IC 3-9-4
Chapter 4. Administration by Election Division and County
Election Boards
IC 3-9-4-1 Application of chapter
Sec. 1. (a) Except as provided in subsection (b), this chapter
applies to candidates in all elections and caucuses and to the
following types of committees:
(1) Candidate's committees.
(2) Regular party committees.
(3) Political action committees.
(4) A legislative caucus committee.
(b) This chapter does not apply to the following:
(1) A candidate for a local office for which the compensation is
less than five thousand dollars ($5,000) per year unless the
candidate is required to file a written instrument designating a
principal committee under IC 3-9-1-5.5.
(2) Elections for precinct committeeman or delegate to a state
convention.
(3) A candidate for a school board office unless the candidate
is required to file a written instrument designating a principal
committee under IC 3-9-1-5.5.
(4) An auxiliary party organization. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1987, SEC.146;
P.L.3-1993, SEC.88; P.L.3-1995, SEC.71; P.L.3-1997, SEC.184;
P.L.26-2000, SEC.13.
IC 3-9-4-2 Forms
Sec. 2. The election division shall furnish forms prescribed by the
commission for making the reports and statements required to be
filed under this article. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.97;
P.L.3-1997, SEC.185.
IC 3-9-4-3 Information manual
Sec. 3. The commission shall prepare, publish, and furnish to
candidates and all interested persons on request a manual setting
forth recommended uniform methods of bookkeeping and reporting
and shall summarize all the requirements of this article. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.98.
IC 3-9-4-4 Filing, coding, and cross-indexing system; computer system;
standardized software program; electronic submission
Sec. 4. (a) The election division shall develop a filing and coding
system consistent with the purposes of this article. The election
division and each county election board shall use the filing and
coding system. The coding system must provide:
(1) not more than ten (10) codes to account for various
campaign expenditure items; and
(2) a clear explanation of the kinds of expenditure items that
must be accounted for under each code.
(b) The election division shall develop and use a computer system
to store campaign finance reports required to be filed under
IC 3-9-5-6, IC 3-9-5-10, and IC 3-9-5-20.1. The computer system
must enable the election division to do the following:
(1) Identify all candidates or committees that received
contributions from a contributor over the past three (3) years.
(2) Identify all contributors to a candidate or committee over the
past three (3) years.
(3) Provide for electronic submission, retrieval, storage, and
disclosure of campaign finance reports of candidates for the
following:
(A) Legislative office.
(B) State office.
The election division shall provide training at no cost to
candidates to enable candidates described in this subdivision to
file campaign finance reports electronically.
(c) The election division shall notify each candidate's committee
that the election division will provide at the committee's request at no
cost a standardized software program to permit the committee to
install the software on a computer and generate an electronic version
of the reports and statements required to be filed with the election
division under this article. However, the election division is not
required to provide or alter the software program to make the
program compatible for installation or operation on a specific
computer.
(d) This subsection applies to the following committees:
(1) A committee for a candidate seeking election to a state
office.
(2) A political action committee that has received more than
fifty thousand dollars ($50,000) in contributions since the close
of the previous reporting period.
The committee must file electronically the report or statement
required under this article with the election division using a
standardized software program supplied to the committee without
charge under subsection (c) or another format approved by the
election division. An electronic filing approved by the election
division under this subsection may not require manual reentry into a
computer system of the data contained in the report or statement in
order to make the data available to the general public under
subsection (g).
(e) This subsection applies to an electronic submission under
subsection (b)(3). An electronic submission must be in a format
previously approved by the commission that permits the election
division to print out a hard copy of the report after the receipt of the
electronic submission from the candidate. Filing of a report occurs
under IC 3-5-2-24.5 on the date and at the time electronically
recorded by the election division's computer system. If a discrepancy
exists between the text of the electronic submission and the printed
report, the text of the printed report prevails until an amendment is
filed under this article to correct the discrepancy.
(f) The election division is not required to accept an electronic
submission unless the submission complies with subsection (b)(3).
Upon receiving approval from the commission, the election division
may accept an electronic submission from candidates, committees,
or persons described in subsection (b)(3).
(g) The election division shall make campaign finance reports
stored on the computer system under subsection (b) available to the
general public through an on-line service. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.99;
P.L.4-1996, SEC.33; P.L.3-1997, SEC.186; P.L.176-1999, SEC.43;
P.L.126-2002, SEC.34; P.L.45-2003, SEC.1; P.L.221-2005, SEC.19;
P.L.164-2006, SEC.61.
IC 3-9-4-5 Reports and statements; public inspection and copying; sale of
information copied
Sec. 5. (a) The election division and each county election board
shall make the reports and statements filed with them available for
public inspection and copying, commencing as soon as practicable
but not later than the end of the second business day following the
day during which they were received.
(b) The election division and the county election boards shall also
permit copying of a report or statement by hand or by duplicating
machine, as requested, at the expense of the person and subject to
IC 5-14-3-8. Inspection and copying of records contained on the
computer system described in section 4(b) of this chapter are subject
to IC 5-14-3.
(c) A person may not sell information copied from reports and
statements under this section or use it for a commercial purpose.
However, this restriction does not apply to a newspaper, magazine,
book, or other communication with a principal purpose other than
communicating contributor information:
(1) to solicit contributions; or
(2) for other commercial purposes. As added by P.L.5-1986, SEC.5. Amended by P.L.10-1988, SEC.70;
P.L.8-1992, SEC.9; P.L.2-1996, SEC.100; P.L.4-1996, SEC.34;
P.L.3-1997, SEC.187.
IC 3-9-4-6 Preservation of reports and statements
Sec. 6. (a) Except as provided in subsections (b) and (c), the
election division and each county election board shall preserve
reports and statements for four (4) years from December 1 following
the election to which they pertain, unless the records are in litigation.
(b) This subsection applies to reports and statements filed by a
person that seeks to influence the election or retention of an
individual to an office with a term of more than four (4) years. The
election division and each county election board shall preserve the
reports and statements subject to this subsection until the final
December 1 before the expiration of the term for the office, unless
the records are in litigation.
(c) If a report is a duplicate of a report required to be filed under
the federal Election Campaign Act (2 U.S.C. 431 et seq.), the report
may be discarded on January 1 of the second year after the report
was filed. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1995, SEC.72;
P.L.2-1996, SEC.101; P.L.3-1997, SEC.188; P.L.66-2003, SEC.22.
IC 3-9-4-7 List of statements
Sec. 7. The election division and each county election board shall
compile and maintain a current list of all statements or parts of
statements pertaining to each candidate, committee, and public
question. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.102;
P.L.3-1997, SEC.189.
IC 3-9-4-8 Annual report
Sec. 8. (a) The election division shall prepare and make available
to the public an annual report including compilations of total
reported contributions and expenditures for all candidates,
committees, and other persons during the year.
(b) Each county election board may prepare an annual report that
includes compilations of total reported contributions and
expenditures for all candidates, committees, and other persons within
the county during the year. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1987, SEC.147;
P.L.2-1996, SEC.103; P.L.3-1997, SEC.190.
IC 3-9-4-9 Annual compilations
Sec. 9. The election division and each county election board may
prepare and publish annual compilations of:
(1) total amounts expended according to categories it
determines and broken down into:
(A) candidate;
(B) party;
(C) legislative caucus committee; and
(D) political action committee;
expenditures on the state, legislative, and local levels;
(2) total amounts expended for influencing nominations and
elections stated separately; and
(3) total amounts contributed according to categories of
amounts it determines and broken down into contributions on
the state, legislative, and local levels for candidates and
committees. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.104;
P.L.3-1997, SEC.191.
IC 3-9-4-10 Special reports
Sec. 10. The election division and each county election board may
prepare and publish special reports from time to time comparing the
various totals and categories of contributions and expenditures made
with respect to previous elections. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.105;
P.L.3-1997, SEC.192.
IC 3-9-4-11 Miscellaneous reports
Sec. 11. The election division and each county election board may
prepare and publish other reports they consider appropriate. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.106;
P.L.3-1997, SEC.193.
IC 3-9-4-12
Repealed
(Repealed by P.L.3-1995, SEC.157.)
IC 3-9-4-13 Audits; investigations
Sec. 13. The election division and each county election board
shall make audits and field investigations from time to time with
respect to reports and statements filed under this article and with
respect to an alleged failure to file a report or statement required
under this article. The election division may request the state board
of accounts to assist in the performance of audits the election
division considers necessary, and the state board of accounts may
perform the audits that are requested. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.107;
P.L.3-1997, SEC.194.
IC 3-9-4-14 Examination of statements of organization or reports; campaign
finance reports
Sec. 14. (a) The election division and each county election board
shall do all of the following:
(1) Ascertain whether candidates, committees, or other persons
have:
(A) failed to file statements of organization or reports; or
(B) filed defective statements of organization or reports.
