Arkansas Administrative Code
Agency 153 - Arkansas Ethics Commission
Rule 153.00.99-001 - Amended Rules of Practice and Procedure

I. DESCRIPTION

The Arkansas Ethics Commission ("Commission") is composed of five appointed Commissioners who enforce certain ethics, conflicts of interest, lobbying, campaign, campaign finance, and ballot question laws within the State of Arkansas. In accordance with these rules of practice and procedure, the Commission issues advisory opinions and legal interpretations of law, and acts as feet-finder and sanctioning body for those alleged to have violated those laws under its jurisdiction Information may be obtained from the Commission by written request. The Commission staff which may consist of a director, staff attorney(s), directors) of compliance and others, act as the administrator and operating entity of the Commission. This staff, or members thereof may make office administrative procedure, act as spokesman for the Commission, receive correspondence and correspond on behalf of the Commission, provide legal and other research to the Commission, investigate allegations of violations of laws under the Commission's jurisdiction, and perform such other functions as the Commission deems appropriate. These rules of practice and procedure shall govern all proceedings before the Commission and shall be applicable to any complaints filed or initiated after the effective date hereof. In accordance with Ark. Code Ann. § 25-15-204(0), any person may petition the Commission for the issuance, amendment, or repeal of any rule.

II. COMMISSION & STAFF

III. GENERAL ADMINISTRATION

IV. MATTERS BEFORE THE COMMISSION

V. INITIATION OF COMPLAINT

VI. INVESTIGATION PROCEDURE

VII. PUBLIC HEARING

VIII. RENDERING OF DECISION

IX. DEFINITIONS OF PUBLIC LETTERS

X. JUDICIAL REVIEW

XI. FORMS AND INSTRUCTIONS

The Commission has prepared or utilizes the following forms and instructions: Citizen Complaint Form, Final Contribution and Expenditure Instructions-State and District, Contribution and Expenditure Instructions-State and District, Contribution and Expenditure Instructions-County and Municipal, Instructions for Statement of Financial Interest, Statement of Organization, Committee Financial Report, Lobbyist Registration Form, Lobbyist Activity Report, Statement of Financial Interest, Political Party Reporting Form, Carryover Fund Reporting Form, PAC Registration Form, PAC Quarterly Reporting Form, Contribution and Expenditure Form-State and District, Final Contribution and Expenditure Form-State and District, Contribution and Expenditure Form-County and Municipal, and Act 808 Form. Copies of same are set forth in the appendix hereto. Moreover, the Commission has participated in the publication of the following documents) prepared by the State Board of Election Commissioners: Running for Office, A "Plain English" Handbook for Candidates.

SECTION 1 - Indicate general candidate information and title of office sought. Include, if applicable, information concerning the candidate's campaign committee.

SECTION 2 - Check the box for the type of election and write in the year in which the election will be held.

SECTION 3 - Check the appropriate box to indicate which report you are completing and what dates are covered by the report. Please note that each type of monthly and quarterly report is included here. If you are completing a quarterly report, you should check the appropriate box in the first column. If it is a monthly report, columns 2-4 list each month. In addition, there is a box for the Pre-election report. Check this box if it is appropriate. Finally, please complete the blanks indicating the dates covered by this report.

SECTION 4 - This section, along with sections 5-9 seeks SUMMARY information regarding campaign finance activity during the reporting period and cumulative for the election. Section 4 seeks the surplus or debt amount of the campaign account as of the beginning of the reporting period which should normally reflect the ending balance on your last report, found in Section 8 on your last report. Your campaign often will reflect a surplus indicating an amount of cash on hand. However, campaigns may reflect a debt if prior expenditures have exceeded the amount of contributions received.

SECTION 5 - This reflects the amount of interest earned by your campaign account. Interest earned is not treated as a contribution, for reporting purposes, but is considered in reaching the total amount of the surplus or debt of your campaign account at the end of the reporting period. In the first column ("For Reporting Period") you list the amount of interest earned since the last reporting period. In the second column ("Year to Date"), you list the cumulative total of all interest earned by your campaign account for the election thus far.

SECTION 6 - This section reflects the total amount of contributions for your campaign. In the first column ("For Reporting Period") you list the amount of contributions, itemized and nonitemized, you received during this reporting period.1 This figure is found in Section 19 and the number listed there should be transferred to Section 6.2 In the second column ("Year to Date") you should list the cumulative total of all contributions to your campaign to date, which should be derived from adding the figure reported in the first column of this report to the figure reported in the second column in the last report. Non-money or "in-kind" contributions, as reflected in Sections 13-15, are not included in the figures for this section.

SECTION 7 - This section reflects the total amount of expenditures for your campaign. In the first column ("For Reporting Period") you list the amount of expenditures, itemized and nonitemized, you made during this reporting period. This figure is found in Section 28 and the number listed there should be transferred to Section 7. In the second column ("Year to Date") you should list the cumulative total of all expenditures to your campaign to date, which should be derived from adding the figure reported in the first column of this report to the figure reported in the second column in the last report.

SECTION 8 - This section should reflect the balance of your campaign account or "cash on hand" at the close of the reporting period. This figure is achieved by adding the figures in Sections 4, 5 and 6 and subtracting from the total the figure listed in Section 7.

