Campaign Finance Part 1 Office Organization Reporting Requirements Processing Reports Campaign...

Campaign Finance

Part 1Office Organization

Reporting RequirementsProcessing Reports

Campaign Finance Reporting Software

Presenter: Jason Schrader, Training Specialist

North Carolina State Board of ElectionsMcKimmon Center - September 2009

Office OrganizationOrganizing a Campaign Finance Office

Every office should have an area dedicated to Every office should have an area dedicated to public viewing of all campaign finance reports. The public viewing of all campaign finance reports. The area should be in plain view of a staff member at area should be in plain view of a staff member at all times.all times.

Every committee required to report to your office Every committee required to report to your office should have their own file that is easily found and should have their own file that is easily found and accessible. All reports and correspondence should accessible. All reports and correspondence should be maintained in this file.be maintained in this file.


Original copies of reports that contain financial Original copies of reports that contain financial institution account numbers should not be institution account numbers should not be available for public viewing and kept in a locked available for public viewing and kept in a locked filing cabinet. Instead, photocopies of these filing cabinet. Instead, photocopies of these reports with the account numbers blacked out reports with the account numbers blacked out (redacted) should be available.(redacted) should be available.

An adequate number of each reporting form An adequate number of each reporting form should be kept available for public use. Sample should be kept available for public use. Sample forms are available on the SBOE website.forms are available on the SBOE website.


A current Campaign Finance Reporting Manual A current Campaign Finance Reporting Manual should be kept in the public viewing area for should be kept in the public viewing area for reference. Include with the manual a copy of any reference. Include with the manual a copy of any law changes that have passed since publication.law changes that have passed since publication.

A complete, updated list of all active committees A complete, updated list of all active committees in your county or municipalities should be in your county or municipalities should be available in the public viewing area. It may be available in the public viewing area. It may be helpful to include threshold status information on helpful to include threshold status information on this list to accommodate public inquiry.this list to accommodate public inquiry.


A campaign finance A campaign finance reporting schedule reporting schedule relevant to all relevant to all committees in your committees in your county or county or municipality should municipality should be posted in your be posted in your public viewing area.public viewing area.

Reporting RequirementsCandidates 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)

Reporting RequirementsIndependent 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)

Reporting RequirementsIndividuals 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.

Reporting RequirementsReferendum Committees (County)

Organizational Report Pre-Referendum Report 48-Hour Report ($1,000 or more) Final Report Supplemental Final Annual Report

Processing ReportsProcessing 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 e-mail 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.


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.


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.


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.


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 ReportsCertification of Late ReportsCertification of Noncompliant CommitteesCertification of Prohibited Receipts and Disbursements

Campaign Finance Campaign Finance Reporting SoftwareReporting 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 email (through the State Board) or printed copy with the County Board of Elections

Finding Help County Campaign Finance Procedural Manual County Campaign Finance Procedural Manual

State Board of Elections Campaign Finance Staff (919) [email protected]

2008-2009 Campaign Finance Manual

State Board of Elections Websitehttp://www.sboe.state.nc.us

Campaign FinanceCampaign Finance

Part 2Part 2

On-Line Treasurer TrainingOn-Line Treasurer Training

Regional Treasurer TrainingRegional Treasurer Training

Statement of Economic Statement of Economic InterestInterest

Presenter: Terry Harris, Training SpecialistPresenter: Terry Harris, Training Specialist

OverviewOverview

Effective October 1, 2006 all treasures of open Effective October 1, 2006 all treasures of open political committees are required to be trained political committees are required to be trained by the State Board of Elections.by the State Board of Elections.

Current training options are: Current training options are: On-line Training On-line Training In-person TrainingIn-person Training

Training is mandatory for all treasurers; this Training is mandatory for all treasurers; this included under the threshold committees as included under the threshold committees as well as committees that only have filing fee well as committees that only have filing fee activity.activity.

On-Line Treasurer TrainingOn-Line Treasurer Training

Learning Management SystemLearning Management System In July we informed you that we had In July we informed you that we had

encountered an unforeseen limit on the encountered an unforeseen limit on the number of users allowed in the training number of users allowed in the training system. As a result we were forced to system. As a result we were forced to enable your access to the sight which enable your access to the sight which allowed you to check the status of your allowed you to check the status of your treasurers or enroll new treasures. treasurers or enroll new treasures.

