AND LOBBYING FORMS
CAMPAIGN AND LOBBYING FORMS
FILED WITH THE
OFFICE OF THE SECRETARY OF STATE
FORM 400: STATEMENT OF ORGANIZATION (SLATE MAILER ORGANIZATION)
FILER: Slate Mailer Organizations
PURPOSE: Registration statement for Slate Mailer Organizations, which must be filed within 10 days after the organization receives or is promised $500 or more for producing one or more slate mailers. Submittal of this form is required for issuance of an identification number.
PERIOD COVERED: Must be filed within 10 days of qualification as a slate mailer organization.
NOTE: This form is also used to amend any information contained in a previously filed Statement of Organization
FORM 401: SLATE MAILER ORGANIZATION CAMPAIGN STATEMENT
FILER: Slate Mailer Organizations
PURPOSE: Disclosure statement for slate mailer organizations which itemizes payments received and made in connection with producing one or more slate mailers.
PERIOD COVERED: Semiannual statement, pre-election statement.
FORM 402: STATEMENT OF TERMINATION (SLATE MAILER ORGANIZATION)
FILER: Slate Mailer Organizations
PURPOSE: Statement filed to terminate a slate mailer organization which has previously registered with Form 400.
PERIOD COVERED: Upon termination.
FORM 405: AMENDMENT TO CAMPAIGN DISCLOSURE STATEMENT
FILER: Recipient Committee, Major Donor Committee, Independent Expenditure Committee, Slate Mailer Organization
PURPOSE: Statement used to amend a campaign disclosure statement already on file. Not used to amend information found on the Statement of Organization.
PERIOD COVERED: Same period as the filed disclosure statement which is being amended.
FORM 410: STATEMENT OF ORGANIZATION RECIPIENT COMMITTEE
FILER: Any person, or combination of persons, that receive contributions totaling $1,000 or more during a calendar year.
PURPOSE: All persons qualifying as a recipient committee must file this statement with the Office of the Secretary of State. Upon receipt the Office of Secretary of State issues a campaign identification number.
PERIOD COVERED: Must be filed within 10 days of receiving $1,000 in contributions. If such qualification occurs within the 16 days prior to an election this form must be filed within 24 hours.
NOTE: This form is also used to amend any information on file in regards to any prior submitted Statement of Organization.
FORM 415: RECIPIENT COMMITTEE STATEMENT OF TERMINATION
FILER: Recipient Committee
PURPOSE: Used by all recipient committees (including an officeholder's or candidate's controlled committee) that are eligible to terminate their filing obligation as a committee.
PERIOD COVERED: Filed upon termination; must be filed in conjunction with a final disclosure statement (Form 419, 420, 450 or 490), disclosing the disposition of all surplus funds.
FORM 416: OFFICEHOLDER AND CANDIDATE STATEMENT OF TERMINATION
FILER: Officeholders and Candidates
PURPOSE: Distinct termination form for officeholders who have left office and defeated candidates that are eligible to terminate their filing obligations. Their associated controlled committees (if any) must terminate by using a separate Form 415.
PERIOD COVERED: Upon termination.
FORM 419: BALLOT MEASURE COMMITTEE CAMPAIGN DISCLOSURE STATEMENT - LONG FORM
FILER: Recipient committees formed to support the qualification, passage, or defeat of any ballot measure.
PURPOSE: Campaign disclosure statement filed by committees formed to support or oppose the qualification or passage of ballot measures. This form allows itemization of receipts and expenditures, and is comparable to Form 420 which is the standard disclosure statement for recipient committees.
PERIOD COVERED: Pre-election statement, semi-annual statement, quarterly ballot measure statement, final campaign statement.
FORM 420: RECIPIENT COMMITTEE CAMPAIGN STATEMENT - LONG FORM
FILER: General Purpose Recipient Committees (which are not controlled by a candidate).
