[Senate Document 109-10]
[From the U.S. Government Publishing Office]
109th Congress SENATE Document
1st Session 109-10
_______________________________________________________________________
SENATE ELECTION LAW
GUIDEBOOK
2006
----------
A COMPILATION OF SENATE CAMPAIGN INFORMATION,
INCLUDING FEDERAL AND STATE LAWS GOVERNING
ELECTION TO THE UNITED STATES SENATE
----------
TRENT LOTT, Chairman
COMMITTEE ON RULES AND ADMINISTRATION
UNITED STATES SENATE
REVISED TO JANUARY 1, 2006
November 18, 2005.--Ordered to be printed
109th Congress SENATE Document
1st Session 109-10
_______________________________________________________________________
SENATE ELECTION LAW
GUIDEBOOK
2006
__________
A COMPILATION OF SENATE CAMPAIGN INFORMATION,
INCLUDING FEDERAL AND STATE LAWS GOVERNING
ELECTION TO THE UNITED STATES SENATE
__________
TRENT LOTT, Chairman
COMMITTEE ON RULES AND ADMINISTRATION
UNITED STATES SENATE
REVISED TO JANUARY 1, 2006
November 18, 2005.--Ordered to be printed
_____
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON: 2006
24-700
For Sale by the Superintendent of Documents, U.S. Government Printing Office
Internet: bookstore.gpo.gov Phone: toll free (866) 512-1800; (202) 512-1800
Fax: (202) 512-2250 Mail: Stop SSOP, Washington, DC 20402-0001
COMMITTEE ON RULES AND ADMINISTRATION
TRENT LOTT, Mississippi, Chairman
TED STEVENS, Alaska CHRISTOPHER J. DODD, Connecticut
MITCH McCONNELL, Kentucky ROBERT C. BYRD, West Virginia
THAD COCHRAN, Mississippi DANIEL K. INOUYE, Hawaii
RICK SANTORUM, Pennsylvania DIANNE FEINSTEIN, California
KAY BAILEY HUTCHISON, Texas CHARLES E. SCHUMER, New York
WILLIAM H. FRIST, Tennessee MARK DAYTON, Minnesota
SAXBY CHAMBLISS, Georgia RICHARD DURBIN, Illinois
ROBERT F. BENNETT, Utah BENJAMIN NELSON, Nebraska
CHUCK HAGEL, Nebraska
Susan Wells, Staff Director
Matthew Petersen, Chief Counsel
Kennie L. Gill, Democratic Staff Director and Chief Counsel
----------
SENATE RESOLUTION 325
In the Senate of the United States
November 18, 2005
Resolved, That the Committee on Rules and Administration
shall prepare a revised edition of the Senate Election Law
Guidebook, Senate Document 106-14, and that such document shall
be printed as a Senate document.
Sec. 2. There shall be printed, beyond the usual number,
500 additional copies of the document specified in the first
section for the use of the Committee on Rules and
Administration.
Attest:
Emily Reynolds,
Secretary.
CAVEAT
----------
It is of paramount importance to consult with the
appropriate secretary of state or state board of elections when
questions arise about the various state statutory materials
contained in this publication. Specifically, dates and filing
information should be confirmed by the appropriate secretary of
state or state election office because changes in this area of
law occur frequently. In addition, due to natural disasters,
affected states may alter election dates and filing deadlines.
PREFACE
----------
The 2006 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, providing
highlights of provisions of Federal and State laws pertaining
to the election of Senators, as well as explanatory legal
memoranda. It is anticipated that it will benefit senatorial
candidates, the Committee on Rules and Administration, and the
public in general. The detailed citations will facilitate
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 and Jack Maskell,
Legislative Attorneys, David S. Mao, Section Head, Cassandra
Foley and Tara Rainson, Law Librarians, and Stuart Carmody,
Reference Assistant, Knowledge Services Group, under the
supervision of Richard C. Ehlke, Assistant Director, and Ellen
M. Lazarus, Deputy Assistant Director, American Law Division,
Congressional Research Service, Library of Congress.
C O N T E N T S
----------
Page
Caveat........................................................... iii
Preface.......................................................... v
Key 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).......................................................... 16
2 U.S.C. Sec. 431. Definitions............................... 16
2 U.S.C. Sec. 432. Organization of Political Committees...... 24
2 U.S.C. Sec. 433. Registration of Political Committees...... 27
2 U.S.C. Sec. 434. Reporting Requirements.................... 28
2 U.S.C. Sec. 437. Reports on Convention Financing........... 42
2 U.S.C. Sec. 437c. Federal Election Commission.............. 42
2 U.S.C. Sec. 437d. Powers of the Commission................. 45
2 U.S.C. Sec. 437f. Advisory Opinions........................ 46
2 U.S.C. Sec. 437g. Enforcement.............................. 47
2 U.S.C. Sec. 437h. Judicial Review.......................... 52
2 U.S.C. Sec. 438. Administrative Provisions................. 52
2 U.S.C. Sec. 438a. Maintenance Website of Election Reports.. 55
2 U.S.C. Sec. 439. Statements Filed With State Officers...... 55
2 U.S.C. Sec. 439a. Use of Contributed Amounts for Certain
Purposes................................................... 56
2 U.S.C. Sec. 439c. Authorization of Appropriations.......... 57
2 U.S.C. Sec. 441a. Limitations on Contributions and
Expenditures............................................... 57
2 U.S.C. Sec. 441a-1. Modification of Certain Limits for
House Candidates in Response to Personal Fund Expenditures
of Opponents............................................... 65
2 U.S.C. Sec. 441b. Contributions or Expenditures by National
Banks, Corporations, or Labor Organizations................ 68
2 U.S.C. Sec. 441c. Contributions by Government Contractors.. 72
2 U.S.C. Sec. 441d. Publication and Distribution of
Statements and Solicitations............................... 73
2 U.S.C. Sec. 441e. Contributions by Foreign Nationals....... 74
2 U.S.C. Sec. 441f. Prohibition on Contributions in Name of
Another.................................................... 75
2 U.S.C. Sec. 441g. Limitation on Contribution of Currency... 75
2 U.S.C. Sec. 441h. Fraudulent Misrepresentation of Campaign
Authority.................................................. 75
2 U.S.C. Sec. 441i. Soft Money of Political Parties.......... 75
2 U.S.C. Sec. 441k. Prohibition of Contributions by Minors... 79
2 U.S.C. Sec. 442. Authority to Procure Technical Support and
Other Services and Incur Travel Expenses, Payment of Such
Expenses................................................... 79
2 U.S.C. Sec. 451. Extension of Credit by Regulated
Industries; Regulations.................................... 80
2 U.S.C. Sec. 452. Prohibition Against Use of Certain Federal
Funds for Election Activities.............................. 80
2 U.S.C. Sec. 453. State Laws Affected....................... 80
2 U.S.C. Sec. 454. Partial Invalidity........................ 80
2 U.S.C. Sec. 455. Period of Limitations..................... 80
D. Financial Disclosure Requirements of Federal Personnel (Title
5, U.S. Code).................................................. 82
5 U.S.C. App. Sec. 101. Persons Required to File............. 82
5 U.S.C. App. Sec. 102. Contents of Reports.................. 85
5 U.S.C. App. Sec. 103. Filing of Reports.................... 95
5 U.S.C. App. Sec. 104. Failure to File or Filing False
Reports.................................................... 97
5 U.S.C. App. Sec. 105. Custody of and Public Access to
Reports.................................................... 98
5 U.S.C. App. Sec. 106. Review of Reports.................... 101
5 U.S.C. App. Sec. 107. Confidential Reports and other
Additional Requirements.................................... 102
5 U.S.C. App. Sec. 108. Authority of Comptroller General..... 103
5 U.S.C. App. Sec. 109. Definitions.......................... 103
5 U.S.C. App. Sec. 110. Notice of Actions Taken to Comply
with Ethics Agreements..................................... 107
5 U.S.C. App. Sec. 111. Administration of Provisions......... 107
E. Political Activities: Federal Employees (Title 5, U.S. Code).. 109
5 U.S.C. Sec. 7321. Political Participation.................. 109
5 U.S.C. Sec. 7322. Definitions.............................. 109
5 U.S.C. Sec. 7323. Political Activity Authorized;
Prohibitions............................................... 110
5 U.S.C. Sec. 7324. Political Activities on Duty; Prohibition 111
5 U.S.C. Sec. 7325. Political Activity Permitted; Employees
Residing in Certain Municipalities......................... 112
5 U.S.C. Sec. 7326. Penalties................................ 112
5 U.S.C. Sec. 7351. Gifts to Superiors....................... 112
5 U.S.C. Sec. 7353. Gifts to Federal Employees............... 113
F. Political Activities: State and Local Employees (Title 5, U.S.
Code).......................................................... 115
5 U.S.C. Sec. 1501. Definitions.............................. 115
5 U.S.C. Sec. 1502. Influencing Elections; Taking Part in
Political Campaigns; Prohibitions; Exceptions.............. 115
5 U.S.C. Sec. 1503. Nonpartisan Candidacies Permitted........ 116
5 U.S.C. Sec. 1504. Investigations; Notice of Hearing........ 116
5 U.S.C. Sec. 1505. Hearings; Adjudications; Notice of
Determinations............................................. 116
5 U.S.C. Sec. 1506. Orders; Withholding Loans or Grants;
Limitations................................................ 117
5 U.S.C. Sec. 1507. Subpenas and Depositions................. 117
5 U.S.C. Sec. 1508. Judicial Review.......................... 118
G. Limitations on Outside Employment and Elimination of Honoraria
(Title 5, U.S. Code)........................................... 120
5 U.S.C. App. Sec. 501. Outside Earned Income Limitation..... 120
5 U.S.C. App. Sec. 502. Limitations on Outside Employment.... 121
5 U.S.C. App. Sec. 503. Administration....................... 122
5 U.S.C. App. Sec. 504. Civil Penalties...................... 122
5 U.S.C. App. Sec. 505. Definitions.......................... 122
H. Criminal Code Provisions (Title 18, U.S. Code)................ 124
18 U.S.C. Sec. 203. Compensation to Members of Congress,
Officers, and Others in Matters Affecting the Government... 124
18 U.S.C. Sec. 210. Offer to Procure Appointive Public Office 125
18 U.S.C. Sec. 211. Acceptance or Solicitation to Obtain
Appointive Public Office................................... 126
18 U.S.C. Sec. 592. Troops at Polls.......................... 126
18 U.S.C. Sec. 593. Interference by Armed Forces............. 126
18 U.S.C. Sec. 594. Intimidation of Voters................... 127
18 U.S.C. Sec. 595. Interference by Administrative Employees. 127
18 U.S.C. Sec. 596. Polling Armed Forces..................... 128
18 U.S.C. Sec. 597. Expenditures to Influence Voting......... 128
18 U.S.C. Sec. 598. Coercion by Appropriations............... 128
18 U.S.C. Sec. 599. Promise of Appointment by Candidate...... 129
18 U.S.C. Sec. 600. Promise of Employment or Other Benefit... 129
18 U.S.C. Sec. 601. Deprivation of Employment or Other
Benefit.................................................... 129
18 U.S.C. Sec. 602. Solicitation of Political Contributions.. 130
18 U.S.C. Sec. 603. Making Political Contributions........... 131
18 U.S.C. Sec. 604. Solicitation From Persons on Relief...... 131
18 U.S.C. Sec. 605. Disclosure of Names of Persons on Relief. 131
18 U.S.C. Sec. 606. Intimidation to Secure Political
Contributions.............................................. 132
18 U.S.C. Sec. 607. Place of Solicitation.................... 132
18 U.S.C. Sec. 608. Absent Uniformed Services Voters and
Overseas Voters............................................ 132
18 U.S.C. Sec. 609. Use of Military Authority to Influence
Vote of Member of Armed Forces............................. 132
18 U.S.C. Sec. 610. Coercion of Political Activity........... 133
I. Use of Franked Mail (Title 39, U.S. Code)..................... 134
39 U.S.C. Sec. 3201. Definitions............................. 134
39 U.S.C. Sec. 3210. Franked Mail Transmitted by the Vice
President, Members of Congress, and Congressional Officials 134
39 U.S.C. Sec. 3211. Public Documents........................ 139
39 U.S.C. Sec. 3212. Congressional Record Under Frank of
Members of Congress........................................ 140
39 U.S.C. Sec. 3213. Seeds and Reports From Department of
Agriculture................................................ 140
39 U.S.C. Sec. 3215. Lending or Permitting Use of Frank
Unlawful................................................... 140
39 U.S.C. Sec. 3216. Reimbursement for Franked Mailings...... 140
39 U.S.C. Sec. 3218. Franked Mail for Survivors of Members of
Congress................................................... 142
39 U.S.C. Sec. 3219. Mailgrams............................... 142
2 U.S.C. Sec. 502. Select Committee on Ethics of the Senate.. 142
Regulations Governing Franked Mail (Senate Committee on Rules
and Administration)........................................ 144
J. Communications Media (Title 47, U.S. Code).................... 157
47 U.S.C. Sec. 312. Administrative Sanctions................. 157
47 U.S.C. Sec. 315. Candidates for Public Office............. 157
PART II. PERTINENT STANDING RULES OF THE SENATE RELATING TO THE
ELECTION OF SENATORS
A. Rule II, Presentation of Credentials and Questions of Privilege.163
B. Rule III, Oaths.................................................164
C. Rule XXXIV, Public Financial Disclosure.........................165
D. Rule XXXV, Gifts................................................166
E. Rule XXXVI, Outside Earned Income...............................172
F. Rule XXXVII, Conflict of Interest...............................172
G. Rule XXXVIII, Prohibition of Unofficial Office Accounts.........175
H. Rule XXXIX, Foreign Travel......................................176
I. Rule XL, Franking Privilege and Radio and Television Studios....177
J. Rule XLI, Political Fund Activity; Definitions..................178
K. Rule XLIII, Representation by Members...........................180
L. Standing Order of the Senate, Section 103, Tape Duplication of
Senate Proceedings..............................................180
PART III. STATE ELECTION LAWS RELATING TO CANDIDATES FOR THE U.S.
SENATE
Alabama.......................................................... 183
Alaska........................................................... 184
Arizona.......................................................... 185
Arkansas......................................................... 187
California....................................................... 189
Colorado......................................................... 191
Connecticut...................................................... 192
Delaware......................................................... 194
Florida.......................................................... 195
Georgia.......................................................... 196
Hawaii........................................................... 199
Idaho............................................................ 200
Illinois......................................................... 201
Indiana.......................................................... 202
Iowa............................................................. 203
Kansas........................................................... 204
Kentucky......................................................... 206
Louisiana........................................................ 207
Maine............................................................ 210
Maryland......................................................... 211
Massachusetts.................................................... 212
Michigan......................................................... 214
Minnesota........................................................ 215
Mississippi...................................................... 216
Missouri......................................................... 217
Montana.......................................................... 219
Nebraska......................................................... 220
Nevada........................................................... 222
New Hampshire.................................................... 223
New Jersey....................................................... 224
New Mexico....................................................... 225
New York......................................................... 227
North Carolina................................................... 228
North Dakota..................................................... 229
Ohio............................................................. 231
Oklahoma......................................................... 232
Oregon........................................................... 233
Pennsylvania..................................................... 235
Rhode Island..................................................... 236
South Carolina................................................... 237
South Dakota..................................................... 239
Tennessee........................................................ 240
Texas............................................................ 241
Utah............................................................. 242
Vermont.......................................................... 243
Virginia......................................................... 245
Washington....................................................... 246
West Virginia.................................................... 248
Wisconsin........................................................ 249
Wyoming.......................................................... 250
PART IV. CAMPAIGN ACTIVITIES BY CONGRESSIONAL EMPLOYEES
A. General Campaign Activities................................... 255
1. Campaigning and Official Duties........................... 256
2. False Claims, Fraud and Theft: Federal Criminal Law....... 263
3. Running for Elective Office............................... 267
B. Campaign Funds and Finances................................... 269
1. Political Contributions................................... 269
2. Fundraising Dinners and Testimonials...................... 273
3. Campaign Fund Activity by Senate Employees................ 274
4. Campaign Activity in a Federal Building................... 276
C. Quick Reference List of Specific Campaign Prohibitions........ 279
1. General................................................... 279
2. Soliciting or Receiving Campaign Contributions............ 279
3. Making Political Contributions............................ 280
PART V. QUALIFICATIONS OF MEMBERS OF CONGRESS FOR ELIGIBILITY FOR
OFFICE
A. Introduction and Background.....................................283
B. State Residence Requirements....................................285
C. Definition of Inhabitancy.......................................286
D. Holding Public Office and Eligibility for Congressional Office..287
E. Subversive Activities and Eligibility for Congress..............289
F. Felony Conviction and Eligibility for Congress..................290
G. Eligibility of Congressional Candidates After Defeat in Primary
Election........................................................290
H. State Requirements for Obtaining Ballot Access..................291
I. Recall of Members of Congress...................................293
J. Issue of Term Limitations of Members of Congress................295
PART VI. DISQUALIFICATION, DEATH, OR INELIGIBILITY OF THE WINNER
OF A CONGRESSIONAL ELECTION
A. Introduction and Background.....................................299
B. Issues Raised Concerning Deceased Candidate on Ballot...........301
C. State Authority Over Election Procedures, Administration........302
D. Senate and House Decisions on ``Qualifications''................306
E. Judging Elections in Congress and the ``American Rule''.........308
F. Seventeenth Amendment...........................................312
KEY ELECTION DATES IN 2006
A. General Election Date: November 7, 2006
B. Congressional Primary Dates Chronologically *
------------------------------------------------------------------------
State Primary date Runoff date
------------------------------------------------------------------------
Texas Mar. 7 Apr. 11
Illinois Mar. 21 ..................
Ohio May 2 ..................
Indiana May 2 ..................
North Carolina May 2 May 30
Nebraska May 9 ..................
West Virginia May 9 ..................
Kentucky May 16 ..................
Oregon May 16 ..................
Pennsylvania May 16 ..................
Idaho May 23 ..................
Arkansas May 23 June 13
California June 6 ..................
Iowa June 6 ..................
Mississippi June 6 June 27
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
Oklahoma July 25 Aug. 22
Kansas Aug. 1 ..................
Tennessee Aug. 3 ..................
Colorado Aug. 8 ..................
Michigan Aug. 8 ..................
Connecticut Aug. 8 ..................
Missouri Aug. 8 ..................
Nevada Aug. 15 ..................
Alaska Aug. 22 ..................
Wyoming Aug. 22 ..................
Guam Sept. 2 ..................
Florida Sept. 5 ..................
Virgin Islands Sept. 9 Sept. 23
Arizona Sept. 12 ..................
Delaware Sept. 12 ..................
D.C. Sept. 12 ..................
Maryland 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. 2006 Congressional Primary Dates and Filing Deadlines *
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
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 June 6
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 Noon May 1
California June 6 ........................... Mar. 10 Aug. 11
Colorado Aug. 8 ........................... May 25 June 20 3 pm
Connecticut Aug. 8 \2\ ........................... 14th day after convention \2\ Aug. 9
Delaware Sept. 12 ........................... July 28 Noon Sept. 1
D.C Sept. 12 ........................... July 5 Aug. 30
Florida Sept. 5 ........................... May 12 Apr. 10
Georgia July 18 Aug. 8 Apr. 28 July 11
Guam Sept. 2 ........................... July 5 Sept. 1
Hawaii Sept. 23 ........................... July 25 July 25
Idaho May 23 ........................... Mar. 17 Mar. 17
Illinois Mar. 21 ........................... Dec. 19, 2005 Dec. 19, 2005 Independent
............................ ........................... ................................. June 26, 2006 Third/Minor
Indiana May 2 \2\ ........................... Feb. 17 Noon July 17 Noon
Iowa June 6 ........................... Mar. 17 Aug. 18
Kansas Aug. 1 \2\ ........................... June 12 Noon July 31 Noon Independent/June 12 Noon Third/
Minor
Kentucky May 16 ........................... Jan. 31 4 pm Aug. 8 4 pm
Louisiana Nov. 7 Dec. 9 Aug. 11 Aug. 11
Maine June 13 ........................... Mar. 15 June 1
Maryland Sept. 12 ........................... July 3 Aug. 7
Massachusetts Sept. 19 ........................... June 6 Aug. 29
Michigan Aug. 8 \2\ ........................... May 16 4 pm July 20 4 pm
Minnesota Sept. 12 ........................... July 18 July 18
Mississippi June 6 June 27 Mar. 1 Mar. 1
Missouri Aug. 8 ........................... Mar. 28 July 31
Montana June 6 ........................... Mar. 23 May 26
Nebraska May 9 ........................... Feb. 15 Incumbents Sept. 1 Independent
............................ ........................... Mar. 1 All Others ...............................................
Nevada Aug. 15 ........................... May 12 Apr. 7
New Hampshire Sept. 12 ........................... June 16 Sept. 6
New Jersey June 6 ........................... Apr. 10 June 6
New Mexico June 6 ........................... Mar. 29 June 7
New York Sept. 12 ........................... July 13 Aug. 22
North Carolina May 2 May 30 Feb. 28 Noon June 30 Noon Independent/June 1 Noon Third/
Minor
North Dakota June 13 ........................... Apr. 17 Sept. 8
Ohio May 2 ........................... Feb. 16 May 1 Independent
Oklahoma July 25 Aug. 22 June 7 June 7 Independent
Oregon May 16 ........................... Mar. 7 Aug. 29 Independent/Minor
Pennsylvania May 16 ........................... Mar. 7 Aug. 1
Puerto Rico N/A \4\ ........................... ................................. ...............................................
Rhode Island Sept. 12 ........................... June 28 June 28
South Carolina June 13 \2\ June 27 Mar. 30 Noon July 17 Noon
South Dakota June 6 June 20 Apr. 4 June 6 Independent
Tennessee Aug. 3 ........................... Apr. 6 Noon Apr. 6 Independent Noon
Texas Mar. 7 \2\ Apr. 11 Jan. 2 May 11 Independent
............................ ........................... ................................. May 30 Third/Minor
Utah June 27 \2\ ........................... Mar. 17 Mar. 17 Independent
Vermont Sept. 12 ........................... July 17 Sept. 15
Virginia June 13 \2\ ........................... Apr. 14 5 pm June 13 7 pm
Virgin Islands Sept. 9 Sept. 23 Aug. 21 Aug. 14
Washington Sept. 19 ........................... July 28 July 28
West Virginia May 9 \2\ ........................... Jan. 28 Apr. 9
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 2006 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.................... June 6 May 17 May 22 May 25.
Colorado........................ Aug. 8 July 19 July 24 July 27.
* Connecticut................... Aug. 8 July 19 July 24 July 27.
* Delaware...................... Sept. 12 Aug. 23 Aug. 28 Aug. 31.
District of Columbia............ Sept. 12 Aug. 23 Aug. 28 Aug. 31.
* Florida....................... Sept. 5 Aug. 16 Aug. 21 Aug. 24.
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 16 Apr. 26 May 1 May 4.
Louisiana....................... Nov. 7 July 22 July 27 July 30.
Runoff...................... Dec. 9 Nov. 19 Nov. 24 Nov. 27.
* Maine......................... June 13 May 24 May 29 \4\ June 1.
* Maryland...................... Sept. 12 Aug. 23 Aug. 28 Aug. 31.
* 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................... June 6 May 17 May 22 May 25.
Runoff...................... June 27 June 7 June 12 June 15.
* 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........................ Aug. 15 July 26 July 31 Aug. 3.
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.......................... May 2 Apr. 12 Apr. 17 Apr. 20.
Oklahoma........................ July 25 July 5 July 10 July 13.
Runoff...................... Aug. 22 Aug. 2 Aug. 7 Aug. 10.
Oregon.......................... May 16 Apr. 26 May 1 May 4.
* Pennsylvania.................. May 16 Apr. 26 May 1 May 4.
* 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. 7 Feb. 15 Feb. 20 Feb 23.
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.
Runoff...................... Sept. 23 Sept. 3 Sept. 11 Sept. 11.
