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      TEXAS ETHICS COMMISSION

LEGISLATIVE CAUCUS REPORT OF CONTRIBUTIONS & EXPENDITURES

FORM LEG--INSTRUCTION GUIDE

Revised September 1, 2007


TABLE OF CONTENTS

These instructions are for the LEGISLATIVE CAUCUS REPORT OF CONTRIBUTIONS AND EXPENDITURES (Form LEG). Form LEG includes a COVER PAGE and Schedules A(L), E(L), and F(L). All filers must submit the cover sheet, but only the schedules on which there is information to report need to be included.

GENERAL INSTRUCTIONS

Electronic Filing

Filling Out the Forms

Photocopies of Forms

Filing Date

LEGISLATIVE CAUCUS: REPORT OF CONTRIBUTIONS & EXPENDITURES

Completing the Cover Sheet

Schedule A(L): Non-Caucus Member Contribution

Schedule E(L): Loans to Legislative Caucus

Schedule F(L): Legislative Caucus Expenditure


GENERAL INSTRUCTIONS

These general instructions apply to all forms required to be filed under title 15, Texas Election Code.

ELECTRONIC FILING

Legislative caucus reports are required to be filed electronically unless the caucus is eligible to claim an exemption.  Please check the Texas Ethics Commission’s website at http://www.ethics.state.tx.us for information about exemptions from the electronic filing requirement.

FILLING OUT THE FORMS

All reports filed on paper must be either handwritten in ink or typewritten. If you complete the report by hand, please print everything other than your signature.

You may use your own computer-generated form if it provides for disclosure of all the information required on the Ethics Commission's form and it is substantially identical in paper size, color, layout, and format. A substitute form that is substantially identical to the commission's prescribed form may be submitted for pre-approval by the commission's executive director.

Always file the cover sheet of the Legislative Caucus Report form. You need to file only those Schedules on which you have information to report.

You must keep an exact copy of each report filed and all records necessary to complete the report for at least two (2) years after the deadline for filing the report.

If you have questions, please call our office at (512) 463-5800.

PHOTOCOPIES OF FORMS

You may use photocopies of Ethics Commission forms. For example, if the space provided on Schedule A(L) is insufficient, you may make copies of a blank Schedule A(L) form and attach more pages as needed.

FILING DATE

A document is considered timely filed if it is properly addressed with postage or handling charges prepaid and bears a postmark or receipt mark of a common or contract carrier indicating a time on or before the deadline.

Please address your reports and correspondence to the Texas Ethics Commission, P. O. Box 12070, Austin, Texas 78711-2070. For hand deliveries, the commission's street address is 201 East 14th Street, Sam Houston Building, 10th Floor, Austin, Texas 78701.

If the due date for a report falls on a Saturday, Sunday, or legal holiday, the report is due on the next regular business day.


LEGISLATIVE CAUCUS: REPORT OF CONTRIBUTIONS & EXPENDITURES

COMPLETING THE COVER PAGE

Each numbered item in these instructions corresponds to the same numbered item on the form.

1. ACCOUNT #.

2. TOTAL PAGES FILED. After you have completed the form, count the total number of pages of this form and any attached Schedules. Enter that number where indicated on the top line of Page 1 only. Each side of a two-sided page counts as one page.

3. CAUCUS NAME. Enter the full name of the legislative caucus.

4. CAUCUS CHAIR. The chair of each legislative caucus is responsible for completing the LEGISLATIVE CAUCUS REPORT (FORM LEG). Please provide your full name in the space provided.

5. CAUCUS MAILING ADDRESS. Enter the complete mailing address for the legislative caucus. This should be the address at which the caucus chair would like to receive future correspondence from the Ethics Commission regarding this report.

6. REPORT TYPE. Check the appropriate box to indicate which semiannual report is being filed.

7. PERIOD COVERED. Indicate the time period covered by this report.

January 15 (Semiannual) Report: This report covers the period beginning July 1 or the day the legislative caucus is organized, as applicable, and continuing through December 31.

July 15 (Semiannual) Report: This report covers the period beginning January 1 or the day the legislative caucus is organized, as applicable, and continuing through June 30.

8. NO REPORTABLE ACTIVITY. If the caucus had no reportable activity during the period covered by this report, check the box and then sign the report in section 10.