PURPOSE: Campaign disclosure statement filed by recipient committees which reflect any of the following conditions:
- received an itemizable monetary or nonmonetary contribution
- received any other itemizable miscellaneous receipt
- have any outstanding loans made or received
- have an outstanding accrued expense (unpaid bills)
- has received enforceable promises (pledges) which remain unpaid
If none of the above criteria is applicable, then the Short Form (Form 450) may be filed in lieu of the long Form 420.
PERIOD COVERED: Pre-election statement, semi-annual statement, special odd-year report, supplemental pre-election statement, final campaign statement.
FORM 425: SEMI-ANNUAL STATEMENT OF NO ACTIVITY
FILER: Recipient Committees (except Controlled Committees)
PURPOSE: Semi-annual campaign disclosure statement filed by recipient committees that have had no activity during the 6 month period covered by the semi-annual statement.
PERIOD COVERED: Semi-annual statement
NOTE: This form cannot be used as a final campaign statement.
FORM450: RECIPIENT COMMITTEE CAMPAIGN DISCLOSURE STATEMENT - SHORT FORM
FILER: Recipient Committee (excluding Controlled Committee)
PURPOSE: Short disclosure statement filed by recipient committees, if the committee (for the period in question):
- has no itemized monetary or inkind receipts,
- has not received any other miscellaneous receipt of $100 or more,
- has no outstanding loans made or received,
- has no itemizable unpaid bills (accrued expenses),
- has not received enforceable promises (pledges) which remain unpaid.
PERIOD COVERED: Pre-election statement, semi-annual statement, supplemental pre-election statement, special odd-year campaign report, final campaign statement.
FORM 461: INDEPENDENT EXPENDITURE COMMITTEE AND MAJOR DONOR COMMITTEE CAMPAIGN STATEMENT
FILER: Independent Expenditure and Major Donor Committees
PURPOSE: Disclosure statement filed by individuals or entities which in a calendar year either make independent expenditures totaling $1,000 or more to support or oppose state candidates or measures, or make direct monetary or non-monetary contributions of $10,000 or more to officeholders, candidates, and other recipient committees.
PERIOD COVERED: Semi-annual statement (may include full calander year), special odd year report
FORM 465: SUPPLEMENTAL INDEPENDENT EXPENDITURE REPORT
FILER: Recipient Committees, Major Donor Committees, Independent Expenditure Committees, Officeholders and Candidates and their Controlled Committees
PURPOSE: Additional disclosure report filed by the above filers who make independent expenditures totaling $500 or more in connection with an election to support or oppose a single candidate or a single measure.
PERIOD COVERED: This form is to be filed in addition to any other required campaign statement.
FORM 470: OFFICEHOLDER AND CANDIDATE CAMPAIGN STATEMENT - SHORT FORM
FILER: Officeholders and Candidates
PURPOSE: Disclosure statement for officeholders and candidates who do not have a controlled committee, and do not anticipate receiving contributions (or making expenditures) totaling $1,000 or more during a calendar year.
PERIOD COVERED: Calendar year
FORM 470: SUPPLEMENT
FILER: Officeholders and Candidates
PURPOSE: The Form 470 Supplement is filed by those candidates and officeholders that at first file Form 470, and then subsequently receive contributions (or make expenditures) totaling $1,000 or more during the 6 month period before the applicable election.
PERIOD COVERED: Calendar year
FORM 490: OFFICEHOLDER, CANDIDATE, AND CONTROLLED COMMITTEE CAMPAIGN STATEMENT - LONG FORM
FILER: Officeholders and Candidates with Controlled Committees
PURPOSE: Campaign statement filed by officeholders and candidates and their controlled committees disclosing all itemizable receipts and expenditures.
PERIOD COVERED:
Pre-election Statement, Semi-annual Statement, Supplemental Pre-election Statement, Special Odd-year Report, Final Campaign Statement.