* 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 2006 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 Ninth Congress
RICHARD CHENEY, Vice President
TED STEVENS, President Pro Tempore
EMILY J. REYNOLDS, Secretary
WILLIAM H. PICKLE, Sergeant at Arms
DAVID J. SCHIAPPA, Secretary for the Majority
MARTIN P. PAONE, Secretary for the Minority
REAR ADM. BARRY C. BLACK (Ret.), Chaplain
[Republicans in roman; Democrats in italic]
----------------------------------------------------------------------------------------------------------------
Name Residence Service from Term expires
----------------------------------------------------------------------------------------------------------------
Daniel K. Akaka................. Honolulu, HI.................... May 16, 1990 Jan. 3, 2007
Lamar Alexander................. Nashville, TN................... Jan. 7, 2003 Jan. 3, 2009
Wayne Allard................... Loveland, CO.................... Jan. 3, 1997 Jan. 3, 2009
George Allen.................... Chesterfield Co., VA............ Jan. 3, 2001 Jan. 3, 2007
Max Baucus...................... Missoula, MT.................... Dec. 15, 1978 Jan. 3, 2009
Evan Bayh....................... Indianapolis, IN................ Jan. 6, 1999 Jan. 3, 2011
Robert F. Bennett............... Salt Lake City, UT.............. Jan. 5, 1993 Jan. 3, 2011
Joseph R. Biden, Jr............. Hockessin, DE................... Jan. 3, 1973 Jan. 3, 2009
Jeff Bingaman................... Santa Fe, NM.................... Jan. 3, 1983 Jan. 3, 2007
Christopher S. Bond............. Mexico, MO...................... Jan. 6, 1987 Jan. 3, 2011
Barbara Boxer................... Greenbrae, CA................... Jan. 5, 1993 Jan. 3, 2011
Sam Brownback................... Topeka, KS...................... Nov. 7, 1996 Jan. 3, 2011
Jim Bunning..................... Southgate, KY................... Jan. 6, 1999 Jan. 3, 2011
Conrad R. Burns................. Billings, MT.................... Jan. 3, 1989 Jan. 3, 2007
Richard Burr.................... Winston-Salem, NC............... Jan. 4, 2005 Jan. 3, 2011
Robert C. Byrd.................. Sophia, WV...................... Jan. 3, 1959 Jan. 3, 2007
Maria Cantwell.................. Edmonds, WA..................... Jan. 3, 2001 Jan. 3, 2007
Thomas R. Carper................ Wilmington, DE.................. Jan. 3, 2001 Jan. 3, 2007
Lincoln Chafee.................. Warwick, RI..................... Nov. 2, 1999 Jan. 3, 2007
Saxby Chambliss................. Moultrie, GA................... Jan. 7, 2003 Jan. 3, 2009
Hillary Rodham Clinton.......... Chappaqua, NY................... Jan. 3, 2001 Jan. 3, 2007
Tom Coburn...................... Muskogee, OK.................... Jan. 4, 2005 Jan. 3, 2011
Thad Cochran.................... Jackson, MS..................... Dec. 27, 1978 Jan. 3, 2009
Norm Coleman.................... St. Paul, MN.................... Jan. 7, 2003 Jan. 3, 2009
Susan M. Collins................ Bangor, ME...................... Jan. 7, 1997 Jan. 3, 2009
Kent Conrad..................... Bismarck, ND.................... Jan. 6, 1987 Jan. 3, 2007
John Cornyn..................... San Antonio, TX................. Dec. 2, 2002 Jan. 3, 2009
Larry E. Craig.................. Boise, ID....................... Jan. 3, 1991 Jan. 3, 2009
Michael D. Crapo................ Idaho Falls, ID................. Jan. 6, 1999 Jan. 3, 2011
Mark Dayton..................... Minneapolis, MN................. Jan. 3, 2001 Jan. 3, 2007
Jim DeMint...................... Greenville, SC.................. Jan. 4, 2005 Jan. 3, 2011
Mike DeWine..................... Cedarville, OH.................. Jan. 4, 1995 Jan. 3, 2007
Christopher J. Dodd............. Norwich, CT..................... Jan. 5, 1981 Jan. 3, 2011
Elizabeth Dole.................. Salisbury, NC................... Jan. 7, 2003 Jan. 3, 2009
Pete V. Domenici................ Albuquerque, NM................. Jan. 3, 1973 Jan. 3, 2009
Byron L. Dorgan................. Bismarck, ND.................... Dec. 14, 1992 Jan. 3, 2011
Richard Durbin.................. Springfield, IL................. Jan. 3, 1997 Jan. 3, 2009
John Ensign..................... Las Vegas, NV................... Jan. 3, 2001 Jan. 3, 2007
Michael B. Enzi................. Gillette, WY.................... Jan. 3, 1997 Jan. 3, 2009
Russell D. Feingold............. Middleton, WI................... Jan. 5, 1993 Jan. 3, 2011
Dianne Feinstein................ San Francisco, CA............... Nov. 10, 1992 Jan. 3, 2007
William H. Frist................ Nashville, TN................... Jan. 4, 1995 Jan. 3, 2007
Lindsey Graham.................. Seneca, SC...................... Jan. 7, 2003 Jan. 3, 2009
Chuck Grassley.................. New Hartford, IA................ Jan. 5, 1981 Jan. 3, 2011
Judd Gregg...................... Greenfield, NH.................. Jan. 5, 1993 Jan. 3, 2011
Chuck Hagel..................... Omaha, NE....................... Jan. 3, 1997 Jan. 3, 2009
Tom Harkin...................... Cumming, IA..................... Jan. 3, 1985 Jan. 3, 2009
Orrin G. Hatch.................. Salt Lake City, UT.............. Dec. 30, 1976 Jan. 3, 2007
Kay Bailey Hutchison............ Dallas, TX...................... June 5, 1993 Jan. 3, 2007
James M. Inhofe................. Tulsa, OK....................... Nov. 16, 1994 Jan. 3, 2009
Daniel K. Inouye................ Honolulu, HI.................... Jan. 3, 1963 Jan. 3, 2011
Johnny Isakson.................. Marietta, GA.................... Jan. 4, 2005 Jan. 3, 2011
James M. Jeffords............... Shrewsbury, VT.................. Jan. 3, 1989 Jan. 3, 2007
Tim Johnson..................... Vermillion, SD.................. Jan. 3, 1997 Jan. 3, 2009
Edward M. Kennedy............... Boston, MA...................... Nov. 7, 1962 Jan. 3, 2007
John F. Kerry................... Boston, MA...................... Jan. 2, 1985 Jan. 3, 2009
Herb Kohl....................... Milwaukee, WI................... Jan. 3, 1989 Jan. 3, 2007
Jon Kyl......................... Phoenix, AZ..................... Jan. 4, 1995 Jan. 3, 2007
Mary L. Landrieu................ Baton Rouge, LA................. Jan. 3, 1997 Jan. 3, 2009
Frank R. Lautenberg............. Cliffside Park, NJ.............. Jan. 7, 2003 Jan. 3, 2009
Patrick J. Leahy................ Burlington, VT.................. Jan. 3, 1975 Jan. 3, 2011
Carl Levin...................... Detroit, MI..................... Jan. 3, 1979 Jan. 3, 2009
Joseph I. Lieberman............. New Haven, CT................... Jan. 3, 1989 Jan. 3, 2007
Blanche L. Lincoln.............. Hughes, AR...................... Jan. 6, 1999 Jan. 3, 2011
Trent Lott...................... Pascagoula, MS.................. Jan. 3, 1989 Jan. 3, 2007
Richard G. Lugar................ Indianapolis, IN................ Jan. 7, 1977 Jan. 3, 2007
John McCain..................... Phoenix, AZ..................... Jan. 6, 1987 Jan. 3, 2011
Mitch McConnell................. Louisville, KY.................. Jan. 3, 1985 Jan. 3, 2009
Mel Martinez.................... Orlando, FL..................... Jan. 3, 2005 Jan. 3, 2011
Robert Menendez................. Hoboken, NJ..................... Jan. 18, 2006 Jan. 3, 2007
Barbara A. Mikulski............. Baltimore, MD................... Jan. 6, 1987 Jan. 3, 2011
Lisa Murkowski.................. Anchorage, AK................... Dec. 20, 2002 Jan. 3, 2011
Patty Murray.................... Seattle, WA..................... Jan. 5, 1993 Jan. 3, 2011
Bill Nelson..................... Tallahassee, FL................. Jan. 3, 2001 Jan. 3, 2007
E. Benjamin Nelson.............. Omaha, NE....................... Jan. 3, 2001 Jan. 3, 2007
Barack Obama.................... Chicago, IL..................... Jan. 4, 2005 Jan. 3. 2011
Mark L. Pryor................... Little Rock, AR................. Jan. 7, 2003 Jan. 3, 2009
Jack Reed....................... Cranston, RI.................... Jan. 3, 1997 Jan. 3, 2009
Harry Reid...................... Las Vegas, NV................... Jan. 6, 1987 Jan. 3, 2011
Pat Roberts..................... Dodge City, KS.................. Jan. 3, 1997 Jan. 3, 2009
John D. Rockefeller IV.......... Charleston, WV.................. Jan. 15, 1985 Jan. 3, 2009
Ken Salazar..................... Denver, CO...................... Jan. 4, 2005 Jan. 3, 2011
Rick Santorum................... Pittsburgh, PA.................. Jan. 4, 1995 Jan. 3, 2007
Paul S. Sarbanes................ Baltimore, MD................... Jan. 3, 1977 Jan. 3, 2007
Charles E. Schumer.............. Brooklyn, NY.................... Jan. 6, 1999 Jan. 3, 2011
Jeff Sessions................... Mobile, AL...................... Jan. 3, 1997 Jan. 3, 2009
Richard C. Shelby............... Tuscaloosa, AL.................. Jan. 6, 1987 Jan. 3, 2011
Gordon H. Smith................. Pendleton, OR................... Jan. 3, 1997 Jan. 3, 2009
Olympia J. Snowe................ Auburn, ME...................... Jan. 4, 1995 Jan. 3, 2007
Arlen Specter................... Philadelphia, PA................ Jan. 3, 1981 Jan. 3, 2011
Debbie Stabenow................. Lansing, MI..................... Jan. 3, 2001 Jan. 3, 2007
Ted Stevens..................... Anchorage, AK................... Dec. 24, 1968 Jan. 3, 2009
John E. Sununu.................. Bedford, NH..................... Jan. 7, 2003 Jan. 3, 2009
James Talent.................... Chesterfield, MO................ Nov. 6, 2002 Jan. 3, 2007
Craig Thomas.................... Casper, WY...................... Jan. 4, 1995 Jan. 3, 2007
John Thune...................... Pierre, SD...................... Jan. 4, 2005 Jan. 3, 2011
David Vitter.................... Metairie, LA.................... Jan. 4, 2005 Jan. 3, 2011
George V. Voinovich............. Cleveland, OH................... Jan. 6, 1999 Jan. 3, 2011
John W. Warner.................. Middleburg, VA.................. Jan. 2, 1979 Jan. 3, 2009
Ron Wyden....................... Portland, OR.................... Feb. 6, 1996 Jan. 3, 2011
----------------------------------------------------------------------------------------------------------------
SENATORS IN THE ONE HUNDRED NINTH CONGRESS
2007
class 1
Democrats (17):
Akaka, Daniel...........................................Honolulu, HI
Bingaman, Jeff..........................................Santa Fe, NM
Byrd, Robert C............................................Sophia, WV
Cantwell, Maria..........................................Edmonds, WA
Carper, Thomas........................................Wilmington, DE
Clinton, Hillary.......................................Chappaqua, NY
Conrad, Kent............................................Bismarck, ND
Dayton, Mark.........................................Minneapolis, MN
Feinstein, Dianne..................................San Francisco, CA
Kennedy, Edward...........................................Boston, MA
Kohl, Herb.............................................Milwaukee, WI
Lieberman, Joseph......................................New Haven, CT
Menendez, Robert.........................................Hoboken, NJ
Nelson, Ben................................................Omaha, NE
Nelson, Bill.........................................Tallahassee, FL
Sarbanes, Paul.........................................Baltimore, MD
Stabenow, Debbie.........................................Lansing, MI
Independents (1):
Jeffords, James.......................................Shrewsbury, VT
Republicans (15):
Allen, George................................Chesterfield County, VA
Burns, Conrad...........................................Billings, MT
Chafee, Lincoln..........................................Warwick, RI
DeWine, Mike..........................................Cedarville, OH
Ensign, John...........................................Las Vegas, NV
Frist, Bill............................................Nashville, TN
Hatch, Orrin......................................Salt Lake City, UT
Hutchison, Kay............................................Dallas, TX
Kyl, Jon.................................................Phoenix, AZ
Lott, Trent...........................................Pascagoula, MS
Lugar, Richard......................................Indianapolis, IN
Santorum, Rick........................................Pittsburgh, PA
Snowe, Olympia............................................Auburn, ME
Talent, James.......................................Chesterfield, MO
Thomas, Craig.............................................Casper, WY
2009
class 2
Democrats (12):
Baucus, Max.............................................Missoula, MT
Biden, Joseph..........................................Hockessin, DE
Durbin, Richard......................................Springfield, IL
Harkin, Tom..............................................Cumming, IA
Johnson, Tim..........................................Vermillion, SD
Kerry, John...............................................Boston, MA
Landrieu, Mary.......................................Baton Rouge, LA
Lautenberg, Frank.................................Cliffside Park, NJ
Levin, Carl..............................................Detroit, MI
Pryor, Mark..........................................Little Rock, AR
Reed, Jack..............................................Cranston, RI
Rockefeller, John.....................................Charleston, WV
Republicans (21):
Alexander, Lamar.......................................Nashville, TN
Allard, Wayne...........................................Loveland, CO
Chambliss, Saxby........................................Moultrie, GA
Cochran, Thad............................................Jackson, MS
Coleman, Norm...........................................St. Paul, MN
Collins, Susan............................................Bangor, ME
Cornyn, John.........................................San Antonio, TX
Craig, Larry...............................................Boise, ID
Dole, Elizabeth........................................Salisbury, NC
Domenici, Pete.......................................Albuquerque, NM
Enzi, Michael...........................................Gillette, WY
Graham, Lindsey...........................................Seneca, SC
Hagel, Chuck...............................................Omaha, NE
Inhofe, James..............................................Tulsa, OK
McConnell, Mitch......................................Louisville, KY
Roberts, Pat..........................................Dodge City, KS
Sessions, Jeff............................................Mobile, AL
Smith, Gordon..........................................Pendleton, OR
Stevens, Ted...........................................Anchorage, AK
Sununu, John.............................................Bedford, NH
Warner, John..........................................Middleburg, VA
2011
class 3
Democrats (15):
Bayh, Evan..........................................Indianapolis, IN
Boxer, Barbara.........................................Greenbrae, CA
Dodd, Christopher........................................Norwich, CT
Dorgan, Byron...........................................Bismarck, ND
Feingold, Russell......................................Middleton, WI
Inouye, Daniel..........................................Honolulu, HI
Leahy, Patrick........................................Burlington, VT
Lincoln, Blanche..........................................Hughes, AR
Mikulski, Barbara......................................Baltimore, MD
Murray, Patty............................................Seattle, WA
Obama, Barack............................................Chicago, IL
Reid, Harry............................................Las Vegas, NV
Salazar, Ken..............................................Denver, CO
Schumer, Charles........................................Brooklyn, NY
Wyden, Ron..............................................Portland, OR
Republicans (19):
Bennett, Robert...................................Salt Lake City, UT
Bond, Christopher.........................................Mexico, MO
Brownback, Sam............................................Topeka, KS
Bunning, Jim...........................................Southgate, KY
Burr, Richard......................................Winston-Salem, NC
Coburn, Tom.............................................Muskogee, OK
Crapo, Michael.......................................Idaho Falls, ID
DeMint, Jim...........................................Greenville, SC
Grassley, Chuck.....................................New Hartford, IA
Gregg, Judd...........................................Greenfield, NH
Isakson, Johnny.........................................Marietta, GA
Martinez, Mel............................................Orlando, FL
McCain, John.............................................Phoenix, AZ
Murkowski, Lisa........................................Anchorage, AK
Shelby, Richard.......................................Tuscaloosa, AL
Specter, Arlen......................................Philadelphia, PA
Thune, John...............................................Pierre, SD
Vitter, David...........................................Metairie, LA
Voinovich, George......................................Cleveland, OH
democrats
2007.............................................................. 17
2009.............................................................. 12
2011.............................................................. 15
______
Total........................................................... 44
republicans
2007.............................................................. 15
2009.............................................................. 21
2011.............................................................. 19
______
Total........................................................... 55
independents
2007.............................................................. 1
totals
Republicans....................................................... 55
Democrats......................................................... 44
Independents...................................................... 1
______
Total........................................................... 100
=======================================================================
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 purposes 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 section 441b(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)(l) 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 commit tee.
(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 any 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
exceed $2000 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 .
. . 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 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;
(ix) 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 cost 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;
(x) 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;
(xi) 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 particular
candidates;
(xii) payment 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;
(xiii) any honorarium (within the meaning of section
441i of this title); and
(xiv) any loan of money derived from an advance on a
candidate's brokerage account, credit card, home equity
line of credit, or other line of credit available to
the candidate, if such a loan is made in accordance
with applicable law and under commercially reasonable
terms and if the person making such loan makes loans
derived from an advance on the candidate's brokerage
account, credit card, home equity line of credit, or
other line of credit in the normal course of the
person's business.
(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) lndependent expenditure. The term `independent
expenditure' means an expenditure by a person--
(A) expressly advocating the election or defeat of a
clearly identified candidate; and
(B) that is not made in concert or cooperation with
or at the request or suggestion of such candidate, the
candidate's authorized political committee, or their
agents, or a political party committee or its agents.
(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.
(20) Federal election activity.
(A) In general. The term `Federal election activity'
means--
(i) voter registration activity during the
period that begins on the date that is 120 days
before the date a regularly scheduled Federal
election is held and ends on the date of the
election;
(ii) voter identification, get-out-the-vote
activity, or generic campaign activity
conducted in connection with an election in
which a candidate for Federal office appears on
the ballot (regardless of whether a candidate
for State or local office also appears on the
ballot);
(iii) a public communication that refers to a
clearly identified candidate for Federal office
(regardless of whether a candidate for State or
local office is also mentioned or identified)
and that promotes or supports a candidate for
that office, or attacks or opposes a candidate
for that office (regardless of whether the
communication expressly advocates a vote for or
against a candidate); or
(iv) services provided during any month by an
employee of a State, district, or local
committee of a political party who spends more
than 25 percent of that individual's
compensated time during that month on
activities in connection with a Federal
election.
(B) Excluded activity. The term `Federal election
activity' does not include an amount expended or
disbursed by a State, district, or local committee of a
political party for--
(i) a public communication that refers solely
to a clearly identified candidate for State or
local office, if the communication is not a
Federal election activity described in
subparagraph (A)(i) or (ii);
(ii) a contribution to a candidate for State
or local office, provided the contribution is
not designated to pay for a Federal election
activity described in subparagraph (A);
(iii) the costs of a State, district, or
local political convention; and
(iv) the costs of grassroots campaign
materials, including buttons, bumper stickers,
and yard signs, that name or depict only a
candidate for State or local office.
(21) Generic campaign activity. The term `generic campaign
activity' means a campaign activity that promotes a political
party and does not promote a candidate or non-Federal
candidate.
(22) Public communication. The term `public communication'
means a communication by means of any broadcast, cable, or
satellite communication, newspaper, magazine, outdoor
advertising facility, mass mailing, or telephone bank to the
general public, or any other form of general public political
advertising.
(23) Mass mailing. The term `mass mailing' means a mailing
by United States mail or facsimile of more than 500 pieces of
mail matter of an identical or substantially similar nature
within any 30-day period.
(24) Telephone bank. The term `telephone bank' means more
than 500 telephone calls of an identical or substantially
similar nature within any 30-day period.
(25) Election cycle. For purposes of sections 315(i) (2
U.S.C. Sec. 441a(i)) and 315A (2 U.S.C. Sec. 441a-1) and
paragraph (26), the term `election cycle' means the period
beginning on the day after the date of the most recent election
for the specific office or seat that a candidate is seeking and
ending on the date of the next election for that office or
seat. For purposes of the preceding sentence, a primary
election and a general election shall be considered to be
separate elections.
(26) Personal funds. The term `personal funds' means an
amount that is derived from--
(A) any asset that, under applicable State law, at
the time the individual became a candidate, the
candidate had legal right of access to or control over,
and with respect to which the candidate had--
(i) legal and rightful title; or
(ii) an equitable interest;
(B) income received during the current election cycle
of the candidate, including--
(i) a salary and other earned income from
bona fide employment;
(ii) dividends and proceeds from the sale of
the candidate's stocks or other investments;
(iii) bequests to the candidate;
(iv) income from trusts established before
the beginning of the election cycle;
(v) income from trusts established by bequest
after the beginning of the election cycle of
which the candidate is the beneficiary;
(vi) gifts of a personal nature that had been
customarily received by the candidate prior to
the beginning of the election cycle; and
(vii) proceeds from lotteries and similar
legal games of chance; and
(C) a portion of assets that are jointly owned by the
candidate and the candidate's spouse equal to the
candidate's share of the asset under the instrument of
conveyance or ownership, but if no specific share is
indicated by an instrument of conveyance or ownership,
the value of \1/2\ of the property.
2 U.S.C. Sec. 432. Organization of political committees
(a) Treasurer: vacancy; official authorizations. 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.
(b) Account of contributions; segregated funds.
(1) Every person who receives a contribution for an
authorized political committee shall, no 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.
(c) Recordkeeping. 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, in voice,
or cancelled check for each disbursement in excess of
$200.
(d) Preservation of records and copies of reports. 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.
(e) Principal and additional campaign committees;
designations, status of candidate, authorized committees, etc.
(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
sup ported 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 441b(b) shall include
the name of its connected organization.
(f) Filing with and receipt of designations, statements,
and reports by principal campaign committee.
(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.
(g) Filing with and receipt of designations, statements,
and reports by the Secretary of Senate; forwarding to
Commission; filing requirements with Commission; public
inspection and preservation of designations, etc.
(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
candidate, and by the Republican and Democratic
Senatorial Campaign Committee, 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), and shall preserve such
designations, statements, and reports in the same
manner as the Commission under section 438(a)(5).
(h) Campaign depositories; designations, maintenance of
accounts, etc.; petty cash fund for disbursements; record of
disbursements.
(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 . . . 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.
(i) Reports and records, compliance with
requirements based on best efforts. 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.
2 U.S.C. Sec. 433. Registration of political committees
(a) Statements of organizations. Each authorized campaign
committee shall file a statement of organization no 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).
(b) Contents of statements. 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.
(c) Change of information in statements. 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.
(d) Termination, etc., requirements and authorities.
(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 disbursement 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 the reduction of
outstanding debts; and
(C) the termination of an insolvent political
committee after such liquidation and
application of assets.
2 U.S.C. Sec. 434. Reporting requirements
(a) Receipts and disbursements by treasurers of political
committees; filing requirements.
(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 a 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 any of the
following: registered mail, certified
mail, priority mail having a delivery
confirmation, or delivered to an
overnight delivery service with an on-
line tracking system, if posted or
delivered no later than the 15th day
before) \1\ 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;
---------------------------------------------------------------------------
\1\ Section 641 of division F, Title VI of the Consolidated
Appropriations Act, 2004, Pub. L. No. 108-199, amended section 434(a)
to permit the use of priority and express mail and overnight delivery
services for timely filing purposes. This amendment is effective as of
January 23, 2004.
---------------------------------------------------------------------------
(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) \2\ in any other calendar year the
treasurer shall file quarterly reports, which
shall be filed not 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 not later than January 31 of the
following calendar year.
---------------------------------------------------------------------------
\2\ Section 503(a) of the Bipartisan Campaign Reform Act of 2002
(BCRA), Pub. L. No. 107-155, amended section 434(a)(2)(B) to require
additional reports in nonelection years by House and Senate campaigns.
This amendment is effective as of November 6, 2002.
---------------------------------------------------------------------------
(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
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;
(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 any of the following: registered
mail, certified mail, priority mail having a
delivery confirmation, or express mail having a
delivery confirmation, or delivered to an
overnight delivery service with an on-line
tracking system, if posted or delivered no
later than the 15th day before \1\ 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;
---------------------------------------------------------------------------
\1\ Section 641 of division F, Title VI of the Consolidated
Appropriations Act, 2004, Pub. L. No. 108-199, amended section 434(a)
to permit the use of priority and express mail and overnight delivery
services for timely filing purposes. This amendment is effective as of
January 23, 2004.
---------------------------------------------------------------------------
(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. Notwithstanding the preceding
sentence, a national committee of a political
party shall file the reports required under
subparagraph (B).
(5) If a designation, report, or statement filed
pursuant to this Act (other than under paragraph
(2)(A)(i) or (4)(A)(ii) or subsection (g)(1)) is sent
by registered mail, certified mail, priority mail
having a delivery confirmation, or express mail having
a delivery confirmation, the United States postmark
shall be considered the date of filing of the
designation, report, or statement. If a designation,
report or statement filed pursuant to this Act (other
than under paragraph (2)(A)(i) or (4)(A)(ii), or
subsection (g)(1)) is sent by an overnight delivery
service with an on-line tracking system, the date on
the proof of delivery to the delivery service 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) Notification of expenditure from personal funds.
