[Senate Document 106-16]
[From the U.S. Government Printing Office]
106th Congress
2d Session S. Doc. 106-16
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Nomination and
Election
of the President and
Vice President
of the United States, 2000
Including the Manner of Selecting
Delegates to
National Party Conventions
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By L. Paige Whitaker, Jack Maskell, Margaret M. Lee, Robert B.
Burdette, John Contrubis, T.J. Halstead, and Jon Shimabukuro,
Legislative Attorneys, and Gloria P. Sugars, Paralegal and Coordinator,
Congressional Research Service, Library of Congress,
for the Committee on Rules and Administration,
United States Senate
January 2000
U.S. Government Printing Office, Washington: 2000
106th Congress
2d Session S. Doc. 106-16
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Nomination and Election of the President and Vice President
of the United States, 2000
Including the Manner of Selecting
Delegates to
National Party Conventions
-----------------------------------------------------------------------
By L. Paige Whitaker, Jack Maskell, Margaret M. Lee, Robert B.
Burdette, John Contrubis, T.J. Halstead, and Jon Shimabukuro,
Legislative Attorneys, and Gloria P. Sugars, Paralegal and Coordinator,
Congressional Research Service, Library of Congress,
for the Committee on Rules and Administration,
United States Senate
January 2000
U.S. Government Printing Office, Washington: 2000
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For sale by the U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
COMMITTEE ON RULES AND ADMINISTRATION
MITCH McCONNELL, Kentucky, Chairman
JESSE HELMS, North Carolina CHRISTOPHER J. DODD, Connecticut
TED STEVENS, Alaska ROBERT C. BYRD, West Virginia
JOHN WARNER, Virginia DANIEL K. INOUYE, Hawaii
THAD COCHRAN, Mississippi DANIEL PATRICK MOYNIHAN, New York
RICK SANTORUM, Pennsylvania DIANNE FEINSTEIN, California
DON NICKLES, Oklahoma ROBERT G. TORRICELLI, New Jersey
TRENT LOTT, Mississippi CHARLES E. SCHUMER, New York
KAY BAILEY HUTCHISON, Texas
Tamara S. Somerville, Staff Director
G. Hunter Bates, Chief Counsel
Kennie L. Gill, Democratic Staff Director and Chief Counsel
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SENATE RESOLUTION 236
In the Senate of the United States
November 19, 1999
Resolved, That the Committee on Rules and Administration
shall prepare a revised edition of the document entitled
Nomination and Election of the President and Vice President of
the United States, Senate Document 102-14, and that such
document shall be printed as a Senate document.
Sec. 2. There shall be printed, beyond the usual number,
six hundred additional copies of the document specified in the
first section for the use of the Committee on Rules and
Administration.
Attest:
Gary Sisco,
Secretary
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FOREWORD
This document is a compilation of the constitutional provisions,
federal and state laws, and rules of the two major political parties
governing the nomination and election of the President and Vice
President of the United States. It lists the states holding
presidential preference primaries and the dates of such primaries; it
also describes the manner of selecting delegates to the national
conventions, the dates such selections are to be made, and the number
of delegates to be selected. Two surveys of the rules of the major
political parties and of the election laws of the fifty states and the
District of Columbia are included relating to the selection of
delegates to the national nominating conventions and to the nomination
and election of electors of the President and Vice President. Abstracts
of the laws relating to minor and new parties and independent
candidates are also included in the surveys.
The information contained here is based on the federal and state laws
in effect as of October 1, 1999. There have been many changes in the
election laws of the states since the 1992 presidential election.
Various state laws referred to in this document may have been amended
subsequent to publication; similarly, political party constitutions,
rules and delegates selection plans may also have been amended. Every
effort has been made to provide the latest statutes, party rules and
delegate selection plans.
The analysis of election laws and party rules was prepared by L. Paige
Whitaker, Jack Maskell, Margaret M. Lee, Robert B. Burdette, John
Contrubis, T.J. Halstead, Jon Skimabukuro, legislative attorneys, and
paralegal Gloria P. Sugars, coordinator, of the American Law Division,
Congressional Research Service, Library of Congress for the Senate
Committee on Rules and Administration, under the supervision of Ellen
M. Lazarus Deputy Assistant Director, and Richard C. Ehkle, Assistant
Director of the American Law Division.
Nomination and Election
Nomination and Election
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CONTENTS
Foreword, III
Table of Contents, V
Important Dates, VII
Part I. Federal Constitutional Provisions and Laws Governing
the Election of the President and Vice President of the
United States, 1
A. United States Constitution, 1
B. Election of the President (Title 3, United States Code), 5
C. Voting Rights Act Amendments of 1970--Residence Requirements
(Title 42, United States Code), 13
D. Campaign Financing Reporting and Disclosure (Title 2, United
States Code), 16
E. Financial Disclosure Requirements of Executive Personnel,
Including Candidates for Nomination or Election to the Office
of President or Vice President (Title 5, United States Code
Appendix), 61
F. Political Activities: Federal Employees (Title 5, United
States Code), 87
G. Political Activities: State and Local Employees (Title 5,
United States Code), 91
H. Criminal Code Provisions (Title 18, United States Code), 96
I. Internal Revenue Code, Political Campaign Debts and
Contributions (Title 26, United States Code), 106
J. Public Financing of Presidential Elections (Title 26, United
States Code), 113
K. Communications Media (Title 47, United States Code), 139
Part II. Nomination of the President and Vice President, 141
A. Calendar for Party Caucuses/Conventions and Presidential
Primaries, 141
B. Background, 142
C. Significant Court Decisions Affecting Delegate Selection
Procedures and the Convention System, 146
D. FEC Regulations on Delegates and Delegate Committees, 150
E. 1992 Democratic Party Delegate Selection Rules, 157
F. Rules of the Republican Party Relating to the Convening of
the 2000 National Convention, 216
Part III. Survey of State Laws and of Party Rules Regulating
the Selection of Delegates to the National Nominating
Conventions, 233
A. Delegate Selection for the States, 233
B. Delegate Selection for Citizens Abroad and the Territories,
308
Part IV. State Laws Relating to the Nomination and Election
of Presidential Electors, 310
A. Table of State Electoral College Votes, 310
B. Background, 310
C. Summary of State Laws Relating to Presidential Electors, 313
Part V. Presidential Succession, 395
A. Death or Disability of a President, 395
B. Death of a President-Elect, 399
Part VI. Tables Relating to Various Aspects of the Nomination
and Election of the President and Vice President, 409
1. Presidents and Vice Presidents of the United States and the
Congress Coincident with Their Terms, 410
2. Electoral Vote for President and Vice President, by Major
Political Parties--States: 1956 to 1996, 411
3. Vote for President--Popular Vote Cast for President, by
Political Parties--Regional and States 1976 to 1996, 412
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IMPORTANT DATES
August 14-17, 2000--Democratic National Convention in Los Angeles,
California.
July 29-August 4, 2000--Republican National Convention in Philadelphia,
Pennsylvania.
November 7, 2000--General Election in all States.
December 18, 2000--Date of meeting of electors (Electoral College).
January 6, 2001--Counting of electoral votes by joint session of
Congress.
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Dates for Party Caucuses/Conventions and Presidential Primaries in 2000
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Presidential
Dates Caucus/Convention Primaries
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January 24...................... Iowa.............. ..................
February 1...................... .................. New Hampshire
February 5...................... .................. Delaware (D)
February 8...................... .................. Delaware (R)
February 19..................... .................. South Carolina (R)
February 22..................... .................. Arizona, Michigan
February 26..................... American Samoa, ..................
Guam, Virgin
Islands
(Republican only).
February 29..................... North Dakota (R).. Virginia,
Washington
March 5......................... .................. Puerto Rico (R)
March 7......................... American Samoa California,
(D), Hawaii (D), Connecticut,
Minnesota, North Georgia, Maine,
Dakota (D). Maryland,
Massachusetts,
Missouri, New
York, Ohio, Rhode
Island, Vermont
March 9......................... .................. South Carolina (D)
March 10........................ .................. Colorado, Utah,
Wyoming
March 11........................ Michigan (D)...... Arizona (D)
March 12........................ .................. Puerto Rico (D)
March 14........................ .................. Florida,
Louisiana,
Mississippi,
Oklahoma,
Tennessee, Texas
March 21........................ .................. Illinois
April 1......................... Virgin Islands (D) ..................
April 4......................... .................. Kansas,
Pennsylvania,
Wisconsin
May 2........................... .................. District of
Columbia,
Indiana, North
Carolina
May 6........................... Guam (D).......... ..................
May 9........................... .................. Nebraska, West
Virginia
May 16.......................... .................. Oregon
May 19.......................... Alaska (R) ..................
Convention,
Hawaii.
May 19-21....................... Nevada (D) ..................
Convention.
May 20.......................... Alaska (D) ..................
Convention.
May 23.......................... .................. Arkansas, Idaho,
Kentucky
May 25.......................... Nevada (R) ..................
Convention.
June 3.......................... Virginia (D) ..................
Convention.
June 6.......................... .................. Alabama, Montana,
New Jersey, New
Mexico, South
Dakota
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Nomination and Election
Nomination and Election
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PART I. FEDERAL CONSTITUTIONAL PROVISIONS AND LAWS GOVERNING THE
ELECTION OF THE PRESIDENT AND VICE PRESIDENT OF THE UNITED STATES
A. United States Constitution
ARTICLE II--THE PRESIDENT
Section 1. The executive Power shall be vested in a President of the
United States of America. He shall hold his Office during the Term of
four Years, and, together with the Vice-President, chosen for the same
Term, be elected, as follows: Each State shall appoint, in such Manner
as the Legislature thereof may direct, a Number of Electors, equal to
the whole Number of Senators and Representatives to which the State may
be entitled in the Congress; but no Senator or Representative, or
Person holding an Office of Trust or Profit under the United States,
shall be appointed an Elector.
The Congress may determine the Time of choosing the Electors, and the
Day on which they shall give their Votes; which Day shall be the same
throughout the United States. No person except a natural born Citizen,
or a Citizen of the United States, at the time of the Adoption of this
Constitution, shall be eligible to the Office of President; neither
shall any Person be eligible to that Office who shall not have attained
to the Age of thirty-five Years, and been fourteen Years a Resident
within the United States.
AMENDMENT XII--PRESIDENTIAL ELECTORS
The electors shall meet in their respective States and vote by ballot
for President and Vice President, one of whom, at least, shall not be
an inhabitant of the same State with themselves; they shall name in
their ballots the person voted for as President, and in distinct
ballots the person voted for as Vice President, and they shall make
distinct lists of all persons voted for as President, and of all
persons voted for as Vice President, and of the number of votes for
each, which lists they shall sign and certify, and transmit sealed to
the seat of the government of the United States, directed to the
President of the Senate;--The President of the Senate shall, in the
presence of the Senate and House of Representatives, open all the
certificates and the votes shall then be counted;--The person having
the greatest number of votes for President, shall be the President, if
such number be a majority of the whole number of Electors appointed;
and if no person have such majority; then from the persons having the
highest numbers not exceeding three on the list of those voted for as
President, the House of Representatives shall choose immediately, by
ballot, the President. But in choosing the President, the votes shall
be taken by States, the representation from each State having one vote;
a quorum for this purpose shall consist of a member or members from
two-thirds of the States, and a majority of all the States shall be
necessary to a choice. And if the House of Representatives shall not
choose a President whenever the right of choice shall devolve upon
them, before the fourth day of March next following, then the Vice
President shall act as President, as in the case of the death or other
constitutional disability of the President. The person having the
greatest number of votes as Vice President, shall be the Vice
President, if such number be a majority of the whole number of Electors
appointed, and if no person have a majority, then from the two highest
numbers on the list, the Senate shall choose the Vice President; a
quorum for the purpose shall consist of two-thirds of the whole number
of Senators, and a majority of the whole number shall be necessary to a
choice. But no person constitutionally ineligible to the office of
President shall be eligible to that of Vice President of the United
States.
AMENDMENT XX--COMMENCEMENT OF THE TERMS OF THE PRESIDENT, VICE
PRESIDENT, AND MEMBERS OF CONGRESS
Section 1. The terms of the President and Vice President shall end at
noon on the 20th day of January, and the terms of Senators and
Representatives at noon on the 3d day of January, of the years in which
such terms would have ended if this article had not been ratified; and
the terms of their successors shall then begin.
Section 2. The Congress shall assemble at least once in every year, and
such meeting shall begin at noon on the 3d day of January, and unless
they shall by law appoint a different day.
Section 3. If, at the time fixed for the beginning of the term of the
President, the President elect shall have died, the Vice President
elect shall become President. If a President shall not have been chosen
before the time fixed for the beginning of his term, or if the
President elect shall have failed to qualify, then the Vice President
elect shall act as President until a President shall have qualified;
and the Congress may by law provide for the case wherein neither a
President elect nor a Vice President elect shall have qualified,
declaring who shall then act as President, or the manner in which one
who is to act shall be selected, and such person shall act accordingly
until a President or Vice President shall have qualified.
Section 4. The Congress may by law provide for the case of the death of
any of the persons from whom the House of Representatives may choose a
President whenever the right of choice shall have devolved upon them,
and for the case of the death of any of the persons from whom the
Senate may choose a Vice President whenever the right of choice shall
have devolved upon them.
Section 5. Sections 1 and 2 shall take effect on the 15th day of
October following the ratification of this article.
Section 6. This article shall be inoperative unless it shall have been
ratified as an amendment to the Constitution by the legislatures of
three-fourths of the several States within seven years from the date of
its submission.
AMENDMENT XXII--LIMITATION ON PRESIDENTIAL TERMS
Section 1. No person shall be elected to the office of the President
more than twice, and no person who has held the office of President or
acted as President, for more than two years of a term to which some
other person was elected President shall be elected to the office of
the President more than once. But this Article shall not apply to any
person holding the office of President when this Article was proposed
by the Congress, and shall not prevent any person who may be holding
the office of President, or acting as President, during the term within
which this Article becomes operative from holding the office of
President or acting as President during the remainder of such term.
AMENDMENT XXIII--PRESIDENTIAL ELECTORS FOR DISTRICT OF COLUMBIA
Section 1. The District constituting the seat of Government of the
United States shall appoint in such manner as the Congress may direct:
A number of electors of President and Vice President equal to the whole
number of Senators and Representatives in Congress to which the
District would be entitled if it were a State, but in no event more
than the least populous State; they shall be in addition to those
appointed by the States, but they shall be considered, for the purposes
of the election of President and Vice President, to be electors
appointed by a State; and they shall meet in the District and perform
such duties as provided by the twelfth article of amendment.
Section 2. The Congress shall have the power to enforce this article by
appropriate legislation.
AMENDMENT XXIV--BAN ON POLL TAX
Section 1. The right of citizens of the United States to vote in any
primary or other election for President or Vice President, for electors
for President or Vice President, or for Senator or Representative in
Congress, shall not be denied or abridged by the United States or any
State by reason of failure to pay any poll tax or other tax.
Section 2. The Congress shall have power to enforce this article by
appropriate legislation.
AMENDMENT XXV--SUCCESSION TO PRESIDENCY AND VICE PRESIDENCY: INABILITY
OF PRESIDENT
Section 1. In case of the removal of the President from office or of
his death or resignation, the Vice President shall become President.
Section 2. Whenever there is a vacancy in the office of the Vice
President, the President shall nominate a Vice President who shall take
office upon confirmation by a majority vote of both Houses of Congress.
Section 3. Whenever the President transmits to the President pro
tempore of the Senate and the Speaker of the House of Representatives
his written declaration that he is unable to discharge the powers and
duties of his office, and until he transmits to them a written
declaration to the contrary, such powers and duties shall be discharged
by the Vice President as Acting President.
Section 4. Whenever the Vice President and a majority of either the
principal officers of the executive departments or of such other body
as Congress may by law provide, transmit to the President pro tempore
of the Senate and the Speaker of the House of Representatives their
written declaration that the President is unable to discharge the
powers and duties of his office, the Vice President shall immediately
assume the powers and duties of the office as Acting President.
Thereafter, when the President transmits to the President pro tempore
of the Senate and the Speaker of the House of Representatives his
written declaration that no inability exists, he shall resume the
powers and duties of his office unless the Vice President and a
majority of either the principal officers of the executive department
or of such other body as Congress may be law provide, transmit within
four days to the President pro tempore of the Senate and the Speaker of
the House of Representatives their written declaration that the
President is unable to discharge the powers and duties of his office.
Thereupon Congress shall decide the issue, assembling within forty-
eight hours for that purpose if not in session. If the Congress, within
twenty-one days after receipt of the latter written declaration, or, if
Congress is not in session, within twenty-one days after Congress is
required to assemble, determines by two-thirds vote of both Houses that
the President is unable to discharge the powers and duties of his
office, the Vice President shall continue to discharge the same as
Acting President; otherwise, the President shall resume the powers and
duties of his office.
AMENDMENT XXVI--RIGHT TO VOTE--CITIZENS EIGHTEEN YEARS OF AGE OR OLDER
Section 1. The right of citizens of the United States, who are eighteen
years of age or older, to vote shall not be denied or abridged by the
United States or by any State on account of age.
Section 2. The Congress shall have power to enforce this article by
appropriate legislation.
B. Election of the President (Title 3, United States Code)
3 U.S.C. Sec. 1. Time of Appointing Electors.
The electors of President and Vice President shall be appointed, in
each State, on the Tuesday next after the first Monday in November, in
every fourth year succeeding every election of a President and Vice
President. (June 25, 1948, ch. 644, 62 Stat. 672.)
3 U.S.C. Sec. 2. Failure to Make Choice on Prescribed Day.
Whenever any State has held an election for the purpose of choosing
electors, and has failed to make a choice on the day prescribed by law,
the electors may be appointed on a subsequent day in such a manner as
the legislature of such State may direct. (June 25, 1948, ch. 644, 62
Stat. 672.)
3 U.S.C. Sec. 3. Number of Electors.
The number of electors shall be equal to the number of Senators and
Representatives to which the several States are by law entitled at the
time when the President and Vice President to be chosen come into
office; except, that where no apportionment of Representatives had been
made after any enumeration, at the time of choosing electors, the
number of electors shall be according to the then existing
apportionment of Senators and Representatives. (June 25, 1948, ch. 644,
62 Stat. 672.)
3 U.S.C. Sec. 4. Vacancies in Electoral College.
Each State may, by law, provide for the filing of any vacancies which
may occur in its college of electors when such college meets to give
its electoral vote. (June 25, 1948, ch. 644, 62 Stat. 673.)
3 U.S.C. Sec. 5. Determination of Controversy as to Appointment of
Electors.
If any State shall have provided, by laws enacted prior to the day
fixed for the appointment of the electors, for its final determination
of any controversy or contest concerning the appointment of all or any
of the electors of such State, by judicial or other methods or
procedures, and such determinations made have been made at least six
days before the time fixed for the meeting of the electors, such
determination made pursuant to such law so existing on said day, and
made at least six days prior to said time of meeting of the electors,
shall be conclusive, and shall govern in the counting of the electoral
votes as provided in the Constitution, and as hereinafter regulated, as
far as the ascertainment of the electors appointed by such State is
concerned. (June 25, 1948, ch. 644, 62 Stat. 673.)
3 U.S.C. Sec. 6. Credentials of Electors, Transmission to Administrator
of General Services and to Congress; Public Inspection.
It shall be the duty of the executive of each State, as soon as
practicable after the conclusion of the appointment of the electors in
such State by the final ascertainment under and in pursuance of the
laws of such State providing for such ascertainment, to communicate by
registered mail under the seal of the State of the Administrator of
General Services a certificate of such ascertainment of the electors
appointed, setting forth the names of such electors and the canvass or
other ascertainment under the laws of such State of the number of votes
given or cast for each person for whose appointment any and all votes
have been given or cast; and it shall also thereupon be the duty of the
executive of each State to deliver to the electors of such State, on or
before the day on which they are required by section 7 of this title to
meet, six duplicate-originals of the same certificate under the seal of
the State; and if there shall have been any final determination in a
State in the manner provided for by law of a controversy or contest
concerning the appointment of all or any of the electors of such State,
it shall be the duty of the executive of such State, as soon as
practicable after such determination, to communicate under the seal of
the State to the Administrator of General Services a certificate of
such determination in form and manner as the same shall have been made;
and the certificate or certificates so received by the Administrator of
General Services shall be preserved by him for one year and shall be a
part of the public records of his office and shall be open to public
inspection; and the Administrator of General Services at the first
meeting of Congress thereafter shall transmit to the two Houses of
Congress copies in full of each and every such certificate so received
at the General Services Administration. (June 25, 1948, ch. 644, 62
Stat. 673; Oct. 31, 1951, ch. 655, Sec. 6, 65 Stat. 711.)
3 U.S.C. Sec. 7. Meeting and Vote of Electors.
The electors of President and Vice President of each State shall meet
and give their votes on the first Monday after the second Wednesday in
December next following their appointment at such place in each State
as the legislature of such State shall direct. (June 25, 1948, ch. 644,
62 Stat. 673.)
3 U.S.C. Sec. 8. Manner of Voting.
The electors shall vote for President and Vice President, respectively,
in the manner directed by the Constitution. (June 25, 1948, ch. 644, 62
Stat. 674.)
3 U.S.C. Sec. 9. Certificates of Votes for President and Vice
President.
The electors shall make and sign six certificates of all the votes
given by them, each of which certificates shall contain two distinct
lists, one of the votes for President and the other of the votes for
Vice President, and shall annex to each of the certificates one of the
lists of the electors which shall have been furnished to them by
direction of the executive of the State. (June 25, 1948, ch. 644, 62
Stat. 674.)
3 U.S.C. Sec. 10. Sealing and Endorsing Certificates.
The electors shall seal up the certificates so made by them, and
certify upon each that the lists of all the votes of such State given
for President, and of all the votes given Vice President, are contained
therein. (June 25, 1948, ch. 644, 62 Stat. 674.)
3 U.S.C. Sec. 11. Disposition of Certificates.
The electors shall dispose of the certificates so made by them and the
lists attached thereto in the following manner:
First. They shall forthwith forward by registered mail one of the same
to the President of the Senate at the seat of government.