FORM 490 A-1: SCHEDULE A-1 ATTACHMENT TO SCHEDULE A
FILER: Candidates involved in a special election to fill a vacant office.
PURPOSE: This schedule is used as an attachment to Form 490 in order to itemize the sources of contributions transferred from any of the candidate's regular election campaign or officeholder accounts to an account established specifically for the special election.
PERIOD COVERED: The same period as the attached Form 490.
FORM 495: SUPPLEMENTAL PRE-ELECTION CAMPAIGN STATEMENT
FILER: Officeholders, Candidates, and Recipient Committees
PURPOSE: This form is used as an attachment to a filed campaign disclosure statement (Form 419, 420, 450, or 490). It is filed by officeholders, candidates, and recipient committees that make contributions totaling $5,000 or more in connection with an election, including a runoff election.
PERIOD COVERED: This statement covers the period through 17 days before an election.
NOTE:
The supplemental pre-election statement is not required to be filed during any semi-annual period in which the filer is required to file regular pre-election statements, or if all reportable contributions were previously disclosed on either a semi-annual statement or a special odd-year report.
FORM 496: LATE INDEPENDENT EXPENDITURE REPORT
FILER: Officeholders, Candidates, Recipient Committees, Major Donor and Independent Expenditure Committees
PURPOSE: Disclosure statement filed when independent expenditures totaling $1,000 or more are made to support or oppose a single candidate or measure during the 16 days immediately preceding an election in which the specific candidate or measure is being voted upon.
PERIOD COVERED:
Must be filed within 24 hours of making the independent expenditure during the 16 day period prior to the applicable election.
FORM 497: LATE CONTRIBUTION REPORT
FILER: Officeholders, Candidates, Recipient Committees, Major Donor and Independent Expenditure Committees
PURPOSE: Disclosure statement filed by the above filers who makes contributions totaling $1,000 or more to another candidate or measure during the 16 days immediately preceding an election in which the candidate or measure is being voted upon. Disclosure statement also filed by candidates, measure committees, or committees primarily formed to support or oppose a candidate who receive contributions totaling $1,000 or more from a single source during the foregoing late contribution period.
PERIOD COVERED:
Must be filed within 24 hours of receiving or making a late contribution during the 16 day period prior to the election.
(Form number always begins with 6 reflecting Chapter 6 of the Political Reform Act)
FORM 601: LOBBYING FIRM REGISTRATION STATEMENT
FILER: Lobbying Firms, Individual Contract Lobbyists
PURPOSE: Registration form for Lobbying Firms (and Individual Contract Lobbyists) which is filed upon qualifying as a Lobbying Firm. This form is also used to renew an existing lobbying firm's registration on a biennial basis.
PERIOD COVERED:
Must register within 10 days of qualifying as a lobbying firm. Renewal of existing registration is due within 20 days after the opening of each new State Legislative session. This registration is valid for the complete two year cycle of such session.
FORM 602: LOBBYING FIRM ACTIVITY AUTHORIZATION
FILER: Lobbying Firm, Registered Lobbyist Employer, Lobbying Coalition, Non-Registered Lobbyist Employer (Client of Firm)
PURPOSE: Authorization form filed by each person (or entity) who employs or contracts with a lobbying firm. This form serves as an attachment to Form 601, and is filed by the applicable lobbying firm. Form 602 also contains a schedule which describes by categories the nature and interest of the client of the firm.
PERIOD COVERED: Like Form 601, this registration attachment is valid for the length of the State Legislative session during which it is filed.
NOTE: Form 602 must be filed by a firm for its client, prior to attempting to influence legislative or administrative action on behalf of that client.
FORM 603: LOBBYIST EMPLOYER OR LOBBYING COALITION REGISTRATION STATEMENT
FILER: Registered Lobbyist Employer, Lobbying Coalition
PURPOSE: Registration statement filed by lobbyist employers and lobbying coalitions upon qualifying as a lobbyist employer or lobbying coalition. This form is also used to renew an existing registration on a biennial basis.