SECTION 9 - This section should be checked only if you have not received any contributions, made any expenditures and otherwise had no campaign financial activity during this particular reporting period. If this is true, you should check this box, and only complete the items on page 1 of the Contribution and Expenditure report. The candidate should also only sign and file the front sheet of this report.

SECTION 10 - The limits on campaign contributions do not apply to candidate's own contribution from personal funds or to personal loans made by financial institutions to the candidate and applied to his campaign. Any personal loan made by a financial institution to a candidate and applied to his campaign shall be reported in Section 10 and included in the amount of total contributions reported on line 19.

If a candidate desires to use or raise campaign funds to repay himself for personal funds that he contributed to the campaign, then he would need to report those personal funds as a loan in this section (Section 10). Such personal funds would be included in the amount of total contributions reported on line 19.

If a candidate does not desire to use or raise campaign funds to repay himself for personal fronds that he contributed to the campaign, then those personal funds would not be reported in Section 10. Instead, they would be reported as a campaign contribution either in Section 16 or on line 18, depending upon the amount.

SECTION 11 - This section reflects the total amount of loans you received during this reporting period.

SECTION 12 - This section is for itemization of non-money or "in-kind" contributions over $50. Contributions for candidates for state or district office may not exceed $1000 per election from any person. These limits apply to "in-kind" contributions as well. Examples of non-money or "in-kind" contributions are donations of equipment, furniture, office space, advertising or some other item of value. A reasonable market value should be listed. Noncompensated, nonreimbursed, volunteer personal services or travel are not considered "in-kind" contributions.

SECTION 13 - Indicate the total amount of non-money or "in-kind" contributions listed in section 12.

SECTION 14 - Disclose the total amount of non-money or "in-kind" contributions of $50 or less made during this reporting period. A non-money or "in-kind" contribution of $50 or less from any person need not be itemized, but is considered a contribution for the particular individual and is credited against the maximum amount the person may contribute to the campaign.

SECTION 15 - Add the figures listed in sections 13 and 14 to get the total of non-money or "in-kind" contributions for this reporting period.

SECTION 16 - This section is for itemization of money or cash contributions over $50. Contributions for candidates for state or district office may not exceed $1000 per election from any person. These limits apply to all contributions. The law requires the candidate to list each contributor, his/her address, place of business, employer, occupation and the date and amount of each contribution during this reporting period. The candidate must also designate for which election the contribution was received by checking the applicable box in column 4. This page of the Contribution and Expenditure report should be photocopied and attached to the report when the report is filed if additional pages are necessary to report all of the contributions received.

SECTION 17 - This section should reflect the total of the itemized contributions listed in section 16.

SECTION 18 - Disclose the total amount of monetary contributions of $50 or less received during this reporting period. A monetary contribution of $50 or less from any person need not be itemized, but is considered a contribution for the particular individual and is credited against the maximum amount the person may contribute to the campaign. Once a contributor exceeds the $50 threshold, the contribution must be itemized.

SECTION 19 - This section reflects the totals from sections 11 (loans), 17 (itemized contributions) and 18 (nonitemized contributions). While a non-money contribution is considered as a contribution from the contributor and applies toward that person's maximum limit, it need not be included in this line as section 19 reflects the monetary amount of contributions which is then included in the computation of the "cash on hand" or surplus or debt balance of the campaign account. This figure should also be reflected in section 6 on the front page of this report.

SECTION 20 - This section requires disclosure of all expenditures by category. The expenditures included here include both the itemized expenditures, listed in section 24 and the non-itemized expenditures which are included within the total found in section 26. The total amount applicable to each category should be included. If an expenditure is made which does not fall within one of the listed categories, the candidate should include and list the expenditure as "Other" and provide a description in the appropriate space. Expenditures for salaries and wages of campaign workers should be totaled and listed in the applicable category here. Additionally, expenditures for any paid campaign workers must be itemized in section 22 below.

SECTION 21 - This section should reflect the total of the expenditures as categorized in section 20. The total should reflect the combination of the figures in sections 25, 26 and 27 and should be the same as the figure in section 28.

SECTION 22 - The law also requires each candidate to list any person paid to work on a candidate's campaign. This is true whether the person is a full-time employee or a part-time employee and whether the amount paid exceeds $100 or not. The candidate should list the name of each person paid to work on the campaign along with the amount paid.

SECTION 23 - This section should reflect the total amount paid during the reporting period for all campaign workers. This figure should also be reflected in section 27.

SECTION 24 - This section is for itemization of expenditures over $100 made during the reporting period. For each expenditure over $100, the candidate must disclose the date and amount of the expenditure made during this reporting period, and the name and address of any person including the candidate, to whom the expenditure was made. This page of the Contribution and Expenditure report should be photocopied and attached to the report when the report is filed if additional pages are necessary to report all of the expenditures made.

SECTION 25 - This section should reflect the total of the itemized expenditures listed in section 24.

SECTION 26 - Disclose the total amount of expenditures of $100 or less made during this reporting period. An expenditure of $100 or less need not be itemized, but must be included in the total amount of expenditures made during the reporting period.

SECTION 27 - This section should reflect the total amount paid during the reporting period for all campaign workers. This figure should reflect the amount listed in section 23.

SECTION 28 - This section reflects the totals from sections 25 (itemized expenditures), 26 (nonitemized expenditures) and 27 (paid campaign workers). This figure should also be the same as the one reflected in section 7 on the front page of the report and section 21 on the previous page.

