Article XI

(1)

Only contributions which are properly solicited, made, accepted, and reported under these Rules may be expended or used by candidates, slates, or independent committees for the 2020-2021 International Union Delegate and Officer Election.

(2)

No employer may contribute, or shall be permitted to contribute, directly or indirectly, anything of value, where the purpose, object, or foreseeable effect of the contribution is influence, positively or negatively, the election of a candidate.  No candidate may accept or use any such contribution.  These prohibitions are not limited to employers that have contracts with the Union; they extend to every employer, regardless of the nature of the business and include, but are not limited to, any political action organization that employs any staff; any nonprofit organization, such as a church or civic group that employs any staff; and any law firm or professional organization that employs any staff.  These prohibitions extend beyond strictly monetary contributions made by an employer and include contributions or use of employer stationery, equipment, facilities, and personnel.

(3)

No labor organization, including but not limited to the International Union, Local Unions and all other subordinate Union bodies, whether or not an employer, may contribute, or shall be permitted to contribute, directly or indirectly, anything of value, where the purpose, object or foreseeable effect of the contribution is to influence, positively or negatively, the election of a candidate, except as permitted by subparagraphs (5) and (6) below.  No candidate may accept or use any such contribution.  These prohibitions extend beyond strictly monetary contributions made by a labor organization and include contributions and use of the organization's stationery, equipment, facilities, and personnel.

(4)

No candidate, slate or independent committee, nor anyone acting on their behalf, may solicit or accept financial support, or any other direct or indirect support of any kind, from any nonmember, except as permitted in subparagraphs (5) and (9) below.  Nonmember includes any former member of the IBT (including a retiree).  Nonmember does, not include a member's immediate family, which is defined as a member's spouse, parents, children, or siblings, unless such family member is otherwise ineligible to contribute under these Rules.

(5)

Except as provided herein, the rules in subparagraphs (2), (3) and (4) above, do not prohibit a candidate's solicitation or use of financial support or services from nonmembers, disinterested employers, foundations or labor organizations to pay fees for legal or accounting services performed in assuring compliance with applicable election laws, rules or other requirements or in securing, defending or clarifying the legal rights of candidates, if and only to the extent such contributions are received in response to solicitations specifically requesting such funds or services or are contributions so earmarked by the contributor at the time the contribution is made. No nonmember, disinterested employer, foundation or labor organization may contribute more than $10,000, in total, to the 2020-2021 International Union Delegate and International Officer Election to pay for such legal and accounting services.  A candidate may not accept or use any such contribution where the contributing nonmember, disinterested employer, foundation or labor organization has contributed more than $10,000, in total, to the election to pay for legal and accounting services.  A candidate may not accept or use financial support or services from the Union, from any interested employer (or association of employers of which an interested employer is a member), or from any vendor that has performed work for the International Union or any one of its subordinate bodies within the past 12 months to pay fees for legal and accounting services or for any other purpose.  Neither the Union, any interested employer (or association of employers of which an interested employer is a member), nor any such Union vendor may contribute financial support or services to the candidacy of any member.  Nothing herein shall prevent or limit legal or accounting professionals (whether or not Union vendors) from making, or a candidate from accepting or using, an in-kind contribution of legal or accounting services, so long as such services are performed in assuring compliance with applicable election laws, rules or other requirements or in securing, defending or clarifying the legal rights of candidates.  In the event that a candidate demonstrates to the Election Supervisor that the $10,000 limit on contributions to pay for legal and accounting services set forth in this subparagraph (5) and in subparagraph (12)(E), below, prevents the candidate from instituting an action in any Court, or in a proceeding before any administrative agency or the Election Supervisor or the Election Appeals Master, the Election Supervisor has the authority to waive or increase the $10,000 limitation, or to take other appropriate action.

(6)

No Union funds or other things of value shall be used, directly or indirectly, to promote the candidacy of any individual.  Union funds, facilities, equipment, stationery, personnel, etc., may not be used to assist in campaigns unless the Union is compensated at fair market value for such assistance, and unless all candidates are provided with equal access to such assistance and are advised in advance, in writing, of the availability of such assistance.  The use of the Union's official stationery with the Union's name, insignia, or other mark identifying the Union is prohibited, irrespective of compensation or access.  Other use of the Union's name, insignia, or mark by Union members, in connection with the exercise of rights under these Rules, is permitted.

