1. Campaign Finance Part 1 Office Organization Reporting Requirements Processing Reports Campaign Finance Reporting Software
Presenter: Jason Schrader, Training Specialist
North Carolina State Board of Elections
McKimmon Center - September 2009

2. Office Organization Organizing a Campaign Finance Office
Every office should have an area dedicated to public viewing of all campaign finance reports. The area should be in plain view of a staff member at all times.
Every committee required to report to your office should have their own file that is easily found and accessible. All reports and correspondence should be maintained in this file.

3. Office Organization Organizing a Campaign Finance Office
Original copies of reports that contain financial institution account numbers should not be available for public viewing and kept in a locked filing cabinet. Instead, photocopies of these reports with the account numbers blacked out (redacted) should be available.
An adequate number of each reporting form should be kept available for public use. Sample forms are available on the SBOE website.

4. Office Organization Organizing a Campaign Finance Office
A current Campaign Finance Reporting Manual should be kept in the public viewing area for reference. Include with the manual a copy of any law changes that have passed since publication.
A complete, updated list of all active committees in your county or municipalities should be available in the public viewing area. It may be helpful to include threshold status information on this list to accommodate public inquiry.

5. Office Organization Organizing a Campaign Finance Office
A campaign finance reporting schedule relevant to all committees in your county or municipality should be posted in your public viewing area.

6. Reporting Requirements Candidates for County Offices and Political Action Committees (PACs) Involved in County Elections only
Organizational Report (Candidate Committee)
Organizational Report (PAC)
48-Hour Report ($1,000 or more)
Quarterly Reports (First Quarter Plus, Second Quarter, Third Quarter Plus, Fourth Quarter)
Semi-Annual Reports (Mid Year Semi-Annual, Year End Semi-Annual)

7. Reporting Requirements Independent Expenditure Committees
Organizational Report
48-Hour Report ($1,000 or more)
Quarterly Reports (First Quarter Plus, Second Quarter, Third Quarter Plus, Fourth Quarter)
Semi-Annual Reports (Mid Year Semi-Annual, Year End Semi-Annual)

8. Reporting Requirements Individuals or Qualified Nonprofit Organizations
Independent Expenditures and Contributions Report (CRO-2210) is to be filed by any individual or Qualified Nonprofit Organization to disclose any independent expenditure made in support or opposition of a clearly identified candidate or referendum issue if the amount is in excess of $100.
Independent expenditure filings are required to be reported within thirty (30) days after they exceed $100 or ten (10) days before an election the contributions or expenditures affect, whichever occurs earlier.

9. Reporting Requirements Referendum Committees (County)
Organizational Report
Pre-Referendum Report
48-Hour Report ($1,000 or more)
Final Report
Supplemental Final
Annual Report

10. Processing Reports Processing Campaign Finance Reports
Receive Reports – Paper reports are to be date-stamped upon receipt. The postmark date and delivery method should be noted on the Disclosure Report Cover Sheet prior to placing the report in the committee file. Electronic reports will come to the county through the State Board of Elections. The committee will the report to the Campaign Finance Division and after importing the report, SBOE staff will forward a copy of the report to the county office where the committee is registered.

11. Processing Reports Processing Campaign Finance Reports
Send a Five (5) Day Reminder – Five days after the due date of a report, a reminder postcard or letter should be sent to those committees that have failed to file the required report.

12. Processing Reports Processing Campaign Finance Reports
Make Reports Available to the Public – Within 8 hours of receipt reports must be available for public viewing. Members of the public are allowed to inspect and make copies of all campaign finance disclosure reports. Before disclosure, inspect reports for financial institution account numbers. Make a copy of any reports containing account numbers and black out (redact) account numbers on the copy (not the original). Keep the original in a secure location; the copy should be available for public viewing.

13. Processing Reports Processing Campaign Finance Reports
Inspection/Audit of Reports – Within 30 days of receipt, reports must be inspected and audited by the county board of elections for accuracy and compliance. As each report is audited an Audit Checklist should be completed and attached to the report.
Correspond with Committees – After completing the inspection and audit of a report, if there is any information that is missing, incomplete or incorrect on the report a letter must be sent requesting the additions/corrections to be made. The Campaign Report Discrepancies Form should be used to address these issues.

14. Processing Reports Processing Campaign Finance Reports
Certify Committees to the State Board of Elections – Any committee that has failed to file a report, filed a report late, failed to respond to a request for additional information from your office or has receipts or disbursements that are considered a violation of campaign finance law must be reported to the State Board of Elections so notification can be sent to the committee.
Certification of Delinquent Reports
Certification of Late Reports
Certification of Noncompliant Committees
Certification of Prohibited Receipts and Disbursements

15. Campaign Finance Reporting Software
Software can be used by all committees and is available free of charge (downloaded from our website)
Classes are taught at the State Board of Elections office and a User Guide is available on our website
Reports can be filed via (through the State Board) or printed copy with the County Board of Elections

16. Finding Help County Campaign Finance Procedural Manual
State Board of Elections Campaign Finance Staff (919)
Campaign Finance Manual
State Board of Elections Website

17. Campaign Finance Part 2 On-Line Treasurer Training
Regional Treasurer Training
Statement of Economic Interest
Presenter: Terry Harris, Training Specialist

18. Overview
Effective October 1, 2006 all treasures of open political committees are required to be trained by the State Board of Elections.
Current training options are:
On-line Training
In-person Training
Training is mandatory for all treasurers; this included under the threshold committees as well as committees that only have filing fee activity.

