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Oregon Bulletin

November 1, 2011

 

Secretary of State,
Elections Division
Chapter 165

Rule Caption: Timelines and Procedures to Fill a Vacancy in the Office of Representative in Congress, 1st District.

Adm. Order No.: ELECT 18-2011(Temp)

Filed with Sec. of State: 9-26-2011

Certified to be Effective: 9-26-11 thru 2-19-12

Notice Publication Date:

Rules Adopted: 165-007-2012

Rules Suspended: 165-007-2012(T)

Subject: This rule adopts timelines and procedures necessary to conduct a special primary election and special election to fill a vacancy in the office of Representative in Congress, First District. This rules also adopts the process for distributing a state voters’ pamphlet prepared for the special primary election and special election.

Rules Coordinator: Brenda Bayes—(503) 986-1518

165-007-2012

Timelines for the Special Primary and Special Election to Fill a Vacancy in the Office of Representative in Congress, 1st District

(1) This rule adopts necessary timelines and procedures for the Secretary of State and county elections officials to conduct a special primary election and special election to fill the vacancy in the office of Representative in Congress, First District. This rule also adopts necessary timelines to produce a state voters’ pamphlet for the special primary election and special election.

(2) When a document is to be filed with the Secretary of State, Elections Division under this rule, the document must be delivered to and actually received, in its entirety, in the office of the Secretary of State, Elections Division not later than 5:00 p.m. on the designated filing deadline date.

(3) The following timeline is adopted for a special primary election on November 8, 2011, as called by the Governor under ORS 188.120:

(a) August 15, 2011: Last day for major party political party to certify names of nominees to Secretary of State as required by ORS 188.120. Nominees must file a completed SEL 101, Filing of Candidacy for Major Political Party, no later than 5pm certifying that they have been a member of the indicated major political party for at least 180 days prior to the filing deadline.

(b) August 30, 2011: Last day for filing or withdrawing candidate statements for the state voters’ pamphlet for the special primary election. Those candidates who choose to submit signatures by petition in lieu of paying the fee for printing a voters’ pamphlet statement must have the signatures verified by the appropriate county election official before submitting them to the Secretary of State.

(c) September 1, 2011: Last day for Secretary of State to complete random ordering of alphabet to determine placement of candidate names on special primary election ballot and to notify County Clerks of the random alphabet.

(d) September 8, 2011: Last day for Secretary of State to file with county clerks a statement of candidates for placement on special primary election ballot.

(e) September 24, 2011: Last day for county election officials to mail ballots to long term absent electors (overseas and military).

(f) October 18, 2011: Last day to register to vote or to change party affiliation for special primary election. Registration cards that are postmarked by this date or submitted online no later than 11:59 pm are valid registrations for the special primary election.

(g) October 21, 2011 thru October 25, 2011: County election officials mail ballots to electors other than long-term and out-of-state absent electors.

(h) October 25, 2011: Last day to distribute state voters’ pamphlet.

(i) November 28, 2011: Last day for county clerk to prepare and deliver abstracts to the Secretary of State.

(j) November 30, 2011: Last day for Secretary of State to canvass votes, prepare register of nominations and deliver certificates of nomination.

(3) The following timeline is adopted for a special election on January 31, 2012, as called by the Governor under ORS 188.120:

(a) December 1, 2011:

(A) Last day for nonaffiliated or minor political party candidates to file certificates of nomination for the special election.

(B) Last day for candidates nominated by more than one political party to notify the Secretary of State of which nominations they choose to have printed on the ballot.

(C) Last day for Secretary of State to complete random ordering of alphabet to determine placement of candidate names on special election ballot.

(D) Last day for Secretary of State to file with county clerks a statement of candidates for placement on special election ballot.

(b) December 5, 2011 Last day for filing or withdrawing candidate statements for the state voters’ pamphlet for the special election. Those candidates who choose to submit signatures by petition in lieu of paying the fee for printing a voters’ pamphlet statement must have the signatures verified by the appropriate county election official before submitting them to the Secretary of State.

(c) December 17, 2011: Last day for county election officials to mail ballots to long term absent electors (overseas and military).

(d) January 10, 2012: Last day to register to vote for special election. Registration cards that are postmarked by this date or submitted online no later than 11:59 pm are valid registrations for the special election.

(e) January 13, 2012 to January 17, 2012: County election officials mail ballots to electors other than long-term and out-of-state absent electors.

(f) January 17, 2012: Last day to distribute state voters’ pamphlet to each post office mailing address in Oregon.

(g) February 17, 2012: Last day for county clerk to prepare and deliver abstracts to the Secretary of State.

(h) February 21, 2012: Last day for Secretary of State to canvass votes, prepare register of nominations and deliver certificates of nomination.

(4) The following process is adopted for administering the cross nomination process set forth in ORS 254.135 and OAR 165-007-0320 for the January 31, 2012 special election only. OAR 165-007-0320 does not apply to this unique situation because it only applies to general elections, and not to special elections.