SECTION 1 - Indicate general candidate information and title of office sought. Include, if applicable, information concerning the candidate's campaign committee. At the top of this report, please indicate for which election this final report is applicable, i.e. preferential primary, general primary (run-off), general or special election. The candidate should indicate the year of the election on the top of the report. Also, if you are completing an amended final report, the appropriate box at the top of the page should be checked. The law requires that the report be signed under penalty of perjury. The place for the notarized signature is at the bottom of the front page of the report.

SECTION 2 - Check the box for the type of election and write in the year in which the election will be held.

SECTION 3 - This section only applies to the primary or runoff elections if the candidate loses either of these elections and has concluded his campaign with a surplus of funds. This section otherwise applies to all candidates who run in the general election and end the campaign with a surplus of funds.

This section discloses how surplus campaign funds were disposed of. "Surplus campaign funds" are defined as the balance of campaign funds over expenses incurred as of the day of the election except for carryover funds and any funds required to reimburse the candidate for personal funds contributed to the campaign or to repay loans to the candidate and applied to the campaign.

"Carryover funds" refers to the amount of campaign funds retained from the last election by the candidate for future use but not to exceed the annual salary for the office sought. The amount of carryover funds retained, if any, are to be reflected in section 7 of this report.

The law requires candidates to disburse the campaign surplus within thirty (30) days following the end of the month in which the election is held and to disclose how the surplus campaign funds were disbursed. The funds may be disbursed in any one or more of the four methods listed on this report. The candidate should check each box which is applicable.

SECTION 4 - This section, along with sections 5-9 seeks SUMMARY information regarding campaign finance activity during the reporting period and cumulative for the election. Section 4 seeks the surplus or debt amount of the campaign account as of the beginning of the reporting period which should normally reflect the ending balance on your last report, found in Section 8 on your last report. Your campaign often will reflect a surplus indicating an amount of cash on hand. However, campaigns may reflect a debt if the prior expenditures have exceeded the amount of contributions received.

SECTION 5 - This reflects the interest earned by your campaign account. In the first column ("Current Period") you list the amount of interest earned since the last reporting period. In the second column ("Year to Date"), you list the cumulative total of all interest earned by your campaign account for the election thus far.

SECTION 6 - This section reflects the total amount of contributions for your campaign. In the first column ("Current Period") you list the amount of contributions, itemized and nonitemized, you received during this reporting period. This figure is found in Section 21 of the Final Report and the number listed there should be transferred to Section 6. In the second column ("Year to Date") you should list the cumulative total of all contributions to your campaign to date, which should be derived from adding the figure reported in the first column of this report to the figure reported in the second column in the last report. Non-money or "in-kind" contributions, as reflected in Sections 12-14, are not included in the figures for this section.

SECTION 7 - This section reflects the total amount of expenditures for your campaign. In the first column ("Current Period") you list the amount of expenditures, itemized and nonitemized, you made during this reporting period. This figure is found in section 30 and the number listed there should be transferred to section 7. In the second column ("Year to Date") you should list the cumulative total of all expenditures to your campaign to date, which should be derived from adding the figure reported in the first column of this report to the figure reported in the second column in the last report.

SECTION 8 - This section reflects the status of the campaign account after all contributions and expenditures, including the disbursement of any surplus funds. If a candidate has carryover funds remaining in his/her campaign account 1 for use as officeholder expenses or for future campaign purposes, the amount of the carryover funds should be indicated in the second column in section 8. If, instead of a surplus, the campaign account has closed with a debt, the candidate must reflect the amount of the debt in the second column in section 8. The amount noted as debt should be in brackets, i.e."[$1200]". The outstanding items which make up this debt figure should be listed in section 31 and the total amount of the debts reflected in section 32.

SECTION 9 - This section should be checked only if you have not received any contributions, made any expenditures and otherwise had no campaign financial activity during this particular reporting period. If this is true, you should check this box, and only complete the items on page 1 of the Contribution and Expenditure report. The candidate should also sign and file only the front sheet of this report.

SECTION 10 - The limits on campaign contributions do not apply to candidate's own contribution from personal funds or to personal loans made by financial institutions to a candidate and applied to his campaign. Any personal loan made by a financial institution to a candidate and applied to his campaign shall be reported in Section 10 and included in the amount of total contributions reported on line 19.

If a candidate desires to use or raise campaign funds to repay himself for personal funds that he contributed to the campaign, then he would need to report those personal funds as a loan in this section (Section 10). Such personal funds would be included in the amount of total contributions reported on line 19.

If a candidate does not desire to use or raise campaign contributions to repay himself for personal funds that he contributed to the campaign, then those personal funds would not be reported in Section 10. Instead, they would be reported as a campaign contribution either in Section 16 or on line 18, depending on the amount.

If a candidate has unpaid loans at the time of the general election, the source, description and amount of each such loan should be itemized in Section 29 of the Final Report. Candidates ending their campaign in debt are permitted to raise funds to retire the debt subject to the restrictions contained in Ark. Code Ann. § 7-6-219.

SECTION 11 - Indicate the total amount of loans you received during this reporting period.

SECTION 12 - This section is for itemization of non-money or "in-kind" contributions over $50. Contributions for candidates for state or district office may not exceed $1000 per election from any person. These limits apply to "in-kind" contributions as well. Examples of non-money or "in-kind" contributions are donations of equipment, furniture, office space, advertising or some other item of value. A reasonable market value should be listed. Noncompensated, nonreimbursed, volunteer personal services or travel are not considered "in-kind" contributions.