(i) Definition of expenditure from personal
funds. In this subparagraph, the term
`expenditure from personal funds' means--
(I) an expenditure made by a
candidate using personal funds; and
(II) a contribution or loan made by a
candidate using personal funds or a
loan secured using such funds to the
candidate's authorized committee.
(ii) Declaration of intent. Not later than
the date that is 15 days after the date on
which an individual becomes a candidate for the
office of Senator, the candidate shall file a
declaration stating the total amount of
expenditures from personal funds that the
candidate intends to make, or to obligate to
make, with respect to the election that will
exceed the State-by-State competitive and fair
campaign formula with--
(I) the Commission; and
(II) each candidate in the same
election.
(iii) Initial notification. Not later than 24
hours after a candidate described in clause
(ii) makes or obligates to make an aggregate
amount of expenditures from personal funds in
excess of 2 times the threshold amount in
connection with any election, the candidate
shall file a notification with--
(I) the Commission; and
(II) each candidate in the same
election.
(iv) Additional notification. After a
candidate files an initial notification under
clause (ill), the candidate shall file an
additional notification each time expenditures
from personal funds are made or obligated to be
made in an aggregate amount that exceed $10,000
with--
(I) the Commission; and
(II) each candidate in the same
election.
Such notification shall be filed not later than
24 hours after the expenditure is made.
(v) Contents. A notification under clause
(iii) or (iv) shall include--
(I) the name of the candidate and the
office sought by the candidate;
(II) the date and amount of each
expenditure; and
(III) the total amount of
expenditures from personal funds that
the candidate has made, or obligated to
make, with respect to an election as of
the date of the expenditure that is the
subject of the notification.
(C) Notification of disposal of excess contributions.
In the next regularly scheduled report after the date
of the election for which a candidate seeks nomination
for election to, or election to, Federal office, the
candidate or the candidate's authorized committee shall
submit to the Commission a report indicating the source
and amount of any excess contributions (as determined
under paragraph (1) of section 315(i)) (2 U.S.C.
Sec. 441a(i)) and the manner in which the candidate or
the candidate's authorized committee used such funds.
(D) Enforcement. For provisions providing for the
enforcement of the reporting requirements under this
paragraph, see section 309 (2 U.S.C. Sec. 437g).
(E) 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 requirement 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 preelection report for each
election and one postelection 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 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 ex
penditures 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 with
the Commission under this Act available for inspection
by the public in the offices of the Commission and
accessible to the public on the Internet not later than
48 hours (or not later than 24 hours in the case of a
designation, statement, report, or notification filed
electronically) after receipt 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.
(12) Software for filing of reports.
(A) In general. The Commission shall--
(i) promulgate standards to be used
by vendors to develop software that--
(I) permits candidates to
easily record information
concerning receipts and
disbursements required to be
reported under this Act at the
time of the receipt or
disbursement;
(II) allows the information
recorded under subclause (1) to
be transmitted immediately to
the Commission; and
(III) allows the Commission
to post the information on the
Internet immediately upon
receipt; and
(ii) make a copy of software that
meets the standards promulgated under
clause (i) available to each person
required to file a designation,
statement, or report in electronic form
under this Act.
(B) Additional information. To the extent
feasible, the Commission shall equire vendors
to include in the software developed under the
standards under subparagraph (A) the ability
for any person to file any designation,
statement, or report required under this Act in
electronic form.
(C) Required use. Notwithstanding any
provision of this Act relating to times for
filing reports, each candidate for Federal
office (or that candidate's authorized
committee) shall use software that meets the
standards promulgated under this paragraph once
such software is made available to such
candidate.
(D) Required posting. The Commission shall,
as soon as practicable, post on the Internet
any information received under this paragraph.
(b) Contents of reports. 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 calendar year (or
election cycle, in the case of an authorized committee
of a candidate for Federal office), 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 election cycle, in the case
of an authorized committee of a candidate for
Federal office), 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 date and amount or
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 (or election cycle, in the case of an
authorized committee of a candidate for Federal
office), 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 (or
election cycle, in the case of an authorized
committee of a candidate for Federal office),
together with the date and amount of any such
receipt;
(4) for the reporting period and the calendar year
(or election cycle, in the case of an authorized
committee of a candidate for Federal office), 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 (or election cycle, in the case of an
authorized committee of a candidate for Federal office)
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 or 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 (or election cycle, in the case
of an authorized committee of a candidate for
Federal office) 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 (or
election cycle, in the case of an authorized
committee of a candidate for Federal office)
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 (or
election cycle, in the case of an authorized committee
of a candidate'' for Federal office); 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.
(c) Statements by other than political committees; filing;
contents; indices of expenditures.
(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.
(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
subsection (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.
(d) Use of facsimile machines and electronic mail to file
independent expenditure statements.
(1) Any person who is required to file a statement
under sub-section (c) or (g) of this section, except
statements required to be filed electronically pursuant
to subsection (a)(11)(A)(i) may file the statement by
facsimile device or electronic mail, in accordance with
such regulations as the Commission may promulgate.
(2) The Commission shall make a document which is
filed electronically with the Commission pursuant to
this paragraph accessible to the public on the internet
not later than 24 hours after the document is received
by the Commission.
(3) In promulgating a regulation under this
paragraph, the Commission shall provide methods (other
than requiring a signature on the document being filed)
for verifying the documents 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.
(e) Political committee.
(1) National and congressional political committees.
The national committee of a political party, any
national congressional campaign committee of a
political party, and any subordinate committee of
either, shall report all receipts and disbursements
during the reporting period.
(2) Other political committees to which section 323
(2 U.S.C. Sec. 441.i) applies.
(A) In general. In addition to any other
reporting requirements applicable under this
Act, a political committee (not described in
paragraph (1)) to which section 323(b)(1) (2
U.S.C. Sec. 441i(b)(1)) applies shall report
all receipts and disbursements made for
activities described in section 301(20)(A), (2
U.S.C. Sec. 431(20)(A)) unless the aggregate
amount of such receipts and disbursements
during the calendar year is less than $5,000.
(B) Specific disclosure by state and local
parties of certain nonfederal amounts permitted
to be spent on federal election activity. Each
report by a political committee under
subparagraph (A) of receipts and disbursements
made for activities described in section
301(20)(A) (2 U.S.C. Sec. 431(20)(A)) shall
include a disclosure of all receipts and
disbursements described in section 323(b)(2)(A)
and (B) (2 U.S.C. Sec. 441i(b)(2)(A) and (B)).
(3) Itemization. If a political committee has
receipts or disbursements to which this subsection
applies from or to any person aggregating in excess of
$200 for any calendar year, the political committee
shall separately itemize its reporting for such person
in the same manner as required in paragraphs (3)(A),
(5), and (6) of subsection (b).
(4) Reporting periods. Reports required to be filed
under this subsection shall be filed for the same time
periods required for political committees under
subsection (a)(4)(B).
(f) Disclosure of electioneering communications.
(1) Statement required. Every person who makes a
disbursement for the direct costs of producing and
airing electioneering communications in an aggregate
amount in excess of $10,000 during any calendar year
shall, within 24 hours of each disclosure date, file
with the Commission a statement containing the
information described in paragraph (2).
(2) Contents of statement. Each statement required to
be filed under this subsection shall be made under
penalty of perjury and shall contain the following
information:
(A) The identification of the person making
the disbursement, of any person sharing or
exercising direction or control over the
activities of such person, and of the custodian
of the books and accounts of the person making
the disbursement.
(B) The principal place of business of the
person making the disbursement, if not an
individual.
(C) The amount of each disbursement of more
than $200 during the period covered by the
statement and the identification of the person
to whom the disbursement was made.
(D) The elections to which the electioneering
communications pertain and the names (if known)
of the candidates identified or to be
identified.
(E) If the disbursements were paid out of a
segregated bank account which consists of funds
contributed solely by individuals who are
United States citizens or nationals or law
fully admitted for permanent residence (as
defined in section 101(a)(20) of the
Immigration and Nationality Act (8 U.S.C.
Sec. 1101(a)(20))) directly to this account for
electioneering communications, the names and
addresses of all contributors who contributed
an aggregate amount of $1,000 or more to that
account during the period beginning on the
first day of the preceding calendar year and
ending on the disclosure date. Nothing in this
subparagraph is to be construed as a
prohibition on the use of funds in such a
segregated account for a purpose other than
electioneering communications.
(F) If the disbursements were paid out of
funds not described in subparagraph (E), the
names and addresses of all contributors who
contributed an aggregate amount of $1,000 or
more to the person making the disbursement
during the period beginning on the first day of
the preceding calendar year and ending on the
disclosure date.
(3) Electioneering communication. For purposes of
this subsection--
(A) In general.
(i) The term `electioneering
communication' means any broadcast,
cable, or satellite communication
which--
(I) refers to a clearly
identified candidate for
Federal office;
(II) is made within--
(aa) 60 days before a
general, special, or
runoff election for the
office sought by the
candidate; or
(bb) 30 days before a
primary or preference
election, or a
convention or caucus of
a political party that
has authority to
nominate a candidate,
for the office sought
by the candidate; and
(III) in the case of a
communication which refers to a
candidate for an office other
than President or Vice
President, is targeted to the
relevant electorate.
(ii) If clause (i) is held to be
constitutionally insufficient by final
judicial decision to support the
regulation provided herein, then the
term `electioneering communication'
means any broadcast, cable, or
satellite communication which promotes
or supports a candidate for that
office, or attacks or opposes a
candidate for that office (regardless
of whether the communication expressly
advocates a vote for or against a
candidate) and which also is suggestive
of no plausible meaning other than an
exhortation to vote for or against a
specific candidate. Nothing in this
subparagraph shall be construed to
affect the interpretation or
application of section 100.22(b) of
title 11, Code of Federal Regulations.
(B) Exceptions. The term `electioneering
communication' does not include--
(i) a communication appearing in a
news story, commentary, or editorial
distributed through the facilities of
any broadcasting station, unless such
facilities are owned or controlled by
any political party, political
committee, or candidate;
(ii) a communication which
constitutes an expenditure or an
independent expenditure under this Act;
(iii) a communication which
constitutes a candidate debate or forum
conducted pursuant to regulations
adopted by the Commission, or which
solely promotes such a debate or forum
and is made by or on behalf of the
person sponsoring the debate or forum;
or
(iv) any other communication exempted
under such regulations as the
Commission may promulgate (consistent
with the requirements of this
paragraph) to ensure the appropriate
implementation of this paragraph,
except that under any such regulation a
communication may not be exempted if it
meets the requirements of this
paragraph and is described in section
301(20)(A)(iii) (2 U.S.C.
Sec. 431(20)(A)(iii)).
(C) Targeting to relevant electorate. For
purposes of this paragraph, a communication
which refers to a clearly identified candidate
for Federal office is `targeted to the relevant
electorate' if the communication can be
received by 50,000 or more persons--
(i) in the district the candidate
seeks to represent, in the case of a
candidate for Representative in, or
Delegate or Resident Commissioner to,
the Congress; or
(ii) in the State the candidate seeks
to represent, in the case of a
candidate for Senator.
(4) Disclosure date. For purposes of this subsection;
the term `disclosure date' means--
(A) the first date during any calendar year
by which a person has made disbursements for
the direct costs of producing or airing
electioneering communications aggregating in
excess of $10,000; and
(B) any other date during such calendar year
by which a person has made disbursements for
the direct costs of producing or airing
electioneering communications aggregating in
excess of $10,000 since the most recent
disclosure date for such calendar year.
(5) Contracts to disburse. For purposes of this
subsection, a person shall be treated as having made a
disbursement if the person has executed a contract to
make the disbursement.
(6) Coordination with other requirements. Any
requirement to report under this subsection shall be in
addition to any other reporting requirement under this
Act.
(7) Coordination with Internal Revenue Code. Nothing
in this subsection may be construed to establish,
modify, or otherwise affect the definition of political
activities or electioneering activities (including the
definition of participating in, intervening in, or
influencing or attempting to influence a political
campaign on behalf of or in opposition to any candidate
for public office) for purposes of the Internal Revenue
Code of 1986.
(g) Time for reporting certain expenditures.
(1) Expenditures aggregating $1,000.
(A) Initial report. A person (including a
political committee) that makes or contracts to
make independent expenditures aggregating
$1,000 or more after the 20th day, but more
than 24 hours, before the date of an election
shall file a report describing the expenditures
within 24 hours.
(B) Additional reports. After a person files
a report under subparagraph (A), the person
shall file an additional report within 24 hours
after each time the person makes or contracts
to make independent expenditures aggregating an
additional $1,000 with respect to the same
election as that to which the initial report
relates.
(2) Expenditures aggregating $10,000.
(A) Initial report. A person (including a
political commit tee) that makes or contracts
to make independent expenditures aggregating
$10,000 or more at any time up to and including
the 20th day before the date of an election
shall file a report describing the expenditures
within 48 hours.
(B) Additional reports. After a person files
a report under subparagraph (A), the person
shall file an additional report within 48 hours
after each time the person makes or contracts
to make independent expenditures aggregating an
additional $10,000 with respect to the same
election as that to which the initial report
relates.
(3) Place of filing; Contents. A report under this
subsection--
(A) shall be filed with the Commission; and
(B) shall contain the information required by
subsection (b)(6)(B)(iii), including the name
of each candidate whom an expenditure is
intended to support or oppose.
(4) Time of filing for expenditures aggregating
$1,000. Not withstanding subsection (a)(5), the time at
which the statement under paragraph (1) is received by
the Commission or any other recipient to whom the
notification is required to be sent shall be considered
the time of filing of the statement with the recipient.
(h) Reports from Inaugural Committees. The Federal Election
Commission shall make any report filed by an Inaugural
Committee under section 510 of title 36, United States Code,
accessible to the public at the offices of the Commission and
on the Internet not later than 48 hours after the report is
received by the Commission.
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 purpose for which such
funds were expended.
2 U.S.C. Sec. 437c. Federal Election Commission
(a) Establishment; membership; term of office; vacancies;
qualifications; compensation; chairman and vice chairman.
(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. Sec. 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.
(b) Administration, enforcement, and formulation of policy;
exclusive jurisdiction of civil enforcement; Congressional
authorities or functions with respect to elections for Federal
office.
(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.
(c) Voting requirements; delegation of authorities. 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 decision making 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.
(d) Meetings. The Commission shall meet at least once each
month and also at the call of any member.
(e) Rules for conduct of activities; judicial notice of
seal; principal office. 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).
(f) 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.
(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, United States Code, 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, United States Code, 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. Sec. 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, United States Code, 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.
2 U.S.C. Sec. 437d. Powers of the Commission
(a) Specific authorities. 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 subpoena, 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, United States Code,
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.
(b) Judicial orders for compliance with subpoenas and
orders of Commission; contempt of court. 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 subpoena 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.
(c) Civil liability for disclosure of information. 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.
(d) Concurrent transmissions to Congress or member of
budget estimates, etc.; prior submission of legislative
recommendations, testimony, or comments on legislation
(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.
(e) Exclusive civil remedy for enforcement. 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.
2 U.S.C. Sec. 437f. Advisory opinions
(a) Requests by persons, candidates, or authorized
committees; subject matter; time for response.
(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.
(b) Procedures applicable to initial proposal of rules or
regulations, and advisory opinions. 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 an advisory nature may be
issued by the Commission or any of its employees except in
accordance with the provisions of this section.
(c) Persons entitled to rely upon opinions; scope of
protection for good faith reliance.
(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.
(d) Requests made public; submission of written comments by
interested public. The Commission shall make public any
requests 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.
2 U.S.C. Sec. 437g. Enforcement
(a) Administrative and judicial practice and procedure.
(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
violation. 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. Sec. 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
(or in the case of a violation of section 320 (2 U.S.C.
Sec. 441f), which is not less than 300 percent of the
amount involved in the violation and is not more than
the greater of $50,000 or 1000 percent of the amount
involved in the 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
(or in the case of a violation of section 320 (2 U.S.C.
Sec. 441f), which is not less than 300 percent of the
amount involved in the violation and is not more than
the greater of $50,000 or 1000 percent of the amount
involved in the 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.
(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.
(b) Notice to persons not filing required reports prior to
institution of enforcement action; publication of identity of
persons and unfiled reports. 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) of this title, 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.
(c) Reports by Attorney General of apparent violations.
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.
(d) Penalties; defenses; mitigation of offenses.
(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, donation or expenditure--
(i) aggregating $25,000 or more during a
calendar year shall be fined under title 18,
United States Code, or imprisoned for not more
than 5 years, or both; or
(ii) aggregating $2,000 or more (but less
than $25,000) during a calendar year shall be
fined under such title, or imprisoned for not
more than one year, or both.
(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, and 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.
(D) Any person who knowingly and willfully commits a
violation of section 320 (2 U.S.C. Sec. 441f) involving
an amount aggregating more than $10,000 during a
calendar year shall be--
(i) imprisoned for not more than 2 years if
the amount is less than $25,000 (and subject to
imprisonment under subparagraph (A) if the
amount is $25,000 or more);
(ii) fined not less than 300 percent of the
amount involved in the violation and not more
than the greater of--
(I) $50,000; or
(II) 1,000 percent of the amount
involved in the violation; or
(iii) both imprisoned under clause (i) and
fined under clause (ii).
(2) In any criminal action brought for a violation of
any provision of this Act or of chapter 95 or chapter
96 of this 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 of 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.
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.
2 U.S.C. Sec. 438. Administrative provisions
(a) Duties of Commission. 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
multicandidate committees, including in such index a
list of multicandidate committees; and
(C) compile and maintain a list of multicandidate
committees, which shall be revised and made available
monthly;
(7) prepare and publish periodically lists of
authorized committees which fail to file reports as
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 a 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.
(b) Audits and field investigations. 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 Commission. 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.
(c) Statutory provisions applicable to forms and
information gathering activities. 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.
(d) Rules, regulations, or forms; issuance, procedures
applicable, etc.
(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, or form or a 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 is not in
order to move to reconsider the vote by which the
motion is agreed to or disagreed with.
(e) Scope of protection for good faith reliance upon rules
or regulations. Notwithstanding any other provision of law, any
person who relies upon any rule or regulation prescribe 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.
(f) Promulgation of rules, regulations, and forms by
Commission and Internal Revenue Service; report to Congress on
cooperative efforts. 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.
2 U.S.C. Sec. 438a. Maintenance of website of election reports
(a) In general. The Federal Election Commission shall
maintain a central site on the Internet to make accessible to
the public all publicly available election-related reports and
information.
(b) Election-related report. In this section, the term
`election-related report' means any report, designation, or
statement required to be filed under the Federal Election
Campaign Act of 1971.
(c) Coordination with other agencies. Any Federal executive
agency receiving election-related information which that agency
is required by law to publicly disclose shall cooperate and
coordinate with the Federal Election Commission to make such
report available through, or for posting on, the site of the
Federal Election Commission in a tiinely manner.
2 U.S.C. Sec. 439. Statements filed with State officers; ``appropriate
State'' defined; duties of State officers; waiver
of duplicate filing requirements for States with
electronic access
(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.
(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.
(c) Subsections (a) and (b) 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.
2 U.S.C. Sec. 439a. Use of contributed amounts for certain purposes
(a) Permitted uses. A contribution accepted by a candidate,
and any other donation received by an individual as support for
activities of the individual as a holder of Federal office, may
be used by the candidate or individual--
(1) for otherwise authorized expenditures in
connection with the campaign for Federal office of the
candidate or individual;
(2) for ordinary and necessary expenses incurred in
connection with duties of the individual as a holder of
Federal office;
(3) for contributions to an organization described in
section 170(c) of the Internal Revenue Code of 1986; or
(4) for transfers, without limitation, to a national,
State, or local committee of a political party.
(b) Prohibited use.
(1) In general. A contribution or donation described
in subsection (a) shall not be converted by any person
to personal use.
(2) Conversion. For the purposes of paragraph (1), a
contribution or donation shall be considered to be
converted to personal use if the contribution or amount
is used to fulfill any commitment, obligation, or
expense of a person that would exist irrespective of
the candidate's election campaign or individual's
duties as a holder of Federal office, including--
(A) a home mortgage, rent, or utility
payment;
(B) a clothing purchase;
(C) a noncampaign-related automobile expense;
(D) a country club membership;
(E) a vacation or other noncampaign-related
trip;
(F) a household food item;
(G) a tuition payment;
(H) admission to a sporting event, concert,
theater, or other form of entertainment not
associated with an election campaign; and
(I) dues, fees, and other payments to a
health club or recreational facility.
2 U.S.C. Sec. 439b. Repealed.
2 U.S.C. Sec. 439c. Authorization of appropriations
Note: This section contains the authorization for FEC
appropriations for FY 1975 through FY 1978, and for FY 1981.
While contained in the United States Code, this provision has
no substantive election law content.
2 U.S.C. Sec. 440. Repealed.
2 U.S.C. Sec. 441. Repealed.
2 U.S.C. Sec. 441a. Limitations, contributions, and expenditures
(a) Dollar limits on contributions.
(1) Except as provided in subsection (i) and section
315A (2 U.S.C. Sec. 441a-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 $2,000;
(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 $25,000;
(C) to any other political committee (other
than a committee described in subparagraph (D))
in any calendar year which, in the aggregate,
exceed $5,000; or
(D) to a political committee established and
maintained by a State committee of a political
party in any calendar year which, in the
aggregate, exceed $10,000.
(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) During the period which begins on January 1 of an
odd-numbered year and ends on December 31 of the next
even numbered year, no individual may make
contributions aggregating more than--
(A) $37,500, in the case of contributions to
candidates and the authorized committees of
candidates;
(B) $57,500, in the case of any other
contributions, of which not more than $37,500
may be attributable to contributions to
political committees which are not political
committees of national political parties.
(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 fundraising 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 of 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 for
the office of President of the United States (except a
general election for such office) shall be considered
to be one election.
(7) For 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) expenditures made by any person (other
than a candidate or candidate's authorized
committee) in cooperation, consultation, or
concert, with, or at the request or suggestion
of, a national, State, or local committee of a
political party, shall be considered to be
contributions made to such party committee; and
(iii) 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 committees, or their authorized agents
shall be considered to be an expenditure for
purposes of this paragraph; and
(C) if--
(i) any person makes, or contracts to
make, any disbursement for any
electioneering communication (within
the meaning of section 304(f)(3)) (2
U.S.C. Sec. 434(f)(3)); and
(ii) such disbursement is coordinated
with a candidate or an authorized
committee of such candidate, a Federal,
State, or local political party or
committee thereof, or an agent or
official of any such candidate, party,
or committee;
such disbursement or contracting shall be
treated as a contribution to the candidate
supported by the electioneering communication
or that candidate's party and as an expenditure
by that candidate or that candidate's party;
and
(D) 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 conduit shall report the original
source and the intended recipient of such contribution
to the Commission and to the intended recipient.
(b) Dollar limits on expenditures by candidates for office
of President of the United States.
(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.
(c) Increases on limits based on increases in price index.
(1)(A) 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.
(B) Except as provided in subparagraph (C), in any
calendar year after 2002--
(i) a limitation established by subsections
(a)(1)(A), (a)(I)(B), (a)(3), (b), (d), or (h)
shall be increased by the percent difference
determined under subparagraph (A);
(ii) each amount so increased shall remain in
effect for the calendar year; and
(iii) if any amount after adjustment under
clause (i) is not a multiple of $100, such
amount shall be rounded to the nearest multiple
of $100.
(C) In the case of limitations under subsections
(a)(I)(A), (a)(I)(B), (a)(3), and (h), increases shall
only be made in odd numbered years and such increases
shall remain in effect for the 2-year period beginning
on the first day following the date of the last general
election in the year preceding the year in which the
amount is increased and ending on the date of the next
general election.
(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--
(i) for purposes of subsections (b)
and (d), calendar year 1974; and
(ii) for purposes of subsections
(a)(1)(A), (a)(1)(B), (a)(3), and (h),
calendar year 2001.
(d) Expenditures by national committee, State committee, or
subordinate committee of State committee in connection with
general election campaign of candidates for Federal office.
(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), (3) and (4) 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 by a national committee of a
political party serving as the principal 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 (e) 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.
(4) Independent versus coordinated expenditures by
party.
(A) In general. On or after the date on which
a political party nominates a candidate, no
committee of the political party may make--
(i) any coordinated expenditure under
this subsection with respect to the
candidate during the election cycle at
any time after it makes any independent
expenditure (as defined in section
301(17)) (2 U.S.C. Sec. 431(17)) with
respect to the candidate during the
election cycle; or
(ii) any independent expenditure (as
defined in section 301(17)) (2 U.S.C.
