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Campaign Finance A Quick Reference Guide for Candidates Disclaimer: Disclaimer: This Guide is intended as a general interpretive resource only. Where.

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Presentation on theme: "Campaign Finance A Quick Reference Guide for Candidates Disclaimer: Disclaimer: This Guide is intended as a general interpretive resource only. Where."— Presentation transcript:


2 Campaign Finance A Quick Reference Guide for Candidates Disclaimer: Disclaimer: This Guide is intended as a general interpretive resource only. Where important legal rights are concerned, you should consult with your own attorney to be fully and properly advised.

3 Statement of Organization Candidate Committees Campaign Finance Questions Do I have to file? If so, when? What do I file to start my committee? Where do I file? Do I have to file periodic reports? If so, what kind of report should I file and when?

4 Statement of Organization When To Open a Candidate Committee Must file Earlier of:  Within 10 days of raising or spending $100  Within 7 days of the deadline for filing a declaration of candidacy Most candidates must have a principal political committee. A candidate may be chairman, treasurer or both on their own candidate committee

5 Qualifications for Treasurer Must be a US citizen Cannot be a chairman of another committee, except in the case where a candidate is her own chairman and treasurer Must be appointed in writing (CFA-1)

6 Exceptions to Opening a Candidate’s Committee Candidates for a local office that make less than $5,000 and school board candidates:  Are not required to file a statement of organization nor file campaign finance reports unless they raise or spend more than $500  Must file a statement of organization and campaign finance reports with 10 days of raising or spending more than $500 Campaign Finance

7 When amending the CFA-1 it must be filed within ten (10) days of the change. Only complete the lines where changes have been made. Statement of Organization Amending a Candidate Committee

8 Where to File State Legislative Office: Candidates file only with the Indiana Election Division, effective January 1, 2011. County, City, Town or Township Office (includes prosecutors and judges): Candidates file with the County Election Board PACs and Legislative Caucus Committees: Support Statewide or State Legislative Candidates then file with the Election Division Support County, City, Town or Township Candidates then file with County Election Board Supporting more than one of these categories then file with the Election Division Campaign Finance

9 What to file: CFA-4 Report of Receipts and Expenditures This is the report of receipts and expenditures that must be filed periodically as long as you have a committee open. Check type of report you are submitting in the appropriate box on the first page cover sheet: Pre- primary, Pre-election, Annual, Final or, Outgoing Treasurer. Check the box “final/disbanding” when you are closing your committee

10 Pre-PrimaryReportFriday, April 20, 2012, for reporting period ending Friday, April 13, 2012 Pre-GeneralReportFriday, October 19, 2012 for reporting period ending Friday October 12, 2012 2012 Annual ReportWednesday, January 16, 2013 for reporting ending December 31, 2012 2012 Reporting Deadlines for Candidates- When to File

11 Deadlines for “special” candidates Candidates selected to fill a ballot vacancy, Libertarian candidates, Independent candidates, and write-in candidates have their own set of deadlines prior to the PreGeneral Report. Refer to the 2012 Campaign Finance Manual and 2012 Election Calendar for exact dates

12 Corporate and Labor Contribution Limits Corporations and Labor Organizations are permitted to make direct contributions to candidate, regular party and political action committees. However, their contributions are limited to the following maximum amounts: For Example, a Corporation or a Labor Organization may not give more than $2,000 in the aggregate to candidates for local office. Campaign Finance

13 Direct corporate and labor organization contributions to PACs must be “earmarked”, and are subject to the limitations under each category. Campaign Finance Corporate and Labor Contributions to Political Action Committees

14 A1: Contributions from Individuals: Include full name, mailing address, contribution date (when received), and check the type of contribution. A2: Contributions by Corporations A3: Contributions by Labor Organizations A4: Contributions by PACS A5: Contributions from other Organizations (e.g. transfer in from a committee) Contribution Schedules

15 Itemized Contributions for Candidate’s Committee Must Itemize contributions more than $100 in cumulative contributions from single source If itemize must include: 1) Date and amount of contribution; 2) Full name and full mailing address of person making contribution; and 3) Must identify the persons occupation if contributions from person total $ 1,000 or more On CFA-4 Summary Sheet Enter total of Itemized contributions on all Schedule As on line 15a of CFA-4 report cover page. Contributions of $100 or less (unitemized) must be entered on line 15b of CFA-4 report cover page Total both columns

16 Itemized Contributions for Candidate’s Committee Practical Tip Keep at least the date and amount of contribution and the full name and mailing address of every person making contribution because you never know when their cumulative contributions could exceed $100 in a calendar year

17 When is a Contribution made or received A contribution is considered made when deposited in the mail or transferred to another person. A contribution is received and accepted when a person has physical possession of the contribution and deposits it in the committees account. Campaign Finance

18 Pre-Primary Filing Deadline: Who files: Received after April 13, 2012, and before 48 hours before election No later than 48 Hours after receipt Candidates on 2012 Primary or General Election Ballot ONLY Large Contributions Definition: Contributions from a contributor that are received after the regular reporting period and 48 hours before the election that, in the aggregate, total $1,000 or more must be reported on form CFA-11 Pre-General Received after October 12, 2012, and before 48 hours before the election

19 Large Contributions Reminder: IC 3-9-5-22 requires counties to accept CFA-11s (large contribution reports) by FAX Counties are not required to accept other reports by FAX, unless they have adopted a policy mandating it.

20 Schedule B Itemized Expenditures You must itemize all expenditures exceeding $100 in the aggregate on Schedule B Identify full name, mailing address, occupation and principal place of business of person to whom expenditure made On CFA-4 Summary Sheet: Enter the total of itemized expenditures on line 17a of CFA-4 cover page. Enter the total of unitemized expenditures on line 17b. Total columns A and B.

