Current through Register 1518, March 29, 2024
(1)
Campaign Finance Reports, Generally. Failure to file
any of the following campaign finance reports required to be filed with the
Director, in accordance with the schedule specified in M.G.L. c. 55, will
result in the immediate assessment of a civil penalty, pursuant to M.G.L. c.
55, § 3: independent expenditure reports (Form 18A), Independent
Expenditure PAC reports (Form 102 IEPC), reports of electioneering
communication expenditures (CPF Form 18F), periodic reports for non-depository
candidates and committees (Form 102 ND), periodic reports for depository
candidates and committees (Form D102), periodic reports for political action
committees (Form 102PC), and periodic reports for ballot question committees
(Form 102BQ).
(2)
Ward,
Town and City Committee Reports. Failure to file a campaign
finance report that is required to be filed by a ward, town or city committee
with the Director in accordance with M.G.L. c. 55, § 18 on the date that
it is due will result in the immediate assessment of a civil penalty pursuant
to M.G.L. c. 55, § 3 if the committee has received contributions, made
expenditures, incurred liabilities, or acquired or disposed of assets in excess
of $2,500 during the relevant reporting period or during the calendar
year.
(3)
Deposit
Reports. Deposit Reports are due, in accordance with M.G.L. c. 55,
§ 19(b)(2), by the 5th of each month in which
deposits are made by candidates and committees required to designate a
depository by M.G.L. c. 55, § 19(a) other than candidates for state senate
or house of representatives. Candidates for state senate and house of
representatives are required to file deposit reports by the dates specified in
M.G.L. c. 55, § 19(b)(3). Failure to file a Deposit Report on or before
the date the report is due may result in the assessment of a civil penalty of
$25 for each day the report is late, pursuant to M.G.L. c. 55, § 19 and
970 CMR 2.14(4).
(4)
Miscellaneous Reports. Failure to file Deposit Reports
or any of the following reports or affidavits required to be filed with the
Director or local election official, within 14 days after notification by the
Director or his or her designee that filing in accordance with M.G.L. c. 55 has
not taken place, will result in the assessment of a civil penalty pursuant to
M.G.L. c. 55:
(a) Reports of independent
expenditures promoting the election or defeat of municipal candidates (Form
M18A);
(b) Reports of corporate
treasurers or other persons reflecting expenditures made to influence or affect
the vote on any question submitted to the voters (Form 22);
(c) Reports of governmental treasurers
reflecting expenditures made to influence or affect the vote on any question
submitted to the voters (Forms 22A and M22A);
(d) Affidavit reflecting change of treasurer
and acceptance of office by new treasurer (Forms T101 and M-T101);
(e) Change of purpose of candidate's
political committee (Form 101P);
(f) Disclosures of committee credit card
activity (Forms 9 and M9);
(g)
Certificate of appointment of depository (Form D103);
(h) Report of fundraising event for
nonresident candidate (Form 102NR);
(i) Reports of treasurers of ward, town and
city committees not subject to the provisions of 970 CMR 2.14(2); and
(j) Any other report, statement or affidavit
required to be filed by M.G.L. c. 55 or 970 CMR including, but not limited to,
subvendor reports (Form 18D), Reports of Donations to inauguration, recount or
legal defense funds (Form 18E), and statements indicating that a candidate has
no political committee organized on the candidate's behalf and will not be
raising or spending funds (Form D104 or Form M109).
(5)
Failure to File Timely
Campaign Finance Reports with Local Election Officials.
(a) Local election officials shall inspect
campaign finance reports (CPF Form M102) within 30 days of the reporting dates
required by M.G.L. c. 55 and other reports or statements within 60 days of the
date such reports or statements are due.
(b) If a person fails to file a required
report or statement in a timely manner, the election official must provide
written notification to the person(s) required to file that the report or
statement must be filed within ten days to avoid the assessment of
penalties.