Sec. 431(17)) with respect to the
candidate during the election cycle at
any time after it makes any coordinated
expenditure under this subsection with
respect to the candidate during the
election cycle.
(B) Application. For purposes of this
paragraph, all political committees established
and maintained by a national political party
(including all congressional campaign
committees) and all political committees
established and maintained by a State political
party (including any subordinate committee of a
State committee) shall be considered to be a
single political committee.
(C) Transfers. A committee of a political
party that makes coordinated expenditures under
this subsection with respect to a candidate
shall not, during an election cycle, transfer
any funds to, assign authority to make
coordinated expenditures under this subsection
to, or receive a transfer of funds from. a
committee of the political party that has made
or intends to make an independent expenditure
with respect to the candidate.
(e) Certification and publication of estimated voting age
population.
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.
(f) Prohibited contributions and expenditures.
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.
(g) Attribution of multi-State expenditures to candidate's
expenditure limitation in each State.
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.
(h) Senatorial candidates.
Notwithstanding any other provision of this Act, amounts
totaling not more than $35,000 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.
(i) Increased limit to allow response to expenditures from
personal funds.
(1) Increase.
(A) In general. Subject to paragraph (2), if
the opposition personal funds amount with
respect to a candidate for election to the
office of Senator exceeds the threshold amount,
the limit under subsection (a)(1)(A) (in this
subsection referred to as the `applicable
limit') with respect to that candidate shall be
the increased limit.
(B) Threshold amount.
(i) State-by-state competitive and
fair campaign formula. In this
subsection, the threshold amount with
respect to an election cycle of a
candidate described in subparagraph (A)
is an amount equal to the sum of--
(I) $150,000; and
(II) $0.04 multiplied by the
voting age population.
(ii) Voting age population. In this
subparagraph, the term `voting age
population' means in the case of a
candidate for the office of Senator,
the voting age population of the State
of the candidate (as certified under
section 315(e)) (2 U.S.C.
Sec. 441a(e)).
(C) Increased limit. Except as provided in
clause (ii), for purposes of subparagraph (A),
if the opposition personal funds amount is
over--
(i) 2 times the threshold amount, but
not over 4 times that amount--
(I) the increased limit shall
be 3 times the applicable
limit; and
(II) the limit under
subsection (a)(3) shall not
apply with respect to any
contribution made with respect
to a candidate if such
contribution is made under the
increased limit of subparagraph
(A) during a period in which
the candidate may accept such a
contribution;
(ii) 4 times the threshold amount,
but not over 10 times the amount--
(I) the increased limit shall
be 6 times the applicable
limit; and
(II) the limit under
subsection (a)(3) shall not
apply with respect to any
contribution made with respect
to a candidate if such
contribution is made under the
increased limit of subparagraph
(A) during a period in which
the candidate may accept such a
contribution; and
(iii) 10 times the threshold amount--
(I) the increased limit shall
be 6 times the applicable
limit;
(II) the limit under
subsection (a)(3) shall not
apply with respect to any
contribution made with respect
to a candidate if such
contribution is made under the
increased limit of subparagraph
(A) during a period in which
the candidate may accept such a
contribution; and
(III) the limits under
subsection (d) with respect to
any expenditure by a State or
national committee of a
political party shall not
apply.
(D) Opposition personal funds amount. The
opposition personal funds amount is an amount
equal to the excess (if any) of--
(i) the greatest aggregate amount of
expenditures from personal funds (as
defined in section 304(a)(6)(B)) (2
U.S.C. Sec. 434(a)(6)(B)) that an
opposing candidate in the same election
makes; over
(ii) the aggregate amount of
expenditures from personal funds made
by the candidate with respect to the
election.
(E) Special rule for candidate's campaign
funds.
(i) In general. For purposes of
determining the aggregate amount of
expenditures from personal funds under
subparagraph (D)(ii), such amount shall
include the gross receipts advantage of
the candidate's authorized committee.
(ii) Gross receipts advantage. For
purposes of clause (i), the term `gross
receipts advantage' means the excess,
if any, of--
(I) the aggregate amount of
50 percent of gross receipts of
a candidate's authorized
committee during any election
cycle (not including
contributions from personal
funds of the candidate) that
may be expended in connection
with the election, as
determined on June 30 and
December 31 of the year
preceding the year in which a
general election is held, over
(II) the aggregate amount of
50 percent of gross receipts of
the opposing candidate's
authorized committee during any
election cycle (not including
contributions from personal
funds of the candidate) that
may be expended in connection
with the election, as
determined on June 30 and
December 31 of the year
preceding the year in which a
general election is held.
(2) Time to accept contributions under increased
limit.
(A) In general. Subject to subparagraph (B),
a candidate and the candidate's authorized
committee shall not accept any contribution,
and a party committee shall not make any
expenditure, under the increased limit under
paragraph (1)--
(i) until the candidate has received
notification of the opposition personal
funds amount under section 304(a)(6)(B)
(2 U.S.C. Sec. 434(a)(6)(B)); and
(ii) to the extent that such
contribution, when added to the
aggregate amount of contributions
previously accepted and party
expenditures previously made under the
increased limits under this subsection
for the election cycle, exceeds 110
percent of the opposition personal
funds amount.
(B) Effect of withdrawal of an opposing
candidate. A candidate and a candidate's
authorized committee shall not accept any
contribution and a party shall not make any
expenditure under the increased limit after the
date on which an opposing candidate ceases to
be a candidate to the extent that the amount of
such increased limit is attributable to such an
opposing candidate.
(3) Disposal of excess contributions.
(A) In general. The aggregate amount of
contributions accepted by a candidate or a
candidate's authorized committee under the
increased limit under paragraph (1) and not
otherwise expended in connection with the
election with respect to which such
contributions relate shall, not later than 50
days after the date of such election, be used
in the manner described in subparagraph (B).
(B) Return to contributors. A candidate or a
candidate's authorized committee shall return
the excess contribution to the person who made
the contribution.
(j) Limitation on repayment of personal loans. Any
candidate who incurs personal loans made after the effective
date of the Bipartisan Campaign Reform Act of 2002 in
connection with the candidate's campaign for election shall not
repay (directly or indirectly), to the extent such loans exceed
$250,000, such loans from any contributions made to such
candidate or any authorized committee of such candidate after
the date of such election.
2 U.S.C. Sec. 441a-l. Modification of certain limits for House
candidates in response to personal fund
expenditures of opponents
(a) Availability of increased limit.
(1) In general. Subject to paragraph (3), if the
opposition personal funds amount with respect to a
candidate for election to the office of Representative
in, or Delegate or Resident Commissioner to, the
Congress exceeds $350,000--
(A) the limit under subsection (a)(1)(A) (2
U.S.C. Sec. 441a(a)(1)(A)) with respect to the
candidate shall be tripled;
(B) the limit under subsection (a)(3) (2
U.S.C. Sec. 441a(a)(3)) shall not apply with
respect to any contribution made with respect
to the candidate if the contribution is made
under the increased limit allowed under
subparagraph (A) during a period in which the
candidate may accept such a contribution; and
(C) the limits under subsection (d) (2 U.S.C.
Sec. 441a(d)) with respect to any expenditure
by a State or national committee of a political
party on behalf of the candidate shall not
apply.
(2) Determination of opposition personal funds
amount.
(A) In general. The opposition personal funds
amount is an amount equal to the excess (if
any) of--
(i) the greatest aggregate amount of
expenditures from personal funds (as
defined in subsection (b)(1)) that an
opposing candidate in the same election
makes; over
(ii) the aggregate amount of
expenditures from personal funds made
by the candidate with respect to the
election.
(B) Special rule for candidate's campaign
funds.
(i) In general. For purposes of
determining the aggregate amount of
expenditures from personal funds under
subparagraph (A), such amount shall
include the gross receipts advantage of
the candidate's authorized committee.
(ii) Gross receipts advantage. For
purposes of clause (i), the term `gross
receipts advantage' means the excess,
if any, of--
(I) the aggregate amount of
50 percent of gross receipts of
a candidate's authorized
committee during any election
cycle (not including
contributions from personal
funds of the candidate) that
may be expended in connection
with the election, as
determined on June 30 and
December 31 of the year
preceding the year in which a
general election is held, over
(II) the aggregate amount of
50 percent of gross receipts of
the opposing candidate's
authorized committee during any
election cycle (not including
contributions from personal
funds of the candidate) that
may be expended in connection
with the election, as
determined on June 30 and
December 31 of the year
preceding the year in which a
general election is held.
(3) Time to accept contributions under increased
limit.
(A) In general. Subject to subparagraph (B),
a candidate and the candidate's authorized
committee shall not accept any contribution,
and a party committee shall not make any
expenditure, under the increased limit under
paragraph (1)--
(i) until the candidate has received
notification of the opposition personal
funds amount under subsection (b)(1);
and
(ii) to the extent that such
contribution, when added to the
aggregate amount of contributions
previously accepted and party
expenditures previously made under the
increased limits under this subsection
for the election cycle, exceeds 100
percent of the opposition personal
funds amount.
(B) Effect of withdrawal of an opposing
candidate. A candidate and a candidate's
authorized committee shall not accept any
contribution and a party shall not make any
expenditure under the increased limit after the
date on which an opposing candidate ceases to
be a candidate to the extent that the amount of
such increased limit is attributable to such an
opposing candidate.
(4) Disposal of excess contributions.
(A) In general. The aggregate amount of
contributions accepted by a candidate or a
candidate's authorized committee under the
increased limit under paragraph (1) and not
otherwise expended in connection with the
election with respect to which such
contributions relate shall not later than 50
days after the date of such election, be used
in the manner described in subparagraph (B).
(B) Return to contributors. A candidate or a
candidate's authorized committee shall return
the excess contribution to the person who made
the contribution.
(b) Notification of expenditures from personal funds.
(1) In general.
(A) Definition of expenditure from personal
funds. In this paragraph, the term `expenditure
from personal funds' means--
(i) an expenditure made by a
candidate using personal funds; and
(ii) a contribution or loan made by a
candidate using personal funds or a
loan secured using such funds to the
candidate's authorized committee.
(B) Declaration of intent. Not later than the
date that is 15 days after the date on which an
individual becomes a candidate for the office
of Representative in, or Delegate or Resident
Commissioner to, the Congress, the candidate
shall file a declaration stating the total
amount of expenditures from personal funds that
the candidate intends to make, or to obligate
to make, with respect to the election that will
exceed $350,000.
(C) Initial notification. Not later than 24
hours after a candidate described in
subparagraph (B) makes or obligates to make an
aggregate amount of expenditures from personal
funds in excess of $350,000 in connection with
any election, the candidate shall file a
notification.
(D) Additional notification. After a
candidate files an initial notification under
subparagraph (C), the candidate shall file an
additional notification each time expenditures
from personal funds are made or obligated to be
made in an aggregate amount that exceeds
$10,000. Such notification shall be filed not
later than 24 hours after the expenditure is
made.
(E) Contents. A notification under
subparagraph (C) or (D) shall include--
(i) the name of the candidate and the
office sought by the candidate;
(ii) the date and amount of each
expenditure; and
(iii) the total amount of
expenditures from personal funds that
the candidate has made, or obligated to
make, with respect to an election as of
the date of the expenditure that is the
subject of the notification.
(F) Place of filing. Each declaration or
notification required to be filed by a
candidate under subparagraph (C), (D), or (E)
shall be filed with--
(i) the Commission; and
(ii) each candidate in the same
election and the national party of each
such candidate.
(2) Notification of disposal of excess contributions.
In the next regularly scheduled report after the date
of the election for which a candidate seeks nomination
for election to, or election to, Federal office, the
candidate or the candidate's authorized committee shall
submit to the Commission a report indicating the source
and amount of any excess contributions (as determined
under subsection (a) and the manner in which the
candidate or the candidate's authorized committee used
such funds.
(3) Enforcement. For provisions providing for the
enforcement of the reporting requirements under this
subsection, see section 309 (2 U.S.C. Sec. 437g).
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, wages, rates of pay, hours of
employment, or conditions of work.
(2) For purposes of this section and section 791(h) of
title 15,\1\ the term ``contribution or expenditure'' includes
a contribution or expenditure, as those terms are defined in
section 301 (2 U.S.C. Sec. 431), and also includes 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 or for any applicable electioneering communication, but
shall not include
---------------------------------------------------------------------------
\1\ 15 U.S.C. Sec. 79l(h) provides:
(h) Political contributions forbidden.
It shall be unlawful for any registered holding company, or any
subsidiary company thereof, by use of the mails or any means or
instrumentality of interstate commerce, or otherwise, directly or
indirectly--
(1) to make any contribution whatsoever in connection with the
candidacy, nomination, election or appointment of any person for or to
any office or position in the Government of the United States, a State,
or any political subdivision of a State, or any agency, authority, or
instrumentality of any one or more of the foregoing; or
(2) to make any contribution to or in support of any political
party or any committee or agency thereof.
The term ``contribution'' as used in this subsection includes any
gift, subscription, loan, advance, or deposit of money or anything of
value, and includes any contract, agreement, or promise, whether or not
legally enforceable, to make a contribution.
---------------------------------------------------------------------------
(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 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.
(c) Rules relating to electioneering communications.
(1) Applicable electioneering communication. For
purposes of this section, the term `applicable
electioneering communication' means an electioneering
communication (within the meaning of section 304(f)(3))
(2 U.S.C. Sec. 434(f)(3)) which is made by any entity
described in subsection (a) of this section or by any
other person using funds donated by an entity described
in subsection (a) of this section.
(2) Exception. Notwithstanding paragraph (1), the
term `applicable electioneering communication' does not
include a communication by a section 501(c)(4)
organization or a political organization (as defined in
section 527(e)(1) of the Internal Revenue Code of 1986)
made under section 304(f)(2)(E) or (F) of this Act (2
U.S.C. Sec. 434(f)(2)(E) or (F)) if the communication
is paid for exclusively by funds provided directly by
individuals who are United States citizens or nationals
or lawfully admitted for permanent residence (as
defined in section 101(a)(20) of the Immigration and
Nationality Act (8 U.S.C. Sec. 1101(a)(20))). For
purposes of the preceding sentence, the term `provided
directly by individuals' does not include funds the
source of which is an entity described in subsection
(a) of this section.
(3) Special operating rules.
(A) Definition under paragraph (1). An
electioneering communication shall be treated
as made by an entity described in subsection
(a) if an entity described in subsection (a)
directly or indirectly disburses any amount for
any of the costs of the communication.
(B) Exception under paragraph (2). A section
501(c)(4) organization that derives amounts
from business activities or receives funds from
any entity described in subsection (a) shall be
considered to have paid for any communication
out of such amounts unless such organization
paid for the communication out of a segregated
account to which only individuals can
contribute, as described in section
304(f)(2)(E) (2 U.S.C. Sec. 434(f)(2)(E)).
(4) Definitions and rules. For purposes of this
subsection--
(A) the term `section 501(c)(4) organization'
means--
(i) an organization described in
section 501(c)(4) of the Internal
Revenue Code of 1986 and exempt from
taxation under section 501(a) of such
Code; or
(ii) an organization which has
submitted an application to the
Internal Revenue Service for
determination of its status as an
organization described in clause (i);
and
(B) a person shall be treated as having made
a disbursement if the person has executed a
contract to make the disbursement.
(5) Coordination with Internal Revenue Code. Nothing
in this subsection shall be construed to authorize an
organization exempt from taxation under section 501(a)
of the Internal Revenue Code of 1986 to carry out any
activity which is prohibited under such Code.
(6) Special rules for targeted communication.
(A) Exception does not apply. Paragraph (2)
shall not apply in the case of a targeted
communication that is made by an organization
described in such paragraph.
(B) Targeted communication. For purposes of
subparagraph (A), the term `targeted
communication' means an electioneering
communication (as defined in section 304(f)(3))
(2 U.S.C. Sec. 434(f)(3)) that is distributed
from a television or radio broadcast station or
provider of cable or satellite television
service and, in the case of a communication
which refers to a candidate for an office other
than President or Vice President, is targeted
to the relevant electorate.
(C) Definition. For purposes of this
paragraph, a communication is `targeted to the
relevant electorate' if it meets the
requirements described in section 304(f)(3)(C)
(2 U.S.C. Sec. 434(f)(3)(C)).
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 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 implied 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 441b 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
441b 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.
2 U.S.C. Sec. 441d. Publication and distribution of statements and
solicitations; charge for newspaper or magazine
space
(a) Whenever a political committee makes a disbursement for
the purpose of financing any communication through any
broadcasting station, newspaper, magazine, outdoor advertising
facility, mailing, or any other type of general public
political advertising, or whenever any person makes a
disbursement 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, mailing, or any other type of general public
political advertising or makes a disbursement for an
electioneering communication (as defined in section 304(f)(3))
(2 U.S.C. Sec. 434(f)(3)), such communication--
(1) if paid for and 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, an authorized
political committee of a candidate, or its agents,
shall clearly state the name and permanent street
address, telephone number or World Wide Web address 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.
(c) Specification. Any printed communication described in
subsection (a) shall--
(1) be of sufficient type size to be clearly readable
by the recipient of the communication;
(2) be contained in a printed box set apart from the
other contents of the communication; and
(3) be printed with a reasonable degree of color
contrast between the background and the printed
statement.
(d) Additional requirements.
(1) Communications by candidates or authorized
persons.
(A) By radio. Any communication described in
paragraph (1) or (2) of subsection (a) which is
transmitted through radio shall include, in
addition to the requirements of that paragraph,
an audio statement by the candidate that
identifies the candidate and states that the
candidate has approved the communication.
(B) By television. Any communication
described in paragraph (1) or (2) of subsection
(a) which is transmitted through television
shall include, in addition to the requirements
of that paragraph, a statement that identifies
the candidate and states that the candidate has
approved the communication. Such statement--
(i) shall be conveyed by--
(I) an unobscured, full-
screen view of the candidate
making the statement, or
(II) the candidate in voice-
over, accompanied by a clearly
identifiable photographic or
similar image of the candidate;
and
(ii) shall also appear in writing at
the end of the communication in a
clearly readable manner with a
reasonable degree of color contrast
between the background and the printed
statement, for a period of at least 4
seconds.
(2) Communications by others. Any communication
described in paragraph (3) of subsection (a) which is
transmitted through radio or television shall include,
in addition to the requirements of that paragraph, in a
clearly spoken manner, the following audio statement:
`___ is responsible for the content of this
advertising.' (with the blank to be filled in with the
name of the political committee or other person paying
for the communication and the name of any connected
organization of the payor). If transmitted through
television, the statement shall be conveyed by an
unobscured, full-screen view of a representative of the
political committee or other person making the
statement, or by a representative of such political
committee or other person in voice-over, and shall also
appear in a clearly readable manner with a reasonable
degree of color contrast between the background and the
printed statement, for a period of at least 4 seconds.
2 U.S.C. Sec. 441e. Contributions and donations by foreign nationals
(a) Prohibition. It shall be unlawful for--
(1) a foreign national, directly or indirectly, to
make--
(A) a contribution or donation of money or
other thing of value, or to make an express or
implied promise to make a contribution or
donation, in connection with a Federal, State,
or local election;
(B) a contribution or donation to a committee
of a political party; or
(C) an expenditure, independent expenditure,
or disbursement for an electioneering
communication (within the meaning of section
304(f)(3)) (2 U.S.C. Sec. 434(f)(3)); or
(2) a person to solicit, accept, or receive a
contribution or donation described in subparagraph (A)
or (B) of paragraph (1) 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 or a national of the United States (as defined
in section 101(a)(22) of the Immigration and
Nationality Act) and who is not lawfully admitted for
permanent residence, as defined by section 1101(a)(20)
of title 8.
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.
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.
2 U.S.C. Sec. 441h. Fraudulent misrepresentation of campaign authority
(a) In general. 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).
(b) Fraudulent solicitation of funds. No person shall--
(1) fraudulently misrepresent the person as speaking,
writing, or otherwise acting for or on behalf of any
candidate or political party or employee or agent
thereof for the purpose of soliciting contributions or
donations; or
(2) willfully and knowingly participate in or
conspire to participate in any plan, scheme, or design
to violate paragraph (1).
2 U.S.C. Sec. 441i. Soft money of political parties
(a) National committees.
(1) In general. A national committee of a political
party (including a national congressional campaign
committee of a political party) may not solicit,
receive, or direct to another person a contribution,
donation, or transfer of funds or any other thing of
value, or spend any funds, that are not subject to the
limitations, prohibitions, and reporting requirements
of this Act.
(2) Applicability. The prohibition established by
paragraph (1) applies to any such national committee,
any officer or agent acting on behalf of such a
national committee, and any entity that is directly or
indirectly established, financed, maintained, or
controlled by such a national committee.
(b) State, district and local committees.
(1) In general. Except as provided in paragraph (2),
an amount that is expended or disbursed for Federal
election activity by a State, district, or local
committee of a political party (including an entity
that is directly or indirectly established, financed,
maintained, or controlled by a State, district, or
local committee of a political party and an officer or
agent acting on behalf of such committee or entity), or
by an association or similar group of candidates for
State or local office or of individuals holding State
or local office, shall be made from funds subject to
the limitations, prohibitions, and reporting
requirements of this Act.
(2) Applicability.
(A) In general. Notwithstanding clause (i) or
(ii) of section 301(20)(A) (2 U.S.C.
Sec. 431(20)(A)), and subject to subparagraph
(B), paragraph (1) shall not apply to any
amount expended or disbursed by a State,
district, or local committee of a political
party for an activity described in either such
clause to the extent the amounts expended or
disbursed for such activity are allocated
(under regulations prescribed by the
Commission) among amounts--
(i) which consist solely of
contributions subject to the
limitations, prohibitions, and
reporting requirements of this Act
(other than amounts described in
subparagraph (B)(iii)); and
(ii) other amounts which are not
subject to the limitations,
prohibitions, and reporting
requirements of this Act (other than
any requirements of this subsection).
(B) Conditions. Subparagraph (A) shall only
apply if--
(i) the activity does not refer to a
clearly identified candidate for
Federal office;
(ii) the amounts expended or
disbursed are not for the costs of any-
broadcasting, cable, or satellite
communication, other than a
communication which refers solely to a
clearly identified candidate for State
or local office;
(iii) the amounts expended or
disbursed which are described in
subparagraph (A)(ii) are paid from
amounts which are donated in accordance
with State law and which meet the
requirements of subparagraph (C),
except that no person (including any
person established, financed,
maintained, or controlled by such
person) may donate more than $10,000 to
a State, district, or local committee
of a political party in a calendar year
for such. expenditures or
disbursements; and
(iv) the amounts expended or
disbursed are made solely from funds
raised by the State, local, or district
committee which makes such expenditure
or disbursement, and do not include any
funds provided to such committee from--
(I) any other State, local,
or district committee of any
State party,
(II) the national committee
of a political party (including
a national congressional
campaign committee of a
political party),
(III) any officer or agent
acting on behalf of any
committee described in
subclause (I) or (II), or
(IV) any entity directly or
indirectly established,
financed, maintained, or
controlled by any committee
described in subclause (I) or
(II)
(C) Prohibiting involvement of national
parties, federal candidates and officeholders,
and state parties acting jointly.
Notwithstanding subsection (e) (other than
subsection. (e)(3)), amounts specifically
authorized to be spent under subparagraph
(B)(iii) meet the requirements of this
subparagraph only if the amounts--
(i) are not solicited, received,
directed, transferred, or spent by or
in the name of any person described in
subsection (a) or (e); and
(ii) are not solicited, received, or
directed through fundraising activities
conducted jointly by 2 or more State,
local, or district committees of any
political party or their agents, or by
a State, local, or district committee
of a political party on behalf of the
State, local, or district committee of
a political party or its agent in one
or more other States.
(c) Fundraising costs. An amount spent by a person
described in subsection (a) or (b) to raise funds that are
used, in whole or in part, for expenditures and disbursements
for a Federal election activity shall be made from funds
subject to the limitations, prohibitions, and reporting
requirements of this Act.
(d) Tax-exempt organizations. A national, State, district,
or local committee of a political party (including a national
congressional campaign committee of a political party), an
entity that is directly or indirectly established, financed,
maintained, or controlled by any such national, State,
district, or local committee or its agent, and an officer or
agent acting on behalf of any such party committee or entity,
shall not solicit any funds for, or make or direct any
donations to--
(1) an organization that is described in section
501(c) of the Internal Revenue Code of 1986 and exempt
from taxation under section 501(a) of such Code (or has
submitted an application for determination of tax
exempt status under such section) and that makes
expenditures or disbursements in connection with an
election for Federal office (including expenditures or
disbursements for Federal election activity); or
(2) an organization described in section 527 of such
Code (other than a political committee, a State,
district, or local committee of a political party, or
the authorized campaign committee of a candidate for
State or local office).
