Campaign Finance Manual

Transcription

1 200 2 Campaign Finance Manual Bill Bradbury Published by Telephone (503) Elections Division Secretary of State Fax (503) State Capitol TTY (503) Salem, OR

2 Notice The 2002 Campaign Finance Manual and associated forms are adopted by Oregon Administrative Rule No

3 OFFICE OF THE SECRETARY OF STATE BILL BRADBURY SECRETARY OF STATE ELECTIONS DIVISION JOHN LINDBACK DIRECTOR 141 STATE CAPITOL SALEM, OREGON ELECTIONS (503) Dear Oregonian, I am pleased to present the 2002 Campaign Finance Manual. This manual is designed to be used by all political committees, including candidates and their principal campaign committees, ballot measure and chief petitioner committees, political party committees and miscellaneous committees. There have been several changes in campaign finance law as a result of laws adopted by the 2001 Legislative Assembly or decisions by Oregon s courts and I encourage you to review it before you make any contribution or expenditure decisions. The legislature made several important improvements to Oregon s campaign finance laws. They moved up the reporting deadlines a full week to more closely match the mailing dates for ballots in vote by mail elections. Now, early voters will have a chance to learn who is giving money to the candidates and measures on their ballots before they vote. Also, chief petitioners previously were not required to report their financial activities until after the deadline for filing signatures - which meant that Oregon voters were being asked to sign petitions for proposed initiatives without knowing who was behind them. With my support, the legislature passed a law to require chief petitioners to file up to three additional reports before the signatures are submitted to the state. I also encourage any person who is considering making soft money expenditures that imply support or opposition to a candidate or measure to review this manual first. Under the 1999 Court of Appeals case, State ex rel. Crumpton v. Keisling, soft money issues-related advertising no longer requires express words of advocacy in order to trigger public disclosure of funding. Campaigns should determine if there are other federal, state and local regulations that affect their operations, such as unemployment insurance, workplace safety, workers compensation, taxes and local business licenses. Campaigns should also be aware that federal law requires any candidate or committee that receives or spends more than $25,000 in any single year to file reports with the Internal Revenue Service. A list of commonly needed agency references is included in the first part of this manual to help you make sure your campaign is operating legally. This manual is designed as a resource for both campaigns and contributors and following these regulations will assure that the public receives timely, accurate information about contributions and expenditures. Campaign finance disclosure helps ensure the integrity of the election process and gives Oregon s voters the tools they need to cast informed votes. Thank you for your cooperation and your participation in the political process. Sincerely, Bill Bradbury Secretary of State

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5 2002 CAMPAIGN FINANCE MANUAL

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7 TABLE OF CONTENTS TABLE OF CONTENTS Introduction Guide to Using this Manual... 3 Information Sources... 4 Schedule of Accounting Periods and Filing Deadlines For 2002 Primary and General Elections... 7 Schedule of Accounting Periods and Filing Deadlines For 2002 Local Elections... 9 Schedule of Accounting Periods and Filing Deadlines For 2003 Local Elections Schedule of Accounting Periods and Filing Deadlines For 2002 Chief Petitioner Committees for Statewide Initiatives Filing a Statement of Organization/Discontinuation Candidates/Principal Campaign Committees Candidate s Registration Candidate/Treasurer Responsibilities Amending Registration Information Completing the Statement of Organization Changing Office Discontinuing Determining the Filing Officer For Your Committee Political Committees Registering as a Political Committee Treasurer Directors Amending Registration Information Completing the Statement of Organization Changing Committee Type Slate Mailer Organizations Discontinuing a Political Committee Determining the Filing Officer For Your Committee Contributions and Expenditures Contributions General Definition of Contribution General Contribution Information Types of Contributions Prohibited Contributions... 32

8 2002 Campaign Finance Manual Oregon Income Tax Credit Expenditures General Definition of Expenditure General Expenditure Information Types of Expenditures Purposes of Expenditures Independent Expenditures Use of Excess Campaign Funds Other Receipts and Disbursements Reportable Other Receipts Exempt Loans Interest/Investment Income Items Sold at Fair Market Value Refunds, Rebates and Returns Lost or Returned Checks Non-Reportable Other Receipts Publications Volunteer Activities Corporate and Labor/Membership Organization Communications Receptions Legal and Accounting Services Travel Expenses Vendor Discounts on Food and Beverages Reportable Other Disbursements Exempt Loan Payments Nonpartisan Activities Slate Cards and Sample Ballots Return or Refund of Contributions Lost or Returned Checks Non-Reportable Other Disbursements Transfer of Funds to Earn Interest Return or Refund of Contributions Completing and Filing Contribution and Expenditure Reports Filing Contribution and Expenditure Reports Electronic Filing Reporting Forms... 45