(7)

No member may campaign for him/herself or for any other candidate during time that is paid for by the Union or by any employer.  However, campaigning incidental to work or regular Union business or during paid vacation, paid lunch hours or breaks, or similar paid time off is not violative of the campaign contribution rules.

(8)

Nothing herein shall prohibit any candidate from accepting contributions made by any member, provided that the contribution comes solely from the member as an individual, and not from a person or entity that is prohibited from making campaign contributions under these Rules, and provided further that the member has not reached the contribution limits set forth in these Rules.

(9)

Contributions by caucuses or groups of Union members, independent committees, or campaign organizations

(A)

Except as set forth in Subsection 1 (b)(9)(B) below, nothing in these Rules shall prohibit any candidate from accepting contributions made by any caucus or group of Union members, independent committee or campaign organization of any candidate or slate, or prohibit such caucus or group of Union members, independent committee or campaign organization of any candidate or slate from making contributions, provided that such caucus, group of Union members, independent committee or campaign organization is itself financed exclusively from contributions which are permitted and properly reported under these Rules. If a caucus or group of Union members (including an independent committee under the Rules) receives contributions or funding from sources prohibited under the Rules, such as foundations or labor organizations, the caucus or group can still make campaign contributions if it: (1) properly allocates and segregates resources obtained from prohibited sources from those received from permissible sources under the Rules (using the allocation system previously approved by the Election Officer or such other allocation system approved by the Election Supervisor); and (2) uses only the resources obtained from permissible sources under the Rules for campaign activities.

(B)

Notwithstanding Subsection 1(b)(9)(A) above, contributions made to a candidate, slate or independent committee for use in a delegate election may be used only in the particular delegate election for which the contribution or solicitation was made.  Contributions made to a candidate, slate or independent committee for use in the International election may be transferred to other candidates, slates, or independent committees, for use in the International election.  Candidates or slates in the International election, or independent committees, may use contributions received and properly reported under the Rules to support candidates for delegate or alternate delegate positions, but may not transfer funds to candidates or slates in the delegate elections.

(10)

Nothing herein shall prohibit the donation of services by an individual, who is not an employer, to a candidate rendered on the individual's personal free time without compensation in any form by an employer or labor organization and without accompanying contributions of supplies or of services of others who are compensated by an employer or labor organization for such services.

(11)

If a candidate or a candidate's campaign incurs a debt by loan, extension of credit, deferred payment terms, contingency fee arrangement or the like and fails to pay the debt, the debt shall be deemed a contribution made by the creditor to the candidate or candidate's campaign, unless the creditor has made a commercially reasonable attempt to collect the debt.  Whether or not a debt is settled, the candidate or the candidate's campaign, as the case may be, shall file a debt statement with the Election Supervisor in his/her/its final Campaign Contribution and Expenditure Report, described in Section 2 of this Article.  The statement must indicate the amount initially owed, the date the debt was incurred, the amount paid, the terms of the debt settlement, if any, and the basis for any reduction.  The candidate or the candidate's campaign shall attach to the statement copies of all contracts or written agreements concerning the debt and all such documents concerning the provision of goods or services for which the debt was incurred, all bills therefore, all checks for payment of the bill and/or debt and all receipts evidencing payment of any and all parts of the debt.

(12)

Limitations on member contributions.

(A)

No candidate for delegate or alternate delegate shall contribute more than $2,000, in total, to his or her campaign or to the slate of candidates of which he or she is a member (not including legal and accounting contributions).  A candidate for delegate or alternate delegate may elect to contribute up to $1,000 to other candidates, slates, or independent committees for use in the International Union delegate elections, but in no case shall he or she contribute more than $2,000, in total, for use in the International Union delegate elections (not including legal and accounting contributions).  Unused delegate election contributions shall, after the certification of the particular delegate election, be returned to contributors or donated to charity.

(B)

No candidate for International Office shall contribute more than $10,000, in total, to his or her campaign, or to the slate of candidates of which he or she is a member (not including legal and accounting contributions).  A candidate for International Office may contribute up to $2,000 to other candidates, slates, or independent committees for use in the International Officer election, but in no case shall he or she contribute more than $10,000, in total, for use in the International Officer election (not including legal and accounting contributions).

(C)

No member who is not a candidate for delegate or alternate delegate shall contribute more than $1,000, in total, for use in the International Union delegate elections (not including legal and accounting contributions).

