In the matter of a Late Contribution and Expenditure Report by Doug Harcleroad for District Attorney, Doug Harcleroad, Candidate, James R. Young, Treasurer, for the Supplemental of 2004
http://oregonvotes.gov/doc/cand/campaign_finance/ce_cases/L7868_ppn.pdf
OFFICE OF THE SECRETARY OF STATE BILL BRADBURY SECRETARY OF STATE ELECTIONS DIVISION JOHN LINDBACK DIRECTOR 141 STATE CAPITOL SALEM, OREGON 97310-0722 ELECTIONS ⎯ (503) 986-1518 In the matter of a Late Contribution and Expenditure Report by Doug Harcleroad for District Attorney, Doug Harcleroad, Candidate, James R. Young, Treasurer, for the Supplemental of 2004 ) Notice of Proposed Civil ) Penalty; Opportunity to ) Request Hearing ) January 21, 2005 Case Number: L7868 Doug Harcleroad for District Attorney (000748) Doug Harcleroad, Candidate / James R. Young, Treasurer 33830 Oak Springs Ln Eugene, OR 97408 Dear Mr. Harcleroad: This letter constitutes a Notice of Proposed Civil Penalty. Please read the information below carefully and contact our office if you have any questions about its contents or necessary actions on your part. Reason for Notice: This notice is being sent to you as a result of the late filing of your supplemental contribution and expenditure report (see ORS 260.058). This report was due in the office of the Secretary of State, Elections Division, not later than 5:00 pm, September 10, 2004. Your report was filed on September 13, 2004, making it one business day late. Authority for Civil Penalty: The Secretary of State has the authority to impose civil penalties in accordance with ORS 260.232 and has adopted the 2004 Campaign Finance Manual by administrative rule. The penalty is imposed against the candidate and the treasurer of record at the time of the violation. Explanation of the Penalty Matrix: Enclosed is the penalty matrix used in calculating penalties for late reports. This matrix reduces the maximum statutory civil penalty to an amount not to exceed a percentage of the total contributions or total expenditures—whichever is greater—for each business day the report was late. The percentage is based upon whether the candidate has committed any previous late violations since September 15, 2003, as follows: • First Violation: One percent • Second Violation: Three percent • Third or Subsequent Violation: Five percent Additionally, the matrix sets minimum penalties based on the number of previous late violations and maximum penalties based on the type of report and the activity level of the committee during the accounting period of the late report. Doug Harcleroad for District Attorney (000748) Doug Harcleroad, Candidate / James R. Young, Treasurer page 2 Proposed Civil Penalty: The Secretary is proposing a civil penalty of $9.28 ($927.50 x 1% x 1 day). This calculated penalty takes into consideration that $927.50 is the greater of the total contributions or total expenditures during the accounting period for the late report and this is the candidate's first late violation. Reduction or Waiver of Penalty: A reduction or waiver of the penalty will be considered only if one of the following mitigating circumstances is present: a) The lateness was the direct result of clearly-established fraud, embezzlement or other criminal activity against the committee, committee treasurer or candidate, 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; b) The lateness was the direct result of fire, flood or other calamitous event, resulting in physical destruction of, or inaccessibility to, committee 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 was 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 was the direct result of an error by the elections filing officer; or e) The lateness was the direct result of a valid personal emergency of the candidate or treasurer. In this case, independent written verification must be provided. (A valid personal emergency is a serious personal illness or death in the immediate family of the candidate or treasurer which caused a report to be late.) It is your responsibility to show that one of the listed circumstances occurred and that it caused the late filing of your report. Doug Harcleroad for District Attorney (000748) Doug Harcleroad, Candidate / James R. Young, Treasurer page 3 Opportunity to Request a Hearing: You have 20 days* from the date you received this certified letter to take one of the following actions: Action Result Request a hearing to be conducted by an independent hearings officer to present evidence of mitigating circumstances (public hearing). This hearing will be held by telephone unless you request that it be a personal appearance hearing held in Salem. A public hearing will be scheduled within 30 days and you will be notified of the date and time. You may choose to submit written notarized testimony or other evidence in lieu of a public hearing. Those documents must be received not later than three business days before the day of the hearing. Submit a notarized written explanation providing evidence of mitigating circumstances (letter hearing). No public hearing will be scheduled and an order will be issued based on the written testimony and the hearing record (which is the agency file for this committee). Do not take any action. Your failure to file a timely report will be considered a violation of Oregon election law. However, no penalty will be assessed because the appropriate penalty is under $50. (* 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.) If you have questions about any part of this notice, please contact Nancy Ferry at 503-986-1518. Sincerely, Jennifer Hertel Compliance Specialist enclosures certified mail return receipt requested c: uncertified James R. Young, Treasurer 1200 Executive Parkway, Ste 450 Eugene, OR 97401-9811
