and the term vacated
expires on the third day of January following, the
appointee shall serve until such third day of January
(Sec. 9-211).
Delaware
Unless otherwise indicated, references are to Title 15 of the Delaware
Code Annotated 1999 Replacement Volume and the 1999 Interim Supplement.
Primary Elections, when held.
First Saturday next following the first Monday in
September (Sec. 3101(3)) (September 9, 2000).
Nominating Papers, Petitions, Etc.
Party candidates.--Notify Chairman of State political
party committee on or before 12 p.m. of the last Friday
in July (Sec. Sec. 3106(a)(1), 3101(1)) (July 28,
2000).
Independent candidates.--Filing deadline for ballot
access is September 1 of the election year (Sec. 3002).
Must file a sworn declaration of candidacy with the
State Election Commissioner. Must also file nominating
petitions signed by not less than 1 percent of the
total number of voters registered as of December 31 of
the year immediately preceding the general election
year in the State (Sec. 3002(b)).
Filing Fees and Assessments.
Filing fees required on giving notice of candidacy
(Sec. 3106(a)(1)(b)). The filing fee is to be set by
the State Executive Committee of the respective
political party (Sec. 3103(a)(1)); but in no event is
to exceed 1 percent of the total salary for the entire
term of office for which the candidate is filing
(Sec. 3103(b)).
Crossfiling by Candidates. Unaffiliated candidates must state
in their declarations of candidacy that they have not
been affiliated with any political party 3 months prior
to the filing of such declarations (Sec. 3002(b)).
Write-in Provisions.
Permitted in general election (Sec. Sec. 4502, 4506,
4976); on voting machines (Sec. 5001(a)(3)); for
electronic voting systems (Sec. 5001A(a)(3). Apparently
permitted in the primaries (Sec. Sec. 3126, 4502, 4976,
5000A, 5001A(a)(3)).
Vacancy in Office.
When a vacancy occurs in the office of the United
States Senate, it shall be filled for the unexpired
term at the next general election. The Governor may
make a temporary appointment from among the qualified
electors of the State until the vacancy is filled by
the next general election (Sec. 7321).
Florida
Unless otherwise indicated, references are to the Florida Statutes
Annotated 1982 and to the 1999 Cumulative Annual Pocket Part.
Primary Elections, when held.
First primary.--First primary shall be held on the
Tuesday 9 weeks prior to the general election
(Sec. 100.061).
Second primary.--To be held for nomination of
candidates for offices for which a candidate did not
receive a majority in the first primary. A second
primary shall be held 5 weeks prior to the general
election (Sec. 100.091, Supp).
Nominating Papers, Petitions, Etc.
Qualification papers, which include candidate's oath,
(Sec. 99.021), to be filed any time after noon of 120th
day but before noon of 116th day before the first
primary; file with Department of State (Sec. 99.061(1),
Supp.).
Independent candidate.--Independent candidate's name
may appear on general election ballot provided he is
otherwise qualified and submits petitions to the
supervisor of elections in each county in which
petitions were circulated no later than noon of the
116th day prior to the first primary preceding the
general election, containing signatures of 3 percent of
the registered electors of Florida. Supervisors certify
to the Department of State within 30 days of the last
day for qualifying that the signers of the petitions
are registered electors of the county. On notice of
sufficient signatures from the Department of State, the
candidate shall qualify with the Department of State
and take the required oath. (Sec. 99.0955, Supp.).
Minor party candidates.--Minor political party is any
group which on January 1 preceding a primary election
does not have registered as members 5 percent of the
total registered electors of the State
(Sec. 97.021(13), Supp.). Any group of citizens
organized for the general purposes of electing to
office qualified persons and determining public issues
under the democratic processes of the United States may
become a minority political party of the State by
filing with the Department of State a certification
showing the name of the organization, the names of its
current officers, including the members of its
executive committee, and a copy of its constitution or
bylaws. It shall be the duty of the party to notify the
Department of State of any changes in the filing
certificate within 5 days of such changes (ibid.). A
minor party may have names of its candidates for
offices which are elected on a statewide basis printed
on a general election ballot if a petition requesting
that the party be assigned a position on the general
election ballot is signed by 3 percent of the
registered electors of the State. (Sec. 99.096.)
Filing Fees and Assessments.
Amount--filing fee. Three percent of annual salary
(Sec. 99.092(1), Supp.).
Election assessment.--One percent of annual salary
(ibid.).
Party assessment.--Two percent of annual salary
(ibid.).
Date of payment.--Filing fee and party assessment
shall be paid when qualification papers are filed
(99.061(1), Supp.).
To whom paid.--Department of State (ibid.).
Note: Qualification fee paid by an independent
candidate or a minor party candidate shall be refunded
to such candidate within 10 days from the date the
determination is made that such candidate or party
failed to obtain the required number of signatures
(Sec. 99.061(1)).
Alternative petition.--A person may qualify to have
his name on the ballot by a petitioning process and is
not required to pay the qualifying or party assessment.
(Sec. 99.095).
Crossfiling by Candidate.
Prohibited. Candidate is required to take an oath and
state party membership and assert that he has not been
a candidate for nomination for any other party for a
period of 6 months preceding the general election for
which he qualified (Sec. 99.021). Candidate must also
state that he has not qualified for any other public
office in the State, the term of which office or any
part thereof runs concurrently to the office he seeks
(ibid.).
Subversive Parties Barred from Ballot.
Communist Party.--Sec. Sec. 876.01, 876.02, 876.30,
Florida Statutes Annotated.
Advocating overthrow of Government by force.--
Sec. Sec. 876.01, 876.30, Florida Statutes Annotated.
Write-in Provisions.
(Sec. 101.445 providing for write-in ballots).
Ballot for primary (Sec. 101.181) does not appear to
provide space for write-in votes. But in general
election, the ballot form provides space for write in
votes (Sec. 101.191).
Vacancy in Office.
If a vacancy happens in the representation of the
State in the United States Senate, the Governor shall
issue a writ of election to fill such vacancy at the
next general election; and the Governor may make a
temporary appointment until the vacancy is filled by
election (Sec. 100.161).
Georgia
Unless otherwise designated, references are to the Georgia Code
Annotated (1998) edition and to the 1999 Cumulative Supplement.
Primary Elections, when held.
Primary elections are held on the third Tuesday in
July in each even-numbered year (Sec. 21-2-150). (July
21, 1998).
Candidates may qualify for an election by (1)
nomination in party primary; (2) filing nomination
petition as an independent or as nominee of political
convention; (3) nomination of presidential electors;
(4) substitute nomination of a political party; (5)
participation in special election; or (6) being an
incumbent (Sec. 21-2-130).
Nominating Papers, Petitions, Etc.
Political party nominees
The names of nominees of political parties nominated
in a primary shall be placed on the ballots without
their filing the notice of candidacy otherwise required
(Sec. 21-2-132).
Political bodies shall hold their conventions in
accordance with Code Section 21-2-172 and candidates
nominated for state-wide public office in convention
shall file a notice of candidacy no earlier than 9 a.m.
on the fourth Monday in June and no later than 12 noon
on the Friday following the fourth Monday in June as
prescribed in Code Section 21-2-132; provided, however,
that the political body must file its qualifying
petition no later than 12 noon on the second Tuesday in
July following the convention as prescribed in Code
Section 21-2-172 in order to qualify its candidates to
be listed on the general election ballot (Sec. 21-2-
187).
A candidate for any party nomination in a primary may
qualify by either of the two following methods:
(1) Payment of a qualifying fee pursuant to
Code Section 21-2-131; [3% of annual salary] or
(2) The submission of a pauper's affidavit by
any candidate who has filed a qualifying
petition by which the candidate under oath
affirms his poverty and his resulting inability
to pay the qualifying fee otherwise required
(21-2-153).
No candidate shall be authorized to file a pauper's
affidavit in lieu of paying the qualifying fee
otherwise required unless such a candidate has filed a
qualifying petition which complies with the following
requirements:
A qualifying petition of a candidate seeking
an office which is voted upon state wide shall
be signed by a number of voters equal to one-
fourth of 1 percent of the total number of
registered voters eligible to vote in the last
election for the filling of the office the
candidate is seeking and the signers of such
petition shall be registered and eligible to
vote in the election at which such candidate
seeks to be elected (Sec. 21-2-153).
Unless otherwise provided by law, all candidates for
party nomination in a primary shall qualify as such
candidates in accordance with the procedural rules of
their party; provided, however, that no person shall be
prohibited from qualifying for such office if he:
(1) Meets the requirements of such procedural
rules;
(2) Is eligible to hold the office which he
seeks;
(3) Is not prohibited from being nominated or
elected by provisions of Code Section 21-2-7 or
21-2-8; and
(4) If party rules so require, affirms his
allegiance to his party by signing the
following oath: ``I do hereby swear or affirm
my allegiance to the (name of party) Party.''
(21-2-153(b)).
In the case of general primary, the candidates shall
commence qualifying at 9 a.m. on the fourth Monday in
April and shall cease qualifying at 12 noon on the
Friday following the fourth Monday in April (Sec. 21-2-
153(c)).
Each candidate for party nomination shall file an
affidavit with the political party at the time of his
qualifying. (For details concerning such affidavit, see
Sec. 21-2-153(e).)
Independent candidates
All other candidates shall file their notice of
candidacy and pay the prescribed qualifying fee by the
date prescribed in this Code section in order to be
eligible to have their names placed on the election
ballot by the Secretary of State or election
superintendent, as the case may be, in the following
manner:
Each candidate for federal or state office, or his
agent, desiring to have his name placed on the election
ballot shall file a notice of his candidacy, giving his
name, residence address, and the office he is seeking,
in the office of the Secretary of State no earlier than
9 a.m. on the fourth Monday in June and no later than
12 noon on the Friday following the fourth Monday in
June in the case of a general election (Sec. 21-2-
132(c)).
Each candidate required to file a notice of candidacy
by this Code section shall, no earlier than 9 a.m. on
the fourth Monday in June and no later than 12 noon on
the second Tuesday in July immediately prior to the
election, file with the same official with whom he
filed his notice of candidacy a nomination petition in
the form prescribed in Code Section 21-2-170
(exceptions to this requirement are stipulated)
(Sec. 21-2-132(d)). Each candidate required by this
Code section to file a notice of candidacy shall
accompany his notice of candidacy with an affidavit.
(For details concerning such affidavit, see Sec. 21-2-
132(e).)
A nomination petition of a candidate seeking an
office which is voted upon state wide shall be signed
by a number of voters equal to 1 percent of the total
number of registered voters eligible to vote in the
last election for the filling of the office the
candidate is seeking and the signers of such petition
shall be registered and eligible to vote in the
election at which such candidate seeks to be elected
(Sec. 21-2-170(b)). No nomination petition shall be
circulated prior to 180 days before the last day on
which such petition may be filed, and no signature
shall be counted unless it was signed within 180 days
of the last day for filing the same (Sec. 21-2-170(e)).
Filing Fees and Assessments.
Each candidate qualifying for a primary with a state
political party and each non-primary candidate filing
notice of candidacy with Secretary of State, to pay
filing fee of three percent of annual salary (Sec. 21-
2-131). Party primary candidates to pay fee to state
political party at time of qualification; all other
candidates to pay fee to Secretary of State at time of
filing notice of candidacy (Sec. 21-2-131(b)).
Alternatively, party primary candidate may file
pauper's affidavit, under oath, certifying inability to
pay fee (Sec. 21-2-153).
Crossfiling by Candidates.
Candidates shall qualify according to party rules and
pledge allegiance to party (Sec. 21-2-153(b)).
Subversive Parties Barred from Ballot.
No person who has been adjudged a ``subversive
person,'' as defined in Part 2 of Article 1 of Chapter
11 of Title 16, the ``Sedition and Subversive
Activities Act of 1953,'' shall be nominated or elected
(Sec. 21-2-7).
Write-in Provisions.
Permitted in general election (Sec. 21-2-358); on
voting machine (Sec. 21-2-322(7)).
No person elected on a write-in vote shall be
eligible to hold office unless notice of intention of
candidacy was given no earlier than January 1 and no
later than the Tuesday after the first Monday in
September prior to a general election, or at least 20
days prior to a special election, to the Secretary of
State and by publication in a paper of general
circulation in the State (Sec. 21-2-133, Supp.).
Vacancy in Office.
In the event of a vacancy, it shall be filled by
special election at the next November election,
occurring at least 40 days after the occurrence of such
vacancy, and until such election, the Governor may make
a temporary appointment to fill such vacancy (Sec. 21-
2-542).
Hawaii
Unless otherwise indicated, references are to the Hawaii Revised
Statutes Annotated 1998.
Primary Elections, when held.
Second to last Saturday of September in every even
numbered year, provided that in no case shall any
primary election precede a general election by less
than 45 days (Sec. 12-2).
Nominating Papers, Petitions, Etc.
No person shall be a candidate for any general
election unless he has been nominated in the preceding
primary (Sec. 12-2).
Party candidate for primary.--Nominating paper signed
by not less than 25 registered voters (Sec. Sec. 12-3
and 12-5) who are eligible to vote for the candidate at
the next election (Sec. 12-4), to be filed with the
chief election officer (i.e., the lieutenant governor,
see Sec. Sec. 11-1, 11-2) not later than 4:30 p.m. on
the 60th day before the primary (Sec. 12-6).
Non-partisan candidate.--Same as party candidate
(Sec. 12-3).
Loyalty oath.--File with nomination papers (Sec. 12-
7).
New Party.--Must file petition with signatures of not
less than one percent of total registered voters of the
state by 4:30 p.m. on the 170th day before the next
primary (Sec. 11-62).
Filing Fees and Assessments (Sec. 12-6).
Amount.--$75.
Date of payment.--When filing nomination papers.
To whom paid.--Chief Election officer (i.e.,
lieutenant governor, see Sec. Sec. 11-1, 11-2).
Alternatively, file statement of indigency and
petition signed by at least one-half of one percent of
the total voters registered statewide at the time of
filing.
Crossfiling by Candidates (Sec. 12-3).
Prohibited. Candidate must certify that he is a
member of the party. Also, nomination papers may not be
filed in behalf of any person for more than one party
or for more than one office nor shall any person file
nomination papers both as a party candidate and as a
nonpartisan candidate.
Subversive parties Barred from Ballot.
Candidate must swear allegiance to laws of Nation and
State (Sec. 12-7). No person shall hold any public
office or employment who has been convicted of any act
to overthrow, or attempt to overthrow, or conspiracy
with any person to overthrow the government of Hawaii
or of the United States by force or violence (Const. of
Hawaii, Art. XVI, Sec. 3).
Write-in Provisions.
No provisions were found.
Vacancy in Office.
When a vacancy occurs in the office of a United
States Senator, the vacancy shall be filled for the
unexpired term at the following state general election,
provided that the vacancy occurs not later than 4:30
p.m. on the 60th day prior to the date of the primary
for nominating candidates to be voted for at the
election; otherwise at the state general election next
following. The chief election officer shall issue a
proclamation designating the election for filling the
vacancy. Pending the election, the governor shall make
a temporary appointment to fill the vacancy and the
person so appointed shall serve until the election and
qualification of the person duly elected to fill the
vacancy and shall be a registered member of the same
political party as the Senator causing the vacancy. All
candidates for the unexpired term shall be nominated
and elected in accordance with this title (Sec. 17-1).
Idaho
Unless otherwise designated, references are to the Idaho Code Annotated
1995 Replacement, and to the 1999 Cumulative Pocket Supplement.
Primary Elections, when held.
Fourth Tuesday in May. (Sec. 34-601).
Political Party.
Created in one of three ways: either (1) having three
or more candidates for state or national office listed
under party name at last general election; (2) having
one of its state or national candidates poll at least 3
percent of the aggregate vote cast for governor; or (3)
by a petition of qualified electors equal to 2 percent
of the aggregate vote cast for presidential elections
at the last presidential election, filed with Secretary
of State on or before August 30 of even numbered years
(Sec. 34-501).
All candidates for U.S. Senator to be nominated at
primary or as otherwise provided by law (Sec. 34-703).
Nominating Papers, Petitions, Etc.
Party candidates.--File declaration of candidacy
between 8 a.m. on the tenth Monday and 5 p.m. on the
eighth Friday before primary (Sec. 34-704) with
Secretary of State (Sec. Sec. 34-604, 34-705).
Independent candidates.--Prohibited in primary
(Sec. 34-708(1)). In general election, between 8 a.m.
on the tenth Monday preceding the primary and 5 p.m. on
the eighth Friday preceding the primary, file
declaration of candidacy with Secretary of State
(Sec. 34-705), along with petition containing 1,000
signatures of qualified electors (Sec. 34-708(2)).
Filing Fees and Assessments.
$500. (Sec. 34-604), payable when filing declaration
of candidacy.
Crossfiling by Candidates.
Prohibited. All candidates must declare party
affiliation in declaration of candidacy; and candidates
who file a declaration of candidacy under a party name
and are not nominated at the primary election may not
be allowed to appear on the general election ballot
under any other political party name, or as an
independent candidate (Sec. 34-704).
Write-in Provisions.
Permitted in primary (Sec. 34-904); and general
elections (Sec. 34-906); on voting machines (Sec. 34-
2410(1)(c)). To get on the general election ballot,
write-in candidate must receive 1,000 write-in votes in
the primary (Sec. 34-702). Write-in candidates must
file a declaration of candidacy with the secretary of
state and pay the filing fee required by the office
within 10 days following the primary election (Sec. 34-
702).
Vacancy in Office.
Whenever any vacancy shall occur in the office of
United States Senator from the State of Idaho by death,
resignation or otherwise, the governor shall have the
power and is hereby authorized and empowered to fill
such vacancy by appointment, and the person so
appointed shall hold office until such time as a United
States Senator is regularly elected to fill such
vacancy at the next succeeding general election, and
qualifies by virtue of such election; provided,
however, that in case a vacancy occurs in the position
of United States Senator from the state of Idaho within
30 days of any general election, no election for United
States Senator to fill said vacancy shall be held at
such general election (Sec. 59-910).
Illinois
Unless otherwise indicated, references are to Chapter 10 of the
Illinois Compiled Statutes annotated, 1993 and to the 1999 Cumulative
Annual Pocket Part.
Primary Elections, when held.
Third Tuesday in March. (Sec. 5/2A-1.1(a)).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Petition for nomination, including statement of
candidacy (Sec. 5/7-10 Supp.). Petitions for nomination
must be signed by not less than 5,000 nor more than
10,000 primary electors of party (Sec. 5/7-10, Supp.);
file with State Board of Elections not more than 99
days and not less than 92 days before primary (Sec. 5/
7-12(1)).
Nomination papers filed under section 5/7-12 are not
valid if the candidate fails to file a statement of
economic interests as required by the Illinois
Governmental Ethics Code in relation to his candidacy
with the appropriate officer by the end of the period
of the filing of nomination papers, unless he has filed
a statement of economic interests in relation to the
same governmental unit with that officer within a year
preceding the date on which the nomination papers were
filed (Sec. 5/7-12(8)).
Minor and new party candidates and independent
candidates
Petition for nomination (minor and new parties) and
nomination papers (independents). Include signatures of
not less than one percent of voters who voted at the
last statewide election or 25,000 qualified voters,
whichever is less (Sec. Sec. 5/10-2, 5/10-3). Present
to State Election Board at least 92 days but not more
than 99 days before the day of election for which
candidates are nominated (Sec. 5/10-6).
Filing Fees and Assessments.
No statutory provisions were found.
Crossfiling by Candidates (Sec. 5/10-7).
Prohibited. If candidate's name appears on petition
of more than one party or group, candidate must choose
one. If nominated for two or more incompatible offices,
candidate must choose one (Sec. 5/8-9).
Subversive Parties Barred from Ballot.
Communist Party.--Sec. Sec. 5/7-2, 5/10-2.
Party advocating overthrow of Government by force or
violence.--Sec. Sec. 5/7-2, 5/10-2.
Write-in Provisions.
Permitted in primary (Sec. 5/7-46), in general
election (Sec. 5/17-11), on voting machines (Sec. 5/24-
1), on punch card voting system (Sec. 5/24A-7), and on
electronic voting systems (Sec. 5/24A-7).
Vacancy in Office.
When a vacancy shall occur in the office of United
States Senator from Illinois, the Governor shall make
temporary appointment to fill such vacancy until the
next election of representatives in Congress, at which
time such vacancy shall be filled by election, and the
senator so elected shall take office as soon thereafter
as he shall receive his certificate of election
(Sec. 5/25-8).
Indiana
Unless otherwise indicated, references are to the Indiana Statutes
Annotated (Burns, 1998 Replacement) and to the 1999 Cumulative
Supplement.
Primary Elections, when held.
First Tuesday after first Monday in May in general
election years (Sec. 3-10-1-3). (May 5, 1998).
Nominating papers, petitions, etc., for candidate for United
States Senate.
Party primary candidate
Declaration of candidacy.--File declaration of
candidacy with secretary of state, by noon on the 74th
day preceding the primary (earliest filing date: 104
days before primary) (Sec. Sec. 3-8-2-4, 3-8-2-5).
Nominating Petitions.--File petitions, signed by at
least 5,000 registered voters of the State (at least
500 from each congressional district), with declaration
of candidacy (Sec. 3-8-2-8).
Independent candidate, and candidate of new and minor
party
Petition of nomination.--Signatures required, from
registered voters, equal in number to two percent, of
total vote cast for secretary of state at last
preceding general election (Sec. 3-8-6-3). File with
Secretary of State by 12 noon July 15 (Sec. Sec. 3-8-6-
10, 3-8-6-12).
Filing Fees and Assessments.
No provisions were found.
Crossfiling by Candidates.
Prohibited. Candidate must be registered voter and
member of party in primary election. Any person who
executes and files a declaration of candidacy for that
office in the same primary election in a different
political party until the original declaration is
withdrawn (Sec. 3-8-2-16).
Write-in Provisions.
Permitted in general elections (Sec. Sec. 3-8-2-2.5,
3-8-2-4, 3-8-2-5); on voting machines (Sec. 3-11-5-10).
Vacancy in Office.
(a) A vacancy that occurs, other than by resignation,
in the United States Senate shall be certified to the
governor by the secretary of state.
(b) The governor shall immediately fill a vacancy in
the United States Senate by appointing a person
possessing the qualifications required under Article 1,
Section 3, Clause 3 of the Constitution of the United
States. The person appointed holds office until the
next general election, when the vacancy shall be filled
by the election of a Senator in a special election to
hold office for the unexpired term.
(c) If a vacancy in the United States Senate occurs
after the last day on which notice of the special
election can be published under IC 3-10-8-4, the person
appointed under subsection (b) holds office until the
vacancy is filled in a special election held at the
time of the next general election for which notice can
be published under IC 3-10-8-4 (Sec. 3-13-3-1).
Iowa
Unless otherwise indicated references are to the Iowa Code Annotated
(1998).
Primary Elections, when held.
First Tuesday after the first Monday in June in even-
numbered years (Sec. 43.7).
United States Senators shall be nominated and elected
in the year preceding the expiration of term of office
of incumbent (Sec. 43.6).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Nomination papers.--Signatures are required of at
least one percent of the party voters in each of at
least ten counties of the State and in the aggregate
not less than one-half of 1 percent of total party vote
in State as shown in last general election
(Sec. 43.20). File with State Commissioner of Elections
not more than 99 nor less than 81 days before primary
(filing deadline: 5 p.m.) (Sec. 43.11(2)).
Affidavit by candidate of eligibility to party
candidacy.--File with nomination papers
(Sec. Sec. 43.18, 43.19).
Candidacy of nonparty political organizations.--Party
which did not cast at least 2 percent of total vote
cast for President or Governor at last general election
(Sec. 43.2) may nominate one candidate by convention or
caucus (Sec. 44.1).
Nomination certificate signed by the chairman and
secretary of convention or caucus shall be filed with
State Commissioner of Elections not more than 99 or
less than 81 days (filing deadline: 5 p.m.) before
general election (Sec. Sec. 44.2, 44.3, 44.4) together
with names of at least 250 qualified electors who
attended convention caucus, with at least one elector
from each of 25 counties (Sec. 44.1).
Independent candidates
Nomination petition.--Signatures are required of not
less than 1,500 eligible voters residing in not less
than ten counties of the State (Sec. 45.1). File with
State Commissioner of Elections not more than 99 nor
less than 81 days (deadline: 5 p.m.) before general
election (Sec. Sec. 44.4, 45.4).
Mininum Requirement for Nomination.
Party candidate.--The candidate receiving the highest
number of votes at the primary shall be the party
nominee provided he received not less than 35 percent
of all votes cast by his party for United States
Senator (Sec. 43.65).
If no candidate receives the required percentage, the
nomination shall be made by State convention
(Sec. Sec. 43.65, 43.78(1)(a)).
Filing Fees and Assessments.
No statutory provisions were found.
Crossfiling by Candidates.
Prohibited. Candidate must be affiliated with party
(Sec. 43.18, generally; Sec. 43.67 write-in
candidates). If nominated by more than one party,
candidate must select one (Sec. 49.39). Voter in
primary may write in the name of a person who is a
candidate on some other party ticket, but this is not
counted on the other party ticket (Sec. 43.39). Name of
any candidate shall not appear more than once on ballot
for the same office (Sec. 49.38). No one may be a
candidate for more than one office filled at a primary
(Sec. 43.20) or filled at the same election
(Sec. 49.41).
The name of a candidate nominated by any other method
than by petition shall not be added to the general
election ballot by petition (Sec. 45.2).
Write-in Provisions.
Permitted in primary (Sec. Sec. 43.26, 43.66) and in
general election (Sec. 49.99); on voting machines
(Sec. 52.16).
Vacancy in Office.
In the office of United States Senator, when the
vacancy occurs when the Senate of the United States is
in session or when such Senate will convene prior to
the next general election, it shall be filled by the
Governor. Such appointment shall be for the period
until the vacancy is filled by election pursuant to law
(Sec. 69.8, Supp.).
If a vacancy occurs in the office of Senator in the
Congress of the United States 89 or more days prior to
a general election, and the unexpired term in which the
vacancy exists has more than 70 days to run after the
date of that general election, the vacancy shall be
filled for the balance of the unexpired term at that
general election and the person elected to fill the
vacancy shall assume office as soon as a certificate of
election has been issued and the person qualified
(Sec. 69.13).
Kansas
Unless otherwise designated, references are to Kansas Statutes
Annotated, 1993, and to the 1998 Cumulative Supplement.
Primary Elections, when held.
First Tuesday in August of even-numbered years
(Sec. 25-203), for nomination of candidates for United
States Senator whose term will expire during next
succeeding calendar year (Sec. 25-101). (August 4,
1998).
Nominating Petitions (See generally Sufficiency of Petitions,
Sec. Sec. 25-3601 to 3607).
Party candidate for primary
Nomination papers.--Signatures are required, equal in
number to not less than one percent of the total voter
registration of the party designated in the state
(Sec. 25-205). File with Secretary of State (Sec. 25-
208) not later than 12 o'clock noon on June 10, prior
to primary (Sec. 25-205).
Declaration of intention to become a candidate.--May
be filed by candidate in lieu of nomination petitions,
with Secretary of State, not later than 12 o'clock noon
on June 10, prior to primary (Sec. 25-205).
New or minor parties
Candidate of new party having a State or national
organization or minor party which appeared on general
election ballot at last preceding general election but
whose candidate did not poll at least 5 percent of
total State vote (Sec. 25-202).
Such parties may nominate candidates by convention or
caucus to be called by State chairman only after filing
with the Secretary of State not later than 12 o'clock
noon, June 1, prior to the primary election held on the
first Tuesday of August in even-numbered years,
petitions signed by qualified electors equal in number
to at least 2 percent of the total vote cast for all
candidates for Governor in the State in the last
preceding general election (Sec. Sec. 25-302, 25-302a).
Party certificate of nomination, signed by presiding
officer and secretary of convention or caucus, should
be filed with Secretary of State not later than 12
o'clock noon June 10 (Sec. Sec. 25-202, 25-302, 25-
305).
Independent candidate
Independent certificate of nominations.--Signatures
of not less than 5,000 qualified voters of the State
are required (Sec. 25-303). File with Secretary of
State not later than 12 o'clock noon on the Monday
preceding the first Tuesday of August (Sec. 25-305).
Filing Fees and Assessments (Sec. 25-206).
Fee is required only when party candidate for
primary, in lieu of nomination petitions, files
declaration of intention to become a candidate.
Amount.--One percent of one year's salary.
Date of payment.--At time of filing declaration of
intention to become candidate.
To whom paid.--Secretary of State.
Crossfiling by Candidates.
Prohibited. Candidate must be affiliated with party
whose nomination he seeks (Sec. Sec. 25-205; 25-206).
Candidate's name may appear only one place on ballot
(Sec. Sec. 25-213, 25-613).
No person shall accept more than one nomination for
the same office (Sec. 25-306). No candidate shall file
for office as a partisan candidate in a primary
election and also file thereafter as an independent
candidate (Sec. 25-202(c)).
Subversive Parties Barred from Ballot.
Communist Party.--Sec. Sec. 25-116, 25-117.
Write-in Provisions.
Permitted in primary only if there are no nomination
petitions or declarations on file for any particular
office. In such case the title of the office shall be
printed on the ballot and names may be written in. In
order to receive a write-in nomination in such a case,
a person must receive at least votes equal in number to
10 percent of the electors who voted for the Office of
Secretary of State in the last preceding general
election (Sec. 25-213). Permitted in general election
(Sec. 25-616); on voting machines (Sec. 25-1330); and
on electronic voting systems (Sec. 25-4409).
Vacancy in Office.
When a vacancy shall occur in the office of United
States Senator from this state, the governor shall make
a temporary appointment to fill such vacancy until the
next election of representatives in Congress, at which
time such vacancy shall be filled by election, and the
senator so elected shall take office as soon thereafter
as he shall receive his certificate of election (Sec.
25-318).
Kentucky
Unless otherwise designated, references are to Kentucky's Revised
Statutes Annotated (1993) and to the 1998 Cumulative Supplement.
Primary Elections, when held.
First Tuesday after the fourth Monday in May
(Sec. 118.025) (May 23, 2000).
Party candidate for primary (of party whose candidate
received at least twenty percent of total vote at last
presidential election) (Sec. Sec. 118-105, 118.015(1)).
Notification and declaration of candidate signed by
the candidate and at least two registered voters who
are members of his party. File with Secretary of State
no later than 4 p.m. on the last Tuesday in January,
before primary (Sec. Sec. 118-125, 118.165). (January
25, 2000).
Candidate of minor political party
Certificate of nomination.--Party which cast at least
2 percent of total vote of last presidential election
may nominate by convention or primary election held by
party in accordance with its constitution and bylaws.
The certificate of nomination by such a convention or
primary election, signed by presiding officer and
secretary of convention or by the proper committee
chairman and secretary, shall be filed with Secretary
of State not later than 4 p.m. on the second Tuesday in
August before general election (Sec. Sec. 118.325,
118.356, 118.365). (August 8, 2000). Minor political
parties that have failed to nominate candidates by
convention may nominate by petition under same
requirements as in the case of an independent candidate
(Sec. 118.325(6)).
Statement of candidate.--A candidate for nomination
by convention shall file a statement with the Secretary
of State. (Sec. 118.325(3)).
Independent candidate
Nomination petition.--Signatures are required of
5,000 legally qualified voters of the State
(Sec. 118.315). File with Secretary of State
(Sec. 118.356) not later than the second Tuesday in
August before general election (Sec. 118.365). (August
8, 2000).
Filing Fees and Assessments. (Sec. 118.255).
Amount.--$500.
Date of payment.--At the time of filing nomination
papers by candidate.
To whom paid.--Secretary of State.
Crossfiling by Candidates.
Candidate who is defeated in primary cannot have his
name printed on general ballot as candidate for same
office as an independent or otherwise (Sec. 118.345).
Candidate nominated by primary or party convention
and also by petition can only have his name printed on
ballot once and he may choose whether to be party
candidate or independent (Sec. 118.335.).
Write-in Provisions.
Permitted in regular and special elections
(Sec. 117.265), on voting machines
(Sec. Sec. 117.125(15), 117.145(3)), and on electronic
voting systems (Sec. 117.381(4)). Write-in votes are
counted only for candidates who have filed a
declaration of intent with the Secretary of State not
less than 10 days before the date of any regular or
special election.
Vacancy in Office.
The Governor shall fill vacancies in the office of
United States Senator by appointment until the next
regular election at which members of the lower branch
of Congress are elected, and shall, under the Seal of
the Commonwealth, certify the appointment to the
President of the Senate of the United States. The
certificate of appointment shall be countersigned by
the Secretary of State (Sec. 63.200).
Louisiana
Unless otherwise designated, references are to the Louisiana Statutes
Annotated, Title 18 (1979) and to the 1999 Cumulative Annual Pocket
Part.
Primary Elections, when held.
First Saturday in October. (Sec. Sec. 402(B)(1),
1272(A)). (October 7, 2000; see court decision below).
The primary election involves all candidates; the two
candidates with the highest number of votes appear on
the general election ballot on the first Tuesday
following the first Monday in November (November 7,
2000) (Sec. Sec. 402(B)(2), 481, 482, 1272). No
election of any kind shall be held on any of the days
of Rosh Hashanah, Yom Kippur, Sukkoth, Shimini
Atzereth, Simchas Torah, the first two days and the
last two days of Passover, Shavuoth, Fast of AV, or the
three days preceding Easter. If the date of any
election falls on any of the above named days, the
election shall be held on the same weekday of the
preceding week(Sec. 402(G)).
Nominating Papers, Petitions, Etc.
A person who desires to become a candidate in a
primary election shall qualify as a candidate by timely
filing notice of his candidacy, which shall be
accompanied either by the qualifying fee and by any
additional fee imposed or by a nominating petition
(Sec. 461).
Fall primary
According to statute, Louisiana has a fall primary on
October 7, 2000, which is a one-ballot primary in which
all candidates appear (Sec. 401). The candidate who
receives a majority of the votes in the primary is
elected (Sec. 511). The general election on November 7,
2000, serves as a runoff for the two top vote-getting
candidates without a majority of the votes (Sec. 481).
However, in Foster v. Love, the U.S. Supreme Court
held that Louisiana statutes (Sec. Sec. 18:402(B)(1),
18:401(B), 18:481 and 18:511 (A)) that provide for an
``open primary'' in October for election of Members of
Congress and that provide that any candidate receiving
a majority of the vote in that primary ``is elected,''
conflicts with the federal law, 2 U.S.C. Sec. Sec. 1
and 7, that provide for a uniform federal election day
in November, and is void to the extent of the conflict.