(D)

No member who is not a candidate for International Office shall contribute more than $2,000, in total, for use in the International Officer election (not including legal and accounting contributions).

(E)

No candidate, or member who is not a candidate, shall contribute more than $10,000, in total, for use in the 2020-2021 International Union Delegate and Officer Election to pay fees for legal and accounting services performed in assuring compliance with applicable election laws, rules or other requirements or in securing, defending, or clarifying the legal rights of candidates.

(F)

Any contributions which are received from a member's immediate family (spouse, parents, children, or siblings) shall count toward the candidate's or member's contribution limits unless the family member is also a member of the IBT.

(G)

A member or candidate may make separate campaign contributions to different candidates, slates or independent committees, provided that the total amount given by any one candidate or member does not exceed the limits stated herein.  The contribution limits applicable to campaign contributions for use in the International Union delegate elections and campaign contributions for use in the International Officer election are separate, so that a member or candidate's campaign contribution for use in the delegate elections does not reduce the amount that the member or candidate can contribute for use in the International Officer election.

(13)

Candidates are strictly liable to insure that each contribution received is, permitted under these Rules.  Prohibited contributions must be returned promptly.  Within three days of the return of any contribution, the candidate or candidate's campaign returning the contribution shall provide to the Election Supervisor an affidavit identifying the original source and date of the contribution being returned, the amount of the returned contribution, the person to whom or entity to which the contribution was returned and the date on which the contribution was returned.

(14)

Funds remaining in a candidate’s or independent committee’s campaign fund or legal and accounting fund shall, after the certification of the election, be returned to contributors, or donated to charity.  For convention delegate or alternate delegate candidates, remaining funds shall be returned to contributors or donated to charity not later than sixty (60) days after certification of the particular delegate election.  For International Officer candidates, remaining funds shall be returned to contributors or donated to charity not later than one-hundred twenty (120) days after certification of the results for the candidate’s office.  A candidate or independent committee may apply for an extension of the date for disposal of remaining funds upon a showing of good cause for the extension.  The Election Supervisor may deny the application, or may grant it subject to reporting or other requirements.

(15)

Ignorance by a candidate, by a union and/or by an employer that union or employer funds or other resources were used to promote a candidacy shall not constitute a defense to an allegation of a violation of these Rules.

A Campaign Contribution and Expenditure Report ("CCER" or “Report”) and a Supplemental Form No. 1: Permitted Employer and Labor Organization Contributions and Associated Expenditures for Legal and Accounting Services ("Supplement No. 1") shall be filed with the Election Supervisor by each of the following, using the secure, electronic means provided by the Election Supervisor’s web-based CCER system, on the schedule set forth in this Article, by each of the following:

(1)

Every Union member who is a candidate for International office, including any member who has received or solicited any contributions, whether of money or of any other thing of value, or made any expenditures, where the purpose, object or foreseeable effect of any such contribution or expenditure is to influence the election of that member as an International Officer, whether or not such member is as yet declared, accredited or nominated as a candidate.

(2)

Every slate of candidates for International office, whether full or partial, including any slate which has received or solicited any contributions, whether of money or of any other thing of value, or made any expenditures, where the purpose, object or foreseeable effect of any such contribution or expenditure is to influence the election of one or more International Officer candidates, whether or not the slate is as yet declared as such; and

(3)

Every independent committee which has received or solicited contributions in excess of $1,000, whether of money or of any other thing of value, or made expenditures in excess of $1,000, whether of money or of any other thing of value, where the purpose, object or foreseeable effect of any such contribution or expenditure is to influence the election of one or more International Officer candidates, whether or not any such candidate is as yet declared, accredited or nominated.

Each Union member who is required to file a Report and Supplement No. 1 shall also cause to be filed and shall be responsible for filing of the corresponding Report and Supplement No. 1 by any slate of which that member is a part.  A slate need file only one Report and Supplement No. 1 on behalf of all candidates on that slate.  Members' individual Reports and Supplement No. 1 and slates' Reports and Supplement No. 1 s may be submitted to the Election Supervisor together.

To the extent a committee is controlled by a candidate or slate, the person or entity is not an independent committee and shall be deemed part of the candidate's or slate's campaign.  Receipts and expenditures of such a non-independent committee shall be reported by the candidate or slate in each Report and Supplement No. 1 filed by the candidate or slate.