(a) The unique circumstances of this special election in the 1st Congressional District will allow each county to print the abbreviated name of each party who nominates a candidate beneath the name of the candidate. The abbreviated party names that will be printed on the ballot and in the voters’ pamphlet for this January 31, 2012 special election are:

Constitution Party

Democratic Party

Independent Party

Libertarian Party

Nonaffiliated

Pacific Green Party

Progressive Party

Republican Party

Working Families Party

(b) Because there will only be one contest on the ballot, no county will be at risk of running over to a second ballot card due to their printing of abbreviated party names beneath the candidate name. Since abbreviated party names will be printed on the ballot and in the voters’ pamphlet the key required by OAR 165-007-0320 will not be required.

(5) The following process in adopted for distributing the state voters’ pamphlet prepared for the special primary election and special election to fill the vacancy in the office of Representative in Congress, First District.

(a) The voters’ pamphlet that is prepared for the special primary election will be inserted with the ballots and mailed no later than October 25, 2011.

(b) The voters’ pamphlet that is prepared for the special election will either be inserted with the ballots or mailed to each post-office mailing address in the First Congressional District, no later than January 17, 2012.

Stat. Auth.: ORS 246.150

Stats. Implemented: ORS

Hist.: ELECT 17-2011(Temp), f. & cert. ef. 8-23-11 thru 2-19-12; ELECT 18-2011(Temp), f. & cert. ef. 9-26-11 thru 2-19-12

 

Rule Caption: Updating the Statistical Sampling Procedures for State and Local Initiative, Referendum and Recall Petitions.

Adm. Order No.: ELECT 19-2011

Filed with Sec. of State: 9-26-2011

Certified to be Effective: 9-26-11

Notice Publication Date: 5-1-2011

Rules Amended: 165-014-0030, 165-014-0110

Rules Repealed: 165-014-0032

Subject: OAR 165-014-0030 and 165-014-0110 are proposed for amendment to modify the criteria for which the Secretary of State’s staff or local elections officials will remove cover and signature sheets prior to signature verification. Technical updates are proposed to the rule to incorporate the procedures from OAR 165-014-0032 into 165-014-0030 as well as clarification to the appendices which contain the sampling formulas for state and local petitions.

      OAR 165-014-0032 is proposed for repeal because the procedures contained within the rules are proposed for incorporation into OAR 165-014-0030 to streamline the state initiative signature verification process.

Rules Coordinator: Brenda Bayes—(503) 986-1518

165-014-0030

Statistical Sampling Procedures for State Petition

This rule is adopted to implement ORS 250.045(1) and 250.105(5). The sampling formula referred to in this rule is contained in three appendices which are incorporated into this rule by reference. Appendix 1 contains the sample size determination and the description of the margin of errors used in determining if the prospective petition contains the signatures of at least 1,000 electors. Appendix 2 contains the sampling formula for determining whether the prospective initiative petition or the circulated initiative petition contains the required number of signatures. Appendix 3 contains the sampling formula for determining whether a referendum petition contains the required number of signatures.

(1) After receiving the signature sheets from the chief petitioners, the Elections Division utilizes the following process to determine if the prospective initiative petition contains the signatures of at least 1,000 electors. No more than 2,000 signatures will be accepted for verification at any one time.

(2) Two signature samples may be taken in order to determine if the petition contains the required number of signatures. The sampling formula referred to in this rule is contained in Appendix 1, which is incorporated into this rule by reference.

(3) The Secretary of State’s staff will first review, and remove prior to verification, each cover and signature sheet that does not meet the following criteria:

(a) The text of the prospective initiative petition must either be copied onto the back or stapled to the State Prospective Initiative Petition Signature Sheet. If the text is stapled to the State Prospective Initiative Petition Signature Sheet, it must remain stapled at all times.

(b) The circulator certification is sufficient as required by OAR 165-014-0270.

(c) All information included in the optional information fields about the petition signers, such as their printed name, address and date signed, complies with OAR 165-014-0275.

(d) The cover and signature sheet submitted is produced on pastel colored paper stock when the petition is not using paid circulators.

(4) The necessary information from the petition signature sheets will be entered into a computer program for the signature selection process.

(a) Any individual signature line that is not certified by the circulator’s certification date will not be included in the sample.

(b) Any individual signature line on which the printed name, residence address or date appears not to comply with OAR 165-014-0275 will not be included in the sample.

(5) The size of the first sample of signatures will be determined by the number of signatures submitted for verification. The sample size is contained in Appendix 1. If upon completion of the first sample, it cannot be determined with confidence that the petition contains signatures of at least 1,000 electors, signature verification will continue on all remaining signatures.

(6) The Oregon Centralized Voter Registration System (OCVR) will be used to conduct signature verification.

(7) Using the “first” random sampling selection lists, the appropriate petition signature lines are verified against the voter’s registration record.

(8) The Secretary of State will immediately consolidate and tabulate the verification data, generated from OCVR, for the “first” sample.

(9) The sampling formula to determine acceptance or rejection will be applied to the data from the “first” sample. If the petition is accepted as a result of the “first” sample the Secretary of State will immediately notify the chief petitioners. If the petition is not accepted as a result of the “first” sample, the remaining signatures will be verified.