9 TABLE OF CONTENTS Certificate of Limited Contributions and Expenditures (PC 7) When to File Detailed Contribution and Expenditure Reports When to File a Report of Initial Assets Filing Reports Obtaining Occupational Information Public Inspection of Reports Retention of Records Initiative and Referendum Petitions Recall Petitions Political Committees Active in Multiple Jurisdictions Federal IRS Filing Requirements for Certain Political Committees Cash Contributions, Loans Received and In-Kind (PC 2) Review of Types of Contributions Reporting Cash Contributions, Loans Received and In-Kind Personal Expenditures by a Candidate or Treasurer In-Kind Contributions Benefiting Multiple Committees Reporting Fundraising Activities Other Receipts (PC 4A) Review of Types of Other Receipts Reporting Other Receipts Accounts Receivable (PC 5) Reporting Accounts Receivable Supplement to Second Pre/Post-Election - Contributions (PC 8A) Report of Initial Assets (PC 11) Affidavit for Out-of-State Political Committee Contribution (PC 13) Contributions Received During Legislative Session (PC 14) Reporting Contributions Received During Legislative Session Cash Expenditures and Loan Payments (PC 3) Reporting Cash Expenditures and Loan Payments Reporting Credit Card Transactions Reporting Petty Cash Transactions Reporting Payments to Petition Circulators Reporting Loan Payments, Outstanding Loans, Forgiven Loans Personal Expenditures for Reimbursement (PC 3A) Reporting Personal Expenditures Made by a Candidate or Treasurer Other Disbursements (PC 4B) Review of Types of Other Disbursements... 77

10 2002 Campaign Finance Manual Reporting Other Disbursements Transfer of Funds To Earn Interest Accounts Payable (PC 6) Reporting Accounts Payable Supplement to Second Pre-Election Expenditures (PC 8B) Report of Expenditures Made by an Agent (PC 9) Reporting Exceptions Reporting In-Kind Agent Expenditures Reporting Agent Account Receivables Statement of Independent Expenditures (PC 10) Independent Expenditures by a Committee Independent Expenditures by a Person Political Advocacy Statement of Corporate Paid-In-Capital (PC 12) Summary Statement of Contributions and Expenditures (PC 1) Column A - Totals for this Accounting Period Column B - Cumulative Totals for this Election Signature of Candidate or Treasurer Filing Amendments for Insufficient Reports When to Amend a Report Completing Amendment Forms New Transactions Enforcement Procedures and Civil Penalties Enforcement Actions Complaints Regarding Late or Insufficient Contribution and Expenditure Reports Complaints Regarding Other Campaign Finance Violations Subpoena Authority Court Proceedings to Compel Filing of Correct Statements Civil Penalties for Failure to File Timely or Sufficient Contribution and Expenditure Reports Civil Penalties for Other Campaign Finance Violations Ballot Vacancies for Failure to File Reports Withholding Certificates of Nomination or Election for Failure to File Reports Legislative Assembly Not Subject to Civil Process During Session Hearing Procedures Late and Insufficient Penalty Cases Responsibility for Penalty Payment Penalties for Late Reports... 94

11 TABLE OF CONTENTS Penalties for Insufficient Reports Payment of Civil Penalties Penalty Matrix for Late Filings Penalty Matrix for Late Filings of Contributions Received During Legislative Session Penalty Matrix for Insufficient Filings Penalty Matrix for New Transactions Definitions Index ORS Chapter 260: Campaign Finance Regulation; Election Offenses OAR : Campaign Finance Regulations Forms

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13 INTRODUCTION

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15 INTRODUCTION 3 Guide to Using this Manual This 2002 Campaign Finance Manual includes information for candidates, principal campaign committees, measure committees (including chief petitioner committees), political party committees and miscellaneous committees. Note: Unless otherwise specified, the term committee refers to candidates/principal campaign committees, measure committees (including chief petitioner committees), political party committees and miscellaneous committees. The term Elections Division refers to the Oregon Secretary of State s Office, Elections Division. Information that is applicable only to candidates and their principal campaign committees, and not otherwise noted, is formatted in the same manner as this paragraph. ORS chapter 260, Campaign Finance Regulation; Election Offenses, requires disclosure of contributions and expenditures related to any candidate, measure, initiative, referendum or recall petition or political party active in any election. This manual informs those who must file campaign finance reports of the regulations and applications essential to successful compliance with campaign finance requirements. Any person who considers: Jsoliciting contributions or making expenditures in support of or opposition to a candidate or measure, or Jfiling for candidacy or serving as a treasurer for a candidate, should first study the information in this manual. The manual is designed to guide you through the process of filing the appropriate forms and reports in a step-by-step fashion. However, if you have any questions, the elections filing officers at both the state and local levels are available to provide assistance. This manual only covers campaign finance reporting and related Oregon state election law. It should not be used to guide candidates or committees in federal, other state or local laws and regulations. A list of commonly-needed sources of information is provided on pages 4 and 5. You will also find Schedules of Accounting Periods and Filing Deadlines for the 2002 Primary and General Elections, 2002 and 2003 Local Elections and for 2002 Chief Petitioner Committees for Statewide Initiatives. The information contained in the remainder of the manual is as follows: Filing a Statement of Organization/ Discontinuation explains how to determine when and how you must file a Statement of Organization with an elections filing officer, designating the nature of your committee. It also tells how to discontinue your political committee when the time comes. There are two parts in this section: one for candidates and their principal campaign committees; and one for all other political committees. Contributions and Expenditures defines Contributions and Expenditures as those terms relate to campaign finance law. Other Receipts and Disbursements itemizes the types of receipts and disbursements that are not reported as contributions or expenditures but must be reported because they affect the committee s cash balance. Completing and Filing Contribution and Expenditure Reports provides detailed instructions on completing and filing the required reports. Enforcement Procedures and Civil Penalties details the enforcement procedures that apply to campaign finance reporting and outlines the penalties imposed for violations. Towards the end of the manual is Definitions, a glossary of terms used throughout the manual. An Index is then provided to help you locate information on specific topics in the manual.