In the decision of the Court of Appeals for the Fifth
Circuit, affirmed by the Supreme Court, it remanded
with directions that the plaintiffs' request for
injunctive relief be reconsidered if the Louisiana
Legislature failed to act timely to resolve the
conflict occasioned by the October primary. The
Legislature declined to act in a 1998 special session
called by the Governor and the district court did as
directed and ordered elections consistent with the
provisions of the Louisiana election code, federal
statutes, and the holdings of the appellate court and
the Supreme Court. The appellate court affirmed the
orders of the district court in Love v. Foster, 147
F.3d 383 (5th Cir. 1998). The district court ordered
that the upcoming congressional election and, absent
intervening action by the Legislature, future elections
for members of Congress shall be held on federal
election day, the first Tuesday following the first
Monday in November. In 2000, that date will be November
7. In the event no candidate receives a majority of the
votes cast, the court ordered a runoff election on the
next available election date contained in Louisiana
law, Sec. 512(C), the third Saturday after the date on
which the results of the election resulting in a tie
were promulgated. The election results are promulgated
by the Secretary of State on the twelfth day after the
election day, unless that day is a Saturday, Sunday or
legal holiday, in which case the results are
promulgated on the next day which is not a Saturday,
Sunday or legal holiday (Sec. 574(C)). In 2000, the
runoff date would be December 9. Otherwise, the
elections are to be conducted in full accordance with
the Louisiana election code as currently written.
Notice of candidacy
A notice of candidacy shall be in writing and shall
state the candidate's name, the office he seeks, the
address of his domicile, the parish, ward, and precinct
where he is registered to vote, and the political
party, if any, with which he is registered as being
affiliated. The notice of candidacy shall also include
a certificate, signed by the candidate, certifying that
he had read the notice of his candidacy and that all
the statements contained in it are true and correct,
and shall be executed before a notary public or
witnessed by two persons who are registered to vote on
the office the candidate seeks. The notice of candidacy
shall also include a certificate, signed by the
candidate, certifying that he is knowledgeable of
certain prohibitions regarding the posting of political
campaign signs (Sec. 463). Shall be filed with the
Secretary of State during the period beginning on the
third Wednesday in August and ending on the following
Friday (August 16-18, 2000) (Sec. Sec. 462(A), 467,
468).
Nominating petition
Shall be filed with the Secretary of State and shall
accompany the notice of candidacy (Sec. Sec. 462(A),
465(A)). A person may only be nominated by persons who
are registered to vote on the office he seeks and sign
a nominating petition for him no more than 120 days
before the qualifying period opens for candidates in
the primary election. Each voter who signs a nominating
petition shall provide specified information and may
not withdraw the nomination (Sec. 465(B)).
The number of qualified voters who must timely sign a
nominating petition for an office voted on throughout
the State is 5,000, not less than 500 of which shall be
from each of the congressional districts into which the
State is divided (Sec. 465(C)(1)).
Filing Fees and Assessments (Sec. 464(A), (B)(1)).
Amount.--$600.
Date of payment.--At time of filing notice of
candidacy.
To whom paid.--Secretary of State.
A state central committee of a political party may
fix and impose an additional fee to be collected in the
manner provided in Sec. 464(C).
Crossfiling by Candidates.
Prohibited. A person shall not become a candidate in
a primary or general election for more than one office
unless one of the offices is membership on a political
party committee (Sec. 453(A)).
Subversive Parties Barred from Ballot.
Communist Party.--(Sec. 14:365).
Write-in Provisions.
No statutory provisions (information received from
office of Secretary of State).
Vacancy in Office.
The Governor may fill any vacancy in the office of
United States Senator by appointment; however, if the
United States Senate is in session when the vacancy
occurs, the Governor, within ten days after receiving
official notice of the vacancy, shall appoint a Senator
to fill the vacancy.
If a vacancy occurs in the office of United States
Senator and the unexpired term is more than one year,
any appointment to fill the vacancy shall be temporary,
and any Senator so appointed shall serve until his
successor is elected at a special election and takes
office, and the Governor, within ten days after
receiving official notice of the vacancy, shall issue
his proclamation for a special election to fill the
vacancy for the unexpired term. The date of the special
election shall be established by the Governor in
accordance with the provisions of R.S. 18:402(E). The
election shall be conducted and the returns shall be
certified as in regular elections for United States
Senator. (Sec. 1278(A), (B)).
Maine
Unless otherwise designated, references are to Title 21-A of the Maine
Revised Statutes Annotated, 1993 ed., and to the 1999 Cumulative Pocket
Part.
Primary Elections, when held.
Second Tuesday of June of each general election year
(Sec. 339) (June 13, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary (Sec. Sec. 334-336).
Primary petition.--Signatures by qualified voters of
his party are required, equal in number to at least
2,000 but not more than 3,000. File with Secretary of
State before 5 p.m. on March 15 of the election year in
which it is to be used (Sec. 335).
Consent of candidate.--Written consent of candidate
must be filed with his petition (Sec. 336).
Independent candidate.--(Sec. Sec. 353-355).
Nomination by petition.--Signatures by qualified
voters of State are required, equal in number to at
least 4,000 and not more than 6,000 voters. Must file
petition in the office of the Secretary of State by 5
p.m. on June 1 (Sec. 354). Must withdraw enrollment in
a party on or before March 1 of the election year
(Sec. 353).
Written consent of each candidate must be filed with
his nomination petition (Sec. 355).
Note. A person may file as a candidate for any
federal, state, or county office either by primary
election or nomination petition, but not by both
(Sec. 351).
Write-in candidate.
A person, whose name will not appear on the printed
primary ballot because he did not file a petition and
consent as required but who is otherwise eligible to be
a candidate, may be nominated at the primary election
if that person receives a number of valid write-in
votes equal to at least twice the minimum number of
signatures required on a primary petition for a
candidate for that office (at least 4000 votes) and if
he files a written acceptance of nomination with the
Secretary of State within 15 days after receiving the
notice of nomination (Sec. Sec. 338, 723(1)(a)).
Filing Fees and Assessments: No statutory provisions.
Crossfiling by Candidates.
Prohibited. Primary petition must contain the name of
candidate's political party (Sec. 335(1)). Candidate's
consent which must be filed with petition must state
that candidate will accept the nomination of the party
(Sec. 336(1)). Candidate must be enrolled on or before
March 15 in party named in petition (Sec. 334). An
independent candidate for nomination by nomination
petition must withdraw his enrollment in a party on or
before March 1 of the election year (Sec. 353).
A person may file as a candidate for any federal,
state, or county office either by primary election or
nomination petition, but not by both. A person may not
file, whether by primary election or nomination
petition, as a candidate for more than one federal,
state, or county office at any election except when one
of the offices is either membership in a county charter
commission or presidential elector (Sec. 351).
Write-in Provisions.
Permitted in primary (Sec. Sec. 338, 691, 723); in
general election (Sec. 692); on voting machines
(Sec. 812); on electronic voting systems (Sec. 843).
Must write in the name and municipality of residence
of the person whose name is written in (Sec. Sec. 691,
692).
Vacancy in Office.
Within a reasonable time after a vacancy occurs, the
Governor shall appoint a qualified person to fill the
vacancy until his successor is elected and qualified.
If the vacancy occurs 60 days or more before a
regular primary election, nominees must be chosen at
the primary and a successor elected for the remainder
of the term at the general election.
If the vacancy occurs less than 60 days before a
regular primary election, nominees must be chosen at
the next regular primary following the one in question,
and a successor elected for the remainder of the term
at the general election (Sec. 391).
Maryland
Unless otherwise designated, references are to Article 33 Maryland
Annotated Code 1957 (1997 Replacement Volume) and to the 1999
Supplement.
Primary Elections, when held.
Second Tuesday after first Monday in September except
on first Tuesday in March in those years in which a
national convention is held to nominate a President and
Vice President (Sec. 5-2). (March 7, 2000).
Nominating Papers, Petitions, Etc.
Certificates of candidacy for the nomination of
Members of Congress must be filed under oath with the
State Administrative Board of Election Laws (Sec. 4A-
2(a)). Deadline for filing: Monday, 9 p.m., 10 weeks or
70 days before the primary election (December 28, 1999)
(Sec. 4A-3).
Major party candidates
Any party with which 10 percent or more of the
registered voters in the state are affiliated must
nominate its candidates via the primary election.
Independents and minor party candidates.
Minor parties which are not required to hold primary
elections under Sec. 5-1 may select a nominee as
provided by the interim constitution and bylaws of the
party, but such a nominee shall not appear on the
ballot for the general election unless he has complied
with the requirements for nomination by petition.
(Sec. 4B-1). Independent candidates may appear on the
ballot for the general election by complying with the
requirements for nomination by petition. (Sec. 7-1).
Declaration of intent.--A declaration of intent is
not required of any candidate in a presidential
election year. (Sec. Sec. 7-1(b)(1)(i)).
Certificate of candidacy by petition.--Must be filed
under oath in person with the State Administrative
Board of Election Laws not later than 5 p.m. on the
first Monday in August. (August 7, 2000) (Sec. 7-
1(b)(1)(ii)).
Nominating petitions.--Nominating petitions signed by
three percent of registered voters eligible to vote for
U.S. Senator (Sec. 7-1(b)(2)). File with State
Administrative Board of Election Laws (Sec. 4A-2(a)).
The petition is to be filed by 5 p.m. on the first
Monday in August (August 7, 2000) in the election year
(Sec. 7-1(c)(1)).
Write-in candidates
Prohibited in primary (Sec. 5-3(f)).
Permitted in general election (Sec. 14-1(i)); on
voting machines.
Certified copies of returns required (Sec. 17-5(b),
16-3(b)(3)).
Certificate of candidacy.--Must be filed with the
State Administrative Board of Election Laws no later
than 7 days after total expenditure of $51 is made in
candidate's behalf, but shall not be filed later than 5
p.m. on the Wednesday preceding the day of the election
for which filed (Sec. 4D-1(c)).
Filing Fees and Assessments (Sec. 4A-6(b)).
Required of all candidates, including minor party
candidates. Can be waived upon filing of sworn
statement of inability to pay. (Sec. 4A-6(b), (f),
(g)).
Amount.--$290.
Date of payment.--Time of filing certificate of
candidacy.
To whom paid.--State Administrative Board of Election
Laws.
Crossfiling by Candidates.
Prohibited. Candidate must be affiliated with the
party whose nomination he seeks (Sec. 4A-1(a)).
A person who is defeated in the primary election may
not have his name printed on the ballot at the
succeeding general election as a candidate of any
office, except if he is nominated to fill a vacancy in
his party's nomination of which he was a candidate in
the primary (Sec. 8-2).
Vacancy in Office.
In the event of a vacancy in said office of Senator,
however said vacancy may arise, the Governor of the
State shall make a temporary appointment of a Senator
who shall serve until the people shall fill such
vacancy by nomination and election (Sec. 21-1(c)).
Special election.--It shall be the duty of the
Governor of the State, within 10 days after such
vacancy shall have been made or becomes known to him,
to issue a proclamation accompanied by a writ of
election declaring and providing that at the next
ensuing primary election held for the nomination of
candidates for the House of Representatives, candidates
for said unexpired portion of the term of said office
of Senator in which such vacancy has occurred shall be
nominated in the manner aforesaid. The election of a
Senator to fill such unexpired portion of said term
shall take place at the next ensuing general
congressional election (Sec. 21-1(d)).
Massachusetts
Unless otherwise designated, references are to Chapter 53,
Massachusetts General Laws Annotated (1991) and to the 1999 Cumulative
Annual Pocket Part.
Primary Elections, when held.
Seventh Tuesday preceding biennial State elections
(Sec. 28) (September 19, 2000).
Usually, primary elections are held only by political
parties which polled at least 3 percent of the State
vote for any office at the last preceding biennial
election or which shall have enrolled a number of
voters with its political designation equal to or
greater than one percent of the entire number of voters
registered in the commonwealth (see ch. 50, Sec. 1,
definition of ``political party'').
Nominating Papers, Petitions, Etc.
Political party candidate for primary
Nomination papers and candidate written acceptance.--
Signatures of at least 10,000 qualified voters of his
party are required (Sec. 44). A nomination paper must
contain the candidate's written acceptance (Sec. 45).
Submit nomination papers to registrars of city or town
for certification on or before 5 p.m. of the 28th day
before date of filing (Sec. 46) (May 9, 2000). File
with Secretary of State on or before first Tuesday in
June of the year in which a State election is to be
held (Sec. 48) (June 6, 2000).
Registrar's certificate, showing that candidate is
enrolled voter of party whose nomination he seeks for
90 days prior to the last day for filing nomination
papers. File with Secretary of State on or before
deadline for filing nomination papers (Sec. 48).
Independent candidate
Nomination papers. 10,000 signatures of voters are
required (Sec. 6). Candidate's written acceptance must
accompany nomination papers (Sec. 9). Submit nomination
papers to registrars of signers' city or town of voting
residence, for certification on or before 5 p.m. of the
28th day before the date of filing (Sec. 7) (August 1,
2000). File with Secretary of State (Sec. 9) on or
before last Tuesday in August of the year in which a
State election is held (Sec. 10) (August 29, 2000).
Also file certificate of registration as voter by
deadline for filing nomination papers (Sec. 9).
No person may be nominated as an independent
candidate for any office to be filled at a state
election if he has been enrolled as a member of a
political party during the 90 days prior to the last
day for filing nomination papers (Sec. Sec. 6, 48).
Candidate must file, on or before the last day for
filing nomination papers, a registrar's certificate
showing that he is not enrolled as a member of any
political party. (Sec. 6).
Write-in candidate
Candidate's written acceptance.--Candidate who was
nominated by write-in votes at a primary must file,
with Secretary of State, a written acceptance by 5 p.m.
of the 13th day after the primary (Sec. 3) (October 2,
2000).
Filing Fees and Assessments.--No statutory provisions.
Crossfiling by Candidates.
Prohibited. Candidate must be enrolled member of
political party whose nomination he seeks (Sec. 48). No
person may be nominated as an independent candidate if
he has been enrolled as a member of a political party
during the 90 days prior to the last day for filing
nomination papers (Sec. Sec. 6, 48). No person shall be
a candidate for nomination for more than one office,
except membership in political committees (Sec. 46).
Write-in Provisions.
Permitted in primary (Sec. 3), but to be deemed
nominated (or elected at general election) person must
receive at least as many write-in votes as equal to
signatures that would be required to place his name on
ballot as primary candidate (Sec. 40), and, in general
election, on voting machines (ch. 54, Sec. 33D) and
electronic voting systems (ch. 54, Sec. 33E).
Vacancy in Office.
The vacancy shall be filled for the unexpired term at
the following biennial state election provided said
vacancy occurs not less than seventy days prior to the
date of the primaries for nominating candidates to be
voted for at such election, otherwise at the biennial
state election next following. Pending such election
the governor shall make a temporary appointment to fill
the vacancy, and the person so appointed shall serve
until the election and qualification of the person duly
elected to fill such vacancy (ch. 54, Sec. 139).
Michigan
Unless otherwise designated, references are to Michigan Compiled Laws
Annotated, 1989 and to the 1999 Cumulative Annual Pocket Part.
Primary Elections, when held.
Tuesday after first Monday in August preceding
general November elections (Sec. Sec. 168.92, 168.534)
(August 8, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Nominating petition and affidavit of
identification.--Signatures of qualified registered
electors are required, equal in number to not less than
1 percent nor more than 2 percent of number of votes
cast by such party for Secretary of State at last
preceding general November election, to include at
least 100 electors in each of at least one-half of the
congressional districts of the state. File with
Secretary of State not later than 4 p.m. of 12th
Tuesday preceding August primary (Sec. Sec. 168.93,
168.551) (May 16, 2000). Candidate shall also file two
copies of affidavit of identification with the
Secretary of State at time of filing nomination
petition (Sec. 168.558).
Candidate of minor party.--Whose principal candidate
received less than 5 percent of total vote cast for
Secretary of State of in last preceding election--
nomination shall be by convention (Sec. Sec. 168.92,
168.532, 168.686a). County caucuses and state
conventions must be held not later than the August
primary (Sec. 168.686a). A certificate of nomination, a
written notice of acceptance by the candidate, and an
affidavit of identity must be filed with the Secretary
of State within 24 hours of the conclusion of the
convention (Sec. 168.686a).
Independent candidate.--The qualifying petition shall
be signed by a number of qualified and registered
electors of this state equal to not less than 1 percent
of the total number of votes cast for all candidates
for governor at the last election in which a governor
was elected, which shall include at least 100
registered electors in each of at least \1/2\ of the
congressional districts of the state. All signatures
shall be obtained not more than 180 days immediately
before the date of filing (Sec. 168.590b). A qualifying
petition for an office elected at the general election
shall be filed with the Secretary of State not later
than 4 p.m. of the 110th day before the general
election (Sec. 168.590c) (July 20, 2000). An
independent candidate cannot also be nominated as a
write-in or political party candidate for an office at
the same election at which he is seeking office as an
independent, or at any other election during the same
calendar year (Sec. 168.590g).
Filing Fees and Assessments.--No statutory provisions apply to
candidates for United States Senator.
Crossfiling by Candidates.
Prohibited. If candidate is nominated by more than
one political party, he must select one
(Sec. Sec. 168.692, 168.693). Candidate on primary
ballot of one political party is not eligible as
candidate of any other political party on general
election ballot (Sec. 168.695).
Write-in Provisions.
Permitted in primary (Sec. 168.576); a write-in
candidate must file a declaration of intent to be a
write-in candidate with the Secretary of State on or
before 4 p.m. on the Friday immediately preceding the
election (Sec. 168.737a) (August 4, 2000). However,
write-in candidate on primary ballot shall not be
certified as a nominee unless he receives a total vote
equal to not less than .15 of 1 percent of the total
population of the state, but not less than 10 votes, or
a total equal to 5 percent of the greatest number of
votes cast by the party for any office at the primary
in the state, for a candidate or for all candidates for
nomination for an office for which only one person is
to be nominated, whichever is greater (Sec. 168.582).
Permitted in general election (Sec. Sec. 168.706,
737(d)), on voting machines (Sec. Sec. 168.782a,
168.784). A write-in candidate must file a declaration
of intent to be a write-in candidate with the Secretary
of State on or before 4 p.m. on the Friday immediately
preceding the election (Sec. 168.737a) (November 3,
2000).
Vacancy in Office.
Whenever a vacancy shall occur in the office of
United States Senator, the Governor shall appoint, to
fill the vacancy, some suitable person having the
necessary qualifications for Senator. The person so
appointed shall hold office from the time of his
appointment and qualification until the first day of
December following the next general November election
which occurs more than one hundred twenty days after
such vacancy happens. At such general November
election, a United States Senator to fill such vacancy
shall be elected and the person so elected shall hold
office from the first day of December following such
election for the balance of the unexpired term of the
Senator whose vacancy is filled (Sec. 168.105).
Minnesota
Unless otherwise designated, references are to Minnesota Statutes
Annotated (1992) and to the 1999 Cumulative Annual Pocket Part.
Primary Elections, when held.
First Tuesday after second Monday in September in
even-numbered years (Sec. 204D.03(1)) (September 12,
2000).
Nominating Papers, Petitions, Etc.
Major party candidate for primary (Sec. 204D.10). A
major political party must have presented at least one
candidate for election to a partisan office at the last
preceding general election, which candidate received
votes in each county and received votes from not less
than 5 percent of the total number of individuals who
voted in that election, or must have presented to the
secretary of state a petition for a place on the state
partisan primary ballot, which contains signatures of a
number of party members equal to at least 5 percent of
the total number of individuals who voted in the
preceding general election (Sec. 200.02, Subd.7). The
candidate for nomination of a major political party for
a partisan office on the state partisan primary ballot
who receives the highest number of votes shall be the
nominee of that political party of that office
(Sec. 204D.10, Subd. 1). File affidavit of candidacy
with Secretary of State not more than 70 nor less than
56 days before primary (Sec. Sec. 204B.03, 204B.09,
Subd. 1) (from July 4, 2000 until 5 p.m. July 18,
2000).
Minor party or independent candidate.--To be
considered a minor party in all elections statewide, a
political party must have presented at least one
candidate for a partisan office voted on statewide at
the preceding general election who received votes in
each county that in the aggregate equal at least 1
percent of the total number of individuals who voted in
the election, or its members must have presented to the
secretary of state a nominating petition in a form
prescribed by the secretary of state containing the
signatures of party members in a number equal to at
least 1 percent of the total number of individuals who
voted in the preceding general election (Sec. 200.02,
Subd. 23).
Signatures are required to be obtained during the
period allowed for filing nominating petitions
(Sec. 204B.08, Subd. 1), equal in number to 1 percent
of the total number of persons voting at the last
preceding State general election, or 2,000, whichever
is less (Sec. 204B.08, Subd. 3). File nominating
petitions and affidavit of candidacy with Secretary of
State not more than 70 nor less than 56 days before
primary (Sec. 204B.09, Subd. 1) (from July 4, 2000
until 5 p.m).
Filing Fees and Assessments (Sec. 204B.11, Supp.).
Amount.--$400.
Date of payment.--At time of filing affidavit of
candidacy.
To whom paid.--Secretary of State.
A petition signed by 2,000 voters may be presented in
lieu of the filing fee. (Sec. 204B.11, Subd. 2).
Crossfiling by Candidates.
No individual shall be named on any ballot as the
candidate of more than one major political party.
(Sec. 204B.04, Subd. 1).
A candidate may not seek the nomination of either a
major or minor political party, or both, and file a
nominating petition as an independent candidate for the
same election. (Sec. 204B.04, Subd. 2).
Write-in Provisions.
Not permitted in primary (Sec. Sec. 204B.36, Subd. 2,
204D.08, Subd. 2).
Permitted in general election (Sec. 204B.36, Subd.
2).
Vacancy in Office.
Every vacancy shall be filled for the remainder of
the term by a special election, except that no special
election shall be held in the year before the term
expires. The special election shall be held at the next
November election if the vacancy occurs at least 6
weeks before the regular primary preceding that
election. If the vacancy occurs less than 6 weeks
before the regular primary preceding the next November
election, the special election shall be held at the
second November election after the vacancy occurs. The
Governor may make a temporary appointment to fill any
vacancy until the next special or regular election
(Sec. 204D.28).
Mississippi
Unless otherwise designated, references are to Mississippi Code
Annotated 1972 (1999) and to the 1999 Cumulative Annual Pocket Part.
Primary Election, when held.
Each year in which a presidential election is held,
the congressional primary shall be held as provided in
Sec. 23-15-1081 which provides that the primary may be
held on the second Tuesday in March (March 14, 2000). A
runoff election if necessary will be held 3 weeks
thereafter (April 4, 2000). (Sec. 23-15-1083).
Except as may be otherwise provided by Sec. 23-15-
1083, the first primary election for Congressmen shall
be held on the first Tuesday in June of the years in
which Congressmen are elected, and the second primary,
when one is necessary, shall be held 3 weeks
thereafter. The election shall be held in all districts
of the state on the same day. Candidates for United
States Senator shall be nominated at the congressional
primary next preceding the general election at which a
Senator is to be elected and in the same manner that
Congressmen are nominated, and the chairman and
secretary of the State Executive Committee shall
certify the vote for United States Senator to the
Secretary of State in the same manner that county
executive committees certify the returns of counties in
general state and county primary elections (Sec. 23-15-
1031).
Nominating Papers, Petitions, Etc.
Party candidate for primary. A written statement by
the candidate containing the name and address of the
candidate, the party affiliation of the candidate, and
the office sought by the candidate must be filed with
the Secretary of the State Executive Committee 60 days
before the presidential preference primary (January 14,
2000). In years when a presidential preference primary
is not being held, the deadline shall be 5 p.m. on
March 1 of the year the primary is held. (Sec. 23-15-
299 (3 & 4)).
The name of any candidate shall not be placed upon
the official ballot in general elections as a party
nominee who is not nominated, and the election of any
party nominee who shall be nominated otherwise than as
provided in this chapter shall be void and he shall not
be entitled to hold the office to which he may have
been elected (Sec. 23-15-307).
Independent candidate.
Nominating petition. The name of a candidate shall be
printed on the ballot for whom a petition signed by not
less than 1,000 qualified electors shall have been
filed with the State Board of Election Commissioners by
no later than 5 p.m. on the same date by which
candidates for nominations in party primary elections
are required to pay the filing fees (Sec. 23-15-359
(1)(a) and (3)).
Filing Fees and Assessments.
Party primary candidates for United States Senator
shall pay a filing fee not to exceed $300 to the
Secretary of the State Executive Committee by 5 p.m. 60
days before the presidential preference primary
(January 14, 2000). In years when a presidential
preference primary is not being held, the deadline
shall be 5 p.m. on March 1 of the year the primary is
held. (Sec. 23-15-297(f), 23-15-299 (3)).
Crossfiling by Candidates.
Prohibited. Candidate required to support party.
(Sec. Sec. 23-15-299(3 and 4), 23-15-359(2).
Write-in Provisions.
Permitted on printed ballots (Sec. Sec. 23-15-365,
23-15-469).
Vacancy in Office.
If a vacancy shall occur in the office of United
States Senator from Mississippi by death, resignation,
or otherwise, the Governor shall, within ten days
receiving official notice of such vacancy, issue his
proclamation for an election to be held in the State to
elect a Senator to fill such unexpired term as may
remain, provided the unexpired term is more than 12
months, and election shall be held within 90 days from
the time the proclamation is issued and the returns of
such election shall be certified to the Governor in the
manner set out for regular elections unless the vacancy
occurs in a year in which there shall be held a general
state or congressional election, in which event the
Governor's proclamation shall designate the general
election day as the time for electing a Senator, and
the vacancy shall be filled by appointment as
hereinafter provided (Sec. 23-15-855).
In case of a vacancy, the Governor may appoint a
Senator to fill such vacancy temporarily, and if the
United States Senate is in session at the time the
vacancy occurs, the Governor shall appoint a Senator
within 10 days after receiving official notice thereof,
and the Senator so appointed shall serve until his
successor is elected and commissioned; provided, that
such unexpired term as he may be appointed to fill
shall be for a longer time than 1 year, but if for a
shorter time than one year, he shall serve for the full
time of the unexpired term and no special election
shall be called by the Governor, but his successor
shall be elected at the regular election (Sec. 23-15-
855).
Missouri
Unless otherwise designated, references are to Vernon's Annotated
Missouri Statutes (1997).
Primary Elections, when held.
First Tuesday after first Monday in August of even-
numbered years (Sec. Sec. 115.121, 115.341). (August 4,
1998).
If two or more persons receive an equal number of
votes for nomination as a party's candidate for any
federal office and a higher number of votes than any
other candidate for the same office on the same party
ballot, the Governor shall issue a proclamation stating
that fact and order a special primary election to
determine the party's nominee for the office
(Sec. 115.515).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy.--On or before 5 p.m. on the
last Tuesday in March (March 31, 1998) preceding the
primary (Sec. 115.349(1)). File with Secretary of State
(Sec. 115.353(1)), in person (Sec. 115.355).
New parties and independents
Nomination petition.--A person wishing to be an
independent candidate or a group wishing to form a new
party with candidates for state-wide offices must file
a petition with the Secretary of State containing the
signatures of at least 10,000 registered voters
(Sec. Sec. 115.315(2) & (5), 115.321(1) & (3)). A new
party shall also submit a certified list of all its
candidates and the office each seeks (Sec. 115.327).
The Secretary of State shall not accept for filing any
petition for the formation of a new party or for the
nomination of an independent candidate which is
submitted prior to 8 a.m. on the day immediately
following the general election next preceding the
general election for which the petition is submitted or
which is submitted after 5 p.m. on the fifteenth Monday
immediately preceding the general election for which
the petition is submitted (Sec. 115.329(1)).
Declaration of candidacy.--Each petition for the
nomination of an independent candidate or the formation
of a new party must be accompanied by a declaration of
candidacy for each candidate to be nominated by
petition or by the party, stating that the candidate is
legally qualified to hold the office he seeks
(Sec. 115.327).
Filing Fees and Assessments (Sec. 115.357, Supp.).
Amount.--$200.
Date of payment.--Before filing declaration of
candidacy.
To whom paid.--To the treasurer of the State central
committee of the political party.
Exceptions.--(1) Any person who cannot pay the fee
required to file as a candidate may have the fee waived
by filing a declaration of inability to pay and a
petition with his declaration of candidacy. (2) No
filing fee shall be required of any person who proposes
to be an independent candidate, the candidate of a new
party, or a candidate for presidential elector
(Sec. 115.357(4)).
Crossfiling by Candidates.
Prohibited. No person who files as a party candidate
for nomination or election to an office shall, without
withdrawing, file as another party's candidate or an
independent candidate for nomination or election to the
office for the same term. No person who files as an
independent candidate for election to an office shall,
without withdrawing, file as a party candidate for
nomination or election to the office for the same term.
No person shall file for one office and, without
withdrawing, file for another office to be filled at
the same election (Sec. 115.351).
Write-in Provisions.
Not permitted in primary (Sec. 115.395(3)). Permitted
in general election (Sec. 115.439(3)), on voting
machines and electronic devices (Sec. Sec. 115.225(2);
115.231(3)).
Vacancy in Office.
Whenever a vacancy in the office of Senator of the
United States occurs, the Governor shall appoint a
person to fill such vacancy who shall continue in
office until a successor shall have been duly elected
and qualified according to law (Sec. 105.040).
Montana
Unless otherwise specified, references are to the Montana Code
Annotated 1997.
Primary Elections, when held.
First Tuesday after first Monday in June before the
general elections (Sec. 13-1-107(1)).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Declaration of nomination.--No sooner than 135 days
before the election in which the office first appears
on the ballot and no later than 5 p.m. 75 days before
the primary (March 19, 1998) (Sec. 13-10-201(6)). File
with Secretary of State (Sec. 13-10-201(2)(a)).
Independent and minor party candidates
Nominating petitions.--Nominations for public office
by an independent candidate or
A political party that does not qualify to hold a
primary election may be made by a petition for
nomination in a form prescribed by the Secretary of
State, signed by a number of registered voters equal to
5 percent or more of the total votes cast for the
successful candidate for the same office at the last
general election, and filed with the Secretary of State
before the primary election. Each sheet of a petition
must contain signatures of electors residing in only
one county. The petition must be presented to the
election administrator of the county in which the
signatures were gathered to be verified under the
procedures provided in 13-27-303 through 13-27-306. The
election administrator shall forward the verified
petition to the Secretary of State. The petition must
be submitted to the election administrator at least 1
week before the deadline for submitting the verified
petition to the Secretary of State (Sec. Sec. 13-10-
501, 13-10-502, 13-10-503).
Write-in Candidate (Sec. 13-10-204).
Declaration of intent.--A person seeking to become a
write-in candidate in any election shall file a
declaration of intent with the Secretary of State no
later than 5 p.m. on the 15th day before the election
(Sec. 13-10-211).
Declaration of acceptance of nomination.--Within ten
days after canvass, file with Secretary of State
(Sec. 13-10-204).
Number of write-in votes required.--At least 5
percent of the votes cast for successful candidate for
United States Senator at last preceding general
election (Sec. 13-10-204).
Filing Fees and Assessments
Amount for party, minority party, independent, and
write-in candidates.--One percent of annual salary
(Sec. 13-10-202(3)).
Date of payment.--No later than 5 p.m. 75 days before
the primary (Sec. 13-10-201(6)). For minor party and
independent candidates, before the primary election
(Sec. 13-10-503). For write-in candidates, no later
than 10 days after official primary canvass (Sec. 13-
10-204).
To whom paid.--Secretary of State (Sec. 13-10-
201(2)(a)).
Indigent candidates.--If a candidate is unable to pay
the filing fee, he may submit in lieu thereof a
verified statement that he is unable to pay the fee
and, if a candidate for party nomination, a nomination
petition signed by at least 5 percent of the total vote
cast for the successful candidate for U.S. Senator at
the last general election (Sec. 13-10-203).
Crossfiling by Candidates.
No candidate shall have his name printed on more than
one ticket. If nominated on more than one ticket,
candidate shall make a choice of tickets by filing
written document with Secretary of State within 10 days
after nomination (Sec. 13-10-303).
An individual who has filed as an independent
forfeits his place on the general election ballot as an
independent candidate if he accepts a write-in
nomination (Sec. 13-10-305).
Write-in Provisions.
Permitted in primary and in general election
(Sec. 13-12-208); on voting machines (Sec. 13-17-
103(7)).
Vacancy in Office.
If a vacancy occurs, an election to fill the vacancy
shall be held at the next general election. If the
election is invalid or not held at that time, the
election to fill the vacancy shall be held at the next
succeeding general election. The Governor may make a
temporary appointment to fill the vacancy until an
election is held (Sec. 13-25-202).
Nebraska
Unless otherwise designated, references are to the Revised Statutes of
Nebraska
Primary Elections, when held.
First Tuesday after second Monday in May in even-
numbered years (Sec. 32-505). (May 11, 1998).
Primary Candidates.--Any candidate may place his or
her name on the primary election ballot by filing a
candidate filing form prescribed by the Secretary of
State as provided in section 32-607. If a candidate for
an elective office is the incumbent, the deadline for
filing the candidate filing form shall be February 15
prior to the date of the primary election. No incumbent
who resigns from elective office prior to the
expiration of his or her term shall file for any office
after February 15 of that election year. All other
candidates shall file for office by March 1 prior to
the date of the primary election (Sec. 32-606). A
filing fee of one percent of the annual salary for the
office of U.S. Senator shall be paid prior to filing
for office (32-608(1), (2)(a)).
No person shall be allowed to file a candidate filing
form as a partisan candidate or to have his or her name
placed upon a primary election ballot of a political
party unless (1) he or she is a registered voter of the
political party and (2) at the last election the
political party polled at least 5 percent of the entire
vote in the state, county, political subdivision, or
district in which the candidate seeks the nomination
for office. (Sec. 32-610).
Twenty-five registered voters of the same political
party may seek to have a person's name placed on the
primary election ballot as a partisan candidate by
filing an affidavit stating that they are registered
voters, the political party with which they are
registered, the name of the proposed candidate, and
that the proposed candidate is a registered voter of
the same political party. The affidavit shall be filed
in the same manner and with the same filing officer as
provided for candidate filing forms. The proposed
candidate shall, within 5 days from the date of the
filing of the affidavit, file a candidate filing form
stating that he or she is a registered voter and is
affiliated with the political party named in the
affidavit. If the candidate filing form is not filed
within such 5-day period, the name of the candidate
shall not be placed upon the primary election ballot
(Sec. 32-611).
