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Forms & Guidance

FORMS
TEMPLATES
GUIDANCE DOCUMENTS
E-LEARNING

Registration & Certification

Certification
Campaigns must submit a Certification by the legal deadline to join the Campaign Finance Program. For unregistered campaigns interested in the Campaign Finance Program, the Certification should be submitted to register the campaign with the CFB in lieu of the Filer Registration.

Filer Registration (FR)
Submit a Filer Registration to register your campaign with the CFB as soon as your campaign starts raising or spending money (see Start Your Campaign)

Political Committee Registration
Political Committees that want to contribute to participating candidates running for a CFB-covered office must submit a Political Committee Registration form to the CFB. Political Committees must re-register every election cycle.
Note: Registered CFB candidates within the current four-year election cycle are not required to submit this form, as the FR or Certification form automatically registers your candidate committee.

Small Campaign Registration
A candidate may register as a small campaign if he/she does not plan to raise or spend more than $1,000. Once registered as a Small Campaign, the candidate is not required to submit disclosure statements to the CFB as long as he/she does not raise or spend more than $1,000. If the campaign ever raises or spends more than $1,000, the candidate must submit a complete Filer Registration or Certification to the CFB, and file itemized disclosure statements covering all financial activity.

Transition and Inauguration Entities (TIE)
Newly elected officials who wish to raise or spend funds related to the transition and/or inauguration into office must open a Transition and Inauguration Entity (TIE) bank account and register the TIE with the CFB.

Update Your Campaign Information

Certified Statement of Need
Public funds payments are capped at 25% of the maximum in elections with an incumbent seeking reelection. Incumbents seeking reelection and challengers to incumbents have to review and submit this form in order to receive the maximum amount of any potential public funds payments.

Change of Bank Account
Submit the Change of Bank Account form If you are amending your committee bank account or adding any new accounts.

Change of Contact Information
Submit the Change of Contact Information form if there is any change to the candidate, committee, treasurer, or campaign liaison’s address, phone number, and/or email address. This form can also be used to add a new or additional campaign manager, consultant, or liaison in lieu of resubmitted the FR.

Rescission of Certification
Submit the Rescission of Certification if you wish to rescind your Certification, and no longer be a program participant in the matching funds program.

Certified Statement of Active Candidacy
Participating candidates who lose the primary election but remain on the ballot for the general election must submit a Certified Statement of Active Candidacy before being eligible to receive general election public funds payments.

Verification of Terminated Candidacy
Submit the Verification of Terminated Candidacy form if you wish to end your campaign with the CFB.

Contribution Cards

For monetary contributions, have the contributor fill out and sign a contribution card. The CFB-provided template includes all of the contributor’s information and verification statements required by the Act & Rules.

Contribution Cards

Cash/Check/Money Order — English | Bengali | Chinese | Korean | Spanish
Credit Card — English | Bengali | Chinese | Korean | Spanish

Special Election Contribution Cards

Cash/Check/Money Order — English | Bengali | Chinese | Korean | Spanish
Credit Card — English | Bengali | Chinese | Korean | Spanish

Contribution Card for Segregated Bank Account
Use this contribution card if you are soliciting contributions to pay debts from previous election cycles, or for use other than by your committee for the current election cycle. You must disclose your Segregated Bank Account with the CFB prior to accepting any contributions of this type.

In-Kind Contribution Card
Use the in-kind contribution card to collect information on goods or services donated to your campaign free of charge or at a discount that is not available to the general public. You may get a letter or other form of documentation detailing the same information from the contributor in lieu of using this card.
Note: You must also attach documentation substantiating the fair market value of the in-kind contribution.

Documentation for Your Records

At any point, the CFB may request copies of these documents.

Advance Repayment Voucher
Use the Advance Repayment Voucher if you need to repay an advance (e.g., to reimburse a campaign staffer for a campaign expense paid out of pocket).

Campaign Documentation Labels
Organize your campaign’s documentation with these labels that were specifically designed in accordance with CFB best practices. You can print them on Avery 5163 Template Labels or use them as guidance for your e-files.

Intermediary Statement
Submit an Intermediary Statement for each individual/entity who solicits contributions for your campaign. A form should also be submitted for anyone who delivers (or directs someone to deliver) contributions to your campaign or fundraising agent.
Note: You must also obtain documentation for each contribution an intermediary solicits or delivers.

Loan Agreement
If your campaign chooses to take out a loan to cover expenses, the lender and the campaign must complete a loan agreement.

Statement of Automobile Travel
Use the Statement of Automobile Travel to document campaign-related trips. This form should be completed by the driver of the vehicle.

