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The Oregon Administrative Rules contain OARs filed through July 15, 2015
 
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DEPARTMENT OF JUSTICE

 

DIVISION 10

CHARITABLE ORGANIZATION REGISTRATION AND REPORTING

137-010-0005

General Registration

(1) Charitable organizations, including trustees of charitable remainder trusts, which hold property for charitable purposes over which the State or the Attorney General has enforcement or supervisory power are required to register with the Charitable Activities Section of the office of the Attorney General.

(2) Charitable organizations are not required to register under this section if:

(a) The charitable organization is exempt under ORS 128.640; or

(b) The charitable organization has not received property for charitable purposes; or

(c) The organization is an educational institution which does not hold property in this state and solicitations of individuals residing in this state are confined to alumni of the institution; or

(d) A trustee of a charitable remainder trust is also the sole charitable beneficiary of the trust estate.

(3) Registration shall be on forms provided or accepted by the Attorney General and shall be accompanied by a copy of the articles of incorporation and bylaws, trust agreement, or other instruments governing the charitable organization. In the case of a testamentary trust, the attachments shall include a copy of the decree of distribution.

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.640 & 128.650
Hist.: 1AG 2, f. 2-17-64; 1AG 5, f. 8-3-72, ef. 8-15-72; 1AG 15, f. & ef. 5-27-76; 1AG 1-1979, f. & ef. 2-1-79; 1AG 2-1981, f. & ef. 12-1-81; JD 2-1982, f. & ef. 12-30-82; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0010

Contents of General Registration Statement

Every registration statement filed pursuant to the general registration and reporting provisions of ORS Chapter 128 shall set forth in detail the following information to the extent requested by the Attorney General:

(1) Name and contact information for the charitable organization subject to the Act, including mailing address, telephone number, facsimile number, email address, and website address.

(2) Employer Identification Number.

(3) Type of organization and type of instrument creating or governing the charitable organization, date of instrument, and where filed, including date and state of filing of articles of incorporation. Governing documents shall be attached and identified by title in the registration statement.

(4) Names, position, and contact information for trustees, corporate officers and directors, key officials or employees, or other charitable fiduciaries, including telephone number, mailing address, and email address.

(5) Purpose of the charitable organization.

(6) Accounting year adopted by the charitable organization.

(7) Names and addresses of beneficiaries designated by the instrument governing the charitable organization.

(8) The charitable organization’s primary county of operations, principle place of business or administration, or similar information.

(9) Information about the organization’s tax-exempt status, including the status of any IRS application and a copy of any IRS determination letter.

(10) Information about any fundraising contracts to which the charitable organization is a party and any charitable gaming activity conducted by the charitable organization.

(11) Information about whether the organization or its fiduciaries are parties to any voluntary agreements, administrative actions, or legal actions relating to charitable solicitations, charitable administration, or fiduciary practices.

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.650
Hist.: 1AG 2, f. 2-17-64; 1AG 15, f. & ef. 5-27-76; 1AG 2-1981, f. & ef. 12-1-81; JD 2-1982, f. & ef. 12-30-82; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0015

General Reporting Requirements

(1) Charitable organizations required to register under OAR 137-010-0005 shall submit annual reports to the Charitable Activities Section of the office of the Attorney General.

(2) Charitable organizations are not required to complete and file a financial reporting form as described in OAR 137-010-0020 if the reporting requirements have been suspended by the Attorney General as to a particular charitable organization pursuant to ORS 128.670(3).

(3) When a charitable organization is terminated or dissolved, a final report shall be filed with the Attorney General showing the disposition of all remaining assets.

(4) The annual reports shall be on forms as specified in OAR 137-010-0020.

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

Stat. Auth.: ORS 128.670
Stats. Implemented: ORS 128.670
Hist.: 1AG 2, f. 2-17-64; 1AG 3, f. 12-31-68; 1AG 5, f. 8-3-72, ef. 8-15-72; 1AG 6, f. 8-3-72, ef. 8-15-72; 1AG 1-1979, f. & ef. 2-1-79; 1AG 2-1981, f. & ef. 12-1-81; JD 2-1982, f. & ef. 12-30-82; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 4-1998, f. & cert. ef. 4-2-98; DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0020

Contents of Annual Reports

(1) A complete annual report for a charitable organization incorporated, headquartered, or organized in a state other than Oregon, including outside of the United States, shall include a completed Attorney General's form CT-12F.