(10) If the results of the “first” sample do not qualify the petition the remaining signature data will be added to the “first” sample data and the combined results will show that:

(a) The petition has a sufficient number of valid signatures to qualify for submission of the prospective petition; or

(b) The petition does not have a sufficient number of valid signatures to qualify for submission of the prospective petition.

(11) In the event additional signatures are filed no more than 2,000 additional signatures will be accepted for verification. A single sample will be taken. The verification procedures applied to the combined “first” and “second” sample will be applied to the second submission of signatures. If the results of the sample taken from the second submission of signatures do not qualify the prospective petition for submission, the chief petitioners must begin the prospective petition process again.

(12) The Elections Division will notify the chief petitioners of the result of the signature verification:

(a) Not later than 10 business days after receipt of the prospective petition signatures;

(b) Not later than 20 business days after receipt of prospective petition signatures for three or more initiatives received in single day; or

(c) Not later than 20 business days after receipt of prospective petition signatures for which all signatures are required to be verified.

(13) After receiving the signature sheets from the chief petitioners, the Elections Division utilizes the following process to determine if the petition contains enough valid signatures to qualify for the ballot. Additional signatures may be submitted after verification has occurred, as long as the deadline to submit signatures has not passed. The additional sample will be verified pursuant to (29).

(14) Once the chief petitioners have certified that the petition contains enough unverified signatures to meet the statutory or constitutional requirements signature verification may begin.

(15) The chief petitioners must separate all signature sheets by circulator. The chief petitioners must then sequentially number the sheets prior to submission to the Secretary of State. If additional signatures are submitted sequential numbering begins again with page number one.

(16) The Secretary of State’s staff will first review, and remove prior to verification, each cover and signature sheet that does not meet the following criteria:

(a) The cover and signature sheet submitted is the same as the version or one of the versions approved for circulation including the “back to back” printing requirement.

(b) The circulator certification is sufficient.

(c) All information included in the optional information fields about the petition signers, such as their printed name, address and date signed, complies with OAR 165-014-0275.

(d) The cover and signature sheet submitted is produced on pastel colored paper stock when the petition is not using paid circulators.

(e) Any electronic template that is produced on pastel colored paper stock.

(17) The necessary information from the petition signature sheets will be entered into a computer program for the signature selection process.

(a) Any individual signature line that is not certified by the circulator’s certification date will not be included in the sample.

(b) Any individual signature line on which the printed name, residence address or date appears not to comply with OAR 165-014-0275 will not be included in the sample.

(18) The size of the first sample of signatures will be fixed at 1,000. The size of the second sample of signatures will be specified such that the total number of signatures for the combined first and second sample will be at least five percent of the total number of signatures submitted for verification.

(a) A random number generator program will be used to supply a list of random numbers equal in amount to the number of signatures needed for two samples. A “first” sample list will be produced by using a count of random numbers equal to the first sample requirement. However, in all cases the first sample will be 1,000 signatures. A “second” sample list will be produced by using the remainder of the random numbers. The combined number of signatures to be used in the first and second samples will be at least five percent of the total number of signatures submitted for verification.

(b) The “first” and “second” sample list will show the petition identification number, petition signature sheet number and petition sheet line number of each signature selected for verification.

(19) Using the “first” and “second” random sampling selection lists as the control element, the appropriate petition signature sheets are pulled from the stacks.

(20) The random sampling selection list and the selected petition signature sheets are sent to:

(a) County elections officials for verification; or

(b) The Secretary of State may also verify sampled signatures.

(21) The Oregon Centralized Voter Registration System (OCVR) will be used to conduct signature verification.

(22) Upon receipt of the selected petition signature sheet(s) the county elections official will immediately begin verifying the signatures of the “first” sample against the voter’s registration record. If the selected signature line is a blank or crossed out line, the next available line below will be verified. If there are no lines below, the line above will be verified. These changes must be noted on the signature sheet. As soon as all the signatures of the “first” sample are verified, the county elections official will immediately notify the Secretary of State.

(23) The Secretary of State will immediately consolidate and tabulate the verification data, generated from the OCVR, for the “first” sample.

(24) The sampling formula to determine acceptance or rejection will be applied to the consolidated data from the “first” sample. If the petition is accepted as a result of the “first” sample the Secretary of State will immediately notify the county elections officials that no further verification is required. If the results of the “first” sample do not qualify the petition to the ballot, a “second” larger sample will be verified.

(25) Upon notification by the Secretary of State, the county elections official will immediately begin verifying the signatures of the “second” sample against the voter’s registration record, if the petition is not accepted as a result of the “first” sample. If the selected signature line is a blank or crossed out line, the next available line below will be verified. If there are no lines below, the line above will be verified. These changes must be noted on the signature sheet. As soon as all the signatures of the “second” sample are verified the county elections official will immediately notify the Secretary of State.

(26) The Secretary of State will immediately consolidate and tabulate the verification data, generated from OCVR, for the “second” sample. The statistical formula will be applied to combined data from the “first” and “second” sample to determine its acceptance or rejection.

(27) As soon as notified by the Secretary of State the clerk will return the original sampled petition signature sheets to the Secretary of State within ten business days. If notified by the Secretary of State, the county elections official may terminate signature verification before all signatures included in a sample have been verified.

