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Elections Division :: Meeting Minutes

INDIANA ELECTION COMMISSION

MINUTES JUNE 9, 1998

MEMBERS PRESENT: Dudley Cruea, Chairman of the Indiana Election Commission [IEC]; S. Anthony Long, Vice-Chairman; Butch Morgan; Leslie Davis Hiner, proxy for Joseph M. Perkins, Jr.

MEMBERS ABSENT: Joseph M. Perkins, Jr.

STAFF ATTENDING: Laurie P. Christie, Co-Director, Election Division, Office of the Indiana Secretary of State ("Election Division"); Mary Ann Tippett, Co-Director, Election Division; J. Bradley King, Co-General Counsel, IEC and Election Division; Kristi Robertson, Co-General Counsel, IEC and Election Division; Michelle Thompson, Co-Director, Campaign Finance, Election Division.

ALSO ATTENDING: Jack Black, of Election Systems & Software (ES&S), Chicago; Jeff Brantley, of Indianapolis; Steve Corey of Governmental Business Systems (GBS); Edith Dallinger, of Crawfordsville; Edward F. Dundas, of Franklin; Carla Gaff-Clark, of Indianapolis; James Hodson, of Rushville; Jeff Lorenzo, of Seymour; The Honorable Ed Mahern, Indiana State Representative; Paul R. McBride, of Orleans; Steve McCaffrey, of Indianapolis; Sue O'Brien, of Lafayette; Bob Randall, of Muncie (ICAPAC); Paul Schrenker, of Anderson; Greg Schenkel, of Indianapolis; Tom Schuhler, of GBS; Mary Jo Shanklin, of Indianapolis; Doug Simpkins, of GBS; Charles Sulok, of Granger; Ronald R. Wilson, of Indianapolis.

1. CALL TO ORDER:

The chair called the June 9, 1998 meeting of the Indiana Election Commission to order at 9:08 a.m. in State House Room 233, 200 West Washington Street, Indianapolis, Indiana. He noted that proper notice of the meeting had been given, as required by state law, and that a quorum of Commission members was present. The chair remarked that although Mr. Morgan was absent, he was expected to arrive shortly. A copy of the meeting notice and agenda is incorporated by reference in these minutes. [Copies of all documents incorporated by reference are available for public inspection and copying in the Office of the Secretary of State.]

2. RECOGNITION OF PROXY MEMBER:

The chair noted that Mr. Perkins had filed an instrument with the Election Division earlier on this date designating Ms. Leslie Davis Hiner as his proxy for this meeting. The chair added that this proxy also revoked a previously executed instrument filed by Mr. Perkins with the Election Division on June 8, 1998, designating Mr. Roger Schmelzer as his proxy. The chair noted that Mr. Schmelzer had been unable to attend this meeting due to illness.

3. APPROVAL OF APRIL 29, 1998 MINUTES:

The chair said that each Commission member had previously received a draft of the proposed Commission minutes for April 29, 1998 meeting. There being no additions or corrections, Mr. Long moved that the minutes be approved as presented. Ms. Hiner seconded the motion. There being no further discussion, the chair called the question, and declared that with three members voting "aye" (Mr. Cruea, Ms. Hiner, and Mr. Long), no member voting "nay", and one member absent (Mr. Morgan), the motion was adopted.

4. VOTING SYSTEM CERTIFICATIONS:

A. ES&S PC-BT BALLOT CARD VOTING SYSTEM:
The chair recognized Mr. King, who stated that he had provided Commission members with a letter dated June 2, 1998 from himself to Mr. Herb Deutsch of ES&S requesting information concerning the clarifications to be supplied by ES&S regarding the company's application for recertification of this voting system. Mr. King added that Ms. Melissa Parnell of ES&S had also submitted a list dated May 18, 1998, of Indiana counties that currently utilize voting equipment supplied by ES&S. A copy of each document is incorporated by reference in these minutes.

Mr. King said that he had been informed by Mr. Deutsch that ES&S had been very busy assisting with a large number of primary elections in several other states during the last few weeks, but that he would supply the additional documentation concerning this voting system requested by the Commission by June 30. The chair recognized Mr. Black, who stated that this had been a very busy time for the company.

B. GBS ACCU-TAB BALLOT CARD VOTING SYSTEM:
The chair recognized Mr. King, who stated that Steve Corey of GBS was present to address the Commission regarding the recertification of this voting system and to conduct a demonstration of this system for the Commission. Mr. King noted that Commission members had received a copy of a letter dated June 2, 1998 from himself to Mr. Corey concerning this meeting, and a copy of a memorandum dated June 2, 1998 to the Indiana counties currently using this system. A copy of each document is incorporated by reference in these minutes.

The chair recognized Mr. Corey, who introduced himself, Tom Schuhler, and Doug Simpkins. Mr. Corey stated that they would be demonstrating the GBS ACCU-TAB punch card voting system. He remarked that the ACCU-TAB was a central count system used to tabulate one variety or another of ballot cards in more than forty counties in Indiana.

The chair recognized Mr. Simpkins, who noted that the ACCU-TAB was used at a central counting location in each county, with ballot cards being brought to that location to be counted on a card reader after the polls close. He stated that the system consists of a PC monitor, keyboard, and printer. Mr. Simpkins demonstrated both the DOS and Windows versions of this program.

Mr. Simpkins remarked that the first step in the program was to run an initialization card, in which 228 punch positions have been punched, and that as a result, all candidate totals would be set to zero. He noted that the precinct results were backed up on floppy disk automatically after every ten precincts are run through the ballot tabulation program. In response to a question from the chair, Mr. Simpkins stated that the initialization card was also run through the tabulator before the system pre-test in the county election board office and public test conducted before the election. Mr. Corey said that the public test uses a pre-marked set of cards in which every ballot position has been voted. He added that each county also conducts a post-election test after the election night tabulation, using the same set of ballot cards utilized in the pre-test, with the system therefore being tested a total of three times during each election process.

Mr. Simpkins stated that each precinct has its own "header card" with the name of the precinct indicated, and noted that after the tabulator processes the header card, the actual ballot cards for the precinct are processed, and are followed by an "ender card" to indicate that there are no additional ballots from this precinct.

Mr. Simpkins processed the ballot cards from a precinct, and noted that county election officials would then compare the printed election report from the tabulator with the number of ballots handcounted by the judges in the precinct. He remarked that if the two figures were the same, then the voting system would print out a precinct vote total report. He provided Commission members with pages 2 through 6 of both the DOS and Windows versions of the report, and noted that both versions use the same "count logic". These documents are incorporated by reference in these minutes.

Mr. Simpkins noted that the report states the punch card number for the candidate, the name of each candidate, the name of the candidate's political party, two vote total columns (one showing the votes cast for a candidate in that precinct, and one showing the accumulated votes cast for the candidate in all precincts processed by the tabulator), and a percentage column indicating the percent of the vote attained in the precinct by each candidate. He added that the report also states the percentage of registered voters in the precinct who cast ballots at the election. He noted that the report can be customized at the request of a county user to include or exclude information, such as percentages, rankings, overvotes and undervotes.

Mr. Simpkins stated that after the vote count for a precinct had been completed, the count for the next precinct could begin. He added that each report indicates the number of precincts in the jurisdiction counted up to that point (such as "1 of 16"). Mr. Simpkins said that county election officials can also print out a summary of all precinct tabulations at any point, and that after the count had been completed, the system would print out a canvass report that indicated the number of votes cast for each candidate in the county. He remarked that the system could reprint the report for a precinct if a paper jam occurred, or for any other reason, and that the system could print up to nine copies of a vote total report without special instructions. He added that the system could also "back out" precinct totals if the incorrect header card was used to count a precinct's ballots.

Mr. Simpkins demonstrated the Windows version of the system, and noted that the user was required to insert the official tabulation diskette to begin the process. He noted that the Windows version also used an initialization card, a header card, and an ender card, and that either buttons or a keyboard could be used to run the program. He added that after a precinct's card have been processed, the user can accept or reject the report by indicating "yes" or "no", and that a precinct report can then be printed out.