(2) Give the following notices:
(A) To delinquents to file a statement of organization or a
report immediately upon receipt of the notice. A delinquency
notice for a report must be given not later than thirty (30)
days after the date the report was required to be filed. The
election division or a county election board may, but is not
required to, give delinquency notices at other times.
(B) To persons filing defective reports to make a
supplemental statement or report correcting all defects not
later than noon five (5) calendar days after receipt of the
notice.
(3) Make available for public inspection a list of delinquents
and persons who have failed to file the required supplemental
statement or report. The election division and each county
election board shall post a list of delinquents in a public place
at or near the entrance of the commission's or board's respective
offices.
(b) The election division shall mail:
(1) to each candidate required to file a campaign finance report
with the election division; and
(2) twenty-one (21) days before the campaign finance reports
are due;
the proper campaign finance report forms and a notice that states the
date the campaign finance reports are due. The election division is
required to mail notices and forms only to candidates for state offices
and legislative offices. A county election board may, but is not
required to, implement this subsection for candidates for local
offices.
(c) Notwithstanding any notice given to a delinquent under
subsection (a) or (b), the delinquent remains liable for a civil penalty
in the full amount permitted under this chapter for failing to file a
campaign finance report or statement of organization not later than
the date and time prescribed under this article. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1995, SEC.73;
P.L.2-1996, SEC.108; P.L.3-1997, SEC.195; P.L.176-1999, SEC.44;
P.L.14-2004, SEC.71.
IC 3-9-4-15 Hearings
Sec. 15. A member of the commission, the co-directors, with the
authorization of the commission, or a member of a county election
board may conduct a hearing or an investigation, take evidence, and
report back to the commission or board for its consideration and
action. As added by P.L.5-1986, SEC.5. Amended by P.L.8-1995, SEC.37.
IC 3-9-4-16 Civil penalties; election commission
Sec. 16. (a) In addition to any other penalty imposed, a person
who does any of the following is subject to a civil penalty under this
section:
(1) Fails to file with the election division a report in the manner
required under IC 3-9-5.
(2) Fails to file a statement of organization required under
IC 3-9-1.
(3) Is a committee or a member of a committee who disburses
or expends money or other property for any political purpose
before the money or other property has passed through the
hands of the treasurer of the committee.
(4) Makes a contribution other than to a committee subject to
this article or to a person authorized by law or a committee to
receive contributions on the committee's behalf.
(5) Is a corporation or labor organization that exceeds any of the
limitations on contributions prescribed by IC 3-9-2-4.
(6) Makes a contribution in the name of another person.
(7) Accepts a contribution made by one (1) person in the name
of another person.
(8) Is not the treasurer of a committee subject to this article, and
pays any expenses of an election or a caucus except as
authorized by this article.
(9) Commingles the funds of a committee with the personal
funds of an officer, a member, or an associate of the committee.
(10) Wrongfully uses campaign contributions in violation of
IC 3-9-3-4.
(11) Violates IC 3-9-2-12.
(12) Fails to designate a contribution as required by
IC 3-9-2-5(c).
(13) Violates IC 3-9-3-5.
(14) Serves as a treasurer of a committee in violation of any of
the following:
(A) IC 3-9-1-13(1).
(B) IC 3-9-1-13(2).
(C) IC 3-9-1-18.
(15) Fails to comply with section 4(d) of this chapter.
(b) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for filing a defective report
or statement. If the commission determines that a person failed to file
the amended report or statement of organization not later than noon
five (5) days after being given notice under section 14 of this chapter,
the commission may assess a civil penalty. The penalty is ten dollars
($10) for each day the report is late after the expiration of the five (5)
day period, not to exceed one hundred dollars ($100) plus any
investigative costs incurred and documented by the election division.
The civil penalty limit under this subsection applies to each report
separately.
(c) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for a delinquent report or
statement. If the commission determines that a person failed to file
the report or statement of organization by the deadline prescribed
under this article, the commission shall assess a civil penalty. The
penalty is fifty dollars ($50) for each day the report or statement is
late, with the afternoon of the final date for filing the report or
statement being calculated as the first day. The civil penalty under
this subsection may not exceed one thousand dollars ($1,000) plus
any investigative costs incurred and documented by the election
division. The civil penalty limit under this subsection applies to each
report separately.
(d) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(3), (a)(4), (a)(6), (a)(7), (a)(8), (a)(9),
or (a)(10). If the commission determines that a person is subject to
a civil penalty under subsection (a), the commission may assess a
civil penalty of not more than one thousand dollars ($1,000), plus
any investigative costs incurred and documented by the election
division.
(e) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(5). If the commission determines that a
person is subject to a civil penalty under subsection (a)(5), the
commission may assess a civil penalty of not more than three (3)
times the amount of the contribution in excess of the limit prescribed
by IC 3-9-2-4, plus any investigative costs incurred and documented
by the election division.
(f) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(11). If the commission determines that
a candidate or the candidate's committee has violated IC 3-9-2-12,
the commission shall assess a civil penalty equal to the greater of the
following, plus any investigative costs incurred and documented by
the election division:
(1) Two (2) times the amount of any contributions received.
(2) One thousand dollars ($1,000).
(g) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(12). If the commission determines that
a corporation or a labor organization has failed to designate a
contribution in violation of IC 3-9-2-5(c), the commission shall
assess a civil penalty equal to the greater of the following, plus any
investigative costs incurred and documented by the election division:
(1) Two (2) times the amount of the contributions undesignated.
(2) One thousand dollars ($1,000).
(h) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(13). If the commission determines, by
unanimous vote of the entire membership of the commission, that a
person has violated IC 3-9-3-5, the commission may assess a civil
penalty of not more than five hundred dollars ($500), plus any
investigative costs incurred and documented by the election division.
(i) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(14). If the commission determines, by
unanimous vote of the entire membership of the commission, that a
person has served as the treasurer of a committee in violation of any
of the statutes listed in subsection (a)(14), the commission may
assess a civil penalty of not more than five hundred dollars ($500),
plus any investigative costs incurred and documented by the election
division.
(j) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(15). The commission may assess a civil
penalty equal to the costs incurred by the election division for the
manual entry of the data contained in the report or statement, plus
any investigative costs incurred and documented by the election
division.
(k) All civil penalties collected under this section shall be
deposited with the treasurer of state in the campaign finance
enforcement account.
(l) Proceedings of the commission under this section are subject
to IC 4-21.5. As added by P.L.3-1993, SEC.89. Amended by P.L.3-1995, SEC.74;
P.L.2-1996, SEC.109; P.L.4-1996, SEC.35; P.L.3-1997, SEC.196;
P.L.66-2003, SEC.23; P.L.14-2004, SEC.72; P.L.221-2005, SEC.20.
IC 3-9-4-17 Civil penalties; county election board
Sec. 17. (a) In addition to any other penalty imposed, a person
who does any of the following is subject to a civil penalty under this
section:
(1) Fails to file with a county election board a report in the
manner required under IC 3-9-5.
(2) Fails to file a statement of organization required under
IC 3-9-1.
(3) Is a committee or a member of a committee who disburses
or expends money or other property for any political purpose
before the money or other property has passed through the
hands of the treasurer of the committee.
(4) Makes a contribution other than to a committee subject to
this article or to a person authorized by law or a committee to
receive contributions in the committee's behalf.
(5) Is a corporation or labor organization that exceeds any of the
limitations on contributions prescribed by IC 3-9-2-4.
(6) Makes a contribution in the name of another person.
(7) Accepts a contribution made by one (1) person in the name
of another person.
(8) Is not the treasurer of a committee subject to this article, and
pays any expenses of an election or a caucus except as
authorized by this article.
(9) Commingles the funds of a committee with the personal
funds of an officer, a member, or an associate of the committee.
(10) Wrongfully uses campaign contributions in violation of
IC 3-9-3-4.
(11) Fails to designate a contribution as required by
IC 3-9-2-5(c).
(12) Violates IC 3-9-3-5.
(13) Serves as a treasurer of a committee in violation of any of
the following:
(A) IC 3-9-1-13(1).
(B) IC 3-9-1-13(2).
(C) IC 3-9-1-18.
(b) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for filing a defective report
or statement. If the county election board determines that a person
failed to file the report or a statement of organization not later than
noon five (5) days after being given notice under section 14 of this
chapter, the county election board may assess a civil penalty. The
penalty is ten dollars ($10) for each day the report is late after the
expiration of the five (5) day period, not to exceed one hundred
dollars ($100) plus any investigative costs incurred and documented
by the board. The civil penalty limit under this subsection applies to
each report separately.
(c) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for a delinquent report or
statement. If the county election board determines that a person
failed to file the report or statement of organization by the deadline
prescribed under this article, the board shall assess a civil penalty.