SECTION 13 - Indicate the total amount of non-money or "in-kind" contributions listed in section 12.

SECTION 14 - Disclose the total amount of non-money or "in-kind" contributions of $50 or less made during this reporting period. A non-money or "in-kind" contribution of $50 or less from any person need not be itemized, but is considered a contribution for the particular individual and is credited against the maximum amount the person may contribute to the campaign.

SECTION 15 - Add the figures listed in sections 13 and 14 to get the total of non-money or "in-kind" contributions for this reporting period.

SECTION 18 - This section should reflect the total of the itemized contributions listed in sections 16 and 17.

SECTION 19 - Disclose the total amount of monetary contributions of $50 or less received during this reporting period. A monetary contribution of $50 or less from any person need not be itemized, but is considered a contribution for the particular individual and is credited against the maximum amount the person may contribute to the campaign. Once a contributor exceeds the $50 threshold, the contribution must be itemized.

SECTION 20 - This section reflects the totals from sections 11 (loans), 18 (itemized contributions) and 19 (nonitemized contributions). While a non-money contribution is considered as a contribution from the contributor and applies toward that person's maximum limit, it need not be included in this line because section 20 reflects the monetary amount of contributions which is then included in the computation of the "cash on hand" or surplus or debt balance of the campaign account. This figure should also be reflected in section 6 on the front page of this report.

SECTION 21 - This section reflects the totals from sections 11 (loans), 18 (itemized contributions) and 19 (nonitemized contributions). While a non-money contribution is considered a contribution from the contributor and applies toward that person's maximum limit, it need not be included in this line because section 21 reflects the monetary amount of contributions which is then included in the computation of the "cash on hand" or surplus or debt balance of the campaign account. This figure should also be reflected in section 6 on the front page of this report.

SECTION 22 - This section requires disclosure of all expenditures by category, made during the reporting period. The expenditures included here include both the itemized expenditures listed in section 26 and the non-itemized expenditures, which comprise the total in section 28. The total amount applicable to each category should be included. If an expenditure is made which does not fall within one of the listed categories, the candidate should include and list the expenditure as "Other" and provide a description in the appropriate space. Expenditures for salaries and wages of campaign workers should be totaled and listed in the applicable category here. Additionally, expenditures for any paid campaign workers must be itemized in section 24 below.

SECTION 23 - This section should reflect the total of the expenditures as categorized in section 22. The total should reflect the combination of the figures in sections 25, 27 and 28 and should be the same as the figure in section 30.

SECTION 24 - The law also requires each candidate to list any person paid to work on a candidate's campaign. This is true whether the person is a full-time employee or a part-time employee and whether the amount paid exceeds $ 100 or not. The candidate should list the name of each person paid to work on the campaign during the reporting period along with the amount paid. The total of the amounts should be reflected in section 25.

SECTION 25 - This section should reflect the total amount paid during the reporting period for all campaign workers. This figure should also be reflected in section 29.

SECTION 26 - This section is for itemization of expenditures over $100 made during the reporting period. For each expenditure over $100, the candidate must disclose the date and amount of the expenditure made during this reporting period and the name and address of any person, including the candidate, to whom the expenditure was made. This page of the Contribution and Expenditure report should be photocopied and attached to the report when the report is filed if additional pages are necessary to report all of the expenditures made.

SECTION 27 - This section should reflect the total of the itemized expenditures listed in section 26.

SECTION 28 - Disclose the total amount of expenditures of $100 or less made during this reporting period. An expenditure of $100 or less need not be itemized, but must be included in the total amount of expenditures made during the reporting period.

SECTION 29 - This section should reflect the total amount paid during the reporting period for all campaign workers. This figure is taken from section 25.

SECTION 30 - This section reflects the totals from sections 27 (itemized expenditures), 28 (nonitemized expenditures) and 29 (paid employees). This figure should also be the same as the one reflected in section 7 on the front page of the report and section 23 on the previous page.

SECTION 31 - This section should only be completed if the candidate has ended his/her campaign in debt and the debt is reflected in section 8 on the front page of this report. If the campaign account has closed with a debt, the candidate must detail each item, which constitutes the campaign debt. For each creditor, the candidate should list the name and address of the creditor, the description of the debt (e.g. "consultant services") and the balance of the debt as of the time of filing the final report. This page of the Contribution and Expenditure report should be photocopied and attached to the report when the report is filed if additional pages are necessary to report all of the campaign debt.

SECTION 32 - This section reflects the total from each debt reflected in section 31. This figure should also be the same as the one reflected in section 8 on the front page of the report.

SECTION 1 - Indicate general candidate information and title of office sought. Include, if applicable, information concerning the candidate's campaign committee.

SECTION 2 - Check the box for the type of election and write in the year in which the election will be held.

SECTION 3 - Check the appropriate box to indicate which report you are completing and what dates are covered by the report. Please note each type of report included here. Also, please complete the blanks indicating the dates covered by this report. When filing a final report, a candidate must indicate the method in which surplus funds are disposed of.

SECTION 4 - This section, along with sections 5-9 seeks SUMMARY information regarding campaign finance activity during the reporting period and cumulative for the election. Section 4 seeks the surplus or debt amount of the campaign account as of the beginning of the reporting period which should normally reflect the ending balance on your last report, found in Section 8 on your last report. Your campaign often will reflect a surplus indicating an amount of cash on hand. However, campaigns may reflect a debt if prior expenditures have exceeded the amount of contributions received.