Mr. Simpkins noted that the Windows version offers some advantages, such as a color screen (rather than a black and white screen), and the ability to print a list of all precincts in the county, with an asterisk indicating the precincts which have already been counted. He indicated that the report printed using the Windows version was exactly the same as the report printed using the DOS version. In response to a question from Ms. Christie, Mr. Simpkins indicated that the voting system was currently set to process six hundred ballots per minute, but other card readers could process up to one thousand ballots per minute.

In response to a question from Ms. Hiner concerning the system's processing of overvotes, Mr. Simpkins stated that the overvote in a particular race would not spoil the remainder of the votes on that ballot, but would be recognized by the system to prevent overvotes from being counted in that race. Mr. Corey added that if a voter realized that an overvote had been cast, the voter could request a replacement ballot card from precinct election officials. Mr. Simpkins stated that if a voter punched a hole in a ballot card where no candidate was listed, the tabulator would disregard that hole.

In response to another question from Ms. Hiner regarding pin-prick holes and hanging chad, Mr. Simpkins stated that pinholes can result when a voter inserts a ballot upside down into the card holder. Mr. Corey noted that the tabulator will stop if the tabulator detects light from a hole in the card in a position where a hole should not be found. He added that the judges could then remake the ballot card or determine that the ballot card was spoiled. He added that hanging chad was the most difficult case for determining voter intent, and that this was the biggest problem in punch card voting. He stated that the solution was to educate voters to examine their ballots to make certain that all punches had been properly made before returning their ballots to election officials.

Mr. Corey recognized Mr. Schuhler, who stated that the program run in this demonstration was the same GBS ACCU-TAB program used by Indiana counties in the May 1998 primary. Mr. Schuhler noted that there were two minor changes to call to the Commission's attention: first, a modification in the format of precinct names, which would not appear in the printed report, but was a more maintainable way to perform the coding within the program; secondly, an update in the dating system to process the year 2000 and beyond. He added that the count logic was unchanged, and that ballots would be counted precisely as they were before.

The chair recognized Mr. King, who stated that at the direction of the Commission, the Election Division staff had notified all Indiana counties currently using this voting system and requested their comments concerning the recertification of the system. He noted that he had received a letter dated June 5, 1998 from Ms. Laurie A. Baker, the Fulton County Circuit Court Clerk, commenting favorably on the proposed recertification of this system. This letter is incorporated by reference in these minutes. Mr. King added that the Information Services Division had previously examined this voting system, and that the Election Division recommended that the Commission recertify this voting system unless the Commission had further concerns following the demonstration of the system. He noted that if the Commission approved the recertification of this voting system, the recertification would expire in five years, on June 9, 2003.

Mr. Long moved that the Governmental Business Systems ACCU-TAB ballot card voting system as presented be recertified for marketing and use in Indiana. Ms. Hiner seconded the motion. There being no further discussion, the chair called the question, and declared that with three members voting "aye" (Mr. Cruea, Ms. Hiner, and Mr. Long), no member voting "nay", and one member absent (Mr. Morgan), the motion was adopted.

5. CAMPAIGN FINANCE 1996 AUDIT REPORT:

The chair recognized Ms. Thompson, who noted that Commission members had received a memorandum dated June 3, 1998 from herself and Ms. Craycraft concerning the audit conducted of 1996 annual campaign finance reports, including three pages of attachments. A copy of the memorandum and attachments are incorporated by reference in these minutes. She stated that the Campaign Finance staff had identified approximately fifty committees with defective reports, but that all of these committees had responded by correcting these defects in a timely manner. The Commission accepted this report from Campaign Finance staff.

6. REVIEW OF APPLICABLE CAMPAIGN FINANCE STATUTES:

The chair recognized Mr. King, who noted that three categories of campaign finance enforcement proceedings would be presented to the Commission today: (1) first, a group of approximately 25 committees whose causes were continued from a previous Commission meeting, and which have failed to file an annual report covering calendar year 1997, or which filed an annual report following the January 1998 deadline; (2) secondly, a group of approximately thirty committees,

which failed to file a pre-primary report covering January 1 through early April 1998, or which filed the pre-primary report after the April 17, 1998 deadline; and (3) thirdly, a group of approximately twenty-five committees, which failed to file a pre-primary "large contribution" supplemental report, or which filed the supplemental report after the Friday, noon May 1, 1998 deadline. Mr. King noted that the filing of a supplemental report by each candidate to state whether or not the candidate received a contribution of $1,000 or more during the final period before the primary, was required for the first time this year pursuant to legislation passed in 1997 by the General Assembly. He added that this reporting requirement did not apply to any type of committee other than a candidate's committee.

Mr. King stated that the amount of the fines for delinquent reports is set by state law at fifty dollars per day, with the afternoon of the first day counting as the first fifty dollars towards the proposed fine. He noted that the Commission had received three spreadsheets identifying the committees which had allegedly committed violations in one or more of the categories described above. Mr. King added that the spreadsheets prepared by Campaign Finance for this meeting also included a column indicating the number of previous occasions that a committee has appeared before this body concerning a campaign finance violation, but does not indicate whether the committee was fined in the full proposed amount, or at all, on any previous occasion. A copy of each spreadsheet is incorporated by reference in these minutes.

The chair noted that Mr. Morgan had arrived at this point.

The chair recognized Mr. King, who stated that state law provides that if the Commission finds that a committee has been delinquent or has not filed a report, the Commission may reduce or waive the proposed penalty, but only by unanimous vote of all four members, if the Commission finds that imposing the proposed penalty would be unjust under the circumstances.

The chair then addressed those in attendance, and asked that they limit their opening statements and presentations regarding campaign finance enforcement matters to three minutes, which would not include responding to any questions Commission members might have. Mr. King then administered an oath to all those wishing to testify before the Commission regarding campaign finance enforcement matters.

The chair recognized Ms. Thompson, who noted that Commission members had received a copy of a memorandum dated April 30, 1998,

which had been sent by the Election Division to committees subject to campaign finance enforcement orders signed at the March 25, 1998 Election Commission meeting. She stated that although many committees had paid the civil penalties assessed under these orders, nineteen committees still had penalties outstanding. In response to a question from the chair, Ms. Thompson stated that she would supply additional information concerning these committees to the Commission at its next meeting.

7. CAMPAIGN FINANCE ENFORCEMENT CAUSES:

Cause 98-4350-93 Patricia Jackson Ceperich/State Representative District 001
The chair recognized Mr. King, who noted that Commission members had received a copy of proposed Order 1998-68, which would amend Order 1998-52 to correct a typographical error in the file number of this committee. He noted that the proposed Order would have no substantive effect, and that other motions regarding this committee would be presented later today to the Commission.

Mr. Long moved that Order 1998-68 be approved as submitted. Mr. Cruea seconded the motion. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted.

Cause 98-3960-106 Pipefitters' Local 522 PAC
The chair recognized Mr. King, who noted that Commission members had received a copy of proposed Order 1998-69, which would dismiss this cause. He noted that Campaign Finance staff had commenced an enforcement action against this committee due to an error.

Mr. Long moved that Order 1998-69 be approved as submitted. Mr. Cruea seconded the motion. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted.

Cause 98-3955-105 Architects for Indiana PAC
The chair recognized Mr. King, who noted that Commission members had received a copy of proposed Order 1998-70, which would continue this cause at the request of counsel for the committee.

Mr. Long moved that Order 1998-70 be approved as submitted. Mr. Cruea seconded the motion. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted.

Cause 98-4245-131 Local 374 PAC
The chair recognized Mr. King, who noted that Commission members had received a copy of proposed Order 1998-71, which would continue this cause at the request of counsel for the committee.

Mr. Long moved that Order 1998-71 be approved as submitted. Mr. Cruea seconded the motion. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted.

Cause 98-4068-72 Concerned Citizens to Elect Sue O'Brien
The chair recognized Ms. Sue O'Brien, who stated that she had appeared before the Election Commission on March 25 to explain her case. She said that she and her treasurer had failed to check the appropriate box on the form to close out her committee. Ms. O'Brien stated that the Commission had continued this cause at the March 25 meeting with the recommendation that if she filed the necessary reports to close her committee that a civil penalty of $100 plus costs be imposed.