9. TOTALS. Complete this section only after you have completed any applicable schedules.

Line 1: Enter the total of all unitemized contributions (other than loans or guarantees of loans) of $50 or less accepted from non-caucus members. Do not include any contributions itemized on Schedule A(L).

On Schedule A(L), you were required to itemize non-caucus member contributions that totaled more than $50 from one source. (Remember: If the caucus accepted contributions totaling more than $50 from one person during the report period, you were required to itemize all of those contributions, even if individual contributions were $50 or less.) You also had the option of itemizing contributions of $50 or less from one source. Do not include any itemized contributions in the total entered on Line 1, regardless of amount.

Line 2: Your total contributions include all contributions accepted from both non-caucus members and caucus members.

To find the sum of non-caucus member contributions, add the total contributions listed on Schedule A(L) to the amount entered on Line 1. That amount should then be added to the amount of contributions received from caucus members during the report period. (The caucus should maintain an internal list of contributions from caucus members.)

Line 3: Enter the total of all unitemized expenditures of $50 or less. Do not include any expenditures itemized on Schedule F(L).

On Schedule F(L), you were required to itemize expenditures that totaled more than $50 to one payee. (Remember: If the caucus made expenditures totaling more than $50 to one person during the report period, you were required to itemize all of those expenditures, even if individual expenditures were $50 or less.) You also had the option of itemizing expenditures totaling $50 or less to one payee. Do not include any expenditures itemized on Schedule F(L) in the total entered on Line 3, regardless of amount.

Line 4: Add the following:

(1) the total expenditures listed on Schedule F(L); and

(2) the amount you entered on Line 3.

Enter that total on Line 4.

Line 5: Enter the aggregate outstanding principal amount of all loans accepted as of the last day of the report period. This is different from the information reported on Schedule E(L). Include outstanding principal of loans made in this report period as well as outstanding principal of loans made previously.

10. AFFIDAVIT. The Legislative Caucus Report (Form LEG) must be signed by the caucus chair.


SCHEDULE A(L): NON-CAUCUS MEMBER CONTRIBUTIONS (ITEMIZED CONTRIBUTIONS OTHER THAN LOANS)

These instructions are for the chair of a legislative caucus using SCHEDULE A(L): NON-CAUCUS MEMBER CONTRIBUTIONS. Enter on this Schedule only information about contributions accepted during the report period. Do not enter on this Schedule information on loans or guarantees of loans. (Report loans and guarantees of loans on Schedule E(L).)

You must itemize contributions that exceed $50 that the caucus accepted during the report period from one source. You are not required to itemize contributions from caucus members. If the caucus accepted two or more contributions from the same source, the total of which exceeds $50, itemize each contribution separately. Although you are not required to do so, you may also itemize contributions that do not exceed $50.

Each numbered item in these instructions corresponds to the same numbered item on the form.

1. TOTAL PAGES SCHEDULE A(L). After you have completed Schedule A(L), count the total number of pages. A page is one side of a two-sided form.

2. CAUCUS NAME. Enter the full name of the legislative caucus.

3. CONTRIBUTION DATE. Enter the date the legislative caucus accepted the contribution.

Accepting a contribution is different from receiving a contribution. The caucus accepts a contribution when the determination is made to accept it rather than reject it. This may or may not be the same day that the caucus receives the contribution.

4. FULL NAME OF CONTRIBUTOR. Enter the full name of the contributor.

5. CONTRIBUTOR ADDRESS. Enter the complete address of the contributor.

6. CONTRIBUTION AMOUNT. Enter the amount of the contribution or the fair-market value of an in-kind contribution, as applicable.

7. IN-KIND CONTRIBUTION DESCRIPTION. Enter a description of the contribution if it was an in-kind contribution. The description should be sufficiently detailed to allow a person reviewing the report to understand what was contributed.


SCHEDULE E(L): LOANS TO LEGISLATIVE CAUCUS

These instructions are for the chair of a legislative caucus using Schedule E(L): Loans to Legislative Caucus. Enter on this Schedule only information about loans and guarantees of loans accepted during the report period.

You must itemize loans that exceed $50 that the caucus accepted during the report period from one source. If the caucus accepted two or more loans from the same source, the total of which exceeds $50, itemize each loan separately. Although you are not required to do so, you may also itemize loans that do not exceed $50.

Each numbered item in these instructions corresponds to the same numbered item on the form.