Independent and Third Party Candidacies For Nomination For
General Election
Any registered voter who was not a candidate in the
primary election may have his or her named placed on
the general election ballot for partisan office by
filing nominating petitions or by nomination by
political party convention or committee. (Sec. 32-616).
The nominating petition must be signed by 2,000
registered voters of the State (32-618(2)(a)). The
nomination petition with the required signatures must
be filed by September 1st in the general election year
along with the required filing fee of 1 percent of the
annual salary for the office of U.S. Senator (Sec. 32-
617).
Filing Fees and Assessments.
By primary candidates and by candidates by petition
(Sec. 32-608(2)(a)).
Amount.--One percent of annual salary.
Date of payment.--Prior to filing for office.
To whom paid.--County treasurer of county of
candidate's residence. (Sec. 32-608).
Crossfiling by Candidates.
Prohibited. No registered voter, candidate, or
proposed candidate shall swear falsely as to political
party affiliation or shall swear that he or she
affiliates with two or more political parties. Any
candidate who swears falsely as to political party
affiliation or swears that he or she affiliates with
two or more political parties shall not be the
candidate of such party and shall not be entitled to
assume the office for which he or she filed even if he
or she receives a majority or plurality of the votes
therefor at the following general election. The name of
a candidate shall not appear printed on more than one
political party ballot. A candidate who is a registered
voter of one political party shall not accept the
nomination of another political party (Sec. 32-
612(2)(3)).
Write-in Provisions.
A blank space shall be provided at the end of each
office division on the ballot for registered voters to
write in the name of any person for whom they wish to
vote and whose name is not printed upon the ballot. The
Secretary of State shall approve write-in space for
voting machines and punch card and optical-scan
ballots. (Sec. 32-816).
Vacancy in Office.
When a vacancy occurs in the representation of the
State of Nebraska in the Senate of the United States,
the office shall be filled by the Governor. The
Governor shall appoint a suitable person possessing the
qualifications necessary for senator to fill such
vacancy. If the vacancy occurs within 60 days of a
statewide general election and if the term vacated
expires on the following January 3, the appointee shall
serve until the following January 3, and if the term
extends beyond the following January 3, the appointee
shall serve until January 3 following the second
statewide general election next succeeding his or her
appointment. If the vacancy occurs more than 60 days
before a statewide general election, the appointee
shall serve until January 3 following the statewide
general election and at the statewide general election
a senator shall be elected to serve the unexpired term
if any (Sec. 32-565).
Nevada
Unless otherwise designated, references are to Nevada Revised Statutes
Annotated (1997 Replacement Volume).
Primary Elections, when held.
First Tuesday in September in general election years
(Sec. 293.175(1). (September 1, 1998).
Nominating Papers, Petitions, Etc.
Party candidate for primary (Sec. Sec. 293.167,
293.177, 293.185).
Declaration of candidacy.--File with Secretary of
State not earlier than the first Monday in May of the
year in which the election is to be held not later than
5 p.m. on the third Monday in May (Sec. 293.177).
Certificate of Candidacy--Ten or more registered
voters of his party may file with Secretary of State
not earlier than the first Monday in April nor later
than 5 p.m. on the first Friday in May. In such a case,
however, candidate must file an Acceptance of
Nomination with the Secretary of State and at the same
time must pay the required filing fee (Sec. 293.180,
293.185).
Independent candidate. (Sec. 293.200).
Petition of candidate.--Signatures are required of
electors in the State, equal in number to at least 1
percent of entire State vote cast in last general
election. File with Secretary of State not earlier than
the first Monday in May and not later than 5 p.m. on
the third Tuesday in August (Sec. 293.200, 293.185).
Filing Fees and Assessments.
For party candidates and for independents
(Sec. 293.193).
Amount.--$500.
Date of payment.--At time of filing nomination papers
by candidate.
To whom paid.--Secretary of State.
Crossfiling by Candidates.
Prohibited.--Candidate required to support party.
Person cannot be a candidate for party nomination in a
primary election if he has changed the designation of
his political party affiliation on an official
affidavit of registration in Nevada or in any other
State since September 1 prior to the closing filing
date for the election (Sec. 293.176).
Candidate must swear that he has not changed the
designation of his political party affiliation since
September 1 prior to the closing filing date for the
election (Sec. 293.177).
Write-in Provisions.
Not permitted. (Sec. 293.270.)
Vacancy in Office.
If a vacancy occurs due to death, resignation or
otherwise, the Governor may appoint some qualified
person to fill the vacancy, who shall hold office until
the next general election and until his successor shall
be elected and seated (Sec. 304.030).
New Hampshire
Unless otherwise designated references are to the New Hampshire Revised
Statutes Annotated (1996) and to the 1999 Cumulative Supplement.
Primary Elections, when held.
Second Tuesday in September of every even-numbered
year (Sec. 653:8).
Nomination Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy.--File with Secretary of
State between the first Wednesday in June and the
Friday of the following week. (Sec. Sec. 655:14,
655:15, 655:17.)
Voluntary spending limits.--A 1989 election statute
sets a $500,000 voluntary spending limit for the
primary election and a $500,000 voluntary spending
limit for the general election for U.S. senatorial
candidates. If the U.S. senatorial candidates
voluntarily agree to such spending limits, they will
not be required to pay a filing fee and obtain
notarized signatures by party members on nominating
petitions. Those U.S. senatorial candidates not
agreeing to voluntarily abide by such spending limits,
will be required to pay a $5,000 filing fee and obtain
2,000 notarized signatures from members of their
political party. These requirements would have to be
met in order to attain ballot access and would have to
be filed with the Secretary of State by the filing
deadline (Sec. Sec. 655:19-655:19-b).
Primary petitions and assent to candidacy.--
Signatures on separate petitions are required of 2,000
voters who are members of the candidate's party
(Sec. Sec. 655:21, 655:22). Petitions must be
accompanied by written assent to candidacy
(Sec. 655:25). File with Secretary of State (in person
if filing on last day) (Sec. Sec. 655:14, 655:15,
655:16).
Filing fee.--In lieu of filing primary petitions and
an assent to candidacy, a candidate may pay a filing
fee of $5,000 at the time of filing declaration of
candidacy (Sec. 655:19).
Independent candidate
Nomination papers.--Separate signed petitions of
3,000 qualified voters of the State, 1,500 from each
U.S. congressional district in the State, are required
(Sec. Sec. 655:40, 655:42). File with Secretary of
State no later than 5 p.m. on the Wednesday one week
before the primary (Sec. 655:43).
Declaration of intent.--Candidates who intend to have
their names placed on the general election ballot by
means other than nomination by party primary shall file
a declaration of intent with the Secretary of State
between the first Wednesday in June and the Friday of
the following week (Sec. 655:14-a).
Filing Fees and Assessments (required of candidates who file a
declaration of candidacy (Sec. 655:19). The filing fee
is $5,000 for a candidate for the U.S. Senate.
Crossfiling by Candidates.
Prohibited.--Candidate required to be affiliated with
political party (Sec. 655:14).
A person nominated by the same party for incompatible
offices must notify the Secretary of State no later
than Monday following the date of the primary of which
nomination he will accept (Sec. 659:91).
Any person who is a candidate of any party's state
primary election ballot shall not run as the nominee of
a different political party in the general election
(Sec. 659:91-a).
Write-in Provisions.
Permitted in primary (Sec. 656:23) and in general
elections (Sec. 656:12 and see generally Sec. 659:88).
Vacancy in Office.
If a vacancy occurs, the Governor shall fill the
vacancy by temporary appointment until it is filled at
the next general election (Sec. 661:5).
New Jersey
Unless otherwise designated, references are to New Jersey Statutes
Annotated (1989) and to the 1997 Cumulative Annual Pocket Part.
Primary Elections, when held.
Tuesday after first Monday in June (Sec. 19:23-40).
Nominating Papers, Petitions, Etc.
Nominating petition and acceptance of nomination,
with oath of allegiance annexed (see generally
Sec. Sec. 19:13-7, 19:13-8).
Party candidate for primary.--Signatures of 1,000
voters of his party are required (Sec. Sec. 19:23-5,
19:23-7, 19:23-8). File with Secretary of State by 4
p.m. of the 54th day prior to primary (Sec. Sec. 19:13-
9, 19:23-14).
New and minor party candidate and independent
candidate.--(See Sec. 19:13-4, par. 3; Sec. 19:1-1,
definition of ``Political Party.'') Independent filing
deadline is 4 p.m. on the 99th day preceding the
primary election.
Signatures equal to 2 percent of the vote cast for
General Assembly members at the last general election
are required (Sec. Sec. 19:13-5, 19:13-9).
File at least 99 days before primary, along with
certificate of consent of candidate (Sec. 19:13-9),
with the Secretary of State (Sec. 19:13-3).
Write-in candidate.--Person nominated at primary by
write-in votes must file with Secretary of State,
certificate of acceptance with oath of allegiance
annexed (Sec. 19:23-16).
Filing fees and Assessments.--No statutory provision.
Crossfiling by Candidates.
Prohibited.--Candidate who chooses to seek nomination
in primary election is precluded from subsequent
attempt at nomination by direct petition. Riecker v.
Hartmann, 130 N.J. Super. 266, 326 A. 2d 101 (1974).
If nominated by more than one political party or
group, candidate must choose one (Sec. Sec. 19:13-8,
19:14-9).
Subversive Parties Barred from Ballot.
Advocating overthrow of Government by force.--Oath of
allegiance by candidates (Sec. Sec. 19:23-7, 19:23-15,
19:23-16, 41:1-1, 41:1-3).
Write-in Provisions.
Permitted in primary (Sec. 19:23-25) and general
elections (Sec. Sec. 19:14-4(4); 19:14-6, 19:15-28;
19:16-3(d)); voting machines (Sec. 19:48-1(m));
electronic voting systems (Sec. Sec. 19:53A-3, 19:53A-
5).
Vacancy in Office.
If a vacancy occurs, the Governor shall issue a writ
of election to fill the same unless the term of service
of the person whose office shall become vacant will
expire within 6 months next after the happening of the
vacancy (Sec. 19:27-4). If the vacancy shall happen
within 64 days next preceding the primary prior to the
general election, it shall be filled by election at the
second succeeding election unless the Governor shall
deem it advisable to call a special election therefor
(Sec. 19:27-6).
The Governor may make a temporary appointment of a
Senator whenever a vacancy shall occur by reason of any
cause other than the expiration of the term; and such
appointee shall serve as such Senator until a special
election or general election shall have been held
pursuant to law and the board of state canvassers can
deliver to his successor a certificate of election
(Sec. 19:3-26).
New Mexico
Unless otherwise designated, references are to New Mexico Statutes 1978
and to the 1999 Cumulative Supplement.
Primary Elections, when held.
First Tuesday in June of each even-numbered year
(Sec. 1-8-11).
Nominations, Papers, Petitions, Etc.
Party candidate for primary
A ``major political party'' is defined by Sec. 1-1-9
as a party, any of whose candidates received 5 percent
of the total number of votes cast at the last preceding
general election for Governor or President.
Declarations of candidacy.--File with the Secretary
of State between 9 a.m. and 5 p.m. on second Tuesday in
February of each even-numbered year (Sec. Sec. 1-8-25,
1-8-26).
Nominating petition.--A nominating petition, signed
by a number of voters equal to at least 3 percent of
the vote of the candidates party in the state (Sec. 1-
8-33).
Minor parties.
A ``minor political party'' is defined by Sec. 1-1-9
as a party, none of whose candidates received 5 percent
or more of the total number of votes cast at the last
preceding general election for Governor or President.
If the minor party rules require nomination by
convention, the chairman and the Secretary of the State
political convention, shall certify to the Secretary of
State the name of the party's nominee on the second
Tuesday in July before the general election (Sec. 1-8-
2). The certificate must be accompanied by a petition
containing a list of signatures and addresses of voters
totaling not less than 1 percent of the total vote cast
at the last preceding general election for Governor or
President (Sec. 1-8-2).
Independent candidates.
Nominating petition.--Signed by a number of voters
equal to at least 3 percent of the total number of
votes cast in the State for Governor at the last
preceding general election at which a Governor was
elected (Sec. 1-8-51). The voter shall not sign a
petition for an independent candidate if he has signed
a petition for another independent candidate for the
same office (Sec. 1-8-51).
Such petitions shall be filed with the Secretary of
State during the period commencing at 9 a.m. on the
second Tuesday of July of each even-numbered year and
ending at 5 p.m. of the same day (Sec. 1-8-52).
Declaration of candidacy.--Candidate shall swear that
he has declined to designate his party affiliation and
has not changed his declination subsequent to the date
of issuance of the governor's proclamation for the
primary election in the year of the general election at
which he seeks to be a candidate (Sec. 1-8-48).
Filing Fees and Assessments.--No statutory provision.
Crossfiling by Candidates.
Prohibited.--No person may become a candidate for
nomination by a party unless his record or registration
shows his affiliation with that party and residence
within New Mexico on the date of the Governor's
proclamation for the primary (Sec. Sec. 1-8-18, 1-8-
29).
If a person has been a candidate for the nomination
of a party in the primary, he shall not have his name
printed on the ballot at the next succeeding general
election under any party name except the name of the
party designated on his declaration of candidacy filed
for the primary (Sec. 1-8-19).
No person shall be a candidate in the primary for
more than one office except that a person may be a
candidate for both the expiring term and the next
succeeding term for an office when both terms are to be
voted upon at the next succeeding general election
(Sec. 1-8-20).
Write-in Provisions.
Permitted in primary under certain conditions
(Sec. 1-8-36.1).
Permitted in general elections (Sec. 1-12-19.1); on
voting machines (Sec. 1-12-19.1).
Vacancy in Office.
If a vacancy occurs, the Governor shall make a
temporary appointment to fill the vacancy until such
time as an election is held to fill the vacancy for the
unexpired term.
The election to fill the vacancy for the unexpired
term shall be held at the next general election
occurring not less than thirty (30) days subsequent to
the happening of such vacancy.
If the vacancy occurs within thirty (30) days next
preceding a general election, the person appointed by
the Governor to fill the vacancy shall hold office
until the next general election occurring more than
thirty (30) days subsequent to the happening of the
vacancy unless the term of office for such Senator
shall sooner expire.
Candidates to fill a vacancy in the office of United
States Senator for an unexpired term shall be nominated
and elected in the same manner as candidates are
nominated and elected for the full term (Sec. 1-15-14).
New York
Unless other designated, references are to McKinney's Election Law of
New York (1998) and to the 1999 Cumulative Pocket Part.
Primary Elections, when held.
First Tuesday after second Monday in September
(Sec. 8-100).
Nomination for United States Senator is made by party
State committee or by the enrolled voters of the party
(Sec. 6-104).
Nominating Papers, Petitions, Etc.
Party candidate.
Certificate of nomination.--State party committee may
designate a candidate for U.S. Senate by majority vote
at a meeting held not earlier than twenty-one days
before the first day to sign designating petitions and
not later than the first day to sign designating
petitions for the primary election (Sec. 6-104).
Each committee member casts number of votes in
accordance with ratio which number of votes cast for
party's candidate for governor in committee member's
assembly district in preceding gubernatorial election
bears to total party vote cast for governor in the
entire State in that election (Sec. 6-104). Name of the
candidate who has received the designation of the state
committee and the office for which designated shall be
filed with the State Board of Election within four days
after such meeting (Sec. 6-104).
Other party candidates, who received 25 percent or
more of total vote cast by party State committee on any
one balloting, shall also be filed by the committee
with the State Board of Elections at the same time
(Sec. 6-104(7)). Such persons may be placed on party
primary ballot by making written demand to the State
Board of Elections not later than 7 days after party
state committee meeting (Sec. 6-104(2)).
Petition by enrolled party members may also be used
to have candidate's name placed on primary ballot
(Sec. 6-104(5)). Petition must be signed by not less
than 15,000 or 5 percent, whichever is less, of
enrolled party voters within the state of whom not less
than 100 or 5 percent, whichever is less, of such
enrolled voters shall reside in each of one-half of the
congressional districts of the State (Sec. 6-136(1)).
Petition shall be filed with the State Board of
Elections not earlier than the 10th Monday and not
later than the 9th Thursday before the primary 6-
158(1)).
If more than one candidate is designated for the
nomination of a party for the office of U.S. Senator,
the party nomination shall be made at the primary
election (Sec. 6-160(1)).
Independent candidate.
Nominating petition.-- Signatures of at least 15,000
voters required, of whom at least 100 shall reside in
each of one-half of the congressional districts of the
State (Sec. 6-142(1)). File not earlier than 12 weeks
and not later than 11 weeks preceding the general
election (Sec. 6-158(9) with the State Board of
Elections (Sec. 6-144).
First nominations by new party may be made in such
manner as the party rules provide (Sec. 6-128(1)). An
independent body becomes a party when its candidate for
Governor at the last preceding gubernatorial election
polled at least 50,000 votes (Sec. 1-104(3)).
Certificate of acceptance of party nomination.-- If
nominated by party of which he is not a duly enrolled
member, or if nominated by more than one party or
independent body, such person shall file a certificate
accepting the nomination as a candidate of each such
party or independent body other than that of the party
with which he is enrolled (Sec. 6-146(1)). File with
the State Board of Elections (Sec. 6-144) not later
than the third day after the 11th Tuesday preceding the
general election (Sec. 6-158(11)).
Filing Fees and Assessments.--No statutory provision.
Crossfiling by Candidates.
Candidate must be enrolled member of party at time
State party committee files certificate of nomination
or when designating petition for primary is filed by
party members (Sec. 6-120(1); 6-120(2)). However, the
State committee of a party, at a meeting, may by a
majority vote of those present authorize the nomination
of a person who is not so enrolled (Sec. 6-120(3)). If
nominated by party of which he is not a duly enrolled
member, a candidate shall file a certificate accepting
the nomination as a candidate of such party or
independent body other than of the party with which he
is enrolled (Sec. 6-146(1)).
Write-in Provision.
Permitted in primary (Sec. 7-114g) and in general
election (Sec. 7-104), on voting machines (Sec. Sec. 8-
308; 7-104(7)).
Vacancy in Office.
At the general election next preceding the expiration
of the term of office of a United States Senator from
this state, a United States Senator shall be elected by
the people for a full term of 6 years. Elections to
fill a vacancy for an unexpired term shall be held as
provided in the public officers law (Sec. 12-200).
If a vacancy occurs in any even-numbered calendar
year on or after the 59th day prior to an annual
primary election, the Governor shall make a temporary
appointment to fill such vacancy until the third day of
January in the year following the next even-numbered
calendar year. If such vacancy occurs in any even-
numbered calendar year on or before the 60th day prior
to an annual primary election, the Governor shall make
a temporary appointment to fill such vacancy until the
third day of January in the next calendar year. If a
vacancy occurs in any odd-numbered year, the Governor
shall make a temporary appointment to fill such vacancy
until the third day of January in the next odd-numbered
calendar year. Such an appointment shall be evidenced
by a certificate of the Governor which shall be filed
in the Office of the State Board of Elections along
with a writ of election (McKinney's Public Officers
Law, Sec. 42(4-a)).
North Carolina
Unless otherwise designated, references are to North Carolina General
Statutes (1991), and to the 1999 Cumulative Supplement.
Primary Elections, when held.
Tuesday next after the first Monday in May (Sec. 163-
1(b)). (May 2, 2000).
Second Primary (runoff), when held.
In case no candidate receives a substantial
plurality, or in case of a tie between two candidates
or more, a second primary shall be held 4 weeks after
the first primary (Sec. 163-111(e)). (May 30, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Notice of candidacy and pledge not to run as write-in
candidate if defeated in the primary.--File with State
Board of Elections no earlier than 12 noon on the first
Monday in January and no later than 12 noon on the
first Monday in February preceding the primary
(Sec. 163-106(c)).
Independent candidate
Nominating petition accompanied by affidavit of
candidate that he seeks independent nomination and is
not affiliated with any political party.--Signatures
are required of at least 2 percent of total number of
registered voters in the State. File with State Board
of Elections on or before 12 noon on the last Friday in
June (Sec. 163-122(a)(1)).
Filing Fees and Assessments (Sec. 163-107).--Required of
candidates in primary.
Amount.--One percent of annual salary.
Date of payment.--Time of filing notice of candidacy.
To whom paid.--State Board of Elections.
The petition must be filed with the State Board of
Elections not later than 12 noon on the first Monday in
February (Sec. 163-107(a)).
Crossfiling by Candidates.
Prohibited. Candidate must be affiliated with party
whose nomination he seeks, and must pledge that if
defeated in the primary he will not run for any office
as a write-in candidate in the next general election
(Sec. 163-106).
Write-in Provisions.
Permitted in general election only (Sec. 163-151).
Vacancy in Office.
Whenever there shall be a vacancy in the office of
United States Senator from this State, whether caused
by death, resignation, or otherwise than by expiration
of term, the Governor shall appoint to fill the vacancy
until an election shall be held to fill the office. The
Governor shall issue his writ for the election of a
Senator to be held at the time of the first election
for members of the General Assembly that is held more
than 60 days after the vacancy occurs. The person
elected shall hold office for the remainder of the
unexpired term. The election shall take effect from the
date of the canvassing of the returns (Sec. 163-12).
North Dakota
Unless otherwise designated, references are to the 1997 North Dakota
Century Code Annotated.
Primary Elections, when held.
Second Tuesday in June in general election years
(Sec. 16.1-11-01). (June 13, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Candidate's petition, accompanied by candidate's
affidavit that he seeks nomination of certain political
party.--Signatures of legal voters of his party are
required, equal in number to 3 percent of the total
vote cast for candidates of such party for the same
position at the last general election, but not more
than 300 signatures may be required. (Sec. 16.1-11-06).
A candidate's affidavit must accompany the petition.
(Sec. 16.1-11-10). File with Secretary of State, not
more than 90 nor less than 60 days before the primary
and before 4 p.m. of the 60th day (Sec. 16.1-11-06).
A certificate of endorsement in lieu of a candidate's
petition may be filed as above; such certificate must
be signed by the state chairman of a legally recognized
political party. The certificate must state the
candidate's name, address, the title of the office to
which he aspires, and the party he represents
(Sec. 16.1-11-06.1).
Independent candidate
Certificate of nomination.--1000 signatures are
required of qualified electors residing in the State
(Sec. 16.1-12-02). File with the Secretary of State not
later than 4 p.m. of the 60th day before general
election (Sec. 16.1-12-04).
Filing Fees and Assessments.--No statutory provisions.
Crossfiling by Candidates.
Prohibited. Must represent the party whose nomination
he seeks (Sec. 16.1-11-10). If nominated by more than
one party, candidate must make a selection (Sec. 16.1-
12-06). A defeated primary candidate is ineligible to
have his name printed on the general election ballot as
candidate for the same office (Sec. 16.1-13-06).
Write-in Provisions.
Permitted in primary (Sec. 16.1-11-35); however, no
person shall be deemed nominated at any primary
election unless the number of votes received by him
equals the number of signatures needed on the petition
to have a candidate's name printed on the primary
ballot (Sec. Sec. 16.1-11-36, 16.1-13-25).
Vacancy in Office.
When a vacancy occurs in the office of United States
senator from this state, the governor shall issue a
writ of election to fill the vacancy at the next
statewide primary or general election, whichever occurs
first, and that occurs at least ninety days after the
vacancy. However, if the next primary or general
election at which the vacancy could be filled, occurs
in the year immediately preceding the expiration of the
term, then no election may be held. The governor, by
appointment, may fill the vacancy temporarily, but any
person so appointed shall serve only until the vacancy
is filled by election or until the term expires if no
election can be held (Sec. 16.1-13-08).
Ohio
Unless otherwise indicated, references are to the Ohio Revised Code
Annotated, (1996 Replacement Volume) and to the 1997 Bulletin.
Primary Elections, when held.
On the third Tuesday in March 1996 and every fourth
year thereafter (March 21, 2000) (Sec. 3513.01(A)).
Nominating Papers, Petitions, Etc.
Party candidates for primary
Declaration of candidacy and petition
(Sec. Sec. 3513.04, 3513.05, 3513.07).--Signatures
required of at least 1,000 qualified voters of his
party. File with Secretary of State, not later than 4
p.m. of the 75th day before primary.
Independent candidates
Nomination petition and statement of candidacy.--Must
have no less than 5,000 signatures. File with Secretary
of State not later than 4 p.m. of the day before the
primary election (Sec. 3513.257).
Filing Fees and Assessments (Sec. 3513.10).
By all candidates. including independent and write-in
candidates.
Amount.--$100.
Date of payment.--At time of filing nominating papers
or declaration of intent to be a write-in candidate.
To whom paid.--Secretary of State.
Crossfiling by Candidates.
Prohibited.--Candidate required to support party
(Sec. 3513.07). No person shall be a candidate for
nomination or election at a party primary if he voted
in the primary of a different party within the current
year and the immediately preceding two calendar years
(Sec. 3513.191). Person who seeks party nomination in
primary by declaration of candidacy or by declaration
of intent to be a write-in candidate shall not be
permitted to become a candidate at the following
general election for any office by nominating petition
or by write-in (Sec. 3513.04).
Subversive Parties Barred from Ballot.
Advocating overthrow of Government by force--Parties
or groups engaged in un-American activities are barred
from the ballot (Sec. 3517.07). Where the state
legislature made extensive revisions in Ohio election
laws after a political party brought suit challenging
such laws, so that all issues became moot except one
(whether the requirement of filing a loyalty oath was
constitutional), a federal court will not exercise
jurisdiction in view of the abstract and speculative
posture of the case. Socialist Labor Party v. Gilligan,
406 U.S. 583, 32 L.Ed.2d 24, 92 S.Ct. 1716.
Write-in Provisions.
Permitted in primary (Sec. Sec. 3513.14, 3513.23) and
in general election; but write-in votes shall not be
counted for any candidate who has not filed a
declaration of intent to be a write-in candidate. File
such declaration with Secretary of State before 4 p.m.
of the 50th day preceding the election (Sec. 3513.041).
Statutes provide for write-ins on voting machines--
(Sec. 3506.10(B)), and on punch card voting systems--
(Sec. 3506.06(B)).
Candidate defeated in primary may not become a
candidate at the following general election by
nominating petition or by write-ins (Sec. 3513.04).
Vacancy in Office.
If a vacancy occurs, the Governor shall make a
temporary appointment of some suitable person having
the necessary qualifications for Senator. The appointee
shall hold office until the 15th of December succeeding
the next regular state election which occurs more than
180 days after such vacancy happens. At that next
regular state election, a special election to fill the
vacancy shall be held, provided, that when the
unexpired term ends within 1 year immediately following
the date of such regular state election the appointment
shall be for the unexpired term (Sec. 3521.02).
Oklahoma
Unless otherwise indicated, references are to the 1997 Oklahoma
Statutes Annotated, Title 26, and to the 2000 Cumulative Annual Pocket
Part.
Primary Elections, when held.
Fourth Tuesday in August in even-numbered years
(Sec. 1-102). (August 22, 2000).
Second (Runoff) Primary, when held.
If no candidate receives a majority of the votes
cast, a second (runoff) primary shall be held on the
third Tuesday in September (Sec. 1-103). (September 19,
2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy.--File with Secretary of the
State Election Board during period beginning the first
Monday after July 4 and remaining open until 5 p.m. on
the next succeeding Wednesday (Sec. Sec. 5-102, 5-110,
5-111).
Petition supporting candidate's filing.--A
declaration of candidacy must be accompanied by a
petition supporting a candidate's filing signed by 5
percent of the registered voters eligible to vote for a
candidate in the first election wherein the candidate's
name could appear on the ballot, as reflected by the
latest January 15 registration report; or by a
cashier's check or certified check in the amount of
$1,000 for candidates filing with the Secretary of the
State Election Board (Sec. 5-112).
New party candidates
Only candidates of ``recognized political parties,''
i.e., those appearing on the general election ballot or
those which are formed according to law may file for
party nomination (Sec. Sec. 5-104, 1-107).
To file as a candidate for nomination by a political
party to any state or county office, a person must have
been a registered voter of that party for the 6-month
period immediately preceding the first day of the
filing period prescribed by law and, under oath, so
state. Provided, this requirement shall not apply to a
candidate for the nomination of a political party which
attains recognition less than 6 months preceding the
first day of the filing period required by law.
However, the candidate shall be required to have
registered with the newly recognized party within 15
days after such party recognition (Sec. 5-105).
Filing Fees and Assessments (Sec. 5-112).
May be paid by party candidates for primary in lieu
of a petition signed by 5 percent of voters registered
and eligible to vote for such candidate in the first
election wherein the candidate's name could appear on
the ballot.
Amount.--$1,000.
Date of payment.--When filing declaration.
To whom paid.--Secretary of State Election Board.
If a candidate is unopposed in the primary, becomes a
candidate in the runoff primary, or receives more than
15 percent of the votes cast for the office for which
he is a candidate at the first election wherein his
name appears on the ballot, the filing fee shall be
immediately returned to the candidate (Sec. 5-113).
Crossfiling by Candidates.
To file as a candidate for nomination of a party, a
person must be a registered voter of the party (Sec. 5-
105). May file for no more than one office at any
election (Sec. 5-106).
Subversive Parties and Individuals Barred from Ballot.
No provisions.
Write-in Provisions.
No statutory provisions.
Vacancy in Office.
Whenever a vacancy shall occur in the office of a
member of the United States Senate from Oklahoma, such
vacancy shall be filled at a special election to be
called by the Governor within 30 days after occurrence
of the vacancy. No special election shall be called if
the vacancy occurs after March 1 of any even-numbered
year if the term of the office expires the following
year. In this case the candidate elected to the office
at the regular General Election shall be appointed by
the Governor to fill the unexpired term (Sec. 12-101).
Oregon
Unless otherwise designated, references are to the Oregon Revised
Statutes Annotated, 1991 and to the 1998 Supplement.
Primary Elections, when held.
Third Tuesday in May of each even-numbered year
(Sec. 254.056(2)). (May 16, 2000).
Nominating Papers, Petitions, Etc.
(a) A nominating petition for an office to be voted
for in the state at large or for a candidate for
Representative in Congress shall contain signatures of
members of the same major political party as the
candidate. Except as provided in this subsection, there
shall be at least 1,000 signatures or the number of
signatures at least equal to two percent of the vote
cast in the state or congressional district, as the
case may be, for the candidates of that major political
party for presidential electors at the last
presidential election, whichever is less (Sec. 249.068)
A nominating petition or declaration of candidacy
shall be filed not sooner than the 250th day and not
later than the 70th day before the date of the biennial
primary election (Sec. 249.037). File with Secretary of
State (Sec. 249.035).
Declaration of candidacy.
In lieu of petition for nomination with required
number of signatures, a person can have his name
printed as a candidate on his party's primary ballot by
filing a declaration of candidacy and paying required
filing fee (Sec. 249.020). File with Secretary of State
(Sec. 249.035) not before the 250th day and not later
than the 70th day before the biennial primary election
(Sec. 249.037).
Candidates of other than major parties
A minor political party, assembly of electors or
individual electors may nominate one candidate for each
partisan public office to be filled at the general
election by preparing and filing a certificate of
nomination as provided in ORS 249.712 to 249.850.
If nomination is made by a convention or assembly, a
copy of the minutes of the meeting must accompany the
certificate of nomination (Sec. Sec. 249.720, 249.735).
If nomination is made by individual electors, the
certificate of nomination shall contain a number of
signatures of electors in the electoral district equal
to not less than one percent of the total votes cast in
the electoral district for which the nomination is
intended to be made (Sec. 249.740).
Filing Fees and Assessments (required only of candidates who
file a declaration of candidacy) (Sec. Sec. 249.056,
249.035).
Amount.--$150 for U.S. senatorial candidate.
Date of payment.--At time of filing declaration of
candidacy.
To whom paid.--Secretary of State.
Crossfiling by Candidates.
Prohibited. Candidate must declare that, if he is
defeated in primary, he will not accept the nomination
or endorsement of any party other than the one in which
he is registered at time of filing for nomination
(Sec. 249.031(g)).
If a candidate has not been a member of the major
political party for at least 180 days before the
deadline for filing a nominating petition or
declaration of candidacy, the candidate shall not be
entitled to receive the nomination of that major
political party. If a candidate's registration becomes
inactive, the inactive status shall not constitute a
lapse of membership in the party if, immediately before
the registration became inactive, the candidate was a
member of the party and was not a member of any other
political party within the 180 days preceding the
deadline for filing a nominating petition or
declaration of candidacy. The requirement that the
candidate be qualified by length of membership does not
apply to any candidate whose 18th birthday falls within
the period of 180 days or to a write-in candidate.
(Sec. 249.046)
Unsuccessful candidate in primary shall not be a
candidate of any other political party or become an
independent candidate at the succeeding election
(Sec. 249.048).
As to candidates not nominated at primary elections,
the acceptance of the nominee shall either accompany
the certificate of nomination or it must be filed after
the certificate is filed but before the time for filing
nominations for the office has expired (Sec. 249.712).
Independent candidates and candidates nominated by an
assembly of electors must state in their certificates
of nomination that they were not affiliated with any
political party for at least 180 days before the
deadline for the filing certificates of nomination
(Sec. 249.720(e)).
Subversive Parties Barred from Ballot.
Advocating overthrow of Government by force.--
Sec. 236.030.
Write-in Provisions.
Permitted in primary and general elections and on
voting machines (Sec. 254.145).
Vacancy in Office.
Under Article V, Section 16 of the Constitution of
Oregon, if a vacancy occurs in the office of United
States Senator, the vacancy shall be filled at the next
general election provided such vacancy occur more than
20 days prior to such general election.
(1) If a vacancy in election or office of
Representative in Congress or United States Senator
occurs before the 61st day before the general election,
the Governor shall call a special election to fill that
vacancy. If a vacancy in election or office of United
States Senator occurs after the 62nd day before the
general election but on or before the general election,
and if the term of that office is not regularly filled
at that election, the Governor shall call a special
election to fill the vacancy as soon as practicable
after the general election.
(2) If a special election to fill the vacancy in
election or office of Representative in Congress or
United States Senator is called before the 80th day
after the vacancy occurs, each major political party
shall select its nominee for the office and certify the
name of the nominee to the Secretary of State. The
Secretary of State shall place the name of the nominee
on the ballot.