(c) If a person who
receives notification from the local election official fails to respond within
ten days of receiving notice, the election official shall notify the Director
and furnish the Director with a copy of the notification letter required by
970 CMR
2.00 and M.G.L. c. 55, § 28, together with any
other information which may be relevant to the referral, such as correspondence
from the election official notifying the candidate or treasurer of the due-date
of a report or statement, the portion of the ballot containing the candidate's
name, if applicable, the statement of organization of the political committee
and the last report filed by the candidate.
(d) Upon receiving notification from the
local election official, the Director shall assess a penalty, pursuant to
M.G.L. c. 55, § 3, against the person responsible for filing the late
report or statement, and may refer the candidate or treasurer to the attorney
general pursuant to M.G.L. c. 55, § 3.
(6)
Requests for Waiver of
Penalty.
(a) Candidates,
treasurers, and other persons who have been assessed a penalty may submit a
request for a waiver of part or all of any such penalty to the Director in
accordance with M.G.L. c. 55, § 3.
(b) Requests for waiver must be in writing
and signed by the person who has been assessed a penalty. Such requests may be
accompanied by documentation, if any, demonstrating the cause of a
delay.
(c) The filing of a request
for waiver does not suspend the due date of a report, statement or affidavit
and does not suspend the assessment of the $25 per day penalty specified in
M.G.L. c. 55, § 3.
(d) The
determination of whether "good cause" exists to waive a penalty or portion
thereof depends on a number of factual circumstances and shall be made by the
Director or his designee based upon the specific facts of each case. Examples
of "good cause" may include, but are not necessarily limited to:
1. A death, incapacitating illness, or
hospitalization of the candidate, treasurer, or other person who has been
assessed a penalty, or in the immediate family of such person.
a. Requests submitted due to illness or
hospitalization must be accompanied by sufficient documentation, which would
consist of a doctor's statement noting the name of the patient, the
incapacitating illness or hospitalization, and the date(s) of the illness or
hospitalization.
b. In the case of
death, a death certificate or obituary notice would constitute adequate
documentation.
2.. Serious
accident involving the candidate or treasurer or other person who has been
assessed a penalty. Requests for waiver for this reason must be accompanied by
a copy of the hospital bill, a doctor's statement, or other adequate
documentation.
3. Unforeseen severe
weather conditions, e.g., hurricane or maj or snowstorm at the time of
filing.
4. Other good
cause.
(e) The following
circumstances generally do not constitute "good cause":
1. Postal delay;
2. Change of treasurer;
3. Relocation of campaign office;
4. Forms not received by committee;
5. Ignorance of requirement to file
form;
6. Candidate or treasurer
moved without notifying OCPF;
7.
Lack of access to campaign records.
(f) The Director or his or her designee shall
issue a written determination for each waiver request within 30 days. The
request may be approved or denied in whole or in part.
(g) Within 30 days of receiving the
Director's decision regarding a waiver request, a candidate or treasurer may
submit a written request for a hearing to appeal the decision.
1. Within 30 days of receipt of such request,
a hearing shall be scheduled before the Director or his or her
designee.
2. Hearings shall be
brief and informal; rules of evidence shall not apply.
3. At the request of the Director, his or her
designee or a person requesting a hearing, such hearing shall be tape recorded
and testimony shall be taken under oath administered by the person conducting
the hearing.
4. The person
requesting the hearing must, unless excused in accordance with 970 CMR
2.14(6)(g)4., be present at the hearing. If the person requesting the hearing
is unable to attend due to unforeseen circumstances, that person may request
that the hearing proceed in his or her absence. If the Director approves the
request, the hearing may proceed notwithstanding that person's
absence.
5. Within 30 days of the
hearing, the Director or his or her designee shall issue a written decision
approving or denying, in whole or in part, the waiver request. The decision is
subject to judicial review in accordance with M.G.L. c. 55, § 3 and c.
30A.
(6) All
reports, statements and affidavits referenced in M.G.L. c. 55 or 970 CMR shall
be signed under the penalties of perjury.