Second. Two of the same shall be delivered to the secretary of state of
the State, one of which shall be held subject to the order of the
President of the Senate, the other to be preserved by him for one year
and shall be a part of the public records of his office and shall be
open to public inspection.
Third. On the day thereafter they shall forward by registered mail two
of such certificates and lists to the Administrator of General Services
at the seat of government, one of which shall be held subject to the
order of the President of the Senate. The other shall be preserved by
the Administrator of General Services for one year and shall be a part
of the public records of his office and shall be open to public
inspection.
Fourth. They shall forthwith cause the other of the certificates and
lists to be delivered to the judge of the district in which the
electors shall have assembled. (June 25, 1948, ch. 644, 62 Stat. 674;
Oct. 31, 1951, ch. 655 Sec. 7, 65 Stat. 712.)
3 U.S.C. Sec. 12. Failure of Certificates of Electors to Reach
President of Senate or Administrator of General Services; Demand on
State for Certificate.
When no certificate of vote and list mentioned in sections 9 and 11 of
this title from any State shall have been received by the President of
the Senate or by the Administrator of General Services by the fourth
Wednesday in December, after the meeting of the electors shall have
been held, the President of the Senate or, if he be absent from the
seat of government, the Administrator of General Services shall
request, by the most expeditious method available, the secretary of
state of the State to send up the certificate and list lodged with him
by the electors of such State; and it shall be his duty upon receipt of
such request immediately to transmit same by registered mail to the
President of the Senate at the seat of government. (June 25, 1948, ch.
644, 62 Stat. 674; Oct. 31, 1951, ch. 655, Sec. 8, 65 Stat. 712.)
3 U.S.C. Sec. 13. Same; Demand on District Judge for Certificate.
When no certificate of votes from any State shall have been received at
the seat of government on the fourth Wednesday in December, after the
meeting of the electors shall have been held, the President of the
Senate or, if he be absent from the seat of government, the
Administrator of General Services shall send a special messenger to the
district judge in whose custody one certificate of votes from that
State has been lodged, and such judge shall forthwith transmit that
list by the hand of such messenger to the seat of government. (June 25,
1948, ch. 644, 62 Stat. 674; Oct. 31, 1951, ch. 655, Sec. 9, 65 Stat.
712.)
3 U.S.C. Sec. 14. Forfeiture for Messenger's Neglect of Duty.
Every person who, having been appointed, pursuant to section 13 of this
title, to deliver the certificates of the votes of the electors to the
President of the Senate, and having accepted such appointment, shall
neglect to perform the services required from him, shall forfeit the
sum of $1,000. (June 25, 1948, ch. 644, 62 Stat. 675.)
3 U.S.C. Sec. 15. Counting Electoral Votes in Congress.
Congress shall be in session on the sixth day of January succeeding
every meeting of the electors. The Senate and House of Representatives
shall meet in the Hall of the House of Representatives at the hour of 1
o'clock in the afternoon on that day, and the President of the Senate
shall be their presiding officer. Two tellers shall be previously
appointed on the part of the Senate and two on the part of the House of
Representatives, to whom shall be handed, as they are opened by the
President of the Senate, all the certificates and papers purporting to
be certificates of the electoral votes, which certificates and papers
shall be opened, presented, and acted upon in the alphabetical order of
the States, beginning with the letter A; and said tellers, having then
read the same in the presence and hearing of the two Houses, shall make
a list of the votes as they shall appear from the said certificates;
and the votes having been ascertained and counted according to the
rules of this subchapter provided, the result of the same shall be
delivered to the President of the Senate, who shall thereupon announce
the State of the vote, which announcement shall be deemed a sufficient
declaration of the persons, if any, elected President and Vice
President of the United States, and, together with a list of the votes,
be entered on the Journals of the two Houses. Upon such reading of any
such certificate or paper, the President of the Senate shall call for
objections, if any.
Every objection shall be made in writing, and shall state clearly and
concisely, and without argument, the ground thereof, and shall be
signed by at least one Senator and one Member of the House of
Representatives before the same shall be received. When all objections
so made to any vote or paper from a State shall have been received and
read, the Senate shall thereupon withdraw, and such objections shall be
submitted to the Senate for its decision; and the Speaker of the House
of Representatives shall, in like manner, submit such objections to the
House of Representatives for its decision; and no electoral vote or
votes from any State which shall have been regularly given by electors,
whose appointment has been lawfully certified to according to section
6 of this title from which but one return has been received shall be
rejected, but the two Houses concurrently may reject the vote or votes
when they agree that such vote or votes have not been so regularly
given by electors whose appointment has been so certified. If more than
one return or paper purporting to be a return from a State shall have
been received by the President of the Senate, those votes, and those
only, shall be counted which shall have been regularly given by the
electors who are shown by the determination mentioned in section 5 of
this title to have been appointed, if the determination in said section
provided for shall have been made, or by such successors or
substitutes, in case of a vacancy in the board of electors so
ascertained, as have been appointed to fill such vacancy in the mode
provided by the laws of the State; but in case there shall arise the
question which of two or more of such State authorities determining
what electors have been appointed, as mentioned in section 5 of this
title, is the lawful tribunal of such State, the votes regularly given
of those electors, and those only, of such State shall be counted whose
title as electors the two Houses, acting separately, shall concurrently
decide is supported by the decision of such State so authorized by its
law; and in such case of more than one return or paper purporting to be
a return from a State, if there shall have been no such determination
of the question in the State aforesaid, then those votes, and those
only, shall be counted which the two Houses shall concurrently decide
were cast by lawful electors appointed in accordance with the laws of
the State, unless the two Houses, acting separately, shall concurrently
decide such votes not to be the lawful votes of the legally appointed
electors of such State. But if the two Houses shall disagree in respect
of the counting of such votes, then, and in that case, the votes of the
electors whose appointment shall have been certified by the executive
of the State, under the seal thereof, shall be counted. When the two
Houses have voted, they shall immediately again meet, and the presiding
officer shall then announce the decision of the questions submitted. No
votes or papers from any other State shall be acted upon until the
objections previously made to the votes or papers from any State shall
have been finally disposed of. (June 25, 1948, ch. 644, 62 Stat. 675.)
3 U.S.C. Sec. 16. Same; Seats for Officers and Members of Two Houses in
Joint Meeting.
At such joint meeting of the two Houses seats shall be provided as
follows: For the President of the Senate the Speaker's chair; for the
Speaker, immediately upon his left; the Senators, in the body of the
Hall upon the right of the presiding officer; for the Representatives
in the body of the Hall not provided for the Senators; for the tellers,
Secretary of the Senate, and Clerk of the House of Representatives, at
the Clerk's desk; for the other officers of the two Houses, in front of
the Clerk's desk and upon each side of the Speaker's platform. Such
joint meeting shall not be dissolved until the count of electoral votes
shall be completed and the result declared; and no recess shall be
taken unless a question shall have arisen in regard to counting any
such votes, or otherwise under this subchapter, in which case it shall
be competent for either House, acting separately, in the manner
hereinbefore provided, to direct a recess of such House not beyond the
next calendar day, Sunday excepted at the hour of 10'clock in the
forenoon. But if the counting of the electoral votes and the
declaration of the result shall not have been completed before the
fifth calendar day next after such first meeting of the two Houses, no
further or other recess shall be taken by either House. (June 25, 1948,
ch. 644, 62 Stat. 676.)
3 U.S.C. Sec. 17. Same; Limit of Debate in Each House.
When the two Houses separate to decide upon an objection that may have
been made to the counting of any electoral vote or votes from any
State, or other question arising in the matter, each Senator and
Representative may speak to such objection or question five minutes,
and not more than once; but after such debate shall have lasted two
hours it shall be the duty of the presiding officer of each House to
put the main question without further debate. (June 25, 1948, ch. 644,
62 Stat. 676.)
3 U.S.C. Sec. 18. Same; Parliamentary Procedure at Joint Meeting.
While the two Houses shall be in meeting as provided in this chapter,
the President of the Senate shall have power to preserve order; and no
debate shall be allowed and no question shall be put by the presiding
officer except to either House on a motion to withdraw. (June 25, 1948,
ch. 644, 62 Stat. 676; Sept. 3, 1954, ch. 1263, Sec. 368, Stat. 1227.)
3 U.S.C Sec. 19. Vacancy in Offices of Both President and Vice
President; Officers Eligible to Act.
(a)(1) If, by reason of death, resignation, removal from office,
inability, or failure to qualify, there is neither a President nor Vice
President to discharge the powers and duties of the Office of
President, then the Speaker of the House of Representatives shall, upon
his resignation as Speaker and as Representative in Congress, act as
President.
(2) The same rule shall apply in the case of death, resignation,
removal from office, or inability of an individual acting as President
under this subsection.
(b) If, at the time when under subsection (a) of this section a Speaker
is to begin the discharge of the powers and duties of the office of
President, there is no Speaker, or the Speaker fails to qualify as
Acting President, then the President pro tempore of the Senate shall,
upon his resignation as President pro tempore and as Senator, act as
President.
(c) An individual acting as President under subsection (a) or
subsection (b) of this section shall continue to act until the
expiration of the then current Presidential term, except that--
(1) if his discharge of the powers and duties of the office is founded
in whole or in part on the failure of both the President-elect and the
Vice President-elect to qualify, then he shall act only until a
President or Vice President qualifies; and
(2) if his discharge of the powers and duties of the office is founded
in whole or in part on the inability of the President or Vice
President, then he shall act only until the removal of the disability
of one of such individuals.
(d)(1) If, by reason of death, resignation, removal from office,
inability, or failure to qualify, there is no President pro tempore to
act as President under subsection (b) of this section, then the officer
of the United States who is highest on the following list, and who is
not under disability to discharge the powers and duties of the office
of President shall act as President: Secretary of State, Secretary of
the Treasury, Secretary of Defense, Attorney General, Secretary of the
Interior, Secretary of Agriculture, Secretary of Commerce, Secretary of
Labor, Secretary of Health and Human Services, Secretary of Housing and
Urban Development, Secretary of Transportation, Secretary of Energy,
Secretary of Education, Secretary of Veterans' Affairs.
(2) An individual acting as President under this subsection shall
continue to do so until the expiration of the then current Presidential
term, but not after a qualified and prior-entitled individual is able
to act, except that the removal of the disability of an individual
higher on the list contained in paragraph (1) of this subsection or the
ability to qualify on the part of an individual higher on such list
shall not terminate his service.
(3) The taking of the oath of office by an individual specified in the
list in paragraph (1) of this subsection shall be held to constitute
his resignation from the office by virtue of the holding of which he
qualifies to act as President.
(e) Subsections (a), (b), and (d) of this section shall apply only to
such officers as are eligible to the office of President under the
Constitution. Subsection (d) of this section shall apply only to
officers appointed, by and with the advice and consent of the Senate,
prior to the time of the death, resignation, removal from office,
inability, or failure to qualify, of the President pro tempore, and
only to officers not under impeachment by the House of Representatives
at the time the powers and duties of the office of President devolve
upon them.
(f) During the period that any individual acts as President under this
section, his compensation shall be at the rate then provided by law in
the case of the President. (June 25, 1948, ch. 644, 62 Stat. 677; as
amended Sept. 9, 1965, Pub.L. 89-174, Sec. 6(a), 79 Stat. 669; Oct. 15,
1966, Pub.L. 89-670, Sec. 10(a), 80 Stat. 948; Aug. 12, 1970, Pub.L.
91-375, Sec. 6(b), 84 Stat. 775; Oct. 17, 1979, Pub.L. 96-88, title V,
Sec. 508(a), 93 Stat. 692.)
3 U.S.C. Sec. 20. Resignation or Refusal of Office.
The only evidence of a refusal to accept, or of a resignation of the
office of President or Vice President, shall be an instrument in
writing, declaring the same, and subscribed by the person refusing to
accept or resigning, as the case may be, and delivered into the office
of the Secretary of State. (June 25, 1948, ch. 644, 62 Stat. 678.)
3 U.S.C. Sec. 21. Definitions.
As used in this chapter the term--
(a) ``State'' includes the District of Columbia.
(b) ``executives of each State'' includes the Board of Commissioners of
the District of Columbia.
(Added Pub.L. 87-389, Sec. 2(a), Oct. 4, 1961, 75 Stat. 820.)
C. Voting Rights Act Amendments of 1970--Residence Requirements (Title
42, United States Code)
CHAPTER 20.--ELECTIVE FRANCHISE
In 1970 Congress enacted the Voting Rights Act Amendments of 1970
(Pub.L. 91-285, 84 Stat. 314), which provided in title II, section 202
for the abolition of durational residency requirements for voting in
presidential elections and required the States to provide for absentee
registration and voting in presidential elections:
42 U.S.C Sec. 1973aa-1. Residence Requirements for Voting.
(a) Congressional findings.
The Congress hereby finds that the imposition and application of the
durational residency requirement as a precondition to voting for the
offices of President and Vice President, and the lack of sufficient
opportunities for absentee registration and absentee balloting in
presidential elections--
(1) denies or abridges the inherent constitutional right of citizens to
vote for their President and Vice President;
(2) denies or abridges the inherent constitutional right of citizens to
enjoy their free movement across State lines;
(3) denies or abridges the privileges and immunities guaranteed to the
citizens of each State under article IV, section 2, clause 1, of the
Constitution;
(4) in some instances has the impermissible purpose or effect of
denying citizens the right to vote for such officers because of the way
they may vote;
(5) has the effect of denying to citizens the equality of civil rights,
and due process and equal protection of the law that are guaranteed to
them under the fourteenth amendment; and
(6) does not bear a reasonable relationship to any compelling State
interest in the conduct of presidential elections.
(b) Congressional declaration: durational residency requirement,
abolishment; absentee registration and balloting standards,
establishment.
Upon the basis of these findings, Congress declares that in order to
secure and protect the above-stated rights of citizens under the
Constitution, to enable citizens to better obtain the enjoyment of such
rights, and to enforce the guarantees of the fourteenth amendment, it
is necessary (1) to completely abolish the durational residency
requirement as a precondition to voting for President and Vice
President, and (2) to establish nationwide, uniform standards relative
to absentee registration and absentee balloting in presidential
elections.
(c) Prohibition of denial of rights to vote because of durational
residency requirement or absentee balloting.
No citizen of the United States who is otherwise qualified to vote in
any election for President and Vice President shall be denied the right
to vote for electors for President and Vice President, or for President
and Vice President, in such election because of the failure of such
citizen to comply with any durational residency requirement of such
State or political subdivision; nor shall any citizen of the United
States be denied the right to vote for electors for President and Vice
President, or for President and Vice President, in such election
because of the failure of such citizen to be physically present in such
State or political subdivision at the time of such election, if such
citizen shall have complied with the requirements prescribed by the law
of such State or political subdivision providing for the casting of
absentee ballots in such election.
(d) Registration: time for application; absentee balloting; time of
application and return of ballots.
For the purposes of this section, each State shall provide by law for
the registration or other means of qualification of all duly qualified
residents of such State who apply, not later than thirty days
immediately prior to any presidential election, for registration or
qualification to vote for the choice of electors for President and Vice
President in such election; and each State shall provide by law for the
casting of absentee ballots for the choice of electors for President
and Vice President, or for President and Vice President, by all duly
qualified residents of such State who may be absent from their election
district or unit in such State on the day such election is held and who
have applied therefor not later than seven days immediately prior to
such election and have returned such ballots to the appropriate
election official of such State not later than the time of closing of
the polls in such State on the day of such election.
(e) Change of residence; voting in person or by absentee ballot in
State of prior residence.
If any citizen of the United States who is otherwise qualified to vote
in any State or political subdivision in any election for President and
Vice President has begun residence in such State or political
subdivision after the thirtieth day next preceding such election and,
for that reason, does not satisfy the registration requirements of such
State or political subdivision he shall be allowed to vote for the
choice of electors for President and Vice President, or for President
and Vice President, in such election, (1) in person in the State or
political subdivision in which he resided immediately prior to his
removal if he had satisfied, as of the date of his change of residence,
the requirements to vote in that State or political subdivision, or (2)
by absentee ballot in the State or political subdivision in which he
resided immediately prior to his removal if he satisfies, but his
nonresident status and the reason for his absence, the requirements for
absentee voting in that State or political subdivision.
(f) Absentee registration requirement.
No citizen of the United States who is otherwise qualified to vote by
absentee ballot in any State or political subdivision in any election
for President and Vice President shall be denied the right to vote for
the choice of electors for President and Vice President, or for
President and Vice President, in such election because of any
requirement of registration that does not include a provision for
absentee registration.
(g) State or local adoption of less restrictive voting practices.
Nothing in this section shall prevent any State or political
subdivision from adopting less restrictive voting practices than those
that are prescribed herein.
(h) Definition of ``State''.
The term ``State'' as used in this section includes each of the several
States and the District of Columbia.
(i) False registration, and other fraudulent acts and conspiracies:
application of penalty for false information in registering or voting.
The provisions of section 1973i(c) of this title shall apply to false
registration, and other fraudulent acts and conspiracies, committed
under this section.
(Pub.L. 89-110, title II, Sec. 202, as added Pub.L. 91-285, Sec. 6,
June 22, 1970, 84 Stat. 316.)
D. Campaign Financing, Reporting and Disclosure (Title 2, United States
Code)
2 U.S.C. Sec. 431. Definitions.
When used in this Act:
(1) The term ``election'' means--
(A) a general, special, primary, or runoff election;
(B) a convention or caucus of a political party which has authority to
nominate a candidate;
(C) a primary election held for the selection of delegates to a
national nominating convention of a political party; and
(D) a primary election held for the expression of a preference for the
nomination of individuals for election to the office of President.
(2) The term ``candidate'' means an individual who seeks nomination for
election, or election, to Federal office, and for purposes of this
paragraph, an individual shall be deemed to seek nomination for
election, or election--
(A) if such individual has received contributions aggregating in excess
of $5,000 or has made expenditures aggregating in excess of $5,000; or
(B) if individual has given his or her consent to another person to
receive contributions or make expenditures on behalf of such individual
and if such person has received such contributions aggregating in
excess of $5,000 or has made such expenditures aggregating in excess of
$5,000.
(3) The term ``Federal office'' means the office of President or Vice
President, or of Senator or Representative in, or Delegate or Resident
Commissioner to, the Congress.
(4) The term ``political committee'' means--
(A) any committee, club, association, or other group of persons which
receives contributions aggregating in excess of $1,000 during a
calendar year or which makes expenditures aggregating in excess of
$1,000 during a calendar year; or
(B) any separate segregated fund established under the provisions of
section 441b(b) of this title; or
(C) any local committee of a political party which receives
contributions aggregating in excess of $5,000 during a calendar year,
or makes payments exempted from the definition of contribution or
expenditure as defined in paragraphs (8) and (9) of this section
aggregating in excess of $5,000 during a calendar year, or makes
contributions aggregating in excess of $1,000 during a calendar year or
makes expenditures aggregating in excess of $1,000 during a calendar
year.
(5) The term ``principal campaign committee'' means a political
committee designated and authorized by a candidate under section
432(e)(1) of this title.
(6) The term ``authorized committee'' means the principal campaign
committee or any other political authorized by a candidate under
section 432(e)(1) of this title. To receive contributions or make
expenditures on behalf of such candidate.
(7) The term ``connected organization'' means any organization which is
to a political committee but which directly or indirectly establishes,
administers, or financially supports a political committee.
(8)(A) The term ``contribution'' includes--
(i) any gift, subscription, loan, advance, or deposit of money or
anything of value made by any person for the purpose of influencing any
election for Federal office; or
(ii) the payment by any person of compensation for the personal
services of another person which are rendered to a political committee
without charge for any purpose.
(B) The term ``contribution'' does not include--
(i) the value of services provided without compensation by any
individual who volunteers on behalf of a candidate or political
committee;
(ii) the use of real or personal property, including a church or
community room used on a regular basis by members of a community for
noncommercial purposes, and the cost of invitations, food, and
beverages, voluntarily provided by an individual to any candidate or
any political committee of a political party in rendering voluntary
personal services on the individual's residential premises or in the
church or community room for candidate-related or political party-
related activities, to the extent that the cumulative value of such
invitations, food, and beverages provided by such individual on behalf
of any single candidate does not exceed $1,000 with respect to any
single election, and on behalf of all political committees of a
political party does not exceed $2,000 in any calendar year;
(iii) the sale of any food or beverage by a vendor for use in any
candidate's campaign or for use or by or on behalf of any political
committee of a political party at a charge less than the normal
comparable charge, if such charge is at least equal to the cost of such
food or beverage to the vendor, to the extent that the cumulative value
of such activity by such vendor on behalf of any single candidate does
not exceed $1,000 with respect to any single election and on behalf of
all political committees of a political party does not exceed $2,000 in
any calendar year;
(iv) any unreimbursed payment for travel expenses made by any
individual on behalf of any candidate or any political committee of a
political party, to the extent that the cumulative value of such
activity by such individual on behalf of any single candidate does not
exceed $1,000 with respect to any single election, and on behalf of all
political committees of a political party does not exeed $2,000 in any
calendar year;
(v) the payment by a State or local committee of a political party of
the costs of preparation, display, or mailing or other distribution
incurred by such committee with respect to a printed slate card or
sample ballot, or other printed listing, of 3 or more candidates for
any public office for which an election is held in the State in which
such committee is organized, except that this clause shall not apply to
any cost incurred by such committee with respect to a display of any
such listing made on broadcasting station, or in newspapers, magazines,
or similar types of general public political advertising;
(vi) any payment made or obligation incurred by a corporation or a
labor organization which, under section 441b(b) of this title, would
not constitute an expenditure by such corporation or labor
organization;
(vii) any loan of money by a State bank, a federally chartered
depository institution, or a depository institution the deposits or
accounts of which are insured by the Federal Deposit Insurance
Corporation, Federal Savings and Loan Insurance Corporation, or the
National Credit Union Administration, other than any overdraft made
with respect to a checking or savings account, made in accordance with
applicable law and in the ordinary course of business, but such loan--
(I) shall be considered a loan by each endorser or guarantor, in that
proportion of the unpaid balance that each endorser or guarantor bears
to the total number of endorsers or guarantors;
(II) shall be made on a basis which assures repayment, evidenced by a
written instrument, and subject to a due date or amortization schedule;
and
(III) shall bear the usual and customary interest rate of the lending
institution;
(viii) any gift, subscription, loan, advance, or deposit of money or
anything of value to a national or a State committee of a political
party specifically designated to defray any cost for construction or
purchase of any office facility not acquired for the purpose of
influencing the election of any candidate in any particular election
for Federal office;
(ix) any legal or accounting services rendered to or on behalf of--
(I) any political committee of a political party if the person paying
for such services is the regular employer or the person rendering such
services and if such services are not attributable to activities which
directly further the election of any designated candidate to Federal
office; or
(II) an authorized committee of a candidate or any other political
committee, if the person paying for such services is the regular
employer of the individual rendering such services and if such services
are solely for the purpose of ensuring compliance with this Act or
chapter 95 or chapter 96 of title 26.
but amounts paid or incurred by the regular employer for such legal or
accounting services shall be reported in accordance with section 434(b)
of this title by the committee receiving such services;
(x) the payment by a State or local committee of a political party of
the costs of campaign materials (such as pins, bumper stickers,
handbills, brochures, posters, party tabloids, and yard signs) used by
such committee in connection with volunteer activities on behalf of
nominees of such party: Provided, That--
(1) such payments are not for the costs of campaign materials or
activities used in connection with any broadcasting, newspaper,
magazine, billboard, direct mail, or similar type of general public
communication or political advertising;
(2) such payments are made from contributions subject to the
limitations and prohibitions of this Act; and
(3) such payments are not made from contributions designated to be
spent on behalf of a particular candidate or particular candidates;
(xi) the payment by a candidate, for nomination or election to any
public office (including State or local office), or authorized
committee of a candidate, of the costs of campaign materials which
include information on or reference to any other candidate and which
are used in connection with volunteer activities (including pins,
bumper stickers, handbills, brochures, posters, and yard signs, but not
including the use of broadcasting, newspapers, magazines, billboards,
direct mail, or similar types of general public communication or
political advertising): Provided, That such payments are made from
contributions subject to the limitations and prohibitions of this Act;
(xii) the payment by a State or local committee of a political party of
the costs of voter registration and get-out-the-vote activities
conducted by such committee on behalf of nominees of such party for
President and Vice President: Provided, That--
(1) such payments are not for the costs of campaign materials or
activities used in connection with any broadcasting, newspaper,
magazine, billboard, direct mail, or similar type of general public
communication or political advertising;
(2) such payments are made from contributions subject to the
limitations and prohibitions of this Act; and
(3) such payments are not made from contributions designated to be
spent on behalf of a particular candidate or candidates;
(xiii) payments made by a candidate or the authorized committee of a
candidate as a condition of ballot access and payments received by any
political party committee as a condition of ballot access; and
(xiv) any honorarium (within the meaning of section 441i of this
title).