16 Campaign Finance Manual Next, reprints are provided of Chapter 260, Oregon Revised Statutes, which regulates campaign finance in Oregon, and the Oregon Administrative Rules affecting campaign finance. Finally, single copies of all Forms committees and their treasurers need are found in the back of the manual, perforated for easy removal and use. Please make additional copies as you need them. If you have any questions as you read the manual or prepare reports, don t hesitate to contact your local elections filing officer or the Elections Division for assistance. SECRETARY OF STATE, ELECTIONS DIVISION PHONE: (503) FAX: (503) State Capitol, Salem, OR Information Sources For questions regarding federal candidates or committees or federal election regulations contact: Federal Elections Commission 999 E. Street NW Washington, DC Phone: Fax: (202) For questions regarding federal regulations on radio and television broadcasts contact: Federal Communications Commission 1919 M Street NW Washington, DC (202) For questions regarding enforcement of Oregon s government ethics and lobbyist registration laws contact: Oregon Government Standards and Practices Commission 100 High Street SE, Suite 220 Salem, OR (503) The ethics laws cover such matters as disclosure of potential conflicts of interest, use of public office for personal gain, and statements of economic interest. The lobby regulation laws provide guidelines and specify certain requirements for lobbyists. For information about income tax credits for political contributions contact: Oregon Department of Revenue Revenue Building 955 Center Street NE Salem, OR (503) For questions regarding IRS reporting requirements for political committees contact: Internal Revenue Service For questions regarding applying for a raffle license contact: Department of Justice Charitable Activities Section (503) ome2.htm For questions regarding political signs that are visible from state highways contact: Oregon Department of Transportation 135 Transportation Building Salem, OR (503) /OAR_734/734_060.html For information about business regulations contact: Business Information Center Public Service Building, Suite Capitol Street NE Salem, OR (503) business-info.sos-bic@state.or.us icintro

17 INTRODUCTION 5 The Business Information Center is a central clearinghouse for information on compliance with business regulations, including payroll tax information, employer registration, workers compensation and safety and health requirements. It publishes the Oregon Business Guide, a basic guide and checklist for new employers. For information about independent contractors and employer/employee responsibilities contact: Oregon Employment Department Tax Section 875 Union Street NE Salem, OR (503) For information about state candidates and political committees contact: Secretary of State Elections Division 141 State Capitol Salem, OR (503) Campaign finance information for state candidates and political committees is on file in the Elections Division. The public may review the reports in the office or request copies. There is a charge for copying. Summary Sheet (PC 1) totals are available on a searchable database for all state candidates and committees at the Elections Division s website: up The Elections Division produces a Summary Report of Campaign Contributions and Expenditures that provides campaign finance data for each primary, general and statewide special election. It contains a summary of reports of all candidates and political committees that file with the Secretary of State. The summaries or copies of portions of the summaries are available for purchase upon request. For information about local candidates and political committees contact: The applicable county or city elections filing officer. For a listing of county elections offices go to: o/clerk Treasurer/Candidate: Regardless of whether the report is mailed, faxed or hand delivered, the complete document must physically be in the elections office no later than 5:00 p.m. on the final filing date. The Elections Division fax machine is extremely busy on the final filing day so do not rely on the fax machine to file in a timely manner on the deadline day. Consider filing prior to the final filing date. Postmarks Are Not Considered. If a filing deadline falls on a weekend or holiday, the report is due on the next business day, no later than 5:00 p.m.

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19 Schedule of Accounting Periods and Filing Deadlines For 2002 Primary and General Elections Only Report 1st Pre-Election Report 1 Accounting Period May 21, 2002 Primary Election 1 From: To: April 4, 2002 November 5, 2002 General Election 1 From: To: September 19, 2002 Filing Period NST: April 5, 2002 NLT: April 15, 2002 NST: September 20, 2002 NLT: September 30, 2002 New Transaction Deadline 5 May 14, 2002 October 29, nd Pre-Election Report Accounting Period Filing Period From: April 5, 2002 To: May 5, 2002 NST: May 6, 2002 NLT: May 9, 2002 From: September 20, 2002 To: October 20, 2002 NST: October 21, 2002 NLT: October 24, 2002 New Transaction Deadline 5 June 7, 2002 November 22, st Supplement to 2nd Pre-Election Report 2 Accounting Period From: May 6, 2002 To: May 12, 2002 From: October 21, 2002 To: October 27, 2002 Filing Period NLT: May 13, 2002 NLT: October 28, nd Supplement to 2nd Pre-Election Report 2 Accounting Period From: May 13, 2002 To: May 16, 2002 From: October 28, 2002 To: October 31, 2002 Filing Period NLT: May 17, 2002 NLT: November 1, 2002 Post-Election Report Accounting Period Filing Period From: May 6, 2002 To: June 10, 2002 NST: June 11, 2002 NLT: June 20, 2002 From: October 21, 2002 To: November 25, 2002 NST: November 26, 2002 NLT: December 5, 2002 New Transaction Deadline 5 July 22, 2002 January 3, 2003 Supplement to Post-Election Report 3 Accounting Period Filing Period Supplemental Report 4 Accounting Period Filing Period From: June 11, 2002 To: September 1, 2002 NST: September 2, 2002 NLT: September 10, 2002 From: November 26, 2002 To: December 31, 2002 NST: January 2, 2003 NLT: January 10, 2003 From: November 26, 2002 To: September 1, 2003 NST: September 2, 2003 NLT: September 10, 2003 New Transaction Deadline 5 October 9, 2002 October 9, 2003 See abbreviations and footnotes on back.