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Eight Dollars and Thirty One Cents ($1,008.31), being One Thousand Dollars ($1,000) for a delinquent annual report due in January 1998, and Eight Dollars and Thirty One Cents ($8.31) in certified mail costs. She added that Ms. O'Brien had closed this committee on April 20, 1998. In response to a question from the chair, Ms. O'Brien stated that her committee's annual report showed all zeros when filed, but had not been marked as a final report to close the committee.

One Cents ($8.31) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Eight Dollars and Thirty One Cents ($108.31) be imposed against the committee in this cause.

Cause 98-3595-61 Lorenzo for Senate Campaign
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Eight Dollars and Thirty One Cents ($1,008.31), being One Thousand Dollars ($1,000) for a delinquent annual report due in January 1998, and Eight Dollars and Thirty One Cents ($8.31) in certified mail costs. She noted that Commission members had received a letter from Jeffrey J. Lorenzo, of Montgomery, Elsner & Pardieck, dated June 4, 1998. A copy of this letter is incorporated by reference in these minutes. Ms. Thompson said that Mr. Lorenzo had closed this committee on April 29, 1998.

The chair recognized Mr. Lorenzo, who stated that he had little to add in addition to the contents of this letter. He said that keeping the committee open had been an oversight, and that he believed that the committee had been closed. He remarked that the committee's outstanding indebtedness had been to Mr. Lorenzo personally. In response to a question from the chair, Mr. Lorenzo stated that the committee had forgiven this debt, and been closed out. In response to a question from the chair, Ms. Thompson stated that this committee's annual report showed all zeros except for the debt to Mr. Lorenzo when filed, but had not been marked as a final report to close the committee.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent. Mr. Long moved, seconded by Mr. Cruea, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of One Hundred Dollars ($100), plus Eight Dollars and Thirty One Cents ($8.31) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Eight Dollars and Thirty One Cents ($108.31) be imposed against the committee in this cause.

Cause 98-4058-149 Downey for the People
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Nine Hundred Two Dollars and Seventy-Seven Cents ($902.77), being Nine Hundred Dollars ($900) for a delinquent pre-primary large contribution supplemental report due on May 1, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause.

The chair recognized Mr. Tim Downey, who indicated he had not been previously sworn. Mr. King then administered the oath to Mr. Downey. Mr. Downey stated that his treasurer was not familiar with the requirement to file the CFA-11 supplemental report as set forth in the Campaign Finance Manual he had obtained from the Election Division. He said that the committee had filed its pre-primary report about one month before the deadline for filing that report, and was not aware that he needed to file an additional supplemental report before the primary. Mr. Downey stated that he had been advised by an Election Division staff person that the CFA-11 form had been mailed to the committee; he added that he had not received the form, and that the staff person had sent this form to him by facsimile transmission when he advised her that the form had not been received. Mr. Downey said that he filled out the form, indicating that no large contributions had been received, and immediately sent it back to the Election Division by facsimile transmission.

In response to a question from the chair, Mr. Downey stated that when he declared his candidacy for office he did sign a statement on the declaration indicating that he was aware of all requirements to file campaign finance reports. He added that when he first contacted the Election Division staff, the staff member indicated that she was unaware that the committee had not filed the supplemental report, and contacted him again shortly afterwards. Mr. Downey said that if he had received a $1,000 contribution, he would have informed everyone about this. Mr. Downey said that this report was not included "in a checklist that comes out, that your treasurer uses" and that he missed this requirement in reading the Campaign Finance Manual.

Indiana Election Commission Minutes

June 9, 1998

The chair responded that the Campaign Finance Manual had advised committees that legislation was pending in the 1998 session, and to contact the Election Division for further information. Mr. Downey stated that if he had been elected, he certainly would have been aware of this report.

The chair stated that he was inclined towards leniency in this matter since the May 1, 1998 filing was the first time that candidate committees had been required to file the CFA-11 report. Mr. Morgan suggested that this cause might be similar to another cause at a previous meeting involving the St. Joseph County Chamber of Commerce, and that the Commission had reduced a proposed civil penalty from $1,000 to $100.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent. Mr. Morgan moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of One Hundred Dollars ($100), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Two Dollars and Seventy Seven Cents ($102.77) be imposed against the committee in this cause.

There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted. The chair advised Mr. Downey that he would receive a letter from the Commission regarding this penalty. In response to a question from Mr. Downey, Election Division staff advised him that this penalty could be paid from Mr. Downey's campaign funds. Mr. Downey interjected that he did not think it was just for the Commission to fine him for a requirement he did not know about, because it "is not in the checklist at all." He stated that he tried to comply with the state requirements, and if a new requirement was imposed someone should have sent him a certified letter to advise him of it, but no one did. The chair stated that the Commission had already reduced Mr. Downey's proposed fine in this matter.

Cause 98-4296-133 The 49's
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars

Indiana Election Commission Minutes

June 9, 1998

($1,000) for a delinquent pre-primary large contribution supplemental report due on May 1, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause, and that this committee had been closed on May 18, 1998.

The chair recognized Mr. Edward Dundas, who stated when he had been a candidate for Indiana House District 57 in 1996, he had received a reminder letter from the Election Division and had filed on time, but that this year he did not receive a reminder letter from the Division. He remarked that he had run against an incumbent, and received no money whatsoever from other sources. In response to a question from the chair, Mr. Dundas stated that he had been a candidate for the same office again in the May 1998 primary. He said that the Election Division had advised him this year that a reminder letter had been mailed to this committee. In response to a question from the chair, he added that he did realize that he was responsible for knowing filing deadlines, but that he was timely two years ago when he ran. Mr. Dundas added that this failure was not deliberate.

Mr. Dundas said that he thought sending a certified mail letter to the candidate would be an advantage to a candidate if meeting this deadline was so important. He remarked that he had been out of state during much of this period. Mr. Long responded that the Campaign Finance Manual and other informational material had been produced by the Election Division for candidates. Mr. Dundas stated that his wife had served as the committee's treasurer, and that the committee was not active in fundraising. He added that it was possible that the reminder letter might have been lost in the mail, but that a certified letter must be signed for. The chair added that to mail this reminder by certified letter to several hundred candidates would be very expensive, and would defeat the purpose of producing the informational publications.

In response to a question from Mr. Morgan, Mr. Dundas stated that the 1998 primary was the second election in which he was a candidate. He said that he wished to stress the advantage of sending the reminder letter by certified mail, and stated that he was swearing under oath that neither he nor his wife, who is an accountant, did not receive the reminder letter this year. The chair thanked Mr. Dundas for his suggestion.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Indiana Election Commission Minutes

June 9, 1998

Mr. Long moved, seconded by Mr. Cruea, that the Commission impose the recommended civil penalty of One Thousand Dollars ($1,000), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Thousand Two Dollars and Seventy Seven Cents ($1,002.77) be imposed against the committee in this cause.

Cause 98-3728-118 Rush County Republican Central Committee
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars

($1,000) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause, and that a letter dated May 29, 1998 (with enclosures) had been received from Janet D. Kile, Rush County Circuit Court Clerk concerning this cause. A copy of this letter is incorporated by reference in these minutes.

The chair recognized Mr. James Hodson, treasurer of this committee. Mr. Hodson stated that the committee had filed this report with Janet Kile, the Circuit Court Clerk, and had been advised by the Clerk that it was not necessary to file a copy of this report with the Election Division. He added that he had acted in reliance on this advice.

The chair stated that he had been contacted by Ms. Kile, and was told that she had advised Mr. Hodson regarding the filing requirements for county regular party committees based on the incorrect information set forth in the Campaign Finance Manual. He added that this cause was similar to that of the Marion County Democratic Party central committee which had been considered previously by the Commission.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Indiana Election Commission Minutes

June 9, 1998

Mr. Long moved, seconded by Mr. Cruea, that the Commission dismiss this cause, based on the precedent set in the Marion County Democratic Party case. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted.