(9)(A) The term ``expenditure'' includes--
(i) any purchase, payment, distribution, loan, advance, deposit, or
gift of money or anything of value, made by any person for the purpose
of influencing any election for Federal office; and
(ii) a written contract, promise, or agreement to make an expenditure.
(B) The term ``expenditure'' does not include--
(i) any news story, commentary, or editorial distributed through the
facilities of any broadcasting station, newspaper, magazine, or other
periodical publication, unless such facilities are owned or controlled
by any political party, political committee, or candidate;
(ii) nonpartisan activity designated to encourage individuals to vote
or to register to vote;
(iii) any communication by any membership organization or corporation
to its members, stockholders, or executive or administrative personnel,
if such membership organization or corporation is not organized
primarily for the purpose of influencing the nomination for election,
or election, of any individual to Federal office, except that the costs
incurred by a membership organization (including a labor organization)
or by a corporation directly attributable to a communication expressly
advocating the election or defeat of a clearly identified candidate
(other than a communication primarily devoted to subjects other than
the express advocacy of the election or defeat of a clearly identified
candidate), shall, if such costs exceed $2,000 for any election, be
reported to the Commission in accordance with section 434(a)(4)(A)(i)
of this title and in accordance with section 434(a)(4)(A)(ii) of this
title with respect to any general election;
(iv) the payment by a State or local committee of a political party of
the costs of preparation, display, or mailing or other distribution
incurred by such committee with respect to a printed slate card or
sample ballot, or other printed listing, of 3 or more candidates for
any public office for which an election is held in the State in which
such committee is organized, except that this clause shall not apply to
costs incurred by such committee with respect to a display of any such
listing made on broadcasting stations, or in newspapers, magazines, or
similar types of general public political advertising;
(v) any payment made or obligation incurred by a corporation or a labor
organization which, under section 441b(b) of this title, would not
constitute an expenditure by such corporation or labor organization;
(vi) any costs incurred by an authorized committee or candidate in
connection with the solicitation of contributions on behalf of such
candidate, except that this clause shall not apply with respect to
costs incurred by an authorized committee of a candidate in excess of
an amount equal to 20 percent of the expenditure limitation applicable
to such candidate under section 441a(b) but all such costs shall be
reported in accordance with section 434(b);
(vii) the payment of compensation for legal or accounting services--
(I) rendered to or on behalf of any political committee of a political
party if the person paying for such services is the regular employer of
the individual rendering such services, and if such services are not
attributable to activities which directly further the election of any
designated candidate to Federal office; or
(II) rendered to or on behalf of a candidate or political committee if
the person paying for such services is the regular employer of the
individual rendering such services, and if such services are solely for
the purpose of ensuring compliance with this Act or chapter 95 or
chapter 96 of title 26, but amounts paid or incurred by the regular
employer for such legal or accounting services shall be reported in
accordance with section 434(b) by the committee receiving such
services;
(viii) the payment by a State or local committee of a political party
of the costs of campaign materials (such as pins, bumper stickers,
handbills, brochures, posters, party tabloids, and yard signs) used by
such committee in connection with volunteer activities on behalf of
nominees of such part: Provided, That--
(1) such payments are not for the costs of campaign materials or
activities used in connection with any broadcasting, newspaper,
magazine, billboard, direct mail, or similar type of general public
communication or political advertising;
(2) such payments are made from contributions subject to the
limitations and prohibitions of this Act; and
(3) such payments are not made from contributions designated to be
spent on behalf of a particular candidate or particular candidates;
(ix) the payment by a State or local committee of a political party of
the costs of voter registration and get-out-the-vote activities
conducted by such committee on behalf of nominees of such party for
President and Vice President: Provided, That--
(1) such payments are not for the costs of campaign materials or
activities used in connection with any broadcasting, newspaper,
magazine, billboard, direct mail, or similar type of general public
communication or political advertising;
(2) such payments are made from contributions subject to the
limitations and prohibitions of this Act; and
(3) such payments are not made from contributions designated to be
spent on behalf of a particular candidate or candidates; and
(x) payments received by a political party committee as a condition of
ballot access which are transferred to another political party
committee or the appropriate State official.
(10) The term ``Commission'' means the Federal Election Commission.
(11) The term ``person'' includes an individual partnership, committee,
association, corporation, labor organization, or any other organization
or group of persons, but such term does not include the Federal
Government or any authority of the Federal Government.
(12) The term ``State'' means a State of the United States, the
District of Columbia, the Commonwealth of Puerto Rico, or a territory
or possession of the United States.
(13) The term ``identification'' means--
(A) in the case of any individual, the name, the mailing address, and
the occupation of such individual, as well as the name of his or her
employer; and
(B) in the case of any other person, the full name and address of such
person.
(14) The term ``national committee'' means the organization which, by
virtue of the bylaws of a political party, is responsible for the day-
to-day operation of such political party at the national level, as
determined by the Commission.
(15) The term ``State committee'' means the organization which, by
virtue of the bylaws of a political party, is responsible for the day-
to-day operation of such political party at the State level, as
determined by the Commission.
(16) The term ``political party'' means an association, committee, or
organization which nominates a candidate for election to any Federal
office whose name appears on the election ballot as the candidate of
such association, committee, or organization.
(17) The term ``independent expenditure'' means an expenditure by a
person expressly advocating the election or defeat of a clearly
identified candidate which is made without cooperation or consultation
with any candidate, or any authorized committee or agent of such
candidate, and which is not made in concert with, or at the request or
suggestion of, any candidate, or any authorized committee or agent of
such candidate.
(18) The term ``clearly identified'' means that--
(A) the name of the candidate involved appears;
(B) a photograph or drawing of the candidate appears; or
(C) the identity of the candidate is apparent by unambiguous reference.
(19) The term ``Act'' means the Federal Election Campaign Act of 1971
as amended.
(Pub.L. 92-225, title III, Sec. 301, Feb. 7, 1972, 86 Stat. 11, as
amended by Pub.L. 93-443, title II, Sec. Sec. 201(a), 208(c)(1), Oct.
15, 1974, 88 Stat. 1272-75, 1286; Pub.L. 94-283, title I,
Sec. Sec. 102, 115(d), 115(h), May 11, 1976, 90 Stat. 478, 495, 496,
and amended by Pub.L. 96-187, title I, Sec. 101, Jan. 8, 1980, 93 Stat.
1339-45.)
2 U.S.C. Sec. 432. Organization of Political Committees.
(a) Treasurer; vacancy; official authorizations.
Every political committee shall have a treasurer. No contribution or
expenditure shall be accepted or made by or on behalf of a political
committee during any period in which the office of treasurer is vacant.
No expenditure shall be made for or on behalf of a political committee
without the authorization of the treasurer or his or her designated
agent.
(b) Account of contributions; segregated funds.
(1) Every person who receives a contribution for an authorized
political committee shall, not later than 10 days after receiving such
contribution, forward to the treasurer such contribution, and if the
amount of the contribution is in excess of $50 the name and address of
the person making the contribution and the date of receipt.
(2) Every person who receives a contribution for a political committee
which is not an authorized committee shall--
(A) if the amount of the contribution is $50 or less, forward to the
treasurer such contribution no later than 30 days after receiving the
contribution; and
(B) if the amount of the contribution is in excess of $50, forward to
the treasurer such contribution, the name and address of the person
making the contribution, and the date of receipt of the contribution,
no later than 10 days after receiving the contribution.
(3) All funds of a political committee shall be segregated from, and
may not be commingled with, the personal funds of any individual.
(c) Recordkeeping.
The treasurer of a political committee shall keep an account of--
(1) all contributions received by or on behalf of such political
committee;
(2) the name and address of any person who makes any contribution in
excess of $50, together with the date and amount of such contribution
by any person;
(3) the identification of any person who make a contribution or
contributions aggregating more than $200 during a calendar year,
together with the date and amount of any such contribution;
(4) the identification of any political committee which makes a
contribution, together with the date and amount of any such
contribution; and
(5) the name and address of every person to whom any disbursement is
made, the date, amount, and purpose of the disbursement, and the name
of the candidate and the office sought by the candidate, if any, for
whom the disbursement was made, including a receipt, invoice, or
canceled check for each disbursement in excess of $200.
(d) Preservation of records and copies of reports.
The treasurer shall preserve all records required to be kept by this
section and copies of all reports required to be filed by this
subchapter for 3 years after the report is filed. For any report filed
in electronic format under 434(a)(11) of this title, the treasurer
shall retain a machine-readable copy of the report as the copy
preserved under the preceding sentence.
(e) Principal and additional campaign committees; designations, status
of candidate, authorized committees, etc.
(1) Each candidate for Federal office (other than the nominee for the
office of Vice President) shall designate in writing a political
committee in accordance with paragraph (3) to serve as the principal
campaign committee of such candidate. Such designation shall be made no
later than 15 days after becoming a candidate. A candidate may
designate additional political committees in accordance with paragraph
(3) to serve as authorized committees of such candidate. Such
designation shall be in writing and filed with the principal campaign
committee of such candidate in accordance with subsection (f)(1) of
this section.
(2) Any candidate described in paragraph (1) who receives a
contribution, or any loan for use in connection with the campaign of
such candidate for election, or makes a disbursement in connection with
such campaign, shall be considered, for purposes of this Act, as having
received the contribution or loan, or as having made the disbursement,
as the case may be, as an agent of the authorized committee or
committees of such candidate.
(3)(A) No political committee which supports or has supported more than
one candidate may be designated as an authorized committee, except
that--
(i) the candidate for the office of President nominated by a political
party may designate the national committee of such political party as a
principal campaign committee, but only if that national committee
maintains separate books of account with respect to its function as a
principal campaign committee; and
(ii) candidates may designate a political committee established solely
for the purpose of joint fundraising by such candidates as an
authorized committee.
(B) As used in this section, the term ``support'' does not include a
contribution by any authorized committee in amounts of $1,000 or less
to an authorized committee of any other candidate.
(4) The name of each authorized committee shall include the name of the
candidate who authorized such committee under paragraph (1). In the
case of any political committee which is not an authorized committee,
such political committee shall not include the name of any candidate in
its name.
(5) The name of any separate segregated fund established pursuant to
section 441b(b) shall include the name of its connected organization.
(f) Filing with and receipt of designations, statements, and reports by
principal campaign committees.
(1) Notwithstanding any other provision of this Act, each designation,
statement, or report of receipts of disbursements made by an authorized
committee of a candidate shall be filed with the candidate's principal
campaign committee.
(2) Each principal campaign committee shall receive all designations,
statements, and reports required to be filed with it under paragraph
(1) and shall compile and file such designations, statements, and
reports in accordance with this Act.
(g) Filing with and receipt of designations, statements, and reports by
Secretary of Senate; forwarding to Commission; filing requirements with
Commission; public inspection and preservation of designations, etc.
(1) Designations, statements, and reports required to be filed under
this Act by a candidate for the office of Senator by the principal
campaign committee of such candidate, and by the Republican and
Democratic Senatorial Campaign Committees shall be filed with the
Secretary of the Senate, who shall receive such designations,
statements, and reports, as custodian for the Commission.
(2) The Secretary of the Senate shall forward a copy of any
designation, statement, or report filed with the Secretary under this
subsection to the Commission as soon as possible (but no later than 2
working days) after receiving such designation, statement, or report.
(3) All designations, statements, and reports required to be filed
under this Act, except designations, statements, and reports filed in
accordance with paragraph (1), shall be filed with the Commission.
(4) The Secretary of the Senate shall make the designations,
statements, and reports received under this subsection available for
public inspection and copying in the same manner as the Commission
under section 438(a)(4) of this title, and shall preserve such
designations, statements, and reports in the same manner as the
Commission under section 438(a)(5) of this title.
(h) Campaign depositories; designations, maintenance of accounts, etc.;
petty cash fund for disbursements; record of disbursements.
(1) Each political committee shall designate one or more State banks,
federally chartered depository institutions, or depository institutions
the deposits or accounts of which are insured by the Federal Deposit
Insurance Corporation, the Federal Savings and Loan Insurance
Corporation, or the National Credit Union Administration, as its
campaign depository or depositories. Each political committee shall
maintain at least one checking account and such other accounts as the
committee determines at a depository designated by such committee. All
receipts received by such committee shall be deposited in such
accounts. No disbursements may be made (other than petty cash
disbursement under paragraph (2)) by such committee except by check
drawn on such accounts in accordance with this section.
(2) A political committee may maintain a petty cash fund for
disbursements not in excess of $100 to any person in connection with a
single purchase or transaction. A record of all petty cash
disbursements shall be maintained in accordance with subsection (c)(5)
of this section.
(i) Reports and records, compliance with requirements based on best
efforts.
When the treasurer of a political committee shows that best efforts
have been used to obtain, maintain, and submit the information required
by this Act for the political committee, any report or any records of
such committee shall be considered in compliance with this Act or
chapter 95 or chapter 96 of title 26.
(Pub.L. 92-225, title III, Sec. 302, Feb. 7, 1972, 86 Stat. 12, as
amended by Pub.L. 93-443, title II, Sec. Sec. 202, 208(c)(2), Oct. 15,
1974, 88 Stat. 1275-76, 1286, and amended by Pub.L. 94-283, title I,
Sec. 103, May 11, 1976, 90 Stat. 480, and amended by Pub.L. 96-187,
title I, Sec. 102, Jan. 8, 1980, 93 Stat. 1345-47; Pub.L. 104-79,
Sec. Sec. 1(b), 3(a), Dec. 28, 1995, 109 Stat. 791, 792; Pub.L. 105-61,
Title VI, Sec. 637, Oct. 10, 1997, 111 Stat. 1316.)
2 U.S.C. Sec. 433. Registration of Political Committees.
(a) Statements of organizations.
Each authorized campaign committee shall file a statement of
organization not later than 10 days after designation pursuant to
section 432(e)(1). Each separate segregated fund established under the
provisions of section 441b(b) shall file a statement of organization no
later than 10 days after establishment. All other committees shall file
a statement of organization within 10 days after becoming a political
committee within the meaning of section 431(4).
(b) Contents of statements.
The statement of organization of a political committee shall include--
(1) the name, address, and type of committee;
(2) the name, address, relationship, and type of any connected
organization or affiliated committee;
(3) the name, address, and position of the custodian of books and
accounts of the committee;
(4) the name and address of the treasurer of the committee;
(5) if the committee is authorized by a candidate, the name, address,
office sought, and party affiliation of the candidate; and
(6) a listing of all banks, safety deposit boxes, or other depositories
used by the committee.
(c) Change of information in statements.
Any change in information previously submitted in a statement of
organization shall be reported in accordance with section 432(g) no
later than 10 days after the date of the change.
(d) Termination, etc., requirements of authorities.
(1) A political committee may terminate only when such a committee
files a written statement, in accordance with section 432(g), that it
will no longer receive any contributions or make any disbursements and
that such committee has no outstanding debts or obligations.
(2) Nothing contained in this subsection may be construed to eliminate
or limit the authority of the Commission to establish procedures for--
(A) the determination of insolvency with respect to any political
committee;
(B) the orderly liquidation of an insolvent political committee, and
the orderly application of its assets for the reduction of outstanding
debts; and
(C) the termination of an insolvent political committee after such
liquidation and application of assets.
(Pub.L. 92-225, title III, Sec. 303, Feb. 7, 1972, 86 Stat. 14, as
amended by Pub.L. 93-443, title II, Sec. Sec. 203, 208(c)(3), Oct. 15,
1974, 88 Stat. 1276, 1286, and amended by Pub.L. 96-187, title I,
Sec. 103, Jan. 8, 1980, 93 Stat. 1347-48.)
2 U.S.C. Sec. 434. Reporting Requirements.
(a) Receipts and disbursements by treasurers of political committees;
filing requirements.
(1) Each treasurer of a political committee shall file reports of
receipts and disbursements in accordance with the provisions of this
subsection. The treasurer shall sign each such report.
(2) If the political committee is the principal campaign committee of a
candidate for the House of Representatives or for the Senate--
(A) in any calendar year during which there is regularly scheduled
election for which such candidate is seeking election, or nomination
for election, the treasurer shall file the following reports:
(i) a pre-election report, which shall be filed no later than the 12th
day before (or posted by registered or certified mail no later than the
15th day before) any election in which such candidate is seeking
election, or nomination for election, and which shall be complete as of
the 20th day before such election;
(ii) a post-general election report, which shall be filed no later than
the 30th day after any general election in which such candidate has
sought election, and which shall be complete as of the 20th day after
such general election; and
(iii) additional quarterly reports, which shall be filed no later than
the 15th day after the last day of each calendar quarter, and which
shall be complete as of the last day of each calendar quarter: except
that the report for the quarter ending December 31 shall be filed no
later than January 31 of the following calendar year; and
(B) in any other calendar year the following reports shall be filed:
(i) a report covering the period beginning January 1 and ending June
30, which shall be filed no later than July 31; and
(ii) a report covering the period beginning July 1 and ending December
31, which shall be filed no later than January 31 of the following
calendar year.
(3) If the committee is the principal campaign committee of a candidate
for the office of President--
(A) in any calendar year during which a general election is held to
fill such office--
(i) the treasurer shall file monthly reports if such committee has on
January 1 of such year, received contributions aggregating $100,000 or
made expenditures aggregating $100,000 or anticipates receiving
contributions aggregating $100,000 or more or making expenditures
aggregating $100,000 or more during such year: such monthly reports
shall be filed no later than the 20th day after the last day of each
month and shall be complete as of the last day of the month, except
that, in lieu of filing the report otherwise due in November and
December, a pre-general election report shall be filed in accordance
with paragraph (2)(A)(i), a post-general election report shall be filed
in accordance with paragraph (2)(A)(ii), and a year end report shall be
filed no later than January 31 of the following calendar year;
(ii) the treasurer of the other principal campaign committees of a
candidate for the office of President shall file a pre-election report
or reports in accordance with paragraph (2)(A)(i), a post-general
election report in accordance with paragraph (2)(A)(ii), and quarterly
reports in accordance with paragraph (2)(A)(iii); and
(iii) if at any time during the election year a committee filing under
paragraph (3)(A)(ii) receives contributions in excess of $100,000 or
makes expenditures in excess of $100,000, the treasurer shall begin
filing monthly reports under paragraph (3)(A)(i) at the next reporting
period; and
(B) in any other calendar year, the treasurer shall file either--
(i) monthly reports, which shall be filed no later than the 20th day
after the last day of each month and shall be complete as of the last
day of the month; or
(ii) quarterly reports, which shall be filed no later than the 15th day
after the last day of each calendar quarter and which shall be complete
as of the last day of each calendar quarter.
(4) All political committees other than authorized committees of a
candidate shall file either--
(A)(i) quarterly reports, in a calendar year in which a regularly
scheduled general election is held, which shall be filed no later than
the 15th day after the last day of each calendar quarter: except that
the report for the quarter ending on December 31 of such calendar year
shall be filed no later than January 31 of the following calendar year;
(ii) a pre-election report, which shall be filed no later than the 12th
day before (or posted by registered or certified mail no later than the
15th day before) any election in which the committee makes a
contribution to or expenditure on behalf of a candidate in such
election, and which shall be complete as of the 20th day before the
election;
(iii) a post-general election report, which shall be filed no later
than the 30th day after the general election and which shall be
complete as of the 20th day after such general election; and
(iv) in any other calendar year, a report covering the period beginning
January 1 and ending June 30, which shall be filed no later than July
31 and a report covering the period beginning July 1 and ending
December 31, which shall be filed no later than January 31 of the
following calendar year; or
(B) monthly reports in all calendar years which shall be filed no later
than the 20th day after the last day of the month and shall be complete
as of the last day of the month, except that, in lieu of filing the
reports otherwise due in November and December of any year in which a
regularly scheduled general election is held, a pre-general election
report shall be filed in accordance with paragraph (2)(A)(i), a post-
general election report shall be filed in accordance with paragraph
(2)(A)(ii), and a year end report shall be filed no later than January
31 of the following calendar year.