PERIOD COVERED: Must register within 10 days of qualifying as a lobbyist employer or lobbying coalition. Renewal of an existing registration is due 20 days after the opening of each regular State Legislative session. This registration is valid for the complete two year cycle of such session.
FORM 604: LOBBYIST CERTIFICATION STATEMENT
FILER: Individual who qualifies as a lobbyist (including an individual contract lobbyist).
PURPOSE: Initial certification statement filed by any individual who qualifies as a lobbyist. It is also used as a renewal of a previous lobbyist certification. This form serves as an attachment to either Form 601 or Form 603. This form also includes verification on whether or not the lobbyist has attended a required course on ethical issues and laws relating to lobbying within the previous 24 months.
PERIOD COVERED: Lobbyists must complete an original certification statement within 20 days of qualifying as a lobbyist. The Firm or Employer (Coalition), who has already registered, must attach the completed Form 604 to a Form 605 (Amendment to Registration). Existing lobbyists who are renewing their certification have 20 days after the opening of each regular session of the State Legislature to file their certification statement in concert with either the Firm's or Employer's (Coalitions) own registration statement.
FORM 605: AMENDMENT TO REGISTRATION, LOBBYING FIRM, LOBBYIST EMPLOYER, LOBBYING COALITION
FILER: Lobbying Firm, Lobbyist Employer, Lobbying Coalition
PURPOSE: Standard amendment form which is used to amend any previously filed registration information. It is used to add or delete both lobbyists and clients to existing registrations. It is also used to change name, address, and responsible officer information, as well as any other pertinent information found on Forms 601, 602, 603, or 604.
PERIOD COVERED: An existing lobbying firm adding a new client must file Form 605 (in concert with Form 602) prior to attempting to influence legislative or administrative action on behalf of that client. All other changes to registration documents already on file must be filed within 20 days of the effective date of such changes.
FORM 606: NOTICE OF TERMINATION
FILER: Lobbying Firm, Registered Lobbyist Employer, Lobbying Coalition, Lobbyist
PURPOSE: Termination form used by the filer who has ceased all lobbying activity and now wishes to terminate their filed registration (or certification) statement. Clients of firms (non-registered employers) do not use this form to cease lobbying activity. Instead they are deleted by their associated firm, who file a Form 605.
PERIOD COVERED: Upon termination. A final quarterly disclosure statement must be filed for the quarter in which the date of termination is effective.
FORM 607: NOTICE OF WITHDRAWAL
FILER: Lobbying Firm, Lobbyist
PURPOSE: This form is used to withdraw the filed registration statement of a firm who has never met the statutory definition of a lobbying firm. It also is filed by a lobbyist who has never met the statutory definition of a lobbyist. Submittal of this form relieves the filer of any duty to file any previously required quarterly disclosure statements.
PERIOD COVERED: Upon withdrawal. This form nullifies the filed registration of a lobbying firm or the filed certification of a lobbyist.
FORM 615: LOBBYIST REPORT
FILER: Lobbyist
PURPOSE: Quarterly disclosure statement completed by the in-house lobbyist of a lobbying firm, lobbyist employer, or lobbying coalition. It is not filed on its own, but rather it is an attachment to either Form 625 (Report of Lobbying Firm) or Form 635 (Report of Lobbyist Employer/Lobbying Coalition).
PERIOD COVERED: Three month calendar quarter, of which 8 periods occur in a 2 year legislative cycle. This form must be completed even if there is no activity in a specific quarter.
FORM 625: REPORT OF LOBBYING FIRM
FILER: Lobbying Firm, (including Individual Contract Lobbyist)
PURPOSE: Quarterly disclosure statement filed by a Lobbying Firm for each calendar quarter. If the firm employs one or more in-house lobbyists, then a separate Form 615 (Lobbyist Report) must be attached for each lobbyist.