(e) Federal candidates.
(1) In general. A candidate, individual holding
Federal office, agent of a candidate or an individual
holding Federal office, or an entity directly or
indirectly established, financed, maintained or
controlled by or acting on behalf of 1 or more
candidates or individuals holding Federal office, shall
not--
(A) solicit, receive, direct, transfer, or
spend funds in connection with an election for
Federal office, including funds for any Federal
election activity, unless the funds are subject
to the limitations, prohibitions, and reporting
requirements of this Act; or
(B) solicit, receive, direct, transfer, or
spend funds in connection with any election
other than an election for Federal office or
disburse funds in connection with such an
election unless the funds--
(i) are not in excess of the amounts
permitted with respect to contributions
to candidates and political committees
under paragraphs (1), (2), and (3) of
section 315(a) (2 U.S.C. Sec. 441a(a));
and
(ii) are not from sources prohibited
by this Act from making contributions
in connection with an election for
Federal office.
(2) State law. Paragraph (1) does not apply to the
solicitation, receipt, or spending of funds by an
individual described in such paragraph who is or was
also a candidate for a State or local office solely in
connection with such election for State or local office
if the, solicitation, receipt, or spending of funds is
permitted under State law and refers only to such State
or local candidate, or to any other candidate for the
State or local office sought by such candidate, or
both.
(3) Fundraising events. Notwithstanding paragraph (1)
or subsection (b)(2)(C), a candidate or an individual
holding Federal office may attend, speak, or be a
featured guest at a fundraising event for a State,
district, or local committee of a political party.
(4) Permitting certain solicitations.
(A) General solicitations. Notwithstanding
any other provision of this subsection, an
individual described in paragraph (1) may make
a general solicitation of funds on behalf of
any organization that is described in section
501 (c) of the Internal Revenue Code of 1986
and exempt from taxation under section 501(a)
of such Code (or has submitted an application
for determination of tax exempt status under
such section) (other than an entity whose
principal purpose is to conduct activities
described in clauses (i) and (ii) of section
301(20)(A) (2 U.S.C. Sec. 43 1 (20)(A)) where
such solicitation does not specify how the
funds will or should be spent.
(B) Certain specific solicitations. In
addition to the general solicitations permitted
under subparagraph (A), an individual described
in paragraph (1) may make a solicitation
explicitly to obtain funds for carrying out the
activities described in clauses (i) and (ii) of
section 301(20)(A) (2) U.S.C. Sec. 431(20)(A)),
or for an entity whose principal purpose is to
conduct such activities, if--
(i) the solicitation is made only to
individuals; and
(ii) the amount solicited from any
individual during any calendar year
does not exceed $20,000.
(f) State candidates.
(1) In general. A candidate for State or local
office, individual holding State or local office, or an
agent of such a candidate or individual may not spend
any funds for a communication described in section
301(20)(A)(iii) (2 U.S.C. Sec. 431(20)(A)(iii)) unless
the funds are subject to the limitations, prohibitions,
and reporting requirements of this Act.
(2) Exception for certain communications. Paragraph
(1) shall not apply to an individual described in such
paragraph if the communication involved is in
connection with an election for such State or local
office and refers only to such individual or to any
other candidate for the State or local office held or
sought by such individual, or both.
2 U.S.C. Sec. 441j. Repealed
2 U.S.C. Sec. 441k. Prohibition of contributions by minors
An individual who is 17 years old or younger shall not make
a contribution to a candidate or a contribution or donation to
a committee of a political party.
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.
Subchapter II--General provisions
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 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.
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. Sec. 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 Office of Economic Opportunity who,
in his official capacity as such an officer or employee,
engages in any such activity.
2 U.S.C. Sec. 453. State laws affected
(a) In general. Subject to subsection (b), 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.
(b) State and local committees of political parties.
Notwithstanding any other provision of this Act, a State or
local committee of a political party may, subject to State law,
use exclusively funds that are not subject to the prohibitions,
limitations, and reporting requirements of the Act for the
purchase or construction of an office building for such State
or local committee.
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.
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 5
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 commission which was
a violation of any provision of subchapter I of this
chapter, as in effect on December 31, 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.
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 of mass 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) Charges.
(1) In general. 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--
(A) subject to paragraph (2), 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
(B) at any time, the charges made for
comparable use of such station by other users
therof.
(2) Content of broadcasts.
(A) In general. In the case of a candidate
for Federal office, such candidate shall not be
entitled to receive the rate under paragraph
(1)(A) for the use of any broadcasting station
unless the candidate provides written
certification to the broadcast station that the
candidate (and any authorized committee of the
candidate) shall not make any direct reference
to another candidate for the same office, in
any broadcast using the rights and conditions
of access under this Act, unless such reference
meets the requirements of subparagraph (C) or
(D).
(B) Limitation on charges. If a candidate for
Federal office (or any authorized committee or
such candidate) makes a reference described in
subparagraph (A) in any broadcast that does not
meet the requirements of subparagraph (C) or
(D), such candidate shall not be entitled to
received the rate under paragraph (1)(A) for
such broadcast or any other broadcast during
any portion of the 45-day and 60-day periods
described in paragraph (1)(A), that occur on or
after the date of such broadcast, for election
to such office.
(C) Television broadcasts. A candidate meets
the requirements of this subparagraph if, in
the case of a television broadcast, at the end
of such broadcast there appears simultaneously,
for a period no less than 4 seconds--
(i) a clearly identifiable
photographic or similar image of he
candidate; and
(ii) a clearly readable printed
statement, identifying the candidate
and stating that the candidate has
approved the broadcast and that the
candidate's authorized committee paid
for the broadcast.
(D) Radio broadcasts. A candidate meets the
requirements of this subparagraph if, in the
case of a radio broadcast, the broadcast
includes a personal audio statement by the
candidate that identifies the candidate, the
office the candidate is seeking, and indicates
that the candidate has approved the broadcast.
(E) Certification. Certifications under this
section shall be provided and certified as
accurate by the candidate (or any authorized
committee of the candidate) at the time of
purchase.
(F) Definitions. For purposes of this
paragraph, the terms ``authorized committee''
and ``Federal office'' have the meanings given
such terms by section 301 of the Federal
Election Campaign Act of 1971 (2 U.S.C. 431).
(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.
(e) Political record.
(1) In general. A licensee shall maintain, and make
available for pubic inspection, a complete record of a
request to purchase broadcast time that--
(A) is made by or on behalf of a legally
qualified candidate for public office; or
(B) communicates a message relating to any
political matter of national importance,
including--
(i) a legally qualified candidate;
(ii) any election to Federal office;
or
(iii) a national legislative issue of
pubic importance.
(2) Contents of record. A record maintained under
paragraph (1) shall contain information regarding--
(A) whether the request to purchase broadcast
time is accepted or rejected by the licensee;
(B) the rate charged for the broadcast time;
(C) the date and time on which the
communication is aired;
(D) the class of time that is purchased;
(E) the name of the candidate to which the
communication refers and the office to which
the candidate is seeking election, the election
to which the communication refers, or the issue
to which the communication refers (as
applicable);
(F) in the case of a request made by, or on
behalf of, a candidate, the name of the
candidate, the authorized committee of the
candidate, and the treasurer of such committee;
and
(G) in the case of any other request, the
name of the person purchasing the time, the
name, address, and phone number of a contact
person for such person, and a list of the chief
executive officers or members of the executive
committee or of the broad of directors of such
person.
(3) Time to maintain file. The information required
under this subsection shall be placed in a political
file as soon as possible and shall be retained by the
licensee for a period of not less than 2 years.
(June 19, 1934, ch 652, Title III, Part I Sec. 315, 48 Stat.
1088; May 20, 1937, ch 229, Sec. 10(a), 50 Stat. 192; July 16,
1952, ch 879, Sec. 11, 66 Stat. 717; Sept. 14, 1959, P.L. 86-
274, Sec. 1, 73 Stat. 557; Feb. 7, 1972, P.L. 92-225, Title I,
Sec. Sec. 103(a)(1), (2)(B), 104(c), 86 Stat. 4, 7; Oct. 15,
1974, P.L. 93-443, Title IV, Sec. 402, 88 Stat. 1291; March 27,
2002, P.L. 107-155, Title III, Sec. 305(a), (b), Title V,
Sec. 504, 116 Stat. 100, 115).
=======================================================================
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.
---------------------------------------------------------------------------
\5\ Definitions are found at 5 U.S.C. App. 6.
---------------------------------------------------------------------------
(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\
---------------------------------------------------------------------------
\6\ As amended by S. Res. 224, 103-2, June 21, 1994.
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\7\ As amended by S.Res. 224, 103-2, June 21, 1994.
---------------------------------------------------------------------------
(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. STANDING ORDER OF THE SENATE, SECTION 103, 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
(2005).
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 13, 2006). If no candidate has
majority, second primary shall be held on the last
Tuesday in June (Sec. 17-16-6). (June 27, 2006).
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 (2005).
Primary Elections, when held.
Fourth Tuesday in August in every even-numbered year
(Sec. 15.25.020). (August 22, 2006).
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) reliable electronic transmission 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
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
the day of the primary election in election year
(Sec. Sec. 15.25.140-15.25.200).
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)).
Vacancy in Office.
When a vacancy occurs in the office of United States
senator or United States representative, the governor
shall, by proclamation, call a special election to be
held on a date not less than 60, nor more than 90, days
after the date the vacancy occurs. However, if the
vacancy occurs on a date that is less than 60 days
before or is on or after the date of the primary
election in the general election year during which a
candidate to fill the office is regularly elected, the
governor may not call a special election
(Sec. 15.40.140).
When a vacancy occurs in the office of United States
senator, the governor may, at least five days after the
date of the vacancy but within 30 days after the date
of the vacancy, appoint a qualified individual to fill
the vacancy temporarily until the results of the
special election called to fill the vacancy are
certified. If a special election is not called for the
reasons set out in AS 15.40.140, the individual shall
fill the vacancy temporarily until the results of the
next general election are certified (Sec. 15.40.145).
If the vacancy occurs on a date not less than 60, nor
more than 90, days before the date of the primary
election, the governor shall, by proclamation, call the
special election to be held on the date of the primary
election (Sec. 15.40.150).
The Governor shall issue the proclamation calling the
special election at least 80 days before the election
(Sec. 15.40.160).
At the special election a United States Senator shall
be elected to fill the remainder of the unexpired term
(Sec. 15.40.165) (2005).
Arizona
Unless otherwise designated, references are to the Arizona Revised
Statutes Annotated (1996).
Primary Elections, when held.
Eighth Tuesday prior to general election (Sec. 16-
201). (September 12, 2006).
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 or
later than 5 p.m. on the 90th day before 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 (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 40th 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 (2005).
Primary Elections, when held.
Preferential primary.--On the Tuesday 3 weeks prior
to the general primary (Sec. 7-7-203). (May 23, 2006)
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,
2006) 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 or later than noon on the 14th day
thereafter 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
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 (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). 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.
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 90 days prior to election, of his intention
to be a write-in candidate (Sec. Sec. 7-5-205); 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 Deering's California
Elections Code Annotated (1996), current through 2005.
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, 2006).
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 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 (2005).
Primary Elections, when held.
Second Tuesday in August in each even-numbered year
(Sec. Sec. 1-1-104(32), 1-4-101). (August 8, 2006).
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).
A party assembly shall be held no later than 70 days
preceding the primary election (Sec. 1-4-601).
File certificate of designation in the office of the
Secretary of State within 4 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 4 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).
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 last
Monday in March (Sec. 1-4-801(5)). Petitions shall be
filed no later than 15 days 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).
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
55th day preceding the congressional vacancy 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 67th 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), current through 2005.
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, 2006).
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 60 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 (Sec. 9-
453(d)). 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 90th day prior to the regular
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, current through 2005.
Primary Elections, when held.
First Saturday next following the first Monday in
September (Sec. 3101(3)) (September 9, 2006).
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)).
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 current through 2005.
Primary Elections, when held.
In each year in which a general election is held, a
primary election for nomination of candidates of
political parties shall be held on the Tuesday 9 weeks
prior to the general election (September 5, 2006). The
candidate receiving the highest number of votes shall
receive the nomination. If two or more candidates tie
for the highest number of votes, the candidates shall
draw lots to determine which is nominated
(Sec. 100.061).
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(15), Supp.).
The executive committee of a minor party shall submit
a list of federal candidates nominated by the party to
the Department of State no later than noon on the third
day prior to the first day of the qualifying period
prescribed for federal candidates (Sec. 99.096).
Filing Fees and Assessments.
Amount--filing fee. Three percent of annual salary of
the office sought. (Sec. 99.092(1), Supp.).
Election assessment.--One percent of annual salary of
the office sought. (ibid.).
Party assessment.--Two percent of annual salary of
the office sought (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.).
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. 101.6951 providing for write-in ballots).
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), current through 2005.
Primary Elections, when held.
Primary elections are held on the third Tuesday in
July in each even-numbered year (Sec. 21-2-150). (July
18, 2006).
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 Sec. 21-2-131; [3% of annual
salary of the office sought] 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
(Sec. 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 Sec. 21-
2-7 or Sec. 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.''
(Sec. 21-2-153(b)(4)).
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(f).)
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(f).)
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 of the
office sought (Sec. 21-2-131(a)(1)(A)). 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(a)(2)(A)).
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. 21-2-2, 21-2-133,
21-2-381.1, & 21-2-381.2).
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, current through 2005.
Primary Elections, when held.
Second to last Saturday of September (September 9,
2006) 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, current through 2005.
Primary Elections, when held.
Fourth Tuesday in May (May 23, 2006). (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 twelfth Monday and 5 p.m. on the
tenth 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, current through 2005.
Primary Elections, when held.
Third Tuesday in March (March 21, 2006). (Sec. 512A-
1.1).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Petition for nomination, including statement of
candidacy (Sec. 5/7-10). 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); 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 Burns Indiana
Statutes Annotated, current through 2005.
Primary Elections, when held.
First Tuesday after first Monday in May in general
election years (Sec. 3-10-1-3). (May 2, 2006).
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 4,500 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).
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
(2005).
Primary Elections, when held.
First Tuesday after the first Monday in June in even-
numbered years (June 6, 2006) (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).
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, 2004.
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 1,
2006).
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 chairperson 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).
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, updated through June 21, 2005.
Primary Elections, when held.
First Tuesday after the third Monday in May
(Sec. 118.025) (May 16, 2006).
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
31, 2006).
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). 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).
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).
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 (Sec. 117.265).
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 (2004) and to the 2005 Cumulative Annual Pocket
Part.
Primary Elections, when held.
First Saturday in October. (Sec. Sec. 402(B)(1),
1272(A)). (October 7, 2006; 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,
2006) (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 any
additional fee imposed or by a nominating petition
(Sec. 461).
Fall primary
According to statute, Louisiana has a fall primary on
October 7, 2006, 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,
2006, serves as a runoff for the two top vote-getting
candidates without a majority of the votes (Sec. 481).
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)), providing for an ``open
primary'' in October for election of Members of
Congress and specifying that any candidate receiving a
majority vote in that primary ``is elected,'' conflicts
with federal law, 2 U.S.C. Sec. Sec. 1 and 7, providing
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 (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 the 2004 Supplementary
Pamphlet.
Primary Elections, when held.
Second Tuesday of June of each general election year
(Sec. 339) (June 13, 2006).
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 declaration with the Secretary of State
either before the election or no later than 3 business
days after the election. (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 Election Law Maryland
Annotated Code 2003 and to the 2005 Supplement.
Primary Elections, when held.
In 2000 and every sixth year thereafter (Sec. 8-601)
on the second Tuesday after the first Monday in
September, except on the first Tuesday in March in
those years the President is elected (Sec. 8-201)
(September 12, 2006).
Nominating Papers, Petitions, Etc.
Nominations may be made by party primary or by
petition (Sec. 5-701).
Nomination by party primary.--Certificates of
candidacy for the nomination shall be filed with the
State Board of Elections (Sec. 5-302). Deadline for
filing: Monday, 9 p.m., 10 weeks or 70 days before the
primary election (Sec. 5-303). Filing fee: $290 must be
paid to the State Board (Sec. Sec. 5-401, 5-403).
Nomination by petition.--A declaration of intent to
seek nomiantion shall be filed with the State Board of
Elections. Deadline for filing: Monday, 9 p.m., 10
weeks or 70 days before the primary election
(Sec. Sec. Sec. 5-703, 8-203, and 5-303). Filing fee:
No fee charged for declaration of intent (5-703).
A certificate of candidacy shall be filed along with
petitions signed by not less than 1% of the total
number of voters except that the petitions shall be
signed by at least 250 registered voters who are
eligible to vote for the office. (Sec. Sec. 5-301, 5-
703). Petition must be filed with Secretary of State
(Sec. 6-205). Deadline for filing certificate and
petition: No later than 5 p.m. on the first Monday in
August in the year of the general election (Sec. 5-
703).
Independent candidate.--Nominations are made by
petition (Sec. 5-701).
Candidate of minor party.--Candidates of a political
party that does not nominate by primary shall file a
petition. Must have 1% of vote and filed with
appropriate board by 5 p.m. on the first Monday in
August of the election year (Sec. 5-701).
Crossfiling by candidates.
Candidate must be affiliated with the nominating
party and may not be simultaneously a candidate for
more than one public office (Sec. Sec. 5-203, 5-204).
Write in provisions.
The certificate of candidacy for the election of a
write-in candidate shall be filed by the earlier of 7
days after a total expenditure of at least $51 is made
to promote the candidacy by a campaign finance entity
of the candidate or 5 p.m. on the Wednesday proceeding
the day of the election (Sec. Sec. Sec. 5-301, 5-704,
5-303). Write-in candidates are prohibited during a
primary election (Sec. 8-205).
Vacancy in office.
If there is a vacancy in the office of the United
States Senator, the Governor shall appoint an eligible
individual to fill the vacancy. If the vacancy occurs
before the date that is 21 days before the deadline for
filing certificates of candidacy for the next
succeeding regular election, the Governor shall issue a
proclamation declaring a special election (Sec. 8-602).
Special election may be held to fill a vacancy in the
office of United States Senator concurrently with a
regular election (Sec. 8-401).
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, 2006).
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).
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). 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.
If vacancy occurs after April 10 of an even-numbered
year, the governor shall issue precepts to the alderman
and the selectmen, directing the call of an election on
the day appointed in the precepts, unless the office
appears on the biennial stat election in that year. If
the vacancy occurs after April 10 of an even-numbered
year, but on or before 70 days preceding the regular
state primary, the election shall be held on day of the
regular state primary and biennial state elections. A
senator elected to fill a vacancy shall serve for the
remainder of the unexpired term (ch. 54,
Sec. Sec. 140,152).
Michigan
Unless otherwise designated, references are to Michigan Compiled Laws
Annotated, 1989 and to the 2005 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, 2006).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Nominating petition and affidavit of
identification.--Signatures of qualified registered
electors are required and 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, 2006).
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 office in last preceding election--
nomination shall be by caucus or convention
(Sec. Sec. Sec. 168.92, 168.532, 168.686a). County
caucuses and state conventions must be held not later
than the August primary. 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 1 business day after 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, 2006). 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, 2006). 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,
2006).
Vacancy in Office.
Whenever a vacancy shall occur in the office of
United States Senator, the Governor shall appoint some
suitable person having the necessary qualifications for
Senator. The person shall hold office from the time of
his appointment and qualification until the first day
of December following the next general election which
occurs more than one hundred twenty days after such
vacancy happens. At such general election, a United
States Senator shall hold office from the first day of
December following such election for the balance of the
unexpired term (Sec. 168.105).
Minnesota
Unless otherwise designated, references are to Minnesota Statutes 2005.
Primary Elections, when held.
First Tuesday after second Monday in September in
even-numbered years (Sec. 204D.03(1)) (September 12,
2006).
Nominating Papers, Petitions, Etc.
Major party candidate for primary. 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).
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).
Filing Fees and Assessments.
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).
Crossfiling by Candidates.
No individual shall be named on any ballot as the
candidate of more than one major political party.
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).
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 2005.
Primary Election held.
On the second Tuesday in March each year in which a
presidential election is held, except the first primary
shall be held on the first Tuesday in June of the years
in which Congressmen are elected, and the second
primary shall be held 3 weeks thereafter (Sec. Sec. 23-
15-1031, 23-15-1083) (June 5, 2006).
Nominating Papers, Petition, Etc.
Party candidate for primary. Candidates shall be
nominated at the primary next preceding the general
election and the chairman and Secretary of the State
Executive Committee shall certify the vote
(Sec. Sec. 23-15-1031, 12-15-307). A written statement
containing name, address, party affiliation, and the
office sought must be filed with the Secretary of the
State Executive Committee 60 days before the
presidential preference primary or by 5 p.m. on March 1
of the year another primary is held (Sec. 23-15-299).
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 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).
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 or by 5
p.m. on March 1 of the year another primary is held
(Sec. Sec. 23-15-297(f), 23-15-299(3)).
Crossfiling by Candidates.
Prohibited. Candidate required to support party
(Sec. Sec. 23-15-299, 23-15-359(2)).
Write-in Provisions.
Permitted on printed ballots (Sec. Sec. 23-15-365,
23-15-469).
Vacancy in Office.
The Governor shall, within 10 days after notice of
vacancy, issue proclamation for an election to fill the
unexpired term, provided the unexpired term is more
than 12 months and the election shall be held within 90
days from the time the proclamation is issued. If
vacancy occurs in general election year, the
proclamation shall designate the election day as time
for electing a Senator. The Governor may appoint a
Senator to fill such vacancy temporarily (Sec. 23-15-
835).
Missouri
Unless otherwise designated, references are to Vernon's Annotated
Missouri Statutes and the 2005 cumulative Annual Pocket Part.
Primary Elections, when held.
First Tuesday after first Monday in August of even-
numbered years (Sec. Sec. 115.121, 115.341). (August 8,
2006).
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 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).
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.
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 2005.
Primary Elections, when held.
First Tuesday after first Monday in June before the
general elections (Sec. 13-1-107(1)). (June 6, 2006).
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 (Sec. 13-10-201(6)). File with Secretary of
State (Sec. 13-10-201(2)(a)).
Independent and minor party candidates
Nominating petitions.--May be made by a petition for
nomination 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. 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.
If nominated by more than one party, candidate shall
make a choice 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. Sec. 13-10-302, 13-12-202); on voting machines
(Sec. 13-17-103).
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 Annotated, current through the 2005 First Session.
Primary Elections, when held.
First Tuesday after second Monday in May in even-
numbered years (Sec. 32-401). (May 9, 2006).
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 (Sec. 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 (Sec. 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.--Secretary of State (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 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, current through the 21st special session of the 72nd
Legislature (2004).
Primary Elections, when held.
First Tuesday in September in general election years
(Sec. 293.175(1). (September 5, 2006).
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 second Friday after the first 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 second Friday after the first Monday in May
(Sec. 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.--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, current through June 29, 2005.
Primary Elections, when held.
Second Tuesday in September of every even-numbered
year (Sec. 653:8) (September 12, 2006).
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.--$625,000 voluntary
spending limit for the primary election and a $625,000
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 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. (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 (1999) and to the 2005 Cumulative Annual Pocket Part.
Primary Elections, when held.
Tuesday after first Monday in June (Sec. 19:23-40).
(June 6, 2006).
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 Attorney General by 4 p.m.
of the 57th 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. of the day of the primary election.
Petition shall be signed by 800 legally qualified
voters and filed with the Secretary of State
(Sec. Sec. Sec. 19:13-3, 19:13-5, 19:13-9).
Write-in candidate.--Person nominated at primary by
write-in votes must file with Attorney General,
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 (Sec. 19:13-
8.1).
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, current through March 19, 2005.
Primary Elections, when held.
First Tuesday in June of each even-numbered year
(Sec. 1-8-11). (June 6, 2006).
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 day
following the primary election 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 2005 Cumulative Pocket Part.
Primary Elections, when held.
First Tuesday after second Monday in September
(Sec. 8-100). (September 12, 2006).
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 (Sec. 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. 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.
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 2003 edition.
Primary Elections, when held.
Tuesday next after the first Monday in May (Sec. 163-
1(b)). (May 2, 2006).
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, 2006).