SECTION 5 - This reflects the amount of interest earned by your campaign account. Interest earned is not treated as a contribution, for reporting purposes, but is considered in reaching the total amount of the surplus or debt of your campaign account at the end of the reporting period. In the first column ("For Reporting Period") you list the amount of interest earned since the last reporting period. In the second column ("Year to Date"), you list the cumulative total of all interest earned by your campaign account for the election thus far.

SECTION 6 - This section reflects the total amount of contributions for your campaign. In the first column ("For Reporting Period") you list the amount of contributions, itemized and nonitemized, you received during this reporting period.

SECTION 7 - This section reflects the total amount of expenditures for your campaign. In the first column ("For Reporting Period") you list the amount of expenditures, itemized and nonitemized, you made during this reporting period. This figure is found in Section 28 and the number listed there should be transferred to Section 7. In the second column ("Year to Date") you should list the cumulative total of all expenditures to your campaign to date, which should be derived from adding the figure reported in the first column of this report to the figure reported in the second column in the last report.

SECTION 8 - This section should reflect the balance of your campaign account or "cash on hand" at the close of the reporting period. This figure is achieved by adding the figures in Sections 4, 5 and 6 and subtracting from the total the figure listed in Section 7.

SECTION 9 - This section should be checked only if you have not received any contributions, made any expenditures and otherwise had no campaign financial activity during this particular reporting period. If this is true, you should check this box, and only complete the items on page 1 of the Contribution and Expenditure report. The candidate should also only sign and file the front sheet of this report.

SECTION 10 - The limits on campaign contributions do not apply to a candidate's own contribution from personal funds or to loans made by financial institutions to the candidate and applied to his campaign. Any personal loan made by a financial institution to a candidate and applied to his campaign shall be reported in Section 10 and included in the amount of total contributions reported on line 19.

If a candidate desires to use or raise campaign funds to repay himself for personal funds that he contributed to the campaign, then he would need to report those personal funds as a loan in Section 10. Such personal funds would be included in the amount of total contributions reported online 19.

If a candidate does not desire to use or raise campaign funds to repay himself for personal funds that he contributed to the campaign, then those personal funds would not be reported in Section 10. Instead, they would be reported as a campaign contribution either in Section 16 or on line 18, depending upon the amount.

If a candidate has unpaid loans at the time of the general election, the source, description and amount of each such loan should be itemized in Section 29 of the Final Report. Candidates ending their campaign in debt are permitted to raise funds to retire the debt subject to the restrictions contained in Ark. Code Ann. § 7-6-219.

SECTION 11 - This section reflects the total amount of loans you received during this reporting period.

SECTION 12 - This section is for itemization of non-money or "in-kind" contributions over $50. These limits apply to "in-kind" contributions as well. Examples of non-money or "in-kind" contributions are donations of equipment, furniture, office space, advertising or some other item of value. A reasonable market value should be listed. Noncompensated, nonreimbursed, volunteer personal services or travel are not considered "in-kind" contributions.

SECTION 13 - Indicate the total amount of non-money or "in-kind" contributions listed in section 12.

SECTION 14 - Disclose the total amount of non-money or "in-kind" contributions of $50 or less made during this reporting period. A non-money or "in-kind" contribution of $50 or less from any person need not be itemized, but is considered a contribution for the particular individual and is credited against the maximum amount the person may contribute to the campaign.

SECTION 15 - Add the figures listed in sections 13 and 14 to get the total of non-money or "in-kind" contributions for this reporting period.

SECTION 16 - This section is for itemization of money or cash contributions over $50. The law requires the candidate to list each contributor, his/her address, place of business, employer, occupation and the date and amount of each contribution during this reporting period. The candidate must also designate for which election the contribution was received by checking the applicable box in column 4. This page of the Contribution and Expenditure report should be photocopied and attached to the report when the report is filed if additional pages are necessary to report all of the contributions received.

SECTION 17 - This section should reflect the total of the itemized contributions listed in section 16.

SECTION 18 - Disclose the total amount of monetary contributions of $50 or less received during this reporting period. A monetary contribution of $50 or less from any person need not be itemized, but is considered a contribution for the particular individual and is credited against the maximum amount the person may contribute to the campaign. Once a contributor exceeds the $50 threshold, the contribution must be itemized.

SECTION 19 - This section reflects the totals from sections 11 (loans), 17 (itemized contributions) and 18 (nonitemized contributions). While a non-money contribution is considered as a contribution from the contributor and applies toward that person's maximum limit, it need not be included in this line as section 19 reflects the monetary amount of contributions which is then included in the computation of the "cash on hand" or surplus or debt balance of the campaign account. This figure should also be reflected in section 6 on the front page of this report.

SECTION 20 - This section requires disclosure of all expenditures by category. The expenditures included here include both the itemized expenditures, listed in section 24, and the non-itemized expenditures which are included within the total found in section 26. The total amount applicable to each category should be included. If an expenditure is made which does not fall within one of the listed categories, the candidate should include and list the expenditure as "Other" and provide a description in the appropriate space. Expenditures for salaries and wages of campaign workers should be totaled and listed in the applicable category here. Additionally, expenditures for any paid campaign workers must be itemized in section 22 below.