Cause 98-4309-136 Schrenker for State Representative District 36
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars

($1,000) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause, and that Mr. Schrenker had submitted a letter to the Election Division dated May 19, 1998 with an attached photocopy of a campaign finance report file stamped as received by the Madison County Circuit Court Clerk on May 27, 1998. A copy of the letter and attachment was accepted into evidence in this cause and is incorporated by reference in these minutes.

The chair recognized Mr. Paul Schrenker, who stated that he had the committee's first report was dated April 17, but he had erred by marking this report as "pre-election." He said that the Election Division did not receive the report, and so he sent a second copy with the May 19, 1998 letter. He added that the Election Division did receive this report since it was sent by registered mail. Mr. Schrenker said that due to a divorce and other reasons, there was no money available to pay any fines. He remarked that the report was sent on time but not received by the Election Division. He stated that although he was a first time candidate, he was aware of the dates, but was late in mailing the report. He stated that he had filed everything with the state first, and then filed with the Clerk. Mr. Schrenker noted that he had marked "pre-election" in error, and had then marked "pre-primary."

In response to a question from the chair, Mr. Schrenker said that he had not filed a copy of the report with the County Clerk by April 17, since he had already mailed a copy to the Election Division, but did not know that it had not been received. The chair stated that neither the County nor the state received this campaign finance report on time.

Indiana Election Commission Minutes

June 9, 1998

In response to a question from Mr. Long, Mr. Schrenker indicated that he did not send the initial copy of the April 17 report to the Election Division by certified mail, but did send the second copy by certified mail after he was notified by the Election Division that the committee's first report had not been received.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

The chair stated that if Mr. Schrenker had filed a copy of the April 1998 pre-primary report with the Madison County Circuit Court Clerk, he would have been inclined to leniency in this case, but that this had not occurred, even though a mistake had been made.

Mr. Cruea moved, seconded by Mr. Long, that the Commission impose the recommended civil penalty of One Thousand Dollars ($1,000), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Thousand Two Dollars and Seventy Seven Cents ($1,002.77) be imposed against the committee in this cause.

Cause 98-4276-132 Mental Health Coalition PAC
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars

The chair recognized Mr. McCaffrey, who stated that this PAC was a new committee, and had not received any money nor made any contributions. He said that he been advised that the committee did not have to file the pre-primary report, unless it crossed a threshold amount by making more than $100 in contributions or expenditures, but that this was incorrect.

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Mr. McCaffrey said that the committee was committed to timely filing, and would do so in the future. He added that the committee had filed the required report on the day that it was notified of the delinquency.

In response to a question from Mr. Long, Ms. Thompson stated that when a political action committee files a statement of organization she provides a registration or file number to the committee, and that when the next report is due, the Election Division sends a letter advising the committee of the reporting deadline, along with a calendar of filing report and form for filing the report. She added that whenever she mails out a filing calendar, it is sent to all committees. In response to a question from Mr. Long, Mr. McCaffrey said that he did not remember receiving this mailing from the Election Division, but did not dispute this.

In response to a question from the chair, Mr. McCaffrey stated that the PAC had been organized earlier in 1998.

The chair and Mr. Long stated that they were inclined towards mitigation in this case since the committee was a new PAC, and had not received a calendar when it filed its statement of organization. There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Long moved, seconded by Mr. Cruea, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of Three Hundred Thirty Three Dollars ($333), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Three Hundred Thirty Five Dollars and Seventy Seven Cents ($335.77) be imposed against the committee in this cause. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted.

Cause 98-4337-112 Sulok for State Representative
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Six Hundred Two Dollars and Seventy-Seven Cents ($602.77), being Six Hundred Dollars

($600) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been

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brought before the Commission for a campaign finance enforcement cause.

The chair recognized Mr. Charles Sulok, who said that he recognized the seriousness of the matters pending before the Commission today. He added that there had been miscommunication within his committee, and that the committee filed the pre-primary report as soon as it realized that an error had occurred. He testified that the committee had no income and no expenses. Mr. Sulok said that he assumed full responsibility in this matter, and was sorry.

In response to a question from the chair, Mr. Sulok said that this was not his first time as a candidate, and that he had run for state legislative office in 1994, with a different treasurer. He emphasized that he was not attempting to blame his treasurer in this matter.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Ms. Hiner, that the Commission impose the recommended civil penalty of Six Hundred Dollars ($600), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Six Hundred Two Dollars and Seventy Seven Cents ($602.77) be imposed against the committee in this cause.

The chair recognized Mr. Morgan, who said that Mr. Sulok was a fine individual, but that he had been a candidate before, and that Mr. Morgan was sorry that this had happened to Mr. Sulok.

Cause 98-3959-164 Perry County Republican Central Committee
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Two Thousand Two Dollars and Seventy-Seven Cents ($2,002.77), consisting of One Thousand Dollars

($1,000) for a delinquent annual report due on March 2, 1998, One Thousand Dollars ($1,000) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not

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previously been brought before the Commission for a campaign finance enforcement cause, and that this committee had closed its Indiana Election Division file on June 5, 1998. Ms. Thompson also referred Commission members to a letter to the Election Division dated June 3, 1998, from Ms. Donna Laflin, chairman of this committee, and Mr. Roger Hahus, treasurer of this committee. A copy of the letter is incorporated by reference in these minutes.

The chair recognized Mr. Hahus, who stated in response to a question from the chair that the committee had filed these reports with the Perry County Election Board, but was late in doing so. The chair noted that the County Election Board would have the authority to assess any civil penalties against the committee as a result.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Mr. Long, that the Commission dismiss this cause, based on the precedent set in the Marion County Democratic Party case and the Rush County Republican Party case. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted.

Cause 98-4365-163 Shanklin for State Representative District 36
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Two Thousand Eight Hundred Fifty Two Dollars and Seventy-Seven Cents ($2,852.77), consisting of One Thousand Dollars ($1,000) for a delinquent statement of organization for the committee, One Thousand Dollars ($1,000) for a delinquent pre-primary report due on April 17, 1998, Eight Hundred Fifty Dollars ($850) for a delinquent pre-primary large contribution supplemental report due on May 1, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause, and that a hearing had not been held earlier regarding the committee's failure to file the CFA-1 statement of organization since this omission had been overlooked by the Election Division.

The chair recognized Ms. Shanklin, who stated that she had never received the Campaign Finance Manual when she filed as a candidate. In response to a question from Ms. Shanklin, Ms. Thompson said that new candidates are generally provided with the Manual.

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Ms. Shanklin stated that she had received a letter from the Election Division stating that her committee had been assigned the name "Shanklin for State Representative", but that she threw the letter away after reading up to that point, and therefore did not read anything about the penalties. She said she had no real excuses, but that she has sixteen children and thirty-four grandchildren, along with six foster children she was currently taking care of, and has lots of things to do.

In response to a question from Mr. Morgan as to how she had time to run for office, Ms. Shanklin responded that she didn't. In response to a question from the chair, Ms. Shanklin stated that she had run as a candidate for the state legislature several years ago, but withdrew because she had filed in the wrong district during the redistricting process. She added that the committee has no money, and filed all zeros. Ms. Shanklin said the committee would be conducting fundraisers in the fall to assist with paying the fines.

In response to a question from Mr. Long, Ms. Shanklin said that she was successful in the primary, and was a candidate for a district in Marion County. She added that she had come into the office personally to file, and had signed the declaration of candidacy form stating that she was aware of the filing requirements. Ms. Shanklin said that her daughter had been preparing the filings for her committee.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances with regard to the proposed penalty for the statement of organization filing and with regard to the proposed penalty for the pre-primary large contribution supplemental report, that the civil penalties for those filings be reduced to the amount of One Hundred Dollars ($100) for the CFA-1, plus One Hundred Dollars ($100) for the CFA-11, plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, but that the recommended penalty of One Thousand Dollars ($1,000) be assessed for the CFA-4 pre-primary report, and that as a result, a total civil penalty of One Thousand Two Hundred Two Dollars and Seventy Seven Cents ($1,202.77) be imposed against the committee in this cause. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted. The chair advised

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Ms. Shanklin that she would receive a letter from the Commission regarding this penalty.

