The Political Reform Act mandates the timely filing of campaign and lobbying disclosure statements. To encourage this, the Act imposes a $10 per day penalty for late filing of statements or reports. The Secretary of State’s office does not have the authority to waive liability for late filing fines unless we can conclude both that the late filing was not willful and that imposing the liability will not further the purposes of the Political Reform Act. Reference Government Code section 91013.

Accordingly, a request for a waiver must meet the criteria described below.

Waiver Request Process

A request for waiver of liability of a late filing fine must be submitted within 30 calendar days of the date the Secretary of State’s office notifies a filer of the fine. If more than one late fine has been assessed, a separate form must be submitted for each late filing fine.

A waiver request must be submitted on a Request for Waiver of Liability Form PRD-1 (PDF) (Updated 2024). The waiver request must be signed with an original ink signature or verified digital signature by the filer, treasurer, responsible officer of the filer, or an attorney representing the filer. The person who signs the Form PRD-1 must affirm the truthfulness of the information included in the Form PRD-1.

There is no provision for refund of already paid fines or credit toward a filer’s account.

When submitting a Form PRD-1, attach all relevant documentation that supports the reason for the late filing. Examples of supporting documentation are hospital records showing dates and the nature of incapacitation, death records or obituaries, and police reports of stolen property. If you have any questions about what documentation is necessary to support the grant of a waiver, contact the Political Reform Division before submitting the form at (916) 653-6224.

Waiver Criteria

The following are the reasons the Secretary of State’s office will consider in determining whether a late filing fine is eligible for a full (100%) or partial (50%) waiver:

Unplanned medical incapacity or death of the filer or the filer’s immediate family

The Secretary of State’s Office shall not enforce liability for late filing fees if the person who filed the late statement or report was unable to timely file due to serious illness or hospitalization.

Substantiated reasons related to serious illness, hospitalization, or death, that prevented a filer from filing in a timely manner are eligible for a full (100%) waiver, provided that the filer filed as soon as the reason abated. Immediate family is defined as the filer’s spouse or registered domestic partner; sibling; sibling’s spouse or registered domestic partner; child or stepchild; child or stepchild’s spouse or registered domestic partner; grandchild; parent; spouse or registered domestic partner’s parent; or grandparent.

Unavailability of records

Substantiated proof that unavailable records prevented timely filing will result in a full waiver. Reasons records may not be available include but are not limited to natural disaster, fire, and theft.

Enforcement Actions

The Political Reform Act includes both $10 per day late filing liability that is assessed by the Secretary of State’s office and civil penalties for violations of the Act of up to $5,000 per violation that are imposed by the Fair Political Practices Commission (“FPPC”). (Government Code sections 91013 and 91005.5.) In most cases, a late filing liability will be assessed quickly by the Secretary of State’s office unrelated to, or before the start of, any enforcement action. However, if a penalty has already been imposed on the filer by the Fair Political Practices Commission (“FPPC”) or a court for the same late filing violation, the Secretary of State’s office may waive its late filing fine.

Stipulation. Requests for waiver based on an FPPC enforcement action must include a signed copy of the Stipulation, Decision and Order showing the matter has been resolved. In most cases, the Secretary of State’s office will grant a full (100%) waiver when an FPPC enforcement action was resolved for the same late filing conduct.

Court Decision. Requests for waiver based on a court decision must include court documentation showing resolution of the civil or criminal matter. The Secretary of State’s office will consider whether a waiver is appropriate because of court decisions on a case by case basis.

Political Reform Education Program. The Secretary of State’s Office shall not enforce liability for late fees if the person who filed the late statement or report completed the political reform education program for that late filing violation.

First-Time Filers

Generally, being a novice filer is not an eligible reason for a waiver of late filing fines. Training and advice about filing obligations are available from the Fair Political Practices Commission at www.fppc.ca.gov.

If a person is a first-time filer, the Secretary of State’s office may consider a partial waiver of late filing fines if the following criteria are met:

  • For all filers: the filer was not using a professional or experienced treasurer at the time of the filing obligation and the filer had a comparatively low level of activity that they failed to report in a timely manner.
  • For a candidate or committee: the filer has not filed campaign statements with the Secretary of State before.
  • For a major donor: the filer has never hit the threshold for filing a major donor report.

If a person is a first-time electronic filer, the Secretary of State’s office may consider a full or partial  waiver of late filing fines for a late electronic filing. To qualify for this waiver, the filer must have recently become required to file both electronically and on paper, have never filed electronically with the Secretary of State’s office previously, and filed the paper version of the late electronic filing.

Unique circumstances

Other reasons may entitle filers to either a full or partial waiver of a late filing fine. A filer shall describe in detail the nature of the circumstance and why that circumstance prevented them from filing in a timely manner.

Common Reasons for Waiver Request Rejection

The following are examples of reasons that do not constitute eligibility for a waiver:

  • Not receiving notice of filing requirements
  • Not being available to sign forms
  • Change of personnel
  • Neglect or forgetfulness
  • Not knowing where to get the forms or how to file them
  • Not picking up your mail
  • Administrative or clerical errors
  • The inclusion of the transaction required to be reported on a subsequent or other report

Decision Process

The Secretary of State’s office will typically make a determination within two weeks of receipt, though business demands and evaluation of unique circumstances may affect our efforts to provide a prompt determination. The Secretary of State’s office may request additional information or documentation as it considers waiver requests.

These guidelines were last updated on May 21, 2024.

Frequently Asked Questions 

Q. If I submit a request for waiver of liability of late filing fines, will the fine assessed on the committee be removed from the list of outstanding fines published on the Secretary of State’s website?

A: No. The fine will not be removed from the list while awaiting the determination of the waiver request.

Q. If I notify the Secretary of State’s office that I am working with the FPPC regarding an enforcement action for the same late filing conduct, will the fine assessed on the committee be removed from the list of outstanding fines published on the Secretary of State’s website?

A. No. The fine will not be removed from the list while awaiting the resolution of the enforcement action.