(2) A complete annual report for a trust with both charitable and non-charitable beneficiaries shall include a completed Attorney General's form CT-12S.

(3) A complete annual report for a charitable organization incorporated, organized, or headquartered in Oregon or not described in OAR 137-010-0020(1) or (2) shall include a completed Attorney General's form CT-12.

(4) A complete annual report is required to also include:

(a) A copy of all year-end, federal reporting forms, schedules and attachments filed with the Internal Revenue Service for the same period, such as a form 990, 990EZ, 990PF, or 5227. Organizations are not required to provide copies of a 990N (epostcard) filing if they otherwise provide confirmation that a 990N return was filed with the IRS.

(b) A copy of the independent auditor's report on the corporation's financial records and accompanying financial statements and other attachments if such an audit was prepared.

(c) Updates to information requested in the registration statement, information regarding legal actions as described in OAR 137-010-0010(1), information on whether the organization is ceasing operations in Oregon, and information related to a determination of applicable filing requirements under ORS 128.610 to 128.769.

(d) Information related to revenues, expenditures, and assets, including information necessary to the determination or calculation of applicable fees.

(5) In the event the charitable organization has total annual gross receipts of $50,000 or more or total assets of $100,000 or more, but the organization did not file with the IRS an IRS form 990, 990EZ, 990PF, or 5227 for the reporting period because the organization does not hold tax exempt status, because the organization is eligible to file the 990N, or for some other reason, such organization is required to complete for purposes of its Oregon annual report, an IRS form 990 or 990EZ, including all applicable schedules. If the organization’s annual gross receipts are less than $200,000, it may use IRS 990EZ. Otherwise, the organization is required to use IRS form 990. If the IRS form was not filed with the IRS but is provided in connection with Oregon’s annual report requirements, the form is required to be clearly labeled as for Oregon purposes only or otherwise identify that the form has not been filed with the IRS. Organizations may request a waiver of this requirement by submitting a written request for a waiver with their annual report, along with an income statement and balance sheet, or statements containing similar information.

(6) Charitable organizations are required to file annual reports covering all time periods preceding the date that the organization requested closure of its registration file or notified the Department that it ceased operations.

(7) A charitable organization is not required to submit as part of its annual report to the Attorney General a copy of any IRS form 990 Schedule B listing of contributors that would be exempt from disclosure under federal law.

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

Stat. Auth.: ORS 128.670
Stats. Implemented: ORS 128.670
Hist.: 1AG 2, f. 2-17-64; 1AG 5, f. 8-3-72, ef. 8-15-72; 1AG 2-1981, f. & ef. 12-1-81; JD 2-1982, f. & ef. 12-30-82; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 4-1998, f. & cert. ef. 4-2-98; DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0025

Reporting Period

(1) Annual reports required by ORS Chapter 128 shall be on a calendar or fiscal year basis selected by the charitable organization, but such fiscal year must coincide with the reporting period used by the organization on returns prepared for the Internal Revenue Service.

(2) Annual reports shall be submitted not later than four months and 15 days following the close of each calendar or fiscal year adopted by the charitable organization.

(3) When the filing day as specified in section (2) of this rule falls on a Saturday, Sunday, or a legal holiday, the due date is the next business day following such Saturday, Sunday, or legal holiday.

(4) Any change in the accounting year should be reported to the Charitable Activities Section, Department of Justice. A short period report is required to be filed with a change of accounting year, covering the financial transactions from the day after the close of the former accounting period to the day before the beginning of the new accounting period. This short period report is treated the same as any report required by the Act, and is due not later than four months and 15 days following the close of the period.

(5) An extension of time may be granted by the Attorney General for a reasonable period for filing a report upon written application filed by or on behalf of the charitable organization stating, if requested, the reason that additional time should be allowed for filing the report beyond the ordinary due date. The request should be submitted on or before the due date for filing the report. An extension of time for filing any required information return with the Internal Revenue Service does not extend the time for filing the report with the Attorney General. However, if the charitable organization intends to file a copy of the federal reporting form as part of the report to the Attorney General and if a request for an extension of time has been submitted to the Internal Revenue Service, a signed copy of the federal extension request may be furnished as the form of similar request for an extension of time for filing the complete report with the Attorney General if provided to the Charitable Activities Section, Department of Justice, on or before the original due date for the annual report. The maximum length of any extension for filing an annual report will be no more than six months from the original due date of the report.