(28) If the results of the “first” sample do not qualify the petition the “second” sample data will be added to the “first” sample data and the combined results will be applied to the sampling formula. The formula will show that:

(a) The petition has a sufficient number of valid signatures to qualify for the ballot; or

(b) The petition does not have a sufficient number of valid signatures to qualify for the ballot.

(29) In the event additional signatures are filed pursuant to ORS 250.105(3), an additional sample will be selected solely from the second submittal of signatures.

(a) The sample size of the second submittal will be taken as the larger of 250 and that value which is directly proportional to the size of the combined “first” and “second” samples from the first submittal.

(b) The verification procedures applied to the combined “first” and “second” sample will be applied to the second submission of signatures.

(c) To determine acceptance or rejection of the initiative or referendum petition, the verification results of the second submission will be added to the verification results of the combined “first” and “second” sample of the first submission of signatures.

[ED. NOTE: Appendix referenced are available from the agency.]

Stat. Auth.: ORS 246.150 & 250.105

Stats. Implemented: ORS 250.105

Hist.: SD 4-1978(Temp), f. & ef. 7-6-78; SD 2-1979, f. & ef. 4-23-79; SD 20-1986, f. & ef. 5-23-86; ELECT 12-1994, f. & cert. ef. 6-23-94; ELECT 8-1999, f. & cert. ef. 9-3-99; ELECT 9-2000, f. & cert. ef. 6-6-00; ELECT 3-2004, f. & cert. ef. 4-15-04; ELECT 3-2005, f. & cert. ef. 3-22-05; ELECT 18-2007, f. & cert. ef. 12-31-07; ELECT 19-2011, f. & cert. ef. 9-26-11

165-014-0110

Statistical Sampling Procedures for Other than State Initiative or Referendum Petitions

This rule is adopted to implement ORS 248.008, 249.008, 249.875, 250.215, 250.315, and 255.175. For a recall petition filed against a State Public Officer and any minor political party formation petitions the Secretary of State may choose to verify sampled signatures.

(1) After receiving the signature sheets from the chief petitioners, the following process must be used to determine if a petition subject to statistical sampling contains enough valid signatures to qualify for the ballot.

(2) Two signature samples may be taken in order to determine if the petition contains the required number of valid signatures of electors to qualify the petition to the ballot. The sampling formula referred to in this rule is contained in Appendix 4, which is incorporated into this rule by reference.

(3) If the petition fails to qualify for the ballot additional signatures may be submitted after verification has occurred, as long as the deadline to submit signatures has not passed. The additional sample will be verified pursuant to (17).

(4) The chief petitioners must certify upon submission of signatures that the petition contains enough unverified signatures to meet the statutory requirements. The petition is then accepted for signature verification. If the chief petitioners cannot certify that the petition contains enough unverified signatures to meet the statutory requirements, the petition is not accepted

(5) The chief petitioners must sequentially number the sheets prior to submission.

(6) Prior to verification, each petition cover and signature sheet is first reviewed, and subsequently removed, if it does not meet the following criteria:

(a) The cover and signature sheet submitted is the same as the version or one of the versions approved for circulation including the “back to back” printing requirement.

(b) The circulator certification is sufficient as required by OAR 165-014-0270.

(c) All information included in the optional information fields about the petition signers, such as their printed name, address and date signed, complies with OAR 165-014-0275.

(7) The necessary information from the petition signature sheets will be entered into a computer program for the signature selection process.

(a) Any individual signature line that is not certified by the circulator’s certification date will not be included in the sample.

(b) Any individual signature line on which the printed name, residence address or date appears not to comply with OAR 165-014-0275 will not be included in the sample.

(8) The sample size of the first sample of signatures will be 10% of the total signatures accepted for verification. The size of the second sample of signatures will be the same number used in the first sample, plus at least one additional signature.

(a) A random number generator program will be used to supply a list of random numbers equal in amount to the number of signatures needed for two samples. A “first” sample list will be produced by using a count of random numbers equal to the first sample requirement. A “second” sample list will be produced by using the remainder of the random numbers.

(b) The “first” and “second” sample list will show the petition identification number, petition signature sheet number and petition sheet line number of each signature selected for verification.

(9) Using the “first” and “second” random sampling selection lists as the control element, the appropriate petition signature sheets are pulled from the stacks.

(10) The Oregon Centralized Voter Registration System (OCVR) will be used to conduct signature verification.

(11) Upon completion of the procedures required in sections (1) through (8) of this rule, the county elections official will immediately begin verifying the signatures of the “first” sample against the voter’s current registration card . If the selected signature line is a blank or crossed out line, the next available line below will be verified. If there are no lines below, the line above will be verified. These changes must be noted on the signature sheet.

(12) The county elections official will immediately consolidate and tabulate all “first” sample data generated from OCVR.

(13) The sampling formula to determine acceptance or rejection will be applied to the consolidated data from the “first” sample. If the petition is accepted as a result of the “first” sample, no further verification is required. If the results of the “first” sample do not qualify the petition to the ballot, the “second” larger sample will be verified.