(3) If a special election to fill the vacancy in
election or office of Representative in Congress or
United States Senator is called after the 79th day
after the vacancy occurs, a special primary election
shall be conducted by the Secretary of State for the
purpose of nominating a candidate of each major
political party. A declaration of candidacy or
nominating petition may be filed not later than the
10th day following the issuance of the writ of election
(Sec. 188.120).
Pennsylvania
Unless otherwise designated, references are to title 25 of Purdon's
Pennsylvania Statutes Annotated and to the 1999 Cumulative Annual
Pocket Part.
Primary Elections, when held.
Third Tuesday in May in even-numbered years, except
in presidential election years, when it shall be held
on the 4th Tuesday in April (Sec. 2753). (April 25,
2000).
Nominating Papers, Petitions, Etc.
Party candidates for primary
Candidates for nomination for the United States
Senate shall present a nomination petition containing
2,000 signatures of registered and enrolled party
members (Sec. 2872.1). File with Secretary of the
Commonwealth (Sec. 2873(a)), on or before the 10th
Tuesday prior to the primary (Sec. 2873(d)).
Candidates of political bodies which do not qualify as
political parties (Sec. 2831(c)).
Nomination papers signed by qualified electors of the
State are to be filed with the Secretary of the
Commonwealth. (Sec. 2911(a), (c), (d), (e)). Signatures
are required equal in number to 2 percent of largest
entire vote cast for any elected candidates in the
State at large in last preceding election
(Sec. 2911(b)). The nomination papers are to be filed
with the Secretary of the Commonwealth on or before the
second Friday subsequent to the primary (Sec. 2913(c)).
Loyalty affidavits. (Title 65, Sec. 224, Supp.).
All candidates must file with nomination petition,
nomination paper, or nomination certificate a statement
under oath or affirmation that he is not a subversive
person.
Write-in candidate nominated at a primary must file
affidavit within 60 days after primary.
Write-in candidate elected in general election must
file affidavit prior to being sworn into the office to
which he is elected.
Filing Fees and Assessments.
Amount.--Party candidates, $200 (Sec. 2873(b.1)).
Date of payments.--At time of filing nomination
petitions (Sec. 2873(b.1)) or nomination papers
(Sec. 2914).
To whom paid.--Secretary of Commonwealth
(Sec. Sec. 2873(a)).
Crossfiling by Candidates.
Prohibited. Person may not be candidate of more than
one party (Sec. 2911(e)(5)).
Subversive Parties Barred from Ballot.
Advocating overthrow of Government by force.--
(Sec. 2831(d)).
Write-in Provisions.
Permitted in primary (Sec. 2962(b)), and in general
election (Sec. 2963(a)); electronic voting system
(Sec. 3031.12(a)(3)).
Vacancy in Office.
If a vacancy occurs, it shall be filled for the
unexpired term by the vote of the electors of the State
at a special election held at the next general or
municipal election, occurring at least 90 days after
the happening of such vacancy.
Candidates shall be nominated by political parties in
accordance with party rules and by means of nomination
certificates. Until such time as the vacancy shall be
filled by an election, the Governor may make a
temporary appointment to fill the vacancy (Sec. 2776).
Rhode Island
Unless otherwise specified, references are to the General Laws of Rhode
Island, 1996 Reenactment, and to the 1999 Pocket Supplement.
Primary Elections, when held.
Second Tuesday after first Monday in September of
even numbered years (Sec. 17-15-1). (September 12,
2000). When any primary falls on a religious holiday
such primary shall be held on the next business day
following, other than Saturday (Sec. 17-15-2).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy.--During the last
consecutive Monday, Tuesday, and Wednesday in June in
the even years preceding a primary. The declaration of
candidacy must be filed not later than 4 p.m., on the
last day for filing with the Secretary of State
(Sec. 17-14-1).
Nomination papers.--Upon receipt of declaration of
candidacy, the Secretary of State shall prepare
nomination papers for each person who has filed a
declaration of candidacy. (17-14-4).
Signatures are required of at least 1,000 voters for
a U.S. Senatorial candidate (Sec. 17-14-7). Submit
nomination papers for verification on the 60th day
before primary to local board of elections of city or
town where signers vote (Sec. 17-14-11).
State party committee may endorse a candidate for the
United States Senate by filing notification of same
with Secretary of State by 4 p.m. on the second day
after the final day for filing declarations of
candidacy. (Sec. 17-12-4). Candidates for nomination
endorsed by party committee shall be combined on the
same nomination papers (Sec. 17-14-4).
Certificate of signatures.--Local board shall certify
number of names and qualifications of signers ``and
shall file all nomination papers for State officers
forthwith with Secretary of State'' (Sec. 17-14-11).
Nomination papers shall be filed with Secretary of
State not later than 60 days before primary (Sec. 17-
14-11, Supp.).
Independent candidate on final nomination papers
Declaration of candidacy.--Nomination papers must be
filed not later than 4 p.m. 60 days before the primary
with Secretary of State (Sec. Sec. 17-14-11).
Nomination papers.--Upon receipt of declaration, the
Secretary of State shall prepare nomination papers for
each candidate who has filed a declaration of candidacy
and shall furnish nomination papers to the candidate
(Sec. Sec. 17-14-4). Signatures of at least one
thousand voters are required for the nomination papers
of a U.S. senatorial candidate, (Sec. 17-14-7).
Filing Fees and Assessments.--No statutory provisions.
Crossfiling by Candidates.
Party candidates are not eligible for independent
nomination, and independent candidates are not eligible
for party nomination (Sec. 17-14-2.1). Whenever any
person seeks elective office, that person shall not
have been a member of a political party other than the
declared political party within 90 days of the filing
of his or her declaration of candidacy. (Sec. 17-14-
1.1).
Subversive Parties Barred From Ballot.--No statutory
provisions.
Write-in Provisions.
Permitted in general elections (Sec. 17-19-31).
Vacancy in Office.
If a vacancy occurs, it shall be filled at the next
general election after the expiration of 70 days from
the date of such vacancy. In case of such vacancy, the
Governor shall make a temporary appointment of a
person, pending the results of such an election
(Sec. 17-4-9).
South Carolina
Unless otherwise designated, references are to the Code of Laws of
South Carolina 1976 and to the 1998 Cumulative Supplement.
Primary Elections, when held.
Second Tuesday in June in general election years
(Sec. 7-13-40, Supp.) (June 13, 2000).
If no candidate receives a majority in the first
primary, a second shall be held and, if necessary, a
third, each two weeks successively thereafter (Sec. 7-
13-40, Supp., Sec. 7-13-50, Supp.).
State Convention.
Candiates for U.S. Senator may also be nominated by
convention (Sec. Sec. 7-11-10, Supp., 7-11-30, Supp.).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Notice of candidacy and pledge to support party
candidates.
File with treasurer of State committee of his
political party by 12 noon on March 30 (Sec. 7-11-210,
Supp.).
Party candidate nominated by convention (Sec. 7-11-
30, Supp.).
Use of convention method must be approved by a three-
fourths vote of the total membership of such convention
(Sec. 7-11-30, Supp.).
Independent candidate (Sec. 7-11-70, Supp.).
Nominating petition.--Signatures of at least 5
percent of qualified registered electors in the State,
but not more than 10,000. Certified to State Election
Commission (Sec. 7-11-70, Supp.).
Nominees by petition.--Any nominee by petition for
one or more of the offices, national, state, circuit,
multicounty district or county, to be voted on in the
general election must be placed upon the appropriate
ballot by the officer, commissioners or other authority
charged by law with preparing the ballot if the
petition is submitted to the officer, commissioner, or
other authority, as the case may be, for general
elections held under Sec. 7-13-10, not later than 12
noon on August 1st, or if August 1st falls on Sunday,
not later than 12 noon on the following Monday (Sec. 7-
13-351, Supp.).
Certified for ballot.--Nominees in a party primary or
party convention to be voted on in the general election
must be placed on the appropriate ballot for the
election as candidates nominated by the party by the
authority charged by law with peparing the ballot if
the names are certified by the political party
chairman, vice chairman, or secretary to the authority
not later than 12 noon on September 1st or, if
September 1st falls on Sunday, not later than 12 noon
on the following Monday (Sec. 7-13-350, Supp.).
Filing Fees and Assessments (for primary candidates)--
The filing fees for all candidates filing to run in
all primaries, except municipal primaries, must be
transmitted by the respective political parties to the
State Election Commission and placed by the executive
director of the commission in a special account
designated for use in conducting the primaries and must
be used for that purpose. The filing fee for each
office is one percent of the total salary for the term
of that office or one hundred dollars, whichever amount
is greater. (Sec. 7-13-40)
Crossfiling by Candidates.
Prohibited. If a person defeated as a candidate for
nomination in the primary campaign is a candidate
against his party's nominee, party officials should
institute court action for an injunction (Sec. 7-11-
210, Supp.).
Subversive Parties Barred from Ballot.
No statutory provisions.
Write-in Provisions.
Permitted in general election (Sec. 7-13-360); on
voting machines (Sec. 7-13-1850).
Nothing contained in this section shall be construed
to prevent the use of electronic methods of casting
write-in ballots or the use of voting machines which do
not employ paper and handwriting methods or technology
for casting write-in ballots. (Sec. 7-13-800).
Vacancy in Office.
If a vacancy occurs, the Governor may fill such
vacancy by appointment for the period of time
intervening between the date of such appointment and
January 3 following the next succeeding general
election. But, if such vacancy occurs less than 100
days prior to any general election, the appointment
shall be for the period of time intervening between the
date of such appointment and January 3 following the
second general election next succeeding. The Governor
shall within 5 days after any such appointment order an
election to occur at the time of the general election
immediately preceding the expiration date of the
appointment if at the expiration of such appointment an
unexpired term shall remain. (Sec. 7-19-20).
South Dakota
Unless otherwise indicated, references are to the South Dakota Codified
Laws 1995 revision and 1997 pocket supplement.
Primary Elections, when held.
First Tuesday in June in even-numbered years
(Sec. Sec. 12-2-1). (June 2, 1998).
If no candidate receives 35 percent of the votes of
his party, a secondary election is held 2 weeks from
the date of the first primary (Sec. Sec. 12-6-51.1).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Nominating petition.--Signatures are required of not
less than 1 percent of the number of voters who cast
their votes for that party's candidate for Governor at
the last general election. File with Secretary of State
between 8 a.m. on January 20 and 5 p.m. on the first
Tuesday of April prior to the primary (Sec. Sec. 12-6-
4, 12-6-7).
Independent candidate
Certificate of nomination.--Signatures are required
of not less than 1 percent of total State vote cast for
Governor at the last general election (Sec. 12-7-1).
File with Secretary of State between 8 a.m. on May 1
and 5 p.m. on the first Tuesday in August. Certificate
of nomination may not be circulated before January 1 of
the year of the election. Certificate is to specify any
political party with which the candidate is associated,
or that he is an independent (Sec. Sec. 12-7-1, 12-7-
1.1).
Filing Fees and Assessments.--No statutory provision.
Crossfiling by Candidates.
No person may be a candidate for nomination to more
than one public office (Sec. Sec. 12-6-3, 12-7-5).
Subversive Parties Barred from Ballot.
No statutory provisions.
Write-in Provisions.
No statutory provisions.
Vacancy in Office.
If a vacancy occurs, it is the duty of the Governor
within 10 days of the occurrence to issue a
proclamation setting the date of and calling for a
special election to fill the vacancy. If either a
primary or general election is to be held within 6
months, an election to fill a vacancy in the office of
representative in the United States Congress shall be
held in conjunction with that election; otherwise, the
election shall be held not less than 80 nor more than
90 days after the vacancy occurs (Sec. 12-11-1). The
Governor may fill by temporary appointment, until a
special election is held, vacancies in the office of
U.S. Senator (Sec. 12-11-4).
Tennessee
Unless otherwise designated, references are to be the Tennessee Code
annotated. 1994 Replacement volume and to the 1999 Supplement.
Primary Elections, when held.
First Thursday in August in even-numbered years
(Sec. 2-13-202 Supp., 2-1-104(24)). (August 3, 2000).
Nominating Papers, Petitions, etc.
Nominating petition must have candidate's signature
as well as signatures of at least 25 registered voters
eligible to vote to fill the office. File original with
State Election Commission and certified duplicates with
the coordinator of elections and with the chairman of
the party's state executive committee, not later than
12 noon on the first Thursday in the fourth calendar
month before the August election (Sec. Sec. 2-5-101,
Supp.; 2-5-103).
Independent candidates
File nominating petition, as above, no duplicate need
be filed with a party executive committee (Sec. Sec. 2-
5-101; Supp., 2-5-103). Nominating petitions are to be
filed by 12 noon on the third Thursday in April
(Sec. 2-5-101, Supp.).
Filing Fees.
No statutory provisions.
Crossfiling by Candidate.
No person may qualify as a candidate in a primary
election with more than one party in which he seeks the
same office. It is also unlawful for any person to
qualify as an independent candidate and as a primary
candidate for the same office in the same year. No
person defeated in an August primary election may
qualify as an independent for the same office in the
November general elections. No candidate in a party
primary election may appear on the ballot in a general
election as the nominee of a different political party
or as an independent (Sec. 2-5-101(f), Supp.).
Subversive Parties Barred from Ballot.
Advocating overthrow of Government by force (Sec. 2-
1-114).
Write-in Provisions.
Permitted in all elections using paper ballots
(Sec. Sec. 2-7-114, Supp.; 2-5-207), when using a
voting machine a paper ballot should be requested
(Sec. 2-7-117). In order for any person to receive a
party nomination by write-in ballots, he must receive
at least 5 percent of the total number of votes cast in
the primary on election day unless there are candidates
for the office involved listed on the official ballot
(Sec. 2-8-113).
Vacancy in Office.
If a vacancy occurs in the office of United States
Senator, a successor shall be elected at the next
regular November election and shall hold office until
the term for which his predecessor was elected expires.
If the vacancy will deprive the State of its full
representation at any time Congress may be in session,
the governor shall fill the vacancy by appointment
until a successor is elected at the next regular
November election and is qualified (Sec. 2-16-101).
Texas
Unless otherwise indicated, references are to Vernon's Texas Codes
Annotated 2000 (Election Code) and to the 2000 Cumulative Annual Pocket
Part.
Primary Elections, when held.
Second Tuesday in March in even-numbered years
(Sec. 41.007(a) Supp.). (March 14, 2000).
Second Primary (runoff), when held.
The runoff primary election date is the second
Tuesday in April following the general primary election
(Sec. 41.007(b) Supp.).
Nominating Papers, Petitions, Etc.
Party candidate for primary.--Parties which received
over 20 percent of the vote for Governor at the last
election (Sec. 172.001). To be entitled to a place on
the general primary election ballot, a candidate must
make an application for a place on the ballot. An
application must, in addition to complying with section
141.031 (general requirements for application), be
accompanied by the appropriate filing fee or, instead
of the filing fee, a petition that satisfies the
requirements prescribed by Section 141.062 (validity of
petition) (Sec. 172.021, Supp.). The filing fee for a
candidate for nomination in the general primary
election for United States senator is $4,000
(Sec. 172.024, Supp.).
An application must be filed with the state chair of
a political party for an office filed by votes of more
than one county (Sec. 172.022, Supp.). An application
for a place on the general primary election ballot must
be filed not later than 6 p.m. on January 2 of the
primary election year unless the filing deadline is
extended (Sec. 172.023, Supp.).
Petition signatures required.--The minimum number of
signatures that must appear on a petition for a
statewide office is 5,000 (Sec. 172.025, Supp.). Not
later than the 57th day before the general primary
election day, the state chair shall deliver the
certification to the county chairman in each county in
which the candidate's name is to appear on the ballot
(Sec. 172.028(b), Supp.).
Independent candidates.--Independent candidates must
file an application for a place on the general election
ballot with the secretary of state accompanied by a
petition not later than 5 p.m. of the 30th day after
the runoff primary (Sec. Sec. 142.004-142.005; 142.006,
Supp.). The petition for a statewide office must
include signatures equal to 1 percent of the total vote
received by all candidates for governor at the most
recent gubernatorial general election (Sec. 142.007).
Minor party nomination.--To be entitled to have the
names of its nominees placed on the general election
ballot, a political party required to make nominations
by convention must file with the secretary of state,
not later than the 75th day after the date of the
precinct conventions held under this chapter, lists of
precinct convention participants indicating that the
number of participants equals at least 1 percent of the
total number of votes received by all candidates for
governor in the most recent gubernatorial general
election. The lists must include each participant's
residence address and voter registration number. A
political party that has qualified to have the names of
its nominees placed on the ballot and that had a
nominee for a statewide office who received a number of
votes equal to at least 5 percent of the total number
of votes received by all candidates for that office is
entitled to have the names of its nominees placed on
the ballot in the subsequent general election
(Sec. 181.005, Supp.). An application for nomination by
convention must be filed with the state chair not later
than 5 p.m. on January 2 preceding the convention
(Sec. 181.033(a), Supp.). A political party nominating
by convention must make its nomination for statewide
offices at a state convention held on the second
Saturday in June (Sec. 181.061(a), Supp.).
Filing Fees and Assessments.
Amount.--$4,000.
Date of payment.--The time of filing an application
for a place on the general primary ballot
(Sec. 172.021, Supp.).
To whom paid.--State chair of state executive
committee of a political party (Sec. 172.022, Supp.).
Crossfiling by Candidates.
Prohibited.--Candidate required to be affiliated with
party whose nomination he seeks (Sec. 172.027, Supp.).
Subversive Parties Barred From Ballot.
Candidate must take an oath to support and defend the
constitutions and the laws of the United States and the
State of Texas (Sec. 141.031(K), Supp.).
Write-in Provisions.
Voting systems must permit write-in voting
(Sec. 122.001(a)(9), Supp.). Write-in voting is not
permitted in primary elections (Sec. 172.112).
Vacancy in Office.
The governor shall appoint a person to fill a vacancy
in office if the vacancy exists or will exist when
congress is in session. The appointee serves until a
successor has been elected and has qualified
(Sec. 204.002).
If a vacancy occurs during an odd-numbered year or
after the 62nd day before general primary election day
in an even-numbered year, the remainder of the
unexpired term shall be filled by a special election
except that the minimum number of signatures that must
appear on a petition accompanying a candidate's
application for a place on the ballot is 5,000
(Sec. 204.005, Supp.).
Utah
Unless otherwise designated, references are to Utah Code Annotated,
1998 Replacement Volume 3A and to the 1999 Cumulative Pocket
Supplement.
Primary Elections, when held
Fourth Tuesday in June in each even-numbered year
(Sec. 20A-9-403) (June 27, 2000).
Nominating Papers, Petitions Etc.
Independent candidates (Sec. 20A-9-501).
Certificate of nominations.--Signatures of 1,000
legal voters are required. File with Lieutenant
Governor between March 7 and March 17 (Sec. Sec. 20A-9-
502, Supp.; 20A-9-503, Supp.).
Filing Fees and Assessments.
Amount.--One-eighth of 1 percent of total salary for
full term (Sec. 20A-9-201, Supp.).
Date of payment.--When filing nomination paper or
acceptance (Sec. 20A-9-201, Supp.).
To whom paid.--Lieutenant Governor (Sec. 20A-9-201,
Supp.).
Crossfiling by Candidates.
No candidate may file as an independent who has
previously filed in the same year a declaration of
candidacy with any political party (Sec. 20A-9-501).
Subversive Parties Barred From Ballot.
No statutory provisions.
Write-in Provisions.
To become a valid write-in candidate, a person shall
file a declaration of candidacy with the appropriate
filing officer not later than 5 p.m. on the Wednesday
before the November election in which the person
intends to be a write-in candidate. The filing officer
shall read to the candidate the constitutional and
statutory requirements for candidacy, and the candidate
shall state whether or not the requirements of the
candidacy are met. If the candidate indicates that they
are not met, the person is not a valid write-in
candidate. Votes for a valid write-in candidate shall
be read and tallied by the election judges. Votes for
other nonvalid write-in candidates, fictitious persons,
nonpersons, or persons clearly not eligible may not be
tallied or recorded. This section does not apply to
municipal elections except in cities of the first
class. (Ante and Sec. 20A-3-106).
Vacancy in Office.
When a vacancy occurs in the office of U.S. senator,
it shall be filled for the unexpired term at the next
regular general election. The governor shall appoint a
person to serve as U.S. senator until the vacancy is
filled by election from one of three persons nominated
by the state central committee of the same political
party as the prior office-holder (Sec. 20A-1-502(2)).
Vermont
Unless otherwise designated, references are to Title 17 of the Vermont
Statutes Annotated, 1982, and to the 1999 Cumulative Pocket Supplement.
Primary Elections, when held.
Second Tuesday of September in even-numbered years
(Sec. 2351). (September 12, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Primary petitions with assent of candidate.--500
signatures of legal voters are required
(Sec. Sec. 2353, 2354, and 2355). File with Secretary
of State (Sec. 2357) not later than 5 p.m. on the third
Monday of July preceding the primary election
(Sec. 2356) (July 17, 2000).
A voter shall not sign more than one primary petition
for the same office, unless more than one nomination is
to be made, in which case he may sign as many petitions
as there are nominations to be made for the same office
(Sec. 2354).
Candidate of minor political party (political party
whose candidate for any State office in the most recent
general election polled less than 5 percent of the vote
cast for that office) may be nominated and have his
name printed on the general election ballot
(Sec. Sec. 2103(23) and 2381, Supp.).
Certificate of nomination.--These candidates may be
nominated by the state committee (Sec. 2382). When a
nomination is made under these provisions, the chairman
and the secretary of the committee making the
nomination shall file a statement under oath, setting
forth the name and residence of the candidate, the
office for which the nomination is made, and the
committee making the nomination. The candidate shall
file a consent to have his name printed on the ballot
(Sec. 2385, Supp.). Statements shall be filed not more
than 60 days before the day of the general election and
not later than 5 p.m. on the 47th day before the day of
the general election (Sec. 2386, Supp.). File with
Secretary of State (Sec. 2387).
Independent candidate
Certificate of nomination.--Signatures of voters
qualified to vote in an election for the office, equal
in number to at least 1,000 (Sec. 2402(b)(1), Supp.).
Certificate of nomination must include certificate of
the town clerk where the signers appear to be voters,
certifying those signatures which are valid and those
which are not (Sec. 2402, Supp.). File with Secretary
of State not more than 60 nor less than 47 days before
general election (Sec. Sec. 2402, 2386, Supp.).
Filing Fees and Assessments--No statutory provision.
Crossfiling by candidates.
Not prohibited.--Person nominated for the same office
by more than one party at a primary or convention, or
as an independent, ``at least 36 days before election
may elect the party or parties in which he will be a
candidate'' (Sec. 2474, Supp.).
Subversive Parties Barred from Ballot.
Advocating overthrow of Government by force.--In
order to qualify as an elector, a person must first
take the voter's oath (Sec. 2121).
Write-in Provisions.
Permitted in primary (Sec. 2362) and in general
elections (Sec. 2472).
Vacancy in Office.
If a vacancy occurs in the office of United States
Senator, the governor shall call a special election to
fill the vacancy. His proclamation shall specify a day
for the special election and a day for a special
primary. The special election shall be held not more
than 3 months from the date that the vacancy occurs,
except that, if vacancy occurs within 6 months of a
general election, the special election may be held the
same day as the general election (Sec. 2621). The
governor may make an interim appointment to fill a
vacancy in the office of United States Senator, pending
the filling of the vacancy by special election
(Sec. 2622).
Virginia
Unless otherwise designated, references are to the Code of Virginia,
Title 24.2, 1997 Replacement Volume and to the 1999 Cumulative
Supplement.
Primary Elections, when held.
Second Tuesday in June next preceding the general
election (Sec. 24.2-515, Supp.). (June 13, 2000).
Party to determine method of nominating
Each party shall have the power to provide whether a
party nomination shall be made by direct primary or by
some other method. (Sec. 24.2-509(A)).
Nomination Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy and petition.--Signatures of
10,000 qualified voters of the state including at least
400 qualified voters from each congressional district.
(Sec. 24.2-543, Supp.) Candidates must file declaration
of candidacy, together with petition, affidavit and
filing fee receipt with the State Board of Elections
not earlier than noon of the 77th day and not later
than 5 p.m. of the 60th day before the primary.
(Sec. 24.2-522).
Independent candidate
Notice of candidacy and petition.--Signatures of
10,000 qualified voters of the state, including at
least 400 qualified voters from each congressional
district. (Sec. 24.2-506, Supp.).
Filing Fees and Assessments.
For primary candidates
Amount.--Two percent of 1 year's minimum salary
attached to the office for which he is candidate in
effect in the year in which he files (Sec. 24.2-523).
Date of payment.--Before filing declaration of
candidacy (Sec. 24.2-523).
To whom paid.--State Treasurer (Sec. 24.2-524).
Crossfiling by Candidates.
Prohibited.--Candidate must be a member of the party
whose nomination he seeks. Declaration of candidacy
contains authorization to election officials not to
print candidate's name on general election ballot if
candidate is defeated at primary (Sec. 24.2-520).
Subversive Parties Barred From Ballot.
No statutory provisions.
Write-in Provisions.
Permitted on voting machines (Sec. 24.2-648).
Vacancy in Office.
When any vacancy occurs in the representation of the
Commonwealth of Virginia in the United States Senate,
the Governor shall issue a write of election to fill
the vacancy for the remainder of the unexpired term.
The election shall be held on the next succeeding
November general election date or, if the vacancy
occurs within 120 days prior to that date, on the
second succeeding November general election date. The
Governor may make a temporary appointment to fill the
vacancy until the qualified voters fill the same by
election. (Sec. 24.2-207).
Washington
Unless otherwise designated, references are to Title 29 of the
Washington Revised Code Annotated 1993 and to the 1999 Cumulative
Annual Pocket Part.
Primary Elections, when held.
The names of the candidates of the major political
parties and those independent candidates and candidates
of minor political parties who have been nominated
shall appear upon the partisan primary ballot
(Sec. 29.30.005). No name of a candidate for a partisan
office shall appear on the general election ballot
unless he receives at least 1 percent of the total
votes cast for that office. However, only the name of
the candidate who receives a plurality of the votes
cast for the candidates of his party for any office may
appear on the general ballot (Sec. 29.30.095).
Third Tuesday in September in general election years,
or on the seventh Tuesday immediately preceding such
election, whichever occurs first (Sec. 29.13.070)
(September 19, 2000).
Conventions, when held.
For new or minor parties, and for independent
candidates (Sec. 29.24.010).
Last Saturday immediately preceding first day for
filing of declarations of candidacy by major party
candidates (Sec. 29.24.020).
Nominating Papers, Petitions, Etc.
Party convention for primary
Declaration and Affidavit of candidacy
(Sec. 29.15.010).--File with Secretary of State not
earlier than the fourth Monday of July (July 24, 2000)
nor later than the following Friday (Sec. 29.15.020)
(July 28, 2000).
Minor Parties and Independent Candidates
Each minor party or independent candidate must
publish a notice in a newspaper of general circulation
within the county in which the party or the candidate
intends to hold a convention. The notice must appear at
least 10 days before the convention is to be held, and
shall state the date, time, and place of the
convention. Additionally, it shall include the mailing
address of the person or organization sponsoring the
convention (Sec. 29.24.025).
To be valid, a convention must be attended by at
least 25 registered voters. In order to nominate
candidates for the office of United States senator, a
nominating convention shall obtain and submit to the
filing officer the signatures of at least 200
registered voters of the state of Washington.
(Sec. 29.24.030).
A nominating petition submitted shall clearly
identify the name of the minor party or independent
candidate convention as it appears on the certificate
of nomination. The petition shall also contain a
statement that the person signing the petition is a
registered voter of the state of Washington and shall
have a space for the voter to sign his or her name and
to print his or her name and address. No person may
sign more than one nominating petition under this
chapter for an office for a primary or election
(Sec. 29.24.035).
Affidavit of candidacy.--File with declaration of
candidacy. (Sec. 29.15.010).
Filing Fees and Assessments.
Amount.--One percent of annual salary.
Date of payment.--When filing declaration of
candidacy.
To whom paid.--Secretary of State (Sec. 29.15.050).
Crossfiling by Candidates.
Prohibited.--Must be member of party whose nomination
he seeks (Sec. 29.15.010).
No candidate's name shall appear more than once on
general election ballot. (Sec. 29.30.101).
Subversive Parties Barred From Ballot.
Communist Party.--(Sec. Sec. 9.81.040, 9.81.083).
Write-in Provisions.
For any office at any election or primary, any voter
may write in on the ballot the name of any person for
an office who has filed as a write-in candidate for the
office in the manner provided by RCW 29.04.180 and such
vote shall be counted the same as if the name had been
printed on the ballot and marked by the voter. No
write-in vote made for any person who has not filed a
declaration of candidacy pursuant to RCW 29.04.180 is
valid if that person filed for the same office, either
as a regular candidate or a write-in candidate, at the
preceding primary. Any abbreviation used to designate
office, position, or political party shall be accepted
if the canvassing board can determine, to their
satisfaction, the voter's intent (Sec. 29.62.180,
Supp.).
Vacancy in Office.
When a vacancy happens in the representation of the
State in the Senate of the United States, the Governor
shall make a temporary appointment until the people
fill the vacancy by election (Sec. 29.68.070).
Whenever a vacancy occurs in the office of United
States representative or United States senator from
this state or any congressional district of this state,
the governor shall order a special election to fill the
vacancy. Within 10 days of such vacancy occurring, he
or she shall issue a writ of election fixing a date for
the special vacancy election not less than 90 days
after the issuance of the writ, fixing a date for the
primary for nominating candidates for the special
vacancy election not less than 30 days before the day
fixed for holding the special vacancy election, fixing
the dates for the special filing period, and
designating the term or part of the term for which the
vacancy exists. If the vacancy occurs less than 6
months before a state general election and before the
second Friday following the close of the filing period
for that general election, the special primary and
special vacancy elections shall be held in concert with
the state primary and state general election in that
year.
If the vacancy occurs on or after the first day for
filing under RCW 29.18.030 and on or before the second
Friday following the close of the filing period, a
special filing period of 3 normal business days shall
be fixed by the governor and notice thereof given to
all media, including press, radio, and television
within the area in which the vacancy election is to be
held, to the end that, insofar as possible, all
interested persons will be aware of such filing period.
The last day of the filing period shall not be later
than the third Tuesday before the primary at which
candidates are to be nominated. The names of candidates
who have filed valid declarations of candidacy during
this 3-day period shall appear on the approaching
primary ballot. If the vacancy occurs later than the
second Friday following the close of the filing period,
a special primary and special vacancy election to fill
the position shall be held after the next state general
election but, in any event, no later than the 90th day
following the November election. As used in this
chapter, ``county'' means in the case of a vacancy in
the office of United States senator, any or all of the
counties in the state and, in the case of a vacancy in
the office of United States representative, only those
counties wholly or partly within the congressional
district in which the vacancy has occurred
(Sec. 29.68.080).
West Virginia
Unless otherwise designated, references are to the West Virginia Code
Annotated (1999 Replacement Volume).
Primary Elections, when held.
Second Tuesday in May (Sec. 3-5-1) (May 9, 2000).
Nominating Papers, Petitions, Etc.
Certificate of announcement of candidacy.--File with
Secretary of State not earlier than the second Monday
in January and not later than the first Saturday in
February preceding the primary election (Sec. 3-5-7).
Candidates of minor parties (which polled less than
10 percent of total vote cast for Governor at last
general election).--Nomination may be by convention or
by certificate in the same manner as independents
(Sec. 3-5-22). If by convention, file certificate of
nomination with Secretary of State not later than 1 day
preceding the primary. (Sec. 3-5-24).
Independent candidates.--Groups of citizens having no
party organization may nominate candidates by petition.
Certificates of nomination, bearing signatures of
registered voters in number equal to not less than 2
percent of entire vote cast for United States Senator
at last general election, must be filed with Secretary
of State not later than 1 day before primary (Sec. 3-5-
23).
Filing Fees and Assessments.
Amount.--One percent of annual salary (Sec. 3-5-8).
Date of payment.--At time of filing certificate of
announcement of candidacy (Sec. 3-5-8).
To whom paid.--Secretary of State (Sec. 3-5-8).
The West Virginia Supreme Court of Appeals held that
the failure to provide a reasonable alternative to
filing fees for impecunious candidates to obtain access
to the ballot renders the filing fee requirement
unconstitutional as to such candidates, West Virginia
Libertarian Party v. Manchin, 270 S.E. 2d 634, (1980).
Crossfiling by Candidates
Prohibited.--Generally, no person shall be a
candidate for more than one office except that a
candidate for an office may also be a candidate for
president of the United States. (Sec. 3-5-7).
Subversive Parties Barred From Ballot.
No statutory provisions.
Write-in Provisions.
Permitted in general election (Sec. 3-6-5(b)(3)); on
voting machines (Sec. 3-4-8(3)); on electronic voting
system (Sec. 3-4A-9(3)).
Vacancy in Office.
Any vacancy occurring in the office of secretary of
state, auditor, treasurer, attorney general,
commissioner of agriculture, United States Senator,
judge of the supreme court of appeals, or in any office
created or made elective, to be filled by the voters of
the entire state, or judge of a circuit court, shall be
filled by the governor of the state by appointment. If
the unexpired term of a judge of the supreme court of
appeals, or a judge of the circuit court, be for less
than 2 years, or if the unexpired term of any other
office named in this section be for a period of less
than 2 years and 6 months, the appointment to fill the
vacancy shall be for the unexpired term. If the
unexpired term of any office be for a longer period
than above specified, the appointment shall be until a
successor to the office has timely filed a certificate
of candidacy, has been nominated at the primary
election next following such timely filing and has
thereafter been elected and qualified to fill the
unexpired term. Proclamation of any election to fill an
unexpired term shall be made by the governor of the
state, and, in the case of an office to be filled by
the voters of the entire state, shall be published
prior to such election as a Class II-0 legal
advertisement in compliance with the provisions of
article 3 [Sec. 59-3-1 et seq.], chapter 59 of this
code, and the publication area for such publication
shall be each county of the state. If the election is
to fill a vacancy in the office of judge of a circuit
court, the proclamation shall be published prior to
such election as a Class II-0 legal advertisement in
compliance with the provisions of article 3, chapter 59
of this code, and the publication area for such
publication shall be each county in the judicial
circuit (Sec. 3-10-3).
