351—4.1 (68A,68B) Requirement to file statement of organization (DR-1)—persons subject to requirements; financial thresholds; where to file; when due.
	 4.1(1) Persons subject to requirement. Every committee shall file a statement of organization (Form DR-1) within ten days from the date of its organization. The forms shall be either typewritten or printed legibly in black ink.
	  a.   	 “Committee” defined. “Committee” includes the following:
	 (1) 	 A “candidate’s committee” that is the committee, even if the committee consists only of the candidate, designated by a candidate for a state or local office to receive contributions, make expenditures, or incur debts in excess of $750.
	 (2) 	 A “political committee” (PAC) that is a committee exceeding the $750 organizational threshold to expressly advocate the nomination, election, or defeat of candidates or to expressly advocate the passage or defeat of a ballot issue. The board shall automatically classify as a political committee any political organization that loses its status as a political party because it fails to meet the requirements of Iowa Code section 43.2. The board shall automatically classify as a political committee any county central committee that operated under the former political party.
	 (3) 	 A “state statutory political committee” (state party), “county statutory political party” (county central committee), or “city statutory political committee” (city central committee).
	 (4) 	 A person that wishes to register a committee for purposes of using the short form “paid for by” attribution statement shall file Form DR-SFA pursuant to rule 351—4.11(68A).
	  b.   	 When organization occurs; financial thresholds. At the latest, organization is construed to have occurred as of the date that the committee first exceeded $750 of financial activity in a calendar year in any of the following categories: contributions received (aggregate of monetary and in-kind contributions); expenditures made; or indebtedness incurred.
	  c.   	 Permanent organizations temporarily engaging in political activity. The requirement to file the statement of organization applies to an entity that comes under the definition of a “political committee” (PAC) in Iowa Code Supplement section 68A.102(18) by receiving contributions, making expenditures, or incurring debts in excess of $750 in any one calendar year for the purpose of expressly advocating the election or defeat of a candidate for public office, or for the purpose of expressly advocating the passage or defeat of a ballot issue. A permanent organization that makes a one-time contribution in excess of $750 may in lieu of filing a statement of organization follow the procedure in rule 351—4.35(68A). A permanent organization that makes loans to a candidate or committee or that is owed debts from a candidate or committee is not deemed to be engaging in political activity requiring registration.
	  d.   	 Independent expenditure committee. A person that is required to file campaign disclosure reports pursuant to 2009 Iowa Code Supplement section 68A.404(3)“a” as amended by 2010 Iowa Acts, Senate File 2354, section 3, due to the filing of an independent expenditure statement (Form Ind-Exp-O) shall be referred to as an “independent expenditure committee.” An independent expenditure committee, or a sole individual making an independent expenditure by filing Form Ind-Exp-I, is not required to file a statement of organization.
	 4.1(2) Place of filing. Statements of organization mandated by statute to be filed electronically with the board shall be filed through the board’s Web site at www.iowagov/ethics. A statement of organization not mandated by statute to be filed electronically may be filed with the board at 510 East 12th Street, Suite 1A, Des Moines, Iowa 50319; by fax at (515)281-4073; or as an E-mail attachment.
	 4.1(3) Time of filing. A statement of organization shall be filed with the board within ten days after the financial filing threshold in subrule 4.1(1) has been exceeded. A statement must be physically received by the board or, if mailed, must bear a United States Postal Service postmark dated on or before the report due date. Faxed or electronically filed statements must be submitted on or before 11:59 p.m.	of the tenth day after the organization of the committee is required. A committee that is mandated by statute to electronically file a statement of organization shall file the statement with the board on or before 4:30 p.m.	on the due date. If the tenth day falls on a Saturday, Sunday, or holiday on which the board office is closed, the filing deadline is extended to the next working day when the board office is open.
	 4.1(4) Candidate defined. For purposes of Iowa Code chapters 68A and 68B and the rules of the board, “candidate” means an individual who takes affirmative action to seek nomination or election to a state or local public office. For purposes of Iowa Code chapter 68A and any rules of the board on campaigning for public office, “candidate” includes any judge or judicial employee who is required by law to stand for retention. “Takes affirmative action” includes making a public announcement of intention to seek nomination or election, making any expenditure or accepting any contribution for nomination or election, distributing petitions for signatures for nomination, filing nomination papers or an affidavit of candidacy, or being nominated by any convention process set out by law.
	 4.1(5) Ballot issue defined. “Ballot issue” means a question that has been approved by a political subdivision or the general assembly to be placed before the voters or is otherwise required by law to be placed before the voters. “Ballot issue” does not include the nomination, election, or defeat of a candidate.
	 4.1(6) Electronic format or electronic filing defined. “Electronic format” or “electronic filing” means the board’s electronic filing system for submitting a statement of organization via the board’s Web site at www.iowa.gov/ethics.
This rule is intended to implement Iowa Code section 68A.201 and section 68A.401 as amended by 2009 Iowa Acts, Senate File 51, section 1.
[ARC 7995B, IAB 7/29/09, effective 9/2/09; ARC 8290B, IAB 11/18/09, effective 12/23/09; ARC 8826B, IAB 6/2/10, effective 5/17/10; ARC 9031B, IAB 8/25/10, effective 9/29/10]