(1)

International Union delegate and alternate delegate elections

(A)

It is the responsibility of each candidate, slate and independent committee participating in the International Union delegate and alternate delegate elections to keep records sufficient to demonstrate compliance with these Rules.  Each candidate, slate and independent committee is subject to audit by the Election Supervisor upon notice.

(B)

It is the responsibility of each candidate, slate and independent committee to make certain that all campaign contributions accepted, whether in cash or by check, are made only by members.  All candidates for Convention delegate or alternate delegate are required to maintain records of the names of every contributor and the amount of each contribution, including sales of campaign paraphernalia.

(C)

In addition, each candidate, slate, and independent committee must maintain records of all invoices and bills documenting all expenditures exceeding $50 made in connection with the International Union delegate and alternate delegate elections.

(2)

International Union Officer Election

(A)

It is the responsibility of each candidate, slate and independent committee to keep records sufficient to demonstrate compliance with these Rules, including but not limited to records of each reportable transaction.  Such record keeping must include the name and Local Union number of every contributor and the amount of each contribution, including sales of campaign paraphernalia.  Records of all invoices and bills must also be maintained.  Each candidate, slate and independent committee is subject to audit by the Election Supervisor upon notice.

(B)

It is the responsibility of each candidate, slate and independent committee to make certain that all contributions, whether in cash or by check, are made only by members.  Prior to confirmation of membership status, contributions shall not be deposited or used.  The IBT General Secretary Treasurer's office shall, upon request, provide prompt advice as to membership based on Titan records (or non-Titan records in the case of non-Titan locals).

(C)

Contributions from persons whose eligibility has not been verified may be deposited into an escrow account established for this purpose.

Each candidate, slate, or independent committee shall contact the Office of the Election Supervisor to establish a password-protected CCER account.  The information required for reporting shall be entered using the web-based CCER system, and all reports shall be filed electronically using that system.

Each candidate, slate, and independent committee listed in Subsection (a)(1), (2) or (3) above must file both the Report and Supplement Form No. 1.  Even if such candidate, slate or independent committee does not solicit or receive any campaign contributions or earmarked legal and accounting contributions from nonmembers, employers and labor organizations, both the Report and Supplement No. 1 must still be filed (that is, if a reporting candidate, slate or independent commit has no contributions to report, a report certifying $00.00 received must be filed).  Even if such candidate, slate or independent committee solicits or receives only contributions from nonmembers, employers or labor organizations earmarked for legal and accounting services, or, with respect to an independent committee, where the committee itself, because it is an employer, labor organization, trust, foundation or similar entity, can solicit, receive or expend funds solely in connection with legal and accounting services, that candidate, slate or independent committee must file a Report.

Each Report and Supplement No. 1 electronically filed by an individual member of the Union will be deemed signed and certified as true and accurate by that member.  Each Report and Supplement No. 1 electronically filed by a slate will be deemed signed and certified as true and accurate by the formally designated treasurer of the slate.  Each Report and Supplement No. 1 electronically filed by an independent committee will be deemed signed and certified as true and accurate by a representative formally designated by the committee.

A candidate, slate or independent committee that pays or contracts for goods or services for the 2020-2021 IBT International Union Delegate and Officer Election in an aggregate amount of $5,000 or more from a vendor that has performed work for the IBT or any of its subordinate bodies within the past 12 months, shall file a disclosure ("vendor report"), on a form provided by the Election Supervisor, which shall set forth the terms of the agreement or payment and the identity of the IBT bodies for which the vendor has worked. Such disclosure does not apply to banks, telephone companies, utility companies, or the United States or Canadian postal services.  Candidates, slates, or independent committees shall file these vendor reports with the Election Supervisor, who shall make them available to independent candidates or slate representatives under the same terms and conditions that apply to campaign financing and expenditure reports.[1]

Independent committees should file the schedules which accompany the summary reports in two forms - filled out in full and redacted.  In redacting the schedules, independent committees should delete references to the identity of contributors or their local unions and the amount of each contribution.  Each independent committee should also redact from the expenditure schedules any reference to the identity of members of the independent committee or their local unions.