The penalty is fifty dollars ($50) for each day the report is late, with
the afternoon of the final date for filing the report or statement being
calculated as the first day. The civil penalty under this subsection
may not exceed one thousand dollars ($1,000) plus any investigative
costs incurred and documented by the board. The civil penalty limit
under this subsection applies to each report separately.
(d) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(3), (a)(4), (a)(6), (a)(7), (a)(8), (a)(9),
or (a)(10). If the county election board determines that a person is
subject to a civil penalty under subsection (a), the board may assess
a civil penalty of not more than one thousand dollars ($1,000), plus
any investigative costs incurred and documented by the board.
(e) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(5). If the county election board
determines that a person is subject to a civil penalty under subsection
(a)(5), the board may assess a civil penalty of not more than three (3)
times the amount of the contribution in excess of the limit prescribed
by IC 3-9-2-4, plus any investigative costs incurred and documented
by the board.
(f) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(11). If the county election board
determines that a corporation or a labor organization has failed to
designate a contribution in violation of IC 3-9-2-5(c), the board shall
assess a civil penalty equal to the greater of the following, plus any
investigative costs incurred and documented by the board:
(1) Two (2) times the amount of the contributions undesignated.
(2) One thousand dollars ($1,000).
(g) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(12). If the county election board
determines, by unanimous vote of the entire membership of the
board, that a person has violated IC 3-9-3-5, the board may assess a
civil penalty of not more than five hundred dollars ($500), plus any
investigative costs incurred and documented by the board.
(h) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(13). If the county election board
determines, by unanimous vote of the entire membership of the
board, that a person has served as the treasurer of a committee in
violation of any of the statutes listed in subsection (a)(13), the board
may assess a civil penalty of not more than five hundred dollars
($500), plus any investigative costs incurred and documented by the
board.
(i) All civil penalties collected under this section shall be
deposited with the county treasurer to be deposited by the county
treasurer in a separate account to be known as the campaign finance
enforcement account. The funds in the account are available, with the
approval of the county fiscal body, to augment and supplement the
funds appropriated for the administration of this article.
(j) Money in the campaign finance enforcement account does not
revert to the county general fund at the end of a county fiscal year.
(k) Proceedings of the county election board under this section are
subject to IC 4-21.5. As added by P.L.3-1993, SEC.90. Amended by P.L.3-1995, SEC.75;
P.L.3-1997, SEC.197; P.L.66-2003, SEC.24; P.L.14-2004, SEC.73.
IC 3-9-4-18 Delinquent or defective report
Sec. 18. (a) As used in this section, "delinquent or defective
report" refers to a campaign finance report or statement of
organization:
(1) that was required to be filed under IC 3-9-5 but was not filed
in the manner required under IC 3-9-5; and
(2) for which a person was assessed a civil penalty under
section 16 or 17 of this chapter.
(b) As used in this section, "election board" refers to the
following:
(1) The commission if a civil penalty was assessed under
section 16 of this chapter.
(2) The county election board if a civil penalty was assessed
under section 17 of this chapter.
(c) As used in this section, "person" refers to a person who:
(1) has been assessed a civil penalty under section 16 or 17 of
this chapter; and
(2) has filed a declaration of candidacy, a petition of
nomination, or a declaration of intent to be a write-in candidate
in a subsequent election or for whom a certificate of nomination
has been filed.
(d) A person who does both of the following is relieved from
further civil liability under this chapter for the delinquent or
defective report:
(1) Files the delinquent report or amends the defective report
from the previous candidacy:
(A) before filing a report required under IC 3-9-5-6; or
(B) at the same time the person files the report required
under IC 3-9-5-6;
for a subsequent candidacy.
(2) Pays all civil penalties assessed under section 16 or 17 of
this chapter for the delinquent report.
(e) This subsection applies to a person who:
(1) is assessed a civil penalty under this chapter; and
(2) is elected to office in the subsequent election.
The election board may order the auditor of state or the fiscal officer
of the political subdivision responsible for issuing the person's
payment for serving in office to withhold from the person's paycheck
the amount of the civil penalty assessed under this chapter. If the
amount of the paycheck is less than the amount of the civil penalty,
the auditor or fiscal officer shall continue withholding money from
the person's paycheck until an amount equal to the amount of the
civil penalty has been withheld.
(f) The auditor of state or fiscal officer shall deposit an amount
paid, recovered, or withheld under this section in the election board's
campaign finance enforcement account.
(g) Proceedings of the election board under this section are
subject to IC 4-21.5. As added by P.L.3-1993, SEC.91. Amended by P.L.3-1995, SEC.76;
P.L.2-1996, SEC.110; P.L.3-1997, SEC.198; P.L.176-1999, SEC.45.
IC 3-9-4-19 Waiver or reduction of civil penalty
Sec. 19. Notwithstanding section 16 or 17 of this chapter, if upon
the unanimous vote of its entire membership, the commission or a
county election board finds that imposition of a civil penalty required
to be imposed would be unjust under the circumstances, the
commission or board may do either of the following:
(1) Waive the penalty.
(2) Reduce the penalty to an amount specified by the
commission or the board. As added by P.L.3-1997, SEC.199.
IC 3-9-4-20 Settlement agreement to pay proposed civil penalty
Sec. 20. (a) Notwithstanding section 16 of this chapter, if a person
is notified by the election division that the commission may assess
a proposed civil penalty under this article against the person, the
person may enter into an agreement with the election division to pay
the proposed penalty and waive a hearing before the commission
otherwise required under section 16 of this chapter.
(b) An agreement entered into under this section must:
(1) provide for the payment of the entire proposed civil penalty
not later than the date of the execution of the agreement; and
(2) be presented to the commission by the election division for
ratification at the commission's next regularly scheduled
meeting. As added by P.L.221-2005, SEC.21.
IC 3-9-4
Chapter 4. Administration by Election Division and County
Election Boards
IC 3-9-4-1 Application of chapter
Sec. 1. (a) Except as provided in subsection (b), this chapter
applies to candidates in all elections and caucuses and to the
following types of committees:
(1) Candidate's committees.
(2) Regular party committees.
(3) Political action committees.
(4) A legislative caucus committee.
(b) This chapter does not apply to the following:
(1) A candidate for a local office for which the compensation is
less than five thousand dollars ($5,000) per year unless the
candidate is required to file a written instrument designating a
principal committee under IC 3-9-1-5.5.
(2) Elections for precinct committeeman or delegate to a state
convention.
(3) A candidate for a school board office unless the candidate
is required to file a written instrument designating a principal
committee under IC 3-9-1-5.5.
(4) An auxiliary party organization. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1987, SEC.146;
P.L.3-1993, SEC.88; P.L.3-1995, SEC.71; P.L.3-1997, SEC.184;
P.L.26-2000, SEC.13.
IC 3-9-4-2 Forms
Sec. 2. The election division shall furnish forms prescribed by the
commission for making the reports and statements required to be
filed under this article. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.97;
P.L.3-1997, SEC.185.
IC 3-9-4-3 Information manual
Sec. 3. The commission shall prepare, publish, and furnish to
candidates and all interested persons on request a manual setting
forth recommended uniform methods of bookkeeping and reporting
and shall summarize all the requirements of this article. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.98.
IC 3-9-4-4 Filing, coding, and cross-indexing system; computer system;
standardized software program; electronic submission
Sec. 4. (a) The election division shall develop a filing and coding
system consistent with the purposes of this article. The election
division and each county election board shall use the filing and
coding system. The coding system must provide:
(1) not more than ten (10) codes to account for various
campaign expenditure items; and
(2) a clear explanation of the kinds of expenditure items that
must be accounted for under each code.
(b) The election division shall develop and use a computer system
to store campaign finance reports required to be filed under
IC 3-9-5-6, IC 3-9-5-10, and IC 3-9-5-20.1. The computer system
must enable the election division to do the following:
(1) Identify all candidates or committees that received
contributions from a contributor over the past three (3) years.
(2) Identify all contributors to a candidate or committee over the
past three (3) years.
(3) Provide for electronic submission, retrieval, storage, and
disclosure of campaign finance reports of candidates for the
following:
(A) Legislative office.
(B) State office.
The election division shall provide training at no cost to
candidates to enable candidates described in this subdivision to
file campaign finance reports electronically.
(c) The election division shall notify each candidate's committee
that the election division will provide at the committee's request at no
cost a standardized software program to permit the committee to
install the software on a computer and generate an electronic version
of the reports and statements required to be filed with the election
division under this article. However, the election division is not
required to provide or alter the software program to make the
program compatible for installation or operation on a specific
computer.
(d) This subsection applies to the following committees:
(1) A committee for a candidate seeking election to a state
office.
(2) A political action committee that has received more than
fifty thousand dollars ($50,000) in contributions since the close
of the previous reporting period.
