Chapter 2: Getting Started (The Paperwork)

Official Source: Chapter 2 - Getting Started

Introduction

This chapter covers the specific forms you must file to legally open your campaign committee. In California, you are considered a "candidate" the moment you announce your intention to run and start handling money.

The paperwork you file depends entirely on one magic number: $2,000.

Path A: The "Small Player" (Less than $2,000)

If you do not plan to raise or spend $2,000 or more in a calendar year (including your own personal money), the process is very simple.

The Forms You Need

1. Form 501 (Candidate Intention Statement): File this before you raise or spend a single penny.
2. Form 470 (Short Form): File this by the deadline of the first pre-election statement (usually a few months before the election). This form effectively tells the state, "I am staying small, don't expect complex reports from me."

Trigger Warning: If you later hit that $2,000 limit, you must immediately switch to Path B (see below) and file a Form 470 Supplement within 48 hours.

Path B: The Standard Campaign ($2,000 or More)

Most serious campaigns will fall into this category. If you plan to raise or spend $2,000 or more (or if you are unsure), follow these steps.

Step 1: File Form 501 (Candidate Intention)

When: BEFORE you solicit or receive any money (even your own). What it does: Declares your intention to run for a specific office. Where to file: Secretary of State.

Critical Decision on Form 501: This is where you accept or reject the Voluntary Expenditure Ceiling (VEC) discussed in Chapter 1.

• Check "Accept" if you want to buy a candidate statement in the ballot pamphlet.
• Check "Reject" if you want to spend unlimited money but forfeit the ballot statement.
• Note: If you run for reelection to the same office, you generally don't need a new Form 501 for the General if you filed one for the Primary.

Step 2: Open a Campaign Bank Account

The One Account Rule: You must have one separate bank account for each election.

• No Commingling: Never mix campaign money with personal funds or business accounts.
• Deposit First: If you want to spend your own money on the campaign, you must first deposit it into the campaign account, then spend it from there.
  • Exceptions: You can pay filing fees and the Statement of Organization fee directly from personal funds.
• Tax ID: The bank will ask for a Federal Tax ID (EIN). This is an IRS requirement, not an FPPC one, but you will need it to open the account.

Step 3: File Form 410 (Statement of Organization)

When: Within 10 days of raising or spending your first $2,000. What it does: Registers your committee and gives you a Committee ID Number. Where to file: Secretary of State.

Key Rules for Form 410:

1. Committee Name: Must include your Last Name, Office Sought, and Year of Election (e.g., "Greer for Senate 2026").
2. Fees: You must pay a $50 annual fee to the Secretary of State.
   • For new committees, pay within 15 days of filing Form 410.
   • Thereafter, pay by January 15 every year.
   • Penalty: Missing this payment results in a $150 fine (total $200) and potential enforcement action.
3. Treasurer: You must list a treasurer. A candidate can be their own treasurer, but you cannot accept money if the treasurer position is vacant.
4. 24-Hour Rule: If you qualify as a committee (hit the $2,000 mark) during the last 16 days before an election, you must file Form 410 within 24 hours.

Step 4: Watch Out for Form 497 (The Speed Ticket)

Once you are a registered committee, you enter a zone of rapid reporting. Form 497 is a 24-hour report used to disclose large contributions immediately.

When to File Form 497:

1. The 90-Day Window: During the 90 days leading up to the election (plus election day), if you receive $1,000 or more from a single source, you must file Form 497 within 24 hours.
2. Large Off-Cycle Donations: If you receive $5,000 or more from a single source at any other time (outside the 90-day window), you must file Form 497 within 10 business days.

Electronic Filing: Form 497 is filed electronically with the Secretary of State. No paper copies needed.

Primarily Formed Committees (Non-Candidates)

This section applies to groups formed to support or oppose a candidate but not controlled by that candidate (e.g., "Citizens for Better Government, Supporting Smith for Senate").

Requirements:

1. Form 410: File to register the committee.
   • Name Rule: Must include the candidate's name, office, year, and whether you Support or Oppose (e.g., "Committee Opposing Griffin for Governor 2026").
2. Form 497: Applies to you as well. If you receive $1,000+ in the 90-day window, file within 24 hours.
3. Independent Expenditures: Since you are not the candidate, your spending is likely an "Independent Expenditure." See Chapter 12 for those rules.

How to File (Digital vs. Wet Signature)

As of 2023, the rules for filing paper forms (like Form 410 and 501) have modernized.

• Email Filing: You can file these forms via email to the Secretary of State.
• Signatures: You generally need a "verified digital signature" if filing by email.
• Originals: If you file online or by fax in a rush (like for a 24-hour deadline), you often still need to send the original paper copy with a "wet" (ink) signature or a compliant digital signature to the Secretary of State.

Always check the Secretary of State website for the current specific software requirements for digital signatures.

Action Plan: The "Getting Started" Checklist

FAQ: Common Stumbling Blocks

Q: Can I use my personal credit card for campaign expenses? A: Yes, but you must be reimbursed by the campaign bank account within strict timelines (usually 45 days) to avoid it becoming a complex "non-monetary contribution" or an illegal loan. It is cleaner to deposit your money into the campaign account and use the campaign debit card.

Q: I am running for reelection. Do I need a new bank account? A: Yes. You need a separate bank account and committee for each election (e.g., 2022 Primary vs. 2026 Primary). You can transfer funds (see Chapter 1), but the accounts must be distinct.

Q: What if I receive a $1,500 check 10 days before the election? A: You must file Form 497 within 24 hours. If you fail to do this, you will likely be fined.

Q: I'm a small candidate (Path A). What if I unexpectedly get a big donation and cross $2,000? A: You must file Form 470 Supplement, then file Form 410, open a bank account, and start filing regular reports (Form 460). You have 48 hours to file the supplement.