Cause 98-4117-107 McBride for State Representative
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Hundred Fifty Two Dollars and Seventy-Seven Cents ($152.77), being One Hundred Fifty Dollars

($150) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause. She also noted that the Election Division had received a letter from Mr. McBride dated April 20, 1998. A copy of the letter is incorporated in these minutes.

The chair recognized Mr. Paul R. McBride, who said that he had been ill with an earache for a week, and that he was under medication for a kidney condition. He said that he had filled out this campaign finance report on April 6, but he did not file the form with the Election Division, which was his fault. Mr. McBride said that he did file his CFA-11 on time.

In response to a question from Mr. Morgan, Mr. McBride said that he had been a candidate for state legislative office in 1996. He added that he had been paying more attention to his health than his business, and that he missed the deadline as a result.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Long moved, seconded by Mr. Cruea, that the Commission impose the recommended civil penalty of One Hundred Fifty Dollars ($150), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Fifty Two Dollars and Seventy Seven Cents ($152.77) be imposed against the committee in this cause.

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Cause 98-0776-113 Multi-Family Housing PAC
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars

($1,000) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had previously been brought before the Commission for on two campaign finance enforcement causes, but had only been fined by the Commission once. She also noted that the Election Division had received a letter from Ms. Lynne T. Moistner, Assistant Executive Director of the Apartment Association of Indiana, Inc., dated June 4, 1998. A copy of the letter is incorporated in these minutes.

The chair recognized Ms. Moistner, who said that the committee understood its responsibility to file this report by the deadline, but that the committee did not receive these reports in the mail. She added that the committee had now put these deadlines on its calendar so that it would not fail to timely file a report, even if the committee does not receive a form in the mail before the deadline. Ms. Moistner said the committee used the receipt of the reports as a "trigger" for filing, and asked for leniency in this matter, saying that the mistake would not happen again.

In response to a question from Mr. Morgan, Ms. Moistner said that the committee had been in existence for approximately sixteen years, and that she had been involved with the committee for the last two years. In response to a question from Mr. Long, she indicated that one previous campaign finance enforcement action occurred when a report was filed half a day late, due to the inability of the committee to obtain the treasurer's signature during the treasurer's vacation. She added that the committee had acknowledged its responsibility and paid the fine in that case. The chair noted that the committee had been late on an annual report by one day, and late on its April 1996 pre-primary report.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

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Cause 98-3731-119 Indiana Cemetery Association PAC
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars

The chair recognized Mr. Robert Randall, treasurer of the committee, who stated that the committee had filed late in January since it understood the filing deadline to be January 31 (rather than January 21), and that he had personally paid the $752 penalty that resulted. Mr. Randall introduced into evidence a copy of the committee's pre-primary report, which is incorporated by reference in these minutes. He noted that he had signed the report on April 14, 1998, and personally mailed the report on April 15. He stated that he received a notice that the Election Division had not received the committee's report, and on that day, and personally presented a copy to Ms. Thompson. Mr. Randall stated that he then received a notice of this hearing, and was present today since he could not afford to pay another $752 penalty.

In response to a question from the chair, Mr. Randall said that the committee's report had been sent by mail, but not certified mail. In response to a question from Mr. Long, Mr. Randall said that the committee's first penalty of $100 had resulted when the committee did not receive a copy of the form to file. Mr. Long noted that this civil penalty involved the delinquent filing of the April 1996 pre-primary report, and that the other civil penalty involved the January 1998 annual report. The chair stated that it would be a lot cheaper for the committee to pay $2.77 in certified mail costs, than paying these civil penalties. He suggested that the committee send all of its future reports by certified mail and retain the receipt, so that the Commission could take that into account.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

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Cause 98-4357-100 Ronald Ray Wilson/ State Representative 93
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Five Dollars and Fifty Four Cents ($1,005.54), being One Thousand Dollars

($1,000) for a delinquent statement of organization (CFA-1), and Five Dollars and Fifty Four Cents ($5.54) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause.

The chair recognized Mr. Wilson, who stated that he was not aware that he was required to file a statement of organization for this committee when he filed his declaration of candidacy. He said that he was advised by the circuit court clerk and Secretary of State's office that he was not required to file anything else, and had received a notice of the Commission's March hearing after the hearing was conducted. He stated that he was a first time candidate, and had tried to walk all the paper work through when he filed his declaration. He added that his subsequent campaign finance pre-primary reports (the CFA-4 and CFA-11) had both been filed on time.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Long stated that he would support the mitigation of the penalty in this case due to the subsequent timely filing of the reports. Mr. Long then moved, seconded by Mr. Cruea, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of Three Hundred Thirty Three Dollars ($333), plus Five Dollars and Fifty Four Cents ($5.54) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Three Hundred

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Thirty Eight Dollars and Fifty Four Cents ($338.54) be imposed against the committee in this cause. There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted.

Cause 98-4282-151 Citizens to Elect Carla Gaff-Clark
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Two Hundred Fifty Two Dollars and Seventy-Seven Cents ($902.77), being Two Hundred Fifty Dollars ($250) for a delinquent pre-primary large contribution supplemental report due on May 1, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause. She also noted that the Election Division had received a letter dated June 5, 1998 from Brent Westerfeld, Attorney at Law, concerning this matter. A copy of the letter is incorporated by reference in these minutes.

The chair recognized Ms. Gaff-Clark, who stated that her treasurer had mailed this report on April 30, with sufficient postage, although the Election Division did not receive this filing until May 5. She added that Mr. Westerfeld's letter also argued that there was no date prescribed by state law for the filing of a pre-primary supplemental report if the candidate's committee received no large contributions.

In response to a question from Mr. Long, Ms. Thompson stated that the file for this committee did not contain the mailing envelope, and added that state law did not permit committees to use a postmark date to comply with the filing requirements for the large contribution supplemental reports. In response to a question from the chair, Ms. Gaff-Clark indicated that a copy of the CFA-11 had also been mailed to the Marion County Election Board on April 30 and received by that office on May 4 or May 5. The chair noted that this indicated that the report copies took four or five days to travel from Broad Ripple to the City-County Building. Ms. Gaff-Clark indicated that her treasurer would be sending these reports by facsimile transmission in the future.

In response to a question from Mr. Morgan, Ms. Gaff-Clark indicated that she had not previously been a candidate for state level office. There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

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Mr. Cruea moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of One Hundred Dollars ($100), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Two Dollars and Seventy Seven Cents ($102.77) be imposed against the committee in this cause.

There being no further discussion, the chair called the question, and declared that with four members voting "aye" (Mr. Cruea, Ms. Hiner, Mr. Long, and Mr. Morgan), and no member voting "nay", the motion was adopted. The chair indicated that the legislature might want to look at this statute to consider adding a postmark date since the reporting period ended on a Thursday and required filing by noon Friday. Mr. Long said that the Election Division staff should also review this statute for a legislative recommendation to remove the ambiguity noted by Mr. Westerfeld. The chair concurred with this observation.

Cause 98-4148-126 Indiana Association of HMOs PAC
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars

($1,000) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for on campaign finance enforcement causes. She also noted that she had received a letter dated May 19, 1998 from Mr. Gregory A. Schenkel, treasurer of the committee. A copy of this letter is incorporated by reference in these minutes.

The chair recognized Mr. Schenkel, who stated that the committee's failure to file was an unintentional oversight, and resulted from staffing changes during this time and the committee being dormant since the last election. He noted that the committee was organized in the summer of 1996, and had never previously filed a pre-primary report. Mr. Schenkel asked that the Commission consider these facts and for leniency in determining the committee's penalty. He indicated that on the day that the committee was notified by Ms. Thompson that the report was late, he completed the report and personally hand delivered the report to the Election Division.