The committee must file electronically the report or statement
required under this article with the election division using a
standardized software program supplied to the committee without
charge under subsection (c) or another format approved by the
election division. An electronic filing approved by the election
division under this subsection may not require manual reentry into a
computer system of the data contained in the report or statement in
order to make the data available to the general public under
subsection (g).
(e) This subsection applies to an electronic submission under
subsection (b)(3). An electronic submission must be in a format
previously approved by the commission that permits the election
division to print out a hard copy of the report after the receipt of the
electronic submission from the candidate. Filing of a report occurs
under IC 3-5-2-24.5 on the date and at the time electronically
recorded by the election division's computer system. If a discrepancy
exists between the text of the electronic submission and the printed
report, the text of the printed report prevails until an amendment is
filed under this article to correct the discrepancy.
(f) The election division is not required to accept an electronic
submission unless the submission complies with subsection (b)(3).
Upon receiving approval from the commission, the election division
may accept an electronic submission from candidates, committees,
or persons described in subsection (b)(3).
(g) The election division shall make campaign finance reports
stored on the computer system under subsection (b) available to the
general public through an on-line service. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.99;
P.L.4-1996, SEC.33; P.L.3-1997, SEC.186; P.L.176-1999, SEC.43;
P.L.126-2002, SEC.34; P.L.45-2003, SEC.1; P.L.221-2005, SEC.19;
P.L.164-2006, SEC.61.
IC 3-9-4-5 Reports and statements; public inspection and copying; sale of
information copied
Sec. 5. (a) The election division and each county election board
shall make the reports and statements filed with them available for
public inspection and copying, commencing as soon as practicable
but not later than the end of the second business day following the
day during which they were received.
(b) The election division and the county election boards shall also
permit copying of a report or statement by hand or by duplicating
machine, as requested, at the expense of the person and subject to
IC 5-14-3-8. Inspection and copying of records contained on the
computer system described in section 4(b) of this chapter are subject
to IC 5-14-3.
(c) A person may not sell information copied from reports and
statements under this section or use it for a commercial purpose.
However, this restriction does not apply to a newspaper, magazine,
book, or other communication with a principal purpose other than
communicating contributor information:
(1) to solicit contributions; or
(2) for other commercial purposes. As added by P.L.5-1986, SEC.5. Amended by P.L.10-1988, SEC.70;
P.L.8-1992, SEC.9; P.L.2-1996, SEC.100; P.L.4-1996, SEC.34;
P.L.3-1997, SEC.187.
IC 3-9-4-6 Preservation of reports and statements
Sec. 6. (a) Except as provided in subsections (b) and (c), the
election division and each county election board shall preserve
reports and statements for four (4) years from December 1 following
the election to which they pertain, unless the records are in litigation.
(b) This subsection applies to reports and statements filed by a
person that seeks to influence the election or retention of an
individual to an office with a term of more than four (4) years. The
election division and each county election board shall preserve the
reports and statements subject to this subsection until the final
December 1 before the expiration of the term for the office, unless
the records are in litigation.
(c) If a report is a duplicate of a report required to be filed under
the federal Election Campaign Act (2 U.S.C. 431 et seq.), the report
may be discarded on January 1 of the second year after the report
was filed. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1995, SEC.72;
P.L.2-1996, SEC.101; P.L.3-1997, SEC.188; P.L.66-2003, SEC.22.
IC 3-9-4-7 List of statements
Sec. 7. The election division and each county election board shall
compile and maintain a current list of all statements or parts of
statements pertaining to each candidate, committee, and public
question. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.102;
P.L.3-1997, SEC.189.
IC 3-9-4-8 Annual report
Sec. 8. (a) The election division shall prepare and make available
to the public an annual report including compilations of total
reported contributions and expenditures for all candidates,
committees, and other persons during the year.
(b) Each county election board may prepare an annual report that
includes compilations of total reported contributions and
expenditures for all candidates, committees, and other persons within
the county during the year. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1987, SEC.147;
P.L.2-1996, SEC.103; P.L.3-1997, SEC.190.
IC 3-9-4-9 Annual compilations
Sec. 9. The election division and each county election board may
prepare and publish annual compilations of:
(1) total amounts expended according to categories it
determines and broken down into:
(A) candidate;
(B) party;
(C) legislative caucus committee; and
(D) political action committee;
expenditures on the state, legislative, and local levels;
(2) total amounts expended for influencing nominations and
elections stated separately; and
(3) total amounts contributed according to categories of
amounts it determines and broken down into contributions on
the state, legislative, and local levels for candidates and
committees. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.104;
P.L.3-1997, SEC.191.
IC 3-9-4-10 Special reports
Sec. 10. The election division and each county election board may
prepare and publish special reports from time to time comparing the
various totals and categories of contributions and expenditures made
with respect to previous elections. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.105;
P.L.3-1997, SEC.192.
IC 3-9-4-11 Miscellaneous reports
Sec. 11. The election division and each county election board may
prepare and publish other reports they consider appropriate. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.106;
P.L.3-1997, SEC.193.
IC 3-9-4-12
Repealed
(Repealed by P.L.3-1995, SEC.157.)
IC 3-9-4-13 Audits; investigations
Sec. 13. The election division and each county election board
shall make audits and field investigations from time to time with
respect to reports and statements filed under this article and with
respect to an alleged failure to file a report or statement required
under this article. The election division may request the state board
of accounts to assist in the performance of audits the election
division considers necessary, and the state board of accounts may
perform the audits that are requested. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.107;
P.L.3-1997, SEC.194.
IC 3-9-4-14 Examination of statements of organization or reports; campaign
finance reports
Sec. 14. (a) The election division and each county election board
shall do all of the following:
(1) Ascertain whether candidates, committees, or other persons
have:
(A) failed to file statements of organization or reports; or
(B) filed defective statements of organization or reports.
(2) Give the following notices:
(A) To delinquents to file a statement of organization or a
report immediately upon receipt of the notice. A delinquency
notice for a report must be given not later than thirty (30)
days after the date the report was required to be filed. The
election division or a county election board may, but is not
required to, give delinquency notices at other times.
(B) To persons filing defective reports to make a
supplemental statement or report correcting all defects not
later than noon five (5) calendar days after receipt of the
notice.
(3) Make available for public inspection a list of delinquents
and persons who have failed to file the required supplemental
statement or report. The election division and each county
election board shall post a list of delinquents in a public place
at or near the entrance of the commission's or board's respective
offices.
(b) The election division shall mail:
(1) to each candidate required to file a campaign finance report
with the election division; and
(2) twenty-one (21) days before the campaign finance reports
are due;
the proper campaign finance report forms and a notice that states the
date the campaign finance reports are due. The election division is
required to mail notices and forms only to candidates for state offices
and legislative offices. A county election board may, but is not
required to, implement this subsection for candidates for local
offices.
(c) Notwithstanding any notice given to a delinquent under
subsection (a) or (b), the delinquent remains liable for a civil penalty
in the full amount permitted under this chapter for failing to file a
campaign finance report or statement of organization not later than
the date and time prescribed under this article. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1995, SEC.73;
P.L.2-1996, SEC.108; P.L.3-1997, SEC.195; P.L.176-1999, SEC.44;
P.L.14-2004, SEC.71.
IC 3-9-4-15 Hearings
Sec. 15. A member of the commission, the co-directors, with the
authorization of the commission, or a member of a county election
board may conduct a hearing or an investigation, take evidence, and
report back to the commission or board for its consideration and
action. As added by P.L.5-1986, SEC.5. Amended by P.L.8-1995, SEC.37.
IC 3-9-4-16 Civil penalties; election commission
Sec. 16. (a) In addition to any other penalty imposed, a person
who does any of the following is subject to a civil penalty under this
section:
(1) Fails to file with the election division a report in the manner
required under IC 3-9-5.
(2) Fails to file a statement of organization required under
IC 3-9-1.
(3) Is a committee or a member of a committee who disburses
or expends money or other property for any political purpose
before the money or other property has passed through the
hands of the treasurer of the committee.
(4) Makes a contribution other than to a committee subject to
this article or to a person authorized by law or a committee to
receive contributions on the committee's behalf.
(5) Is a corporation or labor organization that exceeds any of the
limitations on contributions prescribed by IC 3-9-2-4.
(6) Makes a contribution in the name of another person.
(7) Accepts a contribution made by one (1) person in the name
of another person.
(8) Is not the treasurer of a committee subject to this article, and
pays any expenses of an election or a caucus except as
authorized by this article.
(9) Commingles the funds of a committee with the personal
funds of an officer, a member, or an associate of the committee.
(10) Wrongfully uses campaign contributions in violation of
IC 3-9-3-4.
(11) Violates IC 3-9-2-12.
