The Compliance Unit is responsible for assisting treasurers and candidates the entire way through the campaign financial disclosure process. This is accomplished in a variety of ways. The Compliance Unit has a dedicated Call Center which is vital in helping candidates and treasurers navigate registration, contribution limits, filing, seminars, continuing legal education, continuing professional education for accountants and webinars on a variety of Campaign Finance topics. This is done to better educate filers on campaign finance obligations. The Unit also conducts compliance reviews on all itemized filings.
Campaign Finance Call Center
The Unit provides filers with a Call Center that can answer a variety of Election Law and campaign finance questions. This is a very useful tool for candidates and treasurers. The Call Center is operational Monday through Friday, 9:00 A.M. to 4:45 P.M.
Contact us by email: CFInfo@elections.ny.gov
ITU Help Desk
The Unit travels the State and provides seminars, continuing education and webinars to filers looking for information on campaign financial disclosure requirements. Topics include:
Annual Campaign Finance Updates: Annual Campaign Finance Update training by the New York State Board of Elections Compliance Unit
EFS Web Application Training: Training focused on teaching filers to use the Electronic Filing System (EFS) Web Application
Winding Down the Campaign: Guidance on how to wrap up a campaign after Election Day is over
The Unit examines all itemized reports and assists treasurers with meeting reporting obligations. The Unit analyzes statistics on the most common reporting errors and updates its Compliance training series to highlight that information.
Top Compliance Issues
Our Unit has compiled the top errors that are made on itemized reports:
- Reimbursements are made to individuals or credit cards without proper itemization. Each transaction in a reimbursement must be individually itemized to disclose what the individual/entity was reimbursed for.
- LLC/PLLC contributions that have not been attributed to all member owners. Any time a committee reports receiving a contribution from an LLC/PLLC, the committee must also provide the attribution to all member owners (full names and addresses), in direct proportion to each member owner's interest.
- A negative opening or closing balance. The committee will be notified of having a negative balance and will be required to reconcile their reports to remedy the issue.
- Cash contributions over $100. Committees are prohibited from accepting more than $100 in cash in the aggregate from a contributor. If a committee accepts more than $100 in cash from a contributor, it must refund the overage to the contributor.
- Missing data. A missing date, name, address, city, state, zip code, or method of payment may generate a deficiency. This complete data is required for all itemized transactions on a disclosure report.
- Loan documentation. Every time a committee receives a loan or forgives a loan, the committee must supply a copy of the letter of indebtedness or letter of forgiveness to NYSBOE. These supporting documents are to be uploaded by the filer directly into the EFS Web Application.
- Conducting Raffles. The NYS Gaming Commission prohibits political committees from conducting raffles. The monies received from a raffle must be refunded to participants (if known) or remitted to the Office of the State Comptroller if the participants are unknown.