(5) If a designation, report, or statement filed pursuant to this Act
(other than under paragraph (2)(A)(i) or (4)(A)(ii) is sent by
registered or certified mail, the United States postmark shall be
considered the date of filing of the designation, report, or statement.
(6)(A) The principal campaign committee of a candidate shall notify the
Secretary or the Commission, and the Secretary of State, as
appropriate, in writing, of any contribution of $1,000 or more received
by any authorized committee of such candidate after the 20th day, but
more than 48 hours before, any election. This notification shall be
made within 48 hours after the receipt of such contribution and shall
include the name of the candidate and the office sought by the
candidate, the identification of the contributor, and the date of
receipt and amount of the contribution.
(B) The notification required under this paragraph shall be in addition
to all other reporting requirements under this Act.
(7) The reports required to be filed by this subsection shall be
cumulative during the calendar year to which they relate, but where
there has been no change in an item reported in a previous report
during such year, only the amount need be carried forward.
(8) The requirement for a political committee to file a quarterly
report under paragraph (2)(A)(iii) or paragraph (4)(A)(i) shall be
waived if such committee is required to file a pre-election report
under paragraph (2)(A)(i), or paragraph (4)(A)(ii) during the period
beginning on the 5th day after the close of the calendar quarter and
ending on the 15th day after the close of the calendar quarter.
(9) The Commission shall set filing dates for reports to be filed by
principal campaign committees of candidates seeking election, or
nomination for election, in special elections and political committees
filing under paragraph (4)(A) which make contributions to or
expenditures on behalf of a candidate or candidates in special
elections. The Commission shall require no more than one pre-election
report for each election and one post-election report for the election
which fills the vacancy. The Commission may waive any reporting
obligation of committees required to file for special elections if any
report required by paragraph (2) or (4) is required to be filed within
10 days of a report required under this subsection. The Commission
shall establish the reporting dates within 5 days of the setting of
such election and shall publish such dates and notify the principal
campaign committees of all candidates in such election of the reporting
dates.
(10) The treasurer of a committee supporting a candidate for the office
of Vice President (other than the nominee of a political party) shall
file reports in accordance with paragraph (3).
(11)(A) The Commission shall permit reports required by this Act to be
filed and preserved by means of computer disk or any other appropriate
electronic format or method, as determined by the Commission.
(B) In carrying out subparagraph (A) with respect to filing of reports;
the Commission shall provided for one or more methods (other than
requiring a signature on the report being filed) for verifying reports
filed by means of computer disk or other electronic format or method.
Any verification under the preceding sentence shall be treated for all
purposes (including penalties for perjury) in the same manner as a
verification by signature.
(C) As used in this paragraph, the term ``report'' means, with respect
to the Commission, a report, designation, or statement required by this
Act to be filed with the Commission.
(b) Contents of reports.
Each report under this section shall disclose--
(1) the amount of cash on hand at the beginning of the reporting
period;
(2) for the reporting period and the calendar year, the total amount of
all receipts, and the total amount of all receipts in the following
categories:
(A) contributions from persons other than political committees;
(B) for an authorized committee, contributions from the candidate;
(C) contributions from political party committees;
(D) contributions from other political committees;
(E) for an authorized committee, transfers from other authorized
committees of the same candidate;
(F) transfers from affiliated committees and, where the reporting
committee is a political party committee, transfers from other
political party committees, regardless of whether such committees are
affiliated;
(G) for an authorized committee, loans made by or guaranteed by the
candidate;
(H) all other loans;
(I) rebates, refunds, and other offsets to operating expenditures;
(J) dividends, interest, and other forms of receipts; and
(K) for an authorized committee of a candidate for the office of
President, Federal funds received under chapter 95 and chapter 96 of
title 26;
(3) the identification of each--
(A) person (other than a political committee) who makes a contribution
to the reporting committee during the reporting period, whose
contributions have an aggregate amount or value in excess of $200
within the calendar year, or in any lesser amount if the reporting
committee should so elect, together with the date and amount of any
such contribution;
(B) political committee which makes a contribution to the reporting
committee during the reporting period, together with the date and
amount of any such contribution;
(C) authorized committee which makes a transfer to the reporting
committee;
(D) affiliated committee which makes a transfer to the reporting
committee during the reporting period and, where the reporting
committee is a political party committee, each transfer of funds to the
reporting committee from another political party committee, regardless
of whether such committees are affiliated, together with the date and
amount of such transfer;
(E) person who makes a loan to the reporting committee during the
reporting period, together with the identification of any endorser or
guarantor of such loan, and the date and amount or value of such loan;
(F) person who provides a rebate, refund, or other offset to operating
expenditures to the reporting committee in an aggregate amount or value
in excess of $200 within the calendar year, together with the date and
amount of each receipt; and
(G) person who provides any dividend, interest, or other receipt to the
reporting committee in an aggregate value or amount in excess of $200
within the calendar year, together with the date and amount of any such
receipt;
(4) for the reporting period and the calendar year, the total amount of
all disbursements, and all disbursements in the following categories:
(A) expenditures made to meet candidate or committee operating
expenses;
(B) for authorized committees; transfers to other committees authorized
by the same candidate;
(C) transfers to affiliated committees and, where the reporting
committee is a political party committee, transfers to other political
party committees, regardless of whether they are affiliated;
(D) for an authorized committee; repayment of loans made by or
guaranteed by the candidate;
(E) repayment of all other loans;
(F) contribution refunds and other offsets to contributions;
(G) for an authorized committee, any other disbursements;
(H) for any political committee other than an authorized committee--
(i) contributions made to other political committees;
(ii) loans made by the reporting committees;
(iii) independent expenditures;
(iv) expenditures made under section 441a(d) of this title; and
(v) any other disbursement; and
(I) for an authorized committee of a candidate for the office of
President, disbursements not subject to the limitation of section
441a(b);
(5) the name and address of each--
(A) person to whom an expenditure is an aggregate amount or value in
excess of $200 within the calendar year is made by the reporting
committee to meet a candidate or committee operating expense, together
with the date, amount, and purpose of such operating expenditure;
(B) authorized committee to which a transfer is made by the reporting
committee;
(C) affiliated committee to which a transfer is made by the reporting
committee during the reporting period and, where the reporting
committee is a political party committee, each transfer of funds by the
reporting committee to another political party committee, regardless of
whether such committees are affiliated, together with the date and
amount of such transfers;
(D) person who receives a loan repayment from the reporting committee
during the reporting period, together with the date and amount of such
loan repayment; and
(E) person who receives a contribution refund or other offset to
contributions from the reporting committee where such contribution was
reported under paragraph (3)(A) of this subsection, together with the
date and amount of such disbursement;
(6)(A) for an authorized committee, the name and address of each person
who has received any disbursement not disclosed under paragraph (5) in
an aggregate amount or value in excess of $200 within the calendar
year, together with the date and amount of any such disbursement;
(B) for any other political committee, the name and address of each--
(i) political committee which has received a contribution from the
reporting committee during the reporting period, together with the date
and amount of any such contribution;
(ii) person who has received a loan from the reporting committee during
the reporting period, together with the date and amount of such loan;
(iii) person who receives any disbursement during the reporting period
in an aggregate amount or value in excess of $200 within the calendar
year in connection with an independent expenditure by the reporting
committee, together with the date, amount, and purpose of any such
independent expenditure is in support of, or in opposition to, a
candidate, and a certification, under penalty of perjury, whether such
independent expenditure is made in cooperation, consultation, or
concert, with, or at the request or suggestion of, any candidate or any
authorized committee or agent of such committee;
(iv) person who receives any expenditure from the reporting committee
during the reporting period in connection with an expenditure under
section 441a(d) of this title, together with the date, amount, and
purpose of any such expenditure as well as the name of, and office
sought by, the candidate on whose behalf the expenditure is made; and
(v) person who has received any disbursement not otherwise disclosed in
this paragraph or paragraph (5) in an aggregate amount or value in
excess of $200 within the calendar year from the reporting committee
within the reporting period, together with the date, amount, and
purpose of any such disbursement;
(7) the total sum of all contributions to such political committee,
together with the total contributions less offsets to contributions and
the total sum of all operating expenditures made by such political
committee, together with total operating expenditures less offsets to
operating expenditures, for both the reporting period and the calendar
year; and
(8) the amount and nature of outstanding debts and obligations owed by
or to such political committee; and where such debts and obligations
are settled for less than their reported amount or value, a statement
as to the circumstances and conditions under which such debts or
obligations were extinguished and the consideration therefor.
(c) Statements by other than political committees; filing, contents;
indices of expenditures.
(1) Every person (other than a political committee) who makes
independent expenditures in an aggregate amount or value in excess of
$250 during a calendar year shall file a statement containing the
information required under subsection (b)(3)(A) of this section for all
contributions received by such person.
(2) Statements required to be filed by this subsection shall be filed
in accordance with subsection (a)(2) of this section, and shall
include--
(A) the information required by subsection (b)(6)(B)(iii) of this
section, indicating whether the independent expenditure is in support
of, or in opposition to, the candidate involved;
(B) under penalty of perjury, a certification whether or not such
independent expenditure is made in cooperation, consultation, or
concert, with, or at the request or suggestion of, any candidate or any
authorized committee or agent of such candidate; and
(C) the identification of each person who made a contribution in excess
of $200 to the person filing such statement which was made for the
purpose of furthering an independent expenditure.
Any independent expenditure (including those described in subsection
(b)(6)(B)(iii)) of this section, aggregating $1,000 or more made after
the 20th day, but more than 24 hours, before any election shall be
reported within 24 hours after such independent expenditure is made.
Such statement shall be filed with the Secretary, or the Commission and
the Secretary of State and shall contain the information required by
subsection (b)(6)(B)(iii) of this section, indicating whether the
independent expenditure is in support of, or in opposition to, the
candidate involved.
(3) The Commission shall be responsible for expeditiously preparing
indices which set forth, on a candidate-by-candidate basis, all
independent expenditures separately, including those reported under
subsection (b)(6)(B)(iii) of this section, made by or for each
candidate, as reported under this subsection, and for periodically
publishing such indices on a timely pre-election basis.
(Pub.L. 92-225, title III, Sec. 304, Feb. 7, 1972, 86 Stat. 14, as
amended by Pub.L. 93-443, title II, Sec. Sec. 204(a)-(c), 208(c)(4),
Oct. 15, 1974, 88 Stat. 1276, 1277, 1278, 1286; Pub.L. 94-283, title I,
Sec. 104, May 11, 1976, 90 Stat. 480, and amended by Pub.L. 96-187,
title I, Sec. 104, Jan. 8, 1980, 93 Stat. 1348, Pub.L. 99-514 Sec. 2,
Oct. 22, 1986, 100 Stat. 2095; Pub.L. 104-79, Sec. Sec. 1(a), 3(b),
Dec. 28, 1995, 109 Stat. 791, 792.)
2 U.S.C. Sec. 435. Requirements Relating To Campaign Advertising was
repealed by Pub.L. 96-187, title I, Sec. 105(a)(1), Jan. 8, 1980, 93
Stat. 1354.
2 U.S.C. Sec. 436. Formal Requirements Respecting Reports and
Statements. This provision was repealed by Pub.L. 96-187, title I,
Sec. 105(a)(1), Jan. 8, 1980, 93 Stat. 1354.
2 U.S.C. Sec. 437. Reports on Convention Financing.
Each committee or other organization which--
(1) represents a State, or a political subdivision thereof, or any
group of persons, in dealing with officials of a national political
party with respect to matters involving a convention held in such State
or political subdivision to nominate a candidate for the office of
President or Vice President, or
(2) represents a national political party in making arrangements for
the convention of such party held to nominate a candidate for the
office of President or Vice President,
shall within 60 days following the end of the convention (but not later
than 20 days prior to the date on which presidential and vice
presidential electors are chosen), file with the Commission a full and
complete financial statement, in such form and detail as it may
prescribe, of the sources from which it derived its funds, and the
purposes for which such funds were expended.
(Pub.L. 92-225, title III, Sec. 305, formerly Sec. 307, Feb. 7, 1972,
86 Stat. 16, as amended by Pub.L. 93-443, title II, Sec. 208(c)(6),
Oct. 15, 1974, 88 Stat. 1286, and renumbered and amended by Pub.L. 96-
187, title I, Sec. Sec. 105(a)(2), 112(a), Jan. 8, 1980, 93 Stat. 1354,
1366.)
2 U.S.C. Sec. 437a. Reports By Certain Persons, was repealed by Pub.L.
94-283, title I, Sec. 105, May 11, 1976, 90 Stat. 481.
2 U.S.C. Sec. 437b. Campaign Depositories, was repealed by Pub.L. 96-
187, title I, Sec. 105(a)(1), Jan. 8, 1980, 93 Stat. 1354.
2 U.S.C. Sec. 437c. Federal Election Commission.
(a) Establishment; membership; term of office; vacancies'
qualifications; compensation; chairman and vice chairman.
(1) There is established a commission to be known as the Federal
Election Commission. The Commission is composed of the Secretary of the
Senate and the Clerk of the House of Representatives or their
designees, ex officio and without the right to vote, and 6 members
appointed by the President, by and with the advice and consent of the
Senate. No more than 3 members of the Commission appointed under this
paragraph may be affiliated with the same political party.
(2)(A) Members of the Commission shall serve for a single term of 6
years, except that the members first appointed--
(i) two of the members, not affiliated with the same political party,
shall be appointed for terms ending on April 30, 1977;
(ii) two of the members, not affiliated with the same political party,
shall be appointed for terms ending on April 30, 1979; and
(iii) two of the members, not affiliated with the same political party,
shall be appointed for terms ending on April 30, 1981.
(B) A member of the Commission may serve on the Commission after the
expiration of his or her term until his or her successor has taken
office as a member of the Commission.
(C) An individual appointed to fill a vacancy occurring other than by
the expiration of a term of office shall be appointed only for the
unexpired term of the member he or she succeeds.
(D) Any vacancy occurring in the membership of the Commission shall be
filled in the same manner as in the case of the original appointment.
(3) Members shall be chosen on the basis of their experience,
integrity, impartiality, and good judgment and members (other than the
Secretary of the Senate and the Clerk of the House of Representatives)
shall be individuals who, at the time appointed to the Commission, are
not elected or appointed officers or employees in the executive,
legislative, or judicial branch of the Federal Government. Such members
of the Commission shall not engage in any other business, vocation, or
employment. Any individual who is engaging in any other business,
vocation, or employment at the time of his or her appointment to the
Commission shall terminate or liquidate such activity no later than 90
days after such appointment.
(4) Members of the Commission (other than the Secretary of the Senate
and the Clerk of the House of Representatives) shall receive
compensation equivalent to the compenstation paid at level IV of the
Executive Schedule (5 U.S.C. 5315).
(5) The Commission shall elect a chairman and a vice chairman from
among its members (other than the Secretary of the Senate and the Clerk
of the House of Representatives) for a term of one year. A member may
serve as chairman only once during any term of office to which such
member is appointed. The chairman and the vice chairman shall not be
affiliated with the same political party. The vice chairman shall act
as chairman in the absence or disability of the chairman or in the
event of a vacancy in such office.
(b) Administration, enforcement, and formulation of policy; exclusive
jurisdiction of civil enforcement; Congressional authorities or
functions with respect to elections for Federal office.
(1) The Commission shall administer, seek to obtain compliance with,
and formulate policy with respect to, this Act and chapter 95 and
chapter 96 of title 26. The Commission shall have exclusive
jurisdiction with respect to the civil enforcement of such provisions.
(c) Voting requirements; delegation of authorities.
All decisions of the Commission with respect to the exercise of its
duties and powers under the provisions of this Act shall be made by a
majority vote of the members of the Commission. A member of the
Commission may not delegate to any person his or her vote or any
decisionmaking authority or duty vested in the Commission by the
provisions of this Act, except that the affirmative vote of 4 members
of the Commission shall be required in order for the Commission to take
any action in accordance with paragraph (6), (7), (8), or (9) of
section 437d(a) of this title or with chapter 95 or chapter 96 of title
26.
(d) Meetings.
The Commission shall meet at least once each month and also, at the
call of any members.
(e) Rules for conduct of activities; judicial notice of seal; principal
office.
The Commission shall prepare written rules for the conduct of its
activities, shall have an official seal which shall be judicially
noticed, and shall have its principal office in or near the District of
Columbia (but it may meet or exercise any of its powers anywhere in the
United States).
(f) Staff director and general counsel; appointment and compensation;
appointment and compensation of personnel and procurement of
intermittent services by staff director; use of assistance personnel,
and facilities of Federal agencies and departments; counsel for defense
of actions.
(1) The Commission shall have a staff director and a general counsel
who shall be appointed by the Commission. The staff director shall be
paid at a rate not to exceed the rate of basic pay in effect for level
IV of the Executive Schedule (5 U.S.C. 5315). The general counsel shall
be paid at a rate not to exceed the rate of basic pay in effect for
level V of the Executive Schedule (5 U.S.C. 5316). With the approval of
the Commission, the staff director may appoint and fix the pay of such
additional personnel as he or she considers desirable without regard to
the provisions of title 5, United States Code, governing appointments
in the competitive service.
(2) With the approval of the Commission, the staff director may procure
temporary and intermittent services to the same extent as is authorized
by section 3109(b) of title 5, United States Code, but at rates for
individuals not to exceed the daily equivalent of the annual rate of
basic pay in effect for grade GS-15 of the General Schedule (5 U.S.C.
5332).
(3) In carrying out its responsibilities under this Act, the Commission
shall, to the fullest extent practicable, avail itself of the
assistance, including personnel and facilities of other agencies and
departments of the United States. The heads of such agencies and
departments may make available to the Commission such personnel,
facilities and other assistance, with or without reimbursement, as the
Commission may request.
(4) Notwithstanding the provisions of paragraph (2), the Commission is
authorized to appear in and defend against any action instituted under
this Act, either (A) by attorneys employed in its office, or (B) by
counsel whom it may appoint, on a temporary basis as may be necessary
for such purpose, without regard to the provisions of title 5, United
States Code, governing appointments in the competitive service, and
whose compensation it may fix without regard to the provisions of
chapter 51 and subchapter III of chapter 53 of such title. The
compensation of counsel so appointed on a temporary basis shall be paid
out of any funds otherwise available to pay the compensation of
employees of the Commission.
(Pub.L. 92-225, title III, Sec. 306, formerly Sec. 310, as added by
Pub.L. 93-443, title II, Sec. 208(a), Oct. 15, 1974, 88 Stat. 1280; as
amended and renumbered by Pub.L. 94-283, title I, Sec. Sec. 101(a)-(d),
105, May 11, 1976, 90 Stat. 475, 481; and as amended and renumbered by
Pub.L. 96-187, title I, Sec. Sec. 105(a) (3), (6), 112(b), Jan. 8,
1980, 93 Stat. 1354-56, 1366; Pub.L. 99-514, Sec. 2, Oct. 22, 1986, 100
Stat. 2095; Pub.L. 105-61, Title V, Sec. 512(a), Oct. 10, 1997, 111
Stat. 1305.)
2 U.S.C. Sec. 437d. Powers of Commission.
(a) Specific authorities.
The Commission has the power--
(1) to require by special or general orders, any person to submit,
under oath, such written reports and answers to questions as the
Commission may prescribe;
(2) to administer oaths or affirmations;
(3) to require by subpoena, signed by the chairman or the vice
chairman, the attendance and testimony of witnesses and the production
of all documentary evidence relating to the execution of its duties;
(4) in any proceeding or investigation, to order testimony to be taken
by deposition before any person who is designated by the Commission and
has the power to administer oaths and, in such instances, to compel
testimony and the production of evidence in the same manner as
authorized under paragraph (3);
(5) to pay witnesses the same fees and mileage as are paid in like
circumstances in the courts of the United States;
(6) to initiate (through civil actions for injunctive, declaratory, or
other appropriate relief), defend (in the case of any civil action
brought under section 437g(a)(8) of this title) or appeal any civil
action in the name of the Commission to enforce the provisions of this
Act and chapter 95 and chapter 96 of title 26, through its general
counsel;
(7) to render advisory opinions under section 437f of this title;
(8) to develop such prescribed forms and to make, amend, and repeal
such rules, pursuant to the provisions of chapter 5 of title 5, United
States Code, as are necessary to carry out the provisions of this Act
and chapter 95, and chapter 96 of title 26; and
(9) to conduct investigations and hearings expeditiously, to encourage
voluntary compliance, and to report apparent violations to the
appropriate law enforcement authorities.
(b) Judicial orders for compliance with subpenas and orders of
Commission; contempt of court.
Upon petition by the Commission, any United States district court
within the juridiction of which any inquiry is being carried on may, in
case of refusal to obey a subpena or order of the Commission issued
under subsection (a) of this section, issue an order requiring
compliance. Any failure to obey the order of the court may be punished
by the court as a contempt thereof.
(c) Civil liability for disclosure of information.
No person shall be subject to civil liability to any person (other than
the Commission or the United States) for disclosing information at the
request of the Commission.
(d) Concurrent transmissions to Congress or member of budget estimates,
etc.; prior submission of legislative recommendations, testimony, or
comments on legislation.
(1) Whenever the Commission submits any budget estimate or request to
the President or the Office of Managment and Budget, it shall
concurrently transmit a copy of such estimate or request to the
Congress.
(2) Whenever the Commission submits any legislation recommendation, or
testimony, or comments on legislation, requested by the Congress or by
any Member of the Congress, to the President or the Office of
Management and Budget, it shall concurrently transmit a copy thereof to
the Congress or to the Member requesting the same. No officer or agency
of the United States shall have any authority to require the Commission
to submit its legislative recommendations, testimony, or comments on
legislation, to any office or agency of the United States for approval,
comments, or review, prior to the submission of such recommendations,
testimony, or comments to the Congress.
(e) Exclusive civil remedy for enforcement.
Except as provided in section 437g(a)(8) of this title the power of the
Commission to initiate civil actions under subsection (a)(6) of this
section shall be the exclusive civil remedy for the enforcement of the
provisions of this Act.