(12) Fails to designate a contribution as required by
IC 3-9-2-5(c).
(13) Violates IC 3-9-3-5.
(14) Serves as a treasurer of a committee in violation of any of
the following:
(A) IC 3-9-1-13(1).
(B) IC 3-9-1-13(2).
(C) IC 3-9-1-18.
(15) Fails to comply with section 4(d) of this chapter.
(b) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for filing a defective report
or statement. If the commission determines that a person failed to file
the amended report or statement of organization not later than noon
five (5) days after being given notice under section 14 of this chapter,
the commission may assess a civil penalty. The penalty is ten dollars
($10) for each day the report is late after the expiration of the five (5)
day period, not to exceed one hundred dollars ($100) plus any
investigative costs incurred and documented by the election division.
The civil penalty limit under this subsection applies to each report
separately.
(c) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for a delinquent report or
statement. If the commission determines that a person failed to file
the report or statement of organization by the deadline prescribed
under this article, the commission shall assess a civil penalty. The
penalty is fifty dollars ($50) for each day the report or statement is
late, with the afternoon of the final date for filing the report or
statement being calculated as the first day. The civil penalty under
this subsection may not exceed one thousand dollars ($1,000) plus
any investigative costs incurred and documented by the election
division. The civil penalty limit under this subsection applies to each
report separately.
(d) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(3), (a)(4), (a)(6), (a)(7), (a)(8), (a)(9),
or (a)(10). If the commission determines that a person is subject to
a civil penalty under subsection (a), the commission may assess a
civil penalty of not more than one thousand dollars ($1,000), plus
any investigative costs incurred and documented by the election
division.
(e) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(5). If the commission determines that a
person is subject to a civil penalty under subsection (a)(5), the
commission may assess a civil penalty of not more than three (3)
times the amount of the contribution in excess of the limit prescribed
by IC 3-9-2-4, plus any investigative costs incurred and documented
by the election division.
(f) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(11). If the commission determines that
a candidate or the candidate's committee has violated IC 3-9-2-12,
the commission shall assess a civil penalty equal to the greater of the
following, plus any investigative costs incurred and documented by
the election division:
(1) Two (2) times the amount of any contributions received.
(2) One thousand dollars ($1,000).
(g) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(12). If the commission determines that
a corporation or a labor organization has failed to designate a
contribution in violation of IC 3-9-2-5(c), the commission shall
assess a civil penalty equal to the greater of the following, plus any
investigative costs incurred and documented by the election division:
(1) Two (2) times the amount of the contributions undesignated.
(2) One thousand dollars ($1,000).
(h) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(13). If the commission determines, by
unanimous vote of the entire membership of the commission, that a
person has violated IC 3-9-3-5, the commission may assess a civil
penalty of not more than five hundred dollars ($500), plus any
investigative costs incurred and documented by the election division.
(i) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(14). If the commission determines, by
unanimous vote of the entire membership of the commission, that a
person has served as the treasurer of a committee in violation of any
of the statutes listed in subsection (a)(14), the commission may
assess a civil penalty of not more than five hundred dollars ($500),
plus any investigative costs incurred and documented by the election
division.
(j) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(15). The commission may assess a civil
penalty equal to the costs incurred by the election division for the
manual entry of the data contained in the report or statement, plus
any investigative costs incurred and documented by the election
division.
(k) All civil penalties collected under this section shall be
deposited with the treasurer of state in the campaign finance
enforcement account.
(l) Proceedings of the commission under this section are subject
to IC 4-21.5. As added by P.L.3-1993, SEC.89. Amended by P.L.3-1995, SEC.74;
P.L.2-1996, SEC.109; P.L.4-1996, SEC.35; P.L.3-1997, SEC.196;
P.L.66-2003, SEC.23; P.L.14-2004, SEC.72; P.L.221-2005, SEC.20.
IC 3-9-4-17 Civil penalties; county election board
Sec. 17. (a) In addition to any other penalty imposed, a person
who does any of the following is subject to a civil penalty under this
section:
(1) Fails to file with a county election board a report in the
manner required under IC 3-9-5.
(2) Fails to file a statement of organization required under
IC 3-9-1.
(3) Is a committee or a member of a committee who disburses
or expends money or other property for any political purpose
before the money or other property has passed through the
hands of the treasurer of the committee.
(4) Makes a contribution other than to a committee subject to
this article or to a person authorized by law or a committee to
receive contributions in the committee's behalf.
(5) Is a corporation or labor organization that exceeds any of the
limitations on contributions prescribed by IC 3-9-2-4.
(6) Makes a contribution in the name of another person.
(7) Accepts a contribution made by one (1) person in the name
of another person.
(8) Is not the treasurer of a committee subject to this article, and
pays any expenses of an election or a caucus except as
authorized by this article.
(9) Commingles the funds of a committee with the personal
funds of an officer, a member, or an associate of the committee.
(10) Wrongfully uses campaign contributions in violation of
IC 3-9-3-4.
(11) Fails to designate a contribution as required by
IC 3-9-2-5(c).
(12) Violates IC 3-9-3-5.
(13) Serves as a treasurer of a committee in violation of any of
the following:
(A) IC 3-9-1-13(1).
(B) IC 3-9-1-13(2).
(C) IC 3-9-1-18.
(b) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for filing a defective report
or statement. If the county election board determines that a person
failed to file the report or a statement of organization not later than
noon five (5) days after being given notice under section 14 of this
chapter, the county election board may assess a civil penalty. The
penalty is ten dollars ($10) for each day the report is late after the
expiration of the five (5) day period, not to exceed one hundred
dollars ($100) plus any investigative costs incurred and documented
by the board. The civil penalty limit under this subsection applies to
each report separately.
(c) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for a delinquent report or
statement. If the county election board determines that a person
failed to file the report or statement of organization by the deadline
prescribed under this article, the board shall assess a civil penalty.
The penalty is fifty dollars ($50) for each day the report is late, with
the afternoon of the final date for filing the report or statement being
calculated as the first day. The civil penalty under this subsection
may not exceed one thousand dollars ($1,000) plus any investigative
costs incurred and documented by the board. The civil penalty limit
under this subsection applies to each report separately.
(d) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(3), (a)(4), (a)(6), (a)(7), (a)(8), (a)(9),
or (a)(10). If the county election board determines that a person is
subject to a civil penalty under subsection (a), the board may assess
a civil penalty of not more than one thousand dollars ($1,000), plus
any investigative costs incurred and documented by the board.
(e) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(5). If the county election board
determines that a person is subject to a civil penalty under subsection
(a)(5), the board may assess a civil penalty of not more than three (3)
times the amount of the contribution in excess of the limit prescribed
by IC 3-9-2-4, plus any investigative costs incurred and documented
by the board.
(f) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(11). If the county election board
determines that a corporation or a labor organization has failed to
designate a contribution in violation of IC 3-9-2-5(c), the board shall
assess a civil penalty equal to the greater of the following, plus any
investigative costs incurred and documented by the board:
(1) Two (2) times the amount of the contributions undesignated.
(2) One thousand dollars ($1,000).
(g) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(12). If the county election board
determines, by unanimous vote of the entire membership of the
board, that a person has violated IC 3-9-3-5, the board may assess a
civil penalty of not more than five hundred dollars ($500), plus any
investigative costs incurred and documented by the board.
(h) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(13). If the county election board
determines, by unanimous vote of the entire membership of the
board, that a person has served as the treasurer of a committee in
violation of any of the statutes listed in subsection (a)(13), the board
may assess a civil penalty of not more than five hundred dollars
($500), plus any investigative costs incurred and documented by the
board.
(i) All civil penalties collected under this section shall be
deposited with the county treasurer to be deposited by the county
treasurer in a separate account to be known as the campaign finance
enforcement account. The funds in the account are available, with the
approval of the county fiscal body, to augment and supplement the
funds appropriated for the administration of this article.
(j) Money in the campaign finance enforcement account does not
revert to the county general fund at the end of a county fiscal year.
(k) Proceedings of the county election board under this section are
subject to IC 4-21.5. As added by P.L.3-1993, SEC.90. Amended by P.L.3-1995, SEC.75;
P.L.3-1997, SEC.197; P.L.66-2003, SEC.24; P.L.14-2004, SEC.73.
IC 3-9-4-18 Delinquent or defective report
Sec. 18. (a) As used in this section, "delinquent or defective
report" refers to a campaign finance report or statement of
organization:
(1) that was required to be filed under IC 3-9-5 but was not filed
in the manner required under IC 3-9-5; and
(2) for which a person was assessed a civil penalty under
section 16 or 17 of this chapter.
(b) As used in this section, "election board" refers to the
following:
(1) The commission if a civil penalty was assessed under
section 16 of this chapter.
(2) The county election board if a civil penalty was assessed
under section 17 of this chapter.