20 Abbreviations: NST means Not Sooner Than and NLT means Not Later Than 1 The accounting period begins on the day the first contribution is received or the first expenditure is made, whichever is sooner, or on the day following the last day of the accounting period for a post-election or supplemental report filed for a previous election. 2 If a candidate, principal campaign committee or political committee receives $ (or more) in aggregate contributions from one source during the accounting period or makes aggregate expenditures of $1, (or more) to a single payee during the accounting period, the candidate, principal campaign committee or political committee must file a supplement to the second pre-election report that discloses all contributions or expenditures that exceed the thresholds during the accounting period. 3 If a candidate, principal campaign committee or political committee affiliated with a candidate for the offices of Governor, Secretary of State, Attorney General, State Treasurer, Commissioner of the Bureau of Labor and Industries, State Senator or State Representative or a political committee affiliated with a political party, caucus of either house of the Legislative Assembly receives $ (or more) in aggregate contributions from one source during the period beginning the 21st day after the election and ending on December 31st, the candidate or principal campaign committee must file a supplement to the post-election report that discloses all contributions that exceed an aggregate of $500 during this accounting period. 4 A candidate or political committee who was active in the primary election and will be continuing their account to the general election does not need to file a supplemental report during the even-numbered year. The ending cash balance of the post-election report for the primary election is the beginning balance for the first pre-election report for the general election. 5 A new transaction is an amendment filed after the new transaction deadline that adds or deletes a contribution or expenditure or changes the amount of a previously reported contribution or expenditure.

21 Schedule of Accounting Periods and Filing Deadlines For 2002 Local Elections Report March 12, 2002 May 21, 2002 September 17, 2002 November 5, st Pre-Election Report 1 Accounting Period Filing Period 1 From: To: January 24, 2002 NST: January 25, 2002 NLT: February 4, From: To: April 4, 2002 NST: April 5, 2002 NLT: April 15, From: To: August 1, 2002 NST: August 2, 2002 NLT: August 12, From: To: September 19, 2002 NST: September 20, 2002 NLT: September 30, 2002 New Transaction Deadline 3 March 6, 2002 May 14, 2002 September 10, 2002 October 29, nd Pre-Election Report Accounting Period Filing Period From: January 25, 2002 To: February 24, 2002 NST: February 25, 2002 NLT: February 28, 2002 From: April 5, 2002 To: May 5, 2002 NST: May 6, 2002 NLT: May 9, 2002 From: August 2, 2002 To: September 1, 2002 NST: September 2, 2002 NLT: September 5, 2002 From: September 20, 2002 To: October 20, 2002 NST: October 21, 2002 NLT: October 24, 2002 New Transaction Deadline 3 March 29, 2002 June 7, 2002 October 4, 2002 November 22, st Supplement to 2nd Pre-Election Report 2 Accounting Period From: February 25, 2002 To: March 3, 2002 From: May 6, 2002 To: May 12, 2002 From: September 2, 2002 To: September 8, 2002 From: October 21, 2002 To: October 27, 2002 Filing Period NLT: March 4, 2002 NLT: May 13, 2002 NLT: September 9, 2002 NLT: October 28, nd Supplement to 2nd Pre-Election Report 2 Accounting Period From: March 4, 2002 To: March 7, 2002 From: May 13, 2002 To: May 16, 2002 From: September 9, 2002 To: September 12, 2002 From: October 28, 2002 To: October 31, 2002 Filing Period NLT: March 8, 2002 NLT: May 17, 2002 NLT: September 13, 2002 NLT: November 1, 2002 Post-Election Report Accounting Period Filing Period From: February 25, 2002 To: April 1, 2002 NST: April 2, 2002 NLT: April 11, 2002 From: May 6, 2002 To: June 10, 2002 NST: June 11, 2002 NLT: June 20, 2002 From: September 2, 2002 To: October 7, 2002 NST: October 8, 2002 NLT: October 17, 2002 From: October 21, 2002 To: November 25, 2002 NST: November 26, 2002 NLT: December 5, 2002 New Transaction Deadline 3 May 10, 2002 July 22, 2002 November 15, 2002 January 3, 2003 Supplemental Report Accounting Period Filing Period From: April 2, 2002 To: September 1, 2002 NST: September 2, 2002 NLT: September 10, 2002 From: June 11, 2002 To: September 1, 2002 NST: September 2, 2002 NLT: September 10, 2002 From: October 8, 2002 To: September 1, 2003 NST: September 2, 2003 NLT: September 10, 2003 From: November 26, 2002 To: September 1, 2003 NST: September 2, 2003 NLT: September 10, 2003 New Transaction Deadline 3 October 9, 2002 October 9, 2002 October 9, 2003 October 9, 2003 See abbreviations and footnotes on back.