(1)

Every member who, and every independent committee and slate which, is required to file a Report and Supplement No. 1 shall do so on the following schedule:

(i)

On or before June 15, 2020, each such member, independent committee, and slate shall file a Report and Supplement No. 1 for the period through May 31, 2020. This first CCER must include all requested information retroactive to the first contribution and the first expenditure for the 2020-2021 International Union Delegate and Officer Election.  Each succeeding CCER must include all requested information not included in prior CCERs;

(ii)

On or before October 15, 2020, each such member, independent committee, and slate shall file a Report and Supplement No. 1 for the period June 1, 2020, through September 30, 2020;

(iii)

On or before February 15, 2021, each such member, independent committee, and slate shall file a Report and Supplement No. 1 for the period October 1, 2020, through January 31, 2021;

(iv)

On or before June 15, 2021, each such member, independent committee, and slate shall file a Report and Supplement No. 1 for the period February 1, 2021, through May 31, 2021;

(v)

On or before September 15, 2021, each such member, independent committee, and slate shall file a Report and Supplement No. 1 for the period June 1, 2021, through August 31, 2021;

(vi)

On or before October 1, 2021, each such member, independent committee, and slate shall file a Report and Supplement No. 1, for the period September 1, 2021 through September 15, 2021;

(vii)

On or before October 15, 2021, each such member, independent committee, and slate shall file a Report and Supplement No. 1, for the period September 16, 2021, through September 30, 2021.

(viii)

On or before November 1, 2021, each such member, independent committee, and slate shall file a Report and Supplement No. 1, for the period October 1, 2021, through October 15, 2021.

(ix)

On or before November 15, 2021, each such member, independent committee, and slate shall file a Report and Supplement No. 1, for the period October 16, 2021, through October 31, 2021.

(x)

On or before December 1, 2021, each such member, independent committee, and slate shall file a Report and Supplement No. 1, for the period November 1, 2021, through November 15, 2021.

(xi)

On or before January 18, 2022, each such member, independent committee, and slate shall file a Report and Supplement No. 1, for the period November 16, 2021, through December 31, 2021.

(xii)

On such subsequent date(s) as the Election Supervisor may determine, each such member and slate shall file a Report and Supplement No. 1 for such subsequent period(s) as the Election Supervisor may determine.

(xiii)

The Election Supervisor may adjust the above schedule for filing campaign financing and expenditure reports if he/she deems it appropriate to do so.

(2)

In the First Report and Supplement No. 1 filed by every member, each slate and each independent committee, the person or entity making the filing shall include all information requested for all contributions received for the 2020-2021 International Office Election after April 1, 2017, through ten (10) days prior to the filing.

(3)

Four weeks prior to the date on which the ballots are to be mailed to members (such date to be announced by the Election Supervisor), each candidate, slate and independent committee shall submit a budget of fund raising and expenditures anticipated through the end of  the campaign on a form to be promulgated by the Election Supervisor.  Thereafter and until the deadline established by the Election Supervisor for the receipt of ballots, each candidate, slate and independent committee shall report deviations from the submitted budget of more than $1,000 with respect to any budgeted item within 48 hours of learning of such deviation by submitting an amended budget of fund raising and expenditures to the Election Supervisor, who shall promptly notify every other candidate, slate and independent committee of the filing of such amended budget.

Upon written request, the Election Supervisor shall advise any member whether any candidate (whether or not declared, accredited or nominated), slate or independent committee identified by the member has made a filing under this Article.

Each nominated or accredited candidate for International Office shall have the right to inspect and obtain copies, subject to a reasonable charge determined by the Election Supervisor, of any campaign financing and expenditure reports and/or vendor reports filed by other candidates or slates upon reasonable request at the Office of the Election Supervisor in Washington, D.C., upon such reasonable terms and conditions as the Election Supervisor may establish for processing such requests.  The Election Supervisor, in her/his discretion, may require independent candidates and slates to transmit copies of their campaign financing and expenditure reports and vendor reports to independent candidates or slate representatives.

No candidate may inspect or copy any campaign financing and expenditure report filed by an independent committee, without the express prior written consent of the independent committee by its authorized representative; provided, however, that it is recommended that the Election Supervisor shall provide at a candidate's request limited disclosure of the following portions of an independent committee’s Campaign Contribution and Expenditure Reports:

(1)

Redacted schedules which reflect the total amount of contributions and total number of contributors, but which do not reflect the identity of individual contributors or their local unions.

(2)

Redacted schedules of expenditures which do not reflect the identity of members of the independent committee or their local unions.

The Election Supervisor may impose the same conditions as set forth in the preceding paragraph for this limited disclosure (e.g., a reasonable charge for copies, direct transmission, and electronic filing and distribution).