Wisconsin
Unless otherwise designated references are to the Wisconsin Statutes
Annotated (1996) and to the 1998 Cumulative Annual Pocket Part.
Primary Elections, when held.
Second Tuesday in September in even-numbered years.
(Sec. 5.02(18), Supp.) (September 12, 2000).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Nomination papers.--Nomination papers shall be
circulated no sooner than June 1 preceding the general
election (Sec. 8.15(1)). Signatures of party members
are required equal in number to not less than 2,000 nor
more than 4,000 electors (Sec. 8.15(6)(a)). File with
the elections board not later than 5 p.m. on second
Tuesday in July preceding primary (Sec. Sec. 8.15(1),
8.15(8)(a)) (July 11, 2000).
Declaration of candidate.--Declaration must accompany
nominating papers, that if nominated and elected,
candidate will qualify for office for which he seeks
nomination (Sec. 8.15(4)(b)).
Independent candidate
Nomination papers.--Nomination papers should be
circulated no sooner than June 1 preceding the election
(Sec. 8.20(8)(a)). Signatures are required of not less
than 2,000 nor more than 4,000 electors (Sec. 8.20(4)).
File with elections board not later than 5 p.m. on
second Tuesday in July (Sec. 8.20(8)(a)) (July 11,
2000).
Filing Fees and Assessments--No statutory provision.
Crossfiling by Candidates.
Prohibited.--No filing officer shall accept
nomination papers for any candidate to run in more than
one party primary at the same time. An independent
candidate at a partisan primary or other election may
not file nomination papers as the candidate of a
recognized political party for the same office at the
same election, or vice versa. A person who files
nomination papers as the candidate of a recognized
political party may not file nomination papers as an
independent candidate for the same office at the same
election (Sec. 8.15(7)).
If nominated to the same office by more than one
party, or nominated for more than one partisan or state
nonpartisan office, candidate's name shall appear under
the first party nominating him or under the office to
which he was first nominated. If the double nomination
is simultaneous, candidate shall file statement
declaring his party or office preference
(Sec. 8.03(1)). However, this provision does not apply
when a candidate for President or Vice President of the
United States is nominated for another elective office
during the same election. If the candidate is elected
President or Vice President, such election shall void
his election to any other office. A special election
shall be held to fill any office vacated under this
subsection (Sec. 8.03(2)).
Subversive Parties Barred From Ballot.
No provisions.
Write-in Provisions.
Permitted in primary (Sec. 8.16(2)) and in general
elections (Sec. Sec. 5.64(1)(a), 7.50(2)(a)); on voting
machines (Sec. 7.50(2)(h)).
Vacancy in Office.
Vacancies in the office of U.S. Senator shall be
filled by election, as provided in Sec. 8.50(4)(b), for
the residue of the unexpired term (Sec. 17.18). A
vacancy in the office of U.S. Senator occurring prior
to the 2nd Tuesday in May in the year of the general
election shall be filled at a special primary and
election. A vacancy in that office occurring between
the 2nd Tuesday in May and the 2nd Tuesday in July in
the year of the general election shall be filled at the
September primary and general election
(Sec. 8.50(4)(b)).
Wyoming
Unless otherwise designated, references are to the Wyoming Statutes,
Annotated, 1999 Edition.
Date of primary no longer specified by statute.
Nominating Papers, Petitions, etc.
Party candidate for primary
Application for nomination.--File with Secretary of
State not more than 96 and not less than 81 days before
primary (Sec. Sec. 22-5-206(a), 22-5-209).
Independent candidate
Nomination by petition.--Signatures required from
registered electors equal to two percent of total
number of votes cast for Representative in Congress in
last general election in state (Sec. Sec. 22-5-301, 22-
5-304.) File with Secretary of State 70 days before
general election (Sec. Sec. 22-5-306, 22-5-206(a), 22-
5-307).
Write-in candidate in primary.
Acceptance of nomination.--Write-in candidate must
receive at least 25 votes (Sec. 22-5-215).
Filing Fees and Assessments.
Primary candidates (Sec. 22-5-208).
Amount.--$200.
Date of payment.--When filing application for
nomination.
To whom paid.--Secretary of State.
Independent candidates (Sec. 22-5-306).
Amount.--$200.
Date of payment.--When filing nomination petition.
To whom paid.--Secretary of State.
Write-in candidates.--No provision.
Crossfiling by Candidates.
Prohibited.--Must be a member of party whose
nomination he seeks (Sec. 22-5-204).
A candidate defeated in a primary election is
disqualified from being a candidate by petition
(Sec. 22-5-302).
The name of a candidate shall be printed on the
ballot but once (Sec. 22-6-112).
Write-in Provisions.
Permitted in primary (Sec. 22-6-119); in general
election (Sec. 22-6-120); on voting machines (Sec. 22-
10-101); on electronic voting systems (Sec. 22-11-103).
Vacancy in Office.
If a vacancy occurs in the office of United States
Senator, the governor shall fill the vacancy by
temporary appointment according to specified rules
(Sec. 22-18-111(a)(i)).
=======================================================================
PART IV
CAMPAIGN ACTIVITIES BY CONGRESSIONAL EMPLOYEES
=======================================================================
CAMPAIGN ACTIVITIES BY CONGRESSIONAL EMPLOYEES \1\
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\1\ By Jack H. Maskell, Legislative Attorney, American Law
Division, Congressional Research Service, Library of Congress.
---------------------------------------------------------------------------
A. General Campaign Activities
There are no Federal statutes, regulations, or rules of
Congress which specifically prohibit congressional employees
from voluntarily engaging in general campaign activity. The
broad prohibition against partisan political campaigning, even
on one's own free time, which had been in effect for most
executive branch employees in the federal civil service under
what was commonly known as the ``Hatch Act,'' has not been
applicable to the staff of elected federal officials, such as
congressional employees.\2\ Apart from certain restrictions in
the area of campaign funds and finances,\3\ Senate staffers may
continue to participate in political campaign activities during
their free time.
---------------------------------------------------------------------------
\2\ Most restrictions prohibiting voluntary campaign activities on
one's free time have now been removed from the ``Hatch Act'' for most
federal employees. Pub.L. 103-94, 107 Stat. 1001; 5 U.S.C.
Sec. Sec. 7321 et seq.
\3\ See 18 U.S.C. Sec. Sec. 602 (contributions to one's employer),
603 (soliciting contributions from federal employees), 607 (soliciting
contributions in a federal building), and Senate Rule 41 (campaign fund
activity by Senate staff).
---------------------------------------------------------------------------
Although there are no broad prohibitions on campaign
activities by congressional staff on their own free time, there
do exist general guidelines, ethical standards, and rules in
Congress which indicate that official congressional staff,
since they are federal employees paid by monies appropriated
from the United States Treasury, are considered to be
compensated for services rendered for public purposes, that is,
for the performance of ``official'' congressional duties,\4\
rather than for personal campaigning for a Member. It is a
general principle of federal appropriations law that federal
monies are to be used only for the purposes for which they were
appropriated.\5\ These various standards and principles have
been generally interpreted in Congress to mean that employees
may not engage in campaign activities on behalf of a Member to
the neglect of their official duties; but that once employees
have fulfilled their official congressional duties for which
they are compensated from public funds, they may then generally
engage in partisan campaign activities on their own ``free
time'' or ``off-duty'' hours.\6\
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\4\ See now ``Senate Ethics Manual,'' S. Pub. 106-001, 106th Cong.,
1st Session, at 172 (January 1999); note also S. Rept. 95-500, 95th
Cong. 1st Sess. p. 4; S. Rept. 95-241, 95th Cong., 1st Sess. p. 1.
\5\ 31 U.S.C. Sec. 1301(a); see Principles of Federal
Appropriations Law, United States General Accounting Office (1982), 3-
138 to 139.
\6\ Senate Select Committee on Ethics Interpretative Rulings Nos.
3, 5, 22, 59, 88, 154, 194, 263, 302, 326, 349; note also House
Committee on Standards Advisory Opinion No. 2 (1973).
---------------------------------------------------------------------------
In addition to congressional ethical standards and rulings,
there may be potential legal implications if salaries are
claimed from public appropriations for individuals merely for
their performance of non-official, campaign services on behalf
of a Member, or anyone else. Although federal court decisions
have shown that there may be questions of justiciability of
civil liability claims under the specific provisions of the
federal False Claims Act,\7\ criminal liability might possibly
attach in certain severe factual circumstances where schemes to
compensate individuals from public monies merely for campaign
services rendered to a Member, or to another, are considered to
constitute a fraud against the government,\8\ or a ``theft'' of
government salary or services.\9\
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\7\ 31 U.S.C. Sec. Sec. 3729, 3730, see United States ex rel.
Joseph v. Cannon, 642 F.2d 1373 (D.C. Cir. 1981), cert. denied 455 U.S
999 (1982).
\8\ See United States v. Clark, Criminal No. 78-207 (W.D. Pa.
1978); note also in other contexts, United States v. Diggs, 613 F.2d
988 (D.C. Cir. 1979), cert. denied, 446 U.S. 982 (1980); and United
States v. Pintar, 630 F.2d 1270, 1275 (8th Cir. 1980).
\9\ 18 U.S.C. Sec. 641. See United States v. Bresnahan, Criminal
No. 93-0409 (D.D.C. 1993).
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Even though an individual is on a Member's official payroll
and receiving salary for official duties, there is no flat
prohibition upon an employee of a Member of Congress receiving
outside compensation from a campaign committee for campaign
related duties during such person's non-congressional and non-
official time.\10\ In fact, if a staffer is to perform
extensive campaign activities for the Member, such person might
have his or her official salary reduced commensurate with the
decrease in official duties to be performed during this period,
or be removed from the official payroll, and have the campaign
committee compensate that person for the outside political
campaign duties performed, to assist in avoiding any
implication that official funds are compensating one for
political activities.
---------------------------------------------------------------------------
\10\ Note, for example, Senate Select Committee on Ethics
Interpretative Ruling Nos. 357, December 16, 1982, and 402, October 18,
1985.
---------------------------------------------------------------------------
Finally, at any time, but particularly during a campaign,
the public's perception of the conduct of an elected official
and his or her staff may have significance beyond the mere
conformity with the technical requirements of rules or
statutes. When official staff are involved in a Member's
reelection campaign, such activity may be an easy target for
political opponents seeking media attention by charging that
official government personnel are being used for private
political campaigning, raising the specter of appearances of
impropriety. Although one can not insulate a Member of
Congress/candidate completely from specious and unfair
political attacks, sufficiently precise and accurate record
keeping and time logs of one's official congressional work and
duties, for which one receives a salary from the government,
may be useful for documentation during a period when the
staffer is also working on the campaign during his or her
``free'' or ``non-official'' time.
1. CAMPAIGNING AND OFFICIAL DUTIES
A. Congressional Standards and Rulings
Congressional standards and rulings on campaign activities
by staffers, and on the use of staff appropriations to pay
individuals for campaign services, have established a clear
ethical principle and rule to be observed in both Houses of
Congress: Congressional staff are compensated from public funds
for the performance of official congressional duties; that is,
to assist a Member with his official legislative and
representative duties, rather than merely for services rendered
to the Member's reelection campaign. In a federal court
decision concerning the congressional franking privilege, the
United States District Court for the District of Columbia noted
Congress' recognition of the principle that public funds are to
be used for official congressional, and not for campaign
purposes: ``It is clear from the record that Congress has
recognized the basic principle that government funds should not
be spent to help incumbents gain reelection.'' \11\ However, a
congressional staffer may engage in campaign activities on his
own ``free time'' or ``off duty'' hours as long as the staffer
fulfills, and does not neglect those official duties required
of him.
---------------------------------------------------------------------------
\11\ Common Cause v. Bolger, 574 F.Supp. 672, 683 (D.D.C. 1982).
---------------------------------------------------------------------------
Since congressional staff may work irregular hours often
depending upon the time the Senate or House stays in session,
and since a staffer's specific official duties are assigned by
the Member within his discretion, it is generally recognized
that a staffer's ``free time'' or ``off-duty'' hours might
occur in what is typically considered the conventional work
day. It is also recognized that in the practical operation of a
Member's office some minimal campaign related activities might
unavoidably be performed by a Member's staff in the course of
their official congressional duties for a Member. It has been
suggested that although some minimal ``overlap'' may reasonably
exist, it is the Member's responsibility to keep such campaign
related activities by staff during duty hours to a ``de
minimis'' amount, and to observe the general principle that
staff are compensated from public funds for their assistance in
the Member's official legislative and representative duties,
rather than merely for services to the Member's own political
campaign.
B. Senate Rulings and Interpretations
The use of staff on political campaigns was reviewed during
the 95th Congress by various committees in the Senate. In
recommending changes in the Senate Rules, the Special Committee
on Official Conduct of the 95th Congress had proposed a rule
which would have specifically required Senate employees who
engaged ``substantially'' in campaign work to be removed from
the Senate payroll. The proposal was dropped from the final
measure, however, and as a compromise the measure directed the
Senate Rules and Administration Committee to study this issue
and to report proposals concerning the use of official staff by
holders of public office.\12\ The Special Committee had been
desirous of some specific rule to express the existing general
standard with regard to Senate employees since it felt that
``the public is entitled to know that those employees in the
Senate, receiving government salaries, are doing the public's
business and not working directly for the reelection of their
employer.'' \13\
---------------------------------------------------------------------------
\12\ See 123 Cong. Rec. 8041 (1977).
\13\ S. Rept. 95-49, 95th Cong., 1st Sess. p. 14.
---------------------------------------------------------------------------
In its report on the rules, standards, and laws governing
the use of Senate staff for political campaigns, as directed by
S. Res. 110, 95th Congress, the Senate Rules and Administration
Committee found that the standard and practice in the Senate
was that staffers may engage in political campaign activities
on behalf of their employer as long as they fulfill the
official congressional duties required of them. That report
states in part as follows:
. . . [T]he general rule . . . which has been relied
on to date by Senators and officers and employees of
the Senate for guidance [is]: that members of the
Senator's staff are permitted to engage in the
reelection campaign of a Senator, as long as that staff
member does not neglect his or her Senate duties. The
nature and scope of a staff member's Senate duties are
determined by each Member of the Senate. Such duties
necessarily encompass political and representational
responsibilities, as well as legislative,
administrative, or clerical ones, and are often
performed during irregular and unconventional work
hours. A similar rule of practice has been followed in
the House of Representatives, and would be generally
applicable to other Federal employees not covered by
the Hatch Act.\14\
---------------------------------------------------------------------------
\14\ S. Rept. 95-500, 95th Cong., 1st Sess. p. 4.
---------------------------------------------------------------------------
The report of the Senate Rules and Administration Committee
on a 1977 amendment to the Senate Rule restricting campaign
fund activity of Senate staff (now Rule XLI) is further
illustrative of the standards in the Senate concerning
campaigning by staff employees. The Committee concluded that
Senate employees may participate in campaign activities on
behalf of a Senator ``so long as they don't neglect their
Senate duties''; and may do so during vacation time, annual
leave or on a leave of absence:
The committee is not aware of any laws which prohibit
individuals who are part of a Senator's staff from
participating in a Senator's reelection campaign as
long as they do not neglect their Senate duties, and
the committee does not feel there should be such
proscriptions. Furthermore, it is neither illegal nor a
violation of Senate Rules for a member of a Senator's
staff to work full time in political campaigns while on
annual leave or vacation time or while on leave of
absence from his or her Senate duties, and the
committee feels there should not be any proscription of
such actions.\15\
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\15\ S. Rept. 95-241, 95th Cong., 1st Sess. p. 1. See new Senate
Ethics Manual, supra at Chapter 6.
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Subsequent interpretative rulings by the Senate Select
Committee on Ethics have similarly expressed the ethical
principle and rule to be observed in the Senate. Although the
Senate Rules do not specifically require it, the Senate Select
Committee on Ethics has advised Members and staff that to
assure that a staffer is performing official duties
commensurate with his congressional salary, a staffer who is to
engage in political campaign activities on behalf of a Member
for any ``extended period'' should be removed from the public
payrolls, or have his salary reduced to reflect his reduction
in official duties. Some of these rulings are excerpted below:
Interpretative Ruling No. 3, May 5, 1977:
No provision of the Code of Official Conduct
prohibits staff from attending a campaign fundraising
event outside office hours or while on recorded
vacation leave. The interim position of this Committee
is that Senators should encourage staff to remove
themselves from the payroll during periods which they
expect to be heavily involved in campaign activities.
Routine participation after hours or an annual leave
time is not now prohibited by the Code of Conduct.
Interpretative Ruling No. 59, September 13, 1977:
. . . Members can and should remove staff from the
Senate payroll when they are to participate for an
extended period in substantial campaign activities. One
is not removed from the payroll by being placed in a
``terminal vacation leave'' status.
Interpretative Ruling No. 88, November 16, 1977:
Although the staff member cannot make a direct
contribution to a Member of Congress (and thus cannot
attend as a paying guest), nothing in the Code of
Official Conduct prohibits the staff member from
attending the fundraiser on his own time . . . .
Interpretative Ruling No. 154, June 22, 1978:
As to the possibility of minimal involvement by a
staff assistant with campaign-related business, the
Select Committee believes that in a Senator's
reelection campaign there might be some inadvertent and
minimal overlap between the duties of a Senator's staff
with respect to the Senator's representational function
and his reelection campaign. However, a Senator has the
responsibility to insure that such an overlap is of a
de minimis nature and that staff duties do not conflict
with campaign responsibilities.
Interpretative Ruling No. 194, October 8, 1978:
. . . [T]he Select Committee ruled that it is
preferable for a Senator to either reduce the salary or
remove an employee from the Senate payroll when the
employee intends to spend additional time on campaign
activities, over and above leave or vacation time. The
Committee recognizes that staff members ought to be
able to use bona fide vacation time for political
campaign activity. As long as an office has an
established and reasonable annual leave policy, and as
long as an employee takes no more than the amount of
time normally allowed for such leave, the Committee
believes that an employee may engage in campaign
activities during that time.
Interpretative Ruling No. 263, June 12, 1979:
Other than the restrictions on political fund
activity in Senate Rule 49 [now Rule 41], no rule
expressly prohibits campaign activity by staff during
off-duty hours or during established and reasonable
annual leave time. In addition, the Committee believes
that Senate employees may engage in limited campaign-
related activities during Senate hours, provided that
the time involved is de minimis and such activity does
not interfere with the employee's official Senate
duties. However, if an employee intends to spend a
substantial amount of time on campaign activities, the
Committee has ruled that a Senator should use his or
her best judgment in determining whether to remove the
staff member from the Senate pay roll or reduce his or
her salary commensurately.
Interpretative Ruling No. 302, February 21, 1980:
It is a Member's prerogative in staffing his or her
office to prescribe an employee's duties and hours, and
to consent to certain outside activities. Other than
the restrictions on political fund activity in Senate
Rule 41, no rule expressly prohibits political activity
by staff during off-duty hours or during established
and reasonable annual leave time. However, if an
employee intends to spend a substantial amount of time
on campaign activities, the Committee has ruled that a
Senator should use his or her best judgment in
determining whether to remove the staff member from the
Senate payroll or reduce his or her Senate salary
commensurately.
Interpretative Ruling No. 326, July 1, 1980:
There is no provision of the Code of Official Conduct
which prohibits such service [as a political party's
National Committee Chairwoman from staffer's home state
during off-hours and without compensation] by a member
of the personal staff of a Senator. As S. Rept. 95-241
(95th Cong.) indicated, except for prohibitions of Rule
41 with respect to the handling of campaign funds, ``it
is neither illegal nor a violation of Senate Rules for
a member of a Senator's staff to work full-time in
political campaigns while on annual leave or vacation
time or while on leave of absence from his or her
Senate duties. . . .''
If involvement in any campaign activity becomes
extensive, however, the supervising Member may find it
wise to remove the employee from the payroll for the
period of extensive campaign involvement. See for
example, Interpretative Ruling No. 3 (May 5, 1977);
Interpretative Ruling No. 309 (February 21, 1980). This
is important for the supervising Senator to recognize,
because the position of National Committeeman or
Committeewoman for a political party is an important
position which could conceivably require a great deal
of time on the part of the Senate employee.
Interpretative Ruling No. 402, October 18, 1985
In light of the Senator's apparent determination that
his secretary's services for his campaign committees do
not conflict with her Senate duties, her receipt of
compensation is not prohibited by Senate Rules.
C. Official Duties Versus Campaign Activities
Although the ethical standards, guidelines and rules in
Congress discussed above generally permit ``campaign''
activities on behalf of a Member once staffers have fulfilled
their ``official'' duties, there are generally no specific job
descriptions for committee or Member staff which are comparable
to the job descriptions currently in force in the civil
service. There is therefore no detailing of what a staffer's
``official'' duties may entail, or precisely what activities
are involved in or excluded from assisting a Member with his
``official and representative'' duties. Traditionally, the
specific duties of a Member's staff are within the discretion
of the employing Member to best meet the Member's needs and
those of his or her constituents. As to the exercise of this
discretion, however, the United States Court of Appeals for the
District of Columbia, in upholding a conviction of a Member of
Congress for using clerk hire appropriations to compensate
individuals who performed mostly non-congressional duties,
agreed with expert testimony that it is ``within a
congressman's discretion to define the parameters of an
employee's responsibilities as long as those responsibilities
relate to the congressman's `official and representative'
duties.'' \16\
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\16\ United States v. Diggs, 613 F.2d 988 at 997 (D.C. Cir. 1979),
cert. denied 446 U.S. 982 (1980).
---------------------------------------------------------------------------
The general distinction between ``official'' legislative
and representative duties on the one hand, and ``campaign''
activities on the other, is a traditional distinction of long-
standing in Congress. For example, in the use of the Member's
franking (free mailing) privilege Members may frank
``official'' mail matter but may not send ``political''
campaign material under the frank. The franking statute and
regulations instruct Members and staff that it is permissible
to frank materials relating to ``the conduct of the official
business, activities, and duties of the Congress'' . . .
covering ``all matters which directly or indirectly pertain to
the legislative process or to any congressional representative
functions generally, or to the functioning, working or
operating of the Congress and the performance of official
duties in connection therewith. . . ,''\17\ but that the frank
is not available for sending material complimentary or
laudatory of a Member on a purely ``political basis rather than
on the basis or performance of official duties'' nor material
``which specifically solicits political support for the sender
or any other person or any political party, or a vote or
financial assistance for any candidate for any public office.''
\18\ In upholding the franking statute against a constitutional
challenge, a three judge panel of the District Court for the
District of Columbia noted that Congress had drawn a statutory
distinction between ``official mailings, those related directly
to the legislative and representative functions of Congress,''
and ``unofficial'' mailings such as political material.\19\ The
Court stated: ``It is clear from the record that Congress has
recognized the basic principle that government funds should not
be spent to help incumbents gain reelection. The details of the
franking scheme, including its distinction between official and
unofficial mailings, appear to be rationally designed to work
for that end.'' Id. This distinction between campaign
activities and official duties is also recognized and inherent
in congressional rules and regulations such as the Senate rule
on unofficial office accounts,\20\ computer facilities,\21\ and
in other statutory provisions such as the Federal Election
Campaign Act (see 2 U.S.C. Sec. 439a) and the provision of the
franking law on ``mass mailings'' of newsletters and similar
material.\22\
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\17\ 39 U.S.C. Sec. 3210(a)(1) and (2).
\18\ 39 U.S.C. Sec. 3210(a)(5)(A) and (C)).
\19\ Common Cause v. Bolger, 574 F.Supp. 672, 683 (D.D.C. 1982).
\20\ See Senate Rule 38, and S. Rept. 95-49, 95th Cong., 1st Sess.
pp. 11, 46; note also for comparison, House Rule XLV; see H. Doc. 95-
73, 95th Cong. 1st Sess. pp. 16-17, discussing proposal of this rule.
\21\ Senate Rule XL(5).
\22\ 39 U.S.C. Sec. 3210(f); see discussion in H. Rept. 96-281,
96th Cong. 1st Sess. p. 5.
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Although the distinction between ``official'' duties and
``campaign'' activities is a common one in congressional
matters, because of the various public, political, and official
roles which a Member may assume in connection with his position
in Congress, there may be instances where this distinction is
less clear than in others, or where one area may intrude into
the other. As noted by the United States District Court in the
franking case: ``To state the obvious, it is simply impossible
to draw and enforce a perfect line between the official and
political business of Members of Congress.'' \23\
---------------------------------------------------------------------------
\23\ Common Cause v. Bolger, supra at 683.
---------------------------------------------------------------------------
Some confusion may initially be caused by the labelling of
some of the official representational duties of a Member of
Congress as ``political'' in nature. The Supreme Court in a
case concerning the immunity of Members from prosecution under
the constitutional ``Speech or Debate Clause'', noted that in
addition to the ``purely legislative activities protected by
the Speech or Debate Clause,'' there are representational
duties of a Member of Congress which, although ``appropriate''
and ``legitimate,'' might be characterized as ``political in
nature . . . because they are a means of developing continuing
support for future elections,'' and which do not have ``the
protection afforded by the Speech or Debate Clause.'' \24\
These ``appropriate'' representational duties of Members of
Congress may include ``legitimate errands performed for
constituents, the making of appointments with Government
agencies, assistance in securing Government contracts,
preparing so-called `newsletters' to constituents, news
releases, and speeches delivered outside of Congress.'' \25\
This distinction made by the Supreme Court, it should be noted,
was for purposes only of coverage of the Speech or Debate
Clause immunity, which the Court said extends to the official
legislative duties of a Member, but not necessarily to all of
the official representative functions of the Member.
---------------------------------------------------------------------------
\24\ United States v. Brewster, 408 U.S. 501, 512 (1972).
\25\ Id. at 512.
---------------------------------------------------------------------------
Even though these constituent services and communications
to constituents, which are part of the Member's legitimate
representative duties, might arguably be characterized as
``political in nature,'' they are generally distinguishable, as
far as the congressional ethical principle involved, from those
activities typically understood by congressional rule, statute,
and practice to be political ``campaign'' activities, such as
the solicitation of political contributions, canvassing votes
for a candidate in a primary or general election, organizing a
political fundraiser, coordinating campaign volunteer lists,
etc. The Supreme Court in Buckley v. Valeo,\26\ noted that a
particular statute in the federal campaign laws is specifically
directed at Congress' accommodating this distinction ``between
the legitimate and necessary efforts of legislators to
communicate with their constituents'' on the one hand, and
``activities designed to win elections by legislators in their
other role as politicians,'' on the other.\27\
---------------------------------------------------------------------------
\26\ 424 U.S. 1 (1976).
\27\ Id. at 84, n. 112; see also Common Cause v. Bolger, supra.
---------------------------------------------------------------------------
There is some practical concern, however, expressed over
the potential and arguably unavoidable, ``overlap'' or
intrusion of some minimal campaign related activities into the
official operation of a Member's office. In responding to
official inquiries from the press or inquiries from
constituents, congressional staffers may need to respond to
questions dealing with issues or matters which relate to or
bear upon a Member's political campaign as well as his official
legislative and representative duties.\28\ Similarly,
scheduling assistance and information from the Member's
official staff may be requested by the campaign staff to assure
that the Member's campaign schedule does not conflict with his
official agenda. Both ethics committees in Congress realize
that some of this minimal overlapping may exist in the
practical operation of a Member's office, and thus the Senate
Select Committee on Ethics has noted that ``there might be some
inadvertent and minimal overlap'' between the staff's official
duties and activities related to a Member's campaign but that
``a Senator has the responsibility to insure that such an
overlap is of a de minimis nature and that staff duties do not
conflict with campaign responsibilities.'' \29\ Similarly, the
House Committee on Standards of Official Conduct has recognized
that in a practical sense it may not be possible to have an
absolute separation of duties during the work day but that the
``Committee expects Members of the House to abide by the
general proposition'' that staffers are to work on campaign
related matters during their ``free time'' after the completion
of their official duties.\30\
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\28\ ``Answering questions about one's voting record is clearly
part of a Senator's official responsibilities. The fact that he
explains his voting record in response to a political attack does not
turn such explanations into campaign activities.'' Senate Select
Committee on Ethics, Interpretative Ruling No. 419, September 22, 1987.
\29\ Interpretative Ruling No. 154, June 22, 1978.
\30\ Advisory Opinion No. 2, July 11, 1973.
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To avoid some of the more serious problems which may arise
by the performance of regular campaign responsibilities by a
staff employee on the public payroll, the Senate Select
Committee on Ethics has recommended on various occasions that
when a staffer is to engage in campaign activities on behalf of
the Member for any ``extended'' period or to any
``substantial'' degree that the Member either remove the
staffer from the Senate payroll for that period and compensate
the staffer with campaign funds, or reduce the staffer's
compensation from public funds commensurately with the
reduction in official duties of the staffer during his time of
increased campaign activities.\31\ Congressional employees may
also campaign on behalf of a Member of Congress while on
established annual leave or other vacation time.\32\ There is
no general prohibition in the House or the Senate on a
congressional staffer receiving reimbursement or compensation
from a campaign committee for campaign work performed on off-
duty, non-official time, even while still on the congressional
payroll and being compensated from official funds for the
performance of official congressional duties.\33\
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\31\ Interpretative Ruling Nos. 3, 5, 59, 194, and 263.
\32\ See, for example, Senate Select Committee on Ethics,
Interpretative Ruling Nos. 194, 263.
\33\ Note, for example, Senate Select Committee on Ethics,
Interpretative Ruling Nos. 357, 402.
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2. FALSE CLAIMS, FRAUD AND THEFT: FEDERAL CRIMINAL LAW
In addition to the congressional ethical standards and
guidelines discussed, it is possible that legal implications
may arise for Members and staff if individuals, compensated
from public funds, perform no congressional duties or only a
nominal percentage of official duties for such compensation,
but rather mainly provide campaign services to the Member. It
has been argued that since a Member makes a claim to the United
States Government for the staffer's salary, and that since such
salary is intended as compensation for assisting the Member in
his ``official'' duties, then using that individual for other
than the official purposes contemplated might involve a false
claim, a false statement, or a fraud upon the government. This
may be particularly relevant where the employing Member or
committee chairman must certify in writing that the employee is
regularly performing official duties.
There have been several civil suits initiated by private
citizens under the False Claims Act (31 U.S.C. Sec. Sec. 3729,
3730) against Members of Congress for compensating individuals
from the clerk-hire or other staff allowances when those
individuals allegedly did not perform any, or did not mainly
perform, official congressional duties for such compensation.
These civil suits, however, have generally been dismissed on
jurisdictional or procedural grounds without a trial on the
merits of the facts alleged.\34\
---------------------------------------------------------------------------
\34\ United States ex rel. Thompson v. Hays, Civil Action Nos. 76-
1068, 1132 and 1140; United States ex rel. Martin-Trigona v. Daley,
Civil Action No. 1164 (D.D.C. 1976); United States ex rel. Joseph v.
Cannon 642 F.2d 1373 (D.C. Cir. 1981), cert. denied, 455 U.S. 999
(1982); but see United States ex rel. Hollander v. Clay, 420 Supp. 853
(D.D.C. 1976), concerning appropriations for transportation.
---------------------------------------------------------------------------
In United States ex rel. Joseph v. Cannon,\35\ a three
judge panel of the United States Court of Appeals for the
District of Columbia dismissed as a non-justiciable ``political
question'' a civil suit under the False Claims Act initiated by
a private citizen against a Member of Congress for making
claims for a staffer's official salary when that staffer
allegedly worked extensively and exclusively on the Member's
reelection campaign for a period of time while continuing to
receive a salary from appropriated funds. The Court of Appeals
noted that ``political questions are denied judicial scrutiny''
because the courts are ``underequipped to formulate national
policies or develop standards of conduct for matters not legal
in nature.'' \36\ The courts might thus find a non-justiciable
political question where there is a ``lack of judicially
discoverable and manageable standards'' for resolving an issue.
As to the use of senatorial staff on a Member's reelection
campaign, the court found that the lack of specificity in the
ethical guidelines existing in 1976 concerning ``official''
duties of Senate staff, and the failure of the Senate to
promulgate a specific rule on campaigning by staffers at that
time ``reveals the lack of firm standard during that period
relevant to this case, and vividly portrays the keen
difficulties with which courts would be faced were they to
attempt to design guidelines on their own,'' \37\ Thus, the
Court found that ``in the absence of any discernible legal
standard . . . we are loathe to give the False Claims Act an
interpretation that would require the judiciary to develop
rules of behavior for the Legislative Branch.'' \38\ In
dismissing the action, the Court of Appeals warned that ``[i]n
doing so, we do not, of course, say that Members of Congress or
their aides may defraud the Government without subjecting
themselves to statutory liabilities.''
---------------------------------------------------------------------------
\35\ 642 F.2d 1373 (D.C. Cir. 1981), cert. denied, 455 U.S. 999
(1982).
\36\ Id. at 1379.
\37\ Id. at 1380.
\38\ Id. at 1385.
---------------------------------------------------------------------------
The Court of Appeals' warning concerning statutory
liability for fraud is well taken considering past criminal
actions against former Members of the House of Representatives
for false statements and fraud involving the compensation of
individuals from clerk-hire appropriations when such
individuals performed few or no official congressional duties
in return for that compensation. In an appeal of a criminal
case,\39\ the United States Court of Appeals for the District
of Columbia upheld the conviction of a Member of the House for
false statements (18 U.S.C. Sec. 1001) and mail fraud (18
U.S.C. Sec. 1341) for a scheme whereby individuals were being
compensated from public funds, that is, clerk hire
appropriations, but were performing only nominal official
congressional duties. The Court of Appeals found that although
the ``employees'' involved may have performed some official
congressional services for the Member, ``only a nominal
percentage of [the employees'] responsibilities were
congressionally related,'' and thus there was sufficient
evidence for a jury to conclude that the employees were paid
from the clerk hire allowance ``with the intention of
compensating them for services rendered to the [defendant's
private business concern] or the defendant.'' \40\ Although it
might be argued that ``it was a matter of [the Member's]
discretion to fix their duties and salaries as congressional
employees,'' the ``defendant's representations to the House
Office of Finance that [the employees] were bona fide
congressional employees were fraudulent and material in
violation of 18 U.S.C. Sec. 1001.'' \41\
---------------------------------------------------------------------------
\39\ United States v. Diggs, 613 F.2d 988 (D.C. Cir. 1979), cert.
denied 446 U.S. 982, (1980).
\40\ Id. at 1002.
\41\ Id.