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In response to a question from the chair, Mr. Schenkel stated that the committee had organized in the summer of 1996, and had made some small contributions before the 1996 general election.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent. Mr. Morgan stated that he would not object to mitigation of the civil penalty in this case. The chair noted that this was the first time the committee had filed a report after a deadline. Ms. Hiner noted that the committee had sufficient time to become familiar with the filing deadline for the pre-primary report. In response to a question from Mr. Long, the chair stated that, in contrast, the Mental Health Coalition PAC had been formed earlier this year, in 1998.

Mr. Morgan moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of Three Hundred Thirty Three Dollars ($333), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Three Hundred Thirty Five Dollars and Seventy Seven Cents ($335.77) be imposed against the committee in this cause.

There being no further discussion, the chair called the question, and declared that with three members voting "aye" (Mr. Cruea, Mr. Long, and Mr. Morgan), and one member voting "nay" (Ms. Hiner), the motion failed under Indiana Code 3-9-4-19.

Ms. Hiner stated that the Commission had been imposing maximum penalties for first time candidates, who are similarly situated with this committee, and that she did not believe that the Commission should impose a different standard on political action committees. In response to a question from Ms. Hiner, the chair stated that the Commission had shown some leniency towards committees who have been late for the first time in filing a report.

Mr. Cruea then moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of Five Hundred Dollars ($500), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Five Hundred Two Dollars and Seventy Seven Cents ($502.77) be imposed against the committee in this cause.

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The chair recognized Mr. King, who administered the oath to all persons present who wished to testify in causes still to come before the Commission.

Cause 98-4053-148 Friends of Mike Ripley

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Six Hundred Two Dollars and Seventy Seven Cents ($602.77), being Six Hundred Dollars ($600) for a delinquent pre-primary large contribution supplemental report due on May 1, 1998, and Two Dollars and Seventy-Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause. She also noted that the Election Division had received a letter dated June 8, 1998 from The Honorable Michael A. Ripley, State Representative, concerning this matter. A copy of the letter is incorporated by reference in these minutes.

The chair recognized Mr. Ripley, who stated that he simply overlooked this filing requirement since it was new, and would accept the Commission's decision in this matter.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Mr. Morgan, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of One Hundred Dollars ($100), plus Two Dollars and Seventy-Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Two Dollars and Seventy Seven Cents ($102.77) be imposed against the committee in this cause.

98-4187-128 Indiana Electric Association PAC

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars ($1,000) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause. Ms. Thompson also noted that the Election Commission had received a letter dated June 3, 1998 from Mr. Edwin J. Simcox, chairman of this committee. A copy of the letter is incorporated by reference in these minutes.

The chair recognized Ms. Elaine Stewart, the treasurer of this committee, who stated that she had begun serving as treasurer in December 1997, and that this change in treasurers had contributed to the committee's failure to timely file. Ms. Stewart noted that the committee had formed on July 30, 1996, and that the committee had not been required to file any previous pre-primary reports. She said that the committee's files did not include any information concerning the filing deadline for the 1998 pre-primary report, and was not aware of the requirement. She concluded by noting that the committee had not previously filed any report after the deadlines.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of Five Hundred Dollars ($500), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Five Hundred Two Dollars and Seventy Seven Cents ($502.77) be imposed against the committee in this cause.

Indiana Election Commission Minutes

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98-4306-134 Harshey for State Representative

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars ($1,000) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause. Ms. Thompson also noted that the Election Commission had received a letter dated June 5, 1998 from Mr. N. Sean Harshey. A copy of the letter is incorporated by reference in these minutes.

The chair recognized Mr. Harshey, stated that the notice he received regarding this hearing indicated that both the committee's pre-primary report (CFA-4) and supplemental pre-primary large contribution report (CFA-11) had not been received by the Election Division before the applicable deadlines. He indicated that his letter pertains to both reports, but was advised yesterday by Ms. Thompson that in fact only the CFA-4 was allegedly delinquent.

Mr. Harshey said that the committee had filed the forms with the Election Division by facsimile transmission and then personally delivered the forms to the Marion County Election Board. He remarked that the attachments to his letter indicated that this was the committee's procedure. He said that he received a letter from the Election Division on May 18, indicating that reports had not been filed. He indicated that he then contacted the Election Division, which advised him that the CFA-11 had been filed on time, and sent a facsimile of the file stamped copy, but added that the committee's CFA-4 could not be located in the committee's file. Mr. Harshey said that he then sent a file-marked photocopy of the CFA-4 to the Election Division, indicating that the report had been filed on time with the Marion County Election Board.

Mr. Harshey said that the facsimile transmission sent to the Election Division must have been received and misfiled, or was not received due to a transmission error. He indicated that he spoke with his treasurer, and was advised that the treasurer had done so. Mr. Harshey stated that he had been released from hospitalization on the afternoon of April 17, so he could not have been physically present when the report was faxed, but he assured the Commission that he believed that the report had been timely filed. Mr. Harshey noted that the committee had not had any other campaign finance filing problems.

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Mr. Harshey stated that he had never been a candidate before, was "drafted into this", and that the special bank fees had eaten into the $250 raised by this committee. He requested that the Commission waive any penalty to be assessed against this committee due to his efforts to comply with the statute.

In response to a question from Mr. Long, Mr. Harshey stated that the CFA-4 had been sent to the Election Division by facsimile transmission on April 17, and the CFA-11 had been sent to the Election Division by facsimile transmission on May 1. He noted that after he received the Election Division's letter on May 18, he then immediately obtained a filemarked copy of the CFA-4 from the Marion County Election Board and presented that copy to the Election Division.

In response to a question from the chair, Mr. Harshey stated that the CFA-4 had been hand delivered to Marion County for filing before the deadline, but for some reason the facsimile transmission was not received by the Election Division.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

The chair noted that this case differed from some other committees since the committee had presented proof of a timely filing with the appropriate county election board.

Mr. Cruea moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of One Hundred Dollars ($100), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Two Dollars and Seventy Seven Cents ($102.77) be imposed against the committee in this cause.

Indiana Election Commission Minutes

June 9, 1998

98-3707-104 Counselors for a Better Indiana

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Three Hundred Fifty Two Dollars and Seventy-Seven Cents ($352.77), being Three Hundred Fifty Dollars ($350) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause, and had been closed on April 24, 1998. Ms. Thompson also noted that Mr. King had received a letter dated June 9, 1998 from Mr. Philip L. Conklin, who was appearing on behalf of this committee. A copy of the letter is incorporated by reference in these minutes.

The chair recognized Mr. Conklin, who stated that Mr. Rick Thomas of this committee was in Columbus and unable to attend this meeting. He said that this committee was a small PAC formed in 1996 that had raised about $600 or $700 to make contributions to a few state legislators in recognition for their assistance to the counseling profession. He added that the committee's income had been derived from several $10 contributions contributed by members at association meetings. Mr. Conklin stated that the committee decided to close due to bank fees that were reducing the committee's funds to a zero or subzero level. He said that the committee closed this committee on April 24, but should have done so before April 17. He said that the committee apologized to the Commission, and would do whatever needed to be done.

In response to a question from the chair, Ms. Thompson stated that the committee's annual report filed in January 1998 indicated all zeros. Mr. Conklin added that any civil penalty would be paid personally by Mr. Thomas.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Long stated that he was inclined to leniency here since the committee was defunct and had not been politically active this year.

Mr. Long moved, seconded by Mr. Morgan, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be entirely waived, that the committee be liable for Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total

Indiana Election Commission Minutes

June 9, 1998

civil penalty of Two Dollars and Seventy Seven Cents ($2.77) be imposed against the committee in this cause.

98-4349-160 Robert Breese for State Representative

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Three Hundred Two Dollars and Seventy-Seven Cents ($302.77), being Three Hundred Dollars ($300) for a delinquent supplemental pre-primary large contribution report due on May 1, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had previously been brought before the Commission for a campaign finance enforcement cause, namely a delinquent statement of organization (CFA-1).

The chair recognized Mr. Breese, who stated that his committee had only raised or spent $59, and that he had filed late since he had not received any forms from his county election board. Mr. Breese said that as soon as he found out that a report had not been filed, he had worked with the Election Division staff to get this work done.