SECTION 21 - This section should reflect the total of the expenditures as categorized in section 20. The total should reflect the combination of the figures in sections 25, 26 and 27 and should be the same as the figure in section 28.

SECTION 22 - The law also requires each candidate to list any person paid to work on a candidate's campaign. This is true whether the person is a full-time employee or a part-time employee and whether the amount paid exceeds $100 or not. The candidate should list the name of each person paid to work on the campaign along with the amount paid

SECTION 23 - This section should reflect the total amount paid during the reporting period for all campaign workers. This figure should also be reflected in section 27.

SECTION 24 - This section is for itemization of expenditures over $100 made during the reporting period. For each expenditure over $100, the candidate must disclose the date and amount of the expenditure made during this reporting period, and the name and address of any person, including the candidate, to whom the expenditure was made. This page of the Contribution and Expenditure report should be photocopied and attached to the report when the report is filed if additional pages are necessary to report all of the expenditures made.

SECTION 25 - This section should reflect the total of the itemized expenditures listed in section 24.

SECTION 26 - Disclose the total amount of expenditures of $100 or less made during this reporting period. An expenditure of $100 or less need not be itemized, but must be included in the total amount of expenditures made during the reporting period.

SECTION 27 - This section should reflect the total amount paid during the reporting period for all campaign workers. This figure should reflect the amount listed in section 23.

SECTION 28 - This section reflects the totals from sections 25 (itemized expenditures), 26 (nonitemized expenditures) and 27 (paid campaign workers). This figure should also be the same as the one reflected in section 7 on the front page of the report and section 21 on the previous page.

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INSTRUCTIONS FOR STATEMENT OF FINANCIAL INTEREST

INTRODUCTION/WHO MUST FILE

Ark. Code Ann. § 21-8-701(a) requires the following persons to file an annual written Statement of Financial Interest:

- Public officials, as defined by Ark. Code Ann. § 21-8-402(16);

- Candidates for elective office;

- Municipal judges and/or city attorneys, whether elected or appointed;

- Any agency head, department director, or division director of state government;

- Public appointees to any state board or commission;

- All persons who are elected members of a school board or who are candidates for a position on a school board; and

- Any person appointed to a municipal, county or regional planning board or commission, airport board or commission, water or sewer board or commission, utility board or commission, or civil service commission.

The Arkansas Ethics Commission, which regulates this statute, has prepared these instructions, along with the office of the Secretary of State, whose office maintains the records, to assist persons required to file these statements. If you have any questions concerning the reporting requirements or how to fill out your Statement of Financial Interest, call or write either the Arkansas Ethics Commission, Post Office Box 1917, Little Rock, Arkansas 72203-1917, tel. (501) 324-9600 or the Secretary of State, Elections Division, State Capitol, Room 026, Little Rock, Arkansas 72201, tel. (501) 682-5070.

When preparing the Statement of Financial Interest, please print or type the information. You must also sign the Statement in Section 12 and your signature must be attested to before a Notary Public.

TIME FOR FILING/PERIOD COVERED

Pursuant to Ark. Code Ann. § 21-8-701(c)(1), a Statement of Financial Interest for the previous calendar year "shall be filed by January 31, of each year, except that a candidate for elective office shall file the Statement of Financial Interest within thirty (30) days after the deadline for filing for office." Moreover, an agency head, department director, or division director of state government and any public appointee to a state board or commission authorized or charged by law with the exercise of regulatory authority or authorized to receive or disburse state or federal funds shall file a Statement of Financial Interest for the previous calendar year within thirty (30) days after appointment or employment. Incumbent officeholders who filed a Statement of Financial Interest for the previous calendar year by January 31 of the year in which an election is held are not required to file an additional statement upon becoming a candidate for reelection or election to another office during the year. Ark. Code Ann. § 21-8-701(c)(2). If a person required to file a Statement of Financial Interest leaves his or her office or position during a particular calendar year, he or she shall still be required to file a Statement of Financial Interest covering that part of the year which he or she held the office or position.

WHERE TO FILE

Pursuant to Ark. Code Ann. § 21-8-703, the Statement of Financial Interest shall be filed as follows:

SECTION 1 (Name and Address)

Answer each of these questions or indicate "Not Applicable". List all names under which you and/or your spouse do business.

SECTION 2 (Reason for Filing)

Check the box appropriate to you. After noting which category fits you, provide the office/position held or name of the board or commission in the appropriate space.

SECTION 3 (Sources of Income)

The term "income" is intended to be comprehensive. It refers to all income from whatever source derived, including but not limited to compensation for services, fees, commissions, and gross income derived from business interests. Report each employer and/or each other source of income from which you, your spouse, or any other person for the use or benefit of you or your spouse receives income. Include your employment with the government which requires your filing of this form. You are required to use the gross amount received as income. Thus, you must compute your total income from any source without first deducting expenses.

You are not required to list the individual items of income that constitute a portion of the gross income of the business or profession from which you or your spouse derives income. You are required to list each source of income greater than $1,000.00 if more than one source/employer/entity compensated you during the past year. If you or your spouse received speaking honoraria, you must report, under the request for "source", the sponsor of each event for which a payment was made for your speech or appearance, as well as the date and dollar category ("more than $1,000.00" or "more than $12,500.00"). The term "honoraria", as used herein, means a payment of money or any thing of value for an appearance, speech, or article. Note: Food, lodging, and travel provided to a public servant in connection with an appearance would not constitute honoraria if the public servant is appearing in his or her official capacity and the appearance bears a relationship to the public servant's office or position. Section 9 of the Statement of Financial Interest addresses the reporting of payment for such food, lodging, and travel.