(Pub.L. 92-225, title III, Sec. 307, formerly Sec. 311, as added by
Pub.L. 93-443, title II, Sec. 208(a), Oct. 15, 1974, 88 Stat. 1282; as
amended and renumbered by Pub.L. 94-283, title I, Sec. Sec. 105, 107,
115(a) (2), May 11, 1976, 90 Stat. 481, 495; and as amended and
renumbered by Pub.L. 96-187, title I, Sec. Sec. 105(a) (3), 106, Jan.
8, 1980, 93 Stat. 1354, 1356-57 Pub.L. 99-514, Sec. 2, Oct. 22, 1986,
100 Stat. 2095.)
2 U.S.C. Sec. 437e. Report, was repealed by Pub.L. 96-187, title I,
Sec. 105(a) (1), Jan. 8, 1980, 93 Stat. 1354.
2 U.S.C. Sec. 437f. Advisory Opinion.
(a) Requests by persons, candidates, or authorized committees; subject
matter; time for response.
(1) Not later than 60 days after the Commission receives from a person
a complete written request concerning the application of this Act,
chapter 95 or chapter 96 of title 26, or a rule or regulation
prescribed by the Commission, with respect to a specific transaction or
activity by the person, the Commission shall render a written advisory
opinion relating to such transaction or activity to the person.
(2) If an advisory opinion is requested by a candidate, or any
authorized committee of such candidate, during the 60-day period before
any election for Federal office involving the requesting party, the
Commission shall render a written advisory opinion relating to such
request no later than 20 days after the Commission receives a complete
written request.
(b) Procedures applicable to initial proposal of rules or regulations,
and advisory opinions.
Any rule of law which is not stated in this Act or in chapter 95 or
chapter 96 of title 26 may be initially proposed by the Commission only
as a rule or regulation pursuant to procedures established in section
438(d) of this title. No opinion of an advisory nature may be issued by
the Commission or any of its employees except in accordance with the
provisions of this section.
(c) Persons entitled to rely upon opinions; scope of protection for
good faith reliance.
(1) Any advisory opinion rendered by the Commission under subsection
(a) of this section may be relied upon by--
(A) any person involved in the specific transaction or activity with
respect to which such advisory opinion is rendered; and
(B) any person involved in any specific transaction or activity which
is indistinguishable in all its material aspects from the transaction
or activity with respect to which such advisory opinion is rendered.
(2) Notwithstanding any other provisions of law, any person who relies
upon any provision or finding of an advisory opinion in accordance with
the provisions of paragraph (1) and who acts in good faith in
accordance with the provisions and findings of such advisory opinion
shall not, as a result of any such act, be subject to any sanction
provided by this Act or by chapter 95 or chapter 96 of title 26.
(d) Requests made public; submission of written comments by interested
public.
The Commission shall make public any request made under subsection (a)
of this section for an advisory opinion. Before rendering an advisory
opinion, the Commission shall accept written comments submitted by any
interested party within the 10-day period following the date the
request is made public.
(Pub.L. 92-225, title III, Sec. 308, formerly Sec. 313, as added by
Pub.L. 93-443, title II, Sec. 208(a), Oct. 15, 1974, 88 Stat. 1283;
amended and renumbered by Pub.L. 94-283, title I, Sec. Sec. 105, 108,
May 11, 1976, 90 Stat. 481, 482; and amended and renumbered by Pub.L.
96-187, title I, Sec. Sec. 105(a)(4), 107, Jan. 8, 1980, 93 Stat. 1354,
1357-58, Pub.L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.)
2 U.S.C. Sec. 437g. Enforcement.
(a) Administrative and judicial practice and procedure.
(1) Any person who believes a violation of this Act or of chapter 95 or
chapter 96 of title 26, has occurred, may file a complaint with the
Commission. Such complaint shall be in writing, signed and sworn to by
the person filing such complaint, shall be notarized, and shall be made
under penalty of perjury and subject to the provisions of section 1001
of title 18, United States Code. Within 5 days after receipt of a
complaint, the Commission shall notify, in writing, any person alleged
in the complaint to have committed such a violation. Before the
Commission conducts any vote on the complaint, other than a vote to
dismiss, any person so notified shall have the opportunity to
demonstrate in writing to the Commission within 15 days after
notification that no action should be taken against such person on the
basis of the complaint. The Commission may not conduct any
investigation or take any other action under this section solely on the
basis of a complaint of a person whose identity is not disclosed to the
Commission.
(2) If the Commission, upon receiving a complaint under paragraph (1)
or on the basis of information ascertained in the normal course of
carrying out its supervisory responsibilities, determines, by an
affirmative vote of 4 of its members, that it has reason to believe
that a person has committed, or is about to commit, a violation of this
Act of chapter 95 or chapter 96 of title 26, the Commission shall,
through its chairman or vice chairman, notify the person of the alleged
violation. Such notification shall set forth the factual basis for such
alleged violation. The Commission shall make an investigation of such
alleged violation, which may include a field investigation or audit, in
accordance with the provisions of this section.
(3) The general counsel of the Commission shall notify the respondent
of any recommendation to the Commission by the general counsel to
proceed to a vote on probable cause pursuant to paragraph (4)(A)(i).
With such notification, the general counsel shall include a brief
stating the position of the general counsel on the legal and factual
issues of the case. Within 15 days of receipt of such brief, respondent
may submit a brief stating the position of such respondent on the legal
and factual issues of the case, and replying to the brief of general
counsel. Such briefs shall be filed with the Secretary of the
Commission and shall be considered by the Commission before proceeding
under paragraph (4).
(4)(A)(i) Except as provided in clause (ii), if the Commission
determines, by an affirmative vote of 4 of its members, that there is
probable cause to believe that any person has committed, or is about to
commit, a violation of this Act or of chapter 95 or chapter 96 of title
26, the Commission shall attempt, for a period of at least 30 days, to
correct or prevent such violation by informal methods of conference,
conciliation, and persuasion, and to enter into a conciliation
agreement with any person involved. Such attempt by the Commission to
correct or prevent such violation may continue for a period of not more
than 90 days. The Commission may not enter into a conciliation
agreement under this clause except pursuant to an affirmative vote of 4
of its members. A conciliation agreement, unless violated, is a
complete bar to any further action by the Commission, including the
bringing of a civil proceeding under paragraph (6)(A).
(ii) If any determination of the Commission under clause (i) occurs
during the 45-day period immediately preceding any election, then the
Commission shall attempt, for a period of at least 15 days, to correct
or prevent the violation involved by the methods specified in clause
(i).
(B)(i) No action by the Commission or any person, and no information
derived, in connection with any conciliation attempt by the Commission
under subparagraph (A) may be made public by the Commission without the
written consent of the respondent and the Commission.
(ii) If a conciliation agreement is agreed upon by the Commission and
the respondent, the Commission shall make public any conciliation
agreement signed by both the Commission and the respondent. If the
Commission makes a determination that a person has not violated this
Act or chapter 95 or chapter 96 of title 26 the Commission shall make
public such determination.
(5)(A) If the Commission believes that a violation of this Act or of
chapter 95 or chapter 96 of title 26 has been committed, a conciliation
agreement entered into by the Commission under paragraph (4)(A) may
include a requirement that the person involved in such conciliation
agreement shall pay a civil penalty which does not exceed the greater
of $5,000 or an amount equal to any contribution or expenditure
involved in such violation.
(B) If the Commission believes that a knowing and willful violation of
this Act or of chapter 95 or chapter 96 of title 26 has been committed,
a conciliation agreement entered into by the Commission under paragraph
(4)(A) may require that the person involved in such conciliation
agreement shall pay a civil penalty which does not exceed the greater
of $10,000 or an amount equal to 200 percent of any contribution or
expenditure involved in such violation.
(C) If the Commission by an affirmative vote of 4 of its members,
determines that there is probable cause to believe that a knowing and
willful violation of this Act which is subject to subsection (d) of
this section, or a knowing and willful violation of chapter 95 or
chapter 96, has occurred or is about to occur, it may refer such
apparent violation to the Attorney General of the United States without
regard to any limitations set forth in paragraph (4)(A).
(D) In any case in which a person has entered into a conciliation
agreement with the Commission under paragraph (4)(A), the Commission
may institute a civil action for relief under paragraph (6)(A) if it
believes that the person has violated any provision of such
conciliation agreement. For the Commission to obtain relief in any
civil action, the Commission need only establish that the person has
violated, in whole or in part, any requirement of such conciliation
agreement.
(6)(A) If the Commission is unable to correct or prevent any violation
of this Act or of chapter 95 or chapter 96 of title 26, by the methods
specified in paragraph (4)(A), the Commission may, upon an affirmative
vote of 4 of its members, institute a civil action for relief,
including a permanent or temporary injunction, restraining order, or
any other appropriate order (including an order for a civil penalty
which does not exceed the greater of $5,000 or an amount equal to any
contribution or expenditure involved in such violation) in the district
court of the United States for the district in which the person against
whom such action is brought is found, resides, or transacts business.
(B) In any civil action instituted by the Commission under subparagraph
(A), the court may grant a permanent or temporary injunction,
restraining order, or other order, including a civil penalty which does
not exceed the greater of $5,000 or an amount equal to any contribution
or expenditure involved in such violation, or is about to commit (if
the relief sought is a permanent or temporary injunction or a
restraining order), a violation of this Act or chapter 95 or chapter 96
of title 26.
(C) In any civil action for relief instituted by the Commission under
subparagraph (A), if the court determines that the Commission has
established that the person involved in such civil action has committed
a knowing and willful violation of this Act or of chapter 95 or chapter
96 of title 26, the court may impose a civil penalty which does not
exceed the greater of $10,000 or an amount equal to 200 percent of any
contribution or expenditure involved in such violation.
(7) In any action brought under paragraph (5) or (6), subpenas for
witnesses who are required to attend a United States district court may
run into any other district.
(8)(A) Any party aggrieved by an order of the Commission dismissing a
complaint filed by such party under paragraph (1), or by a failure of
the Commissioin to act on such complaint during the 120-day period
beginning on the date the complaint is filed, may file a petition with
the United States District Court for the District of Columbia.
(B) Any petition under subparagraph (A) shall be filed, in the case of
a dismissal of a complaint by the Commission, within 60 days after the
date of the dismissal.
(C) In any proceeding under this paragraph the court may declare that
the dismissal of the complaint or the failure to act is contrary to
law, and may direct the Commission to conform with such declaration
within 30 days, failing which the complainant may bring, in the name of
such complainant, a civil action to remedy the violation involved in
the original complaint.
(9) Any judgment of a district court under this subsection may be
appealed to the court of appeals, and the judgment of the court of
appeals affirming or setting aside, in whole or in part, any such order
of the district court shall be final, subject to review by the Supreme
Court of the United States upon certiorari or certification as provided
in section 1254 of title 28, United States Code.
(10) [Repealed]
(11) If the Commission determines after an investigation that any
person has violated an order of the court entered in a proceeding
brought under paragraph (6), it may petition the court for an order to
hold such person in civil contempt, but if it believes the violation to
be knowing and willful it may petition the court for an order to hold
such person in criminal contempt.
(12)(A) Any notification or investigation made under this section shall
not be made public by the Commission or by any person without the
written consent of the person receiving such notification or the person
with respect to whom such investigation is made.
(B) Any member or employee of the Commission, or any other person, who
violates the provisions of subparagraph (A) shall be fined not more
than $2,000. Any such member, employee, or other person who knowingly
and willfully violates the provisions of subparagraph (A) shall be
fined not more than $5,000.
(b) Notice to persons not filing reports prior to institution of
enforcement action; publication of identity of persons and unfiled
reports.
Before taking any action under subsection (a) of this section against
any person who has failed to file a report required under section
434(a)(2)(A)(iii) of this title for the calendar quarter immediately
preceding the election involved, or in accordance with section
434(a)(2)(A)(i), the Commission shall notify the person of such failure
to file the required reports. If a satisfactory response is not
received within 4 business days after the date of notification, the
Commission shall, pursuant to section 438(a)(7) of this title, publish
before the election the name of the person and the report or reports
such person has failed to file.
(c) Reports by Attorney General of apparent violation.
Whenever the Commission refers an apparent violation to the Attorney
General, the Attorney General shall report to the Commission any action
taken by the Attorney General regarding the apparent violation. Each
report shall be transmitted within 60 days after the date the
Commission refers an apparent violation, and every 30 days thereafter
until the final disposition of the apparent violation.
(d) Penalties; defenses; mitigation of offenses.
(1)(A) Any person who knowingly and willfully commits a violation of
any provision of this Act which involves the making, receiving, or
reporting of any contribution or expenditure aggregating $2,000 or more
during a calendar year shall be fined, or imprisoned for not more than
one year, or both. The amount of this fine shall not exceed the greater
of $25,000 or 300 percent of any contribution or expenditure involved
in such violation.
(B) In the case of a knowing and willful violation of section
441b(b)(3), the penalties set forth in this subsection shall apply to a
violation involving an amount aggregating $250 or more during a
calendar year. Such violation of section 441b(b)(3) may incorporate a
violation of section 441c(b), 441f or 441g of this title.
(C) In the case of a knowing and willful violation of section 441h of
this title, the penalties set forth in this subsection shall apply
without regard to whether the making, receiving, or reporting of a
contribution or expenditure of $1,000 or more is involved.
(2) In any criminal action brought for a violation of any provision of
this Act or of chapter 95 or chapter 96 of title 26, any defendant may
evidence their lack of knowledge or intent to commit the alleged
violation by introducing as evidence a conciliation agreement entered
into between the defendant and the Commission under subsection
(a)(4)(A) which specifically deals with the act or failure to act
constituting such violation and which is still in effect.
(3) In any criminal action brought for a violation of any provision of
this Act or chapter 95 or chapter 96 of title 26, the court before
which such action is brought shall take into account, in weighing the
seriousness of the violation and in considering the appropriateness of
the penalty to be imposed if the defendant is found guilty, whether--
(A) the specific act or failure to act which constitutes the violation
for which the action was brought is the subject of a conciliation
agreement entered into between the defendant and the Commission under
subparagraph (a)(4)(A);
(B) the conciliation agreement is in effect; and
(C) the defendant is, with respect to the violation involved, in
compliance with the conciliation agreement.
(Pub.L. 92-225, title III, Sec. 309, formerly Sec. 314, as added by
Pub.L. 93-443, title II, Sec. 208(a) Oct. 15, 1974, 88 Stat. 1284;
amended and renumbered by Pub.L. 94-283, title I, Sec. Sec. 105, 109,
May 11, 1976, 90 Stat. 481, 483; and amended and renumbered by Pub.L.
96-187, title I, Sec. Sec. 105(a)(4), 108, Jan. 8, 1980, 93 Stat. 1354,
1358-62; Pub.L. 98-620, Title IV, Sec. 402(1)(A), Nov. 8, 1984, 98
Stat. 3357; Pub.L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.
2 U.S.C. Sec. 437h. Judicial Review.
Actions, including declaratory judgments, for construction of
constitutional questions; eligible plaintiffs; certification of such
questions to courts of appeal sitting en banc.
The Commission, the national committee of any political party, or any
individual eligible to vote in any election for the office of President
may institute such actions in the appropriate district court of the
United States, including actions for declaratory judgment, as may be
appropriate to construe the constitutionality of any provision of this
Act. The district court immediately shall certify all questions of
constitutionality of this Act to the United States court of appeals for
the circuit involved, which shall hear the matter sitting en banc.
Appeal to Supreme Court; time for appeal.
Notwithstanding any other provision of law, any decision on matter
certified under subsection (a) of this section shall be reviewable by
appeal directly to the Supreme Court of the United States. Such appeal
shall be brought no later than 20 days after the decision of the court
of appeals.
The Commission, the national committee of any political party, or any
individual eligible to vote in any election for the office of President
may institute such actions in the appropriate district court of the
United States, including actions for declaratory judgment, as may be
appropriate to construe the constitutionality of any provision of this
Act. The district court immediately shall certify all questions of
constitutionality of this Act to the United States court of appeals for
the circuit involved, which shall hear the matter sitting en banc.
(Pub.L. 92-225, title III, Sec. 310, formerly Sec. 315, as added by
Pub.L. 93-443, title II, Sec. 208, Oct. 15, 1974, 88 Stat. 1285;
amended and renumbered by Pub.L. 94-283, title I, Sec. Sec. 105,
115(e), May 11, 1976, 90 Stat. 481, 496; amended and renumbered by
Pub.L. 96-187, Sec. Sec. 105(a)(4), 112(c), Jan. 8, 1980, 93 Stat.
1354, 1366; Nov. 8, 1984, Pub.L. 98-620, title IV, Subtitle A,
Sec. 402(1)(B), 98 Stat. 3357, and amended by Pub.L. 100-352,
Sec. 6(a), June 27, 1988, 102 Stat. 663.)
2 U.S.C. Sec. 438. Administrative Provisions.
(a) Duties of Commission.
The Commission shall--
(1) prescribe forms necessary to implement this Act;
(2) prepare, publish, and furnish to all persons required to file
reports and statements under this Act a manual recommending uniform
methods of bookkeeping and reporting;
(3) develop a filing, coding, and cross-indexing system consistent with
the purposes of this Act;
(4) within 48 hours after the time of the receipt by the Commission of
reports and statements filed with it, make them available for public
inspection, and copying, at the expense of the person requesting such
copying, except that any information copied from such reports or
statements may not be sold or used by any person for the purpose of
soliciting contributions or for commercial purposes, other than using
the name and address of any political committee to solicit
contributions from such committee. A political committee may submit 10
pseudonyms on each report filed in order to protect against the illegal
use of names and addresses of contributors, provided such committee
attaches a list of such pseudonyms to the appropriate report. The
Secretary or the Commission shall exclude these lists from the public
record;
(5) keep such designations, reports, and statements for a period of 10
years from the date of receipt, except that designations, reports, and
statements that relate solely to candidates for the House of
Representatives shall be kept for 5 years from the date of their
receipt;
(6)(A) compile and maintain a cumulative index of designations,
reports, and statements filed under this Act, which index shall be
published at regular intervals and made available for purchase directly
or by mail;
(B) compile, maintain, and revise a separate cumulative index of
reports and statements filed by multi-candidate committees, including
in such index a list of multi-candidate committees; and
(C) compile and maintain a list of multi-candidate committees, which
shall be revised and made available monthly;
(7) prepare and publish periodically lists of authorized committees
which fail to file reports as required by this Act;
(8) prescribe rules, regulations, and forms to carry out the provisions
of this Act, in accordance with the provisions of subsection (d) of
this section;
(9) transmit to the President and to each House of the Congress no
later than June 1 of each year, a report which states in detail the
activities of the Commission in carrying out its duties under this Act,
and any recommendations for any legislative or other action the
Commission considers appropriate; and
(10) serve as a national clearinghouse for the compilation of
information and review of procedures with respect to the administration
of Federal elections. The Commission may enter into contracts for the
purpose of conducting studies under this paragraph. Reports or studies
made under this paragraph shall be available to the public upon the
payment of the cost thereof, except that copies shall be made available
without cost, upon request, to agencies and branches of the Federal
Government.
(b) Audits and field investigations.
The Commission may conduct audits and field investigations of any
political committee required to file a report under section 434 of this
title. All audits and field investigations concerning the verification
for, and receipt and use of, any payments received by a candidate or
committee under chapter 95 or chapter 96 of title 26 shall be given
priority. Prior to conducting any audit under this subsection, the
Commission shall perform an internal review of reports filed by
selected committees to determine if the reports filed by a particular
committee meet the threshold requirements for substantial compliance
with the Act. Such thresholds for compliance shall be established by
the Commission. The Commission may, upon an affirmative vote of 4 of
its members, conduct an audit and field investigation of any committee
which does meet the threshold commenced within 30 days of such vote,
except that any audit of an authorized committee of a candidate, under
the provisions of this subsection, shall be commenced within 6 months
of the election for which such committee is authorized.
(c) Statutory provisions applicable to forms and information-gathering
activities.
Any forms prescribed by the Commission under subsection (a)(1) of this
section, and any information-gathering activities of the Commission
under this Act, shall not be subject to the provisions of section 3512
of title 44, United States Code.
(d) Rules, regulations, or forms; issuance, procedures applicable, etc.
(1) Before prescribing any rule, regulation, or form under this section
or any other provision of this Act, the Commission shall transmit a
statement with respect to such rule, regulation, or form to the Senate
and the House of Representatives, in accordance with this subsection.
Such statement shall set forth the proposed rule, regulation, or form,
and shall contain a detailed explanation and justification of it.
(2) If either House of the Congress does not disapprove by resolution
any proposed rule or regulation submitted by the Commission under this
section within 30 legislative days after the date of the receipt of
such proposed rule or regulation or within 10 legislative days after
the date of receipt of such proposed form, the Commission may prescribe
such rule, regulation, or form.
(3) For purposes of this subsection, the term ``legislative day''
means, with respect to statements transmitted to the Senate, any
calendar day on which the Senate is in session, and with respect to
statements transmitted to the House of Representatives, any calendar
day on which the House of Representatives is in session.
(4) For purposes of this subsection, the terms ``rule'' and
``regulation'' mean a provision or series of interrelated provisions
stating a single, separable rule of law.
(5)(A) A motion to discharge a committee of the Senate from the
consideration of a resolution relating to any such rule, regulation, or
form or a motion to proceed to the consideration of such a resolution,
is highly privileged and shall be decided without debate.
(B) Whenever a committee of the House of Representatives reports any
resolution relating to any such form, rule or regulation, it is at any
time thereafter in order (even though a previous motion to the same
effect has been disagreed to) to move to proceed to the consideration
of the resolution. The motion is highly privileged and is not
debatable. An amendment to the motion is not in order, and is not in
order to move to reconsider the vote by which the motion is agreed to
or disagreed with.
(e) Scope of protection for good faith reliance upon rules or
regulations.
Notwithstanding any other provision of law, any person who relies upon
any rule or regulation prescribed by the Commission in accordance with
the provisions of this section and who acts in good faith in accordance
with such rule or regulation shall not, as a result of such act, be
subject to any sanction provided by this Act or by chapter 95 or
chapter 96 of title 26.
(f) Promulgation of rules, regulations, and forms by Commission and
Internal Revenue Service; report to Congress on cooperative efforts.