OFFICE OF THE SECRETARY OF STATE BILL BRADBURY SECRETARY OF STATE ELECTIONS DIVISION JOHN LINDBACK DIRECTOR 141 STATE CAPITOL SALEM, OREGON 97310-0722 ELECTIONS ⎯ (503) 986-1518 In the matter of a Late Contribution and Expenditure Report by Doug Harcleroad for District Attorney, Doug Harcleroad, Candidate, James R. Young, Treasurer, for the Supplemental of 2004 ) Notice of Proposed Civil ) Penalty; Opportunity to ) Request Hearing ) January 21, 2005 Case Number: L7868 Doug Harcleroad for District Attorney (000748) Doug Harcleroad, Candidate / James R. Young, Treasurer 33830 Oak Springs Ln Eugene, OR 97408 Dear Mr. Harcleroad: This letter constitutes a Notice of Proposed Civil Penalty. Please read the information below carefully and contact our office if you have any questions about its contents or necessary actions on your part. Reason for Notice: This notice is being sent to you as a result of the late filing of your supplemental contribution and expenditure report (see ORS 260.058). This report was due in the office of the Secretary of State, Elections Division, not later than 5:00 pm, September 10, 2004. Your report was filed on September 13, 2004, making it one business day late. Authority for Civil Penalty: The Secretary of State has the authority to impose civil penalties in accordance with ORS 260.232 and has adopted the 2004 Campaign Finance Manual by administrative rule. The penalty is imposed against the candidate and the treasurer of record at the time of the violation. Explanation of the Penalty Matrix: Enclosed is the penalty matrix used in calculating penalties for late reports. This matrix reduces the maximum statutory civil penalty to an amount not to exceed a percentage of the total contributions or total expenditures—whichever is greater—for each business day the report was late. The percentage is based upon whether the candidate has committed any previous late violations since September 15, 2003, as follows: • First Violation: One percent • Second Violation: Three percent • Third or Subsequent Violation: Five percent Additionally, the matrix sets minimum penalties based on the number of previous late violations and maximum penalties based on the type of report and the activity level of the committee during the accounting period of the late report. Doug Harcleroad for District Attorney (000748) Doug Harcleroad, Candidate / James R. Young, Treasurer page 2 Proposed Civil Penalty: The Secretary is proposing a civil penalty of $9.28 ($927.50 x 1% x 1 day). This calculated penalty takes into consideration that $927.50 is the greater of the total contributions or total expenditures during the accounting period for the late report and this is the candidate's first late violation. Reduction or Waiver of Penalty: A reduction or waiver of the penalty will be considered only if one of the following mitigating circumstances is present: a) The lateness was the direct result of clearly-established fraud, embezzlement or other criminal activity against the committee, committee treasurer or candidate, 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; b) The lateness was the direct result of fire, flood or other calamitous event, resulting in physical destruction of, or inaccessibility to, committee 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 was 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 was the direct result of an error by the elections filing officer; or e) The lateness was the direct result of a valid personal emergency of the candidate or treasurer. In this case, independent written verification must be provided. (A valid personal emergency is a serious personal illness or death in the immediate family of the candidate or treasurer which caused a report to be late.) It is your responsibility to show that one of the listed circumstances occurred and that it caused the late filing of your report. Doug Harcleroad for District Attorney (000748) Doug Harcleroad, Candidate / James R. Young, Treasurer page 3 Opportunity to Request a Hearing: You have 20 days* from the date you received this certified letter to take one of the following actions: Action Result Request a hearing to be conducted by an independent hearings officer to present evidence of mitigating circumstances (public hearing). This hearing will be held by telephone unless you request that it be a personal appearance hearing held in Salem. A public hearing will be scheduled within 30 days and you will be notified of the date and time. You may choose to submit written notarized testimony or other evidence in lieu of a public hearing. Those documents must be received not later than three business days before the day of the hearing. Submit a notarized written explanation providing evidence of mitigating circumstances (letter hearing). No public hearing will be scheduled and an order will be issued based on the written testimony and the hearing record (which is the agency file for this committee). Do not take any action. Your failure to file a timely report will be considered a violation of Oregon election law. However, no penalty will be assessed because the appropriate penalty is under $50. (* 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.) If you have questions about any part of this notice, please contact Nancy Ferry at 503-986-1518. Sincerely, Jennifer Hertel Compliance Specialist enclosures certified mail return receipt requested c: uncertified James R. Young, Treasurer 1200 Executive Parkway, Ste 450 Eugene, OR 97401-9811
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