22 Abbreviations: NST means Not Sooner Than and NLT means Not Later Than The accounting periods begin on the day the first contribution is received or the first expenditure is made, whichever is sooner, or on the day following the last day of the accounting period for a post-election or supplemental report filed for a previous election. 1 If a candidate, principal campaign committee or political committee receives $ (or more) in aggregate contributions from one source during the accounting period or makes aggregate expenditures of $1, (or more) to a single payee during the accounting period, the candidate, principal campaign committee or political committee must file a supplement to the second pre-election report that discloses all contributions or expenditures that exceed the thresholds during the accounting period. 2 A new transaction is an amendment filed after the new transaction deadline that adds or deletes a contribution or expenditure or changes the amount of a previously reported contribution or expenditure. 3

23 Schedule of Accounting Periods and Filing Deadlines For 2003 Local Elections Report March 11, 2003 May 20, 2003 September 16, 2003 November 4, st Pre-Election Report 1 Accounting Period Filing Period 1 From: To: January 23, 2003 NST: January 24, 2003 NLT: February 3, From: To: April 3, 2003 NST: April 4, 2003 NLT: April 14, From: To: July 31, 2003 NST: August 1, 2003 NLT: August 11, From: To: September 18, 2003 NST: September 19, 2003 NLT: September 29, 2003 New Transaction Deadline 3 March 5, 2003 May 13, 2003 September 9, 2003 October 28, nd Pre-Election Report Accounting Period Filing Period From: January 24, 2003 To: February 23, 2003 NST: February 24, 2003 NLT: February 27, 2003 From: April 4, 2003 To: May 4, 2003 NST: May 5, 2003 NLT: May 8, 2003 From: August 1, 2003 To: August 31, 2003 NST: September 1, 2003 NLT: September 4, 2003 From: September 19, 2003 To: October 19, 2003 NST: October 20, 2003 NLT: October 23, 2003 New Transaction Deadline 3 March 28, 2003 June 6, 2003 October 3, 2003 November 21, st Supplement to 2nd Pre-Election Report 2 Accounting Period From: February 24, 2003 To: March 2, 2003 From: May 5, 2003 To: May 11, 2003 From: September 1, 2003 To: September 7, 2032 From: October 20, 2003 To: October 26, 2003 Filing Period NLT: March 3, 2003 NLT: May 12, 2003 NLT: September 8, 2003 NLT: October 27, nd Supplement to 2nd Pre-Election Report 2 Accounting Period From: March 3, 2003 To: March 6, 2003 From: May 12, 2003 To: May 15, 2003 From: September 8, 2003 To: September 11, 2003 From: October 27, 2003 To: October 30, 2003 Filing Period NLT: March 7, 2003 NLT: May 16, 2003 NLT: September 12, 2003 NLT: October 31, 2003 Post-Election Report Accounting Period Filing Period From: February 24, 2003 To: March 31, 2003 NST: April 1, 2003 NLT: April 10, 2003 From: May 5, 2003 To: June 9, 2003 NST: June 10, 2003 NLT: June 19, 2003 From: September 1, 2003 To: October 6, 2003 NST: October 7, 2003 NLT: October 16, 2003 From: October 20, 2003 To: November 24, 2003 NST: November 25, 2003 NLT: December 4, 2003 New Transaction Deadline 3 May 9, 2003 July 18, 2003 November 14, 2003 January 2, 2004 Supplemental Report Accounting Period Filing Period From: April 1, 2003 To: September 1, 2003 NST: September 2, 2003 NLT: September 10, 2003 From: June 10, 2003 To: September 1, 2003 NST: September 2, 2003 NLT: September 10, 2003 From: October 7, 2003 To: September 1, 2004 NST: September 2, 2004 NLT: September 10, 2004 From: November 25, 2003 To: September 1, 2004 NST: September 2, 2004 NLT: September 10, 2004 New Transaction Deadline 3 October 9, 2003 October 9, 2003 October 11, 2004 October 11, 2004 See abbreviations and footnotes on back.

24 Abbreviations: NST means Not Sooner Than and NLT means Not Later Than The accounting periods begin on the day the first contribution is received or the first expenditure is made, whichever is sooner, or on the day following the last day of the accounting period for a post-election or supplemental report filed for a previous election. 1 If a candidate, principal campaign committee or political committee receives $ (or more) in aggregate contributions from one source during the accounting period or makes aggregate expenditures of $1, (or more) to a single payee during the accounting period, the candidate, principal campaign committee or political committee must file a supplement to the second pre-election report that discloses all contributions or expenditures that exceed the thresholds during the accounting period. 2 A new transaction is an amendment filed after the new transaction deadline that adds or deletes a contribution or expenditure or changes the amount of a previously reported contribution or expenditure. 3