Learning Management Learning Management SystemSystem

Unfortunately, your access to the “On-Unfortunately, your access to the “On-Line Training System” is still restricted Line Training System” is still restricted while we are working towards merging while we are working towards merging our current training system with the our current training system with the “On-Line Poll Workers Training System” “On-Line Poll Workers Training System” that is used by the county. that is used by the county.

We will inform you when the new system We will inform you when the new system is available for you and your treasurers. is available for you and your treasurers.

Learning Management Learning Management SystemSystem

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

In-Person Treasurer In-Person Treasurer TrainingsTrainings

SBOE will continue to hold in-person SBOE will continue to hold in-person trainings on a regular basis at the State trainings on a regular basis at the State Board of Elections office in Raleigh.Board of Elections office in Raleigh.

In light of the delays associated with on-In light of the delays associated with on-line training access, we have received line training access, we have received authorization to conduct a limited authorization to conduct a limited number of regional trainings throughout number of regional trainings throughout the state in September and October.the state in September and October.

In-Person Treasurer TrainingIn-Person Treasurer Training

Host Counties were selected based on; Host Counties were selected based on; Greatest number of candidates filedGreatest number of candidates filed No overnight accommodations requiredNo overnight accommodations required General proximity to other well General proximity to other well

populated countiespopulated counties Host volunteersHost volunteers

Regional trainings have been finalizedRegional trainings have been finalized


Host Counties - Fall of 2009 Regional TrainingsHost Counties - Fall of 2009 Regional Trainings Buncombe CountyBuncombe County Guilford CountyGuilford County Union CountyUnion County Catawba County Catawba County Moore County Moore County Columbus County Columbus County Craven County Craven County Martin County Martin County

RaleighRaleigh (State (State Board)Board)


Regional Trainings across the StateRegional Trainings across the StateFall 2009Fall 2009


A flier containing all training dates and A flier containing all training dates and instructions on how to register has been instructions on how to register has been designed and is available on the FTP site;designed and is available on the FTP site;

Distribute this flier to your treasurers which you Distribute this flier to your treasurers which you know have not completed the training. know have not completed the training.

If you are unsure which of your treasurers have previously If you are unsure which of your treasurers have previously been trained, feel free to attach a cover letter that been trained, feel free to attach a cover letter that instructs them to “ignore if training has been completed”. instructs them to “ignore if training has been completed”.

In light of the 3 month deadline that will expire in late In light of the 3 month deadline that will expire in late October for most treasures it is important that you October for most treasures it is important that you distribute this flier immediately.distribute this flier immediately.

Mandatory Training FlierMandatory Training Flier

Treasurer TrainingTreasurer TrainingDetermining which treasures have been Determining which treasures have been

trainedtrained

Limited access to the training system can be Limited access to the training system can be authorized which would allow you to confirm in the authorized which would allow you to confirm in the system which of your treasures have/have not system which of your treasures have/have not completed the training to date.completed the training to date.

Due to system limits only 1-2 day access can be Due to system limits only 1-2 day access can be granted for this purpose.granted for this purpose.

Send email request to:Send email request to:

[email protected]@ncsbe.gov


(SEI)(SEI) Only candidates filing a Notice of Only candidates filing a Notice of Candidacy for NC House, NC Senate and Candidacy for NC House, NC Senate and Clerk of Court are required to file an SEI Clerk of Court are required to file an SEI at the county level.at the county level.

SEI must be filed with the BOE within SEI must be filed with the BOE within three days of the filing deadline.three days of the filing deadline.

Upon receipt the county board must Upon receipt the county board must forward all original SEI’s to the state forward all original SEI’s to the state board office.board office.


(SEI)(SEI) The State Board of Elections will immediately The State Board of Elections will immediately forward the SEIs to the State Ethics Commission forward the SEIs to the State Ethics Commission where they are processed and made available where they are processed and made available to the public.to the public.