(14) The county elections official will immediately begin verifying the signatures of the “second” sample against the voter’s current registration card, if the petition is not accepted as a result of the “first” sample. If the selected signature line is a blank or crossed out line, the next available line below will be verified. If there are no lines below, the line above will be verified. These changes must be noted on the signature sheet.

(15) The county elections official will immediately consolidate and tabulate all “second” sample data generated from OCVR.

(16) If the results of the “first” sample do not qualify the petition, the “second” sample data will be added to the “first” sample data and the combined results will be applied to the sampling formula. The formula will show that:

(a) The petition has a sufficient number of valid signatures to qualify for the ballot; or

(b) The petition does not have a sufficient number of valid signatures to qualify for the ballot.

(17) In the event additional signatures are filed the county elections official has the option to either verify all additional signatures or to continue to use the sampling process described in this rule. If the county elections official chooses to verify additional signatures using the sampling process, samples will be selected solely from each additional submittal(s) of signatures.

(a) The sample size of any additional submittal(s) will be directly proportional to the combined “first” and “second” samples from the first submittal or 100 whichever is greater.

(b) The verification procedures applied to the combined “first” and “second” sample will be applied to any additional submittal of signatures.

(c) To determine acceptance or rejection of the initiative or referendum petition, the verification results of any additional submittal will be added to the verification results of the combined “first” and “second” sample of the first submission of signatures.

[ED. NOTE: Appendix referenced is available from the agency.]

Stat. Auth.: ORS 246.150, 250.105, 250.215, 250.315 & 255.175

Stats. Implemented: ORS 249.875, 250.105, 250.215, 250.315 & 255.175

Hist.: ELECT 19-1991(Temp), f. & cert. ef. 12-20-91; ELECT 13-1993, f. & cert. ef. 4-16-93; ELECT 7-2000, f. & cert. ef. 4-5-00; ELECT 3-2004, f. & cert. ef. 4-15-04; ELECT 3-2005, f. & cert. ef. 3-22-05; ELECT 10-2005, f. & cert. ef. 12-14-05; ELECT 18-2007, f. & cert. ef. 12-31-07; ELECT 19-2011, f. & cert. ef. 9-26-11

 

Rule Caption: Repeal of Voting System Certification.

Adm. Order No.: ELECT 20-2011

Filed with Sec. of State: 9-30-2011

Certified to be Effective: 9-30-11

Notice Publication Date: 9-1-2011

Rules Repealed: 165-007-0250

Subject: This rule is no longer necessary as the standards necessary for approval of voting systems are contained in ORS 246.560 and the federal rules adopted by this rule were revised in April 2002 and are now obsolete.

Rules Coordinator: Brenda Bayes—(503) 986-1518

 

Rule Caption: Adoption of Amendments to the 2010 Campaign Finance Manual.

Adm. Order No.: ELECT 21-2011(Temp)

Filed with Sec. of State: 9-30-2011

Certified to be Effective: 9-30-11 thru 12-30-11

Notice Publication Date:

Rules Amended: 165-012-0005

Subject: This temporary amendment supplements the 2010 Campaign Finance Manual by clarifying the language for a maximum penalty assessed for a late change in transaction amount.

Rules Coordinator: Brenda Bayes—(503) 986-1518

165-012-0005

Designating the Campaign Finance Manual and Forms; Late Penalty Matrix

(1) Pursuant to ORS 260.156, the Secretary of State designates the 2010 Campaign Finance Manual and associated forms as the procedures and guidelines to be used for compliance with Oregon campaign finance regulations.

(2) The following amendments to the 2010 Campaign Finance Manual will apply to all ORESTAR late and insufficient penalty cases under ORS 260.232. The amendments to this rule with the exception of sections (7) and (9) go into effect upon the adoption of this rule. Sections (7), (9) and (12) apply to late or insufficient cases occurring May 2011 forward.

(3) Pg 64 right column, replace all paragraphs under the heading Late and Insufficient Penalty Cases (ORS 260.232) with the following:

(a) If the Secretary of State determines that a committee is in violation of Oregon election law for a late or insufficient filing, the treasurer, and candidate, if applicable, of the committee is sent a notice of proposed civil penalty (the charging document) that informs them of the potential civil penalty and provides them with an opportunity to request a hearing. This notice is sent by both certified and regular mail to the committee treasurer or, in the case of a candidate committee, by both certified and regular mail to the candidate with a copy by regular mail to the treasurer, and correspondence recipient, if applicable.

(b) Late and insufficient violations will be processed by calendar month. Each case for a given month will include late violations (transactions that are filed late in that particular month) and insufficient violations (transactions that are not sufficiently corrected by the exam response due date in that particular month.)

(c) For example, a transaction is due on April 15, 2009. The transaction isn’t filed until May 1, 2009. This violation will be part of the May case.

(d) A transaction is identified as insufficient on an exam letter, with a response due date of May 10, 2009. The transactions isn’t corrected until May 15, 2009, this violation will also be part of the May case.

(e) If the total calculated penalty for a case is less than $50, a proposed penalty will not be issued and there will be no violation found.