Subcontractor Disclosure
Vendors must fill out a Subcontractor Disclosure form to disclose any individual or entity they have hired to perform work contracted between them and your campaign.

Time Sheet – Daily
Use the Daily Time Sheet to document hours, duties, and wages of single-day or part-time campaign employees.

Time Sheet – Weekly
Use the Weekly Time Sheet to document hours, duties, and wages of part-time and full-time campaign employees.

Transfer Authorization Card
If your campaign intends to transfer funds, first obtain a list of all contributions received by the transferor committee to determine which contributions can be transferred. Then have the contributor complete a Transfer Authorization Card. The contribution must be from their personal funds and cannot be reimbursed in any manner.

Invalid Matching Claims Letters

A Statement Review is issued to each campaign after the CFB reviews a disclosure statement. If your campaign is seeking public matching funds, a Statement Review provides a list of matching claims found to be invalid and the reason. The following letter templates aim to assist campaigns in obtaining the necessary contributor information to address some Invalid Matching Claims (IMC).

Address Verification
SRC-9; SRC-11

Contribution Affirmation
DOC-5; DOC-6; DOC-7; DOC-8; DOC-9; DOC-10; DOC-11; DOC-12; DOC-16

Contribution Drawn on Business Account
SRC-2

Contributor Under Eighteen Years of Age
SRC-6

Missing/Incomplete Employment Information
RPT-2

Missing/Incomplete Residential Information
RPT-4; SRC-10

Reported Contributor Does Not Match Backup
RPT-6

The following guidance documents were created to provide campaigns with supplemental information on specific campaign-related topics. They do not replace or supersede the Campaign Finance Act, CFB Rules, or Handbook. If you have additional questions, contact your Candidate Services liaison.

C-SMART Help
C-SMART Help provides assistance on entering transactions, uploading documentation, running reports, and submitting disclosure statements in C-SMART. Each document is focused on a specific function and contains step-by-step instructions and descriptions. For guidance on the Act and Rules, recordkeeping requirements, and other compliance matters, please review the
Campaign Finance Handbook or contact your Candidate Services liaison.

Consultant and Vendor Guide
The CFB created this guide to demonstrate best practices for the consultants and vendors that regularly work for campaigns. Use the sections in the guide to find details on the types of documentation that campaigns will request, as well as links to template and sample documents.

Invalid Matching Claims (IMC) Codes
The following codes are used by staff auditors when evaluating a candidate’s matching funds claims. If a claim is found to violate CFB requirements, the auditor will label the violation with one of these codes. Candidates will have an opportunity to review and correct any violations if identified.

Political Consultants Who Work for Both Candidates and Independent Spenders
Political consultants must be aware of potential campaign finance violations that may arise for them and their clients when they choose to work for both candidates and independent spenders simultaneously. Doing work for both types of clients can lead to violations of the Act and Rules by candidates, independent spenders, and consultants. This guidance is to provide information to consultants on when their work may cause issues for their clients and themselves.

Restrictions on the Use of Government Resources
The New York City Charter contains provisions restricting the use of government resources by public servants.

Runoff Election
A runoff election will occur when no candidates running for citywide office receives at least 40% of the vote in the primary election. Campaigns are allowed to raise money for a runoff election once they demonstrate to the CFB that a runoff election is reasonably anticipated.

Segregated Bank Accounts
If you want to contribute to other political/candidate committees or pay debt from a previous election, you can avoid a public funds deduction by opening and fundraising into a separate bank.

Transfers – Type 1 & 2a
Type 1 transfers occur between a political party committee and a candidate committee. Type 2a transfers occur between two committees supporting the same candidate in the same election.

Transfers – Type 2b
Type 2b transfers occur between two committees supporting the same candidate in different elections.

Introduction to Statement Reviews
This webinar provides campaigns with an overview of what a statement review is, common reports that may be included, and best practices to help campaigns respond timely and completely.
Meet NYC Votes Contribute (Promotional)
Are you planning on accepting credit card contributions? Get a brief overview of NYC Votes Contribute (nycvotes.org) to see how this CFB-created credit card contribution tool will enhance your campaign’s current fundraising.
NYC Votes Contribute Orientation
This presentation is aimed at CFB-registered campaigns and covers NYC Votes Contribute, a tool campaigns can use to collect credit card contributions online. It gives an overview of the tool, including how to sign up and general compliance and C-SMART instructions.
An Introduction to Compliance Visits
This presentation will help prepare you for a compliance visit with the CFB. Learn what to expect, what to bring, and other information that will ensure a productive visit.