statement of organization candidate committees

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.

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?

Statement of Organization When To Open a Candidate Committee

Must file Earlier of: Within 10 days of raising or spending $100 Within 7 days of the deadline for filing a

declaration of candidacy Most candidates must have a principal

political committee. A candidate may be chairman, treasurer or

both on their own candidate committee

Qualifications for Treasurer

Must be a US citizen Cannot be a chairman of

another committee, except in the case where a candidate is her own chairman and treasurer

Must be appointed in writing (CFA-1)

Exceptions to Opening a Candidate’s Committee

Candidates for a local office that make less than $5,000 and school board candidates: Are not required to file a statement of

organization nor file campaign finance reports unless they raise or spend more than $500

Must file a statement of organization and campaign finance reports with 10 days of raising or spending more than $500

Campaign Finance

When amending the CFA-1 it must be filed within ten (10) days of the change.

Only complete the lines where changes have been made.

Statement of Organization Amending a Candidate Committee

Where to FileState 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 BoardPACs and Legislative Caucus Committees: Support Statewide or State Legislative Candidates then file with the

Election Division Support County, City, Town or Township Candidates then file with

County Election Board Supporting more than one of these categories then file with the

Election Division

Campaign Finance

What to file: CFA-4Report of Receipts and Expenditures

This is the report of receipts and expenditures that must be filed periodically as long as you have a committee open.

Check type of report you are submitting in the appropriate box on the first page cover sheet: Pre-primary, Pre-election, Annual, Final or, Outgoing Treasurer.

Check the box “final/disbanding” when you are closing your committee

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 File

Deadlines for “special” candidates

• Candidates selected to fill a ballot vacancy, Libertarian candidates, Independent candidates, and write-in candidates have their own set of deadlines prior to the PreGeneral Report.

• Refer to the 2012 Campaign Finance Manual and 2012 Election Calendar for exact dates

Corporate and Labor Contribution Limits

Corporations and Labor Organizations are permitted to make direct contributions to candidate, regular party and political action committees.

However, their contributions are limited to the following maximum amounts: For Example, a Corporation or a Labor Organization may not give more than $2,000 in the aggregate to candidates for local office.

Campaign Finance

Direct corporate and labor organization contributions to PACs must be “earmarked”, and are subject to the limitations under each category.

Campaign FinanceCorporate and Labor Contributions to Political Action Committees

A1: Contributions from Individuals: Include full name, mailing address, contribution date (when received), and check the type of contribution.

A2: Contributions by Corporations A3: Contributions by Labor Organizations A4: Contributions by PACS A5: Contributions from other Organizations (e.g. transfer

in from a committee)

Contribution Schedules

Itemized Contributions for Candidate’s Committee

• Must Itemize contributions more than $100 in cumulative contributions from single source

• If itemize must include: 1) Date and amount of contribution; 2) Full name and full mailing address of person making contribution; and 3) Must identify the persons occupation if contributions from person total $ 1,000 or more

• On CFA-4 Summary Sheet• Enter total of Itemized contributions on all Schedule As on

line 15a of CFA-4 report cover page.• Contributions of $100 or less (unitemized) must be entered

on line 15b of CFA-4 report cover page• Total both columns

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

When is a Contribution made or received

• A contribution is considered made when deposited in the mail or transferred to another person.

• A contribution is received and accepted when a person has physical possession of the contribution and deposits it in the committees account.

Campaign Finance

Pre-Primary

Filing Deadline:

Who files:

Received after April 13, 2012, and before 48 hours before election

No later than 48 Hours after receipt

Candidates on 2012 Primary or General Election Ballot ONLY

Large Contributions

Definition: Contributions from a contributor that are received after the regular reporting period and 48 hours before the election that, in the aggregate, total $1,000 or more must be reported on form CFA-11

Pre-General Received after October 12, 2012, and before 48 hours before the election

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.

Schedule BItemized 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.

Schedule BItemized 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.

Expenditure Coding

“C”- Direct and in-kind contributions the campaign can legally make to other campaigns

“F”- Expenditures associated with holding a fundraiser.

“A”- Expenditures associated with the production and printing or copying of campaign communications.

“O”- General operating expenses and overhead (rent), postage, and travel

Debts and Loans

Schedule D: Debts owed by like a loan would be entered on Schedule A-5 and reentered on Schedule D. Debts are totaled on line 19.

Schedule E: This is money loaned from your committee to another. Loans are totaled on line 20.

Practical Tip: Enter funds spent by candidate or funds candidate gives to committee as “loans” to committee and “debts” of committee so that candidate can get paid back if committee later collects contributions to cover loans

Ways to Disband a Committee

Committee initiated County election board

administratively dissolves committee

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!!

CEB Administratively Disbands Committee

IC 3-9-1-12—Discretionary No reports filed in 3 years Less than $1,000 cash on hand Notice sent to last known address of

chairman and treasurer At hearing, board makes specific findings May waive any penalty previously imposed Must publish notice of action in paper

Practical Advice File on Time even if you are unsure if

accurate or incomplete. You will avoid fine You will be able to amend

Close your Committee if you are defeated or you are finished with it Committees do not automatic close- they

remain open until you disband committee by filing final/disbanding report

As long as committee is open you will have to file at least an annual report

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)


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


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.


Open Door Law Requirements In general, notice is not required to be

published in newspaper unless specific statute requires publication (For example, the “public test” for voting systems is required to be published in the newspaper 48 hours before the test)

Publication of notice is not required for a campaign finance enforcement hearing unless the meeting also contains agenda items that require published notice


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)

Campaign Finance EnforcementCampaign 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))


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)


County Election Board: Campaign Finance County treasurer must establish a non-

reverting campaign finance enforcement account for campaign finance fines (IC 3-9-4-17(j) and (k))

These funds are available, with the approval of the county council, to supplement funds appropriated to administer campaign finance

Check with county attorney for collection of unpaid fines


DISCLAIMER LAW ENFORCEMENTCEB 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)

statement of organization candidate committees

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