(f) If a person is not going to contest the proposed penalty, payment may be made payable to the Secretary of State and mailed to the Elections Division prior to the issuance of a default final order or not later than 60 days after the default final order is issued.

(4) Pg 65 left column, replace all language beginning with heading Request for Hearing through the language under the heading Hearing by Telephone located in the right column with the following:

(a) STEP ONE: RESPONDING TO PROPOSED PENALTY NOTICE

(A) When a person receives a proposed penalty notice, they can either pay the penalty, or contest the charges by submitting notarized testimony in lieu of a hearing or requesting an in person or telephone hearing.

(B) To pay the penalty the following must occur:

(i) Payment is made payable to the Secretary of State.

(ii) Payment may be mailed to the Elections Division prior to the issuance of the default final order, at any time after the proposed penalty notice is issued.

(iii) Payment must be received not later than 60 days after the default final order is issued.

(iv) If necessary, the person may contact the Elections Division at 503-986-1518 to discuss payment plan options.

(C) To submit notarized testimony in lieu of an in person or telephone hearing to contest the case the following must occur:

(i) The person must submit a signed Hearing Request Form and an answer to the violations within 20 days of the receipt of the certified mail notice of proposed civil penalty. If the certified letter is refused or left unclaimed at the post office, the 20 day period begins on the day the post office indicates it has given first notice of the certified letter.

(ii) The answer must include an admission or denial of each factual matter alleged in the proposed penalty notice.

(iii) The answer must identify any mitigating circumstance that applies and indicate specifically what facts or transactions the mitigating circumstance applies to.

(iv) If the person has evidence of a mitigating circumstance, or other relevant evidence, this can be submitted with the answer as exhibits.

(v) Except for good cause shown to the administrative law judge, factual matters alleged in the penalty notice and not denied in the answer will be deemed admitted by the party.

(vi) The testimony must be notarized by a licensed Notary Public.

(vii) A worksheet is available on the back of the Hearing Request Form and may be used to complete the answer. Additional copies may be obtained by emailing your request to elec-hearings@sos.state.or.us or by contacting the Elections Division at 503-986-1518.

(viii) The testimony may be mailed to the Elections Division at 255 Capitol St NE, Ste 501, Salem OR 97310 or may be faxed to 503-373-7414.

(D) To request an in person or telephone hearing to contest the case the following must occur:

(i) The person must submit a signed Hearing Request Form and an answer to the violations within 20 days of the receipt of the certified mail notice of proposed civil penalty. If the certified letter is refused or left unclaimed at the post office, the 20 day period begins on the day the post office indicates it has given first notice of a certified letter.

(ii) The person must elect whether or not they want the hearing by telephone or in person on the Hearing Request Form, and sign where indicated.

(iii) The answer must include an admission or denial of each factual matter alleged in the proposed penalty notice.

(iv) The answer must identify any mitigating circumstance that applies and indicate specifically what facts or transactions the mitigating circumstance applies to.

(v) If the person has evidence of a mitigating circumstance, or other relevant evidence, this can be submitted with the answer as exhibits.

(vi) Except for good cause shown to the administrative law judge, factual matters alleged in the penalty notice and not denied in the answer will be deemed admitted by the party.

(b) STEP TWO: CONTESTED CASE PROCESS If a person submits the Hearing Request Form, the hearing will be conducted by an administrative law judge with the Office of Administrative Hearings through one of the following processes:

(A) NOTARIZED TESTIMONY PROCESS If the person has timely submitted the signed Hearing Form designating the submission of notarized testimony, the Elections Division will refer the case and forward the person’s notarized testimony to the Office of Administrative Hearings. The following process then applies:

(i) When the Elections Division Submits Testimony The Elections Division may submit notarized testimony (and any exhibits) to the Office of Administrative Hearings and to the person that filed the notarized testimony. The Elections Division’s notarized testimony will be sent via email to the email address provided on the request form. The Secretary of State, Elections Division may mail its notarized testimony to the party’s last known address if the party’s email address is unknown or does not accept the Secretary of State’s email.

(ii) Opportunity for Rebuttal Testimony The person may, but is not required to, respond to the Elections Division testimony by submitting rebuttal notarized testimony. The rebuttal testimony is limited to issues raised in the person’s original testimony and the Elections Division’s testimony. The rebuttal testimony must be received not later than five business days from the date of service of the Division’s testimony (the date the testimony was emailed or mailed). The notarized testimony “hearing” is deemed closed the day after the deadline for the person to submit rebuttal testimony.

(B) IN PERSON OR TELEPHONE HEARING PROCESS If the person has timely submitted the signed Hearing Form designating an in person or telephone hearing, the following process applies:

(i) Scheduling a Hearing The Elections Division will refer the hearing request, including the party’s answer and hearing request form, to the Office of Administrative Hearings. The Office of Administrative Hearings will schedule a hearing not later than 45 days after the deadline for requesting a hearing. A 15 day extension may be granted if requested in writing by the person subject to the civil penalty.