25 Schedule of Accounting Periods and Filing Deadlines For 2002 Chief Petitioner Committees for Statewide Initiatives Report 2002 Initiative Drive September Initiative Drive Report 1 Accounting Period Filing Period 1 From: To: September 1, 2001 NST: September 2, 2001 NLT: September 10, 2001 New Transaction Deadline 6 October 9, 2001 February Initiative Drive Report 2 Accounting Period Filing Period 2 From: To: January 28, 2002 NST: January 29, 2002 NLT: February 6, 2002 New Transaction Deadline 6 March 8, 2002 May Initiative Drive Report 3 Accounting Period Filing Period 3 From: To: May 5, 2002 NST: May 6, 2002 NLT: May 9, 2002 New Transaction Deadline 6 June 7, 2002 July Initiative Drive Report 4 Accounting Period Filing Period From: May 6, 2002 To: July 5, 2002 NST: July 6, 2002 NLT: July 22, 2002 New Transaction Deadline 6 August 20, 2002 September Supplemental Report 5 Accounting Period Filing Period From: July 6, 2002 To: September 1, 2002 NST: September 2, 2002 NLT: September 10, 2002 New Transaction Deadline 6 October 9, 2002 Abbreviations: NST means Not Sooner Than and NLT means Not Later Than 1 This report is required to be filed by any chief petitioner committee that has received aggregate contributions or made aggregate expenditures exceeding $2,000 during the accounting period. The accounting period begins on the day the first contribution is received or the first expenditure is made, whichever is sooner, or on the day following the last day of the accounting period for a previous report. 2 This report is required to be filed by any chief petitioner committee that has received aggregate contributions or made aggregate expenditures exceeding $2,000 during the accounting period or any committee that was required to file a September initiative drive report. The accounting period begins on the day the first contribution is received or the first expenditure is made, whichever is sooner, or on the day following the last day of the accounting period for a previous report. 3 This report is required to be filed by all chief petitioner committees. The accounting period begins on the day the first contribution is received or the first expenditure is made, whichever is sooner, or on the day following the last day of the accounting period for a previous report. 4 This report is required to be filed by all chief petitioner committees. 5 An initiative committee that will be continuing their account to the general election does not need to file a supplemental report during the evennumbered year. The ending cash balance of the July initiative drive report is the beginning balance for the first pre-election report for the general election. 6 A new transaction is an amendment filed after the new transaction deadline that adds or deletes a contribution or expenditure or changes the amount of a previously reported contribution or expenditure.

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27 FILING A STATEMENT OF ORGANIZATION/DISCONTINUATION

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29 FILING A STATEMENT OF ORGANIZATION/DISCONTINUATION 17 Candidates/Principal Campaign Committees Candidate s Registration WHO MUST REGISTER Each candidate must file a Statement of Organization designating a principal campaign committee. A candidate is: JAn individual whose name is printed on a ballot, for whom a declaration of candidacy, nominating petition or certificate of nomination to public office has been filed or whose name is expected to be or has been presented, with the individual s consent, for nomination or election to public office; JAn individual who has solicited or received and accepted a contribution, made an expenditure, or given consent to an individual, organization, political party or political committee to solicit or receive and accept a contribution or make an expenditure on the individual s behalf to secure nomination or election to any public office at any time, whether or not the office for which the individual will seek nomination or election is known when the solicitation is made, the contribution is received and retained or the expenditure is made, and whether or not the name of the individual is printed on the ballot; or JA public office holder against whom a recall petition has been completed and filed. Note: A candidate for the office of precinct committeeperson does not file a Statement of Organization or contribution and expenditure reports. Any candidate who serves as the candidate s own treasurer, does not already have an open principal campaign committee and does not expect to receive or spend more than $300 for the entire election is not required to file a Statement of Organization or contribution and expenditure reports. However, if at any time the candidate exceeds $300 in either contributions or expenditures, the candidate must then file a Statement of Organization and contribution and expenditure reports. The $300 includes the spending of personal funds for any campaign-related costs. WHEN TO REGISTER Registration must occur within three business days of a candidate or principal campaign committee first receiving a contribution or making an expenditure and no later than the deadline for filing a nominating petition or declaration of candidacy. A state candidate must file a new or amended Statement of Organization no later than the date that the candidate files a nominating petition, declaration of candidacy or certificate of nomination. HOW TO REGISTER To register, file a Candidate s Statement of Organization (SEL 220) with the appropriate filing officer. A blank copy of this form is provided in this manual or may be downloaded from the Elections Division s website at ons/frm. Copies may also be obtained by contacting state, county or city election filing officers. To determine the appropriate filing officer, see page 22. The Elections Division assigns an identification number to the principal campaign committee of a state candidate. A dated copy of the SEL 220, which includes the identification number, is returned to the candidate or treasurer to acknowledge receipt of the filing. A candidate may have only one principal campaign committee at any one time. If a candidate has a Statement of Organization on file with one filing officer and wishes to be a candidate for an office with a different filing officer, the candidate must discontinue the old committee and file an original Statement of Organization with the new filing officer. Any balance or deficit of the old committee may be transferred to the new committee.