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United States v. Pintar,\42\ did not involve Members of
Congress and congressional employees, but did involve a fact
situation where federal monies in a federal program were being
used to pay persons for political campaign activities. In that
case the court upheld a charge of a conspiracy to defraud the
United States (18 U.S.C. Sec. 371) where there was ``strong
evidence that the Pintars used [their authority] to direct
employees whose salaries were funded by federal grants to
perform political work during office hours,'' \43\ and that
such concerted activities constituted a ``scheme to impair,
obstruct, defeat or interfere with lawful governmental
functions.'' \44\
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\42\ 630 F.2d 1270 (8th Cir. 1980).
\43\ Id. at 1276.
\44\ Id. at 1278.
---------------------------------------------------------------------------
In a criminal action specifically involving campaign
activities by congressional employees compensated from clerk-
hire funds, the Department of Justice in 1978 obtained a
criminal indictment against a former Member of the House of
Representatives, charging that the former Member while in
Congress had defrauded the United States by placing 11 persons
on his congressional payroll to pay them for operating and
staffing various campaign headquarters in the former Member's
reelection campaign.\45\ The indictment specifically charged
violations of the mail fraud statute (18 U.S.C. Sec. 1341),
among other violations, for using the mails to send payroll
checks in executing ``a scheme and artifice to defraud the
United States of America, and to obtain money and property by
means of false and fraudulent pretenses, representations and
promises. . . .'' \46\ The ``scheme,'' as charged in the
indictment, was that the defendant ``would prepare and submit .
. . clerk-hire allowance and payroll authorization forms to the
Office of Finance of the House of Representatives which falsely
represented that [certain named individuals] were bona fide
employees of the defendant's congressional staff and that they
were performing the type of services which entitled them to
salaries stated in the clerk-hire forms,'' while willfully
concealing that those named individuals were in fact placed on
the House payroll ``in order to pay them for their work in
maintaining, staffing, and operating various campaign
headquarters opened for the purpose of reelecting the defendant
to Congress.'' \47\ On February 13, 1979, the defendant/former
Member of Congress pleaded guilty to the mail fraud and income
tax evasion charges in this indictment in connection with those
activities charged, and on June 12, 1979 was sentenced to two
years in prison and fined $11,000.
---------------------------------------------------------------------------
\45\ United States v. Clark, Criminal No. 78-207 (W.D. Pa. 1978).
\46\ Grand Jury indictment, at 2.
\47\ Grand Jury indictment, at 2-3. See also report of guilty plea
of former member and spouse for ``using Congressional employees in [a]
1992 House campaign.'' Roll Call, July 4, 1994, at
p. 3.
---------------------------------------------------------------------------
A congressional employee has also pleaded guilty in United
States District Court to a criminal information in United
States v. Bresnahan,\48\ concerning the receipt of a government
salary and expenses for performing campaign duties in a
congressional campaign. The criminal information charged that
the defendant, an Administrative Assistant to a Member of
Congress, ``traveled and caused other employees'' of the
Congressman ``to travel from Washington, D.C., to Long Beach,
California to work on the primary and general election campaign
of a Congressional candidate. The defendant, at the direction
of another, made it appear and directed the other employees to
make it appear, that they were conducting official business. In
fact, they worked on a Congressional campaign.'' During the
time they worked on the congressional campaign, the employees
``claimed to be performing official business, [and] the United
States House of Representatives reimbursed the defendant and
the other employees for diem expenses . . .[and they] also
received money in the form of salary paid for the time that
they campaigned.'' The congressional staffer pleaded guilty to
18 U.S.C. Sec. 641, theft of government property, that is, the
``salary and expenses paid to them by the United States House
of Representatives. . . .''
---------------------------------------------------------------------------
\48\ Criminal No. 93-0409 (D.D.C. 1993).
---------------------------------------------------------------------------
The substantial conformance by Members and staff to the
general ethical guidelines and principles established by the
rulings and opinions of the Senate Select Committee on Ethics
regarding the limitation of regular campaigning by
congressional staff to their own ``free time'' or ``off-duty''
hours may thus work to assist a Member in assuring that public
appropriations are not being utilized merely to finance one's
own political campaign, and that persons compensated from staff
appropriations are in fact ``bona fide'' congressional
employees, performing the official congressional duties
contemplated in the appropriation of their salaries, to which
the Member may have certified in writing. This would apparently
prevent the types of abuses and misrepresentations concerning
the misuse of staff appropriations and public funds which have
led to criminal fraud and theft charges against Members and
staff in the past.
3. RUNNING FOR ELECTIVE OFFICE
As noted above, congressional employees do not come within
the restrictions of the so-called ``Hatch Act.'' Thus, unlike
executive branch employees who are still barred from running
for partisan elective office,\49\ the permissible campaign
activities by staff employees of Members of Congress include
running as a candidate for partisan elective office. A
congressional employee is thus not prohibited by statute, or by
congressional rule from running for such positions as delegate
to party conventions, or for elective state, local or federal
office. The considerations discussed above concerning
electioneering or campaigning during ``free time,'' as opposed
to ``working hours'' for which compensation is derived from the
United States Treasury, would, of course, apply to running and
campaigning for elective office in one's own campaign, as well
as to campaign activity for another. Furthermore, any specific
rules or guidelines of a particular Member's office should be
examined and considered before undertaking any such outside
endeavors.
---------------------------------------------------------------------------
\49\ See now 5 U.S.C. Sec. 7323(a)(3), as amended by Pub.L. 103-94.
---------------------------------------------------------------------------
Although congressional employees are not expressly
prohibited from running for elective office, they may
effectively be barred from simultaneously holding a full-time
elective office and retaining their congressional employment.
Federal statutes such as those dealing with dual pay and dual
employment, and precedents and constitutional provisions with
regard to ``incompatible offices'' would eliminate the
possibility of holding two, full-time paid positions or offices
with the federal government.
As far as State, local, or any other outside positions,
various Senate Rules concerning outside employment and
conflicts of interest, may severely restrict, and effectively
prohibit, a congressional employee from holding an outside,
full-time position. When a State or local elective position,
however, is intended merely to be a part-time position,
entailing only evening and weekend hours or intermittent
duties, the potential ``time'' conflict with one's
congressional employment may be eliminated. In such an
instance, when there is no apparent incompatibility or
``subject matter'' conflict of interest between the State or
local office and one's congressional employment, a
congressional employee might be able to hold such a position
when approval is received from his or her employing
congressional office.
Interpretative Rulings by the Senate Select Committee on
Ethics have, for example, expressly permitted a full-time
employee of a Member (the Member's press relations coordinator)
to serve as a city council member at a salary of less than $200
a month.\50\ Similarly, the Select Committee ruled that if
adjustments were made in the official congressional salary of a
staff member to reflect the decrease in the congressional work
performed by the staffer because of a new position held, and if
a restriction on Senate duties were imposed if necessary to
avoid conflicts of interest, the staffer could run for and hold
a compensated elected office in the state legislature and still
remain a Senate employee in the district office of the
Member.\51\
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\50\ Interpretative Ruling No. 55, September 7, 1977.
\51\ Interpretative Ruling No. 109, March 23, 1978; see also
Interpretative Ruling No. 155, June 28, 1978.
---------------------------------------------------------------------------
Although federal laws and rules might not prohibit such
officeholding, state and local statutes and ordinances of the
jurisdiction concerned should be examined, as those provisions
often expressly prohibit an elected or appointed officer of the
jurisdiction from simultaneously holding federal office or
employment.
B. Campaign Funds and Finances
1. POLITICAL CONTRIBUTIONS
There are specific restrictions within current federal law
upon congressional employees in the area of soliciting or
making political contributions. Federal criminal statutes
presently prohibit a congressional employee from: (a)
soliciting a political contribution for a federal campaign from
any other federal officer, employee, or person receiving a
salary or compensation for services from the United States
Treasury (18 U.S.C. Sec. 602); and (b) making any political
contribution to a federal officer, employee, person receiving a
salary from the United States Treasury, or Member of Congress
who is the employer or employing authority of the congressional
staffer (now 18 U.S.C. Sec. 603).
The relevant statutory language of these provisions reads
as follows:
Sec. 602. Solicitation of Political Contributions
(a) It shall be unlawful for--
(1) a candidate for the Congress;
(2) an individual elected to or serving in
the office of Senator or Representative in, or
Delegate or Resident Commissioner to, the
Congress;
(3) an officer or employee of the United
States or any Department or agency thereof; or
(4) a person receiving any salary or
compensation for services from money derived
from the Treasury of the United States; to
knowingly solicit, any contributions within the
meaning of section 301(8) of the Federal
Election Campaign Act of 1971 from any other
such officer, employee, or person. Any person
who violates this section shall be fined under
this title or imprisoned not more than three
years, or both.
Sec. 603. Making Political Contributions
(a) It shall be unlawful for an officer or employee
of the United States or any department or agency
thereof, or a person receiving any salary or
compensation for services from money derived from the
Treasury of the United States, to make any contribution
within the meaning of section 301(8) of the Federal
Election Campaign Act of 1971 to any other such
officer, employee or person or to any Senator or
Representative in, or Delegate or Resident Commissioner
to, the Congress, if the person receiving such
contribution is the employer or employing authority of
the person making the contribution. Any person who
violates this section shall be fined not more than
$5,000 or imprisoned not more than three years or both.
(b) For purposes of this section, a contribution to an
authorized committee as defined in section 302(e)(1) of
the Federal Election Campaign Act of 1971 shall be
considered a contribution to the individual who has
authorized such committee.
A. Soliciting Political Contributions from Federal Employees
The statute at 18 U.S.C. Sec. 602, as amended, prohibits
congressional employees from ``knowingly'' soliciting political
contributions from any other federal employee, officer, or
person receiving salary for services from the United States
Treasury.\52\ Inadvertent solicitations of federal employees,
therefore, such as when part of a general fund raising campaign
aimed at the general public, was not intended to be a violation
of this provision or its predecessor.\53\ As stated in the
House Report on the Federal Election Campaign Act Amendments of
1979, amending Sec. 602:
---------------------------------------------------------------------------
\52\ Note amendments in Pub.L. 103-94, as to competitive service
employees covered by new ``Hatch Act'' provisions.
\53\ See 113 Cong. Rec. 25703 (1973).
---------------------------------------------------------------------------
In order for a solicitation to be a violation of this
section, it must be actually known that the person who
is being solicited is a federal employee. Merely
mailing to a list will no doubt contain names of
federal employees [and] is not a violation of this
section.\54\
---------------------------------------------------------------------------
\54\ H. Rept. 96-422, 96th Cong. 1st Sess. p. 25.
---------------------------------------------------------------------------
Unlike the statute prior to the amendments in 1979 (Pub.L.
96-187) the current Sec. 602 prohibits only the
``solicitation'' of political contributions from other federal
employees and does not prohibit the ``receipt'' of such
contributions. The House Report on the changes to Sec. 602
noted: ``The provision prohibiting receipt of contributions by
federal employees has been eliminated.'' \55\ It would not
appear to violate the criminal statute at Sec. 602, therefore,
for congressional employees to receive unsolicited political
contributions from other federal employees, although Senate
employees who are not political fund designees are prohibited
from such activity under Senate Rule 41, discussed below.
---------------------------------------------------------------------------
\55\ Id.
---------------------------------------------------------------------------
Since the term ``contribution'' is defined for purposes of
this restriction as that term is defined in Sec. 301(8) of the
Federal Election Campaign Act of 1971, the prohibition on
soliciting contributions from fellow federal employees will
apparently not reach political contributions to support only
state or local candidates. Section 301(8) of the FECA of 1971
is now codified at 2 U.S.C. Sec. 431(8) and defines
``contribution'' to mean ``any gift, subscription, loan,
advance, or deposit or money or anything of value made by any
person for the purpose of influencing any election for Federal
office.'' Similarly, since Senate Rule 41 restricts political
fund activity relating only to federal elections, Senate
staffers would not be barred from soliciting and receiving
voluntary contributions strictly for state or local candidates
from fellow staffers or from other federal employees.
In addition to prohibiting congressional employees from
soliciting political contributions for federal elections from
other federal employees, the statute likewise prohibits Members
of and candidates for Congress from soliciting such
contributions from federal employees. Members of Congress may
therefore not ``solicit,'' but may now apparently accept
unsolicited, voluntary contributions from federal employees.
However, it should be noted that congressional staffers who are
the Member's employees or under the employing authority of that
Member are specifically prohibited from making even
unsolicited, voluntary contributions to that Member of
Congress, under 18 U.S.C. Sec. 603. As a practical matter,
then, Members of Congress should not accept such contributions
from their own employees.\56\
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\56\ Under the former statute, Members of Congress were also
prohibited from receiving contributions from federal employees,
including their staff, even where no solicitation of the contribution
was shown. See Brehm v. United States, 196 F.2d 769 (D.C. Cir.), cert.
denied., 344 U.S. 838 (1952), upholding conviction of Member of
Congress for receiving campaign contribution from staff even without
specific finding of solicitation. Id. at 770.
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The intent of the prohibition on solicitations, as
discussed by its sponsors, was to prevent federal employees
from being ``subject to any form of political assessment.''
\57\ Since the statute is directed at protecting employees who,
because of their employment and positions may be subject to
coercion, the prohibition of Sec. 602, as noted in the
discussion prior to the adoption of the 1979 amendments, ``does
not apply to solicitation of Members of Congress.'' \58\ This
interpretation is consistent with the interpretation of the
predecessor statute to 18 U.S.C. Sec. 602 which, as noted in a
resolution adopted by the House in the 63rd Congress, 2d
Session (1913), ``should not be construed to prohibit one
Senator or Member of Congress from soliciting campaign
contributions from another Senator or Member of Congress.''
\59\
---------------------------------------------------------------------------
\57\ 125 Cong. Rec. 36754, December 18, 1979.
\58\ Id.
\59\ See VI Cannon's Precedents of the House of Representatives,
Sec. 401, at 571-573; see also H. Rept. 99-277, 99th Cong., 1st Sess.,
pp. 13-14 (1985), House Committee on Standards of Official Conduct.
---------------------------------------------------------------------------
The Department of Justice has also indicated in the past
that in the exercise of prosecutorial discretion, the
application of the statute in a criminal context would focus on
``coercive'' contributions, and indications of political
``shakedowns.'' \60\ It should be emphasized, however, that the
plain language of the statutory prohibition does not expressly
require this element of the offense, that is, does not
expressly require coercion, and no judicial interpretation of
the law has as yet expressly added such an element as being
required in the indictment or proof to establish a violation,
although cases have indicated that the underlying intent and
ultimate objective of the statute was to protect employees from
less-than-voluntary political conduct.\61\ Finally, in this
regard, it should be noted that an employer-employee, or
supervisor-supervisee relationship, might in itself arguably
provide an initial presumption or indication of a coerced
political solicitation; and even where solicitations are made
by non-supervisory co-workers, if made during working time,
fellow employees might conclude that the solicitation
represented the interests of those higher in the organization
and thus the element of coercion could be present.\62\ In light
of these factors, and the express language of the criminal
statute prohibiting such activity, the more cautious course of
conduct for congressional employees would be to avoid any
knowing and intentional solicitation of political contributions
for a federal election from any other federal employee.
---------------------------------------------------------------------------
\60\ See, for example, U.S. Department of Justice, Federal
Prosecution of Election Offenses 15 (October 1980); H. Rept. 99-277,
supra at pp. 4, 13-14.
\61\ In Ex Parte Curtis, 106 U.S. 371, 374 (1882), the Supreme
Court found that an earlier version on the ban on contributing to and
soliciting from federal employees extended even to non-coercive
activities since ``what begins as a request may end as a demand. . .
.'' In Brehm v. United States, 196 F.2d 769 (D.C.Cir. 1952), cert.
denied, 344 U.S. 838, a Member of Congress was found in violation of
statute for receiving contributions from staff even where grand jury
was presented testimony that staffer voluntarily initiated offer of
contributions. 196 F.2d at 770-771. See also United States v. Wurzbach,
280 U.S. 396 (1930), where ``coercion'' was not specifically alleged or
proven in Member's receipt of contributions from federal employees, and
where court found the law ``clearly embraces the acts charged.''
\62\ See as an analogy ``Hatch Act'' cases on coerced political
contributions from federal and state employees, for example, In the
Matter of Hawkins (CSC No. S-7-42), and Wolfstein (CSC No. S-11-42), 2
P.A.R. 23, 26 (1942); In the Matter of Mulhair (CSC No. F-1349-52), 1
P.A.R. 607, 609 (1952). The threat of depriving any federal job or any
federal benefit or appropriation to coerce political contributions is a
specific violation of 18 U.S.C. Sec. 601.
---------------------------------------------------------------------------
B. Making Political Contributions
Prior to the Federal Election Campaign Act Amendments of
1979, effective January 8, 1980, congressional employees and
other employees of the federal government were prohibited from
making political contributions to any other federal officer,
employee, or Member of Congress, regardless of whether such
individual was the contributor's employer or employing
authority.\63\ Although in practice there was no strict
enforcement of the statute,\64\ such a restriction on employees
had been on the statute books in some form since 1883. See
section 14 of the Pendleton Act, 22 Stat. 403.\65\
---------------------------------------------------------------------------
\63\ See 18 U.S.C. Sec. 607, (1976); note letter from Attorney
General to House Judiciary Committee, October 14, 1952, discussed in
``Congressional Quarterly Weekly Report'', Oct. 19, 1952, at 1021; S.
Rept. 500, 95th Cong. 1st Sess. pp. 5-6; Federal Election Commission,
Commissioner's Memorandum No. 1434, August 25, 1977, at 2; H. Doc. 96-
134, 96th Cong. 1st Sess. pp. 116-118.
\64\ See letter from Assistant Attorney General, Criminal Division,
Fraud Section, Department of Justice, August 12, 1974. Available from
Congressional Research Service files.
\65\ Similar restrictions on some federal employees have been
upheld against constitutional challenges alleging interference with
employees' political rights (Ex Parte Curtis, supra, and United States
v. Wurzbach, supra), as have those restrictions on general campaign
activities by executive branch employees who come within the ``Hatch
Act'' (United Public Workers v. Mitchell, 330 U.S. 75 (1946); United
States Civil Service Commission v. National Association of Letter
Carriers, AFL-CIO, 413 U.S. 458 (1973)).
---------------------------------------------------------------------------
Under the current statutory provision now codified at 18
U.S.C. Sec. 603, however, congressional employees are only
prohibited from making political contributions to their
``boss,'' that is, their employer or employing authority. As
explained in the House Report on the Federal Election Campaign
Act Amendments of 1979, Pub.L. 96-187, political contributions
would be barred from a Member's staff to that Member, and from
committee staff to the chairman of that committee. Persons
employed by the minority of a committee are also barred from
contributing to the ranking minority member of the committee,
as well as to the chairman.
Section 603 has been amended to allow voluntary
contributions from federal employees to other federal
employees. If, however, the individual is employed by a
Senator, Representative, or Delegate or Resident Commissioner
to Congress that employee cannot contribute to his or her
employer although voluntary contributions to other Members of
Congress would be allowed. An individual employed by a
congressional committee cannot contribute to the chairman of
that particular committee. If the individual is employed by the
minority that individual cannot contribute to the ranking
minority member of the committee or the chairman of the
committee.\66\
---------------------------------------------------------------------------
\66\ H. Rept. 96-422, 96th Cong., 1st Sess. p. 26.
---------------------------------------------------------------------------
In addition to permissible contributions by congressional
staff to a candidate, including a Member of Congress, who is
not the employer or employing authority of the staffer,
congressional employees may contribute to a committee or an
organization which is not an ``authorized committee'' of the
staffer's employer or employing authority. An ``authorized
committee'' of a candidate is one which is designated in
writing by the candidate to accept contributions and make
expenditure on his behalf (see 18 U.S.C. Sec. 603(b), 2 U.S.C.
Sec. 432(e)(1)), and includes the candidate's principal
campaign committee. Generally, under federal campaign law, a
multicandidate committee, that is, one which supports more than
one federal candidate, may not be designated as an ``authorized
committee'' of a candidate (2 U.S.C. Sec. 432(e)(3)).
Therefore, congressional staffers may generally make political
contributions to multi-candidate political committees, such as
the Democratic or Republican Congressional Campaign Committees
or the Republican or Democratic National Committee, even though
some of the proceeds received by such committees may eventually
be expended for the benefit of the contributor's employer. In
making such contributions to multi-candidate committees,
however, the staffer should not specifically ``earmark'' the
contribution for use only in the campaign of his employer,
since such ``earmarking'' of a contribution may be considered
as a contribution from the staffer/contributor to that Member/
candidate (see Regulations of Federal Election Commission, 11
C.F.R. Sec. 110.6), and thus a potential violation of the
criminal prohibition on contributions to one's employer or
employing authority.
For purposes of the current restrictions on contributions
by congressional staffers, the term ``contribution'' is defined
as in 2 U.S.C. Sec. 431(8) (Sec. 301(8) of the F.E.C.A., as
amended). Specifically excluded from the term ``contribution''
is the value of voluntary services by an individual provided a
candidate or committee.\67\ Congressional staffers may,
therefore, voluntarily provide services, their own free time,
and their assistance to a Member's campaign, even their
employer's campaign, without violating the prohibition on
making campaign ``contributions'' to one's employer.
---------------------------------------------------------------------------
\67\ See Sec. 301(8)(i) of the F.E.C.A., as amended.
---------------------------------------------------------------------------
The definition of the term ``contribution'' under federal
campaign law also demonstrates that the prohibition goes only
to the contribution of things of value in connection with a
federal election campaign (2 U.S.C. Sec. 431, Sec. 301(8)(A)(i)
of the FECA as amended). A staffer might, therefore, make a
political contribution to an officer or employee of the federal
government for a candidate to state or local office.
2. FUNDRAISING DINNERS AND TESTIMONIALS
Fundraising dinners and testimonials are common methods for
candidates to raise money for an upcoming political campaign,
or to pay off previous campaign debts. The money paid for a
ticket to such an event is generally considered under federal
law as a campaign contribution from the purchaser of the ticket
to the candidate on whose behalf the event is being held.\68\
---------------------------------------------------------------------------
\68\ See 2 U.S.C. Sec. 434, as amended, note explanation in H.
Rept. 96-422, 96th Cong., 1st Sess. p. 16, to accompany FECA Amendments
of 1979; see Internal Revenue Service, Revenue Ruling 72-412 (TIR
1191), 1972-2 CB-5; see also House Rule XLIII, paragraph 7.
---------------------------------------------------------------------------
Since the purchase of a ticket to a fundraiser or
testimonial would generally be considered a political
contribution to the candidate involved, a congressional
employee should not under the provisions of 18 U.S.C. Sec. 603,
as amended, purchase such a ticket or contribute money to a
fundraiser or testimonial given for the Member who is the
staffer's employer or employing authority.
Although a congressional employee should not attend such a
fundraiser or testimonial as a paying guest, the employee could
apparently attend as a nonpaying guest without violating
provisions against making political contributions to one's
employer. Furthermore, a congressional employee may also
volunteer his or her own free time to work on the fundraiser or
testimonial for the Member's campaign since voluntary services
are not considered ``contributions'' under federal campaign
law.\69\ Senate employees, however, are prohibited from being
involved in the solicitation, receipt, disbursement, or in
being the custodian of any campaign funds for use in a federal
election unless such employee is one of two persons
specifically designated by a Senator to handle campaign funds.
Unless so designated, a Senate employee should not be involved
in that part of a fundraiser, but may be involved in the
planning, arrangement making, etc., of the event.\70\
---------------------------------------------------------------------------
\69\ Sec. 301(8)(B)(i) of the FECA, as amended.
\70\ Senate Select Committee on Ethics, Interpretative Rulings Nos.
3, 5, 22, and 88.
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Finally, although a congressional employee could not
contribute to a fundraiser or testimonial on behalf of his or
her boss, or purchase a ticket to it, the employee might
arguably be permitted to ``host'' such a fundraiser or dinner
at his or her residence without violating the federal campaign
laws. The definition of the term ``contribution'' within the
campaign laws exempts certain costs in connection with a
fundraising event on behalf of a candidate held on an
individual's residential premises, up to an amount of $1,000
per any election. Expenses included in the $1,000 exemption are
the cost of invitations, food, and beverages.\71\
---------------------------------------------------------------------------
\71\ See 2 U.S.C. Sec. 431(8)(B)(ii), amended by the FECA
Amendments of 1979, Sec. 301(8)(B)(ii) of the FECA.
---------------------------------------------------------------------------
3. CAMPAIGN FUND ACTIVITY BY SENATE EMPLOYEES
As discussed briefly above, Senate Rules restrict campaign
fund activity by Senate officers and employees. Senate Rule XLI
prohibits most Senate officers and employees from ``handling''
any campaign funds for a federal election. An employee or
officer of the Senate may therefore not receive, solicit, be
the custodian of, or distribute campaign funds of any federal
candidate, except that three assistants may be designated by
the Senator to perform such activities on behalf of that
Senator, or for a committee or organization established and
controlled by a Senator or a group of Senators. The Select
Committee on Ethics has found under the Rule that Senate
employees may not ``solicit others to solicit funds or
otherwise become involved to any substantial degree in
political fund activity.'' \72\
---------------------------------------------------------------------------
\72\ Interpretative Ruling Nos. 326, July 1, 1980; and 25, June 2,
1977.
---------------------------------------------------------------------------
The relevant portion of Rule XLI states as follows:
RULE XLI
Political Fund Activity; Definitions
1. No officer or employee of the Senate may receive,
solicit, be a custodian of, or distribute any funds in
connection with any campaign for the nomination for
election, or the election, of any individual to be a
Member of the Senate or to any other Federal office.
This prohibition does not apply to three assistants to
a Senator, at least one of whom is in Washington,
District of Columbia, who have been designated by that
Senator to perform any of the functions described in
the first sentence of this paragraph and who are
compensated at an annual rate in excess of $10,000 if
such designation has been made in writing and filed
with the Secretary of the Senate and if each such
assistant files a financial statement in the form
provided under rule XXXIV for each year during which he
is designated under this rule. The Majority Leader and
the Minority Leader may each designate an employee of
their respective leadership office staff as one of the
3 designees referred to in the second sentence. The
Secretary of the Senate shall make the designation
available for public inspection.
The Senate Rule on campaign fund activities by Senate
employees had originally been interpreted to permit the
designated employees of the Senator to handle campaign funds
for a federal campaign only on behalf of the Senator
designating them.\73\ However, the rule is now interpreted to
permit the three designated employees of the Senator to handle
campaign funds on behalf of a committee for any individual for
elective federal office, as long as the committee is controlled
by a Senator or a group or Senators, and the employing Senator
gives his permission.\74\ The three designated employees, with
the permission of their employing Senator, could therefore be
involved in the solicitation, receipt, distribution, or in
being the custodian of campaign funds on behalf of a Senator's
principal campaign committee, or for multi-candidate political
committees or political action committees which are involved in
the federal campaigns of persons other than their employing
Senator, as long as the committees are established and
controlled by a Senator or group of Senators. Employees may not
handle funds for committees set up by trade associations,
interest groups, corporations or labor organizations.
---------------------------------------------------------------------------
\73\ Senate Select Committee on Ethics, Interpretative Ruling Nos.
32, 45, 222, and 223.
\74\ Interpretative Ruling No. 387, September 17, 1987.
---------------------------------------------------------------------------
A Senate employee, even a political fund designee, could
not hold a position of chief executive officer of a state
political party committee, since the duties of the position
would entail in the normal course of business ``the acceptance,
solicitation, retention or expenditures of funds in connection
with federal elections'' and for federal candidates other than
the employee's supervising Senator (Interpretative Ruling No.
291, November 26, 1979), and such committee is not established
and controlled by a Senator. However, the Senate Select Ethics
Committee found that a campaign fund designee could hold a
position as a national party chairperson for one's state when
the duties concerning political funds were not of a similar
nature to those described above.\75\
---------------------------------------------------------------------------
\75\ Interpretative Ruling No. 326, July 1, 1980.
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The restriction on employees of the Senate in Rule 41 does
not extend to fundraising activity or campaign finance activity
in relation to strictly state or local political contests.\76\
The Senate Select Committee on Ethics has made it clear,
however, that ``the State and local political fund activity
must be clearly separate and distinct from any activities in
connection with a Federal election in order to be permitted
under the Rule.'' \77\
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\76\ Interpretative Ruling No. 204, December 5, 1978; and No. 182,
September 29, 1978.
\77\ Interpretative Ruling No. 291, November 26, 1979; see also
Interpretative Ruling No. 326, July 1, 1980.
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4. CAMPAIGN ACTIVITY IN A FEDERAL BUILDING
When congressional employees become involved in campaign
financing activities, an important consideration is a provision
now codified at 18 U.S.C. Sec. 607, which restricts the
solicitation or receipt of political contributions in federal
buildings or other federal facilities. The amended and
renumbered version of the prohibition states as follows:
Section 607. Place of Solicitation
(a) It shall be unlawful for any person to solicit or
receive any contribution within the meaning of section
301(8) of the Federal Election Campaign Act of 1971 in
any room or building occupied in the discharge of
official duties by any person mentioned in section 603,
or in any navy yard, fort, or arsenal. Any person who
violates this section shall be fined not more than
$5,000 or imprisoned not more than three years, or
both.
Although prohibiting the receipt or solicitation of
campaign contributions in a federal building, the amended
statute recognizes that it is often unavoidable that
unsolicited campaign contributions will be received through the
mail or a contribution by a supporter will be tendered in
person, within a congressional office. When this situation
occurs the statute specifically provides that a staff employee
of a Member of Congress may accept the contribution as a
transmittal for subsequent forwarding, within seven days of
receipt, to an appropriate campaign organization outside of the
congressional office. This provision of 18 U.S.C. Sec. 607
states as follows:
Section 607.
(b) The prohibition in subsection (a) shall not apply
to the receipt of contributions by persons on the staff
of a Senator or Representative in, or Delegate or
Resident Commissioner to, the Congress, provided that
such contributions have not been solicited in any
manner which directs the contributor to mail or deliver
a contribution to any room, building, or other facility
referred to in subsection (a), and provided that such
contributions are transferred within seven days of
receipt to a political committee within the meaning of
section 302(e) of the Federal Election Campaign Act of
1971.
The prohibition of this statute and the exception to it
were discussed on the floor of the Senate prior to the adoption
of this provision as part of the Federal Election Campaign Act
Amendments of 1979:
Solicitation or receipt of contributions in any room
or building occupied by a Federal employee in the
course of official duties is prohibited. The sole
exception is for contributions received by an
individual on the staff of a Member of Congress,
provided the contributions are transferred to the
Member's political committee within 7 days. This
exception is intended to cover situations in which a
contributor, although not requested to, mails or
delivers a contribution to a Federal office. The
exception does not authorize solicitations from a
Federal office, nor does it permit receipt of
contributions in a Federal office where such
contributions have been solicited in any manner which
directs the contributor to return contributions to a
Federal office.\78\
---------------------------------------------------------------------------
\78\ 125 Cong. Rec. S19099-19100 (daily ed. Dec. 18, 1979) remarks
of Sen. Hatfield.
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As for the act of soliciting contributions from a
congressional office, it should be noted that while this
criminal prohibition has thus far not specifically been
construed by the courts to prohibit the solicitation of
campaign contributions from a federal building by letter or
telephone to persons who are not located in a federal building,
such activities would be barred by other provisions of law and
regulation relating to appropriations and official allowances.
The criminal prohibition at section 607 was originally intended
and was historically construed to prohibit anyone from
soliciting contributions from federal clerks or employees while
such persons were in a federal building.\79\ In the rare
judicial interpretations of this provision, the focus of the
prohibition has been directed to the location of the individual
from whom a contribution was requested, rather than the
location from which the solicitation had originated. In 1908
the Supreme Court had occasion to interpret the statute which
was the predecessor of the current Sec. 607. The Court in
United States v. Thayer, stated that the act of
``solicitation'' is completed, and therefore, arises, at the
location where the request for a contribution is received by
the person to whom the request is made. The Court stated: ``. .
. the solicitation was in the place where the letter was
received.'' \80\ The Department of Justice has noted that the
statute was intended to fill a gap in protecting federal
employees from assessment by prohibiting all persons from
soliciting such employees while they are in a federal
building.\81\
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\79\ See Pendleton Act, 22 Stat. 403, 407, 14 Cong. Rec. 640, 865;
note specifically 62 Stat. 722, 18 U.S.C. Sec. 603 (1948); see H. Rept.
305, 89th Cong. 1st Sess. p. A51.
\80\ 209 U.S. 39, 44 (1908).
\81\ Federal Prosecution of Election Offenses, Sixth Ed., at 68
(January 1995), Attorney General Reno explained that the Justice
Department's ``long-standing'' policy was not to prosecute under
Sec. 607 ``unless certain aggravating factors are present, such as
coercion, knowing disregard of the law, a substantial number of
violations, or a significant disruption of government functions.''
Washington Post, Dec. 3, 1997, at A32. Although questions might be
raised as to the criminal provision's enforcement of solicitations from
a congressional office directed to persons not in a federal building,
the House Standards Committee has stated that regardless of the target
of the solicitation or its coercive nature, ``no activities of a
political solicitation nature should occur with the support of any
federal resources (staff or space) in order to avoid any question that
a violation of 18 U.S.C. Sec. 607 has occurred.'' ``Dear Colleague''
letter from Committee on Standards, November 21, 1985, at 2.
---------------------------------------------------------------------------
The use of federal office space, including congressional
office space, official government equipment and supplies paid
for from federal tax dollars for purposes of soliciting
campaign contributions or for other clearly political campaign
activities could involve violations of other federal laws,
congressional regulations and standards. Provisions of the
United States Code, congressional regulations governing
allowances, and appropriations provisions specify that amounts
provided a Member of Congress from appropriated funds for such
items as telephone, mail, office space, stationery, etc., are
for the use of such items only for ``official'' or ``strictly
official'' purposes.\82\ These provisions would thus apparently
work to bar the use or conversion of such supplies, equipment,
or facilities for ``campaign'' purposes, rather than for
``official'' congressional business. As discussed earlier in
this report with respect to the official allowances for
congressional staff, the use of official allowances or
supplies, services, or goods secured by such allowances, for
other than the official purposes for which the appropriations
were made, or for other purposes than those which the Member
had certified or documented in vouchers, might potentially
subject someone to legal liabilities concerning false claims,
fraud or possibly even conversion or theft. The ethics
committees in both the House and the Senate have thus found
that general campaign or campaign fund activities should be
conducted outside of the official office space provided Members
of Congress, and should generally be conducted with equipment,
supplies or other facilities which are secured by private funds
or contributions and not official congressional allowances or
appropriations.\83\
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\82\ See for example 2 U.S.C. Sec. Sec. 42a, 43c, 46g, 46g-1, 56-
59, 122a, among others, as well as regulations issued by the Committee
on House Oversight and the Senate Committee on Rules and Administration
governing use of official allowances.