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
second Monday in February and no later than 12 noon on
the last business day 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 no earlier than 12 noon on the second Monday
in February and no later than 12 noon on the last
business day in February preceding the primary
(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 primary and general election (Sec. 163-
165.5).
Vacancy in Office.
Whenever there shall be a vacancy in the office of
United States Senator, 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 North Dakota Century
Code (1997 Replacement Volume 3A and the 2005 Cumulative Supplement.
Primary Elections, when held.
Second Tuesday in June in general election years
(Sec. 16.1-11-01). (June 13, 2006).
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, before
4 p.m. of the 60th day prior to any primary election
(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 and general election
(Sec. Sec. 16.1-11-35, 16.1-13-25); 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. 16.1-11-36).
Vacancy in Office.
When a vacancy occurs in the office of United States
Senator, 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
current through September 15, 2005.
Primary Elections, when held.
On the first Tuesday after the first Monday in May of
every other year (May 2, 2006) (Sec. 3513.01(A)).
Nominating Papers, Petitions, Etc.
Party candidates for primary
Declaration of candidacy and petition.--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 (Sec. Sec. 3513.04,
3513.05, 3513.07).
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).
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 Oklahoma Statutes
current through October 7, 2005.
Primary Elections, when held.
Last Tuesday in July in even-numbered years (Sec. 1-
102). (July 25, 2006).
Second (Runoff) Primary, when held.
If no candidate receives a majority of the votes
cast, a second (runoff) primary shall be held on the
fourth Tuesday in August (Sec. 1-103). (August 22,
2006).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Declaration of candidacy.--File with Secretary of the
State Election Board no earlier than 8 a.m. on the
first Monday in June and no later than 5 p.m. on the
next succeeding Wednesday (Sec. Sec. 5-102, 5-110).
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. 5-104 and Sec. 1-107).
To file as a candidate for nomination by a political
party, 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. 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 2003.
Primary Elections, when held.
Third Tuesday in May of each even-numbered year
(Sec. 254.056(2)). (May 16, 2006).
Nominating Papers, Petitions, Etc.
A nominating petition for an office to be voted for
in the state at large 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 415th day and not
later than the 70th day before the date of the 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 sooner than the 415th 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
(Sec. 249.705).
If nomination is made by a convention or assembly, a
copy of the minutes of the meeting must accompany the
certificate of nomination (Sec. 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 general
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
61 days prior to such general election.
If a vacancy in election or office of 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.
If a special election to fill the vacancy in election
or office of 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.
If a special election to fill the vacancy in election
or office of 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 2005 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) (May 16, 2006).
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). 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).
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, updated through November 10, 2005.
Primary Elections, when held.
Second Tuesday after first Monday in September of
even numbered years (Sec. 17-15-1). (September 12,
2006). 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 with
Secretary of State (Sec. 17-14-11). Nomination papers
shall be filed not later than 60 days before primary
(Sec. 17-14-11).
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, updated through the 2004 Session of the General
Assembly.
Primary Elections, when held.
Second Tuesday in June in general election years
(Sec. 7-13-40) (June 13, 2006).
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, Sec. 7-13-50).
State Convention.
Candiates for U.S. Senator may also be nominated by
convention (Sec. Sec. 7-11-10, 7-11-30).
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).
Party candidate nominated by convention (Sec. 7-11-
30).
Use of convention method must be approved by a three-
fourths vote of the total membership of such convention
(Sec. 7-11-30).
Independent candidate
Nominating petition.--Signatures of at least 5
percent of qualified registered electors in the State,
but not more than 10,000. The petition must be
certified to State Election Commission (Sec. 7-11-70).
Nominees by petition.--Any nominee by petition for
offices 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 July 15th, or if July
15th falls on Saturday or Sunday, not later than 12
noon on the following Monday (Sec. 7-13-351).
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 August 15th or, if August
15th falls on Saturday or Sunday, not later than 12
noon on the following Monday (Sec. 7-13-350).
Filing Fees and Assessments (for primary candidates)--
The filing fees for all candidates filing to run in
all 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).
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 current through July 1, 2005.
Primary Elections, when held.
First Tuesday after the first Monday in June in even-
numbered years (Sec. Sec. 12-2-1). (June 6, 2006).
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 January
1 and 5 p.m. on the first Tuesday after the first
Monday in June. 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. 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, current through the 2005 session.
Primary Elections, when held.
First Thursday in August in even-numbered years
(Sec. 2-13-202, 2-1-104(24)). (August 3, 2006).
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 April (Sec. Sec. 2-5-
101 and 2-5-103).
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)).
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, 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, current through the 2005 second called Session of the 79th
Legislature.
Primary Elections, when held.
First Tuesday in March in even-numbered years
(Sec. 41.007(a)). (March 7, 2006).
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)).
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). The filing fee for a
candidate for nomination in the general primary
election for United States senator is $5,000
(Sec. 172.024).
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). 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).
Petition signatures required.--The minimum number of
signatures that must appear on a petition for a
statewide office is 5,000 (Sec. 172.025). 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)).
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, and
142.006). 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 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). 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)). 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)).
Filing Fees and Assessments.
Amount.--$5,000.
Date of payment.--The time of filing an application
for a place on the general primary ballot
(Sec. 172.021).
To whom paid.--State chair of state executive
committee of a political party (Sec. 172.022).
Crossfiling by Candidates.
Prohibited.--Candidate required to be affiliated with
party whose nomination he seeks (Sec. 172.021).
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)).
Write-in Provisions.
Voting systems must permit write-in voting
(Sec. 122.001(a)(9)). 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).
Utah
Unless otherwise designated, references are to Utah Code Annotated,
2003 Replacement Volume 3A and to the 2005 Supplement.
Primary Elections, when held
Fourth Tuesday in June in each even-numbered year
(Sec. 20A-9-403) (June 27, 2006).
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, 20A-9-503).
Filing Fees and Assessments.
Amount.--One-eighth of 1 percent of total salary for
full term (Sec. 20A-9-201).
Date of payment.--When filing nomination paper or
acceptance (Sec. 20A-9-201).
To whom paid.--Lieutenant Governor (Sec. 20A-9-201).
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 14 days before the
regular general 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
(Sec. 20A-9-601). Voters may insert the name of a valid
write-in candidate (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).
Vermont
Unless otherwise designated, references are to Title 17 of the Vermont
Statutes Annotated, current through February 4, 2005.
Primary Elections, when held.
Second Tuesday of September in even-numbered years
(Sec. 2351). (September 12, 2006).
Nominating Papers, Petitions, Etc.
Party candidate for primary
Primary petitions with assent of candidate and 500
signatures of legal voters are required
(Sec. Sec. 2353, 2354, and 2355). File with Secretary
of State (Sec. 2357) no sooner than the first Monday in
June (June 5, 2006) and not later than 5 p.m. on the
third Monday of July preceding the primary election
(Sec. 2356) (July 17, 2006).
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).
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). 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 third day following the
primary election (Sec. 2386). 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 250 (Sec. 2402(b)(1)).
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). File with Secretary of State
not more than 60 nor less than 47 days before general
election (Sec. Sec. 2402, 2386).
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, not later than the second Friday
following the primary election may elect the party or
parties in which he will be a candidate (Sec. 2474).
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, 2003 Replacement Volume and to the 2005 Cumulative
Supplement.
Primary Elections, when held.
Second Tuesday in June next preceding the general
election (Sec. 24.2-515). (June 13, 2006).
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. 24.2-521). 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).
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 Board of Elections (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 29A of the
Washington Revised Code (2005).
Primary Elections, when held.
The names of the candidates of the major political
parties shall appear upon the partisan primary ballot
(Sec. 29A.36.101). 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, and a plurality of
the votes cast for the candidates of his party at the
preceding primary (Sec. 29A.36.191).
Third Tuesday in September in general election years,
or on the seventh Tuesday immediately preceding such
election, whichever occurs first (Sec. 29A.04.321)
(September 19, 2006).
Conventions, when held.
For new or minor parties, and for independent
candidates (Sec. 29A.20.110).
Not earlier than the last Saturday in June and not
later than the first Saturday in July or during any of
the seven days immediately preceding the first day for
filing declarations of candidacy as fixed in accordance
with RCW 29A.28.041 (Sec. 29A.20.121).
Nominating Papers, Petitions, Etc.
Party convention for primary
Declaration of candidacy (Sec. 29A.24.031).--File
with Secretary of State not earlier than the fourth
Monday of July (July 24, 2006) nor later than the
following Friday (Sec. Sec. 29A.24.050, 29A.24.070)
(July 28, 2006).
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. 29A.20.130).
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 1000
registered voters of the state of Washington.
(Sec. 29A.20.141).
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. 29A.20.151).
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. 29A.24.091).
Crossfiling by Candidates.
Prohibited.--Must be member of party whose nomination
he seeks (Sec. 29A.24.031).
No candidate's name shall appear more than once on
general election ballot. (Sec. 29A.36.201).
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 29A.24.311 and
such vote shall be counted the same as if the name had
been printed on the ballot and marked by the voter. For
a partisan primary in a jurisdiction using the
physically separate ballot format, a voter may write in
on a party ballot only the names of write-in candidates
who affiliate with that major political party. No
write-in vote made for any person who has not filed a
declaration of candidacy pursuant to RCW 29A.24.311 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. 29A.60.021).
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. 29A.28.30).
Whenever a vacancy occurs in the office of United
States senator from 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
major political party 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, special
vacancy election and minor party and independent
candidate nominating conventions must 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 29A.24.050 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 major
political party 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,
special vacancy election and the minor party and
independent candidate conventions 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. (Sec. 29A.28.041).
West Virginia
Unless otherwise designated, references are to the West Virginia Code
Annotated (2002 Replacement Volume) and to the 2005 Supplement.
Primary Elections, when held.
Second Tuesday in May (Sec. 3-5-1) (May 9, 2006).
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 last Saturday in
January 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 United States
Senator or in any office created or made elective, to
be filled by the voters of the entire state, shall be
filled by the governor of the state by appointment. If
the unexpired term be for 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 (Sec. 3-
10-3).
Wisconsin
Unless otherwise designated references are to the Wisconsin Statutes
Annotated (2004) and to the 2005 Cumulative Annual Pocket Part.
Primary Elections, when held.
Second Tuesday in September in even-numbered years.
(Sec. 5.02(18)) (September 12, 2006).
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, 2006).
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,
2006).
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. 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, 2005 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 not less than 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\
---------------------------------------------------------------------------
\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\
---------------------------------------------------------------------------
\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\
---------------------------------------------------------------------------
\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).
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\15\ S. Rept. 95-241, 95th Cong., 1st Sess. p. 1. See new Senate
Ethics Manual, supra at Chapter 6.
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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\
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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\
---------------------------------------------------------------------------
\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\
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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\
---------------------------------------------------------------------------
\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
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 U.S. 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 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 delegates to the Constitutional Convention of
1787 requiring: (1) a freehold or other property of a certain
value including, (2) the payment of taxes, (3) and a certain
period of residency.\4\ Ultimately, 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, at 90.
\5\ Id. at 90-91, Sec. 615.
---------------------------------------------------------------------------
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 because 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, an additional five years more than the age
qualification for Representative, because 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. at 91-92, Sec. 616.
\7\ Id. at 204-205, Sec. Sec. 726-727. 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., at 205.
---------------------------------------------------------------------------
As to citizenship, Representatives must have been citizens
for seven years, while for Senators the requirement was set at
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 year citizenship requirement for Representatives, but
later changed it to seven years.\10\ For Senators, a term of
four years' citizenship was originally proposed, but it was
later changed to nine years.\11\
---------------------------------------------------------------------------
\8\ Id. at 206, Sec. 728. See also The Federalist, No. 62.
\9\ Id. at 93, Sec. 617.
\10\ Id.
\11\ Id. at 206-207, Sec. 728. 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.
---------------------------------------------------------------------------
With regard to inhabitancy, the constitutional requirement
for they are both Representatives and Senators is that, 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 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 residence
requirement was considered at the Convention, but failed to
pass.\12\
---------------------------------------------------------------------------
\12\ Id. at 94-207, Sec. Sec. 618, 729.
---------------------------------------------------------------------------
The age, citizenship, and inhabitancy requirements are the
only qualifications for Members of Congress. They are paramount
and exclusive qualifications, and state constitutions, as well
as state and federal laws can, neither add to nor take away
from these qualifications.\13\ The Constitution has not
delegated any authority to 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 constitutional provisions
relating to the qualifications of Members of Congress, the
provisions of the U.S. Constitution prevail. Thus, the mere
possession of such qualifications would make a person eligible
for election to the Congress.\14\ As Alexander Hamilton
observed, ``[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, at 382. See also 2 J. Story, Commentaries
Sec. 625 at 1011.
\14\ Id. at 382-383, Sec. 414.
\15\ The Federalist. No. 60 (Modern Library ed. 1937), at 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,
on several occasions, Congress seemed to add additional
qualifications including the enactment of the 1862 disloyalty
oath and 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 nonetheless.
---------------------------------------------------------------------------
\16\ 395 U.S. 486, 543-547 (1969). See Act of July 2, 1862, 12
Stat. 502.
---------------------------------------------------------------------------
B. State Residency 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\ 1 Hinds' Precedents of the House of Representatives, Sec. 414,
at 381-382.
---------------------------------------------------------------------------
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. For a state to
require this by a law, though, 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) at 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 at 703 (6th ed. 1990). See also Ex
Parte Shaw, 145 U.S. 444, 447 (1892).
\24\ Id.
\25\ Id. at 1176.
\26\ Id. at 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 provide 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, at 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, at 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 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., at 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'' because 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, of the House of Representatives,
Sec. 434, at 420.
\31\ Id. at 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 the inhabitancy
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,
because 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, S. Doc. 92-7 at 5.
\33\ Id. at 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, unconstitutional, as no state may add to the
constitutional qualifications for Members of the House and
Senate.\34\
---------------------------------------------------------------------------
\34\ See generally 1 Hinds' Precedents of the House of
Representatives, Sec. Sec. 414-417, at 381-389.
---------------------------------------------------------------------------
For example, in an 1852 Senate election contest case, 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, S. Doc. 92-7 at 23.
\36\ Id.
\37\ Id. at 53-57.
---------------------------------------------------------------------------
Likewise, a number of state court holdings provide that
states cannot add to 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 for either House of Congress as fixed by the
United States Constitution by the Constitution of Washington
(Article 4, Sec. 15), which requires 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 because 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. at 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 at 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 Hinds Precedents of the House of Representatives, Sec. Sec. 449,
451, and 457 at 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. at 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
On occasion, the issue arises as to 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 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.
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)
\50\ State ex rel. O'Sullivan v. Swanson, 257 N.W. 255 (Sup. Ct.
Neb. 1934).
\51\ Id. at 255, 256.
\52\ Id. at 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. at 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, 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\ Sundfor, 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 \60\ and Lubin v. Panish,\61\ 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 (1974).
\63\ California Elections Code. Sec. Sec. 6830(c), 6830(d)(1974).
\64\ Id. at 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 court found that 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. at 734-37.
\67\ Id. at 746, n. 16.
\68\ Id. at 736, n. 7.
---------------------------------------------------------------------------
Arguably if in Storer, if 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 the absolute bar feature
would render a state election code provision unconstitutional
as an additional qualification. This was not the case in Storer
because 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 or could they
have chosen to be write-in candidates on the general election
ballot.
I. Recall of Members of Congress
There is no Federal statute providing for the recall of
U.S. Senators and Representatives, nor does the Constitution
provide for any recall of Members of Congress. Before a U.S.
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\
---------------------------------------------------------------------------
\71\ See generally, S. Doc. 74-108, 74th Cong., 1st Sess., Recall
of United States Senators and Representatives, at 1-4 (May 13, 1935).
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
\72\ U.S. Const., art. 1, Sec. 6, cl. 2.
\73\ 1 Hinds' Precedents of the House of Representatives, ch. 15,
at 16.
\74\ U.S. Const., art. I, Sec. 5, cl. 2.
\75\ U.S. Const. amend. XIV, Sec. 3.
---------------------------------------------------------------------------
In the Articles of Confederation, state legislatures were
authorized to recall their delegates to Congress.\76\ However,
no such provisions were incorporated into the U.S.
Constitution. Some states have recall provisions that arguably
may apply to Members of Congress because the scope of the
recall of many provisions apply to all elected officials.
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\ In Wisconsin, the qualified
electors of any congressional district may petition for the
recall of any elective officer.\79\
---------------------------------------------------------------------------
\76\ Articles of Confederation, art. V.
\77\ Mich. Comp. Laws Anno., Sec. Sec. 168.149, 168.149.
\78\ Ariz. Rev. Stats., Sec. Sec. 19-221, 19-222.
\79\ Wisc. Const., art. 13. Sec. 12.
---------------------------------------------------------------------------
In 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.
---------------------------------------------------------------------------
\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.''
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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, 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. 486, 546-50 (1969).
\84\ U.S. Const., art. VI.
\85\ Danielson v. Fitzsimmons. 232 Minn. 149, 44 N.W. 2d 484
(1950).
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\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).
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
\87\ C. Tansill, Documents. ``Debates in the Federal Constitution
of 1787 as reported by James Madison'' at 195, 1091 (1927).
\88\ Id. at 800-03.
\89\ See, 2 Debates on the Adoption of the Federal Constitution, at
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. . . .''
---------------------------------------------------------------------------
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\
---------------------------------------------------------------------------
\91\ 1 Hinds' Precedents of the House of Representatives Sec. 414,
at 382; 2 J. Story, Commentaries Sec. 625 at p. 1011.
---------------------------------------------------------------------------
The Supreme Court in the 1969 landmark decision Powell v.
McCormack held that the constitutional qualifications for
Members of Congress under Article I, sections 2 and 3 were
exclusive and that Congress could not add to them.\92\ The
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. According to the Court, under the Constitution,
Congress is authorized to judge the qualifications of its
members, but not to prescribe the qualifications for Members of
the U.S. House and Senate.\93\
---------------------------------------------------------------------------
\92\ 395 U.S. 486, 543-47 (1969).
\93\ 395 U.S. at 543 quoting Committee of Elections 17 Annals of
Congress at 871-72 (1807).
---------------------------------------------------------------------------
In 1995, the Supreme Court in U.S. Term Limits, Inc. v.
Thornton concluded that a state-imposed limitation on
congressional terms of office was unconstitutional because 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 its
holdings in Powell that the qualifications for service in
Congress set forth in the Constitution are fixed and cannot be
supplemented by the States nor by Congress. Changing these
qualifications would require a constitutional amendment
ratified by three-quarters of the States.\95\
---------------------------------------------------------------------------
\94\ 514 U.S. 779 (1995).
\95\ Id. at 787-798.
---------------------------------------------------------------------------
=======================================================================
PART VI
DISQUALIFICATION, DEATH, OR INELIGIBILITY OF THE WINNER OF A
CONGRESSIONAL ELECTION
=======================================================================
DISQUALIFICATION, DEATH, OR INELIGIBILITY OF THE WINNER OF A
CONGRESSIONAL ELECTION \1\
---------------------------------------------------------------------------
\1\ By Jack Maskell, Legislative Attorney, American Law Division,
Congressional Research Service, Library of Congress.
---------------------------------------------------------------------------
----------
A. INTRODUCTION AND BACKGROUND
If a candidate who has been elected to the United States
House of Representatives or the United States Senate
subsequently dies (prior to taking the oath of office), or
later acquires or has discovered a legal disability such that
he or she is no longer eligible to serve or to be seated in the
House or the Senate, then precedent and practice indicate that
a ``vacancy'' in that office would be established. Such a
vacancy would then be filled according to the United States
Constitution.
However, if a candidate dies prior to a general election
for the House or Senate, but because of the imminence of the
election the candidate's name remains on the ballot under State
election law procedures, and that deceased candidate then
receives the most votes in the election, should this be treated
as other than a ``vacancy'' in the office which will occur at
the beginning of the congressional session?
As expressly provided in the United States Constitution, at
Article I, Section 5, cl. 1, the House and the Senate each
``shall be the Judge of the Elections, Returns and
Qualifications of its own Members . . . .'' In judging
congressional elections, the overwhelming weight of precedent
in both the House and the Senate has been to follow the so-
called ``American Rule,'' whereby an absolute disability or
ineligibility of a candidate receiving the most votes in an
election (the ``majority candidate'') creates a ``vacancy'' in
the office, which is then filled according to the Constitution.
The next highest qualified vote-getter in such an election is
not deemed by the House or Senate to be entitled to the seat
under this ``American Rule'' (unlike under the so-called
``British Rule''), nor is the entire election considered a
``nullity'' (such that a new election or ``do-over'' must
proceed immediately).\2\ Under congressional precedent and
practice, it has not mattered whether the majority candidate
was actually ineligible or not qualified before or after the
time of the election, or whether the voters knew of such
ineligibility, death or disqualification before or at the time
of the election--the ``vacancy'' was deemed created, and filled
in the manner prescribed in the United States Constitution.
---------------------------------------------------------------------------
\2\ Riddick and Fruman, Riddick's Senate Procedure, Precedents and
Practice, S. Doc. No. 101-28, 101st Cong., 2d Sess. 701 (1992); 2
Deschler's Precedents of the U.S. House of Representatives, Ch. 7,
Sec. 9, at 96; see discussion of ``American Rule'' versus ``English
Rule,'' in Smith v. Brown (40th Cong.), Rowell's Digest of Contested
Election Cases, 220-221.
---------------------------------------------------------------------------
As to vacancies in the United States Senate, the
Seventeenth Amendment to the Constitution provides that when
there are vacancies in the representation of any State in the
Senate, the Governor of the State ``shall issue writs of
election to fill such vacancies''; however, in the alternative,
if expressly authorized by that State's legislature, Governors
may make ``temporary appointments'' to fill a Senate seat until
an election is held to fill the remainder of the term, as
directed by State law.\3\ In the case of vacancies in the House
of Representatives, the Constitution does not authorize the
Governor of a State to fill a seat on an interim basis, but
rather instructs only that ``Writs of Election'' for a special
election shall be issued by the Governor.\4\ The timing of the
election to fill vacancies for Representative or Delegate, and
thus how long the vacancy will continue, is generally within
the discretion of the individual States as a matter of State
law.\5\
---------------------------------------------------------------------------
\3\ United States Constitution, Amendment 17. ``A vacancy in the
Senate may be filled either by a writ of election or by state executive
appointment under the Seventeenth Amendment.'' Deschler's Precedents,
supra at Ch. 8, Sec. 9, at 250.
\4\ Article I, Section 2, cl. 4. For a general discussion on the
process of filling House and Senate vacancies, see Neale, ``House and
Senate Vacancies: How Are They Filled?'' CRS Report 97-1009.
\5\ 2 U.S.C. Sec. 8. See Jackson v. Ogilvie, 426 F.2d 1333 (8th
Cir. 1970), cert. denied, 400 U.S. 833 (1970), on mandatory duty of
Governor to issue writ of election.
---------------------------------------------------------------------------
On the several occasions of the death of a candidate for
the United States House of Representatives so close to the
election that a new candidate could not qualify in time to be
printed on the general election ballot under applicable State
election administration laws--and that deceased candidate
subsequently received the most votes in the election (or when
the majority candidate on the ballot was otherwise
constitutionally ineligible for the office)--the so-called
``American Rule'' was applied. That is, the receipt of the most
votes by the deceased or otherwise ineligible candidate on the
ballot was deemed to have created a vacancy in the office of
Representative, which was then filled as prescribed under the
United States Constitution for vacancies in House seats, that
is, through the issuance of ``writs of election'' for a special
election. Representatives Hale Boggs (Louisiana) and Nick
Begich (Alaska) were lost and presumed dead in an airplane
crash in Alaska on October 16, 1972, less than a month before
their general elections. Under State election procedures, their
names remained on the ballot, and they received the most votes
in their respective general elections, whereupon vacancies were
declared, and special elections to fill the vacancies were
held.\6\ The living candidate with the next highest vote total,
that is, the ``runner-up'' in the regular general election on
the ballot, or from write-ins (Representative Boggs was
unopposed), was not declared the winner. On October 7, 1962,
Representative Clement Miller of California died also in a
plane crash shortly before the 1962 general congressional
election. As reported, ``[u]nder California law, it was too
late for the Democratic party to place a new nominee on the
ballot for the November 6 election,'' and Representative
Miller's name remained on the ballot.\7\ When he received the
most votes, a ``vacancy'' was declared in the seat, and filled
according to the Constitution.
---------------------------------------------------------------------------
\6\ Washington Post, November 9, 1972, at A25; Washington Star,
December 7, 1972, at A16; Washington Post, December 8, 1972, at A7; New
York Times, December 13, 1972, at 48; 2 Deschler's Precedents, Ch. 8,
Sec. 9.5; Congressional Quarterly, Congress and the Nation, Volume III,
1969-1972, at 24. A ``vacancy'' is generally announced by the executive
of a State, as incident to the procedures for issuing writs of election
for a special election, but may, where appropriate, be formally
announced by the House with notification sent to the Governor.