In response to a question from the chair, Mr. Breese stated that he had appeared before the Commission at his previous enforcement action, and had paid the civil penalty of $102.77 assessed by the Commission.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

The chair and Mr. Long commented that the fact that this committee had been late for a previous report must be factored in to this civil penalty.

Mr. Cruea moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of Two Hundred Dollars ($200), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Two Hundred Two Dollars

Indiana Election Commission Minutes

June 9, 1998

and Seventy Seven Cents ($202.77) be imposed against the committee in this cause.

98-4254-150 Mark A. Higgins for State Representative

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Three Hundred Two Dollars and Seventy-Seven Cents ($302.77), being Three Hundred Dollars ($300) for a delinquent supplemental pre-primary large contribution report due on May 1, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause. Ms. Thompson also noted that the Election Division had received a letter dated June 8, 1998 from Mr. Mark A. Higgins, and an attachment dated May 28, 1998 from Mr. Brian Reid, treasurer of this committee. Copies of the letters are incorporated by reference in these minutes.

The chair recognized Mr. Higgins, who stated that he was a first time candidate, and that his treasurer, Mr. Reid, is an attorney and certified public accountant who practices in Indianapolis. Mr. Higgins remarked that he understood when the CFA-11 supplemental report was to be filed, and had attended a campaign finance seminar presented by the Election Division. He added that the Republican caucus had also mentioned this deadline to him before May 1.

Mr. Higgins stated that his treasurer had assured him by telephone that the report would be filed. He added that Mr. Reid indicated in his letter that until Ms. Thompson contacted him on May 7 concerning his pre-primary supplemental report, Mr. Reid understood that the CFA-11 was only required when a candidate received a contribution of $1,000 or more, and that the treasurer did not file the report as a result. Mr. Higgins requested leniency in this regard and a waiver of the proposed civil penalty, since he did not intend to avoid disclosing information to the public. He added that he was a first time candidate, and was immersed in the campaign at that time. He concluded by noting that he had not in fact received any contributions of $1,000 or more to report.

In response to a question from Mr. Morgan, Mr. Higgins stated that he had not been successful in the primary, and that he did not know whether he would be a candidate in the future.

Indiana Election Commission Minutes

June 9, 1998

In response to a question from Mr. Long, Mr. King noted that the statute prescribing the filing of the supplemental report was Indiana Code 3-9-5-20, and that the Election Commission had adopted an advisory opinion at its March 25, 1998 to set the filing deadline at noon Friday before the primary election. Mr. Higgins stated that although he personally was aware of the applicable filing deadline, his treasurer had only written material for his reference. Mr. Long noted that IC 3-9-5-20(f) clearly required a committee to file a supplemental report even though no large contribution had been received.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

The chair stated that he was inclined to impose the full recommended penalty since Mr. Higgins was aware of the deadline, but since the requirement to file a CFA-11 was new, and since the candidate had no previous violations, he would vote for leniency. Mr. Morgan said that he would support this motion, but that the candidate had made an argument for a larger fine since he had attended the campaign finance seminars. Mr. Higgins responded that he would bring his treasurer with him to the seminars if he was a candidate in the future. Mr. Higgins thanked Ms. Thompson for contacting him promptly to prevent the committee from being subject to the maximum civil penalty.

Mr. Cruea moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of One Hundred Dollars ($100), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Two Dollars

and Seventy Seven Cents ($102.77) be imposed against the committee in this cause.

The chair recognized Mr. King, who administered the oath to all persons who wished to testify before the Commission. The chair asked those who wished to testify to limit their remarks to three minutes, in addition to responses to Commission members.

Indiana Election Commission Minutes

June 9, 1998

The chair also noted that he had received a Federal Express packet during the meeting containing an original document in cause #131, which the Commission had already voted to continue, and added that Commission members had already received a facsimile copy of this document in their packets.

98-4006-147 Ed Mahern for State Representative

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Fifty Two Dollars and Seventy-Seven Cents ($52.77), being Fifty Dollars ($50) for a delinquent supplemental pre-primary large contribution report due on May 1, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause. Ms. Thompson also noted that the Election Division had received a letter dated June 1, 1998 from The Honorable Ed Mahern, Indiana State Representative. A copy of this letter is incorporated by reference in these minutes.

The chair recognized Mr. Mahern, who stated that he was more concerned about the process than the proposed civil penalty, and that he was as guilty as anybody in the State House since he serves on the Elections Committee. He said that he had concerns about the reporting period ending at midnight and the filing deadline being noon the next day. Mr. Mahern said that his office had tried to send this report by fax, but that the fax did not go through, so he personally filed the report in the afternoon of the filing deadline day.

Mr. Mahern commented that it was difficult for a candidate who lives outside of Indianapolis to file a document in the State House twelve hours after a reporting deadline. He noted that he had been encouraged to file the CFA-11 with the pre-primary report, and file an amended CFA-11 report if the candidate did receive a large contribution. He stated that he was reluctant to sign a form stating that he had not received a contribution of $1,000 or more, filing that form, and then having the onus to go back and report that the candidate did receive a large contribution. He said that the Election Division was receiving reports that the filer does not know will be accurate, and are relying on a candidate's memory to amend the CFA-11 if the large contribution comes in.

Mr. Mahern said that it would be preferable to require that any contributions over a certain amount received after the pre-primary report be reported within forty-eight hours after their acceptance. He indicated that as a result, those who did not receive large

Indiana Election Commission Minutes

June 9, 1998

contributions would not have to file. Mr. Mahern said that this system would provide the public with better knowledge about the source of campaign contributions on a daily basis.

The chair responded that the Commission had previously commented that the legislature should examine the Friday deadline and Thursday midnight reporting period. He added that the General Assembly should also look at clarifying whether campaign finance reports can be filed by facsimile transmission at all. Mr. Mahern responded that he believed that in the next few years 95% of all reports would be filed electronically, and that this question should be addressed also.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Mr. Long, that the Commission impose the recommended civil penalty in this case, being Fifty Dollars ($50), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Fifty Two Dollars and Seventy Seven Cents ($52.77) be imposed against the committee in this cause.

Mr. Long urged that Mr. Mahern's comments be included in the Election Division's recommendations to the General Assembly since this was a troublesome area. The chair concurred with Mr. Long's statement.

98-1691-143 Alderman for Representative

Indiana Election Commission Minutes

June 9, 1998

The chair recognized The Honorable Robert Alderman, Indiana State Representative, who stated that he would like to blame his treasurer, but that he was his own treasurer. He added that it had never registered with him that he needed to file a CFA-11 report if the report said nothing. Mr. Alderman said that he had served as a legislator for twenty-two years, and generally raised about $23,000 in his campaigns and had not received many large contributions. He added that he read the statute and the penalty, but understood that a candidate would only be penalized for not reporting a large contribution. He concluded by stating that he had filed the CFA-11, although belatedly.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Mr. Long, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of One Hundred Dollars ($100), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Two Dollars

and Seventy Seven Cents ($102.77) be imposed against the committee in this cause.

98-1267-141 Buell for State Representative

The chair recognized The Honorable Larry Buell, Indiana State Representative, who stated that he had not previously missed a deadline during sixteen years of campaigns. He stated that his treasurer had provided him with the CFA-11 form at the same time as his pre-primary report. Mr. Buell stated that his treasurer had

Indiana Election Commission Minutes

June 9, 1998

advised him to file the CFA-11 report, which showed no large contributions, and then to file an amendment if this changed. Mr. Buell said that he did not feel comfortable filing the CFA-11 report then, but intended to do so later. He stated that on May 1, he was working at home on legislative letters, when he remembered that the CFA-11 report was due that day. He added that he changed his clothes, jumped in his car, and drove downtown where he encountered traffic from the 500 Festival Parade, and arrived at the Election Division to file his report one hour and five minutes late.