30 Campaign Finance Manual Candidate/Treasurer Responsibilities A candidate must designate a principal campaign committee and may either serve as the committee s treasurer or appoint a separate treasurer. The treasurer must be a registered voter in Oregon. Both the candidate and designated treasurer must sign the Statement of Organization. Contribution and expenditure reports may be signed by either the candidate or treasurer. DUTIES Both the candidate and treasurer are responsible for: JMaintaining detailed records and filing accurate and timely contribution and expenditure reports; JSigning all reports and statements; JKeeping financial records current to within seven days after the date of receiving a contribution or making an expenditure; and JPreserving records for at least two years after the date of the election for which the records were generated or at least two years after the last supplemental report has been filed, whichever is later. The treasurer of record is responsible for these duties until an amended Statement of Organization is filed appointing a new treasurer. LIABILITY Both the candidate and the treasurer are personally responsible for carrying out their duties and should understand those responsibilities, as well as their personal liability for fulfilling them. Amending Registration Information Whenever ANY of the information disclosed on the Statement of Organization (SEL 220) changes, the change must be reported within 10 days by filing an amended Statement of Organization with the appropriate filing officer. When filing an amendment to the Statement of Organization, complete the entire form, not just the updated information. The amended form must be signed by both the candidate and the treasurer. It supersedes all previous filings. Completing the Statement of Organization Instructions for completing each item of information on the Statement of Organization appear below. SECTION 1 Time of Activity Designate the specific election in which the candidate will participate and, if the committee is ongoing, designate that the committee will exist for more than one year. SECTION 2 Type of Filing When filing a Statement of Organization for the first time mark the Original box. When updating information on the Statement of Organization mark the Amendment box. When discontinuing the committee mark the Discontinuation box. See page 20 for campaign finance reporting requirements when discontinuing a committee. Oregon election law provides for civil penalties up to $10,000 for late or insufficient filings of contribution and expenditure reports. The candidate and treasurer are held jointly and severally liable for civil penalties imposed on a committee.

31 FILING A STATEMENT OF ORGANIZATION/DISCONTINUATION 19 SECTION 3 Name of Principal Campaign Committee Provide the full official name of the principal campaign committee. Committee Address Provide the address of a residence, office, headquarters or similar location where the political committee or responsible officer can conveniently be located. Do not use a post office box number. Name of Treasurer Provide the name of the designated treasurer. The treasurer must be a registered voter in Oregon. The candidate may serve as the committee s treasurer. Telephone Numbers Provide work and home phone numbers for the treasurer. The work number is the number where the treasurer can be reached during normal business hours. Mailing Address Provide an address where the committee wishes to receive all correspondence from the filing officer. This is the address used by the filing officer until an amended Statement of Organization is filed. Do not use the home address of a candidate who has a court order exempting the candidate s home address from public record. SECTION 4 Name of Candidate Provide the candidate s full name. Residence Address Provide the address of a residence, office, headquarters or similar location where the candidate can conveniently be located. Do not use a post office box number. Mailing Address for Candidate Correspondence Provide an address where the candidate wishes to receive correspondence from the filing officer. This is the address used by the filing officer until an amended Statement of Organization is filed. Do not use the home address of a candidate who has a court order exempting the candidate s home address from public record. Occupation of Candidate Provide the occupation of the candidate (e.g., forester, homemaker, teacher, lawyer). Not employed or retired are acceptable designations for occupation. Self-employed, business owner, public employee, education employee, or listing only a title (e.g., president, chief executive officer or administrator) are not acceptable unless the nature of the business or employment is indicated (e.g., clothing manufacturer president, CEO timber industry, or medical office administrator). Telephone Numbers Provide work and home phone numbers for the candidate. The work number is the number where the candidate can be reached during normal business hours. Name of Office Sought List the office sought by the candidate. Include the county, district, position, department or zone number, if applicable. SECTION 5 Additional Address Provide any additional address, other than the committee address, candidate s residence address or mailing addresses listed on the Statement of Organization, that the candidate or committee may use on political publications.

32 Campaign Finance Manual SECTION 6 Party Affiliation Check the box that indicates the candidate s party affiliation. A candidate running for a nonpartisan office should not complete this section. SECTION 7 Solicitation of Funds by Political Committee Mark each box that describes a method by which the committee intends to solicit funds. SECTION 8 Committee Directors Provide the name, address, occupation and phone number of any committee directors. A candidate s principal campaign committee is not required to have committee directors. If two or more of the directors are also directors of another political committee, list the names of those directors and the name and address of the other political committees. Signatures of Candidate and Treasurer The candidate must sign and date each Statement of Organization filed, including amendments. In signing the Statement of Organization the candidate is attesting the candidate understands the liability assumed in being a candidate. The treasurer, if different than the candidate, must also sign and date each Statement of Organization filed. In signing the Statement of Organization the treasurer is attesting the treasurer understands the liability assumed in becoming the committee treasurer. Changing Office STATEMENT OF ORGANIZATION A candidate who changes candidacy must file within 10 days of changing candidacy: JAn amended Statement of Organization designating the new office sought by the candidate, if the filing officer for the new office sought by the candidate is the same as the filing officer for the original office sought by the candidate; or JA Statement of Organization discontinuing the original principal campaign committee with the original filing officer and a new Statement of Organization designating the new office sought by the candidate, if the filing officer for the new office sought by the candidate is different than the filing officer for the original office sought by the candidate. Any residual funds or deficit of the original principal campaign committee may be transferred to the new principal campaign committee. Discontinuing ELIGIBILITY TO DISCONTINUE A principal campaign committee may discontinue its registration and cease its reporting obligations if: JThe committee no longer intends to receive contributions or make expenditures; JA zero balance is achieved by having no cash on hand and no outstanding debts or obligations; and JThe committee files a final contribution and expenditure report.