Deschler's Precedents, supra at Ch. 8, Sec. 9.
\7\ 1962 Congressional Quarterly Almanac 25-26.
---------------------------------------------------------------------------
Similarly, in the one instance in the Senate when a
candidate who had qualified for the ballot as a major party
candidate for the Senate died prior to the time of the general
election, but after the time established by State law for
finalization of the ballot, and who then received the most
votes in the election, a ``vacancy'' in the office of United
States Senator was deemed to have occurred in that State, and
such vacancy was filled as prescribed in the United States
Constitution and State law, that is, by an interim appointment
by the Governor. Former Governor Mel Carnahan of Missouri, the
Democratic nominee for Senator, died in a plane crash on
October 16, 2000, three weeks before the general election.
Under Missouri election law, the names of deceased candidates
remain on the ballot if they die so close to the election that
the filing deadline, or the time for political parties to
submit substitute candidates, has passed.\8\ The Missouri
statute then states expressly what is understood as the so-
called ``American Rule,'' that is, ``if a sufficient number of
votes are cast for the deceased candidate to entitle the
candidate to . . . election had the candidate not died, a
vacancy shall exist . . . in the office to be filled in the
manner provided by law.'' \9\ The acting Missouri Governor had
indicated after the candidate's death that if the deceased
candidate received the most votes, the Governor intended to
appoint the candidate's wife, Jean Carnahan, to fill the
vacancy such election result would create.\10\ After the
Missouri Board of Canvassers certified that the deceased
candidate, Mr. Carnahan, had in fact received the most votes in
the election, the Governor formally announced on December 4,
2000, that he was appointing, effective January 3, 2001, the
deceased candidate's widow, Mrs. Jean Carnahan, to fill the
vacant seat until the next general election for the remainder
of the term.\11\ The credentials of the Governor's appointee,
Mrs. Carnahan, were accepted by the Senate, and she was given
the oath of office and seated without objection in the Senate
on January 3, 2001.\12\
---------------------------------------------------------------------------
\8\ Annotated Missouri Statutes, Sec. Sec. 115.379; 115.363, para.
3. A political party may submit a substitute party candidate for the
deceased candidate if the original nominee dies ``at or before 5:00
p.m. on the fourth Tuesday prior to the general election.''
Sec. 115.363, para. 3(1).
\9\ Annotated Missouri Statutes, Sec. 115.379, para. 1.
\10\ See Washington Post, October 31, 2000, at A1.
\11\ Washington Post, December 6, 2000, at A6. See Annotated
Missouri Statutes, Sec. 105.040.
\12\ Congressional Record, January 3, 2001, at S 3 (daily edition),
credentials accepted; Id. at S 5 (daily edition), oath of office given
and Member-elect seated without objection.
---------------------------------------------------------------------------
B. ISSUES RAISED CONCERNING DECEASED CANDIDATE ON THE BALLOT, AND SUCH
CANDIDATE RECEIVING THE MOST VOTES
During the most recent case of the 2000 Senate race in
Missouri, there were arguments raised in certain quarters that
it was in some way unconstitutional for the State to allow the
name of a deceased candidate to remain on the ballot for United
States Senator, regardless of the timing of the candidate's
demise in relation to the election; and that because the
deceased candidate on the ballot could not actually hold the
office of United States Senator (being deceased, he was not an
``inhabitant'' of the State as required by Article I, Section
3, cl. 3), that either the election in which the deceased
candidate received the most votes should be ignored or set
aside and a new election held immediately, or that the minority
candidate, as being the qualified candidate who received the
most votes, should win.\13\
---------------------------------------------------------------------------
\13\ Brooks Jackson/CNN, ``Republicans Could Block Carnahan's Widow
if She Wins Senate Seat,'' October 31, 2000 (CNN.Com); Robert Novack,
Chicago Sun-Times, October 30, 2000, at 33: ``[A] national GOP leader
told me flatly: `Jean Carnahan will never be seated in the U.S. Senate'
''; Kevin Murphy, Kansas City Star, ``GOP Denies Plan to Challenge a
Carnahan Election,'' November 01, 2000; David Thibault, CNSNews.com,
``Constitution Party Will Challenge Carnahan Election in Missouri,''
November 9, 2000.
---------------------------------------------------------------------------
These arguments, in the first instance, would appear to
call into question the viability and constitutionality of a
State's authority to set a specific deadline for finalizing the
ballot, that is, a certain time or date prior to the day of an
election, after which the ballot for that election could not be
changed to add, remove or substitute the names of candidates.
Secondly, these arguments would appear to press the so-called
``British Rule'' upon the Senate in judging the elections and
qualifications of its Members, whereby the will of the
plurality or majority of the voters of the State would be
disregarded either by acting as if the election did not occur,
or by not counting the votes cast for the deceased or otherwise
ineligible candidate and seating the minority candidate.
Finally, certain arguments were forwarded that even if it
had not been improper to allow the deceased candidate's name to
remain on the ballot when the death of the candidate occurred
in such proximity to the election, the State should not be
allowed to treat as a ``prospective vacancy'' the death of the
candidate who remains on the ballot. Under such argument, if
the deceased candidate received the most votes, the Governor
would not be able to make a temporary appointment to fill the
``vacant'' seat under the Seventeenth Amendment, even if
expressly authorized under the laws of the State as
specifically provided for in the Seventeenth Amendment, but
rather could only issue writs of election for a special
election to fill vacancies in the office of United States
Senator which occur by virtue of the election of a disqualified
candidate.\14\
---------------------------------------------------------------------------
\14\ Viet D. Dinh, ``Dead Men Can't Win,'' The Wall Street Journal,
November 9, 2000, at A26.
---------------------------------------------------------------------------
C. STATE AUTHORITY OVER ELECTION PROCEDURES, ADMINISTRATION
As to a State's authority to establish a deadline where the
ballot is ``fixed'' such that no new or substitute candidates
could be added immediately prior to an election, it should be
noted initially that a division of jurisdiction under our
federal system occurs in the case of elections to federal
office. In the first instance, the terms of federal offices and
the qualifications of candidates eligible for federal offices
are established and fixed by the agreement of the States within
the instrument which created those federal offices, that is,
the United States Constitution, and are unalterable by the
Congress or by any State unilaterally.\15\ The Constitution
expressly provides, however, that the individual States
generally have the authority to administer elections, even ones
for federal congressional office,\16\ while at the same time
expressly providing that each House of Congress has the
authority to be the final judge of the results of those
elections.\17\ Furthermore, the Constitution expressly provides
that each House of Congress is to be the judge of the three
constitutional qualifications for office of the Members-elect
in those elections, that is, the age, citizenship and
inhabitancy in the State of the Members-elect.
---------------------------------------------------------------------------
\15\ Powell v. McCormack, 395 U.S. 486 (1969); U.S. Term Limits,
Inc. v. Thornton, 514 U.S. 779 (1995); Cook v. Gralike, 531 U.S. 510
(2001).
\16\ Article I, Section 4, cl. 1: ``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
chusing Senators.''
\17\ Article I, Section 5, cl. 1: ``Each House shall be the Judge
of the Elections, Returns and Qualifications of its own Members. . .
.''
---------------------------------------------------------------------------
Under the States' ``Times, Places and Manner'' authority in
the Constitution, the States may promulgate regulatory and
administrative provisions over the mechanics and procedures
even for federal elections within their States regarding such
things as forms of the ballots, ``ballot access'' by candidates
(including new party or independent candidates), voting
procedures, and the nominating and electoral process generally,
to prevent election fraud, voter confusion, ballot
overcrowding, the proliferation of frivolous candidates, and to
facilitate proper election administration.\18\ Legitimate
``ballot access'' procedures, including filing requirements,
filing deadlines, a show of qualifying support by new or minor
party or independent candidates, ``sore loser'' laws and other
restrictions on cross-filing, are generally within the State's
purview to ``regulate[ ] election procedures'' to serve the
State interest of ``protecting the integrity and regularity of
the election process. . . .,'' and are not impermissible
additional qualifications for federal office.\19\
---------------------------------------------------------------------------
\18\ Storer v. Brown, 415 U.S. 724 (1974); Jenness v. Fortson, 403
U.S. 431 (1971); Bullock v. Carter, 405 U.S. 134, 145 (1972); Williams
v. Tucker, 382 F. Supp. 381, 387-388 (M.D.Pa. 1974). Requirements for
``ballot access,'' in addition to the requirement that they impose no
substantive, new qualifications to federal office, must not violate
equal protection provisions of the Constitution by impermissibly
discriminating against new or independent candidates, nor impermissibly
infringe upon First Amendment rights of voters to associate freely and
express their political opinions through support of their chosen
candidates.
\19\ See U.S. Term Limits, Inc. v. Thornton, 514 U.S. 779, 832-835
(1995), comparing legitimate ``ballot access'' provisions as in Storer
v. Brown, supra, with impermissible additional qualifications for
federal office, such as individual State-imposed term limits.
---------------------------------------------------------------------------
As part of these administrative duties involving ballot
access, preparation and printing of the ballots, a State must
by necessity, because of the exigencies of time and duties,
limit or establish a time-frame or deadline by which the ballot
must be ``set'' or finalized, that is, a reasonable time before
the general or primary election when no more candidates may be
placed on the ballot or programmed into the voting machines.
Courts have noted that States have a ``compelling interest'' in
setting deadlines and in finalizing the ballot ``so that
general election ballots can be properly and timely prepared
and distributed.'' \20\ One of the consequences of not having a
``set'' ballot at some reasonable point prior to an election
(and of allowing last-minute changes in the candidates on the
printed ballot and on voting machines), would be the
disenfranchisement of military and other absentee voters, since
such last-minute changes would not allow sufficient time before
election day to prepare, print, mail out and then to receive
back by mail new absentee ballots with such changes.
---------------------------------------------------------------------------
\20\ Whig Party of Alabama v. Siegelman, 500 F. Supp. 1195, 1205
(D.C. Ala. 1980). These deadlines may not be unreasonable and
discriminate unfairly in favor of major party candidates over minor or
new parties or independent candidates.
---------------------------------------------------------------------------
As found by one federal court, with an election a ``mere
five weeks away'' even if plaintiffs had prevailed on the
merits of their arguments against their exclusion from the
ballot, the court would have still refused to require the State
to change its ballots by including petitioners' names, since
the court recognized the overriding administrative necessities
of deadlines to insure ``time available for election officials
to complete their election preparations'' before the
election.\21\ The court noted the ``risk [of] substantial
disruption of the electoral process'' that could ensue by
changing a ballot after the State-established administrative
deadline for finalization of those ballots, and noted the
``tight schedule'' of election officials, and the myriad duties
and responsibilities that are valid administrative reasons for
reasonable deadlines for finalizing ballots:
---------------------------------------------------------------------------
\21\ Maddox v. Wrightson, 421 F. Supp. 1249, 1252 (D.C. Del. 1976).
Last minute voter registration, processing of many
absentee ballot requests, supervising the printing of
voting machine ballots, sample ballots, tally sheets,
and instruction sheets, instruction classes for
election judges and clerks [footnote: mailing of
absentee ballots and classes for election judges and
clerks have already begun], final preparation of voter
lists and signature cards, and distribution of voting
machines and supplies remain to be accomplished before
[the] November [election].\22\
---------------------------------------------------------------------------
\22\ Id. at 1252.
Courts have thus been loathe to require or allow parties to
force changes to ballots close to an election, that is, at the
``eleventh hour,'' with an election ``close at hand,'' or with
``the imminence of election,'' because of ``the potential for
seriously disrupting the State's electoral process.'' \23\ With
an election ``less than three weeks away,'' a federal court
refused to require the changing of a ballot to add petitioners'
names, even on a strong First Amendment showing by petitioners,
since ``much of the ballot and voting machine preparation'' had
already taken place, and there needed to be a balancing and a
proper weight given to the State's needs and interests in an
``orderly'' election, including the prevention of the
``possible disenfranchisement of absentee and military voters
caused by eleventh hour changes to the ballot.'' \24\ Justice
Marshall, on circuit, turned down on October 1 a request to
order names to be printed on a ballot for an upcoming November
election citing, among other reasons, the State's concern for
the potential ``chaotic and disruptive effect upon the
electoral process,'' since the ``Presidential and overseas
ballots have already been printed; some have been distributed.
The general absentee ballots are currently being printed.''
\25\
---------------------------------------------------------------------------
\23\ NAACP v. New York, 413 U.S. 345, 369 (1973); Valenti v.
Mitchell, 962 F.2d 288 (3rd Cir. 1992); Smith v. Board of
Elections, 586 F. Supp. 309, 312 (N.D. Ill. 1984).
\24\ Valenti v. Mitchell, supra at 301.
\25\ Fishman v. Schaffer, 429 U.S. 1325, 1330 (1976). The State
election procedure in question provided a filing deadline for petitions
of nine weeks before an election.
---------------------------------------------------------------------------
The length of time before the election of a deadline which
fixes the ballot, in relation to the administrative tasks that
must be accomplished during that time, is generally relevant in
judging the reasonableness and necessity of such deadline. The
courts have noted that overly long deadlines for the filing of
petitions by candidates, such as March or April deadlines for a
November election, may not be of such a necessity as to
overcome Fourteenth Amendment and First Amendment complaints of
unfair treatment of supporters of those candidates who must
file petitions to gain ballot access (as opposed to nominated
party candidates who had much later deadlines).\26\ In the
context of a deceased candidate, it is conceivable or at least
arguable, that an issue of this nature could arise, for
example, if a deceased Senatorial candidate whose name remains
on the ballot is of a different political party from that of
the Governor of the State, and if there is an unusually long
period of time before the general election when the ballot is
``fixed'' by State law. In such a situation voters affiliated
with the deceased candidate's party might argue that they have
no choice on the ballot to select someone of their own
political persuasion for Senator, at least for the
``temporary'' period before the next election to fill the term.
That is, just as a vote for the other candidate on the ballot
is a vote for someone from the other party, a vote for the
deceased candidate of their own party may also be choosing
someone from the other party, since the Governor would most
likely appoint someone from his own political party to fill the
``vacancy.'' There may in such cases be a need to balance the
constitutional rights and interests of voters and supporters of
the political party of the deceased candidate,\27\ with the
right of the State to finalize its ballot for administrative
purposes and the reasonableness and necessity of those time
deadlines to perform such administrative duties as printing and
distribution of ballots, including absentee and overseas
ballots, preparing and programing voting machines, preparing
voter instructions and sample ballots, and training of poll
workers and officials.\28\
---------------------------------------------------------------------------
\26\ Anderson v. Celebrezze, 460 U.S. 780 (1983) (Ohio filing
deadline in March for independent candidates not justified by State
administrative need for so much time to verify petition signatures);
New Alliance Party of Alabama v. Hand, 933 F.2d 1568, 1574
(11th Cir. 1991) (April deadline for new and minor party
candidates not justified as ``. . . evidence tends to show that the
State would be able to place the name of a candidate on the ballot at a
fairly late date without unduly impairing the administrative task of
printing the ballot . . . .''); McCarthy v. Kirkpatrick, 420 F. Supp.
366, 374 (W.D. Mo. 1976), deadline of 188 days before election for
independent candidates to file petitions was too long, as State of
Missouri could conceivably add or take names off ballot as late as
September for a November election; McCarthy v. Austin, 423 F. Supp.
990, 999 (W.D. Mich. 1976), ordering the placement of a name on the
ballot on August 27 would not ``seriously disrupt [State] preparations
for the general election'' in November.
\27\ Note, e.g., arguments of supporters of minor party candidates
left off ballot in Williams v. Rhodes, 393 U.S. 23 (1968).
\28\ Such constitutional considerations were not present in the
case of the 2000 Missouri Senate race, however, as the Governor was of
the same political party as the deceased candidate and indicated that
he would appoint a member of that party (the candidate's spouse) if the
deceased candidate received the most votes.
---------------------------------------------------------------------------
In sum, there has been found no legal or constitutional
problem with a State ``finalizing'' its ballot and refusing to
add, substitute or withdraw names from the ballot within a
``reasonable'' time-frame in proximity to an election. Such
ballot deadlines are not only common in the States, but are
seen as absolute administrative necessities for fairness and
orderly elections, and for the prevention of disenfranchisement
of military and other absentee voters, all of which the courts
have recognized as compelling State interests. Unfortunately,
it is therefore not unprecedented nor uncommon for a candidate
to die in such proximity to an election that the ballots have
already been finalized, and to have that deceased candidate's
name remain on the ballot for the election. Under the majority
``American Rule,'' recognized and followed by both the House
and the Senate for judging the elections of their Members, as
well as most of the States for their own non-federal
offices,\29\ votes for the deceased candidate are not illegal,
improper, ``thrown away,'' or otherwise deemed to be nullities,
nor is the election considered a non-event, but rather, if the
deceased candidate receives the most votes, such expression is
considered indicative that the majority or plurality of the
voters favored the creation of a temporary ``vacancy'' in the
office, to be filled according to the Constitution and the laws
of the State.
---------------------------------------------------------------------------
\29\ 133 ALR 319, 321, ``Deceased or disqualified person, result of
election as affected by votes cast for''; see, e.g., Evans v. State
Election Board, 804 P.2d 1125 (Okla. 1990), citing, among other
supporting cases: Petition of Keogh-Dwyer, 256 A.2d 314, 318 (N.J.
1969); Jackson v. County Court, 166 S.E.2d 554 (W.Va. 1969); Saunders
v. Haynes, 13 Ca. 145 (1859); Derringe v. Donovan, 162 A. 439, 441 (Pa.
1932); Ingersoll v. Lamb, 333 P.2d 982 (Nev. 1959); Tellez v. Superior
Court, 450 P.2d 106 (Ariz. 1969); Banks v. Zippert, 470 So.2d 1147
(Ala. 1985).
---------------------------------------------------------------------------
The issue, in an imminent federal election, concerning the
remaining on the ballot of the name of a deceased candidate is
clearly not whether the candidate who has died is, or is not
now, ``qualified'' to ``be a Senator'' under Article I, Section
3, clause 3, or a Representative under Article I, Section 2,
clause 2 of the United States Constitution. Obviously, the
deceased candidate could not and will not serve in or hold the
office to which he or she had aspired while alive; nor has it
ever been suggested that a State intended to issue
``credentials'' to the deceased candidate from the State to
present the issue of ``qualifications'' to the House or Senate
in an effort to seat the deceased candidate. As far as the
State's participation in the process is concerned, however, the
candidate was qualified (as certified) when placed on the
ballot, no timely contests were filed to challenge the
candidate's qualifications and ballot access at that time, and
the deadline established by State law for finalizing the
ballots or for substituting candidates on the ballot by
political parties had passed. In this context, the issue of
``qualifications'' for a candidate receiving the most votes in
a congressional election would arise at the time a Member-
elect, with credentials from the State (as a result of either a
special election or an interim appointment in the case of a
Senator-elect), presents himself or herself to the House or to
the Senate for being sworn in and seated to fill the vacancy
created by the death of the original majority candidate in the
general election.\30\
---------------------------------------------------------------------------
\30\ ``[E]lection does not, of itself, constitute membership. . .
.'' Deschler's Precedents, supra at Ch. 9, Sec. 47, p. 481. ``. . .
Neither do election and return create membership. . . . [A] person may
be selected by the people, destitute of certain qualifications, without
which he cannot be admitted to a seat.'' Deschler's Precedents, id.,
citing Hammond v. Herrick, 1 Hinds' Precedents Sec. 499.
---------------------------------------------------------------------------
D. SENATE AND HOUSE DECISIONS ON ``QUALIFICATIONS''
As noted, while the States administer federal elections,
including such administrative, housekeeping, and procedural
matters as ballot access and placement on the ballot, the
question of the qualifications of a candidate for the United
States Congress is decided, in the first instance exclusively
as provided for in the United States Constitution, and then, as
to whether a person has met such constitutional qualifications,
by each House of Congress judging the elections, returns and
qualifications of its own Members.\31\ Although there had been
in the history of our country some debate over the nature of
the authority of Congress to judge general ``qualifications''
and/or suitability of a Member-elect for office, the extent of
the authority to exclude a Member-elect by majority vote based
on the Member-elect's ``qualifications,'' was expressly and
narrowly delineated by the Supreme Court in 1969 in Powell v.
McCormack.\32\ The Supreme Court in that case clearly stated
that ``in judging the qualifications of its members Congress is
limited to the standing qualifications prescribed in the
Constitution,'' \33\ that is, the Member-elect's age,
citizenship, and inhabitancy in the State from where
elected.\34\ The Court noted that the House is ``without
authority to exclude any person, duly elected by his
constituents, who meets all the requirements for membership
expressly prescribed in the Constitution.'' \35\
---------------------------------------------------------------------------
\31\ Constitution, Article I, Section 5, cl. 1
\32\ 395 U.S. 486 (1969).
\33\ Id. at 550.
\34\ Article I, Section 2, clause 2 (Representatives); Article I,
Section 3, clause 3 (Senators).
\35\ Powell v. McCormack, supra at 522.
---------------------------------------------------------------------------
Modern decisions in the House or Senate on determining
``qualifications'' are fairly rare, in part because of the
clarification by the Supreme Court in Powell v. McCormack
delineating Congress' authority in judging qualifications to
judge only the three express constitutional ``qualifications''
for office,\36\ and because modern communications and media
coverage make it more likely that an actual disqualifying
condition (such as a candidate's age or lack of citizenship)
would be revealed before nominations by a major political party
are made. It should be noted that an appointment by the
Governor of California under the Seventeenth Amendment and the
laws of California was challenged in 1964 on the basis of
``qualifications'' of the appointee, Pierre Salinger. Under the
laws of the State of California one needed to be a ``qualified
elector'' to be a candidate for United States Senate, which
would have required one to have resided in the State for a
particular amount of time. Some Senators argued that Salinger
was not qualified to be chosen to fill the unexpired term of a
Senator from California because, under the laws of the State of
California, he had not resided in California long enough to
meet the State's qualifications of being an ``elector,'' as
required by State law for candidacy.\37\ The Senate found, in
accordance with the findings of the Privileges and Elections
Subcommittee of the Committee on Rules, however, that such a
State law would have force and effect only as to State and
local offices, and could not disqualify one from being chosen
as a United States Senator. State provisions cannot bind the
Senate in determining the constitutional qualifications for
office of those presenting credentials for seating, nor can
State law add a ``durational'' residency requirement to the
inhabitancy qualification for Senator set out in the United
States Constitution--that is, to be an ``inhabitant'' of the
State ``when elected.'' \38\
---------------------------------------------------------------------------
\36\ The precedents of both the House and Senate pre-dating 1969,
where a Member-elect's ``character'' or pre-election ``conduct'' was
examined in judging ``qualifications'' to office, are thus of limited
relevance to modern congressional practice and constitutional
interpretation. Deschler's Precedents, supra at Ch. 7, Sec. 9, at 98.
\37\ See discussion in election case of Pierre E.G. Salinger, Case
134, United States Senate Election, Expulsion, and Censure Cases, 1793-
1990, Senate Doc. 103-33, at 413 (1995); S. Rpt. 1381, 88th Cong., 2d
Sess. (1964).
\38\ S. Rpt. 1381, supra at 4-6.
---------------------------------------------------------------------------
In the Senate, there has since the adoption of the
Seventeenth Amendment been one other case (in addition to the
2000 Missouri election) in which an ineligible candidate was on
the ballot, and then received the most votes in the election.
In that instance, the Senate candidate receiving the most votes
was not yet eligible to serve in the Senate at the time he was
on the ballot for the general election, nor at the time of the
beginning of the new congressional session, because he was only
29 years of age. The Senate found that since the issue of
``qualifications'' arises when the candidate or Member-elect
presents his credentials to the Senate for seating, the Senate
could and did allow the candidate/Member-elect to delay
presenting his credentials until the time he was 30 years old,
and thus qualified.\39\ The precedents in the House similarly
indicate that the issue of qualifications would arise at the
time a Member-elect presents his or her credentials for
seating, generally at the commencement of the session, and that
the Member-elect would have to meet the ``age'' and
``citizenship'' requirements at that time (but must meet the
``inhabitancy'' requirement at the time of the election, that
is, ``when elected''). The House has in the past also allowed a
Member-elect to defer taking the oath of office until the
beginning of the second session of the Congress (even though
Congress was called into session earlier by a Presidential
proclamation), at which time the Member-elect had met the
seven-year citizenship requirement, notwithstanding the fact
that he was ``ineligible,'' that is, he was not a citizen for
seven years at the time he was on the ballot and elected in the
November congressional election, nor at the beginning of the
first session of the new Congress.\40\ The House earlier, in
1859, had apparently also allowed a Member-elect, Mr. John Y.