\83\ See, for example, disciplinary report from House Committee on
Standards of Official Conduct, H. Rept. 101-293, 101st Cong., 1st Sess.
(1989), In the Matter of Representative Jim Bates, at p. 8, 10-11. The
Committee concluded: ``Moreover, use of House resources (including
employees on official time) to solicit political contributions is
improper.'' Id. at p. 12.
C. Quick Reference List of Specific Campaign Prohibitions
1. GENERAL
An employee may not:
(1) Deprive, attempt to deprive, or threaten to deprive
anyone of employment or any other benefit, provided for or made
possible by an Act of Congress appropriating relief funds
because of that person's political affiliation. 18 U.S.C.
Sec. 246.
(2) Make or offer to make an expenditure to any person
either to vote or withhold one's vote or to vote for or against
any candidate in a federal election. 18 U.S.C. Sec. 597.
(3) Solicit, accept, or receive an expenditure in
consideration of his vote or the withholding of his vote in a
federal election. 18 U.S.C. Sec. 597.
(4) Use any appropriation by Congress for work relief,
relief, or for increasing employment, or exercise any authority
conferred by an appropriations act for the purpose of
interfering with, restraining, or coercing any individual in
the exercise of his right to vote. 18 U.S.C. Sec. 598.
(5) If a candidate, directly or indirectly promise or
pledge the appointment of any person to any public or private
position or employment, for the purpose of procuring support of
one's candidacy. 18 U.S.C. Sec. 599.
(6) Promise employment or any other benefit provided for or
made possible by an act of Congress as reward for political
activity or support. 18 U.S.C. Sec. 600.
(7) Furnish, disclose, or receive for political purposes
the names of persons receiving relief payments under any act of
Congress. 18 U.S.C. Sec. 605.
(8) Make any expenditure for any general public political
advertising which anonymously advocates the election or defeat
of a clearly identified candidate. 2 U.S.C. Sec. 441d.
(9) Fraudulently misrepresent oneself as speaking or acting
on behalf of a candidate. 2 U.S.C. Sec. 441h.
2. SOLICITING OR RECEIVING CAMPAIGN CONTRIBUTIONS
An employee may not:
(1) Promise to use support or influence to obtain federal
employment for anyone in return for a political contribution.
18 U.S.C. Sec. 211.
(2) Cause or attempt to cause anyone to make a political
contribution by means of denying or threatening to deny any
governmental employment or benefit provided for or made
possible, in whole or in part, by any act of Congress. 18
U.S.C. Sec. 601.
(3) Solicit political contributions from any other federal
employee or any ``person receiving any salary or compensation
or services from money derived from the Treasury of the United
States.'' 18 U.S.C. Sec. 602.
(4) Solicit or receive political contributions from persons
known to be entitled to or to be receiving relief payments
under any act of Congress. 18 U.S.C. Sec. 604.
(5) Intimidate any federal officer or employee to secure
political contributions. 18 U.S.C. Sec. 606.
(6) Solicit or receive political contributions in a federal
building, other than unsolicited contributions transferred to a
political committee within seven days. 18 U.S.C. Sec. 607.
(7) Knowingly accept a contribution in excess of
limitations under federal law of $1,000 to a candidate from any
person, and $5,000 to a candidate from multi-candidate
committees. 2 U.S.C. Sec. 441a(a).
(8) Accept or receive any political contributions from the
organizational or treasury funds of a national bank,
corporation, or labor organization. 2 U.S.C. Sec. 441(b)
(contributions from separate segregated funds of these
organizations may be received).
(9) Knowingly solicit contributions from federal government
contractors. 2 U.S.C. Sec. 441(c).
(10) Solicit, accept, or receive a contribution from a
foreign national. 2 U.S.C. Sec. 441e.
(11) Knowingly accept a contribution made by one person in
the name of another person. 2 U.S.C. Sec. 441f.
(12) If an employee of the Senate, receive, solicit, be
custodian of, or distribute any campaign funds for federal
elections unless the employee is one of three assistants whom
the Senator has designated to perform such functions, the
employee is compensated at a rate in excess of $10,000 per
annum, the Senator's designation has been made in writing and
filed with the Secretary of the Senate, and the employee files
an annual financial disclosure statement. Rule XLI, Standing
Rules of the Senate.
3. MAKING POLITICAL CONTRIBUTIONS
An employee may not:
(1) Make a political contribution to any Member of Congress
or federal official who is the employer or employing authority
of the congressional staffer. 18 U.S.C. Sec. 603.
(2) Make a cash contribution in excess of $100. 2 U.S.C.
Sec. 441g.
(3) Make contributions in excess of $1,000 per election to
any candidate, $5,000 per calendar year to a political
committee, and $20,000 to a national party committee per year,
or make contributions aggregating over $25,000 per calendar
year. 2 U.S.C. Sec. 441a(a).
(4) Make a contribution in the name of another. 2 U.S.C.
Sec. 441f.
(5) Make contributions or expenditures in excess of $100
other than by contribution to a committee or candidate, without
filing a report with the Federal Election Commission. 2 U.S.C.
Sec. 434(e).
=======================================================================
PART V
SUMMARY OF THE EFFECT OF NEW ETHICS LAWS ON THE SENATE
=======================================================================
SUMMARY OF THE EFFECT OF NEW ETHICS LAWS ON THE SENATE*
Ethics provisions in legislation enacted in 1989, the
Ethics Reform Act of 1989 (Pub.L. 101-194, as amended by Pub.L.
101-280), in 1991, the Legislative Branch Appropriations Act,
1992, (Pub.L. 102-90), and in 1995 (S. Res. 158, 104th
Congress) affect and change the ethics rules and laws for
Members, officers and employees of the Senate. This report will
provide a brief summary of changes in several areas of ethics
and conflict of interest regulation in the Senate affected by
recent legislation.
---------------------------------------------------------------------------
* By Jack H. Maskell, Legislative Attorney, Congressional Research
Service, Library of Congress.
---------------------------------------------------------------------------
A. Gifts
Dollar Limits. The new gifts rule for the Senate, beginning
in 1996, places a limitation of under $50 for any gift,
including a meal, received by a Senator, officer and employee
from any source other than a relative. (Rule 35, para. 1(a)).
Additionally, gifts aggregating $100 or more a year from any
one source may not be accepted. Any gift of $10 or more will be
counted toward the yearly aggregate, but no specific accounting
or formal record keeping for all such gifts of $10 or more is
expressly required by the rules.
Gifts From Lobbyists and Foreign Agents. New limitations
have been added to expressly prohibit certain other gifts and
reimbursements from registered lobbyists or from registered
agents of foreign principals. Senators, officers and employees
may not accept from lobbyists or from foreign agents
contributions to a legal defense fund (Rule 35, para. 3(c));
may not accept unrestricted gifts of ``personal hospitality''
from lobbyists or from foreign agents (Rule 35, para.
1(c)(17)); may not accept reimbursement or gifts of
transportation or lodging expenses for fact finding,
conferences, or other such events, including charitable events,
from lobbyists or foreign agents (Rule 35, para. 2(a)(1)); may
not have lobbyists or foreign agents make contributions to an
organization which is controlled or maintained by a Senator,
officer or employee (Rule 35, para. 3(a)); may not have a
lobbyist or foreign agent contribute to a charity at the
suggestion or recommendation of the Member, officer or employee
except in lieu of an honorarium if reported as required (Rule
35, para. 3(b) and 4); and may not accept donations to assist
in the cost of official conferences or retreats (Rule 35, para.
3(d)).
Travel Expenses for Officially Connected Fact Finding
Events. Members, officers and employees may continue to accept
reimbursement of certain ``necessary'' travel and
transportation expenses, including meals and lodging, other
than from a lobbyist or foreign agent, when a ``fact finding''
event, conference, or other such event is in connection with
the duties of the Member, officer or employee; when the
employee receives written authorization; when the expenses are
fully disclosed by Members, officers and employees within 30
days of the travel; and when the activities connected with the
event are not ``substantially recreational in nature.'' (Rule
35, para. 2). The travel expenses for such events are
authorized only for up to 3 days for travel within the United
States and 7 days for foreign travel, do not include
recreational activities or collateral entertainment (not an
integral part of the event), but may include the expenses for a
Member's, officer's or employee's spouse or child if attendance
is ``appropriate to assist in the representation of the
Senate.''
Attendance at Widely Attended Gatherings. Members, officers
and employees may accept an offer of free attendance at widely
attended gatherings, dinners, panel discussions, viewings and
other such events, provided by the sponsor of such event, when
the Senator, officer or employee participates in the event or
when the attendance is appropriate to the official functions of
the Member's, officer's or employee's duties. (Rule 35, para.
1(c)(18) and para. 1(d)(1)). The offer of free attendance
includes food, refreshments, entrance or other such fees, local
transportation, entertainment as part of the event (but not
collateral entertainment) (Rule 35 para. 1(d)(4)), and such
expenses for an accompanying individual when it is appropriate.
(Rule 35, para. 1(d)(2)).
Charitable Events. Senators, officers and employees may
participate in charitable events and charitable fundraisers,
and may accept free attendance to local charitable events
offered by the sponsors, similar to any other local ``widely
attended gathering'' as discussed above. (Rule 35, para.
1(d)(3),(4)). Additionally, when a charitable event is not
substantially recreational in nature (that is, when the event
is not, for example, a celebrity golf, tennis, or ski event or
the like), and when the Senator, officer or employee meets the
requirements for ``necessary'' expenses for travel placed on
``fact finding'' or other officially connected events, such
necessary transportation expenses may be accepted for
charitable fundraising events. (Rule 35, para. 1(d)(3), see
Rule 35, para. 2).
Exceptions. The new Senate Rule on gifts makes several
other narrow exceptions to the limitations and prohibitions on
the receipt of gifts. Although not all inclusive, such
exceptions include gifts from personal friends (limited to $250
unless a waiver is received from the Ethics Committee), the
``personal hospitality'' of an individual (other than a
lobbyist or foreign agent), political contributions, political
events from a political organization, honorary awards, prizes
from contests open to the public, informational material, home
State products, things paid for by State or local governments,
regular discounts, plaques or mementos, nominal food or
refreshments not part of a meal, and items of little intrinsic
value such as pens, t-shirts and baseball caps. (See Rule 35,
para. 1(c)(1)-(23)).
Other Limits on Things of Value. The existing federal law
prohibiting federal employees from giving gifts to supervisors
or superiors in the federal service, and prohibiting such
superiors in the federal service from accepting gifts from
those in the federal service receiving less pay than themselves
(5 U.S.C. Sec. 7351), has been amended. This provision will now
expressly allow the supervising ethics office (the Senate
Select Committee on Ethics in the case of Senate employees) to
provide exceptions for special occasions such as marriage or
retirement.\1\ Additionally, gifts between Members of Congress,
or between or from officers or employees of the House or Senate
are exempted from the Senate Rule limiting gifts. (Rule 35,
para. 1(c)(6)).
---------------------------------------------------------------------------
\1\ Pub.L. 101-194, Section 301, as amended by Pub.L. 101-280.
---------------------------------------------------------------------------
A statutory prohibition on gifts to federal employees was
added in 1989 which codified in law the regulations which have
been applicable to executive branch employees since 1965. This
law, codified at 5 U.S.C. Sec. 7353, prohibits any federal
officer or employee, including Members of Congress and
congressional staff, from receiving any gift of any amount from
someone who is seeking action from, doing business with, or is
regulated by one's agency, or whose interests may be
substantially affected by the performance or nonperformance of
one's official duties. The Senate Select Committee on Ethics
and the Senate as a whole may make exceptions to this
restriction, and may issue regulations setting out
circumstances under which gifts may be accepted. The Senate
Rule on gifts, discussed above, appears to have been intended
to contain those exceptions and circumstances concerning the
receipt of permissible gifts in the Senate.
In addition to the Senate Rules and the provisions of law
regarding ``gifts,'' Senate officers, employees and Members
continue to be subject to the restrictions of other statutes
concerning the receipt of things of value, such as the bribery
law at 18 U.S.C. Sec. 201(b) prohibiting the receipt of
anything of value in return for being influenced in the
performance of an official duty; the illegal gratuities clause,
18 U.S.C. Sec. 201(c), prohibiting the receipt of anything of
value ``for or because of'' an official act; and the Foreign
Gifts and Decorations Act, 5 U.S.C. Sec. 7342, note Article I,
Sec. 9, cl. 8, of the Constitution, restricting gifts from
foreign governments.
B. Outside Earned Income and Honoraria
Honoraria.The Senate placed itself within the statutory ban
on ``honoraria'' in 1991.\2\ Although the statue banning
honoraria has been found unconstitutional by the Supreme Court
as to the rank-and-file federal employees who challenged the
law,\3\ and although the Justice Department has stated that it
will not enforce the law as to any federal officials,\4\ the
Senate has incorporated the ban as part of the Senate Rules,\5\
and thus the prohibition on receiving payments for any speech,
article or appearance is still applicable to Members and
employees of the Senate.
---------------------------------------------------------------------------
\2\ See Pub.L. 102-90, Section 6(b), amending Pub.L. 101-194,
Section 601(a), adding Section 501(b) to the Ethics in Government Act
of 1978; note 5 U.S.C. App. Sec. 501(b).
\3\ United States v. NTEU, 115 S.Ct. 1003 (1995).
\4\ U.S. Department of Justice, Office of Legal Counsel, ``Legality
of Government Honoraria Ban Following U.S. v. National Treasury
Employees Union,'' February 26, 1996.
\5\ Senate Rule XXXVI.
---------------------------------------------------------------------------
The restriction on honoraria applies to all Senators,
officers, and staff in the Senate regardless of the level of
compensation or duties of the staff employee; and applies to
private compensation for any article, speech or appearance
without regard to its subject, and without regard to potential
or actual conflicts of interest with one's official duties. The
ban on honoraria may also apply to what were formerly called
``stipends,'' that is, payments for a series of appearances,
articles, or speeches, when the subject matter of these events
are directly related to the individual's official duties, or
the payments made because of the individual's status with the
government.\6\ Actual and necessary travel expenses incurred in
connection with an event by the Member, officer or employee
(and one relative), however, are not included in the definition
of an ``honorarium'' and may continue to be accepted.
---------------------------------------------------------------------------
\6\ 5 U.S.C. App. 7 Sec. 505(3), as amended by Pub.L. 102-90,
Section 314(b), 105 Stat. 469.
---------------------------------------------------------------------------
In lieu of payment of an honorarium, a contribution may be
made to a charitable organization, as long as such contribution
does not exceed $2,000 and as long as the Senator, officer or
employee, or anyone in such person's immediate family, does not
receive any financial benefit from that organization.\7\ There
will be no tax benefits or burdens to the Member, officer or
employee in such payment of honoraria to charity.\8\
---------------------------------------------------------------------------
\7\ 5 U.S.C. App. 7 Sec. 501(c), Pub.L. 101-194, Section 601(a).
\8\ 26 U.S.C. Sec. 7701(k), as added by Pub.L. 101-194, Section
602.
---------------------------------------------------------------------------
Earned Income and Outside Employment. Beginning also on
August 14, 1991, all Members of the Senate, and those Senate
officers and employees who are compensated at a rate of pay
equal to or more than 120 percent of the pay of a GS-15, are
subject to a ``cap'' on the amount of outside earned income
which they may receive in a calendar year. The overall, outside
earned income limit is equal to 15 percent of the official
salary of a level II in the Executive Schedule.\9\
---------------------------------------------------------------------------
\9\ 5 U.S.C. App. 7 Sec. 501(a)), Section 601(a) of Pub.L. 101-194,
adding Section 501(a) to the Ethics in Government Act; note Section
6(b) of Pub.L. 102-90.
---------------------------------------------------------------------------
In addition to the 15 percent cap on all outside earned
income, all Senators, and those officers and employees
compensated at a rate equal to or more than 120 percent of a
GS-15, are subject to other specific restrictions on outside
employment and professional activity beginning on August 14,
1991. Such persons may not:
(1) affiliate with a firm to provide compensated
professional services involving a fiduciary
relationship;
(2) allow any such firm to use one's name;
(3) practice a profession which involves a fiduciary
relationship for compensation;
(4) serve for compensation as an officer or board
member of any association or corporation; or
(5) receive compensation for teaching without prior
approval of the Select Committee on Ethics.\10\
---------------------------------------------------------------------------
\10\ 5 U.S.C. App. 7 Sec. 502, Pub.L. 101-194, Section 601(a),
adding Section 502 to the Ethics in Government Act of 1978; Pub.L. 102-
90, Section 6(b).
---------------------------------------------------------------------------
All staff employees and Members of the Senate are subject
to the conflict of interest regulations and prohibitions
established by Senate Rule XXXVII, including prohibitions on
the receipt of compensation through influence improperly
exerted from one's position in the Senate (Senate Rule
XXXVII(1); prohibitions on conflicting or incompatible outside
employment (Senate Rule XXXVII(2)); and restrictions on staff
engaging in outside employment which is not reported to their
supervising employer (XXXVII(3)). Senate staff who earn at
least $25,000 per year, but do not come within the new
restrictions, are still subject to Senate Rules which restrict
affiliation with a firm for providing professional services for
compensation; prohibit the use by such firm of the name of the
employee; prohibit the practice of a profession during regular
Senate hours for compensation; and prohibit service on the
board of directors of regulated corporations or business
entities in most circumstances. Senate Rule XXXVII(5) and (6).
Additionally, all employees of the federal government are
prohibited from receiving compensation for any representational
``services rendered'' before a federal agency (18 U.S.C.
Sec. 203, note also Sec. 205); and are prohibited from
receiving any compensation or ``emoluments'' from a foreign
government without the consent of the Congress. Article I,
Section 9, clause 8 of the Constitution. See also 18 U.S.C.
Sec. 219, prohibition on acting as agent of a foreign
principal.
C. Financial Interests: Conflicts and Disclosure
The existing and current conflict of interest regulations
under the Senate Rules prohibit certain conduct by Members and
staff, and may work to restrict certain financial interests of
staff. Senate Rules prohibit a Member, officer or employee from
working on legislation affecting only the personal financial
interests of the Member, officer or employee, or of a limited
class of persons or enterprises of which the Member, officer or
employee, or his or her family, are among. Senate Rule
XXXVII(4). Other Senate Rules require the divestiture of
conflicting assets by committee staff earning in excess of
$25,000 per year. Senate Rule XXXVII(7). Furthermore, as noted
above, conflict of interest rules prohibit the receipt of
compensation, or allowing compensation to accrue to one's
beneficial interest, through influence improperly exerted from
one's position in the Senate (Senate Rule XXXVII(1)).
A conflict of interest provision added to the Senate Rules
in 1989 prohibits any Senate employee, who is required to file
a financial disclosure report under the Ethics in Government
Act of 1978 (generally those compensated at a rate of 120
percent of a GS-15 or more), from contacting a federal agency
on any non-legislative matter which affects any person or
entity in which that employee has a significant financial
interest. This disqualification rule will not apply if the
employee first advises his or her supervisor of the financial
interest, and receives a written waiver filed with the Select
Committee on Ethics that the employee's participation is
necessary.\11\
---------------------------------------------------------------------------
\11\ Senate Rule XXXVII(10), Pub.L. 101-194, Sec. 903.
---------------------------------------------------------------------------
The financial disclosure provisions of the Ethics in
Government Act were amended and consolidated in 1989 into one
title for all three branches of the federal government. Those
persons in the Senate who must file annual public financial
disclosure statements are Senators, and officers and employees
of the Senate who are compensated at a rate equal to or greater
than 120 percent of a GS-15, or at least one designated
principal assistant of a Senator if no employee of the Senator
is compensated at that rate. A requirement for a final report
when covered staff leave their employment has been added by the
new law.
The required contents of the disclosure statements include
information substantially similar to the old provisions, and
include the disclosure of outside earned income and unearned
income; gifts of travel expenses; other gifts from any source
other than a relative; reimbursements; interest in income
producing assets and investments; liabilities; transactions in
real property or stocks, bonds or other financial instruments;
positions held in businesses and organizations, including
whether any compensation exceeding $5,000 has been received
from any one source during the preceding two years; any
agreements or arrangements for future employment, leaves of
absence, or continuing compensation from any source other than
the federal government; and required reporting of certain
financial information for one's spouse and dependent children.
Some of the threshold amounts for disclosure have been raised,
as well as certain threshold amounts under which gifts need not
be aggregated for disclosure, and the categories of value for
the disclosure of certain items such as assets, liabilities and
transactions have been adjusted upwards, with greater
specificity required for the upper limits.
The contents of trusts must generally be disclosed unless
one creates or has an approved ``qualified blind trust,'' and
then only the income from such trust, and the ``total cash
value of any interest'' of the reporting individual in the
trust, need be disclosed. There are specific and detailed
requirements for the establishment and maintenance of a
qualified blind trusts under the statute.
D. Post Employment, ``Revolving Door,'' Restrictions
The 1989 ethics legislation added post-employment conflict
of interest provisions, commonly known as ``revolving door''
laws, upon Senators and certain Senate staffers. Senate
staffers employed by Members, committees or the leadership
offices are covered if they are compensated at a rate equal to
or above 75 percent of the rate of pay of a Member of the
Senate.
Senators and covered employees of the Senate are now
subject, after January 1, 1991, to a one-year ``cooling off''
or ``no contact'' period. Members of the Senate are prohibited
for a year after leaving Congress from lobbying or making other
advocacy contacts with any Member, officer or employee of
either House of Congress, or to any employee of a legislative
office. 18 U.S.C. Sec. 207(e)(1). Former employees of a Senator
may not make advocacy or representational contacts to that
Senator, or any of the Senator's employees, for one year after
they leave office. Committee staffers covered by these
provisions will be barred from making such advocacy contacts
and representations for a year after leaving office to any
Member or employee of their former committee, or to any Member
who was on the committee during the last year of the staffer's
employment. Section 101, new 18 U.S.C. Sec. 207(e)(2),(3),(4).
Senators and covered legislative branch employees are also
prohibited for a year after leaving office from representing an
official foreign entity before the United States, or aiding or
advising such entity with intent to influence any decision of
an agency or employee of the United States Government. 18
U.S.C. Sec. 207(f). There is a further restriction on all
officers and employees of the government, including Senators
and employees in the legislative branch, who worked personally
and substantially on a treaty or trade negotiation and who had
access to information which is not subject to disclosure under
the Freedom of Information Act, from using such information for
one year after leaving the government for the purpose of
aiding, assisting, advising, or representing anyone other than
the United States regarding such treaty or trade negotiation.
18 U.S.C. Sec. 207(b)(1).
Finally, all employees of the Senate are still subject to
the Senate Rule governing lobbying after they leave Senate
employment. Senate Rule XXXVII, clause 9, applies to all former
staffers who have become registered lobbyists, or are employed
by a registered lobbyist to influence legislation. Such former
staffers are prohibited for one year after leaving the Senate
from lobbying the Senator for whom they used to work or the
Senator's staff; or if they were committee staff, are
prohibited for one year from lobbying the Members or the staff
of that committee.
E. Campaign Funds and Official Expenses
Beginning in the second session of the 102nd Congress,
Members of the Senate are no longer permitted to defray
official expenses of the Senator's office from funds derived
from a campaign committee. Provisions of law enacted as the
Legislative Branch Appropriations Act of 1991, Pub.L. 101-520,
provide at Section 311(d) that:
``No Senator or Member of the House of Representatives may
maintain or use, directly or indirectly, an unofficial office
account or defray official expenses from (1) funds received
from a political committee or derived from a contribution or
expenditure * * * or (3) any other funds that are not
specifically appropriated for official expenses.'' See 104
Stat. 2279-2280.
F. Campaign Funds and Personal Use
The so-called ``grandfather clause'' in the Federal
Election Campaign Act, which had exempted persons who were
Members of Congress on January 1, 1980, from the prohibition on
converting campaign contributions to personal use (2 U.S.C.
Sec. 439a), was repealed by the 1989 ethics reform
legislation.\12\ This exemption had only affected certain
Members of the House of Representatives who were leaving
Congress, since existing Rules of the Senate had already
prohibited the conversion of campaign funds by current
Senators, as well as prohibiting the conversion of such funds
to personal use by former Senators. Senate Rule XXXVIII(2).
House Rules prohibit such conversion only for all sitting
Members, and thus certain ``grandfathered'' ex-Members of the
House could have converted campaign funds to their personal use
without prohibition. House Rule XLIII(6). All Members and
former Members of both the House and the Senate are now,
however, by statute prohibited from converting any campaign
contributions to personal use after January 1993.\13\
---------------------------------------------------------------------------
\12\ Pub.L. 101-194, Sec. 504.
\13\ See also Federal Election Commission Rules, at 11 C.F.R. Part
113.
---------------------------------------------------------------------------
=======================================================================
PART VI
QUALIFICATIONS OF MEMBERS OF CONGRESS FOR ELIGIBILITY FOR OFFICE
=======================================================================
QUALIFICATIONS OF MEMBERS OF CONGRESS FOR ELIGIBILITY FOR OFFICE *
---------- _
A. Introduction and Background
Under Article I, section 1 of the Constitution, the
Congress is organized into a bicameral legislative body
consisting of a Senate and a House of Representatives.\1\
Article I, section 2 prescribes the qualifications for the
Members of the House: (1) twenty-five years of age, (2) a
citizen for seven years, and (3) inhabitancy in the state from
which the Member is to be chosen.\2\ For Members of the Senate,
Article I, section 3 prescribes the following qualifications:
(1) thirty years of age, (2) a citizen for nine years, and (3)
inhabitancy in the state from which the Member is to be
chosen.\3\
---------------------------------------------------------------------------
*By L. Paige Whitaker, Legislative Attorney, American Law Division,
Congressional Research Service, Library of Congress.
\1\ U.S. Const., art. I, Sec. 1.
\2\ U.S. Const., art I, Sec. 2 provides: ``No person shall be a
Representative who shall not have attained to the Age of twenty-five
Years, and has been seven Years a Citizen of the United States, and who
shall not, when elected, be an Inhabitant of that State in which he
shall be chosen.''
\3\ U.S. Const., art I, Sec. 3 provides: ``No person shall be a
Senator who shall not have attained to the Age of thirty Years, and
been nine Years a citizen of the United States, and who shall not, when
elected, be an Inhabitant of that State for which he shall be chosen.''
---------------------------------------------------------------------------
Other qualifications for Members of Congress were
considered by the delegates to the Constitutional Convention of
1787 such as: (1) having a freehold or other property of a
certain value, (2) requiring the payment of taxes, (3) and a
certain period of residency.\4\ The Convention decided that the
qualifications for both the House and Senate should be few and
simple reflecting only age, citizenship, and inhabitancy.\5\
---------------------------------------------------------------------------
\4\ 2 J. Story, Commentaries on the Constitution of the United
States (Boston; 1833; reprinted DeCapo Press, New York: 1970)
Sec. Sec. 613-614, p. 90.
\5\ Id., Sec. 615, pp. 90-91.
---------------------------------------------------------------------------
First, with regard to age, it was decided after much debate
that Representatives must have attained twenty-five years and
Senators thirty years. The delegates agreed that some
qualifications of age for Members of Congress was proper. The
age of twenty-one was dismissed since persons of this age are
often inexperienced and need more time to ``. . . try their
virtues, develop their talents, enlarge their resources, and
give them a practical insight into the business of life
adequate to their own immediate wants and duties.'' \6\ The age
of Senators was set at thirty which was an additional five
years more than the age qualification for Representative since
it was thought that the nature of the duties of a Senator
require more experience, knowledge, and maturity than that of a
Representative.\7\
---------------------------------------------------------------------------
\6\ Id., Sec. 616, pp. 91-92.
\7\ Id., Sec. Sec. 726-727, pp. 204-205. Note that a similar
qualification as to age was required of the Members of the Roman
Senate, and persons were not considered of full age in Rome until the
age of twenty-five. Id., p. 205.
---------------------------------------------------------------------------
Second, as to citizenship, Representatives must have been
citizens for seven years, while for Senators the requirement is
nine years. The obvious reasons for the citizenship requirement
were (1) to negate foreign influence, (2) to allow sufficient
time for foreigners to acquire knowledge of the institutions
and interests of the Country,\8\ and (3) to avoid situations
whereby U.S. citizens would be represented by foreign
Representatives who may not have their best interests in
mind.\9\ Originally the delegates to the Convention proposed a
three years' citizenship requirement for Representatives but
later changed it to seven years.\10\ For Senators, a term of
four years' citizenship was proposed, but it was later changed
to nine years.\11\
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\8\ Id., Sec. 728, p. 206. See also The Federalist, No. 62.
\9\ Id., Sec. 617, p. 93.
\10\ Id.
\11\ Id., Sec. 728, pp. 206-207. As noted in The Federalist, ``The
term of nine years appears to be a prudent mediocrity between a total
exclusion of adopted citizens, whose merits and talents may claim a
share in the public confidence, and in indiscriminate and hasty
admission of them, which might create a channel for foreign influence
in the national councils.'' See The Federalist. No. 62.
---------------------------------------------------------------------------
Third, with regard to inhabitancy, the constitutional
requirement for both Representatives and Senators is that they
are, when elected, inhabitants of the state in which they are
chosen. The purpose of this qualification was to secure an
attachment to the state so that its interests would be properly
represented. The inhabitancy that is required of
Representatives and Senators is merely within a state not in
any particular district of the state in which a Member is
chosen. A one year's residence requirement was considered at
the Convention but failed to pass.\12\
---------------------------------------------------------------------------
\12\ Id., Sec. Sec. 618, 729, pp. 94-207.
---------------------------------------------------------------------------
The age, citizenship, and inhabitancy requirements are the
only qualifications for Members of Congress. They are paramount
and exclusive qualifications, and state constitutions and laws
can neither add to nor take away from these qualifications.\13\
The Constitution has not delegated any authority to either the
States or the Congress, to add to or diminish such
qualifications of Members of Congress as prescribed by Article
I of the Constitution. In case of a conflict between a state's
laws or a state's constitutional provisions relating to the
qualifications of Members of Congress and the provisions of the
Federal Constitution, the provisions of the Federal
Constitution prevail. Thus, the mere possession of such
qualifications as prescribed in the Constitution would make a
person eligible for election to the Congress.\14\ And Alexander
Hamilton observed that ``. . . [t]he qualifications of the
persons who . . . may . . . be chosen . . . are defined and
fixed in the Constitution, and are unalterable by the
legislature.'' \15\
---------------------------------------------------------------------------
\13\ 1 Hinds Precedents of the House of Representatives
(Washington: 1907), Sec. 414, p. 382. See also 2 J. Story, Commentaries
Sec. 625 at p. 1011.
\14\ Id., 414, pp. 382-383.
\15\ The Federalist. No. 60 (Modern Library ed. 1937), 394. Also
note that in Article I, section 6, clause 2 of the Constitution, there
are certain other disqualifications: ``[N]o person holding any Office
under the United States shall be a Member of either House during his
Continuance in Office.'' Moreover, Article 1, section 6, clause 2 would
disqualify a Member of Congress ``during the time for which he was
elected.'' from being appointed ``to any civil Office under the
Authority of the United States, which shall have been created, or the
Emoluments whereof shall have been increased during such time. . . .''
---------------------------------------------------------------------------
Even though the qualifications for Members of Congress were
made quite few and simple by the Authors of the Constitution,
Congress on several occasions seemed to add additional
qualifications such as by the 1862 disloyalty oath and by the
exclusion in 1900 of a Member-elect for polygamy. The issue of
whether Congress could add additional qualifications for
Members of Congress was not clarified until the 1969 Supreme
Court decision, Powell v. McCormack, in which the Court
conclusively established that the constitutional qualifications
for Members of Congress under Article I were exclusive and that
Congress could not add to them.\16\ While such qualifications
appear to be quite clear, a number of issues regarding them
have arisen.
---------------------------------------------------------------------------
\16\ 395 U.S. 486, 543-547 (1969). See Act of July 2, 1862, 12
Stat. 502.
---------------------------------------------------------------------------
B. State Residence Requirements
Questions have arisen concerning whether a state has a
right to prescribe residence requirements for Members of
Congress and more particularly congressional district residence
requirements for Members of the House. For example, a 1790
Maryland law required a Member to be an inhabitant of the
district at the time of election and to have resided there
twelve months immediately prior to the election. In 1807, a
House contested election case arose concerning whether an
elected candidate to the House of Representatives has met the
residence requirements of the State of Maryland. After much
debate in the House, a report was issued that asserted: (1)
that the qualifications for Members of Congress should be
national in character and uniform throughout the nation, (2)
that neither the States nor the Congress could add to or
diminish such qualifications, and (3) that the States could not
reserve a power to add to the qualifications of members.\17\
---------------------------------------------------------------------------
\17\ Hinds' Precedents of the House of Representatives, Sec. 414,
pp. 381-382 (1907).
---------------------------------------------------------------------------
In a 1958 Maryland Court of Appeals decision, Hellmann v.
Collier,\18\ involving a Maryland statute that required every
candidate for the House of Representatives to be a resident of
the congressional district in which the candidate sought
election,\19\ the Court held the statute invalid because the
State does not have any power to fix the qualifications for
Representatives in Congress. Moreover, the congressional
district residency requirement was an attempt by the State to
impose an additional qualification to the provision of Article
I, section 2 which establishes the qualifications for
Representatives of Congress. The Maryland Court of Appeals
decision was based on the ground that the State cannot in any
manner impose additional qualifications for Members of the
House of Representatives \20\ despite the fact that Congress
has enacted laws providing for the reapportionment and
redistricting for Members of the House.\21\
---------------------------------------------------------------------------
\18\ 217 Md. 93. 141 A. 2d 908 (1958).
\19\ Maryland Annotated Code, Art. 33, sec. 158(c) (1957).
\20\ 141 A. 2d at 911-912.
\21\ See the following Federal statutory provisions relating to
reapportionment and redistricting: 2 U.S.C. Sec. 2 (number and
apportionment of Representatives); 2 U.S.C. Sec. 2a (reapportionment of
Representatives: time and manner); 2 U.S.C. Sec. 2b (number of
Representatives from each state); and 2 U.S.C. Sec. 2c (number of
congressional districts, number of Representatives from each district.)