(6) The Attorney General shall not consider an annual report or extension as timely filed if the annual report or extension was received by the Charitable Activities Section, Department of Justice, more than 5 business days after the due date described in this rule unless the organization furnishes proof that the annual report or extension was delivered to the Charitable Activities Section on or before the due date for the annual report or extension.

Stat. Auth.: ORS 128.670
Stats. Implemented: ORS 128.670
Hist.: 1AG 2, f. 2-17-64; 1AG 5, f. 8-3-72, ef. 8-15-72; 1AG 1-1979, f. & ef. 2-1-79; 1AG 2-1981, f. & ef. 12-1-81; JD 2-1982, f. & ef. 12-30-82; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 4-1998, f. & cert. ef. 4-2-98; DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0030

Payment of Fees

(1) Each charitable organization filing a report required by this Act shall pay to the Department of Justice, with each such report, a fee based in part on the total amount of the organization’s income and receipts during the period covered by the report and in part on its fund balance at the close of the report period as provided in the schedule set forth below. References to "total amount of its income and receipts" shall mean total revenue or income as defined by Internal Revenue Service form 990, 990-EZ, 990-PF or 1041-A, and, if no financial return is filed, shall mean the total amount of revenue the organization received from all sources. References to "fund balance" shall mean net assets or fund balances as defined by Internal Revenue Service form 990, 1041-A, 990-EZ or 990-PF.

(a) The fee based on total amount of income and receipts is as follows: [Table not included. See ED. NOTE.]

(b) The fee based on the organization’s fund balance is one-hundredth of one percent of the fund balance at the close of the calendar or fiscal year covered by the report. Fund balances in excess of $10 million or less than $50,000 shall not be subject to the fund balance fee. A charitable organization’s fixed assets used for operations are excluded from its fund balance. The fee shall be rounded off to whole dollars; amounts under 50 cents shall be dropped and amounts from 50 cents to 99 cents shall be increased to the next dollar.

(2) If the report fees are not paid when due or if the chartable corporation, trustee or other charitable organization fails to file a report by the date due, a delinquency fee shall be paid to the Department of Justice in accordance with the schedule set forth below, except that if a written request for an extension of time is submitted on or prior to the due date for filing the report and is approved, the delinquency fee will not be due unless the report or fee are not filed within the extended period granted for filing the report. If the extension request is denied, the delinquency fee will not be due if the report and fee are filed within ten days after the denial is received by the charitable organization or the filing has subsequently been completed by the ordinary due date for filing the report. The delinquency fees apply automatically and increase based upon the length of time a report or payment remains delinquent. The delinquency fees are as follows:

(a) A delinquency fee of $20 applies if the report or applicable fees are not received by the due date, including failing to file a request for an extension on or before the initial due date, provided the delinquent report is filed and payment is made no later than 13 months from the close of the organization’s report year;

(b) A delinquency fee of $50 applies if the report or applicable fees are received more than 13 months after the close of the organization’s report year, provided the delinquent report is filed and payment is made no later than 16 months from the close of the organization’s report year; and

(c) A delinquency fee of $100 applies if the report or applicable fees are received more than 16 months after the close of the organization’s report year.

(3) The filing fee paid with the filing of a short period report, due to a change of accounting year, shall be based on the organization’s reported net assets or fund balance at the end of the period, prorated for the number of months covered by the report, and the organization’s reported total revenue for the period covered by the report.

(4) A foreign charitable corporation, trustee, or other charitable organization subject to the reporting requirements of this Act shall pay fees based on the same fee schedules identified in this rule. The report fees shall be based on the organization’s total Oregon revenue and its net assets or fund balance held in Oregon at the end of the reporting period. If, for any reporting period, the organization cannot determine the amount of total revenue derived in Oregon, the revenue fee shall be computed on the total revenue for the organization. If for any reporting period, the organization cannot determine the exact amount of net assets or fund balance or the fixed assets for use in the organization’s charitable operations held in Oregon, the fund balance fee shall be computed on the organization’s total net assets or fund balance.

(5) Split interests trusts shall pay a fee based on the total fund balance of the trust plus a fee based on the amount of the charitable deduction reported on the Internal Revenue Service form 1041-A for the reporting period.