19. On-Line Treasurer Training
Learning Management System
In July we informed you that we had encountered an unforeseen limit on the number of users allowed in the training system. As a result we were forced to enable your access to the sight which allowed you to check the status of your treasurers or enroll new treasures.

20. Learning Management System
Unfortunately, your access to the “On-Line Training System” is still restricted while we are working towards merging our current training system with the “On-Line Poll Workers Training System” that is used by the county.
We will inform you when the new system is available for you and your treasurers.

21. Learning Management System
All treasurers that have contacted SBOE during this restrictive period have been given access to the on-line training through the “Self Registration” process and therefore many more of your treasurers have already completed the training.

22. In-Person Treasurer Trainings
SBOE will continue to hold in-person trainings on a regular basis at the State Board of Elections office in Raleigh.
In light of the delays associated with on-line training access, we have received authorization to conduct a limited number of regional trainings throughout the state in September and October.

23. In-Person Treasurer Training
Host Counties were selected based on;
Greatest number of candidates filed
No overnight accommodations required
General proximity to other well populated counties
Host volunteers
Regional trainings have been finalized

24. In-Person Treasurer Training
Host Counties - Fall of 2009 Regional Trainings
Buncombe County
Guilford County
Union County
Catawba County
Moore County
Columbus County
Craven County
Martin County
Raleigh (State Board)

25. In-Person Treasurer Training Regional Trainings across the State Fall 2009

26. In-Person Treasurer Training
A flier containing all training dates and instructions on how to register has been designed and is available on the FTP site;
Distribute this flier to your treasurers which you know have not completed the training.
If you are unsure which of your treasurers have previously been trained, feel free to attach a cover letter that instructs them to “ignore if training has been completed”.
In light of the 3 month deadline that will expire in late October for most treasures it is important that you distribute this flier immediately.

27. Mandatory Training Flier

28. Treasurer Training Determining which treasures have been trained
Limited access to the training system can be authorized which would allow you to confirm in the system which of your treasures have/have not completed the training to date.
Due to system limits only 1-2 day access can be granted for this purpose.
Send request to:

29. Statement of Economic Interest (SEI)
Only candidates filing a Notice of Candidacy for NC House, NC Senate and Clerk of Court are required to file an SEI at the county level.
SEI must be filed with the BOE within three days of the filing deadline.
Upon receipt the county board must forward all original SEI’s to the state board office.

30. Statement of Economic Interest (SEI)
The State Board of Elections will immediately forward the SEIs to the State Ethics Commission where they are processed and made available to the public.
The County Board is only responsible for assuring that the form is filed, date stamped, contact information on cover is complete and last page is signed and notarized.
All questions on how to complete the form must be directed to the State Ethics Commission.

31. Statement of Economic Interest (Cover Page)

32. Statement of Economic Interest (Signature Page)

33. Questions Contact a Training Specialist: Terry Harris Jason Schrader
Phone:
Jason Schrader
Phone:

34. Campaign Finance Part 3 County Noncompliance Process Media
Presenter: Adam Ragan, Compliance Specialist

35. Noncompliance Process
County determines whether report is not filed, filed late or if additional information requested has not been received
County sends in certification forms to SBOE Campaign Finance Division
Compliance Specialist prepares appropriate letter
Letters scanned and ed to county for verification and accuracy
Letters sent by certified mail by SBOE
All responses should be sent to county with the exception of penalty payments and waiver responses

36. Noncompliance Process
Certification of Delinquent Reports
Certification of Late Reports
Certification of Noncompliant Committees
Certification of Prohibited Contributions and Disbursements

37. Noncompliance Process
Certification of Delinquent Reports
Failure to file a report
Noncompliance letter

38. Noncompliance Process

39. Noncompliance Process

40. Noncompliance Process
Certification of Late Reports
Filing a report after the due date
Penalty Waiver or Penalty Assessment letter

41. Noncompliance Process

42. Noncompliance Process

43. Noncompliance Process

44. Noncompliance Process
Certification of Noncompliant Committees
Failure to respond to a request for amendments
Noncompliance letter

45. Noncompliance Process

46. Noncompliance Process
Certification of Prohibited Contributions and Disbursements
Committee receipt of prohibited contributions or disbursement of a prohibited expenditure
Noncompliance letter

47. Noncompliance Process

48. What is media?
TV, Radio, Print
Billboards
Cards (any size)
Newspapers/inserts
Magazines/periodicals
Fliers/pamphlets
Mass mailings (500+ pcs)

49. What is a “legend?”
“Paid for by…” disclosure statement
Statement of Organization name
When do I need a legend?
When an ad is a contribution
or expenditure

50. What is required to have the legend? Newspaper Ads Newspaper Inserts
Airplane Streamers
Fliers
Sound-Truck Advertising
Mass Mailings (over 500 pieces)
Portable Signs
Periodicals
TV Ads
Radio Ads
Cards
Outdoor Advertising Facilities
Magazines
Billboards
Pamphlets

51. Print Media – Business Card

52. Print Media - Flyer

53. Print Media - Flyer

54. What is not required to have the legend? Buttons Bumper Stickers
Yard Signs
Window Posters
(Approximately 14 x 22 inches)
Barn Posters
(Up to 4 x 6 feet, used on sides of buildings generally at no cost)
Balloons
Shopping Bags
Nail Files
Other campaign paraphernalia imprinted with a campaign message

55. Media – Bumper Stickers

56. What size does the
“legend” have to be
for print ads?
Legend is required to be 5% of the height of the printed space or 12 point type whichever is larger
28 point maximum for newspaper ads