(c) As used in this section, "person" refers to a person who:
(1) has been assessed a civil penalty under section 16 or 17 of
this chapter; and
(2) has filed a declaration of candidacy, a petition of
nomination, or a declaration of intent to be a write-in candidate
in a subsequent election or for whom a certificate of nomination
has been filed.
(d) A person who does both of the following is relieved from
further civil liability under this chapter for the delinquent or
defective report:
(1) Files the delinquent report or amends the defective report
from the previous candidacy:
(A) before filing a report required under IC 3-9-5-6; or
(B) at the same time the person files the report required
under IC 3-9-5-6;
for a subsequent candidacy.
(2) Pays all civil penalties assessed under section 16 or 17 of
this chapter for the delinquent report.
(e) This subsection applies to a person who:
(1) is assessed a civil penalty under this chapter; and
(2) is elected to office in the subsequent election.
The election board may order the auditor of state or the fiscal officer
of the political subdivision responsible for issuing the person's
payment for serving in office to withhold from the person's paycheck
the amount of the civil penalty assessed under this chapter. If the
amount of the paycheck is less than the amount of the civil penalty,
the auditor or fiscal officer shall continue withholding money from
the person's paycheck until an amount equal to the amount of the
civil penalty has been withheld.
(f) The auditor of state or fiscal officer shall deposit an amount
paid, recovered, or withheld under this section in the election board's
campaign finance enforcement account.
(g) Proceedings of the election board under this section are
subject to IC 4-21.5. As added by P.L.3-1993, SEC.91. Amended by P.L.3-1995, SEC.76;
P.L.2-1996, SEC.110; P.L.3-1997, SEC.198; P.L.176-1999, SEC.45.
IC 3-9-4-19 Waiver or reduction of civil penalty
Sec. 19. Notwithstanding section 16 or 17 of this chapter, if upon
the unanimous vote of its entire membership, the commission or a
county election board finds that imposition of a civil penalty required
to be imposed would be unjust under the circumstances, the
commission or board may do either of the following:
(1) Waive the penalty.
(2) Reduce the penalty to an amount specified by the
commission or the board. As added by P.L.3-1997, SEC.199.
IC 3-9-4-20 Settlement agreement to pay proposed civil penalty
Sec. 20. (a) Notwithstanding section 16 of this chapter, if a person
is notified by the election division that the commission may assess
a proposed civil penalty under this article against the person, the
person may enter into an agreement with the election division to pay
the proposed penalty and waive a hearing before the commission
otherwise required under section 16 of this chapter.
(b) An agreement entered into under this section must:
(1) provide for the payment of the entire proposed civil penalty
not later than the date of the execution of the agreement; and
(2) be presented to the commission by the election division for
ratification at the commission's next regularly scheduled
meeting. As added by P.L.221-2005, SEC.21.
IC 3-9-4
Chapter 4. Administration by Election Division and County
Election Boards
IC 3-9-4-1 Application of chapter
Sec. 1. (a) Except as provided in subsection (b), this chapter
applies to candidates in all elections and caucuses and to the
following types of committees:
(1) Candidate's committees.
(2) Regular party committees.
(3) Political action committees.
(4) A legislative caucus committee.
(b) This chapter does not apply to the following:
(1) A candidate for a local office for which the compensation is
less than five thousand dollars ($5,000) per year unless the
candidate is required to file a written instrument designating a
principal committee under IC 3-9-1-5.5.
(2) Elections for precinct committeeman or delegate to a state
convention.
(3) A candidate for a school board office unless the candidate
is required to file a written instrument designating a principal
committee under IC 3-9-1-5.5.
(4) An auxiliary party organization. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1987, SEC.146;
P.L.3-1993, SEC.88; P.L.3-1995, SEC.71; P.L.3-1997, SEC.184;
P.L.26-2000, SEC.13.
IC 3-9-4-2 Forms
Sec. 2. The election division shall furnish forms prescribed by the
commission for making the reports and statements required to be
filed under this article. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.97;
P.L.3-1997, SEC.185.
IC 3-9-4-3 Information manual
Sec. 3. The commission shall prepare, publish, and furnish to
candidates and all interested persons on request a manual setting
forth recommended uniform methods of bookkeeping and reporting
and shall summarize all the requirements of this article. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.98.
IC 3-9-4-4 Filing, coding, and cross-indexing system; computer system;
standardized software program; electronic submission
Sec. 4. (a) The election division shall develop a filing and coding
system consistent with the purposes of this article. The election
division and each county election board shall use the filing and
coding system. The coding system must provide:
(1) not more than ten (10) codes to account for various
campaign expenditure items; and
(2) a clear explanation of the kinds of expenditure items that
must be accounted for under each code.
(b) The election division shall develop and use a computer system
to store campaign finance reports required to be filed under
IC 3-9-5-6, IC 3-9-5-10, and IC 3-9-5-20.1. The computer system
must enable the election division to do the following:
(1) Identify all candidates or committees that received
contributions from a contributor over the past three (3) years.
(2) Identify all contributors to a candidate or committee over the
past three (3) years.
(3) Provide for electronic submission, retrieval, storage, and
disclosure of campaign finance reports of candidates for the
following:
(A) Legislative office.
(B) State office.
The election division shall provide training at no cost to
candidates to enable candidates described in this subdivision to
file campaign finance reports electronically.
(c) The election division shall notify each candidate's committee
that the election division will provide at the committee's request at no
cost a standardized software program to permit the committee to
install the software on a computer and generate an electronic version
of the reports and statements required to be filed with the election
division under this article. However, the election division is not
required to provide or alter the software program to make the
program compatible for installation or operation on a specific
computer.
(d) This subsection applies to the following committees:
(1) A committee for a candidate seeking election to a state
office.
(2) A political action committee that has received more than
fifty thousand dollars ($50,000) in contributions since the close
of the previous reporting period.
The committee must file electronically the report or statement
required under this article with the election division using a
standardized software program supplied to the committee without
charge under subsection (c) or another format approved by the
election division. An electronic filing approved by the election
division under this subsection may not require manual reentry into a
computer system of the data contained in the report or statement in
order to make the data available to the general public under
subsection (g).
(e) This subsection applies to an electronic submission under
subsection (b)(3). An electronic submission must be in a format
previously approved by the commission that permits the election
division to print out a hard copy of the report after the receipt of the
electronic submission from the candidate. Filing of a report occurs
under IC 3-5-2-24.5 on the date and at the time electronically
recorded by the election division's computer system. If a discrepancy
exists between the text of the electronic submission and the printed
report, the text of the printed report prevails until an amendment is
filed under this article to correct the discrepancy.
(f) The election division is not required to accept an electronic
submission unless the submission complies with subsection (b)(3).
Upon receiving approval from the commission, the election division
may accept an electronic submission from candidates, committees,
or persons described in subsection (b)(3).
(g) The election division shall make campaign finance reports
stored on the computer system under subsection (b) available to the
general public through an on-line service. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.99;
P.L.4-1996, SEC.33; P.L.3-1997, SEC.186; P.L.176-1999, SEC.43;
P.L.126-2002, SEC.34; P.L.45-2003, SEC.1; P.L.221-2005, SEC.19;
P.L.164-2006, SEC.61.
IC 3-9-4-5 Reports and statements; public inspection and copying; sale of
information copied
Sec. 5. (a) The election division and each county election board
shall make the reports and statements filed with them available for
public inspection and copying, commencing as soon as practicable
but not later than the end of the second business day following the
day during which they were received.
(b) The election division and the county election boards shall also
permit copying of a report or statement by hand or by duplicating
machine, as requested, at the expense of the person and subject to
IC 5-14-3-8. Inspection and copying of records contained on the
computer system described in section 4(b) of this chapter are subject
to IC 5-14-3.
(c) A person may not sell information copied from reports and
statements under this section or use it for a commercial purpose.
However, this restriction does not apply to a newspaper, magazine,
book, or other communication with a principal purpose other than
communicating contributor information:
(1) to solicit contributions; or
(2) for other commercial purposes. As added by P.L.5-1986, SEC.5. Amended by P.L.10-1988, SEC.70;
P.L.8-1992, SEC.9; P.L.2-1996, SEC.100; P.L.4-1996, SEC.34;
P.L.3-1997, SEC.187.
IC 3-9-4-6 Preservation of reports and statements
Sec. 6. (a) Except as provided in subsections (b) and (c), the
election division and each county election board shall preserve
reports and statements for four (4) years from December 1 following
the election to which they pertain, unless the records are in litigation.
(b) This subsection applies to reports and statements filed by a
person that seeks to influence the election or retention of an
individual to an office with a term of more than four (4) years. The
election division and each county election board shall preserve the
reports and statements subject to this subsection until the final
December 1 before the expiration of the term for the office, unless
the records are in litigation.
