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Oregon Regulations § 165-012-0530 Civil Penalties

⤴ Up to Division 12: Campaign Finance Regulations

Regulation Text

(1) For purposes of assessing civil penalties in connection with violations of ORS 260.281, and these administrative rules OAR 165-012-0500 through 165-012-0530, the Authorized Representative identified on the SEL 240 form shall be financially responsible for those civil penalties.
(2) Civil penalties assessed in connection with violations of ORS 260.281 and these administrative rules OAR 165-012-0500 through 165-012-0530, may be assessed during the Election Cycle and are not required to be held in abeyance until the end of an Election Cycle.
(3) Subject to the cap set out in ORS 260.285, civil penalties assessed in connection with violations of ORS 260.281 and these administrative rules OAR 165-012-0500 through 165-012-0530), for late filings of initial donor identification list(s) shall be 2.5% of the total cost for political communications made by the covered organization for the applicable race, measure, or committee for each business day that the filing was late. The penalty will be calculated based on the total cost of political communications made by the covered organization for the applicable race, measure, or committee from the beginning of the election cycle up to the date the initial donor identification list was due.
(4) Subject to the cap set out in ORS 260.285, civil penalties assessed in connection with violations of ORS 260.281 and these administrative rules (OAR 165-012-0500 through 165-012-0530) for late filings of updated donor identification list(s) shall be .5% per day of the aggregate donations not properly identified by the covered organization for the applicable race, measure, or committee for each business day that the filing was late.
(5) For an initial or updated donor identification list that is amended after the due date to change the name of a donor resulting in a different donor, subject to the cap set out in ORS 260.285, the civil penalties assessed shall be .5% per day of the total donations received from donors whose names were not correctly identified for each business day that the filing was late.
(6) For an initial or updated donor identification list that is amended after the due date to change the amount of a previously reported donation, subject to the cap set out in ORS 260.285, the civil penalties assessed shall be .5% per day of the net change or .5% of the updated amount, whichever is less, for each business day that the filing was late.
(7) For an initial or updated donor identification list that is amended after the due date to add a new donor, subject to the cap set out in ORS 260.285, the civil penalties assessed shall be .5% per day of the total donations received from all donors whose donations were not correctly identified on the initial or updated donor identification list for each business day that the filing was late.
(8) For an initial or updated donor identification list that is amended after the due date to remove a previously identified donor, subject to the cap set out in ORS 260.285, the civil penalties assessed shall be $100.00 for each donor that was removed.
(9) The administrative rules set out in OAR Chapter 165, Division 1 shall apply to hearings requested and held related to civil penalties assessed for violations of ORS 260.281 and these administrative rules OAR 165-012-0050 through 165-012-0530. In the event a potential conflict, ORS 260.285 and these administrative rules OAR 165-012-0050 through 165-012-0530 will control.
(10) For purposes of requesting a hearing in conjunction with penalty notices issued for violations of ORS 260.281 and these administrative rules OAR 165-012-0050 through 165-012-0530, unless otherwise reflected in the record or in USPS information, notices shall be deemed received by the person against whom the penalties were assessed three days after mailing if mailed to a last known address within the state, or seven days after mailing if mailed to a last known address outside the state.
(11) If a hearing is requested, it will be held as provided by ORS 260.285, which is not later than 45 calendar days after the deadline for requesting a hearing. A 15 calendar-day extension may be granted if requested in writing by the person subject to the civil penalty.
(12) A request for hearing must be made by using the Hearing Request Form provided by the Secretary of State's Office, Elections Division. The Hearing Request Form, and testimony (if applicable) may be mailed, faxed, or attached to an email sent to orestar-support.sos@oregon.gov.
(13) Proposed Civil Penalties assessed pursuant to ORS 260.285 may only be mitigated as follows:
(a) The lateness or insufficiency of an initial or updated donor list is the direct result of clearly-established fraud, embezzlement, or other criminal activity against the Covered Organization, or Authorized Representative of a Covered Organization, as determined in a criminal or civil action in a court of law or independently corroborated by a report of a law enforcement agency or insurer, or the sworn testimony or affidavit of an accountant or bookkeeper or the person who actually engaged in the criminal activity.
(A) This mitigating circumstance does not apply to any person who was the perpetrator of the wrongdoing described above.
(B) If the criminal or civil action in a court of law results in a monetary judgment (including restitution) in favor of the Covered Organization or the Authorized Representative of a Covered Organization the Elections Division civil penalty must be paid if the judgment is collected.
(b) The lateness or insufficiency of an initial or updated donor list is the direct result of fire, flood, utility failure, or other calamitous event, resulting in physical destruction of, or inaccessibility to necessary records. "Calamitous event" means a phenomenon of an exceptional character, the effects of which could not have been reasonably prevented or avoided by the exercise of due care or foresight.
(c) The lateness or insufficiency of an initial or updated donor list is the direct result of failure of a professional delivery service to deliver documents in the time guaranteed for delivery by written receipt of the service provider. This does not include delivery by fax.
(d) The lateness or insufficiency of an initial or updated donor list is the direct result of an error by the elections filing officer. If an initial or updated donor list is late or insufficient as the direct result of an error by the elections filing officer, the violation is waived and no penalty is assessed.
(e) The lateness of an initial or updated donor list is the direct result of a valid personal emergency of the Authorized Representative or other individual authorized to make election-related filings on behalf of the Covered Organization. In this case, independent written verification must be provided. A valid personal emergency is an emergency, such as a serious personal illness or death in the immediate family of Authorized Representative or other individual authorized to make election-related filings on behalf of the Covered Organization which caused the transaction to be late. Personal emergency does not include a common cold or flu, or a long-term illness where other arrangements could have been made.
(f) Only the circumstances listed above, if proven, may be considered in reducing a penalty.
(14) Payment of civil penalties may be made as follows:
(a) by credit card over the phone; or
(b) by check payable to the Oregon Secretary of State, and Mailed to the Elections Division.
(c) Payment may be made at any time after the proposed penalty notice is issued, but must be received not later than 30 calendar days after the service date of the final order.
(d) If necessary, the person may contact the Elections Division to discuss payment plan options.
(15) If the calculated penalty for an initial or updated donor list is less than $50, a proposed penalty will not be issued.

History

ELECT 7-2020, adopt filed 06/11/2020, effective 6/11/2020

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