A Quick Reference Guide for Candidates 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 ID: 536383
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Campaign Finance
A Quick Reference Guide for Candidates
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.
Slide2
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?Slide3
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 committeeSlide4
Qualifications for Treasurer
Must be a US citizenCannot 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)Slide5
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 FinanceSlide6
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 CommitteeSlide7
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 FinanceSlide8
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 committeeSlide9
Pre-Primary Report Friday, April 20, 2012, for reporting period ending Friday, April 13, 2012
Pre-General Report Friday, October 19, 2012 for reporting period ending Friday October 12, 2012
2012 Annual Report Wednesday, January 16, 2013 for reporting ending December 31, 2012
2012 Reporting Deadlines for Candidates- When to FileSlide10
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 datesSlide11
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 FinanceSlide12
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 CommitteesSlide13
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 SchedulesSlide14
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 columnsSlide15
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
Slide16
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 FinanceSlide17
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 electionSlide18
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.Slide19
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.Slide20
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.Slide21
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 travelSlide22
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 loansSlide23
Ways to Disband a Committee
Committee initiated
County election board administratively dissolves committeeSlide24
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!!Slide25
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 paperSlide26
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 reportSlide27
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)Slide28
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 Slide29
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.Slide30
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 noticeSlide31
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)Slide32
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))Slide33
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)
Slide34
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 finesSlide35
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)