(c) If a report is a duplicate of a report required to be filed under
the federal Election Campaign Act (2 U.S.C. 431 et seq.), the report
may be discarded on January 1 of the second year after the report
was filed. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1995, SEC.72;
P.L.2-1996, SEC.101; P.L.3-1997, SEC.188; P.L.66-2003, SEC.22.
IC 3-9-4-7 List of statements
Sec. 7. The election division and each county election board shall
compile and maintain a current list of all statements or parts of
statements pertaining to each candidate, committee, and public
question. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.102;
P.L.3-1997, SEC.189.
IC 3-9-4-8 Annual report
Sec. 8. (a) The election division shall prepare and make available
to the public an annual report including compilations of total
reported contributions and expenditures for all candidates,
committees, and other persons during the year.
(b) Each county election board may prepare an annual report that
includes compilations of total reported contributions and
expenditures for all candidates, committees, and other persons within
the county during the year. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1987, SEC.147;
P.L.2-1996, SEC.103; P.L.3-1997, SEC.190.
IC 3-9-4-9 Annual compilations
Sec. 9. The election division and each county election board may
prepare and publish annual compilations of:
(1) total amounts expended according to categories it
determines and broken down into:
(A) candidate;
(B) party;
(C) legislative caucus committee; and
(D) political action committee;
expenditures on the state, legislative, and local levels;
(2) total amounts expended for influencing nominations and
elections stated separately; and
(3) total amounts contributed according to categories of
amounts it determines and broken down into contributions on
the state, legislative, and local levels for candidates and
committees. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.104;
P.L.3-1997, SEC.191.
IC 3-9-4-10 Special reports
Sec. 10. The election division and each county election board may
prepare and publish special reports from time to time comparing the
various totals and categories of contributions and expenditures made
with respect to previous elections. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.105;
P.L.3-1997, SEC.192.
IC 3-9-4-11 Miscellaneous reports
Sec. 11. The election division and each county election board may
prepare and publish other reports they consider appropriate. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.106;
P.L.3-1997, SEC.193.
IC 3-9-4-12
Repealed
(Repealed by P.L.3-1995, SEC.157.)
IC 3-9-4-13 Audits; investigations
Sec. 13. The election division and each county election board
shall make audits and field investigations from time to time with
respect to reports and statements filed under this article and with
respect to an alleged failure to file a report or statement required
under this article. The election division may request the state board
of accounts to assist in the performance of audits the election
division considers necessary, and the state board of accounts may
perform the audits that are requested. As added by P.L.5-1986, SEC.5. Amended by P.L.2-1996, SEC.107;
P.L.3-1997, SEC.194.
IC 3-9-4-14 Examination of statements of organization or reports; campaign
finance reports
Sec. 14. (a) The election division and each county election board
shall do all of the following:
(1) Ascertain whether candidates, committees, or other persons
have:
(A) failed to file statements of organization or reports; or
(B) filed defective statements of organization or reports.
(2) Give the following notices:
(A) To delinquents to file a statement of organization or a
report immediately upon receipt of the notice. A delinquency
notice for a report must be given not later than thirty (30)
days after the date the report was required to be filed. The
election division or a county election board may, but is not
required to, give delinquency notices at other times.
(B) To persons filing defective reports to make a
supplemental statement or report correcting all defects not
later than noon five (5) calendar days after receipt of the
notice.
(3) Make available for public inspection a list of delinquents
and persons who have failed to file the required supplemental
statement or report. The election division and each county
election board shall post a list of delinquents in a public place
at or near the entrance of the commission's or board's respective
offices.
(b) The election division shall mail:
(1) to each candidate required to file a campaign finance report
with the election division; and
(2) twenty-one (21) days before the campaign finance reports
are due;
the proper campaign finance report forms and a notice that states the
date the campaign finance reports are due. The election division is
required to mail notices and forms only to candidates for state offices
and legislative offices. A county election board may, but is not
required to, implement this subsection for candidates for local
offices.
(c) Notwithstanding any notice given to a delinquent under
subsection (a) or (b), the delinquent remains liable for a civil penalty
in the full amount permitted under this chapter for failing to file a
campaign finance report or statement of organization not later than
the date and time prescribed under this article. As added by P.L.5-1986, SEC.5. Amended by P.L.3-1995, SEC.73;
P.L.2-1996, SEC.108; P.L.3-1997, SEC.195; P.L.176-1999, SEC.44;
P.L.14-2004, SEC.71.
IC 3-9-4-15 Hearings
Sec. 15. A member of the commission, the co-directors, with the
authorization of the commission, or a member of a county election
board may conduct a hearing or an investigation, take evidence, and
report back to the commission or board for its consideration and
action. As added by P.L.5-1986, SEC.5. Amended by P.L.8-1995, SEC.37.
IC 3-9-4-16 Civil penalties; election commission
Sec. 16. (a) In addition to any other penalty imposed, a person
who does any of the following is subject to a civil penalty under this
section:
(1) Fails to file with the election division a report in the manner
required under IC 3-9-5.
(2) Fails to file a statement of organization required under
IC 3-9-1.
(3) Is a committee or a member of a committee who disburses
or expends money or other property for any political purpose
before the money or other property has passed through the
hands of the treasurer of the committee.
(4) Makes a contribution other than to a committee subject to
this article or to a person authorized by law or a committee to
receive contributions on the committee's behalf.
(5) Is a corporation or labor organization that exceeds any of the
limitations on contributions prescribed by IC 3-9-2-4.
(6) Makes a contribution in the name of another person.
(7) Accepts a contribution made by one (1) person in the name
of another person.
(8) Is not the treasurer of a committee subject to this article, and
pays any expenses of an election or a caucus except as
authorized by this article.
(9) Commingles the funds of a committee with the personal
funds of an officer, a member, or an associate of the committee.
(10) Wrongfully uses campaign contributions in violation of
IC 3-9-3-4.
(11) Violates IC 3-9-2-12.
(12) Fails to designate a contribution as required by
IC 3-9-2-5(c).
(13) Violates IC 3-9-3-5.
(14) Serves as a treasurer of a committee in violation of any of
the following:
(A) IC 3-9-1-13(1).
(B) IC 3-9-1-13(2).
(C) IC 3-9-1-18.
(15) Fails to comply with section 4(d) of this chapter.
(b) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for filing a defective report
or statement. If the commission determines that a person failed to file
the amended report or statement of organization not later than noon
five (5) days after being given notice under section 14 of this chapter,
the commission may assess a civil penalty. The penalty is ten dollars
($10) for each day the report is late after the expiration of the five (5)
day period, not to exceed one hundred dollars ($100) plus any
investigative costs incurred and documented by the election division.
The civil penalty limit under this subsection applies to each report
separately.
(c) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for a delinquent report or
statement. If the commission determines that a person failed to file
the report or statement of organization by the deadline prescribed
under this article, the commission shall assess a civil penalty. The
penalty is fifty dollars ($50) for each day the report or statement is
late, with the afternoon of the final date for filing the report or
statement being calculated as the first day. The civil penalty under
this subsection may not exceed one thousand dollars ($1,000) plus
any investigative costs incurred and documented by the election
division. The civil penalty limit under this subsection applies to each
report separately.
(d) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(3), (a)(4), (a)(6), (a)(7), (a)(8), (a)(9),
or (a)(10). If the commission determines that a person is subject to
a civil penalty under subsection (a), the commission may assess a
civil penalty of not more than one thousand dollars ($1,000), plus
any investigative costs incurred and documented by the election
division.
(e) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(5). If the commission determines that a
person is subject to a civil penalty under subsection (a)(5), the
commission may assess a civil penalty of not more than three (3)
times the amount of the contribution in excess of the limit prescribed
by IC 3-9-2-4, plus any investigative costs incurred and documented
by the election division.
(f) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(11). If the commission determines that
a candidate or the candidate's committee has violated IC 3-9-2-12,
the commission shall assess a civil penalty equal to the greater of the
following, plus any investigative costs incurred and documented by
the election division:
(1) Two (2) times the amount of any contributions received.
(2) One thousand dollars ($1,000).
(g) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(12). If the commission determines that
a corporation or a labor organization has failed to designate a
contribution in violation of IC 3-9-2-5(c), the commission shall
assess a civil penalty equal to the greater of the following, plus any
investigative costs incurred and documented by the election division:
(1) Two (2) times the amount of the contributions undesignated.
(2) One thousand dollars ($1,000).
(h) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(13). If the commission determines, by
unanimous vote of the entire membership of the commission, that a
person has violated IC 3-9-3-5, the commission may assess a civil
penalty of not more than five hundred dollars ($500), plus any
investigative costs incurred and documented by the election division.