You must also provide a brief description of the nature of the services for which the compensation was received, as well as the name under which the income was received. For example:

Section 4 (Business or Holdings)

In this section, list the name of every business in which you, your spouse or any other person for the use of you or your spouse have an investment or holding. Stocks, bonds, stock options and other securities held by you or your spouse must be reported. Figures for these items, as well as all other holdings or accounts, should be based on fair market value at the end of the reporting period.

For securities, stocks, or bonds, you must disclose each security held in your portfolio which meets the $1,000.00 threshold. If securities are held through an investment firm, the firm will normally provide periodic statements from which you may obtain the information required to be disclosed. If you own different types of securities issued by the same authority, such as U. S. Treasury obligations or bonds, it is not necessary to provide an itemized list of each security worth over $1,000.00. Rather, you may simply report the aggregate value of the securities issued by the same authority and identify the type of securities.

In the case of mutual funds or similar investments, you need not disclose specific stocks held in a widely diversified investment trust or mutual fund as long as the holdings of the trust or frond are a matter of public record and you have no ability to exercise control over the specific holdings. If you have such control, you must disclose each holding meeting the threshold level of $1,000.00, whether or not you exercise the control. Otherwise, you may simply disclose the name, address, etc. of the authority through which your mutual fund is invested (e.g., IDS), the category of the fund and the category of the appropriate amount (e.g., "more than $1,000.00").

In the case of bank accounts, if the total of interest bearing accounts (including certificates of deposit) deposited in a particular bank exceeds $1,000.00, list each institution holding more than $1,000.00. If no particular bank holds more than $1,000.00, you need not report any bank accounts. All accounts at one institution, including those for your spouse, may be combined as one entry. Thus, for example, you may report a checking account, savings account, certificate of deposit, and IRA in Smith First National Bank of Arkansas by checking the gross total of the accounts (e.g., "more than $1,000.00) and stating "Smith First National Bank of Arkansas" with its address. You need not list each account. If you are listed on an account purely for custodial reasons, and you do not assert any ownership rights to the assets in the account (for example, if you are a joint tenant with an elderly relative), you need not list the account.

For any business interest, if you or your spouse has an interest in a proprietorship, partnership, or corporation that is actively engaged in a trade or business, you must disclose the name and address of each interest. It is not necessary to provide an itemized list of the assets of the business. For example, you need only categorize the total value of your interest (e.g., "more than $12,500.00") and not items such as "office equipment". This includes each asset held in trust for you or your spouse which has a value greater than $1,000.00. Holdings of a trust for which you or your spouse are merely an administrator and for which you have no beneficial interest need not be reported.

Section 5 (Office or Directorship)

You must report your nongovernmental offices and directorships held by you or your spouse in any business, corporation, firm or enterprise subject to the jurisdiction of a regulatory agency of this State, or any of its political subdivisions. For each such business, provide the name of the business, its address, the office or directorship held and the name of the person (either you or your spouse) who holds the office or directorship. A "regulatory agency", as defined by Ark. Code Ann. § 21-8-301(1), means any "state board, commission, department, or officer authorized by law to make rules or to adjudicate contested cases except those in the legislative or judicial branches."

Section 6 (Creditors)

You must report the name and address of each creditor to whom the value of $5,000.00 or more is personally owed and outstanding at the end of the reporting period. All information regarding a single creditor may be reported in a single entry. If you have more than one liability owed to the same creditor, add up the items of credit to determine if the $5,000.00 threshold has been met. The identity of the creditor is the name of the person or organization to which the liability is owed (e.g., "Bob Smith, 1000 Elm Street, Little Rock, Arkansas" or "First Federal Bank of Little Rock, 111 Main, Little Rock, Arkansas").

You do not need to include debts owed to members of you family. You may also exclude loans made in the ordinary course of business by either a financial institution or a person who regularly and customarily extends credit. This exclusion applies to such items as a mortgage secured by real property which is your personal residence, credit extended to purchase personal items such as furniture or appliances, credit card debts, and car loans, provided the credit does not exceed the value of the item purchased.

Debts not incurred in the ordinary course of business include, but are not limited to, such items as legal judgments, judgment liens, money borrowed from individuals, other than family members, who are not normally in the business of lending money, and tax liens owed to any governmental agency.

Section 7 (Guarantor, Co-Maker)

The law requires you to provide the name and address of each guarantor or co-maker, other than a member of your family, who has guaranteed a debt which is still outstanding. The $5,000.00 threshold of Section 6 does not apply here. To the extent that you have a guarantor or co-maker of any of your outstanding debts, the guarantor or co-maker must be disclosed. There is no exception for debts incurred in the ordinary course of business. This requirement also includes debts arising, extended or refinanced after January 1, 1989.

This requirement extends to situations where you have co-signed a loan to assist another person in obtaining credit, unless the person is a member of your family.