The County Board is only responsible for The County Board is only responsible for assuring that the form is filed, date stamped, assuring that the form is filed, date stamped, contact information on cover is complete and contact information on cover is complete and last page is signed and notarized.last page is signed and notarized.

All questions on how to complete the form must All questions on how to complete the form must be directed to the State Ethics Commission.be directed to the State Ethics Commission.

Statement of Economic Statement of Economic Interest Interest

(Cover Page)(Cover Page)

Statement of Economic Statement of Economic Interest Interest

(Signature Page)(Signature Page)

QuestionsQuestions

Contact a Training Specialist:Contact a Training Specialist: Terry Harris Terry Harris

Phone: 919-715-9195 Phone: 919-715-9195

Email: Email: [email protected]

Jason Schrader Jason Schrader

Phone:Phone: 919-715-1825 919-715-1825

Email: Email: [email protected]

Campaign FinanceCampaign Finance

Part 3Part 3

County Noncompliance County Noncompliance ProcessProcess

MediaMedia

Presenter: Adam Ragan, Compliance Presenter: Adam Ragan, Compliance SpecialistSpecialist

Noncompliance ProcessNoncompliance Process County determines whether report is not filed, filed County determines whether report is not filed, filed

late or if additional information requested has not late or if additional information requested has not been receivedbeen received

County sends in certification forms to SBOE County sends in certification forms to SBOE Campaign Finance DivisionCampaign Finance Division

Compliance Specialist prepares appropriate letterCompliance Specialist prepares appropriate letter Letters scanned and e-mailed to county for Letters scanned and e-mailed to county for

verification and accuracyverification and accuracy Letters sent by certified mail by SBOELetters sent by certified mail by SBOE All responses should be sent to county with the All responses should be sent to county with the

exception of penalty payments and waiver exception of penalty payments and waiver responsesresponses

Noncompliance ProcessNoncompliance Process

Certification of Delinquent ReportsCertification of Delinquent Reports Certification of Late ReportsCertification of Late Reports Certification of Noncompliant Certification of Noncompliant

CommitteesCommittees Certification of Prohibited Certification of Prohibited

Contributions and DisbursementsContributions and Disbursements


Certification of Delinquent ReportsCertification of Delinquent Reports– Failure to file a reportFailure to file a report

Noncompliance letterNoncompliance letter


Certification of Late ReportsCertification of Late Reports– Filing a report after the due dateFiling a report after the due date

Penalty Waiver or Penalty Assessment letterPenalty Waiver or Penalty Assessment letter


Certification of Noncompliant Certification of Noncompliant CommitteesCommittees– Failure to respond to a request for Failure to respond to a request for

amendmentsamendments Noncompliance letterNoncompliance letter


Certification of Prohibited Certification of Prohibited Contributions and DisbursementsContributions and Disbursements– Committee receipt of prohibited Committee receipt of prohibited

contributions or disbursement of a contributions or disbursement of a prohibited expenditureprohibited expenditure Noncompliance letterNoncompliance letter

TV, Radio, PrintTV, Radio, PrintBillboardsBillboardsCards (any size)Cards (any size)Newspapers/insertsNewspapers/insertsMagazines/periodicalsMagazines/periodicalsFliers/pamphletsFliers/pamphletsMass mailings (500+ pcs)Mass mailings (500+ pcs)

What is media?

What is a “legend?”

When do I need a legend?

When an ad is a contribution or expenditure

“Paid for by…” disclosure statementStatement of Organization name

What is required to have the legend?

Newspaper AdsNewspaper InsertsAirplane Streamers

FliersSound-Truck AdvertisingMass Mailings (over 500

pieces)Portable Signs

PeriodicalsTV Ads

Radio AdsCards

Outdoor Advertising FacilitiesMagazinesBillboardsPamphlets

Print Media – Business CardPrint Media – Business Card

Print Media - FlyerPrint Media - Flyer

What is not required to have the legend?

ButtonsBumper Stickers

Yard SignsWindow 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 BagsNail Files

Other campaign paraphernalia imprinted with a campaign

message

Media – Bumper StickersMedia – Bumper Stickers

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

Campaign Finance Part 1 Office Organization Reporting Requirements Processing Reports Campaign...

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