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

Stat. Auth.: ORS 128.670, 128.876
Stats. Implemented: ORS 128.670, SB 109 (2007)
Hist.: 1AG 5, f. 8-2-72, ef. 8-15-72; 1AG 6, f. 8-2-72, ef. 8-15-72; 1AG 11, f. 3-29-74, ef. 4-25-74; 1AG 1-1979, f. & ef. 2-1-79; 1AG 2-1981, f. & ef. 12-1-81; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 4-1998, f. & cert. ef. 4-2-98; DOJ 18-2005, f. 12-5-05, cert. ef. 12-31-05; DOJ 7-2008, f. & cert. ef. 4-22-08

137-010-0032

Disqualification Orders

Pursuant to ORS 128.760, the Attorney General may issue an order disqualifying a charitable organization from receiving contributions that are deductible as charitable donations for the purpose of Oregon income tax and corporate excise tax if the Attorney General finds that the organization has failed to expend at least 30 percent of the organization’s total annual functional expenses on program services when those expenses are averaged over the most recent three fiscal years for which the Attorney General has reports containing expense information.

(1) The calculation of program services expenses and total functional expenses shall be based on the amounts of program services expenses and total functional expenses identified by the organization in the organization’s Internal Revenue Service (“IRS”) form 990 return or equivalent return required to be filed as part of the organization’s report to the Attorney General.

(2) Pursuant to ORS 128.760, a disqualification order may not be issued if the organization meets any of the following criteria:

(a) The organization is a private foundation as defined in section 509 of the Internal Revenue Code, as in effect on October 7, 2013.

(b) The organization is a community trust or foundation operating as described in 26 C.F.R. 1.170A-9(f)(10) and (11), as in effect on October 7, 2013.

(c) The organization is a qualified charitable remainder trust described in section 664 of the Internal Revenue Code, as in effect on October 7, 2013.

(d) The organization does not qualify to receive tax deductible contributions. This includes organizations that hold IRS 501(c)(4) status.

(e) The organization is not required to file annual reports with the Attorney General.

(f) The organization is not required to file an Internal Revenue Service form 990 return or an equivalent Internal Revenue Service return.

(g) The organization receives less than 50 percent of the organization’s total annual revenues from contributions or grants identified in accordance with Internal Revenue Service form 990 or an equivalent form.

(h) The organization has been in existence for less than four years, based upon the date of incorporation or organization.

(3) In addition to the exemptions outlined in OAR 137-010-0032(2) and notwithstanding a finding that the charitable organization’s program services expenses fall below the minimum percentage specified in OAR 137-010-0032(1), the Attorney General may decline to issue a disqualification order if the organization establishes:

(a) That the organization made payments to affiliates that should be considered in calculating the organization’s program services expenses;

(b) That the organization is accumulating revenue or charitable assets for a specific program purpose consistent with representations in solicitations. Such purposes may include a capital campaign, conservation campaign, development of an endowment fund, or similar purposes that result in the significant accumulation of charitable assets relative to program or other expenditures.

(c) The organization supports a related organization or is closely affiliated with another charitable organization such that the IRS form 990 reflects administrative or fundraising expenses incurred on behalf of the related or affiliated organization’s charitable programs. The making of grants to another organization is not sufficient to establish that the organization is related or closely affiliated to the recipient organization. The fact that the organizations have consolidated financial statements is relevant to establishing that the organizations are closely affiliated.

(d) The majority of the organization’s revenues are from sources that are not eligible for treatment as tax deductible charitable donations, including investment income, program service income, or payments from governmental entitites, or if the organization’s revenues from charitable donations average less than $200,000 per year.

(e) The organization’s IRS form 990 report contains typographical errors or other errors in its completion that would result in a program service expenditures of at least 30 percent if the errors were corrected.

(f) The organization has experienced unusual fluctuations in revenues or expenditures such that the program service calculation described in OAR 137-010-0032(1) does not fairly reflect the organization’s historic expenditures on charitable programs.

(4) If an organization is registered with the Attorney General, has not yet filed at least three or the three most recent IRS form 990 returns with the Charitable Activities Section, but has filed such returns with the IRS, the Attorney General may utilize the IRS returns in connection with the calculation described in ORS 128.760 and OAR 137-010-0032(1).