33 FILING A STATEMENT OF ORGANIZATION/DISCONTINUATION 21 HOW TO DISCONTINUE A principal campaign committee may discontinue by: JSubmitting a final contribution and expenditure report showing a zero balance; and JFiling a complete Statement of Organization signed by the candidate with the Discontinuation box marked. A principal campaign committee can achieve a zero balance by showing all debts (loans and accounts payable) as being repaid or forgiven. If a balance is left in the principal campaign committee s account, the excess funds may be: JUsed to defray any expenses incurred in connection with the candidate s duties as a public office holder; JContributed to any political committee; JContributed to any organization described in section 170(c) of Title 26 of the United States Code or to any charitable organization defined in ORS ; or JUsed for any other lawful purpose (except personal use), including transfer to a new principal campaign committee. See the section above on Changing Office for reporting requirements if funds are transferred to a new principal campaign committee. The excess funds may not be converted to personal use by the candidate or any other individual. A committee does not need to wait for a scheduled report deadline to file its final report for discontinuation. Note: Any committee that has filed a Certificate of Limited Contributions and Expenditures for every election since its original Statement of Organization was filed is not required to file a detailed report to discontinue.

34 Campaign Finance Manual Determining the Filing Officer For Your Committee All campaign finance materials, such as statements of organization and contribution and expenditure reports, must be filed with the appropriate elections filing officer. Use the following chart to determine your filing officer. Candidate for state office TYPE OF CANDIDATE FILING OFFICER Secretary of State State office includes Governor, Secretary of State, State Treasurer, Attorney General, Commissioner of the Bureau of Labor and Industries, Superintendent of Public Instruction, State Senator, State Representative, Judge (Supreme Court, Court of Appeals, Tax Court and Circuit Court) and District Attorney. Candidate for county office County office generally includes County Judge, County Commissioner, County Assessor, County Clerk, County Sheriff, County Surveyor, Justice of the Peace and County Treasurer. Candidate for city office County Elections Filing Officer For a listing of county elections offices go to: ions/other.info/clerk.htm City Elections Filing Officer City office generally includes Mayor, City Councilor, municipal Judge and any other elective positions created by the City. Candidate for district office, unless otherwise provided by law District office generally includes a member of the board of directors. County Elections Filing Officer where administrative office of the district is located Note: Most candidates for federal office in Oregon must file their campaign finance information with the Federal Elections Commission ( ). Candidates for United States Senator must file their campaign finance information with the Secretary of the Senate ( ). Some special districts have a different filing officer. Refer to the Principal Act of the special district or consult with your county elections filing officer.

35 FILING A STATEMENT OF ORGANIZATION/DISCONTINUATION 23 Political Committees Registering as a Political Committee WHO MUST REGISTER Each political committee must file a Statement of Organization. A political committee is: JA combination of two or more individuals, or a person other than an individual, that receives a contribution or makes an expenditure for the purpose of supporting or opposing a candidate, measure or political party (see page 84, Political Advocacy, for discussion of support or oppose); JAn individual who solicits and receives a contribution; JA chief petitioner of a recall petition; JA chief petitioner of a statewide initiative or referendum petition; or JA slate mailer organization. Note: A group or organization formed to support or oppose a petition that is not yet a measure on a ballot is not a political committee. However, it must register when the petition qualifies for the ballot, if the committee intends to support or oppose the measure. A person who makes a contribution to a candidate or committee that has either filed a Certificate of Limited Contributions and Expenditures or is required to file contribution and expenditure reports disclosing the contribution is not considered a political committee. Elections Division s website at ons/frm. Copies may also be obtained by contacting state, county or city election filing officers. If a committee is supporting or opposing candidates or measures in more than one jurisdiction (state, county, city or district) for any election, it must register and file contribution and expenditure reports with each appropriate elections filing officer. To determine the appropriate filing officers, see page 28. For more information about committees active in multiple jurisdictions, see pages 54 and 55. The Elections Division assigns an identification number to a state committee. A dated copy of the SEL 221, which includes the committee s identification number, is returned to the treasurer to acknowledge receipt of the filing. Treasurer TREASURER REQUIRED A committee must designate a treasurer on the Statement of Organization. The treasurer must be a registered voter in Oregon. Only a designated treasurer may sign the Statement of Organization and contribution and expenditure reports. WHEN TO REGISTER Registration must occur within three business days of first receiving a contribution or making an expenditure. HOW TO REGISTER To register as a committee, file a Statement of Organization: Designation of Political Committee and Appointment of Treasurer and Directors (SEL 221) with the appropriate filing officer. A blank copy of this form is provided in this manual or may be downloaded from the TREASURER S DUTIES The treasurer is responsible for: JMaintaining detailed records and filing accurate and timely contribution and expenditure reports; JSigning all reports and statements; JKeeping financial records current to within seven days after the date of receiving a contribution or making an expenditure; and