(i) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(14). If the commission determines, by
unanimous vote of the entire membership of the commission, that a
person has served as the treasurer of a committee in violation of any
of the statutes listed in subsection (a)(14), the commission may
assess a civil penalty of not more than five hundred dollars ($500),
plus any investigative costs incurred and documented by the election
division.
(j) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(15). The commission may assess a civil
penalty equal to the costs incurred by the election division for the
manual entry of the data contained in the report or statement, plus
any investigative costs incurred and documented by the election
division.
(k) All civil penalties collected under this section shall be
deposited with the treasurer of state in the campaign finance
enforcement account.
(l) Proceedings of the commission under this section are subject
to IC 4-21.5. As added by P.L.3-1993, SEC.89. Amended by P.L.3-1995, SEC.74;
P.L.2-1996, SEC.109; P.L.4-1996, SEC.35; P.L.3-1997, SEC.196;
P.L.66-2003, SEC.23; P.L.14-2004, SEC.72; P.L.221-2005, SEC.20.
IC 3-9-4-17 Civil penalties; county election board
Sec. 17. (a) In addition to any other penalty imposed, a person
who does any of the following is subject to a civil penalty under this
section:
(1) Fails to file with a county election board a report in the
manner required under IC 3-9-5.
(2) Fails to file a statement of organization required under
IC 3-9-1.
(3) Is a committee or a member of a committee who disburses
or expends money or other property for any political purpose
before the money or other property has passed through the
hands of the treasurer of the committee.
(4) Makes a contribution other than to a committee subject to
this article or to a person authorized by law or a committee to
receive contributions in the committee's behalf.
(5) Is a corporation or labor organization that exceeds any of the
limitations on contributions prescribed by IC 3-9-2-4.
(6) Makes a contribution in the name of another person.
(7) Accepts a contribution made by one (1) person in the name
of another person.
(8) Is not the treasurer of a committee subject to this article, and
pays any expenses of an election or a caucus except as
authorized by this article.
(9) Commingles the funds of a committee with the personal
funds of an officer, a member, or an associate of the committee.
(10) Wrongfully uses campaign contributions in violation of
IC 3-9-3-4.
(11) Fails to designate a contribution as required by
IC 3-9-2-5(c).
(12) Violates IC 3-9-3-5.
(13) Serves as a treasurer of a committee in violation of any of
the following:
(A) IC 3-9-1-13(1).
(B) IC 3-9-1-13(2).
(C) IC 3-9-1-18.
(b) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for filing a defective report
or statement. If the county election board determines that a person
failed to file the report or a statement of organization not later than
noon five (5) days after being given notice under section 14 of this
chapter, the county election board may assess a civil penalty. The
penalty is ten dollars ($10) for each day the report is late after the
expiration of the five (5) day period, not to exceed one hundred
dollars ($100) plus any investigative costs incurred and documented
by the board. The civil penalty limit under this subsection applies to
each report separately.
(c) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(1) or (a)(2) for a delinquent report or
statement. If the county election board determines that a person
failed to file the report or statement of organization by the deadline
prescribed under this article, the board shall assess a civil penalty.
The penalty is fifty dollars ($50) for each day the report is late, with
the afternoon of the final date for filing the report or statement being
calculated as the first day. The civil penalty under this subsection
may not exceed one thousand dollars ($1,000) plus any investigative
costs incurred and documented by the board. The civil penalty limit
under this subsection applies to each report separately.
(d) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(3), (a)(4), (a)(6), (a)(7), (a)(8), (a)(9),
or (a)(10). If the county election board determines that a person is
subject to a civil penalty under subsection (a), the board may assess
a civil penalty of not more than one thousand dollars ($1,000), plus
any investigative costs incurred and documented by the board.
(e) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(5). If the county election board
determines that a person is subject to a civil penalty under subsection
(a)(5), the board may assess a civil penalty of not more than three (3)
times the amount of the contribution in excess of the limit prescribed
by IC 3-9-2-4, plus any investigative costs incurred and documented
by the board.
(f) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(11). If the county election board
determines that a corporation or a labor organization has failed to
designate a contribution in violation of IC 3-9-2-5(c), the board shall
assess a civil penalty equal to the greater of the following, plus any
investigative costs incurred and documented by the board:
(1) Two (2) times the amount of the contributions undesignated.
(2) One thousand dollars ($1,000).
(g) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(12). If the county election board
determines, by unanimous vote of the entire membership of the
board, that a person has violated IC 3-9-3-5, the board may assess a
civil penalty of not more than five hundred dollars ($500), plus any
investigative costs incurred and documented by the board.
(h) This subsection applies to a person who is subject to a civil
penalty under subsection (a)(13). If the county election board
determines, by unanimous vote of the entire membership of the
board, that a person has served as the treasurer of a committee in
violation of any of the statutes listed in subsection (a)(13), the board
may assess a civil penalty of not more than five hundred dollars
($500), plus any investigative costs incurred and documented by the
board.
(i) All civil penalties collected under this section shall be
deposited with the county treasurer to be deposited by the county
treasurer in a separate account to be known as the campaign finance
enforcement account. The funds in the account are available, with the
approval of the county fiscal body, to augment and supplement the
funds appropriated for the administration of this article.
(j) Money in the campaign finance enforcement account does not
revert to the county general fund at the end of a county fiscal year.
(k) Proceedings of the county election board under this section are
subject to IC 4-21.5. As added by P.L.3-1993, SEC.90. Amended by P.L.3-1995, SEC.75;
P.L.3-1997, SEC.197; P.L.66-2003, SEC.24; P.L.14-2004, SEC.73.
IC 3-9-4-18 Delinquent or defective report
Sec. 18. (a) As used in this section, "delinquent or defective
report" refers to a campaign finance report or statement of
organization:
(1) that was required to be filed under IC 3-9-5 but was not filed
in the manner required under IC 3-9-5; and
(2) for which a person was assessed a civil penalty under
section 16 or 17 of this chapter.
(b) As used in this section, "election board" refers to the
following:
(1) The commission if a civil penalty was assessed under
section 16 of this chapter.
(2) The county election board if a civil penalty was assessed
under section 17 of this chapter.
(c) As used in this section, "person" refers to a person who:
(1) has been assessed a civil penalty under section 16 or 17 of
this chapter; and
(2) has filed a declaration of candidacy, a petition of
nomination, or a declaration of intent to be a write-in candidate
in a subsequent election or for whom a certificate of nomination
has been filed.
(d) A person who does both of the following is relieved from
further civil liability under this chapter for the delinquent or
defective report:
(1) Files the delinquent report or amends the defective report
from the previous candidacy:
(A) before filing a report required under IC 3-9-5-6; or
(B) at the same time the person files the report required
under IC 3-9-5-6;
for a subsequent candidacy.
(2) Pays all civil penalties assessed under section 16 or 17 of
this chapter for the delinquent report.
(e) This subsection applies to a person who:
(1) is assessed a civil penalty under this chapter; and
(2) is elected to office in the subsequent election.
The election board may order the auditor of state or the fiscal officer
of the political subdivision responsible for issuing the person's
payment for serving in office to withhold from the person's paycheck
the amount of the civil penalty assessed under this chapter. If the
amount of the paycheck is less than the amount of the civil penalty,
the auditor or fiscal officer shall continue withholding money from
the person's paycheck until an amount equal to the amount of the
civil penalty has been withheld.
(f) The auditor of state or fiscal officer shall deposit an amount
paid, recovered, or withheld under this section in the election board's
campaign finance enforcement account.
(g) Proceedings of the election board under this section are
subject to IC 4-21.5. As added by P.L.3-1993, SEC.91. Amended by P.L.3-1995, SEC.76;
P.L.2-1996, SEC.110; P.L.3-1997, SEC.198; P.L.176-1999, SEC.45.
IC 3-9-4-19 Waiver or reduction of civil penalty
Sec. 19. Notwithstanding section 16 or 17 of this chapter, if upon
the unanimous vote of its entire membership, the commission or a
county election board finds that imposition of a civil penalty required
to be imposed would be unjust under the circumstances, the
commission or board may do either of the following:
(1) Waive the penalty.
(2) Reduce the penalty to an amount specified by the
commission or the board. As added by P.L.3-1997, SEC.199.
IC 3-9-4-20 Settlement agreement to pay proposed civil penalty
Sec. 20. (a) Notwithstanding section 16 of this chapter, if a person
is notified by the election division that the commission may assess
a proposed civil penalty under this article against the person, the
person may enter into an agreement with the election division to pay
the proposed penalty and waive a hearing before the commission
otherwise required under section 16 of this chapter.
(b) An agreement entered into under this section must:
(1) provide for the payment of the entire proposed civil penalty
not later than the date of the execution of the agreement; and
(2) be presented to the commission by the election division for
ratification at the commission's next regularly scheduled
meeting. As added by P.L.221-2005, SEC.21.