(ii) Submitting Exhibits Not less than five business days prior to the commencement of the hearing, each party, including the Elections Division, must deliver copies of the exhibits it intends to offer into evidence at the hearing. Exhibits must be delivered to the Administrative Law Judge, all parties, and the Elections Division. Delivery of the exhibits may be accomplished by any of the following means, or by other means of similar nature: Hand delivery; First class or certified mail; Facsimile; Professional delivery service; or Emailed in a pdf format to elec-hearings@sos.state.or.us. Nothing precludes any party or the Elections Division from seeking to introduce documentary evidence in addition to evidence described above during a telephone or in person hearing. The Administrative Law Judge shall receive such evidence, subject to the applicable rules of evidence, only if inclusion of the evidence in the record is necessary to conduct a full and fair hearing.

(iii) Conduct of In Person or Telephone Hearing If the hearing is in person, it will be conducted at the time scheduled and held in a hearing room at the Office of Administrative Hearings in Salem. If the hearing is by telephone, the parties will call the phone number provided in the Notice of Hearing sent by the Office of Administrative Hearings. The hearing will be presided over by an Administrative Law Judge. The Administrative Law Judge will describe the hearing process at the beginning of each hearing. The parties will then be given the opportunity to give opening statements, present and examine witnesses, and give closing statements.

(iv) Opportunity to Opt Out of In Person or Telephone Hearing If a person requests an in person or telephone hearing and the hearing is scheduled by the Office of Administrative Hearings, then subsequently decides they do not want to appear at the hearing, but still wants to contest the penalty, the person may submit notarized testimony and other evidence for entry into the hearing record before the Administrative Law Judge. The Elections Division must receive the testimony no later than three business days before the day of the scheduled hearing. The Elections Division may submit notarized testimony. The testimony must be received by the Office of Administrative Hearings not later than 5:00 pm on the hearing scheduled date. If the Elections Division does not submit notarized testimony, the Agency file will become a part of the case file and establish the basis for liability. This process is separate and distinct from the Notarized Testimony process discussed above and applies only when a party requests an in person or telephone hearing and later decides not to appear at the hearing and instead provide notarized testimony and evidence.

(c) STEP THREE: PROPOSED AND FINAL ORDERS

(A) Proposed Order After the hearing is closed, the Office of Administrative Hearings sends the treasurer, candidate, and the Elections Division the administrative law judge’s proposed order. The administrative law judge’s proposed order will provide a deadline to file written exceptions to the proposed order. If the Elections Division chooses to amend the proposed order issued by the administrative law judge, the Elections Division will send an amended proposed order which will provide a deadline to file written exceptions to the amended proposed order.

(B) Final Order After reviewing and considering the written exceptions, the Elections Division will issue a final order no later than 90 days after the hearing is closed. If the order imposes a civil penalty, the party has 60 days to pay the penalty or file an appeal. If necessary, the person may contact the Elections Division at 503-986-1518 to discuss payment plan options.

(d) Judicial Review of a Final or Default Order After the issuance of a final order or default final order, a candidate or treasurer is entitled to judicial review of the order. Judicial review may be obtained by filling a petition for review with the Oregon Court of Appeals within 60 days of the service date of the order.

(5) Page 65 right column, under heading Mitigating Circumstances, replace the first paragraph with the following: If an in person, telephone or notarized testimony hearing is requested and testimony is provided regarding the mitigating circumstance that directly caused the late or insufficient filing, the Administrative Law Judge and the Secretary of State may consider reducing in whole or in part, the civil penalty, based on the facts presented by the testimony.

(6) Page 66 right column, delete all language under headings Final Order and Default Final Order.

(7) Page 67 left column under the heading Penalties for Late Transactions, replace the paragraph with: The treasurer responsible for a late filed transaction is the treasurer of record at the time the transaction is due. The liability for the civil penalty remains with the treasurer, and the candidate, if applicable, even if the late transaction is filed by the designated alternate transaction filer.(8) Page 68 left column under the heading Penalty Matrix Late Filings should be replaced with the following: Penalties may be assessed for any contribution or expenditure transaction that is filed late or any cash balance adjustment transaction. A transaction is considered late in any of the following circumstances:

(a) A transaction is not filed by the due date for the transaction;

(b) A change is made to the name of the contributor or payee after the transaction due date, resulting in an entirely different contributor or payee being associated with the transaction (the transaction is considered late from the transaction due date to the date the amended transaction changing the contributor or payee is filed);

(c) A change is made to the date of the transaction resulting in a due date that is prior to the date the transaction was originally filed (the transaction is considered late from the date the transaction should have been filed to the date the transaction was originally filed);

(d) A change (increase or decrease) is made to the amount of a previously reported transaction after the transaction due date (the amount of the change is late from the transaction due date to the date the amended transaction changing the amount is filed) no penalty will be imposed for a change in the amount of an expenditure made by an agent transaction;

(e) A previously reported transaction is deleted after the transaction due date (the transaction is considered late from the transaction due date to the date the transaction deletion is filed);

(f) A cash balance adjustment transaction is filed because the committee is unable to reconcile the calculated cash balance based on transactions filed with the Secretary of State with the committee’s bank balance; or

(g) The transaction type is amended from any transaction type other than a contribution or expenditure to a contribution or expenditure, and the original transaction was filed after the deadline (the transaction is considered late from the transaction due date to the date the original transaction is filed).