(5) A disqualification order may not be issued if an organization was eligible to and filed an IRS form 990EZ or 990N, rather than the full IRS form 990, for any one of its most recent three fiscal years or if the organization would have been eligible to file a form 990EZ or 990N for any one of its most recent three fiscal years, but voluntarily filed the full IRS form 990.

(6) If during the period under review, the organization changes its fiscal year such that it files an IRS form 990 for less than a full year, the Attorney General may make appropriate adjustments to ensure that the calculation described in OAR 137-010-0032(1) includes at least three full years’ of expenditure information.

(7) For purposes of determining whether to issue a disqualification order or whether an organization has established that it should not be subject to a disqualification order, information contained in an organization’s reports filed with the Charitable Activities Section, the organization’s IRS form 990 returns, the organization’s website or other public sources of information, information provided by the organization, and any other sources of relevant information may be considered.

(8) A charitable organization may request a contested case hearing within 60 days after notification from the Attorney General that the Attorney General proposes to issue a disqualification order.

(9) When a disqualification order is issued, the charitable organization that is the subject of the order does not qualify for and may not claim exemption from taxation under ORS 307.130 for the tax year following the tax year in which the order went into effect and subsequent tax years in which the order remains in effect.

(10) A disqualification order issued pursuant to ORS 128.760 and these rules remains in effect until such time as the charitable organization submits sufficient information to the Attorney General to demonstrate that the organization’s program services expenses meet the minimum percentage specified in ORS 128.760. A charitable organization may submit information under this subsection no earlier than one year after the disqualification order becomes final, and may not submit information under this subsection more than once each year after the initial submission is made. The information submitted under this subsection must include all Internal Revenue Service form 990 returns, or equivalent Internal Revenue Service returns, filed by the organization after the disqualification order became final.

Stat. Auth.: ORS 128.670
Stats. Implemented: ORS 128.670
Hist.: DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0033

Imposition of Civil Penalty

(1) In addition to any other action allowed by law, the Attorney General may impose a civil penalty of not more than $2,000 in connection with any violation of ORS 128.610 to 128.769 or related rules, including but not limited to:

(a) Failing to file the registration statement required under ORS 128.660;

(b) Failing to file an annual report required under ORS 128.670, including any required attachments;

(c) Failing to pay any fee required under ORS 128.670;

(d) Willfully making a false or misleading statement in a registration statement, annual report, or other document required to be filed under ORS 128.610 to 128.769;

(e) Willfully failing to provide the Attorney General, in a timely manner, upon request, documents or information necessary for the Attorney General to:

(A) Substantiate representations, statements, or information contained in a registration statement, annual report or other document filed pursuant to ORS 128.610 to 128.769;

(B) Establish and maintain the register required under ORS 128.650; or

(C) Establish that a charitable organization has properly applied charitable funds received by the organization; or

(f) Failing to appear or otherwise comply with an order issued under ORS 128.690.

(2) Civil penalties for violations of ORS 128.610 to 128.769 or related rules may be imposed against the charitable organization or upon a charitable fiduciary responsible for the violation.

(3) The charitable organization or charitable fiduciary receiving a notice of imposition of civil penalty shall, upon written request be entitled to a contested case hearing before the Attorney General or his designee to dispute the imposition of the penalty or to submit evidence in mitigation. The hearing shall be held and the Attorney General's order may be appealed in accordance with the procedure for contested cases provided in ORS Chapter 183.

(4) The Attorney General may file a certified copy of the original notice assessing civil penalties, or of the order entered after hearing, with the clerk of any circuit court in the state, after expiration of the time to request a hearing, or expiration of the time in which to appeal, or after final determination of the matter on appeal, whichever is appropriate, and such notice or order shall be docketed in the judgment docket and may be enforced in the same manner as a judgment.

Stat. Auth.: ORS 128. 670, 128.876
Stats. Implemented: ORS 128.670(8), SB 109 (2007)
Hist.: 1AG 15, f. & ef. 5-27-76; 1AG 2-1981, f. & ef. 12-1-81; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 7-2008, f. & cert. ef. 4-22-08; DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0034

Mitigating and Aggravating Factors to be Considered

In establishing the amount of any civil penalty to be imposed, the Attorney General may consider the following factors and shall cite those found applicable:

(1) The past history of the charitable organization or charitable fiduciary in connection with compliance with the requirements of ORS 128.610 to 128.769 and timely filing of required reports or documentation.