21 Schedule B Itemized Expenditures On CFA-4 Summary Sheet: Enter the total of itemized expenditures on line 17a of CFA-4 cover page. Enter the total of unitemized expenditures on line 17b ($100 or less in the aggregate). Total columns A and B.

22 Expenditure Coding “ C”- Direct and in-kind contributions the campaign can legally make to other campaigns “F”- Expenditures associated with holding a fundraiser. “A”- Expenditures associated with the production and printing or copying of campaign communications. “O”- General operating expenses and overhead (rent), postage, and travel

23 Debts and Loans Schedule D: Debts owed by like a loan would be entered on Schedule A-5 and reentered on Schedule D. Debts are totaled on line 19. Schedule E: This is money loaned from your committee to another. Loans are totaled on line 20. Practical Tip: Enter funds spent by candidate or funds candidate gives to committee as “loans” to committee and “debts” of committee so that candidate can get paid back if committee later collects contributions to cover loans

24 Ways to Disband a Committee Committee initiated County election board administratively dissolves committee

25 Committee Disbands CFA-4, box #11, “Final/Disbands” Must have zero cash on hand Must have zero debts/penalties Closing a bank account does not disband a committee!!

26 CEB Administratively Disbands Committee IC 3-9-1-12—Discretionary No reports filed in 3 years Less than $1,000 cash on hand Notice sent to last known address of chairman and treasurer At hearing, board makes specific findings May waive any penalty previously imposed Must publish notice of action in paper

27 Practical Advice File on Time even if you are unsure if accurate or incomplete.  You will avoid fine  You will be able to amend Close your Committee if you are defeated or you are finished with it  Committees do not automatic close- they remain open until you disband committee by filing final/disbanding report  As long as committee is open you will have to file at least an annual report

28 Campaign Finance Enforcement Campaign Finance Enforcement Proceedings: Applicable Law Open Door Law (IC 5-14-1.5) Election Law (IC 3-9-4) Administrative Orders and Procedures Act (AOPA) (4-21.5-3)

29 Campaign Finance Enforcement Prior to Enforcement Proceeding County election board must audit for late reports and send a delinquency notice not later than 30 days after a report was required to be filed Example:  Pre-primary report is due April 20, 2012  Delinquency Notice must be sent to a committee that filed their report late or did not file a report by May 21, 2012 (IC 3-9-4-14(a)(1)) (See Form 1)  County election board may, but is not required, to give notices at other times

30 Campaign Finance Enforcement Open Door Law Requirements Notice Requirement: Notice (Date, Time & Place) of meeting must be posted 48 hours before the meeting. (excluding weekends and holidays) at office (See Form 2)  Notices for the year must also be mailed, emailed or FAXed to media if requested in writing by Jan. 1 of the year Agenda, if used, must be posted at entrance prior to meeting.

31 Campaign Finance Enforcement Open Door Law Requirements In general, notice is not required to be published in newspaper unless specific statute requires publication (For example, the “public test” for voting systems is required to be published in the newspaper 48 hours before the test) Publication of notice is not required for a campaign finance enforcement hearing unless the meeting also contains agenda items that require published notice

32 Campaign Finance Enforcement Campaign Finance: AOPA Administrative Orders & Procedures Act (AOPA) applies to campaign finance enforcement hearings ( IC 3-9-4-17(j)) and is specific about:  Notice to Committee : At Least 5 Days Notice (excluding Sat, Sun, and holiday) (IC 4-21.5-3-20)   Content of Notice : a) Time, Place, and Nature of Hearing; b) Possibility of default for not appearing, and (c) Contact information (IC 4-21.5-3-20(c)); (Form 3)  Issue Order : Within 90 days of hearing with findings and provide order to the Committee (IC 4- 21.5-3-27) (Form 5)

33 Campaign Finance Enforcement Campaign Finance: AOPA AOPA requires that all testimony of witnesses be given under oath (can swear all witnesses at once) (IC 4-21.5-3-26(b))  Any Member of Board May Administer Oath (IC 3-6-5-26) (Form 4)  If necessary, CEB may subpoena persons and Papers (contact IED for guidance) Otherwise proceeding may be informal without resort to technical common law rules of evidence applicable to courts (IC 4-21.5-3-25(b))

34 Campaign Finance Enforcement County Election Board: Campaign Finance Most common cases include delinquent filings by committees (Late CFA-1 or CFA-4) Other violations:  Defective Reports  Excessive corporate/labor contributions Penalty Provisions: CEB can waive or reduce penalty by unanimous vote if “unjust under the circumstances” ( IC 3-9-4-17; IC 3-9-4-19) (See Form 5) CEB Member may assign a proxy if member has a conflict (IC 3-6-5-4.5) (Form 6)

35 Campaign Finance Enforcement County Election Board: Campaign Finance County treasurer must establish a non-reverting campaign finance enforcement account for campaign finance fines (IC 3-9-4-17(j) and (k)) These funds are available, with the approval of the county council, to supplement funds appropriated to administer campaign finance Check with county attorney for collection of unpaid fines

36 Campaign Finance Enforcement DISCLAIMER LAW ENFORCEMENT CEB can investigate other election law violations if it finds “there is substantial reason to believe an election law violation has occurred” (Disclaimer violation, for example) ( IC 3-6-5-31)  Must provide notice and opportunity to be heard  If “in judgment of CEB” a person has engaged, or is about to engage in a violation” of election law then CEB may take “appropriate action” including:  Referral to prosecutor if it is an election crime (IC 3-6- 5-32; IC 3-14-5-3)  Referral to attorney general if involve continuing violation requiring an “injunction” (IC 3-6-5-32)

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