Brown of Kentucky, to defer taking the oath of office beyond
the opening of the Congress, until the beginning of the next
session in December of 1860, at which time Mr. Brown met the
constitutional age requirement.\41\
---------------------------------------------------------------------------
\39\ Hatfield v. Holt, Case No. 119, Election, Expulsion and
Censure Cases, supra at 360.
\40\ In re Ellenbogen (1934), Deschler's Precedents, supra at Ch.
9, Sec. 47, pp. 479-482.
\41\ 1 Hinds' Precedents of the House of Representatives Sec. 418,
pp. 389-390.
---------------------------------------------------------------------------
E. JUDGING ELECTIONS IN CONGRESS AND THE ``AMERICAN RULE''
As expressly provided in the Constitution, the House or the
Senate as an institution, in addition to judging
``qualifications'' of its Members, is empowered to examine the
``elections'' and ``returns'' of its own Members beyond a
limited examination of a Member-elect's three constitutional
``qualifications.'' That is, as stated by the Supreme Court,
each House may inquire and judge as to whether a member-elect
was ``duly elected by his constituents.'' \42\ The Supreme
Court in Roudebush v. Hartke, affirmed the Senate's authority
to be the final judge of the elections and returns of its own
Members, and expressly recognized the constitutional authority
for ``an independent evaluation by the Senate'' of an election
and the election returns for the United States Senate: ``The
Senate is free to accept or reject the apparent winner in
either count [original or recount], and, if it chooses, to
conduct its own recount.'' \43\
---------------------------------------------------------------------------
\42\ Powell v. McCormack, supra at 522.
\43\ 405 U.S. 15, 25-26 (1972). See also Barry v. United States ex
rel. Cunningham, 279 U.S. 597, 614, (1929), concerning the
``jurisdiction of the Senate to determine the rightfulness of the claim
[to a Senate seat] . . . and its power to adjudicate such right. . .
.''
---------------------------------------------------------------------------
Given the express textual commitment within the
Constitution to each House of Congress to be the judge of its
own Members' elections, the congressional precedent and
practice in this area, although not technically binding on a
future Congress, is of primary importance.\44\ Furthermore,
given this express textual commitment within the Constitution,
it is not surprising that there is no apparent judicial
authority on the question of whether Congress should seat the
next-highest vote-getter when the majority candidate is
ineligible, dead, or otherwise disqualified, or declare the
election a ``non-event'' and require an immediate ``do-over,''
since it is not at all clear that the federal courts, absent
any apparent violation of another express constitutional
provision, would have entertained challenges to review
congressional determinations on the elections of their own
Members.\45\
---------------------------------------------------------------------------
\44\ Brown, House Practice, ``Rules and Precedents of the House,''
Sec. 2, at p. 809: ``On the theory that a government of laws is
preferable to a government of men, the House has repeatedly recognized
the importance of following its precedents and obeying its well-
established procedural rules.''
\45\ ``The Senate [has the] sole authority under the Constitution
to judge of the elections, returns and qualifications of its members .
. .'' and ``to render a judgment which is beyond the authority of any
other tribunal to review.'' Barry v. Cunningham, 279 U.S. 587, 613, 619
(1929); Reed v. County Commissioners, 277 U.S. 376, 388 (1928); Keogh
v. Horner, 8 F. Supp. 933, 935 (S.D. Ill. 1934). See also, generally,
Baker v. Carr, 369 U.S. 186, 210 (1962), as to ``nonjusticiability'' of
a political question under the separation of powers doctrine where
there is ``found a textually demonstrable constitutional commitment of
the issue to a coordinate political department. . . .''
---------------------------------------------------------------------------
The practice and experience in both the House and the
Senate on elections of ``ineligible'' candidates is clear, and
is remarkably consistent given the great potential for partisan
division on this issue when it arises with respect to a
particular Member-elect. The overwhelming weight of authority
in both the Senate and the House, as well as the express
statements of official Senate and House procedural and
parliamentary guides, clearly indicate that the ineligibility
of the majority candidate in a congressional election, whether
because of death, disability or other incapacity before or
after the election, gives no title or right to the office to
the runner-up candidate, but rather merely creates a
``vacancy'' in the office from that State.\46\ This has been
the case whether or not the law of the particular State in
which the election was held would have, under express State law
or practice, given the election to the runner-up. In the
Indiana election case of Lowery v. White in the Fiftieth
Congress, notwithstanding the fact that Indiana law at that
time followed the minority ``English Rule'' and would have
awarded the election to the runner-up if the majority candidate
was ineligible, the majority of the Committee on Elections
found that the clear and long line of congressional precedent
follows the so-called ``American Rule,'' and that despite the
State law the runner-up is not entitled to a congressional seat
upon the disqualification of the majority candidate.\47\
---------------------------------------------------------------------------
\46\ Riddick's Senate Procedure, Precedents and Practices, supra at
701; Deschler's Precedents, supra at Ch. 7, Sec. 9, p. 96. For the
opposite and minority conclusion in the House of Representatives, see
Lawson v. Owen, H.R. Rpt. No. 968, 71st Cong., 2d Sess. (1930),
Deschlers' Precedents, supra at Ch. 9, App., pp. 862-863. The
recognition of the so-called ``British Rule'' by the majority of the
Committee on Elections was not, however, dispositive nor relevant to
the final decision of the Committee, nor expressly approved by the
House in this case, as the majority candidate was found to possess the
requisite citizenship qualifications and was seated.
\47\ Rowell's Digest, supra at 426-427; 1 Hinds' Precedents, supra
at Sec. 424, p. 403: ``The universal weight of authority in the United
States in both branches of the Congress thereof render an extended
discussion of this point quite unnecessary.'' The House did not need to
rule on or confirm the majority opinion of the Committee, as the House
found that the majority candidate was qualified, seating the Member-
elect and dismissing the contest.
---------------------------------------------------------------------------
As early as 1868 the House had under its consideration a
challenge to a ``vacancy'' where the contesting candidate
claimed a seat by virtue of the fact that the winning candidate
on the ballot in the original election had been
constitutionally disqualified because he was not an
``inhabitant'' of the State. The House explained that the
constitutional disqualification of the candidate on the ballot
because of a lack of ``inhabitancy'' in the State was
immaterial to the challenger's claim to the seat, since the
disqualification of the majority candidate on the ballot for
lack of inhabitancy would merely create a ``vacancy'' in the
office, and would not elect the minority or second place vote-
getter:
Contestant further contended that Mr. Mann was not at
the time of his election an inhabitant of the State,
and was therefore ineligible. . . . [T]he committee
held that it was immaterial whether he was ineligible
or not, as under the principles already settled by the
decisions of other cases the ineligibility of the
majority candidate would give no title to the minority
candidate. The committee were therefore unanimous in
the opinion that Mr. Jones was not elected, and that
the death of Mr. Mann had caused a vacancy.\48\
---------------------------------------------------------------------------
\48\ Jones v. Mann, Rowell's Digest, supra at 226, 1 Hinds'
Precedents, supra at Sec. 326.
In the Senate, it is plainly noted in the Senate's
procedural treatise that: ``In election cases the ineligibility
of a majority candidate, for a seat in the Congress gives no
title to the candidate receiving the next highest number of
votes.'' \49\ Senate precedents, citing similar rulings in the
House of Representatives, have stated the ``well-established
Senate rule that the ineligibility of the winning candidate
gives no title to the candidate receiving the next highest
number of votes.'' \50\ In the Senate election case of Henry D.
Hatfield v. Rush D. Holt, where the candidate on the ballot who
had been elected by the people was only twenty-nine years old,
``the Senate . . . reaffirmed that even if a winning candidate
was ruled ineligible, the runner-up in the election would not
be declared elected.'' \51\ The Committee on Privileges and
Elections in the 74th Congress explained as follows:
---------------------------------------------------------------------------
\49\ Riddick's Senate Procedure, Precedents and Practices, supra at
701.
\50\ Senate Election, Expulsion and Censure Cases, supra at 360,
Case No. 119.
\51\ Id. at 361.
Also, that the said Henry D. Hatfield, by virtue of his
having received the next highest number of eligible
votes for United States Senator in the general election
held in and for the State of West Virginia in November
1934, is not the duly elected Senator from the State of
West Virginia. The rule is well settled that in
election cases the ineligibility of a majority
candidate for a seat in the Congress gives no title to
the minority candidate or to the candidate receiving
the next highest numbers of votes. See Jones v. Mann
(40th Cong.); Rowell's Digest 220, 2 Bartlett 475;
Cannon v. Campbell (47th Cong.), Rowell's Digest
391.\52\
---------------------------------------------------------------------------
\52\ S. Rpt. No. 904, 74th Cong., 1st Sess. 3 (1935). See also
Bayley v. Barbour, 1 Hinds' Precedents, supra at Sec. 435, p. 422:
``The Elections Committee held that a contestant could have no claim to
a seat declared vacant because of the constitutional disqualifications
of the sitting Member.''
It should be noted that one early authority on parliaments
and legislative assemblies, Luther Stearns Cushing, had
suggested that, although it would be a ``harsh'' result, votes
cast for a candidate whom the electors knew to be disqualified
should be considered ``thrown away'' and ``the opposing
candidate elected.'' \53\ In the early election case of Smith
v. Brown (1861) in the House, however, Cushing's opinion, based
on English parliamentary practice and called the ``English
Rule,'' was criticized and expressly rejected in favor of the
``American Rule'' of representative democracy. As explained in
Rowell's Digest, the committee in that case found:
---------------------------------------------------------------------------
\53\ Cushing, Elements of the Law and Practice of Legislative
Assemblies, at 67 (Boston 1856).
But the English rule had never been applied in this
country and was hostile to the genius of our
institutions. Mr. Cushing, in stating the English
parliamentary rule, states that in his opinion the same
rule applies in this country, but he gives no case to
sustain his statement, which is the best of evidence
that there are none. There had been numerous cases in
the House and Senate where members were deprived of
their seats because of ineligibility, but in no case
had it ever been claimed that any title was thereby
given to the minority candidate.\54\
---------------------------------------------------------------------------
\54\ Smith v. Brown, Rowell's Digest, supra 220-221.
The so-called ``American Rule'' is based on principles of
representative democracy, that in such a system the overriding
issue in an election contest in the House or Senate is to
attempt to effectuate the will of the majority (or plurality)
of the voters of that State or district, usually in determining
who was ``actually elected'' or ``duly elected'' by the people
to represent them, that is, who has received the most
votes.\55\ Under these principles, one who has, in fact, lost
an election, that is, has received fewer votes than someone
else on the ballot, is therefore not seated by the legislature
in contravention of the choice of the people of the State or
district upon a finding by the legislature of an ineligibility
and disqualification of the actual winner of the election.
When, under the American Rule, a majority or plurality of
voters vote for a candidate widely known to be ineligible (such
as in the case of a candidate who dies shortly before the
election but whose name remains on the ballot), it is assumed
that the will of the majority or plurality of voters was to
choose a ``vacancy.'' In the case of Senate races, if the
Governor has already indicated the person whom he will appoint
to fill the vacancy should the deceased candidate receive the
most votes, then the will of the electorate, in giving the most
votes to the deceased candidate, would arguably have been
expressed in favor of that proposed appointee over the other
candidates on the ballot. In one case in the Senate concerning
an ``anticipatory appointment,'' where there arose an issue as
to which Governor (the outgoing or incoming) had the authority
to appoint an interim Senator to the vacancy created by the in-
coming Governor who was giving up his Senate seat to be
Governor, the Senate precedent indicates that the decision was
made, in part, on a recognition that ``the voters had known
when they elected Matthew Neely governor that he intended to
name his Senate successor, since he made his plan clear during
the campaign.'' \56\
---------------------------------------------------------------------------
\55\ Justice Joseph Story, Commentaries on the Constitution of the
United States, Volume I, Sec. 833, p. 585 (1873); Tucker and Tucker,
The Constitution of the United States, A Critical Discussion of Its
Genesis, Development and Interpretation, Vol. I, at pp. 426-427 (1899):
``The power of election is vested . . . in the constituency,''and it is
left to each House finally to determine who the constituency has ``duly
elected.'' See also Powell v. McCormack, supra at 522; Roudebush v.
Hartke, 405 U.S. 15 (1972).
\56\ Martin v. Rosier, Senate Election, Expulsion and Censure
Cases, supra at 373, Case 124.
---------------------------------------------------------------------------
F. SEVENTEENTH AMENDMENT
It was argued during the 2000 Senate race in Missouri that
the Seventeenth Amendment, adopted principally to provide for
popular election of United States Senators, should limit a
Governor's authority (and the authority of the State
legislatures in empowering the Governor) to require a Governor
to issue only ``writs of election'' for a special election when
there is a vacancy which has been created by the election of a
candidate known to be disqualified or ineligible at the time of
the election, rather than making a ``temporary appointment'' to
fill such vacancy until a later scheduled election.\57\
Although there are some interesting policy arguments concerning
such proposed limitations on State Governors' authority to make
``temporary appointments'' in these circumstances, particularly
where the Governor is of the same major political party as the
surviving candidate,\58\ there is nothing on the face of the
language of the Seventeenth Amendment, its enactment history,
nor any judicial interpretations or congressional precedents
which support such a restrictive construction of State
authority under the Amendment.
---------------------------------------------------------------------------
\57\ Viet D. Dinh, ``Dead Men Can't Win,'' The Wall Street Journal,
November 9, 2000, at A26.
\58\ Some States require the Governor to select someone from the
same political party as the deceased Member to fill a vacancy, but such
additional requirement might prove difficult to enforce in court, as it
may be seen as a qualification for the Senate additional to those
established in the Constitution.
---------------------------------------------------------------------------
The language of the vacancy clause of the Seventeenth
Amendment clearly provides no distinctions as to when or how
the ``vacancy'' in the office has been created:
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.
The text and the actual language of the Amendment clearly
show, therefore, that there is no express restriction on a
State legislature's or Governor's authority which is dependent
or based upon any distinctions in the nature or the timing of
how or when the Senate vacancy occurs. Rather, the language of
the Amendment appears to provide on its face two alternate ways
for a State to fill any vacancy in the State's representation
in the Senate: either the executive of the State shall issue
writs of election for a special election to fill the vacancy,
or, if expressly authorized by the legislature of the State,
the Governor may make a ``temporary appointment'' to fill the
vacancy until the people select a replacement for the remainder
of the term in a future election as the State ``legislature may
direct.'' As noted in dicta by the Supreme Court, ``the
Seventeenth Amendment permits a state, if it chooses, to forgo
a special election in favor of a temporary appointment to the
United States Senate. . . .'' \59\ In practice, most of the
States provide for a temporary appointment by the Governor
until the next regularly scheduled biennial congressional
election, but a State might also provide for a more immediate
``special election'' and authorize an appointment by the
Governor until the time of such election.\60\
---------------------------------------------------------------------------
\59\ Rodriquez v. Popular Democratic Party, 457 U.S. 1, 11 (1982).
\60\ For a general discussion of experiences of States in filling
Senate vacancies, see Alan L. Clem, ``Popular Representation and Senate
Vacancies,'' 10 Midwest Journal of Political Science, 52-77 (Feb.
1966); for recent compilation of State provisions, see S. Doc. 106-14,
106th Cong., 2d Sess., Senate Election Law Guidebook 2000 (1999).
---------------------------------------------------------------------------
Generally speaking, in provisions such as the Seventeenth
Amendment, the ``plain meaning'' of the text and the words of
the provision should be employed in discerning its import and
intent, unless there is some clear and express countervailing
enactment history.\61\ Furthermore, under long-established
principles of constitutional interpretation, meaning must be
given to all the words in a provision, and thus phrases and
words in the text of the Constitution may not be ignored.\62\
Thus, while the principal purpose of the Seventeenth Amendment
was certainly to provide for the popular election of Senators,
the express discretion and authority delegated to the State
legislatures to allow the Governor of the State to make
temporary appointments to fill Senate vacancies can not be
disregarded.\63\
---------------------------------------------------------------------------
\61\ United States v. Sprague, 282 U.S. 716, 731-732 (1931) (in
providing two alternative methods of ratification, there is nothing in
the text of the Constitution which requires the legislature [Congress]
to select one method over the other); McPherson v. Blacker, 146 U.S. 1,
27 (1892); see generally, Justice Joseph Story, Commentaries on the
Constitution, Sec. 451.
\62\ Marbury v. Madison, 5 U.S. 137, 174 (1803); Holmes v.
Jennison, 39 U.S. 540, 571 (1840).
\63\ One existing problem expressly recognized in the enactment
history of the Seventeenth Amendment was that of extended vacancies in
State delegations to the Senate caused by inaction and political
stalemate and intrigue in the State legislatures. S. Rpt. No. 961, 61st
Cong., 3rd Sess. 13-14 (1911); David E. Kyvig, Explicit and Authentic
Acts, Amending the U.S. Constitution, 1776-1995, at 209, noting that
``Delaware was represented by only one senator in three Congresses and
none at all from 1901 until 1908.'' The provision of a mechanism for
the temporary appointment by the Governor of a State in cases of Senate
vacancies until an election is held, providing a quick and efficient
method to fill a Senate vacancy, may have been intended in part as an
effort to address this problem.
---------------------------------------------------------------------------
In the enactment history of the Seventeenth Amendment there
is no express indication that a State is required to hold a
more immediate ``special election'' to fill a vacancy created
by the death or other ineligibility of the majority candidate
in a general election, as opposed to using the alternative
method of allowing a temporary appointment by the Governor
until a later election is held, as directed by the State
legislature. In fact, in the earliest formulations of the
vacancy language used in what became the Seventeenth Amendment,
the drafter was cognizant of the expense of State-wide
elections, and expressly intended to allow the State to be
spared the expense of having to hold another State-wide
``special election'' soon after or before a regular State-wide
election.\64\
---------------------------------------------------------------------------
\64\ Representative Tucker of Virginia originally drafted and
offered in 1892 the vacancy provision eventually adopted in 1912. As
reported in the House, one reason discretion was given to the State
legislatures to allow a ``temporary appointment'' until a later
election, such as a regularly scheduled state-wide election, was that
mandatory special elections might be a ``hardship'' on the State which
recently had or soon will have a state election, since ``to add another
State election would be imposing an unnecessary expense on the
people.'' H.R. Rep. No. 368, 52d Cong., 1st Sess. 5 (1892).
---------------------------------------------------------------------------
There is also no express indication in the enactment
history that the Amendment, contrary to its express language,
was intended to limit or restrict the authority or power of a
State legislature over the details of the procedures of
elections in their respective States to fill vacancies. The
enactment history of the Seventeenth Amendment in the United
States Congress shows a serious debate and division concerning
``States'' rights,'' with one of the major contentions in the
debate being over a provision, adopted in one House, which went
so far as to remove entirely Congress' residual authority over
the ``Times, Places and Manners'' of federal elections in the
States under Article I, Section 4, clause 1 of the
Constitution.\65\ The author of the substitute amendment
eventually adopted by Congress, Senator Bristow, noted
explicitly that the direct election provisions were not
intended to ``add new powers of control to the Federal
Government'' at the expense of the authority of the State
legislatures over such elections.\66\ The constitutional
provision adopted expressly provides as to vacancies, in fact,
that after a temporary appointment, the people of the State
will fill the vacancy by election ``as the legislature may
direct.'' This is a direct grant in the United States
Constitution of authority and discretion to the State
legislatures,\67\ limited only by the requirement that the
Governor's appointment be ``temporary,'' and there is no
indication of a silent or implicit agenda to limit that
authority or discretion when vacancies arise from the death of
a candidate, or otherwise, at the beginning of the term.
---------------------------------------------------------------------------
\65\ This provision was reported out of committee in the Senate,
and had passed the House. S. Doc. No. 666, 62d Cong., 2d Sess. 6-9,
``Resolution for the Direct Election of Senators,'' by Senator Joseph
L. Bristow (1912); Kyvig, Explicit and Authentic Acts, supra at 210-
213.
\66\ S. Doc. No. 666, 62d Cong., supra at 9. Trinsey v.
Commonwealth of Pennsylvania, 941 F.2d 224, 234 (3rd Cir. 1982), cert.
denied, 502 U.S. 1014 (1991).
\67\ See McPherson v. Blacker, 146 U.S. 1 (1892), as to express
constitutional delegation to the State legislatures of role in
electoral scheme for choosing presidential electors.
---------------------------------------------------------------------------
Federal courts looking at the issue of whether the
Seventeenth Amendment requires a State to hold a ``special
election'' to fill a Senate vacancy have concluded that the
Constitution delegated to the State legislatures significant
discretion and authority as to the mechanics and procedures of
how and when vacancies in the Senate from their respective
States are to be filled. In Valenti v. Rockefeller, a federal
court, in a case expressly affirmed by the United States
Supreme Court, found that there is nothing in the Seventeenth
Amendment, nor its history, that requires the State to hold a
special election to fill a vacancy, rather than to have a
temporary gubernatorial appointment, even if such appointment
extends, because of the State's statutory nominating
procedures, more than two years and thus beyond the next
immediate State-wide election.\68\ The court noted there that
the pre-Seventeenth Amendment history, as well as the
Amendment's enactment history, ``provides no support for
plaintiff's contention that special elections are required to
fill vacancies under the Seventeenth Amendment.'' \69\ Noting
the discretion expressly given in the text of the Constitution
to the State legislatures over this issue, the court found:
---------------------------------------------------------------------------
\68\ Valenti v. Rockefeller, 292 F. Supp. 851 (D.C.N.Y. 1968),
aff'd, 393 U.S. 404, 405, 406 (1969), rehearing denied, 393 U.S. 1124
(1969).
\69\ Id. at 865.
The Seventeenth Amendment's vacancy provision
explicitly confers upon the state legislatures
discretion concerning the timing of vacancy elections.
If the legislature authorizes the governor to make a
temporary appointment, the appointee may hold office
``until the people fill the vacanc[y] by election as
the legislature may direct.'' . . . [W]e believe that
we must give effect to the natural reading of the
Seventeenth Amendment as adopted since there is no
indication that the Congress which proposed the
Amendment, or the state legislatures which ratified it,
intended a different meaning. This natural reading
grants to the states some reasonable discretion
concerning both the timing of vacancy elections and the
procedures to be used in selecting candidates for such
elections. This interpretation gains support from Art.
I, Sec. 4 of the Constitution which gives to the state
legislatures the initial power to prescribe the
``Times, Places and Manner of holding Elections for
Senators and Representatives. . . .'' If the drafters
of the Seventeenth Amendment had intended to bring
about a radical departure from this normal rule of
state discretion in the instance of the timing and
manner of holding vacancy elections, such as by
requiring special elections, it is likely that they
would have employed clear language to that effect. . .
.\70\
---------------------------------------------------------------------------
\70\ Id. at 855-856.
The court found that the Seventeenth Amendment did place ``some
limit on the discretion of the states'' by requiring that the
Governor's appointment be ``temporary'' until an election is
held.\71\ The majority of the court did not, however, attempt
to set an outer limit to that time. In the case of the New York
statutory provisions in effect and reviewed in Valenti v.
Rockefeller, the ``temporary appointment'' by Governor
Rockefeller after the death of Senator Robert Kennedy worked
out to 29 months.\72\
---------------------------------------------------------------------------
\71\ Id. at 856.
\72\ 292 F. Supp. at 868.
---------------------------------------------------------------------------
In a similar manner, in Trinsey v. Commonwealth of
Pennsylvania,\73\ the United States Court of Appeals found that
the discretion granted to the State legislatures in the
Seventeenth Amendment to establish the details of the
procedures and timing of vacancy elections for the Senate was
so broad and significant that, even though the Seventeenth
Amendment itself required popular general elections for the
Senate, the Commonwealth of Pennsylvania was within its
authority under the vacancy clause to provide by statute that
nominations for a special election to fill a Senate vacancy may
be made without a popular primary election. The court noted
that the legislative history of the Seventeenth Amendment
indicated that the Congress ``was resistant to any change that
would decrease the power and authority of the states and
enlarge that of the federal government,'' and that the
``explicit provision in the vacancy paragraph of the
Seventeenth Amendment vesting discretion in the state
legislatures . . . itself could be deemed dispositive of the
issue.'' \74\
---------------------------------------------------------------------------
\73\ 941 F.2d 224 (3rd Cir. 1991), cert. denied, 502 U.S. 1014
(1991).
\74\ Id. at 234.