(2) Whether the cause of the violation was unavoidable, or was due to negligence or the willful or intentional act of the charitable organization or charitable fiduciary.

(3) The opportunity and degree of difficulty to correct the violation.

(4) The cooperativeness and efforts made by the charitable organization or charitable fiduciary to correct the violation for which the civil penalty is to be imposed.

(5) The cost to the Department of Justice and time involved in investigation and correspondence prior to the time the violation is actually corrected.

(6) Any other relevant factor.

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.670(8)
Hist.: 1AG 15, f. & ef. 5-27-76; 1AG 1-1981, f. & ef. 12-1-81; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 8-2015, f. & cert. ef. 7-1-15

Miscellaneous

137-010-0040

Place of Filing

Registration and annual reports required under ORS Chapter 128 shall be submitted to the Charitable Activities Section, Oregon Department of Justice, 1515 S.W. 5th, Suite 410, Portland, Oregon 97201-5451.

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.650, 128.660, 128.670, 128.802, 128.804, 128.807, 128.812, 128.821, 128.826 & 128.841
Hist.: JD 2-1982, f. & ef. 12-30-82; JD 1-1990, f. & cert. ef. 1-25-90; DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0041

Model APA Rules and Definitions

(1) The Attorney General's Model Rules of Procedure Under the Administrative Procedures Act, effective March 2015, are by this reference adopted as the rules and procedures for carrying out the applicable administrative provisions of the Charitable Solicitations Act (ORS 128.801 to 128.898 and 128.995) and ORS 128.610 to 128.769 and 128.896), except as otherwise specifically provided herein.

(2) As used in the Charitable Solicitations Act and these rules, solicitation "campaign" means the day the first solicitation, as defined in ORS 128.801(6), is made until the later of the following dates:

(a) The last day a solicitation is made; or

(b) The day that an entertainment event, if any, occurs in conjunction with the solicitations.

(3) As used in ORS 128.821(3), "personal address" means the street address of a person's dwelling, house or usual place of abode.

(4) As used in the Charitable Solicitations Act, "clear and conspicuous" means that a message is conveyed in a manner that is readily noticeable and will be readily understood by a person being solicited. The location of a written statement on the reverse side of a document is rebuttably presumed not to be conspicuous.

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.670(8)(b), 128.801(6), 128.821(3) & 128.871
Hist.: JD 1-1990, f. & cert. ef. 1-25-90; JD 5-1991, f. & cert. ef. 10-22-91; DOJ 8-2015, f. & cert. ef. 7-1-15

137-010-0043

Denial of Registration or Revocation of Registration of Commercial Fund Raising Firm or Professional Fund Raising Firm

(1) After notice and opportunity for hearing as provided in ORS 183.310 et seq., the Attorney General may deny registration or revoke any registration issued to a commercial fund raising firm or professional fund raising firm. The Attorney General shall deny the registration within ten days of receipt of a completed application or the registration shall be deemed to be approved. A hearing shall be granted within 30 days of receipt of a written request for a hearing from the applicant.

(2) The Attorney General may revoke a firm's registration or deny a registration application if the Attorney General finds:

(a) A material misrepresentation or false statement in the application for registration or other statement filed with the Attorney General, as provided in the Charitable Solicitations Act or these rules; or

(b) Any material violation of ORS 128.821 to 128.861, 128.886 and 128.891 or the rules adopted by the Attorney General pursuant to the Charitable Solicitations Act.

(3) A "material misrepresentation" or a "material violation" will be determined on the facts in each individual case. However, the following circumstances shall always constitute material violations:

(a) The failure to complete and file a fund raising notice with the Attorney General as required by ORS 128.826 or Section 18, Chapter 532, Oregon Laws 1991, prior to making solicitations;

(b) The use of solicitation materials in the course of a solicitation campaign which do not contain the disclosures required by Sections 6 or 20, Chapter 532, Oregon Laws 1991.

(4) A false statement is any statement contrary to truth or fact.

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.871
Hist.: JD 1-1990, f. & cert. ef. 1-25-90; JD 5-1991, f. & cert. ef. 10-22-91

137-010-0044

Refund of Fees

Any refund of $10 or less of a filing fee paid pursuant to the Charitable Solicitations Act or the Charitable Trust and Corporation Act shall be made only upon a written request from a representative of the organization which overpaid the fee. Unless the Department of Justice, in its discretion, agrees to waive the fee, the department shall retain a fee of $25 to process refunds of overpayments of fees paid pursuant to ORS 128.670(7). The department is not required to process refunds as described above, if the amount of the refund due does not exceed $25.