---------------------------------------------------------------------------
By custom and precedent, however, it has become the norm
that Representatives are residents of the congressional
districts that they are elected to represent. However, for a
state to require this by a law, as the State of Maryland did,
would present immediate constitutional problems as it is a well
settled principle that States cannot add to the qualifications
for Members of Congress.\22\
---------------------------------------------------------------------------
\22\ Bernard Schwartz, A Commentary on the Constitution of the
United States, Part 1 ``The Powers of Government'' (New York: The
MacMillan Co., 1963) p. 97. For an analysis of the terms ``bonafide
inhabitant'' for the purpose of congressional eligibility for office,
see H. Rept. 94-762, 94th Cong. 1st Sess. (1975).
---------------------------------------------------------------------------
C. Definition of Inhabitancy
The constitutional qualifications of Articles 1, section 2
and 3 for members of the House and Senate require inhabitancy
in the state in which a Member is chosen, but these provisions
do not use the terms ``residency'' or ``domicile.'' Black's Law
Dictionary defines an inhabitant as: ``One who resides actually
and permanently in a given place, and has his domicile there.''
\23\ The terms ``resident'' and ``inhabitant'' are not
necessarily synonymous. Inhabitancy implies a more fixed and
permanent abode and imparts certain privileges and
responsibilities that residency would not have.\24\
``Residence'' is defined as the ``[P]ersonal presence at some
place of abode with no present intention of definite or early
removal and with purpose to remain for undetermined period, not
infrequently, but not necessarily combined with design to stay
permanently.'' \25\ And ``domicile'' is ``[T]hat place where a
man has his true, fixed, and permanent home and principal
establishment, and to which whenever he is absent he has the
intention of returning.'' \26\
---------------------------------------------------------------------------
\23\ Black's Law Dictionary 703 (6th ed. 1990). See also Ex Parte
Shaw, 145 U.S. 444, 447 (1892).
\24\ Id.
\25\ Id., 1176.
\26\ Id., 435.
---------------------------------------------------------------------------
What are the criteria that would establish inhabitancy for
the purpose of meeting that qualification under Article I,
sections 2 and 3 of the Constitution? Some of the early
contested election cases in the House of Representatives
concerning the issue of inhabitancy provides us with certain
criteria. To determine inhabitancy of House Members, the
following factors were considered:
(1) citizen of the state involved;
(2) native of state involved;
(3) residence in state involved;
(4) residence in other states;
(5) type of home in state (vacation home or permanent
home);
(6) professional licensure in state (e.g., license to
practice law in state);
(7) pension from a foreign country; \27\
---------------------------------------------------------------------------
\27\ These seven criteria were considered in the House contested
election case of Philip B. Key of Maryland in the Tenth Congress (1807-
1808). See 1 Hinds' Precedents of the House of Representatives
Sec. 432, pp. 417-419 (1907).
---------------------------------------------------------------------------
(8) residence abroad;
(9) property in state--both real and personal;
(10) intention to return to state if outside of
state; \28\
---------------------------------------------------------------------------
\28\ Factors numbered 8, 9, and 10 were considered in the House
contested election case of John Bailey in 1824 who was elected from
Massachusetts to the Eighteenth Congress, but Congress concluded that,
since he held an office and resided with his family for a series of
years in the District of Columbia exclusively, he was disqualified to
sit as a Member from Massachusetts. 1 Hinds' Precedents of the House of
Representatives Sec. 434, pp. 419-422 (1907). However, in the 1824
contested election case of John Forsyth of Georgia, the House held that
residence abroad in the service of the Government does not constitute a
disqualification. 1 Hinds' Precedents supra Sec. 433 at p. 419.
---------------------------------------------------------------------------
(11) state usage of the term ``inhabitant''.\29\
---------------------------------------------------------------------------
\29\ For example, in Massachusetts in regard to the election
contest case of John Bailey in 1824, the term ``inhabitant'' referred
to a person as a member of a certain political community and not as a
resident, see 1 Hinds' Precedents supra Sec. 433 at p. 422. Cf. Senate
election contest case of Stanley Griswold in 1809 in which it was
determined that since the State of Ohio did not have any laws or
constitutional provisions construing the term ``inhabitant,''
citizenship in the State would be sufficient to meet the inhabitancy
qualification. See Senate Election, Expulsion And Censure Cases From
1793 to 1972. S. Doc. 92-7, 92d Cong., 1st Sess., p. 5 (1972).
---------------------------------------------------------------------------
The House has used a number of these factors to establish
the inhabitancy of a Member when it has been questioned. In the
1824 election contest case of John Bailey, who was elected from
Massachusetts and found disqualified to sit because of
insufficient indices of inhabitancy, the House Committee on
Elections observed that the term ``resident'' had first been
proposed by the Framers of the Constitution but was later
changed to ``inhabitant'' since it was thought that the latter
would express more clearly their intention that Members of
Congress should be completely identified with the state they
represent.\30\ The Committee also observed that the inhabitancy
qualification in Article I of the Constitution did not
necessarily mean that a Member must be actually residing in the
state at the time of election.\31\
---------------------------------------------------------------------------
\30\ 1 Hinds' Precedents, supra, Sec. 434 at p. 420.
\31\ Id., p. 421. See also House Contested Case Re 21st Cong. Dist.
of Ohio, H. Rept. 94-702, 94th Cong., 1st Sess. (1975).
---------------------------------------------------------------------------
The Senate election contest cases concerning the issue of
inhabitancy generally have not analyzed that particular
qualification as much as the pertinent House election contest
cases have. For example, in the 1809 Senate election contest
case of Stanley Griswold from Ohio, the Senate found that,
since the term of residence to entitle a person to become an
inhabitant of the State was not defined by either the Ohio
Constitution or the laws of the State of Ohio, the certificate
of the Governor that Griswold was a citizen of Ohio was
sufficient to entitle him to a seat.\32\ In the 1870 Senate
election contest case of Adelbert Ames from Mississippi, the
Senate Judiciary Committee determined that he was not, when
elected, an inhabitant of the State as he only went to
Mississippi due to military orders stationing him there and
because only shortly before the election did he decide to
become a senatorial candidate and remain and reside in
Mississippi. Despite the Judiciary Committee's report, the
Senate after a long debate, allowed Mr. Ames to take the oath
to office after resolving that he was eligible to be a Member
of the Senate.\33\ In a 1992 unpublished decision of the
Louisiana Court of Appeals, (Doc. No. 92 CA 1768), it was held
that ``inhabitancy'' is a requirement only at the time of
election and that allegations concerning inhabitancy cannot
state a cause of action prior to the election.
---------------------------------------------------------------------------
\32\ Senate Election Cases, Supra. S. Doc. 92-7 at p. 5.
\33\ Id., p. 45.
---------------------------------------------------------------------------
D. Holding Public Office and Eligibility for Congressional Office
When state constitutional or statutory provisions have
disqualified certain Members-elect because they held certain
state offices, both the House and the Senate have nevertheless
seated these Members-elect. Such state provisions have almost
universally been held by Congress, in contested election cases,
and by the courts, predominantly state courts, to be additional
qualifications to those set forth in Article I, sections 2 and
3 and hence, are unconstitutional as no state may add to the
constitutional qualifications for Members of the House and
Senate.\34\
---------------------------------------------------------------------------
\34\ See generally 1 Hinds' Precedents supra. Sec. Sec. 414-417,
pp. 381-389.
---------------------------------------------------------------------------
In an 1852 Senate election contest case, for example, the
Senate voted to seat Lyman Trumbull of Illinois, who was a
judge of the Supreme Court of Illinois despite the Constitution
of Illinois having a provision that would disqualify him.\35\
The Senate concluded that the State of Illinois could not add
qualifications for eligibility to the Senate to those as
defined by Article I, section 3, clause 3 of the United States
Constitution.\36\ Moreover, in an 1887 Senate election contest
case involving a Senator-elect from West Virginia, who at the
time of his election was a judge of the 13th Judicial Circuit,
it was alleged that the Senator-elect was ineligible because of
a state disqualification of eligibility in the West Virginia
Constitution (Art. VIII, Sec. 16) providing that a judge could
not, during his continuance in office, be eligible to any
political office. The Senate concluded that the Senator-elect
could be seated since the West Virginia constitutional
provision constituted an additional qualification to those set
forth in the United States Constitution and was thus
unconstitutional.\37\
---------------------------------------------------------------------------
\35\ The Constitution of Illinois provided that the judges of the
Supreme Court should not be eligible to any office of public trust or
profit in the United States during the term for which they were elected
nor for one year thereafter and that the votes for them for any elected
office should be void. See Senate Election Cases, supra. S. Doc. 92-7
at p. 23.
\36\ Ibid.
\37\ Id., pp. 53-57.
---------------------------------------------------------------------------
Likewise, a number of state court holdings provide that
states cannot add to those qualifications for Members of
Congress that appear in sections 2 and 3 of Article I of the
Constitution. In a 1918 decision, the Supreme Court of the
State of Washington held that the State cannot change the
qualifications as fixed by the United States Constitution for
either House of Congress by the Constitution of Washington
(Article 4, Sec. 15) requiring that judges of the Supreme Court
and superior courts shall be ineligible for any other office
during their term.\38\ In 1940, the Arizona Supreme Court
similarly held that the provision of the Constitution of
Arizona (Constitution of Arizona, Article 6, section 11),
providing that the judges of the Supreme and Superior courts
shall not be eligible to any office of public employment other
than a judicial office of employment during the time for which
they have been elected, does not affect the qualifications of a
candidate for Congress either in a primary or a general
election. And, when there is a conflict between state and
federal constitutional provisions relating to the
qualifications of Members of Congress, the provisions of the
United States Constitution prevail.\39\
---------------------------------------------------------------------------
\38\ State ex rel. Chandler v. Howell, 104 Wash 99, 175 P. 2d 569,
571 (1918).
\39\ Stockton v. McFarland, 56 Ariz. 138, 106 P. 2d 330-331 (1940).
See also the following decisions which held that similar state
disqualifications would not prevent candidates for Congress from
running for office, being nominated for office, and being eligible for
office since they would be additional qualifications to those
prescribed by the United States Constitution: State ex rel. Wettengel
v. Zimmerman, 249 Wis. 237, 24 N.W. 2d 504, 508-509 (1946); Riley v.
Cordell, 200 Okla. 390, 194 P. 2d 857, 861-862 (1948); State ex rel.
Johnson v. Crane, 65 Wyo. 189, 197 P. 2d 864 (1948); N.E. 2d 508, 512-
513 (1958); and Florida ex rel. Davis v. Adams, 238 So. 2d 415 (Fla.
1970), stay granted, 400 U.S. 1203 (1970) (Justice Black in Chambers);
and Stack v. Adams, 315 F. Supp. 1295, 1297-98 (N.D. Fla 1970), interim
relief granted, 400 U.S. 1205 (1970) (Justice Black in Chambers).
---------------------------------------------------------------------------
In a 1970 federal court decision regarding congressional
elections in the State of Florida, a three-judge District Court
held that a Florida election statute, which required a
condition precedent to qualification that a person resign from
any state public office, violated Article I, section 2, clause
2 of the United States Constitution setting forth the
qualifications for such office.\40\ The District Court asserted
that the qualifications prescribed in the United States
Constitution are exclusive and that state constitutional and
statutory provisions can neither add to nor take away from
them. The Court further noted that this proposition is
universally accepted and recognized and that state courts with
singular unanimity have arrived at the same holding.\41\
---------------------------------------------------------------------------
\40\ Stack v. Adams. 315 F. Supp. 1295, 1297 (N.D. Fla. 1970,
three-judge district court. Interim relief granted, 400 U.S. 1205
(1970) (Justice Black in Chambers).
\41\ Id., 1297, Cf. Exon v. Tiemann, 279 F. Supp. 609, 613-14 (D.
Neb. 1968, three-judge court).
---------------------------------------------------------------------------
E. Subversive Activities and Eligibility for Congress
A congressional candidate cannot be required to file an
affidavit stating that he or she is not a subversive seeking
the forcible overthrow of the Government.\42\ In 1950, for
example, the Court of Appeals of Maryland held that the statute
requiring candidates for public office to file with their
nomination certificates affidavits stating that they are not
subversive persons was operative for candidates for state
office but not for candidates for congressional office.\43\ The
Maryland Court of Appeals made the following findings: (1) that
the qualifications for a Representative in Congress are set out
in Section 2 of Article I of the Federal Constitution, (2) that
there are no other qualifications prescribed by the
Constitution, (3) that Section 5 of Article I of the
Constitution provides that each House of Congress shall be the
judge of the qualifications of its own Members, and (4) that
Members of Congress take the oath prescribed by Article VI of
the Constitution and not the oath prescribed by Maryland
statutory and constitutional provisions.
---------------------------------------------------------------------------
\42\ Bernard Schwartz, A Commentary supra at p. 97. However, note
that in 1862 due to the Civil War, Congress enacted a law requiring its
Members to take an oath that they had never been disloyal to the
Government (Act of July 2, 1862, 12 Stat. 502), and several House and
Senate candidates were refused their seats in 1868 on charges of
disloyalty. See 1 Hind Precedents of the House of Representatives,
Sec. Sec. 449, 451, and 457 at pp. 431, 451, and 466.
\43\ Shub v. Simpson, 76 A. 2d 332, 335-336 (Ct. of App. Md. 1950).
---------------------------------------------------------------------------
Consequently, the Maryland Court of Appeals concluded that
there is nothing in the Federal Constitution preventing a
Member of Congress from being a subversive seeking to overthrow
the Government by force or violence. And, if that is to
constitute a disqualification, it must be determined by
Congress, and not by a state court or a state legislature.\44\
Moreover, a 1940 New York decision held that where a candidate
for the U.S. House of Representatives was otherwise qualified,
the fact that he was a leader of the Communist Party in America
and openly espoused international communism did not render him
ineligible.\45\
---------------------------------------------------------------------------
\44\ Id., 340.
\45\ In re O'Connor, 173 Misc. 419, 17 N.Y.S. 2d 758, 759 (1940).
---------------------------------------------------------------------------
F. Felony Conviction and Eligibility for Congress
Generally, the conviction of or pleading guilty to a crime,
which constitutes a felony offense, does not automatically
affect the eligibility to be a Member of Congress or to be a
candidate for a future Congress, unless the conviction is for
insurrection or rebellion against the United States or for
aiding or abetting the enemies of the United States. [See,
United States Constitution, Fourteenth Amendment, Section 3,
which would disqualify one who would commit such offenses after
holding public office and swearing to uphold the Constitution.]
This issue was addressed in a 1918 Minnesota Supreme Court
decision holding that the State constitutional provisions
disqualifying convicted felons can have no application to the
office of United States Senator.\46\ The Court further held
that the qualifications of those aspiring to or holding
congressional office are prescribed by the Federal
Constitution, which the State cannot modify or enlarge in any
way. Consequently, the candidate who was a convicted felon was
not disqualified under the provisions of the United States
Constitution.\47\
---------------------------------------------------------------------------
\46\ State ex rel. Eaton v. Schmahl, 167 N.W. 481 (Sup. Ct. Minn.
1918).
\47\ Id.
---------------------------------------------------------------------------
G. Eligibility of Congressional Candidates After Defeat in Primary
Election
A key issue is whether a candidate for Congress can run in
a general election for congressional office, after a primary
election defeat, despite a state election law prohibiting
defeated primary candidates from running in the general
election. Generally, state ballot access provisions, which are
merely regulatory and are concerned only with the manner of
holding elections, do not impose additional qualifications for
holding congressional office.
For example, a 1902 decision by the Supreme Court of
Minnesota held that a statute prohibiting an unsuccessful
congressional candidate at a primary election from having his
name printed on the general election ballot as an independent
candidate for the same congressional office was a reasonable
and valid regulation that did not affect his eligibility for
congressional office because the official ballot had a
provision for write-in votes.\48\ Thus, when state election
laws prohibit congressional candidates defeated in primary
elections from having their names printed on general election
ballots, these provisions do not affect their eligibility to
congressional office as defined by the Federal Constitution.
The presence of a write-in provision protects congressional
eligibility and enables congressional candidates to be elected
if the requisite number of write-in votes are received.\49\
Likewise, a 1934 Nebraska Supreme Court decision held that a
candidate who was defeated at a primary election for the office
of governor could not, by petition, become a candidate for the
office of United States Senator.\50\ The Court concluded that
the candidate was not entitled to have his name printed on the
ballot, even though he was seeking the office of U.S. Senator,
since he may still be a write-in candidate and win the election
if a sufficient number of voters wrote in his name on the
ballot.\51\ According to the court, the state statute
prohibiting defeated primary candidates from being on the
general election ballot by petition did not impose an
additional qualification to be a United States Senator and did
not prevent him from being a candidate in the general election
due to the write-in provisions.\52\
---------------------------------------------------------------------------
\48\ State ex rel. McCarthy v. Moore, County Auditor, 87 Minn. 308,
92 N.W. 4 (1902)
\49\ 6 N.W. 2d at 91.
\50\ State ex rel. O'Sullivan v. Swanson, 257 N.W. 255 (Sup. Ct.
Neb. 1934).
\51\ Id., 255, 256.
\52\ Id., 256.
---------------------------------------------------------------------------
However, a 1942 North Dakota Supreme Court decision held
that a statute prohibiting a defeated primary candidate from
being a candidate for the same office at the general election
was inapplicable to congressional candidates because it was not
regulatory and added a qualification for holding congressional
office in addition to those fixed by the Federal
Constitution.\53\ The court concluded that, when a state
election law bars the placement of a candidate's name on a
general election ballot after a primary election defeat, it
consequently makes the congressional candidate ineligible for
said office. Thus, according to the court, this ineligibility
to general election ballot access, whether as a candidate of
another political party or as an independent candidate, imposes
an additional qualification for congressional office in
violation of the U.S. Constitution.\54\ However, the current
state of the law appears to indicate that, as long as write-in
access is available to the congressional candidate, such a bar
would not be absolute and therefore, would not constitute an
added qualification to Federal office.
---------------------------------------------------------------------------
\53\ State ex rel. Sundfor v. Thorson, 6 N.W. 2d 89, 91-92 (Sup.
Ct. N.D. 1942).
\54\ Id., 90.
---------------------------------------------------------------------------
H. State Requirements for Obtaining Ballot Access
All state election laws have certain regulatory provisions
requiring both state and Federal candidates to do all or some
of the following: (1) file a declaration of candidacy, (2) file
a nominating petition with a requisite number of signatures,
and (3) pay a filing fee in certain jurisdictions.\55\ As such
requirements are regulatory and are concerned with the
formation of the ballots of the primary and general elections
and the procedure and conduct of such elections, they do not
impose additional qualifications for holding congressional
offices.\56\
---------------------------------------------------------------------------
\55\ See, e.g., Part II, supra. concerning various state election
law requirements for the nomination and election of congressional
candidates which include inter alia provisions relating to declarations
of candidacy; nominating petitions, and filing fees.
\56\ 6 N.W. 2d at 90.
---------------------------------------------------------------------------
The filing fee requirements in a couple of states have been
challenged on the ground that they impose an additional
qualification on the right to hold a certain office in
violation of constitutional provisions setting forth elective
office qualifications. This issue was addressed by a 1961
Florida Supreme Court decision which upheld an $875.00 filing
fee for the office of Supreme Court Justice. The Court asserted
that the filing fee requirement imposed no additional
qualification upon the right to hold office and that it dealt
only with the requirements to become a candidate for the
office.\57\ As long as such filing fee provisions are not
arbitrary or unreasonable, they are valid legislative
enactments that help defray the costs of nomination and
election procedures and help maintain a reasonably limited
ballot size for the sake of insuring the efficiency of the
election process.\58\ In a 1905 Court of Appeals decision in
Maryland, it was similarly held that the exaction of a filing
fee was not an imposition of a property qualification on the
candidates.\59\ However, it should be noted that the United
States Supreme Court on two occasions in 1972 and 1974, in
Bullock v. Carter and \60\ Lubin v. Panish,\61\ has held that
when state election statutes provide for filing fee
requirements without providing for reasonable alternative means
of access to the ballot, they are unconstitutional by denying
equal protection of the laws to indigent candidates who are
unable to pay.
---------------------------------------------------------------------------
\57\ Bonder v. Gray, 220 So. 2d 419, 421 (Sup. Ct. of Fla. 1961)
\58\ 25 Am Jur. 2d Elections Sec. 182 (Payment of Filing Fees).
\59\ Kenneweg v. Allegancy County Com'rs. 62 A. 249, 251 (Ct. of
App. Md. 1905).
\60\ 405 U.S. 134, 140-149 (1972).
\61\ 415 U.S. 709, 717-718 (1974).
---------------------------------------------------------------------------
In 1974, the Supreme Court in Storer v. Brown upheld the
ballot access requirements of the California Elections Code for
independent candidates for the U.S. Congress and concluded that
such provisions do not add to the qualifications for the office
of U.S. Representative and therefore, do not conflict with
Article I, section 2, clause 2 of the U.S. Constitution.\62\
The provisions of the California Elections Code denied ballot
access to all independent candidates for state or Federal
office who voted in the immediately preceding primary election
or who had a registered affiliation with a political party at
any time within one year prior to the immediately preceding
primary election.\63\ Moreover, the ballot access provisions
required all independent candidates even those for federal
office to file nomination papers signed by at least 5 percent
of the vote cast at the preceding general election for the
office which the candidate seeks to run and filed with the
secretary of state 60 days before the general election.\64\
---------------------------------------------------------------------------
\62\ 415 U.S. 724, 728.
\63\ California Elections Code. Sec. Sec. 6830(c), 6830(d)(1974).
\64\ Id., Sec. Sec. 6830, 6831, 6833 (1974).
---------------------------------------------------------------------------
The Storer Court held that the independent congressional
candidates were properly barred from ballot positions for
failing to comply with the California Election Code's party
disaffiliation requirement. Moreover, the ballot access
provisions for independent congressional candidates were not
unconstitutional as adding qualifications to the office of U.S.
Representative.\65\ The party disaffiliation requirement,
according to Storer, was supported by California's compelling
interests in preserving the direct primary process and in
maintaining the stability of its political system and involved
no discrimination against independent candidates.\66\ Thus, the
procedural and regulatory requirements for independent
congressional candidates to attain general election ballot
access were not unconstitutional under Article I, section 2,
clause 2 of the U.S. Constitution. That is, such requirements
were not found to establish an additional qualification for the
office of U.S. Representative as the procedural requirements
for independent congressional candidates are no more an
additional qualification for Congress than the primary election
requirements would be in order to be placed on the general
election ballot.\67\ In addition, an independent congressional
candidate barred from the general election ballot for failing
to comply with mandatory ballot access procedural requirements
for independent candidates would still have a chance to be
elected to the U.S. Congress as a write-in alternative under
the California Elections Code.\68\
---------------------------------------------------------------------------
\65\ 415 U.S. at 746. n. 16.
\66\ Id., 734-37.
\67\ Id., 746, n. 16.
\68\ Id., 736 at fn. 7.
---------------------------------------------------------------------------
Arguably, if in Storer, certain congressional candidates
were absolutely barred from running for Congress by stringent
and exclusive state procedural and regulatory laws governing
general election ballot access by preventing placement on the
general election ballot, either as a party nominee through the
primary election process or as an independent candidate or even
as a write-in candidate, then such election laws might be
invalid as providing an additional qualification for U.S.
congressional office. It appears that it is the absolute bar
feature that would render a state election code provision
unconstitutional as an additional qualification. This was not
the case in Storer since, if the independent congressional
candidates had timely complied with the procedures for
independent candidacies under the California Elections Code,
they could have been on the general election ballot as
independent candidates nor could they have chosen to be write-
in candidates on the general election ballot. The Storer court
noted that a write-in candidacy was still available,\69\ but it
did not allude to that when it discussed the additional
qualification argument.\70\
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\69\ Id.
\70\ Id., 746, n. 16
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I. Recall of Members of Congress
There is no Federal statute providing for the recall of
United States Senators and Representatives, nor does the
Federal Constitution provide for any recall of Members of
Congress. Before a United States Senator or Representative
could be recalled, a constitutional amendment providing for
recall would have to be adopted by two-thirds of both houses of
Congress and ratified by three-fourths of the States in
accordance with Article V.\71\
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\71\ See generally, S. Doc. 74-108, 74th Cong., 1st Sess., Recall
of United States Senators and Representatives, pp. 1-4 (May 13, 1935).
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United States Senators and Representatives may lose their
congressional seats--aside from death or resignation--in the
following ways: (1) if they are appointed to a civil office
during the time for which they are elected; \72\ (2) if they
are elected to an incompatible office such as governor of a
state; \73\ (3) if they are expelled, with the concurrence of
two-thirds of the members, by the respective House,\74\ and (4)
if they are disqualified if after having previously taken an
oath to support the Constitution, they shall have engaged in
insurrection or rebellion against the United States or given
aid or comfort to the enemies of the United States.\75\ These
are the only removal procedures that are set forth in the
Constitution for involuntary removal from offices of Senator
and Representative.
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\72\ U.S. Const., art. 1, Sec. 6, cl. 2.
\73\ Hinds' Precedents of the House of Representatives, vol. 1, ch.
15, p. 16.
\74\ U.S. Const., art. I, Sec. 5, cl. 2.
\75\ U.S. Const. amend. XIV, Sec. 3.
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In the Articles of Confederation, state legislatures were
authorized to recall their delegates to Congress.\76\ However,
no such provisions were incorporated into the United States
Constitution. Some states have recall provisions that arguably
may be applicable to Members of Congress since the scope of the
recall of many provisions apply to all elected officials, which
could conceivably mean Members of Congress also. Michigan
specifically includes Members of Congress within the recall
statute.\77\ In Arizona, candidates for the United States
Senate or House of Representatives may file a pre-primary
statement or pledge promising to resign if not re-elected in a
recall vote.\78\ And in Wisconsin, the qualified electors of
any congressional district may petition for the recall of any
elective officer.\79\
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\76\ Articles of Confederation, art. V.
\77\ Mich. Comp. Laws Anno., Sec. Sec. 168.149, 168.149.
\78\ Ariz. Rev. Stats., Sec. 19-221, 19-222.
\79\ Wisc. Const., art. 13. Sec. 12.
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Under Article I, section 5, clause 1, the Constitution
provides that ``Each House shall be the judge of the elections,
returns and qualifications of its own Members. . . .'' Also,
under Article I, section 5, clause 2, each House of the
Congress, and not the States, determines the rules of its
proceedings, punishes its Members for disorderly behavior, and
with the concurrence of two-thirds, expels a Member.
Accordingly, states cannot judge the qualifications of Senators
and Representatives as this is left to each respective House
under Article I, section 5, clauses 1 and 2.\80\ States cannot
prescribe qualifications for Members of Congress other than
those set forth in the Constitution under Article I, section 2,
clause 2 \81\ for United States Representatives and under
Article I, section 3, clause 3 \82\ for United States Senators.
Such constitutional provisions manifest three distinct
qualifications for Members of Congress: age, citizenship, and
inhabitancy. Such provisions have been construed by the courts
as being exclusive and as setting the only qualifications that
may validly be required for congressional candidates.
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\80\ Koegh v. Horner, 8 F. Supp. 933 (D. Ill. 1954), Burnchell v.
State Board of Election Commissioners, 252 KY, 853, 68 S.W. 2d 427
(1934); State ex rel. 25 Voters v. Selvig., 170 Minn. 406, 212 N.W. 604
(1927).
\81\ U.S. Const., art. I, Sec. 2, cl. 2: No person shall be a
Representative who shall not have attained the Age of twenty-five Years
and have been seven Years a Citizen of the United States, and who shall
not, when elected, be an inhabitant of that State in which he shall be
chosen.
\82\ U.S. Const., art. I, Sec. 3, cl. 3: No person shall be a
Senator who shall not have attained to the Age of thirty Years, and
been nine Years a Citizen of the United States, and who shall not, when
elected, be an inhabitant of that State for which he shall be chosen.
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The constitutional qualifications are paramount and
exclusive, and state constitutions and laws can neither add to
nor take away from them. In case of a conflict, provisions in
the Federal Constitution prevail, so that mere possession of
such qualifications prescribed in the Constitution makes one
eligible for election to Congress.\83\ Thus, making a United
States Senator or United States Representative subject to
removal by a state recall election would constitute an
additional qualification for office, which the states do not
have the constitutional authority to enact. Under the Supremacy
Clause of the Federal Constitution,\84\ the provisions of the
U.S. Constitution prevail over state constitutional and
statutory provisions. Also, United States Senators and
Representatives are Federal and not state officers, and states
cannot exercise the same jurisdiction over them as their own
officers.\85\
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\83\ See generally, State ex rel. Chandler v. Howell, 104 Wash. 99,
175 P. 569 (1918); State ex rel. Wettengel v. Zimmerman, 249 Wisc. 237,
24 N.W. 2d 504, 504, 508 (1946): Shub v. Simpson, 196 Md. 177, 76 A.2d
332 (1950) Danielson v. Fitzsimmons, 232 Minn. 149. 44 N.W. 2d 484
(1950); Hellmann v. Collier, 217 Md. 93, 141 A.2d 908 (1958); Powell v.
McCormack, 395 U.S. at 546-50 (1969).
\84\ U.S. Const., art. VI.
\85\ Danielson v. Fitzsimmons. 232 Minn. 149, 44 N.W. 2d 484
(1950).
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In an unreported judicial decision of an Idaho state
district court in October 1967, a suit was dismissed which
attempted to compel the Secretary of State to accept petitions
seeking the recall of a United States Senator from Idaho. The
judge, in dismissing the suit, found that a state recall of a
United States Senator would violate Article I, Section 5,
clause 1 of the Constitution which provides that each House of
Congress ``. . . shall be the judge of the elections, returns
and qualifications of its own members. . . .''
J. The Issue of Term Limitations for Members of Congress
Certain states, either by state statutory or constitutional
provisions or by popularly enacted initiative measures, have
limited the number of terms their legislators may hold office.
When these states enact statutes or initiative measures
attempting to limit the number of terms of their U.S.
Representatives and U.S. Senators, serious constitutional
problems are raised. Under Article I, sections 2 and 3 of the
U.S. Constitution the specific qualifications of Members of the
U.S. House of Representatives and the U.S. Senate are set
forth. Article I, section 2 specifies the qualifications of
Members of the House of Representatives--age 25, U.S.
citizenship for 7 years, and inhabitancy in the state. Article
I, section 3 specifies the qualifications for Members of the
U.S. Senate--age 30, U.S. citizenship for 9 years, and
inhabitancy in the state. These constitutional qualifications
are defined and fixed by the U.S. Constitution and are thus
unalterable by State statutes or initiative measures.\86\
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\86\ Alexander Hamilton observed that the qualifications of Members
of Congress ``. . . are defined and fixed in the Constitution, and are
unalterable by the legislature.'' The Federalist, No. 60 (Modern
Library ed. 1937), 394-95. Cf., The Federalist Papers 371 (Mentor ed.
1961).
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The Framers of the U.S. Constitution at the Constitutional
Convention of 1787 debated the issue of the qualifications for
Representatives and Senators and arrived at the above-mentioned
age, citizenship, and inhabitancy qualifications for
eligibility for U.S. congressional office. In the drafting and
the markup of the U.S. Constitution, the Convention delegates
on June 12, 1787 in the Committee of the Whole rejected and
expunged a clause forbidding reelection for several years to
the House of Representatives.\87\ On June 23, 1787, the
Convention delegates rejected a provision making Members of
Congress ineligible for office for one year after the
expiration of their terms.\88\ After considerable debate, the
delegates also rejected the concept of rotation of Members of
Congress \89\ similar to the rotation of the delegates to
Congress under the Articles of Confederation.\90\ Consequently,
it appears that the Framers of the U.S. Constitution did not
intend term limitations for Members of Congress as they
expressly rejected similar term limit concepts.
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\87\ C. Tansill, Documents. ``Debates in the Federal Constitution
of 1787 as reported by James Madison'' at pp. 195, 1091 (1927).
\88\ Id., pp. 800-03.
\89\ See, 2 Debates on the Adoption of the Federal Constitution,
pp. 288-298, 310-20 (J. Elliott) (1988).
\90\ Under Article V, clause 2 of the Articles of Confederation,
``. . . no person [Member] shall be capable of being a delegate for
more than three years in any term of six years. . . .''
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Any change in the term limitations for Members of Congress
can only occur by the passage and ratification of a
constitutional amendment in accordance with Article V of the
Constitution. Neither an act of Congress nor an act of a state
by statute or initiative measure can change or add to the
prescribed constitutional qualifications of Members of
Congress. Only a U.S. constitutional amendment can change or
add to such qualifications. The prescribed constitutional
qualifications for Members of the House of Representatives and
the Senate are paramount and exclusive qualifications which
cannot be amended, changed, diminished, altered or added to by
any state laws or constitutional provisions.\91\
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\91\ 1 Hinds' Precedents of the House of Representatives
(Washington: 1907), Sec. 414, p. 382; 2 J. Story, Commentaries Sec. 625
at p. 1011.
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The Supreme Court in the 1969 landmark decision of Powell
v. McCormack held that the constitutional qualifications for
Members of Congress under Article I, sections 2 and 3 were
exclusive and that even Congress could not add to them.\92\ The
Supreme Court in Powell found that the House of Representatives
had no power to exclude from its membership any person who was
duly elected and who met the age, citizenship, and residence
requirements of Article I, sections 2 and 3 of the
Constitution. Under the Constitution, Congress is not
authorized to prescribe the qualifications of the Members of
the House of Representatives and the Senate but is only
authorized to judge the qualifications of its Members.\93\
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\92\ 395 U.S. 486, 543-47 (1969).
\93\ 395 U.S. at 543 quoting from the Committee of Elections in 17
Annals of Congress 871-72 (1807).
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Most recently, the Supreme Court in 1995 in U.S. Term
Limits, Inc. v. Thornton concluded that a state-imposed
limitation on congressional terms of office was
unconstitutional in that it established an additional
qualification for congressional office in violation of Article
I, sections 2 and 3 setting forth the three basic congressional
qualifications of age, citizenship, and inhabitancy.\94\ The
Court reaffirmed the holdings in Powell that the qualifications
for service in Congress set forth in the Constitution are fixed
and can neither be supplemented by the States nor even by
Congress unless by a constitutional amendment ratified by
three-quarters of the States.\95\
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\94\ 514 U.S. 779 (1995).
\95\ Id. at 787-798.
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