In prescribing such rules, regulations, and forms under this section,
the Commission and the Internal Revenue Service shall consult and work
together to promulgate rules, regulations, and forms which are mutually
consistent. The Commission shall report to the Congress annually on the
steps it has taken to comply with this subsection.
(Pub.L. 92-225, title III, Sec. 311, formerly Sec. 308, Feb. 7, 1972,
86 Stat. 16; as renumbered and amended by Pub.L. 93-443, title II,
Sec. Sec. 208 (a), (c)(8)-(10), 209 (a)(1), (b), Oct. 15, 1974, 88
Stat. 1279, 1286, 1287; and renumbered and amended by Pub.L. 94-283,
title I, Sec. Sec. 105, 110, May 11, 1976, 90 Stat. 481, 486; and as
renumbered and amended by Pub.L. 96-187, title I, Sec. Sec. 105(a)(4),
109, Jan. 8, 1980, 93 Stat. 1354, 1362-64; Pub.L. 99-514, 52, Oct. 22,
1986, 100 Stat. 2095; Pub.L. 104-79, Sec. 3(c), Dec. 28, 1995, 109
Stat. 792.)
2 U.S.C. Sec. 439. Statements Filed With State Officers.
(a) Appropriate State; defined.
(1) A copy of each report and statement required to be filed by any
person under this Act shall be filed by such person with the Secretary
of State (or equivalent State officer) of the appropriate State, or, if
different, the officer of such State who is charged by State law with
maintaining State election campaign reports. The chief executive
officer of such State shall designate any such officer and notify the
Commission of any such designation.
(2) For purposes of this subsection, the term ``appropriate State''
means--
(A) for statements and reports in connection with the campaign for
nomination for election of a candidate to the office of President or
Vice President, each State in which an expenditure is made on behalf of
the candidate; and
(B) for statements and reports in connection with the campaign for
nomination for election, or election, of a candidate to the office of
Senator or Representative in, or Delegate or Resident Commissioner to,
the Congress, the State in which the candidate seeks election; except
that political committees other than authorized committees are only
required to file, and Secretaries of State required to keep, that
portion of the report applicable to candidates seeking election in that
State.
(b) Duties of State officers.
The Secretary of State (or equivalent State officer), or the officer
designated under subsection (a)(1) of this section, shall--
(1) receive and maintain in an orderly manner all reports and
statements required by this Act to be filed therewith;
(2) keep such reports and statements (either in original filed form or
in facsimile copy by microfilm or otherwise) for 2 years after their
date of receipt;
(3) make each report and statement filed therewith available as soon as
practicable (but within 48 hours of receipt) for public inspection and
copying during regular business hours, and permit copying of any such
report or statement by hand or by duplicating machine at the request of
any person, except that such copying shall be at the expense of the
person making the request; and
(4) compile and maintain a current list of all reports and statements
pertaining to each candidate.
(c) Waiver; electronic access.
Subsections (a) and (b) of this section shall not apply with respect to
any State that, as determined by the commission, has a system that
permits electonic access to, and duplication of, reports and statements
that are filed with the Commission.
(Pub.L. 92-225, title III, Sec. 312, formerly Sec. 309, Feb. 7, 1972,
86 Stat. 18; as renumbered and amended by Pub.L. 94-443, title II,
Sec. 208(a), (c)(11), Oct. 15, 1974, 88 Stat. 1279, 1287; renumbered by
Pub.L. 94-283, title I, Sec. 105, May 11, 1976, 90 Stat. 481; and as
renumbered and amended by Pub.L. 96-187, title I, Sec. Sec. 105(a)(4),
110, Jan. 8, 1980, 93 Stat. 1354, 1364-65; Pub.L. 104-79, Sec. 2, Dec.
28, 1995, 109 Stat. 391.)
2 U.S.C. Sec. 439a. Use of Contributed Amounts for Certain Purposes.
Amounts received by a candidate as contributions that are in excess of
any amount necessary to defray his expenditures, and any other amounts
contributed to an individual for the purpose of supporting his or her
activities as a holder of Federal office, may be used by such candidate
or individual, as the case may be, to defray any ordinary and necessary
expenses incurred in connection with his or her duties as a holder of
Federal office, may be contributed to any organization described in
section 170(c) of title 26, or may be used for any other lawful
purpose, including transfers without limitation to any national, State,
or local committee of any political party; except that no such amounts
may be converted by any person to any personal use, other than to
defray any ordinary and necessary expenses incurred in connection with
his or her duties as a holder of Federal office.
(Pub.L. 92-225, title III, Sec. 313, formerly Sec. 318, as added by
Pub.L. 93-443, title II, Sec. 210, Oct. 15, 1974, 88 Stat. 1289;
renumbered by Pub.L. 94-283, title I, Sec. 105, May 11, 1976, 90 Stat.
481; and renumbered and amended by Pub.L. 96-187 title I,
Sec. Sec. 105(a)(4), 113, Jan. 8, 1980, 93 Stat. 1354, 1366-67, and as
amended by Pub.L. 101-194, title V, Sec. 504(a), Nov. 30, 1989, 103
Stat. 1755.)
2 U.S.C. Sec. 439b. Prohibition of Franked Solicitations. This
provision was repealed by Pub.L. 96-187, title I, Sec. 105(a)(1), Jan.
8, 1980, 93 Stat. 1354.
2 U.S.C. Sec. 441a. Limitations on Contributions and Expenditures.
(a) Dollar limits on contributions.
(1) No person shall make contributions--
(A) to any candidate and his authorized political committees with
respect to any election for Federal office which, in the aggregate,
exceed $1,000;
(B) to the political committees established and maintained by a
national political party, which are not the authorized political
committees of any candidate, in any calendar year, which, in the
aggregate, exceed $20,000; or
(C) to any other political committee in any calendar year which, in the
aggregate, exceed $5,000.
(2) No multicandidate political committee shall make contributions--
(A) to any candidate and his authorized political committees with
respect to any election for Federal office which, in the aggregate,
exceed $5,000;
(B) to the political committees established and maintained by a
national political party, which are not the authorized political
committees of any candidate, in any calendar year, which, in the
aggregate, exceed $15,000; or
(C) to any other political committee in any calendar year which, in the
aggregate, exceed $5,000.
(3) No individual shall make contributions aggregating more than
$25,000 in any calendar year. For purposes of this paragraph, any
contribution made to a candidate in a year other than the calendar year
in which the election is held with respect to which such contribution
is made, is considered to be made during the calendar year in which
such election is held.
(4) The limitations on contributions contained in paragraphs (1) and
(2) do not apply to transfers between and among political committees
which are national, State, direct, or local committees (including any
subordinate committee thereof) of the same political party. For
purposes of paragraph (2), the term ``multicandidate political
committee'' means a political committee which has been registered under
section 433 of this title for a period of not less than 6 months, which
has received contributions from more than 50 persons, and except for
any State political party organization, has made contributions to 5 or
more candidates for Federal office.
(5) For purposes of the limitations provided by paragraph (1) and
paragraph (2), all contributions made by political committees
established or financed or maintained or controlled by any corporation,
labor organization, or any other person, including any patent,
subsidiary, branch, division, department, or local unit of such
corporation, labor organization, or any other person, or by any group
of such persons, shall be considered to have been made by a single
political committee, except that (A) nothing in this sentence shall
limit transfers between political committees of funds raised through
joint fund raising efforts; (B) for purposes of the limitations
provided by paragraph (1) and paragraph (2) all contributions made by a
single political committee established or financed or maintained or
controlled by a national committee of a political party and by a single
political committee established or financed or maintained or controlled
by the State committee of a political party shall not be considered to
have been made by a single political committee; and (C) nothing in this
section shall limit the transfer of funds between the principal
campaign committee of a candidate seeking nomination or election to a
Federal office and the principal campaign committee of that candidate
for nomination or election to another Federal office if (i) such
transfer is not made when the candidate is actively seeking nomination
or election to both such offices; (ii) the limitations contained in
this Act on contributions by persons are not exceeded by such transfer;
and (iii) the candidate has not elected to receive any funds under
chapter 95 or chapter 96 of title 26. In any case in which a
corporation and any of its subsidiaries, branches, divisions,
departments, or local units, or a labor organization and any of its
subsidiaries, branches, divisions, departments, or local units
establish or finance or maintain or control more than one separate
segregated fund for purposes of the limitations provided by paragraph
(1) and paragraph (2).
(6) The limitations on contributions to a candidate imposed by
paragraphs (1) and (2) of this subsection shall apply separately with
respect to each election, except that all elections held in any
calendar year for office of President of the United States (except a
general election for such office) shall be considered to be one
election.
(7) For the purposes of this subsection--
(A) contributions to a named candidate made to any political committee
authorized by such candidate to accept contributions on his behalf
shall be considered to be contributions made to such candidate;
(B)(i) expenditures made by any person in cooperation, consultation, or
concert, with, or at the request or suggestion of, a candidate, his
authorized political committees, or their agents, shall be considered
to be a contribution to such candidate;
(ii) the financing by any person of the dissemination, distribution, or
republication, in whole or in part, of any broadcast or any written,
graphic, or other form of campaign materials prepared by the
candidate, his campaign committees, or their authorized agents shall be
considered to be an expenditure for purposes of this paragraph; and
(C) contributions made to or for the benefit of any candidate nominated
by a political party for election to the office of Vice President of
the United States shall be considered to be contributions made to or
for the benefit of the candidate of such party for election to the
office of President of the United States.
(8) For purposes of the limitations imposed by this section, all
contributions made by a person, either directly or indirectly, on
behalf of a particular candidate, including contributions which are in
any way earmarked or otherwise directed through an intermediary or
conduit to such candidate, shall be treated as contributions from such
person to such candidate. The intermediary or conduit shall report the
original source and the intended recipient of such contribution to the
Commission and to the intended recipient.
(b) Dollar limits on expenditures by candidates for office of President
of the United States.
(1) No candidate for the office of President of the United States who
is eligible under section 9003 of title 26 (relating to condition for
eligibility for payments) or under section 9033 of title 26 (relating
to eligibility for payments) to receive payments from the Secretary of
the Treasury may make expenditures in excess of--
(A) $10,000,000, in the case of a campaign for nomination for election
to such office, except that the aggregate of expenditures under this
subparagraph in any one State shall not exceed the greater of 16 cents
multiplied by the voting age population of the State (as certified
under subsection (e) of this section), or $200,000; or
(B) $20,000,000 in the case of a campaign for election to such office.
(2) For purposes of this subsection--
(A) expenditures made by or on behalf of any candidate nominated by a
political party for election to the office of Vice President of the
United States shall be considered to be expenditures made by or on
behalf of the candidate of such party for election to the office of
President of the United States; and
(B) an expenditure is made on behalf of a candidate, including a vice
presidential candidate, if it is made by--
(i) an authorized committee or any other agent of the candidate for
purposes of making any expenditure; or
(ii) any person authorized or requested by the candidate, an authorized
committee of the candidate, or an agent of the candidate, to make the
expenditure.
(c) Increases on limits based on increases in price index.
(1) At the beginning of each calendar year (commencing in 1976), as
there become available necessary data from the Bureau of Labor
Statistics of the Department of Labor, the Secretary of Labor shall
certify to the Commission and publish in the Federal Register the
percent difference between the price index for the 12 months preceding
the beginning of such calendar year and the price index for the base
period. Each limitation established by subsection (b) of this section
and subsection (d) of this section shall be increased by such percent
difference. Each amount so increased shall be the amount in effect for
such calendar year.
(2) For purposes of paragraph (1)--
(A) the term ``price index'' means the average over a calendar year of
the Consumer Price Index (all items--United States city average)
published monthly by the Bureau of Labor Statistics; and
(B) the term ``base period'' means the calendar year 1974.
(d) Expenditures by national committee, State committee, or subordinate
committee of State committee in connection with general election
campaign of candidates for Federal office.
(1) Notwithstanding any other provision of law with respect to
limitations on expenditures or limitations on contributions, the
national committee of a political party and a State committee of a
political party, including any subordinate committee of a State
committee may make expenditures in connection with the general election
campaign of candidates for Federal office, subject to the limitations
contained in paragraphs (2) and (3) of this subsection.
(2) The national committee of a political party may not make any
expenditure in connection with the general election campaign of any
candidate for President of the United States who is affiliated with
such party which exceeds an amount equal to 2 cents multiplied by the
voting age population of the United States (as certified under
subsection (e) of this section). Any expenditure under this paragraph
shall be in addition to any expenditure by a national committee of a
political party serving as the principal campaign committee of a
candidate for the office of President of the United States.
(3) The national committee of a political party, or a State committee
of a political party, including any subordinate committee of a State
committee, may not make any expenditure in connection with the general
election campaign of a candidate for Federal office in a State who is
affiliated with such party which exceeds--
(A) in the case of a candidate for election to the office of Senator,
or of Representative from a State which is entitled to only one
Representative, the greater of--
(i) 2 cents multiplied by the voting age population of the State (as
certified under subsection (e) of this section); or
(ii) $20,000; and
(B) in the case of a candidate for election to the office of
Representative, Delegate, or Resident Commissioner in any other State,
$10,000.
(e) Certification and publication of estimated voting age population.
During the first week of January 1975, and every subsequent year, the
Secretary of Commerce shall certify to the Commission and publish in
the Federal Register an estimate of the voting age population of the
United States, of each State, and of each congressional district as of
the first day of July next preceding the date of certification. The
``voting age population'' means resident population, 18 years of age or
older.
(f) Prohibited contributions and expenditures.
No candidate or political committee shall knowingly accept any
contribution or make any expenditure in violation of the provisions of
this section. No officer or employee of a political committee shall
knowingly accept a contribution made for the benefit or use of a
candidate, or knowingly make any expenditure on behalf of a candidate,
in violation of any limitation imposed on contributions and
expenditures under this section.
(g) Attribution of multi-state expenditures to candidate's expenditures
limitation in each State.
The Commission shall prescribe rules under which any expenditure by a
candidate for presidential nominations for use in 2 or more States
shall be attributed to such candidate's expenditure limitation in each
such State, based on the voting age population in such State which can
reasonably be expected to be influenced by such expenditure.
(h) Senatorial candidates.
Notwithstanding any other provision of this Act, amounts totaling not
more than $17,500 may be contributed to a candidate for nomination for
election, or for election, to the United States Senate during the year
in which an election is held in which he is such a candidate, by the
Republican or Democratic Senatorial Campaign Committee, or the national
committee of a political party, or any combination of such committees.
(Pub.L. 92-225, title III, Sec. 315, formerly Sec. 320, as added by
Pub.L. 94-283, title I, Sec. 112(2), May 11, 1976, 90 Stat. 486,
renumbered by Pub.L. 96-187, title I, Sec. 105(a)(5), Jan. 8, 1980, 93
Stat. 1354; Pub.L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.)
2 U.S.C. Sec. 441b. Contributions or Expenditures by National Banks,
Corporations, or Labor Organizations.
(a) It is unlawful for any national bank, or any corporation organized
by authority of any law of Congress, to make a contribution or
expenditure in connection with any election to any political office, or
in connection with any primary election or political convention or
caucus held to select candidates for any political office, of for any
corporation whatever, or any labor organization, to make a contribution
or expenditure in connection with any election at which Presidential
and vice presidential electors or a Senator or Representative in, or a
Delegate or Resident Commissioner to, Congress are to be voted for, or
in connection with any primary election or political convention or
caucus held to select candidates for any of the foregoing offices, or
for any candidate, political committee, or other person knowingly to
accept or receive any contribution prohibited by this section, or any
officer or any director of any corporation or any national bank or any
officer of any labor organization to consent to any contribution or
expenditure by the corporation, national bank, or labor organization,
as the case may be, prohibited by this section.
(b)(1) For the purposes of this section the term ``labor organization''
means any organization of any kind, or any agency or employee
representation committee or plan, in which employees participate and
which exists for the purpose, in whole or in part, of dealing with
employers concerning grievances, labor disputes, wages, rates of pay,
hours of employment, or conditions of work.
(2) For purposes of this section and section 79l(h) of title 15, the
term ``contribution or expenditure'' shall include any direct or
indirect payment, distribution, loan, advance, deposit, or gift of
money, or any services, or anything of value (except a loan of money by
a national or State bank made in accordance with the applicable banking
laws and regulations and in the ordinary course of business) to any
candidate, campaign committee, or political party or organization, in
connection with any election to any of the offices referred to in this
section, but shall not include (A) communications by a corporation to
its stockholders and executive or administrative personnel and their
families or by a labor organization to its members and their families
on any subject; (B) nonpartisan registration and get-out-the-vote
campaigns by a corporation aimed at its stockholders and executive or
administrative personnel and their families, or by a labor organization
aimed at its members and their families; and (C) the establishment,
administration, and solicitation of contributions to a separate
segregated fund to be utilized for political purposes by a corporation,
labor organization, membership organization, cooperative, or
corporation without capital stock.
(3) It shall be unlawful--
(A) for such a fund to make a contribution or expenditure by utilizing
money or anything of value secured by physical force, job
discrimination, financial reprisals, or the threat of force, job
discrimination, or financial reprisal; or by dues, fees, or other
moneys required as a condition of membership in a labor organization or
as a condition of employment, or by moneys obtained in any commercial
transaction;
(B) For any person soliciting an employee for a contribution to such a
fund to fail to inform such employee of the political purposes of such
fund at the time of such solicitation; and
(C) for any person soliciting an employee for a contribution to such a
fund to fail to inform such employee, at the time of such solicitation,
of his right to refuse to so contribute without any reprisal.
(4)(A) Except as provided in subparagraphs (B), (C), and (D), it shall
be unlawful--
(i) for a corporation, or a separate segregated fund established by a
corporation, to solicit contributions to such a fund from any person
other than its stockholders and their families and its executive or
administrative personnel and their families, and
(ii) for a labor organization, or a separate segregated fund
established by a labor organization, to solicit contributions to such a
fund from any person other than its members and their families.
(B) It shall not be unlawful under this section for a corporation, a
labor organization, or a separate segregated fund established by such
corporation or such labor organization, to make 2 written solicitations
for contributions during the calendar year from any stockholder,
executive or administrative personnel, or employee of a corporation or
the families of such persons. A solicitation under this subparagraph
may be made only by mail addressed to stockholders, executive or
administrative personnel, or employees at their residence and shall be
so designed that the corporation, labor organization, or separate
segregated fund conducting such solicitation cannot determine who makes
a contribution of $50 or less as a result of such solicitation and who
does not make such a contribution.
(C) This paragraph shall not prevent a membership organization,
cooperative, or corporation without capital stock, or a separate
segregated fund established by a membership organization, cooperative,
or corporation without capital stock, from soliciting contributions to
such a fund from members of such organization, cooperative, or
corporation without capital stock.
(D) This paragraph shall not prevent a trade association or a separate
segregated fund established by a trade association from soliciting
contributions from the stockholders and executive or administrative
personnel of the member corporations of such trade association and the
families of such stockholders or personnel to the extent that such
solicitation of such stockholders and personnel, and their families,
has been separately and specifically approved by the member corporation
involved, and such member corporation does not approve any such
solicitation by more than one trade association in any calendar year.
(5) Notwithstanding any other law, any method of soliciting voluntary
contributions or of facilitating the making of voluntary contributions
to a separate segregated fund established by a corporation, permitted
by law to corporations with regard to stockholders and executive or
administrative personnel, shall also be permitted to labor
organizations with regard to their members.
(6) Any corporation, including its subsidiaries, branches, divisions,
and affiliates, that utilizes a method of soliciting voluntary
contributions or facilitating the making of voluntary contributions,
shall make available such method, on written request and at a cost
sufficient only to reimburse the corporation for the expenses incurred
thereby, to a labor organization representing any members working for
such corporation, its subsidiaries, branches, divisions, and
affiliates.
(7) For purposes of this section, the term ``executive or
administrative personnel'' means individuals employed by a corporation
who are paid on a salary, rather than hourly, basis and who have
policy-making managerial, professional, or supervisory
responsibilities.
(Pub.L. 92-225, title III, Sec. 316, formerly Sec. 321, as added by
Pub.L. 94-283, title I, Sec. 112(2), May 11, 1976, 90 Stat. 490,
renumbered and amended by Pub.L. 96-187, title I, Sec. Sec. 105(a)(5),
112(d), Jan. 8, 1980, 93 Stat. 1354, 1366.)
2 U.S.C. Sec. 441c. Contributions by Government Contractors.
(a) Prohibition.
It shall be unlawful for any person--
(1) who enters into any contract with the United States or any
department or agency thereof either for the rendition of personal
services or furnishing any material, supplies, or equipment to the
United States or any department or agency thereof or for selling any
land or building to the United States or any department or agency
thereof, if payment for the performance of such contract or payment for
such material, supplies, equipment, land, or building is to be made in
whole or in part from funds appropriated by the Congress, at any time
between the commencement of negotiations for and the later of (A) the
completion of performance under; or (B) the termination of negotiations
for, such contract or furnishing of material, supplies, equipment,
land, or buildings, directly or indirectly to make any contribution of
money or other things of value, or to promise expressly or impliedly to
make any such contribution to any political party, committee, or
candidate for public office or to any person for any political purpose
or use; or
(2) knowingly to solicit any such contribution from any such person for
any such purpose during any such period.
(b) Separate segregated funds.
This section does not prohibit or make unlawful the establishment or
administration of, or the solicitation of contributions to, any
separate segregated fund by any corporation, labor organization,
membership organization, cooperative, or corporation without capital
stock for the purpose of influencing the nomination for election, or
election of any person to Federal office, unless the provisions of
section 441b of this title prohibit or make unlawful the establishment
or administration of, or the solicitation of contributions to, such
fund. Each specific prohibition, allowance, and duty applicable to a
corporation, labor organization, or separate fund under section 441b of
this title applies to a corporation, labor organization, or separate
segregated fund to which this subsection applies.
(c) ``Labor organization'' defined.
For purposes of this section, the term ``labor organization'' has the
meaning given it by section 441b(b)(1) of this title.
(Pub.L. 92-225, title III, Sec. 317, formerly Sec. 322, as added by
Pub.L. 94-283, title I, Sec. 112(2), May 11, 1976, 90 Stat. 492,
renumbered by Pub.L. 96-187, title I, Sec. 105(a)(5), Jan. 8, 1980, 93
Stat. 1354.)