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.670
Hist.: JD 1-1990, f. & cert. ef. 1-25-90; JD 5-1991, f. & cert. ef. 10-22-91

Charitable Solicitation Registration and Reporting Requirements

137-010-0045

Professional Fund Raising Firm Status

(1) "Professional fund raising firm" means any sole proprietorship, partnership, corporation or any other legal entity, organized for profit or as a nonprofit mutual benefit corporation, who, for compensation or other consideration, manages or conducts the solicitation of funds, not including commercial fund raising solicitations, on behalf of any nonprofit organization.

(2) Professional fund raising firm status is evidenced by one or more of the following characteristics:

(a) Access to contributions or other receipts from a solicitation and/or authority to pay expenses associated with the solicitation, including amounts owed to the professional fund raising firm or third party vendors;

(b) Conducting direct solicitations of pro-spective donors, whether in person or by telephone and whether such solicitations are performed personally or through employees or agents;

(c) Advising nonprofit organizations with regard to the volume, targeting, duration or content of a direct mail solicitation campaign and also having primary responsibility for the campaign's production.

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.801(5)
Hist.: JD 5-1991, f. & cert. ef. 10-22-91

137-010-0050

Professional Fund Raising Firm Registration and Reports

(1) Any person required by Section 17, Chapter 532, Oregon Laws 1991 to register as a professional fund raising firm shall pay an annual registration fee as provided in that section and shall complete and file Form PF-20, "State of Oregon Annual Registration Statement of Professional Fund Raising Firm" with the Attorney General. This procedure shall apply to both new registrations and registration renewals. In addition to the items listed in Section 17, a completed form shall include a confirmation that the applicant has registered with the Oregon Secretary of State's Corporation Division, if it is a foreign corporation, and has registered any assumed business names with that same office, if such registrations are required by ORS 60.701.

(2) At least ten days prior to undertaking each solicitation campaign, a professional fund raising firm shall complete and file Form PF-21, "Professional Fund Raising Firm Solicitation Campaign Notice", as required by Section 18, Chapter 532, Oregon Laws 1991.

(3) Professional fund raising firms required by Section 21, Chapter 532, Oregon Laws 1991, to file financial reports shall complete and file Form PF-22, "Professional Fund Raising Firm Solicitation Campaigns Financial Reports" with the Attorney General.

(4) A person who conducts activities as both a commercial fund raising firm and a professional fund raising firm may operate under either registration.

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

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.802, ORS 128.804 & ORS 128.812
Hist.: JD 5-1991, f. & cert. ef. 10-22-91

137-010-0055

Commercial Fund Raising Firm Registration and Reports

(1) Any person required by ORS 128.821 to register as a commercial fund raising firm shall pay an annual registration fee as provided in ORS 128.821 and shall complete and file Form PF-10, "State of Oregon Annual Registration Statement of Commercial Fund Raising Firm", with the Attorney General. This procedure shall apply to both new registrations and registration renewals. In addition to the items listed in ORS 128.821(3) a completed form shall include a confirmation that the applicant has registered with the Oregon Secretary of State's Corporation Division, if it is a foreign corporation, and has registered any assumed business names with that same office.

(2) At least ten days prior to undertaking each solicitation campaign, a commercial fund raising firm shall complete and file Form PF-11, "Commercial Fund Raising Firm Solicitation Campaign Notice", as required by ORS 128.826.

(3) Commercial fund raising firms required by ORS 128.841 to file financial reports shall complete and file Form PF-12, "Commercial Fund Raising Firm Solicitation Campaign Financial Report", with the Attorney General.

(4) A person who conducts activities as both a commercial fund raising firm and a professional fund raising firm may operate under either registration.

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

Stat. Auth.: ORS 128.876
Stats. Implemented: ORS 128.821, ORS 128.826 & ORS 128.841
Hist.: JD 1-1990, f. & cert. ef. 1-25-90; JD 5-1991, f. & cert. ef. 10-22-91; Renumbered from 137-010-0039

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Oregon State Archives • 800 Summer St. NE • Salem, OR 97310