Mr. Buell said that he was unopposed in the primary, deceived no one by not filing the form. He noted that the CFA-11 report that he filed shows no large contributions. He requested the leniency of the Commission. Mr. Long suggested to Mr. Buell that Mr. Mahern had a good idea about replacing the current filing requirement in IC 3-9-5-20(f) with a requirement to file a report only after receiving a large contribution. Mr. Buell said he would be supporting such legislation, if not authoring it, and added that the legislature had created one more roadblock to keep good citizens from running for public office. He said that he understood the need for campaign finance disclosure, but that there must be a need to impose requirements of this sort.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

and Seventy Seven Cents ($52.77) be imposed against the committee in this cause.

98-4353-161 Goering for Senate

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Hundred Fifty Two Dollars and Seventy-Seven Cents ($152.77), being One Hundred Fifty Dollars ($150) for a delinquent supplemental pre-primary large contribution

Indiana Election Commission Minutes

June 9, 1998

report due on May 1, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had previously been brought before the Commission for a campaign finance enforcement cause resulting from a delinquent statement of organization (CFA-1).

The chair recognized Mr. Michael Goering, who stated that he had run as a candidate for the same office in 1994, and had not made any mistakes in filing his committee's campaign finance reports. He indicated that he had discussed the changes in campaign finance reporting statutes with Ms. Shirley Batt, the Washington County Circuit Court Clerk. He said that he took responsibility for filing his committee's first form incorrectly, and was unable to attend the Commission's hearing due to a funeral, but did pay the fine.

Mr. Goering said that he was distressed to learn that he had filed the CFA-11 late, but took responsibility for this. He indicated that the report had been filed on time with the Circuit Court Clerk, and believed that the report would reach the Election Division on time. He apologized for this unintentional error. Mr. Goering noted that many races for the General Assembly are uncontested now, but regretted any inconvenience that his failure to file had caused.

Mr. Cruea noted that although the filing requirement for a CFA-11 report was new, this committee had been late for a previous filing. There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Mr. Long, that the Commission impose the recommended civil penalty in this case, being One Hundred Fifty Dollars ($150), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Fifty Two Dollars and Seventy Seven Cents ($152.77) be imposed against the committee in this cause.

Indiana Election Commission Minutes

June 9, 1998

98-4023-123 Indiana Academy of Family Physicians PAC

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Two Dollars and Seventy-Seven Cents ($1,002.77), being One Thousand Dollars ($1,000) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had previously been brought before the Commission for a campaign finance enforcement cause. Ms. Thompson also noted that the Election Commission had received a letter dated June 2, 1998 from Ms. Robin R. Lyon, Director of Communications for this committee. A copy of the letter is incorporated by reference in these minutes.

The chair recognized Ms. Allison D. Wharry, who filed an appearance on behalf of this committee. Ms. Wharry stated that Ms. Lyon was unable to attend, but that the committee recognized the importance of this matter. She remarked that this committee is a small organization that represents family doctors in Indiana. Ms. Wharry said that the committee has historically had less than $4,000 in its budget, and is a small part of the association's operation.

Ms. Wharry noted that a change in the committee's staffing had contributed to this failure to file, and had probably done so on the earlier occasion. She indicated that the new treasurer had not been informed of the campaign finance report filing dates, and that she did not receive a form in advance of the deadline. Ms. Wharry remarked that when Ms. Lyon discovered that an oversight had been made, a form was filed the next day. She added that the committee knows when the next filing deadline will occur, and they will work to make certain that this omission does not happen again. Ms. Wharry requested the leniency of the Commission on behalf of the Commission.

In response to a question from the chair, Ms. Thompson stated that the committee had been organized in October 1995, and had filed a delinquent April 1996 pre-primary report. She reported that the committee had been received a civil penalty of $12.52 on that occasion.

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Indiana Election Commission Minutes

June 9, 1998

($500), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Five Hundred Two Dollars and Seventy Seven Cents ($502.77) be imposed against the committee in this cause.

98-4314-111 Jeff Tucker for State Representative

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Six Hundred Two Dollars and Seventy-Seven Cents ($602.77), being Six Hundred Dollars ($600) for a delinquent pre-primary report due on April 17, 1998, and Two Dollars and Seventy Seven Cents ($2.77) in certified mail costs. She added that this committee had not previously been brought before the Commission for a campaign finance enforcement cause. Ms. Thompson also noted that the Election Commission had received a letter dated May 4, 1998 from Mr. Jeff D. Tucker. A copy of the letter is incorporated by reference in these minutes.

The chair recognized Mr. Tucker, who was administered the oath by Mr. King. Mr. Tucker stated that he was a first-time candidate, and that he had made an honest mistake by filing a CFA-11 when a CFA-4 was due. He said that he learned of his error when reading a newspaper report about campaign finance filings by other candidates, and had tried to redress the matter immediately by filing the CFA-4. He promised to be diligent in the future.

Mr. Tucker said that he filed the CFA-11 form because he received it in the mail, but that he understood that it was his responsibility as a candidate to file the proper forms on time. He indicated that it would have been helpful if he had received the CFA-4 form ahead of time. Mr. Tucker said that the committee had a current balance of $113, which was reserved towards the payment of any civil penalty assessed by the Commission. He said that since he lost the primary, the committee would probably disband.

In response to a question from the chair, Mr. Tucker said that he had obtained a copy of the Campaign Finance Manual in January, and knew that copies of all forms were included in this Manual.

Indiana Election Commission Minutes

June 9, 1998

There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Long said that he would support leniency in this case, since the candidate filed a form, even though it was the wrong one. Ms. Hiner concurred with this view since the candidate had made an effort to comply.

Mr. Long moved, seconded by Mr. Morgan, that the Commission find that the imposition of the proposed civil penalty under Indiana Code 3-9-4-16 would be unjust under these circumstances, that the civil penalty be reduced to the amount of One Hundred Dollars ($100), plus Two Dollars and Seventy Seven Cents ($2.77) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of One Hundred Two Dollars and Seventy Seven Cents ($102.77) be imposed against the committee in this cause.

98-0395-07 United Mine Workers of America PAC

The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Three Hundred Five Dollars and Fifty Four Cents ($305.54), being Three Hundred Dollars ($300) for a delinquent annual report due on January 21, 1998, and Five Dollars and Fifty Four Cents ($5.54) in certified mail costs. She added that this committee had previously been brought before the Commission for a campaign finance enforcement cause. Ms. Thompson also noted that the Election Commission had not received any letter from this committee concerning this matter.

The chair asked if anyone was present to speak on behalf of this committee. There was no response. There being no further discussion, Mr. Cruea moved, seconded by Ms. Hiner, that the hearing in this matter be closed. The Commission adopted this motion by consent.

Mr. Cruea moved, seconded by Mr. Long, that the Commission at the impose the recommended civil penalty in this case, being Three Hundred Dollars ($300), plus Five Dollars and Fifty Four Cents ($5.54) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Three Hundred

Five Dollars and Fifty Four Cents ($305.54) be imposed against the committee in this cause.

98-1538-19 International Brotherhood of Painters and Allied Trades
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was Fifty Five Dollars and Fifty Four Cents ($55.54), being Fifty Dollars ($50) for a delinquent annual report due on January 21, 1998, and Five Dollars and Fifty Four Cents ($5.54) in certified mail costs. She added that this committee had previously been brought before the Commission for a campaign finance enforcement cause. Ms. Thompson also noted that the Election Commission had not received any letter from this committee concerning this matter.

Mr. Cruea moved, seconded by Mr. Long, that the Commission at the impose the recommended civil penalty in this case, being Fifty Dollars ($50), plus Five Dollars and Fifty Four Cents ($5.54) for investigative costs incurred and documented by the Election Division, and that a total civil penalty of Fifty Five Dollars and Fifty Four Cents ($55.54) be imposed against the committee in this cause.

98-3748-63 Society Corporation PAC of Indiana
The chair recognized Ms. Thompson, who stated that the proposed civil penalty in this matter was One Thousand Eight Dollars and Thirty One Cents ($1,008.31), being One Thousand Dollars ($1,000) for a

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INDIANA ELECTION COMMISSION

INvotes : Election Division
Register to Vote | Absentee Ballot | Results | HAVA