2 U.S.C. Sec. 441d. Publication or Distribution of Political Statements
and Solicitations.
(a) Whenever any person makes an expenditure for the purpose of
financing communications expressly advocating the election or defeat of
a clearly identified candidate, or solicits any contribution through
any broadcasting station, newspaper, magazine, outdoor advertising
facility, direct mailing, or any other type of general public political
advertising, such communication--
(1) if paid for and authorized by a candidate, an authorized political
committee of a candidate, or its agents, shall clearly state that the
communication has been paid for by such authorized political committee,
or
(2) if paid for by other persons but authorized by a candidate, an
authorized political committee of a candidate, or its agents, shall
clearly state that the communication is paid for by such other persons
and authorized by such authorized political committee;
(3) if not authorized by a candidate, an authorized political committee
of a candidate, or its agents, shall clearly state the name of the
person who paid for the communication and state that the communication
is not authorized by any candidate or candidate's committee.
(b) No person who sells space in a newspaper or magazine to a candidate
or to the agent of a candidate, for use in connection with such
candidate's campaign, may charge any amount for such space which
exceeds the amount charged for comparable use of such space for other
purposes.
(Pub.L. 92-225, title III, Sec. 318, formerly Sec. 323, as added by
Pub.L. 94-283, title I, Sec. 112(2), May 11, 1976, 90 Stat. 493,
renumbered and amended by Pub.L. 96-187, title I, Sec. Sec. 105(a)(5),
111, Jan. 8, 1980, 93 Stat. 1354, 1365-66.)
2 U.S.C. Sec. 441e. Contributions by Foreign Nationals.
(a) It shall be unlawful for a foreign national directly or through any
other person to make any contribution of money or other thing of value,
or to promise expressly or impliedly to make any such contribution, in
connection with an election to any political office or in connection
with any primary election, convention, or caucus held to select
candidates for any political office; or for any person to solicit,
accept, or receive any such contribution from a foreign national.
(b) As used in this section, the term ``foreign national'' means--
(1) a foreign principal, as such term is defined by section 611(b) of
title 22, except that the term ``foreign national'' shall not include
any individual who is a citizen of the United States; or
(2) an individual who is not a citizen of the United States and who is
not lawfully admitted for permanent residence, as defined by section
1101(a)(20) of title 8.
(Pub.L. 94-225, title III, Sec. 319, formerly Sec. 324, as added by
Pub.L. 94-283, title I, Sec. 112(2), May 11, 1976, 90 Stat. 493,
renumbered by Pub.L. 96-187, title I, Sec. 105(a)(5), Jan. 8, 1980, 93
Stat. 1354.)
2 U.S.C. Sec. 441f. Contributions in Name of Another Prohibited.
No person shall make a contribution in the name of another person or
knowingly permit his name to be used to effect such a contribution, and
no person shall knowingly accept a contribution made by one person in
the name of another person.
(Pub.L. 92-225, title III, Sec. 320, formerly Sec. 325, as added by
Pub.L. 94-283, title I, Sec. 112(2), May 11, 1976, 90 Stat. 494,
renumbered by Pub.L. 96-187, title I, Sec. 105(a)(5), Jan. 8, 1980, 93
Stat. 1354.)
2 U.S.C. Sec. 441g. Limitation on Contribution of Currency.
No person shall make contributions of currency of the United States or
currency of any foreign country to or for the benefit of any candidate
which, in the aggregate, exceed $100, with respect to any campaign of
such candidate for nomination for election, or for election, to Federal
office.
(Pub.L. 92-225, title III, Sec. 321, formerly Sec. 326, as added by
Pub.L. 94-283, title I, Sec. 112(2), May 11, 1976, 90 Stat. 494,
renumbered by Pub.L. 96-187, title I, Sec. Sec. 105(a)(5), Jan. 8,
1980, 93 Stat. 1354.)
2 U.S.C. Sec. 441h. Fraudulent Misrepresentation of Campaign Authority.
No person who is a candidate for Federal office or an employee or agent
of such a candidate shall--
(1) fraudulently misrepresent himself or any committee or organization
under his control as speaking or writing or otherwise acting for or on
behalf of any other candidate or political party or employee or agent
thereof on a matter which is damaging to such other candidate or
political party or employee or agent thereof; or
(2) willfully and knowingly participate in or conspire to participate
in any plan, scheme, or design to violate paragraph (1).
(Pub.L. 92-225, title III, Sec. 322, formerly Sec. 327, as added by
Pub.L. 94-283, title I, Sec. 112(2), May 11, 1976, 90 Stat. 494,
renumbered by Pub.L. 96-187, title I, Sec. 105(a)(5), Jan. 8, 1980, 93
Stat. 1354.)
2 U.S.C. Sec. 441i. Acceptance of Excessive Honorariums.
[Repealed by Pub.L. 102-90, Aug. 14, 1992, 102 Stat. 447.]
2 U.S.C. Sec. 441j. Penalty for Violations. This provision was repealed
by Pub.L. 96-187, title I, Sec. 105(a)(1), Jan. 8, 1980, 93 Stat. 1354.
2 U.S.C. Sec. 442. Authority To Procure Technical Support and Other
Services and Incur Travel Expenses; Payment of Such Expenses.
For the purpose of carrying out his duties under the Federal Election
Campaign Act of 1971, the Secretary of the Senate is authorized, from
and after July 1, 1972, (1) to procure technical support services, (2)
to procure the temporary or intermittent services of individual
technicians, experts, or consultants, or organizations thereof, in the
same manner and under the same conditions, to the extent applicable, as
a standing committee of the Senate may procure such services under
section 72a(i) of this title, (3) with the prior consent of the
Government department or agency concerned and the Committee on Rules
and Administration, to use on a reimbursable basis the services of
personnel of any such department or agency, and (4) to incur official
travel expenses. Payments to carry out the provisions of this paragraph
shall be made from funds included in the appropriation ``Miscellaneous
Items'' under the heading ``Contingent Expenses of the Senate'' upon
vouchers approved by the Secretary of the Senate. All sums received by
the Secretary under authority of the Federal Election Campaign Act of
1971 shall be covered into the Treasury as miscellaneous receipts.
(Pub.L. 92-342, Sec. 101, July 10, 1972, 86 Stat. 435.)
2 U.S.C. Sec. 451. Extension of Credit by Regulated Industries.
The Secretary of Transportation, the Federal Communications Commission,
and the Interstate Commerce Commission shall each promulgate, within
ninety days after February 7, 1972, its own regulations with respect to
the extension of credit, without security, by any person regulated by
such Board or Commission to any candidate for Federal office, or to any
person on behalf of such a candidate, for goods furnished or services
rendered in connection with the campaign of such candidate for
nomination for election, or election, to such office.
(Pub.L. 92-225, title IV, Sec. 401, Feb. 7, 1972, 86 Stat. 19; amended
Pub.L. 93-443, title II, Sec. 201(b)(1), Oct. 15, 1974, 88 Stat. 1275;
amended Pub.L. 103-272, Sec. 4(a), July 5, 1994, 108 Stat. 1360;
amended Pub.L. 104-88, Title III, Sec. 313, Dec. 29, 1995, 109 Stat.
948; amended Pub.L. 104-287, Sec. 6(g), Oct. 11, 1996, 110 Stat. 3399.)
2 U.S.C. Sec. 452. Prohibition Against Use of Certain Federal Funds for
Election Activities.
No part of any funds appropriated to carry out the Economic Opportunity
Act of 1964 [42 U.S.C. 2701 et seq.] shall be used to finance directly
or indirectly, any activity designed to influence the outcome of any
election to Federal office, or any voter registration activity, or to
pay the salary of any officer or employee of the Community Services
Administration who, in his official capacity as such an officer or
employee, engages in any such activity.
(Pub.L. 92-225, title IV, Sec. 401, Feb. 7, 1972, 86 Stat. 19, as
amended by Pub.L. 93-443, title II, Sec. 201(b)(2), Oct. 15, 1974, 88
Stat. 1275.)
2 U.S.C. Sec. 453. State Laws Affected.
The provisions of this Act, and of rules prescribed under this Act,
supersede and preempt any provision of State law with respect to
election to Federal office.
(Pub.L. 92-225, title IV, Sec. 403, Feb. 7, 1972, 86 Stat. 20, as
amended by Pub.L. 93-443, title III, Sec. 301, Oct. 15, 1974, 88 Stat.
1289.)
2 U.S.C. Sec. 454. Partial Invalidity.
If any provision of this Act, or the application thereof to any person
or circumstance, is held invalid, the validity of the remainder of the
Act and the application of such provision to other persons and
circumstances shall not be affected thereby.
(Pub.L. 92-225, title IV, Sec. 404, Feb. 7, 1972, 86 Stat. 20.)
2 U.S.C. Sec. 455. Period of Limitations.
(a) No person shall be prosecuted, tried, or punished for any violation
of subchapter I of this chapter unless the indictment is found or the
information is instituted within 3 years after the date of the
violation.
(b) Notwithstanding any other provision of law--
(1) the period of limitations referred to in subsection (a) of this
section shall apply with respect to violations referred to in such
subsection committed before, on, or after the effective date of this
section; and
(2) no criminal proceeding shall be instituted against any person for
any act or omission which was a violation of any provision of
subchapter I of this chapter, as in effect on December 31, 1974, if
such act or omission does not constitute a violation of any such
provision, as amended by the Federal Election Campaign Act Amendments
of 1974.
Nothing in this subsection shall affect any proceeding pending in any
court of the United States on January 1, 1975.
(Pub.L. 92-225, title IV, Sec. 406, as added by Pub.L. 93-443, title
III, Sec. 302, Oct. 15, 1974, 88 Stat. 1289-90, as amended by Pub.L.
94-283, title I, Sec. 115(f), May 11, 1976, 90 Stat. 496.)
2 U.S.C. Sec. 456. Additional Enforcement Authority. This provision was
repealed by Pub.L. 94-283, title I, Sec. 111, May 11, 1976, 90 Stat.
486.
E. Financial Disclosure Requirements of Executive
Personnel, Including Candidates for Nomination or
Election to the Office of President or Vice President (Title 5, United
States Code Appendix)
5 U.S.C. App. Sec. 101. Persons Required To File.
(a) Within thirty days of assuming the position of an officer or
employee described in subsection (f), an individual shall file a report
containing the information described in section 102(b) [5 U.S.C. App.
Sec. 102(b)] unless the individual has left another position described
in subsection (f) within thirty days prior to assuming such new
position or has already filed a report under this title [5 U.S.C. App.
Sec. Sec. 101 et seq.] with respect to nomination for the new position
or as a candidate for the position.
(b)(1) Within five days of the transmittal by the President to the
Senate of the nomination of an individual (other than an individual
nominated for appointment to a position as a Foreign Service Officer or
a grade or rank in the uniformed services for which the pay grade
prescribed by section 201 of title 37, United States Code, is O-6 or
below) to a position, appointment to which requires the advice and
consent of the Senate, such individual shall file a report containing
the information described in section 102(b) [5 U.S.C. App.
Sec. 102(b)]. Such individual shall, not later than the date of the
first hearing to consider the nomination of such individual, make
current the report filed pursuant to this paragraph by filing the
information required by section 102(a)(1)(A) [5 U.S.C. App.
Sec. 102(a)(1)(A)] with respect to income and honoraria received as of
the date which occurs five days before the date of such hearing.
Nothing in this Act shall prevent any Congressional committee from
requesting, as a condition of confirmation, any additional financial
information from any Presidential nominee whose nomination has been
referred to that committee.
(2) An individual whom the President or the President-elect has
publicly announced he intends to nominate to a position may file the
report required by paragraph (1) at any time after that public
announcement, but not later than is required under the first sentence
of such paragraph.
(c) Within thirty days of becoming a candidate as defined in section
301 of the Federal Campaign Act of 1971 [2 U.S.C. Sec. 431], in a
calendar year for nomination or election to the office of President,
Vice President, or Member of Congress, or on or before May 15 of that
calendar year, whichever is later, but in no event later than 30 days
before the election, and on or before May 15 of each successive year an
individual continues to be a candidate, an individual other than an
incumbent President, Vice President, or Member of Congress shall file a
report containing the information described in section 102(b) [5 U.S.C.
App. Sec. 102(b)]. Notwithstanding the preceding sentence, in any
calendar year in which an individual continues to be a candidate for
any office but all elections for such office relating to such candidacy
were held in prior calendar years, such individual need not file a
report unless he becomes a candidate for another vacancy in that office
or another office during that year.
(d) Any individual who is an officer or employee described in
subsection (f) during any calendar year and performs the duties of his
position or office for a period in excess of sixty days in that
calendar year shall file on or before May 15 of the succeeding year a
report containing the information described in section 102(a) [5 U.S.C.
App. Sec. 102(a)].
(e) Any individual who occupies a position described in subsection (f)
shall, on or before the thirtieth day after termination of employment
in such position, file a report containing the information described in
section 102(a) [5 U.S.C. App. Sec. 102(a)] covering the preceding
calendar year if the report required by subsection (d) has not been
filed and covering the portion of the calendar year in which such
termination occurs up to the date the individual left such office or
position, unless such individual has accepted employment in another
position described in subsection (f).
(f) The officers and employees referred to in subsections (a), (d), and
(e) are--
(1) the President;
(2) the Vice President;
(3) each officer or employee in the executive branch, including a
special Government employee as defined in section 202 of title 18,
United States Code, who occupies a position classified above GS-15 of
the General Schedule or, in the case of positions not under the General
Schedule, for which the rate of basic pay is equal to or greater than
120 percent of the minimum rate of basic pay payable for GS-15 of the
General Schedule, each member of a uniformed service whose pay grade is
at or in excess of O-7 under section 201 of title 37, United States
Code; and each officer or employee in any other position determined by
the Director of the Office of Government Ethics to be of equal
classification;
(4) each employee appointed pursuant to section 3105 of title 5, United
States Code;
(5) any employee not described in paragraph (3) who is in a position in
the executive branch which is excepted from the competitive service by
reason of being of a confidential or policymaking character, except
that the Director of the Office of Government Ethics may, by
regulation, exclude from the application of this paragraph any
individual, or group of individuals, who are in such positions, but
only in cases in which the Director determines such exclusion would not
affect adversely the integrity of the Government or the public's
confidence in the integrity of the Government;
(6) the Postmaster General, the Deputy Postmaster General, each
Governor of the Board of Governors of the United States Postal Service
and each officer or employee of the United States Postal Service or
Postal Rate Commission who occupies a position for which the rate of
basic pay is equal to or greater than 120 percent of the minimum rate
of basic pay payable for GS-15 of the General Schedule;
(7) the Director of the Office of Government Ethics and each designated
agency ethics official;
(8) any civilian employee not described in paragraph (3), employed in
the Executive Office of the President (other than a special government
employee) who holds a commission of appointment from the President;
(9) a Member of Congress as defined under section 109(12) [5 U.S.C.
App. Sec. 109(12)];
(10) an officer or employee of the Congress as defined under section
109(13) [5 U.S.C. App. Sec. 109(13)];
(11) a judicial officer as defined under section 109(10) [5 U.S.C. App.
Sec. 109(10)]; and
(12) a judicial employee as defined under section 109(8) [5 U.S.C. App.
Sec. 109(8)].
(g)(1) Reasonable extensions of time for filing any report may be
granted under procedures prescribed by the supervising ethics office
for each branch, but the total of such extensions shall not exceed
ninety days.
(2)(A) In the case of an individual who is serving in the Armed Forces,
or serving in support of the Armed Forces in an area while that area is
designated by the President by Executive order as a combat zone for
purposes of section 112 of the Internal Revenue Code of 1986, the date
for the filing of any report shall be extended so that the date is 180
days after the later of--
(i) the last day of the individual's service in such area during such
designated period; or
(ii) the last day of the individual's hospitalization as a result of
injury received or disease contracted while serving in such area.
(B) The Office of Government Ethics, in consultation with the Secretary
of Defense, may prescribe procedures under this paragraph.
(h) The provisions of subsections (a), (b), and (e) shall not apply to
an individual who, as determined by the designated agency ethics
official or Secretary concerned (or in the case of a Presidential
appointee under subsection (b), the Director of the Office of
Government Ethics), the congressional ethics committees, or the
Judicial Conference, is not reasonably expected to perform the duties
of his office or position for more than sixty days in a calendar year,
except that if such individual performs the duties of his office or
position for more than sixty days in a calendar year--
(1) the report required by subsections (a) and (b) shall be filed
within fifteen days of the sixtieth day, and
(2) the report required by subsection (e) shall be filed as provided in
such subsection.
(i) The supervising ethics office for each branch may grant a publicly
available request for a waiver of any reporting requirement under this
section for an individual who is expected to perform or has performed
the duties of his office or position less than one hundred and thirty
days in a calendar year, but only if the supervising ethics office
determines that--
(1) such individual is not a full-time employee of the Government,
(2) such individual is able to provide services specially needed by the
Government,
(3) it is unlikely that the individual's outside employment or
financial interests will create a conflict of interest, and
(4) public financial disclosure by such individual is not necessary in
the circumstances.
(Oct. 26, 1978, Pub.L. 95-521, title II, Sec. 101; as amended June 13,
1979, Pub.L. 96-19, Sec. 2 (a)(1), (b), (c)(1), 4 (b)(1), (d)-(f), 5,
93 Stat. 37, 38, 40; Nov. 30, 1989, Pub.L. 101-194, title I, Sec. 202,
103 Stat. 1725; May 4, 1990, Pub.L. 101-280, Sec. 3 (1), (2), 104 Stat.
152; Pub.L. 102-25, title VI, Sec. 605(a), Apr. 6, 1991, 105 Stat. 110;
Pub.L. 102-398, Sec. 4(a)(1), Oct. 2, 1992, 106 Stat. 1356.)
5 U.S.C. App. Sec. 102. Contents of Reports.
(a) Each report filed pursuant to section 101 (d) and (e) [5 U.S.C.
App. Sec. 101 (d), (e)] shall include a full and complete statement
with respect to the following:
(1)(A) The source, type, and amount or value of income (other than
income referred to in subparagraph (B)) from any source (other than
from current employment by the United States Government), and the
source, date, and amount of honoraria from any source, received during
the preceding calendar year, aggregating $200 or more in value and,
effective January 1, 1991, the source, date, and amount of payments
made to charitable organizations in lieu of honoraria, and the
reporting individual shall simultaneously file with the applicable
supervising ethics office, on a confidential basis, a corresponding
list of recipients of all such payments, together with the dates and
amounts of such payments.
(B) The source and type of income which consists of dividends, rents,
interest, and capital gains, received during the preceding calendar
year which exceeds $200 in amount or value, and an indication of which
of the following categories the amount or value of such item of income
is within:
(i) not more than $1,000,
(ii) greater than $1,000 but not more than $2,500,
(iii) greater than $2,500 but not more than $5,000,
(iv) greater than $5,000 but not more than $15,000,
(v) greater than $15,000 but not more than $50,000,
(vi) greater than $50,000 but not more than $100,000,
(vii) greater than $100,000 but not more than $1,000,000,
(viii) greater than $1,000,000 but not more than $5,000,000 or
(ix) greater than $5,000,000.
(2)(A) The identity of the source, a brief description, and the value
of all gifts aggregating more than the minimal value as established by
section 7342(a)(5) of title 5, United States Code, or $250, whichever
is greater, received from any source other than a relative of the
reporting individual during the preceding calendar year, except that
any food, lodging, or entertainment received as personal hospitality of
an individual need not be reported, and any gift with a fair market
value of $100 or less, as adjusted at the same time and by the same
percentage as the minimal value is adjusted, need not be aggregated for
purposes of this subparagraph.
(B) The identity of the source and a brief description (including a
travel itinerary, dates, and nature of expenses provided) of
reimbursements received from any source aggregating more than the
minimal value as established by section 7342(a)(5) of title 5, United
States Code, or $250, whichever is greater and received during the
preceding calendar year.
(C) In an unusual case, a gift need not be aggregated under
subparagraph (A) if a publicly available request for a waiver is
granted.
(3) The identity and category of value of any interest in property held
during the preceding calendar year in a trade or business, or for
investment or the production of income, which has a fair market value
which exceeds $1,000 as of the close of the preceding calendar year,
excluding any personal liability owed to the reporting individual by a
spouse, or by a parent, brother, sister, or child of the reporting
individual or of the reporting individual's spouse, or any deposits
aggregating $5,000 or less in a personal savings account. For purposes
of this paragraph, a personal savings account shall include any
certificate of deposit or any other form of deposit in a bank, savings
and loan association, credit union, or similar financial institution.
(4) The identity and category of value of the total liabilities owed to
any creditor other than a spouse, or a parent, brother, sister, or
child of the reporting individual or of the reporting individual's
spouse which exceed $10,000 at any time during the preceding calendar
year, excluding--
(A) any mortgage secured by real property which is a personal residence
of the reporting individual or his spouse; and
(B) any loan secured by a personal motor vehicle, household furniture,
or appliances, which loan does not exceed the purchase price of the
item which secures it.
With respect to revolving charge accounts, only those with an
outstanding liability which exceeds $10,000 as of the close of the
preceding calendar year need be reported under this paragraph.
(5) Except as provided in this paragraph, a brief description, the
date, and category of value of any purchase, sale or exchange during
the preceding calendar year which exceeds $1,000--
(A) in real property, other than property used solely as a personal
residence of the reporting individual or his spouse; or
(B) in stocks, bonds, commodities futures, and other forms of
securities.
Reporting is not required under this paragraph of any transaction
solely by and between the reporting individual, his spouse, or
dependent children.
(6)(A) The identity of all positions held on or before the date of
filing during the current calendar year (and, for the first report
filed by an individual, during the two-year period preceding such
calendar year) as an officer, director, trustee, partner, proprietor,
representative, employee, or consultant of any corporation, company,
firm, partnership, or other business enterprise, any nonprofit
organization, any labor organization, or any educational or other
institution other than the United States. This subparagraph shall not
require the reporting of positions held in any religious, social,
fraternal, or political entity and positions solely of an honorary
nature.
(B) If any person, other than the United States Government, paid a
nonelected reporting individual compensation in excess of $5,000 in any
of the two calendar years prior to the calendar year during which the
individual files his first report under this title [5 U.S.C. App.