Section 8 (Gifts)

The law requires you to identify the source, date, fair market value, and description of each gift of more than one hundred dollars ($100.00) received by you or your spouse during the reporting period or more than two hundred and fifty dollars ($250.00) received by your dependent children during the reporting period. A gift is any "payment entertainment, advance, services or anything of value" unless consideration of equal or greater value has been given in return. All types of gifts, including travel-related, paid-for expenses provided for your personal benefit, must be reported. Travel (including food and lodging) received in connection with official duties and capacity is reported separately. (See below - Section 9 "Nongovernmental Sources of Payment.")

A gift can be a tangible item, such as a watch or cash, or an intangible item, such as travel or lodging given you during an occasion when you were not appearing in an official capacity. A gift does not include (1) informational material, (2) receiving food, lodging or travel which bears a relationship to the public servant's office and when appearing in an official capacity, (3) gifts which are not used and returned to the donor within 30 days, (4) gifts from a family member, as defined by Ark. Code Ann. § 21-8-402(5)(B)(iv), unless the family member is acting as an agent for a person not covered by this paragraph, (5) campaign contributions, (6) devises or inheritances, (7) anything with a value of $100 or less, or (8) wedding presents.

In reporting a gift, you must report the source, the date it was received, its fair market value, and a brief description. In that regard, the Ethics Commission has issued opinions concerning the "fair market value" of such items as "transportation on a private aircraft." A group of items received from the same source at the same time would be considered one gift and the separate values should be added together. As an example, if you receive a tie and tie clip (valued $50.00) along with a pair of golf shoes (valued at $75) from one donor, this should be reported and described on line 3, Section 8, as the receipt of a gift, "tie, tie clip and shoes." The value would be $125.00. Similarly, food and beverages provided you in connection with lodging should be aggregated to ascertain if the threshold reporting level has been reached. If you are unsure if the value should be aggregated for purposes of reporting, you may wish to contact the Arkansas Ethics Commission for an opinion.

Section 9 (Nongovernmental Sources of Payment)

The law allows public officials to receive sources of payment or income from other sources. If you receive money or things of value when acting in an "unofficial capacity", these items will be reported either as "income" (Section 3) or as a "gift" (Section 8). When you receive a payment for expenses, from a nongovernmental source, exceeding $150.00. for food, lodging or travel which bears a relationship to your office when you appear in your official capacity, you must list each such payment in Section 9.

This section concerns expenses paid by nongovernmental sources (such as lobbyists). Each payment exceeding $150 in value must be reported. You must list the name and business address of the person or organization which has paid your expenses, the date and nature of the expenses if the expenses were not compensated by the governmental body for which the public servant serves. Thus, you must disclose in this section, lodging or travel for such activities as speaking engagements, conferences or fact finding events related to your official duties.

Section 9 requires the disclosure of each nongovernmental source of payment. The threshold applicable to this section is to the source and not the individual payment. If one source provides lodging and food and the total of the expenses exceeds $150.00, it must be reported in this section. You do not need to itemize the dollar value or provide an itemized accounting of the expenses provided. Also, as an example, you do not need to indicate whether the travel was on private or commercial carrier. You only need to provide the name of the organization providing the travel, its address, the date of the travel and the nature of the expenses, i.e. "travel to conference along with lodging."

The organization is the source of payment. It should be the name of the sponsor actually paying or providing the expenses. The date of expenses should be the inclusive dates of all travel provided. If the travel all occurred on one day, report that day. Otherwise, list the starting and ending dates of each trip provided (i.e., "May 1-5,1997").

It is permissible to extend a trip at your own expense, accepting return travel from the sponsor. However, to avoid suggesting that travel was accepted for a longer period of time than was actually the case, you should indicate any time not spent at the sponsor's expense on either the line requesting the "date" or "nature" of expenses. For example, using the dates listed above, you could report "May 1-5, 1997. May 3 - 4 on personal business, not reimbursed."

Section 10 (Direct Regulation of Business)

The law requires you to list any business for whom you are employed if the business is under direct regulation or subject to direct control by the governmental body which you serve. You must report the employment by listing the name of this business/employer and provide the governmental body which regulates or controls aspects of the business. Such a business relationship typically exists if your private employer is subject to any rules or regulations of a governmental body or if a governmental body adjudicates contested cases of fact involving your private employer. For example, if you work as a licensed dentist, the appropriate regulatory governing body may be the State Board of Dental Examiners.

Whether your business is under direct regulation or subject to direct control by a governing body is often a question of fact. If you are unsure, you should contact the Arkansas Ethics Commission or, if you know, the agency you suspect may regulate part or all of your activities.

Section 11 (Sales to Governmental Body)

The law requires you to report certain business relationships with the government if a significant sale of goods or services occurs. Specifically, you must set out in detail the goods or services sold having a total annual value in excess of $1,000.00 sold to the governmental body for which you serve or are employed and the compensation paid for each category of goods or services by you or any business in which you or your spouse is an officer, director, stockholder owning more than ten percent (10%) of the stock, owner, trustee, or partner.

Section 12 (Signature)

Under the law, each person, required to file a Statement of Financial Interest must prepare the statement under penalty of false swearing and sign such form attesting to the truth and accuracy of the information set forth on the form. Ark. Code Ann. § 21-8-702. If a person who is required to file a Statement of Financial Interest is called to active duty in the armed forces of the United States, the statement may be completed by the spouse of the person. If the Statement of Financial Interest is completed by the spouse, under this exception, the spouse's signature shall be sufficient for the requirement of Ark. Code Ann. § 21-8-702.