PERIOD COVERED: Three month calendar quarter, of which 8 periods occur in a 2 year legislative cycle. Must be filed even if there is no activity in a specific quarter.
FORM 630: PAYMENTS MADE TO LOBBYING COALITIONS
FILER: Lobbying Firm, Lobbyist Employer, $5,000 Filer
PURPOSE: An attachment to the quarterly disclosure reports filed by lobbying firms and lobbyist employers who make payments to a lobbying coalition. This attachment itemizes such payments.
PERIOD COVERED: Same period as the specific quarterly disclosure document to which Form 630 serves as an attached schedule.
FORM 635: REPORT OF LOBBYIST EMPLOYER AND REPORT OF LOBBYING COALITION
FILER: Registered Lobbyist Employer, Lobbying Coalition, Non-registered Lobbyist Employer (i.e., client of a firm)
PURPOSE: Quarterly disclosure statement filed by a registered lobbyist employer or a lobbying coalition. For each in-house lobbyist, a separate Form 615 must be completed as an attachment to the filed Form 635. This form is also used as a quarterly disclosure statement for clients of a firm who have no in-house lobbyists (also referred to as non-registered employers).
PERIOD COVERED: Three month calendar quarter, of which 8 periods occur in a 2 year legislative cycle. Must be filed even if there is no activity in a specific quarter.
FORM ATTACHMENT FORM 635-C: PAYMENTS RECEIVED BY LOBBYING COALITIONS
FILER: Lobbying Coalition
PURPOSE: An attachment disclosing all payments received from members of a coalition which is filed with Form 635 (Report of a Lobbying Coalition).
PERIOD COVERED: Same period as the specific quarterly disclosure document to which Form 635-C serves as an attached schedule.
NOTE: Form 630 discloses payments made by firms and employers to coalitions, while Form 635-C shows payments received from members of the coalition. Both Forms 630 and 635-C are attachments rather than separately filed forms.
FORM ATTACHMENT FORM 640: GOVERNMENTAL AGENCIES REPORTING OF "OTHER PAYMENTS TO INFLUENCE LEGISLATIVE OR ADMINISTRATIVE ACTION"
FILER: State and Local Governmental Agencies which qualify as Registered Lobbyist Employers (or $5,000 Filers), or Non-registered Lobbyist Employer
PURPOSE: This attachment replaces Section D of Form 635, and Section B of Form 645 (both labeled "Other Payments to Influence Legislative or Administrative Action). It is filed in conjunction with either Form 635 (if a lobbyist employer) or Form 645 (if a $5,000 filer).
PERIOD COVERED: Same period as the specific quarterly disclosure statement to which Form 640 serves as an attached schedule.
FORM 645: REPORT OF PERSON SPENDING $5,000 OR MORE TO INFLUENCE LEGISLATIVE OR ADMINISTRATIVE ACTION
FILER: $5,000 Filer (Persons who do not employ a lobbyist or contract with a lobbying firm, but who make payments to influence legislative or administrative action in aggregation of $5,000 or more in any calendar quarter).
PURPOSE: Quarterly disclosure document filed by the $5,000 filer. The $5,000 filer does not submit either a registration or termination statement, and is only required to file Form 645 in those calendar quarters which $5,000 or more is spent to influence legislative or administrative action.
PERIOD COVERED: Every 3 month calendar quarter in which the $5,000 criteria is met to influence administrative or legislative action.
FORM FORM 690: AMENDMENT TO LOBBYING DISCLOSURE REPORT
FILER: Lobbying Firm, Registered Lobbyist Employer, Lobbying Coalition, $5,000 Filer, Non-registered Lobbyist Employer, Lobbyist
PURPOSE: This form is used by the filer to amend any information previously submitted on a quarterly disclosure report (Forms 615, 625, 635, or 645). Any amendment to the registration statement should be made on Form 605 rather than Form 690.
PERIOD COVERED: The same period as the filed quarterly disclosure report which is being amended.