1. TOTAL PAGES SCHEDULE E(L). After you have completed Schedule E(L), count the total number of pages. A page is one side of a two-sided form.

2. CAUCUS NAME. Enter the full name of the legislative caucus.

3. TOTAL OF UNITEMIZED LOANS. Enter the total amount of loans accepted during the report period that did not exceed $50 in the aggregate per source.

Although you are not required to do so, you may also itemize loans of $50 or less on this Schedule. If you itemize some loans of $50 or less, do not include those loans in the total you enter here. If you choose to itemize all loans of $50 or less, do not enter a total amount here.

4. DATE OF LOAN. Enter the date the legislative caucus accepted the loan.

5. IS LENDER A FINANCIAL INSTITUTION?: If you accepted the loan from a corporation that has been legally engaged in the business of making loans for more than one year, circle "Y" for yes. If you accepted the loan from any other source, circle "N" for no.

6. FULL NAME OF LENDER. Enter the full name of the person or entity that made the loan.

7. LENDER ADDRESS. Enter the complete address of the person or entity that made the loan.

8. LOAN AMOUNT. Enter the exact amount of the loan.

9. INTEREST RATE. Enter the interest rate for the loan.

10. MATURITY DATE. Enter the maturity date of the loan.

11. DESCRIPTION OF COLLATERAL. If there is no collateral for the loan, check "none." If there is collateral for the loan, enter a description of the collateral for the loan.

12. GUARANTOR INFORMATION. If there are no guarantors for the loan, check the "not applicable" box and go to the next loan. If you have no further loans to report, go to the next schedule.

13. FULL NAME OF GUARANTOR. Enter the full name of the guarantor.

14. GUARANTOR ADDRESS. Enter the complete address of the guarantor.

15. AMOUNT GUARANTEED. Enter the dollar amount of the loan that the guarantor has agreed to guarantee.

16. GUARANTOR'S PRINCIPAL OCCUPATION. Enter the principal occupation of the guarantor.

17. NAME OF GUARANTOR'S EMPLOYER. Enter the name of the employer of the guarantor.


SCHEDULE F(L): LEGISLATIVE CAUCUS EXPENDITURES

These instructions are for the chair of a legislative caucus using Schedule F(L): Legislative Caucus Expenditures. Enter on this Schedule only information about expenditures made or authorized during the report period.

You must enter expenditures made to an individual or entity that exceed $50 during a report period. If the caucus made more than one expenditure to the same payee, the total of which exceeded $50, enter each expenditure separately. Although you are not required to do so, you may report expenditures to one person that do not exceed $50 on this Schedule. If you choose not to itemize expenditures of $50 and less on this Schedule, you must total all unitemized expenditures and report them on Form LEG, Cover Page, Section 10, Line 3.

Each numbered item in these instructions corresponds to the same numbered item on the form.

1. TOTAL PAGES SCHEDULE F(L). After you have completed Schedule F(L), count the total number of pages. A page is one side of a two-sided form.

2. CAUCUS NAME. Enter the full name of the legislative caucus.

3. EXPENDITURE DATE. Enter the date the expenditure was made.

NOTE: An expenditure is made when the obligation to pay is incurred. This means that if the caucus ordered goods or services on September 21 to be delivered on October 2, the expenditure was made on September 21.

NOTE: An expenditure must be included on the report for the period in which the amount of the expenditure was readily determinable by the person making the expenditure. For example, the amount of an expenditure by cash or check is available immediately and must be included in the next report due. Similarly, an expenditure by credit card is known immediately, even though you are not billed for the expenditure until you receive the statement. By contrast, you will not know the amount owed to a long distance telephone service until you receive the statement. The date you receive the phone bill is the date of the expenditure for reporting purposes.

4. FULL NAME OF PAYEE. Enter the full name of the person or entity to whom the expenditure was made.

NOTE: If the expenditure was by credit card, enter the name of the vendor who sold you the goods or services, not the name of the credit card issuer.

5. PAYEE ADDRESS. Enter the complete address of the person or entity to whom the expenditure was made.

6. EXPENDITURE AMOUNT. Enter the exact amount of the expenditure.

7. Purpose Of Expenditure: If your expenditure was to purchase or lease goods or services, enter a description of the goods or services so that a person reviewing your report would know what goods or services were purchased or leased.

 

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