(9) Page 71 under the heading Maximum Penalties should be replaced with the following:

(a) The maximum penalty for each late transaction, except for a change in a transaction amount, is 10% of the amount of the transaction. The maximum penalty for a change in a transaction amount is 10% of the net change or 10% of the current transaction amount, whichever is less.

(b) The maximum penalty for a late Certificate of Limited Contributions and Expenditures is $100.

(c) The maximum penalty for each cash balance adjustment is 10% of the amount of the transaction.

(d) The maximum penalty for a late Statement of Independent Expenditures (form PC 10) is 10% of the total amount reported on form PC 10.

(10) Page 71 right column under the heading Penalties should be replaced with the following:

(a) For all missing or insufficient items, other than those listed below: $10 per item;

(b) Failure to provide the terms of a loan: 1% of the loan;

(c) Omitted or insufficient information submitted after the amendment deadline but prior to the deadline for a candidate or treasurer to request a hearing will result in a 50% per item reduction of the penalty, if the information is deemed sufficient. If a public hearing is requested, the omitted or insufficient information may be submitted up to the date of the hearing and if deemed sufficient will result in a 50% per item reduction of the penalty.

(11) Amend all references in the 2010 Campaign Finance Manual regarding the requirement for a candidate to file a candidate committee from $350 to $750, including Pages 13, 41, 59 and form SEL 220, Statement of Organization for Candidate Committee.

(12) Page 70 under the heading Maximum Penalties should be replaced with the following:

(a) The maximum penalty for each late transaction, except for a change in a transaction amount, is 10% of the amount of the transaction. The maximum penalty for a change in a transaction amount is 10% of the change in amount.

[Publications: Publications and Forms referenced are available from the agency.]

Stat. Auth.: ORS 246.120, 246.150, 260.156 & 260.200

Stats. Implemented: ORS 246.120, 246.150, 260.156 & 260.200

Hist.: SD 101, f. & ef. 12-3-75; SD 120, f. & ef. 12-21-77; SD 34-1980, f. & ef. 3-6-80; SD 28-1983, f. & ef. 12-20-83; SD 3-1986, f. & ef. 2-26-86; ELECT 32-1988(Temp), f. & cert. ef. 8-26-88; ELECT 22-1989(Temp), f. & cert. ef. 11-9-89; ELECT 19-1990, f. & cert. ef. 6-4-90; ELECT 14-1992 (Temp), f. & cert. ef. 6-10-92; ELECT 37-1992, f. & cert. ef. 12-15-92; ELECT 34-1993, f. & cert. ef. 11-1-93; ELECT 1-1995(Temp), f. & cert. ef. 2-23-95; ELECT 15-1995, f. & cert. ef. 12-18-95; ELECT 9-1996, f. & cert. ef. 7-26-96; ELECT 5-1997, f. & cert. ef. 3-24-97; ELECT 6-1997(Temp), f. & cert. ef. 4-18-97; ELECT 15-1997, f. & cert. ef. 12-31-97; ELECT 5-1998, f. & cert. ef. 2-26-98; ELECT 8-1998, f. & cert. ef. 6-2-98; ELECT 9-1998, f. & cert. ef 9-11-98; ELECT 13-1998(Temp), f. & cert. ef. 12-15-98 thru 6-13-99; ELECT 2-1999(Temp), f. & cert. ef. 1-15-99 thru 7-14-99; ELECT 3-1999, f. & cert. ef. 3-1-99; ELECT 1-2000, f. & cert. ef. 1-3-00; ELECT 3-2002, f. & cert. ef. 3-13-02; ELECT 23-2003, f. & cert. ef. 12-12-03; ELECT 13-2005, f. & cert. ef. 12-30-05; ELECT 1-2007, f. & cert. ef. 1-5-07; ELECT 2-2007(Temp), f. & cert. ef. 5-2-07 thru 10-29-07; ELECT 4-2007(Temp), f. & cert. ef. 7-16-07 thru 12-31-07; ELECT 13-2007, f. & cert. ef. 12-31-07; ELECT 8-2009, f. & cert. ef. 5-4-09; ELECT 16-2009, f. & cert. ef. 7-30-09; ELECT 27-2009, f. & cert. ef. 12-31-09; ELECT 3-2010, f. & cert. ef. 4-22-10; ELECT 8-2011, f. & cert. ef. 4-8-11; ELECT 12-2011, f. & cert. ef. 7-12-11; ELECT 21-2011(Temp), f. & cert. ef. 9-30-11 thru 12-30-11

Notes
1.) This online version of the OREGON BULLETIN is provided for convenience of reference and enhanced access. The official, record copy of this publication is contained in the original Administrative Orders and Rulemaking Notices filed with the Secretary of State, Archives Division. Discrepancies, if any, are satisfied in favor of the original versions. Use the OAR Revision Cumulative Index found in the Oregon Bulletin to access a numerical list of rulemaking actions after November 15, 2010.

2.) Copyright 2011 Oregon Secretary of State: Terms and Conditions of Use

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