Sec. 101 et seq.], the individual shall include in the report--
(i) the identity of each source of such compensation; and
(ii) a brief description of the nature of the duties performed or
services rendered by the reporting individual for each such source.
The preceding sentence shall not require any individual to include in
such report any information which is considered confidential as a
result of a privileged relationship, established by law, between such
individual and any person nor shall it require an individual to report
any information with respect to any person for whom services were
provided by any firm or association of which such individual was a
member, partner, or employee unless such individual was directly
involved in the provision of such services.
(7) A description of the date, parties to, and terms of any agreement
or arrangement with respect to (A) future employment; (B) a leave of
absence during the period of the reporting individual's Government
service; (C) continuation of payments by a former employer other than
the United States Government; and (D) continuing participation in an
employee welfare or benefit plan maintained by a former employer.
(8) The category of the total cash value of any interest of the
reporting individual in a qualified blind trust, unless the trust
instrument was executed prior to July 24, 1995 and precludes the
beneficiary from receiving information on the total cash value of any
interest in the qualified blind trust.
(b)(1) Each report filed pursuant to subsections (a), (b), and (c) of
section 101 [5 U.S.C. App. Sec. 101 (a)-(c)] shall include a full and
complete statement with respect to the information required by--
(A) paragraph (1) of subsection (a) for the year of filing and
preceding calendar year,
(B) paragraphs (3) and (4) of subsection (a) as of the date specified
in the report but which is less than thirty-one days before the filing
date, and
(C) paragraphs (6) and (7) of subsection (a) as of the filing date but
for periods described in such paragraphs.
(2)(A) In lieu of filling out one or more schedules of a financial
disclosure form, an individual may supply the required information in
an alternative format, pursuant to either rules adopted by the
supervising ethics office for the branch in which such individual
serves or pursuant to a specific written determination by such office
for a reporting individual.
(B) In lieu of indicating the category of amount or value of any item
contained in any report filed under this title [5 U.S.C. App. Sec. 101
et seq.], a reporting individual may indicate the exact dollar amount
of such item.
(c) In the case of any individual described in section 101(e) [5 U.S.C.
App. Sec. 101(e)], any reference to the preceding calendar year shall
be considered also to include that part of the calendar year of filing
up to the date of the termination of employment.
(d)(1) The categories for reporting the amount or value of the items
covered in paragraphs (3), (4), (5), and (8) of subsection (a) are as
follows:
(A) not more than $15,000;
(B) greater than $15,000 but not more than $50,000;
(C) greater than $50,000 but not more than $100,000;
(D) greater than $100,000 but not more than $250,000;
(E) greater than $250,000 but not more than $500,000;
(F) greater than $500,000 but not more than $1,000,000;
(G) greater than $1,000,000 but not more than $5,000,000;
(H) greater than $5,000,000 but not more than $25,000,000;
(I) greater than $25,000,000 but not more than $50,000,000; and
(J) greater than $50,000,000.
(2) For the purposes of paragraph (3) of subsection (a) if the current
value of an interest in real property (or an interest in a real estate
partnership) is not ascertainable without an appraisal, an individual
may list (A) the date of purchase and the purchase price of the
interest in the real property, or (B) the assessed value of the real
property of tax purposes, adjusted to reflect the market value of the
property used for the assessment if the assessed value is computed at
less than 100 percent of such market value, but such individual shall
include in his report a full and complete description of the method
used to determine such assessed value, instead of specifying a category
of value pursuant to paragraph (1) of this subsection. If the current
value of any other item required to be reported under paragraph (3) of
subsection (a) is not ascertainable without an appraisal, such
individual may list the book value of a corporation whose stock is not
publicly traded, the net worth of a business partnership, the equity
value of an individually owned business, or with respect to other
holdings, any recognized indication of value, but such individual shall
include in his report a full and complete description of the method
used in determining such value. In lieu of any value referred to in the
preceding sentence, an individual may list the assessed value of the
item for tax purposes, adjusted to reflect the market value of the item
used for the assessment if the assessed value is computed at less than
100 percent of such market value, but a full and complete description
of the method used in determining such assessed value shall be included
in the report.
(e)(1) Except as provided in the last sentence of this paragraph, each
report required by section 101 [5 U.S.C. App. Sec. 101] shall also
contain information listed in paragraphs (1) through (5) of subsection
(a) of this section respecting the spouse or dependent child of the
reporting individual as follows:
(A) The source of items of earned income earned by a spouse from any
person which exceed $1,000 and the source and amount of any honoraria
received by a spouse, except that, with respect to earned income (other
than honoraria), if the spouse is self-employed in business or a
profession, only the nature of such business or profession need be
reported.
(B) All information required to be reported in subsection (a)(1)(B)
with respect to income derived by a spouse or dependent child from any
asset held by the spouse or dependent child and reported pursuant to
subsection (a)(3).
(C) In the case of any gifts received by a spouse or dependent child
which are not received totally independent of the relationship of the
spouse or dependent child to the reporting individual, the identity of
the source and a brief description of gifts of transportation, lodging,
food, or entertainment and a brief description and the value of other
gifts.
(D) In the case of any reimbursements received by a spouse or dependent
child which are not received totally independent of the relationship of
the spouse or dependent child to the reporting individual, the identify
of the source and a brief description of each such reimbursement.
(E) In the case of items described in paragraphs (3) through (5) of
subsection (a), all information required to be reported under these
paragraphs other than items (i) which the reporting individual
certifies represent the spouse's or dependent child's sole financial
interest or responsibility and which the reporting individual has no
knowledge of, (ii) which are not in any way, past or present, derived
from the income, assets, or activities of the reporting individual, and
(iii) from which the reporting individual neither derives, nor expects
to derive, any financial or economic benefit.
(F) For purposes of this section, categories with amounts or values
greater than $1,000,000 set forth in sections 102(a)(1)(B) and
102(d)(1) shall apply to the income, assets, or liabilities of spouses
and dependent children only if the income, assets, or liabilities are
held jointly with the reporting individual. All other income, assets,
or liabilities of the spouse or dependent children required to be
reported under this section in an amount or value greater than
$1,000,000 shall be categorized only as an amount or value greater than
$1,000,000.
Reports required by subsections (a), (b), and (c) of section 101 [5
U.S.C. App. Sec. 101 (a)-(c)] shall, with respect to the spouse and
dependent child of the reporting individual, only contain information
listed in paragraphs (1), (3), and (4) of subsection (a), as specified
in this paragraph.
(2) No report shall be required with respect to a spouse living
separate and apart from the reporting individual with the intention of
terminating the marriage or providing for permanent separation; or with
respect to any income or obligations of an individual arising from the
dissolution of his marriage or the permanent separation from his
spouse.
(f)(1) Except as provided in paragraph (2), each reporting individual
shall report the information required to be reported pursuant to
subsections (a), (b), and (c) of this section with respect to the
holdings of and the income from a trust or other financial arrangement
from which income is received by, or with respect in which a beneficial
interest in principal or income is held by, such individual, his
spouse, or any dependent child.
(2) A reporting individual need not report the holdings of or the
source of income from any of the holdings of--
(A) any qualified blind trust (as defined in paragraph (3));
(B) a trust--
(i) which was not created directly by such individual, his spouse, or
any dependent child, and
(ii) the holdings or sources of income of which such individual, his
spouse, and any dependent child have no knowledge of; or
(C) an entity described under the provisions of paragraph (8), but such
individual shall report the category of the amount of income received
by him, his spouse, or any dependent child from the trust or other
entity under subsection (a)(1)(B) of this section.
(3) For purposes of this subsection, the term ``qualified blind trust''
includes any trust in which a reporting individual, his spouse, or any
minor or dependent child has a beneficial interest in the principal or
income, and which meets the following requirements:
(A)(i) The trustee of the trust and any other entity designated in the
trust instrument to perform fiduciary duties is a financial
institution, an attorney, a certified public accountant, a broker, or
an investment advisor who--
(I) is independent of and not associated with any interested party so
that the trustee or other person cannot be controlled or influenced in
the administration of the trust by any interested party; and
(II) is not and has not been an employee of or affiliated with any
interested party and is not a partner of, or involved in any joint
venture or other investment with, any interested party; and
(III) is not a relative of any interested party.
(ii) Any officer or employee of a trustee or other entity who is
involved in the management or control of the trust--
(I) is independent of and not associated with any interested party so
that such officer or employee cannot be controlled or influenced in the
administration of the trust by any interested party;
(II) is not a partner of, or involved in any joint venture or other
investment with, any interested party; and
(III) is not a relative of any interested party.
(B) Any asset transferred to the trust by an interested party is free
of any restriction with respect to its transfer or sale unless such
restriction is expressly approved by the supervising ethics office of
the reporting individual.
(C) The trust instrument which establishes the trust provides that--
(i) except to the extent provided in subparagraph (B) of this
paragraph, the trustee in the exercise of his authority and discretion
to manage and control the assets of the trust shall not consult or
notify any interested party;
(ii) the trust shall not contain any asset the holding of which by an
interested party is prohibited by any law or regulation;
(ii) the trustee shall promptly notify the reporting individual and his
supervising ethics office when the holdings of any particular asset
transferred to the trust by any interested party are disposed of or
when the value of such holding is less than $1,000;
(iv) the trust tax return shall be prepared by the trustee or his
designee, and such return and any information relating thereto (other
than the trust income summarized in appropriate categories necessary to
complete an interested party's tax return), shall not be disclosed to
any interested party;
(v) an interested party shall not receive any report on the holdings
and sources of income of the trust, except a report at the end of each
calendar quarter with respect to the total cash value of the interest
of the interested party in the trust or the net income or loss of the
trust or any reports necessary to enable the interested party to
complete an individual tax return required by law or to provide the
information required by subsection (a)(1) of this section, but such
report shall not identify any asset or holding;
(vi) except for communications which solely consist of requests for
distributions of cash or other unspecified assets of the trust, there
shall be no direct or indirect communication between the trustee and an
interested party with respect to the trust unless such communication is
in writing and unless it relates only (I) to the general financial
interest and needs of the interested party (including, but not limited
to, an interest in maximizing income or long-term capital gain), (II)
to the notification of the trustee of a law or regulation subsequently
applicable to the reporting individual which prohibits the interested
party from holding an asset, which notification directs that the asset
not be held by the trust, or (III) to directions to the trustee to sell
all of an asset initially placed in the trust by an interested party
which in the determination of the reporting individual creates a
conflict of interest or the appearance thereof due to the subsequent
assumption of duties by the reporting individual (but nothing herein
shall require any such direction); and
(vii) the interested parties shall make no effort to obtain information
with respect to the holdings of the trust, including obtaining a copy
of any trust tax return filed or any information relating thereto
except as otherwise provided in this subsection.
(D) The proposed trust instrument and the proposed trustee is approved
by the reporting individual's supervising ethics office.
(E) For purposes of this subsection, ``interested party'' means a
reporting individual, his spouse, and any minor or dependent child;
``broker'' has the meaning set forth in section 3(a)(4) of the
Securities and Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and
``investment adviser'' includes any investment adviser who, as
determined under regulations prescribed by the supervising ethics
office, is generally involved in his role as such an adviser in the
management or control of trusts.
(F) Any trust qualified by a supervising ethics office before the
effective date of title II of the Ethics Reform Act of 1989 shall
continue to be governed by the law and regulations in effect
immediately before such effective date.
(4)(A) An asset placed in a trust by an interested party shall be
considered a financial interest of the reporting individual, for the
purposes of any applicable conflict of interest statutes, regulations,
or rules of the Federal Government (including section 208 of title 18,
United States Code), until such time as the reporting individual is
notified by the trustee that such asset has been disposed of, or has a
value of less than $1,000.
(B)(i) The provisions of subparagraph (A) shall not apply with respect
to a trust created for the benefit of a reporting individual, or the
spouse, dependent child, or minor child of such a person, if the
supervising ethics office for such reporting individual finds that--
(I) the assets placed in the trust consist of a well-diversified
portfolio of readily marketable securities;
(II) none of the assets consist of securities of entities having
substantial activities in the area of the reporting individual's
primary area of responsibility;
(III) the trust instrument prohibits the trustee, notwithstanding the
provisions of paragraphs (3)(C) (iii) and (iv) of this subsection, from
making public or informing any interested party of the sale of any
securities;
(IV) the trustee is given power of attorney, notwithstanding the
provisions of paragraph (3)(C)(v) of this subsection, to prepare on
behalf of any interested party the personal income tax returns and
similar returns which may contain information relating to the trust;
and
(V) except as otherwise provided in this paragraph, the trust
instrument provides (or in the case of a trust established prior to the
effective date of this Act which by its term does not permit amendment,
the trustee, the reporting individual, and any other interested party
agree in writing) that the trust shall be administered in accordance
with the requirements of this subsection and the trustee of such trust
meets the requirements of paragraph (3)(A).
(ii) In any instance covered by subparagraph (B) in which the reporting
individual is an individual whose nomination is being considered by a
congressional committee, the reporting individual shall inform the
congressional committee considering his nomination before or during the
period of such individual's confirmation hearing of his intention to
comply with this paragraph.
(5)(A) The reporting individual shall, within thirty days after a
qualified blind trust is approved by his supervising ethics office,
file with such office a copy of--
(i) the executed trust instrument of such trust (other than those
provisions which relate to the testamentary disposition of the trust
assets), and
(ii) a list of the assets which were transferred to such trust,
including the category of value of each asset as determined under
subsection (d) of this section.
This subparagraph shall not apply with respect to a trust meeting the
requirements for being considered a qualified blind trust under
paragraph (7) of this subsection.
(B) The reporting individual shall, within thirty days of transferring
an asset (other than cash) to a previously established qualified blind
trust, notify his supervising ethics office of the identity of each
such asset and the category of value of each asset as determined under
subsection (d) of this section.
(C) Within thirty days of the dissolution of a qualified blind trust, a
reporting individual shall--
(i) notify his supervising ethics office of such dissolution, and
(ii) file with such office a copy of a list of the assets of the trust
at the time of such dissolution and the category of value under
subsection (d) of this section of each such asset.
(D) Documents filed under subparagraphs (A), (B), and (C) of this
paragraph and the lists provided by the trustee of assets placed in the
trust by an interested party which have been sold shall be made
available to the public in the same manner as a report is made
available under section 105 [5 U.S.C. App. Sec. 105] and the provisions
of that section shall apply with respect to such documents and lists.
(E) A copy of each written communication with respect to the trust
under paragraph (3)(C)(vi) shall be filed by the person initiating the
communication with the reporting individual's supervising ethics office
within five days of the date of the communication.
(6)(A) A trustee of a qualified blind trust shall not knowingly and
willfully, or negligently, (i) disclose any information to an
interested party with respect to such trust that may not be disclosed
under paragraph (3) of this subsection; (ii) acquire any holding the
ownership of which is prohibited by the trust instrument; (iii) solicit
advice from any interested party with respect to such trust, which
solicitation is prohibited by paragraph (3) of this subsection or the
trust agreement; or (iv) fail to file any document required by this
subsection.
(B) A reporting individual shall not knowingly and willfully, or
negligently, (i) solicit or receive any information with respect to a
qualified blind trust of which he is an interested party that may not
be disclosed under paragraph (3)(C) of this subsection or (ii) fail to
file any document required by this subsection.
(C)(i) The Attorney General may bring a civil action in any appropriate
United States district court against any individual who knowingly and
willfully violates the provisions of subparagraph (A) or (B) of this
paragraph. The court in which such action is brought may assess against
such individual a civil penalty in any amount not to exceed $10,000.
(ii) The Attorney General may bring a civil action in any appropriate
United States district court against any individual who negligently
violates the provisions of subparagraph (A) or (B) of this paragraph.
The court in which such action is brought may assess against such
individual a civil penalty in any amount not to exceed $5,000.
(7) Any trust may be considered to be a qualified blind trust if--
(A) the trust instrument is amended to comply with the requirements of
paragraph (3) or, in the case of a trust instrument which does not by
its terms permit amendment, the trustee, the reporting individual, and
any other interested party agree in writing that the trust shall be
administered in accordance with the requirements of this subsection and
the trustee of such trust meets the requirements of paragraph (3)(A);
except that in the case of any interested party who is a dependent
child, a parent or guardian of such child may execute the agreement
referred to in this subparagraph;
(B) a copy of the trust instrument (except testamentary provisions) and
a copy of the agreement referred to in subparagraph (A), and a list of
the assets held by the trust at the time of approval by the supervising
ethics office, including the category of value of each asset as
determined under subsection (d) of this section, are filed with such
office and made available to the public as provided under paragraph
(5)(D) of this subsection; and
(C) the supervising ethics office determines that approval of the trust
arrangement as a qualified blind trust is in the particular case
appropriate to assure compliance with applicable laws and regulations.
(8) A reporting individual shall not be required to report the
financial interests held by a widely held investment fund (whether such
fund is a mutual fund, regulated investment company, pension or
deferred compensation plan, or other investment fund), if--
(A)(i) the fund is publicly traded; or
(ii) the assets of the fund are widely diversified; and
(B) the reporting individual neither exercises control over nor has the
ability to exercise control over the financial interests held by the
fund.
(g) Political campaign funds, including campaign receipts and
expenditures, need not be included in any report filed pursuant to this
title [5 U.S.C. App. Sec. 101 et seq.].
(h) A report filed pursuant to subsection (a), (d), or (e) of section
101 [5 U.S.C. App. Sec. 101 (a), (d), or (e)] need not contain the
information described in subparagraphs (A), (B), and (C) of subsection
(a)(2) with respect to gifts and reimbursements received in a period
when the reporting individual was not an officer or employee of the
Federal Government.
(i) A reporting individual shall not be required under this title [5
U.S.C. App. Sec. 101 et seq.] to report--
(1) financial interests in or income derived from--
(A) any retirement system under title 5, United States Code (including
the Thrift Savings Plan under subchapter III of chapter 84 of such
title [5 U.S.C. Sec. 8431 et seq.] ); or
(B) any other retirement system maintained by the United States for
officers or employees of the United States, including the President, or
for members of the uniformed services; or
(2) benefits received under the Social Security Act [42 U.S.C. Sec. 301
et seq.].
(Oct. 26, 1978, Pub.L. 95-521, title II, Sec. 102; as amended June 13,
1979, Pub.L. 96-19, Sec. Sec. 3(a)(1), (b), 6(a), 7(a)-(d)(1), (f),
9(b), (c)(1), (j), 93 Stat. 39-43; Oct. 1, 1981, Pub.L. 97-51,
Sec. 130(b), 95 Stat. 966; Nov. 11, 1983, Pub.L. 98-150, Sec. 10 in
part, 97 Stat. 962; Nov. 30, 1989, Pub.L. 101-194, title II, Sec. 202,
103 Stat. 1727; May 4, 1990, Pub.L. 101-280, Sec. 3(3), 104 Stat. 152;
Pub.L. 102-90, Title III, Sec. 314(a), Aug. 14, 1991, 105 Stat. 469;
Pub.L. 104-65, Sec. Sec. 20, 22(a), (b), Dec. 19, 1995, 109 Stat. 704,
705.)
5 U.S.C. App. 4 Sec. 103. Filing of Reports.
(a) Except as otherwise provided in this section, the reports required
under this title [5 U.S.C. App. 4 Sec. 101 et seq.] shall be filed by
the reporting individual with the designated agency ethics official at
the agency by which he is employed (or in the case of an individual
described in section 101(e) [5 U.S.C. App. 4 Sec. 101(e)], was
employed) or in which he will serve. The date any report is received
(and the date of receipt of any supplemental report) shall be noted on
such report by such official.
(b) The President, the Vice President, and independent counsel and
persons appointed by independent counsel under chapter 40 of title 28,
United States Code [28 U.S.C. Sec. 591 et seq.], shall file reports
required under this title with the Director of the Office of Government
Ethics.
(c) Copies of the reports required to be filed under this title [5
U.S.C. App. 4 Sec. 101 et seq.] by the Postmaster General, the Deputy
Postmaster General, the Governors of the Board of Governors of the
United States Postal Service, designated agency ethics officials,
employees described in section 105(a)(2) (A) or (B), 106(a)(1) (A) or
(B), or 107 (a)(1)(A) or (b)(1)(A)(i), of title 3, United States Code,
candidates for the office of President or Vice President and officers
and employees in (and nominees to) offices or positions which require
confirmation by the Senate or by both Houses of Congress other than
individuals nominated to be judicial officers and those referred to in
subsection (f) shall be transmitted to the Director of the Office of
Government Ethics. The Director shall forward a copy of the report of
each nominee to the congressional committee considering the nomination.
(d) Reports required to be filed under this title [5 U.S.C. App. 4
Sec. 101 et seq.] by the Director of the Office of Government Ethics
shall be filed in the Office of Government Ethics and, immediately
after being filed, shall be made available to the public in accordance
with this title [5 U.S.C. App. 4 Sec. 101 et seq.].
(e) Each individual identified in section 101(c) [5 U.S.C. App. 4
Sec. 101(c)] who is a candidate for nomination or election to the
Office of President or Vice President shall file the reports required
by this title [5 U.S.C. App. 4 Sec. 101 et seq.] with the Federal
Election Commission.
(f) Reports required of members of the uniformed services shall be
filed with the Secretary concerned.
(g) Each supervising ethics office shall develop and make available
forms for reporting the information required by this title [5 U.S.C.
App. 4 Sec. 101 et seq.].
(h)(1) The reports required under this title [5 U.S.C. App. 4 Sec. 101
et seq.] shall be filed by a reporting individual with--
(A)(i)(I) the Clerk of the House of Representatives, in the case of a
Representative in Congress, a Delegate to Congress, the Resident
Commissioner from Puerto Rico, an officer or employee of the Congress
whose compensation is disbursed by the Chief Administrative Officer of
the House of Representatives, an officer or employee of the Architect
of the Capitol, the United States Botanic Garden, the Congressional
Budget Office, the Government Printing Office, the Library of Congress,
or the Copyright Royalty Tribunal (including any individual terminating
service, under section 101(e) [5 U.S.C. App. 4 Sec. 101(e)], in any
office or position referred to in this subclause), or an individual
described in section 101(c) [5 U.S.C. App. 4 Sec. 101(c)] who is a
candidate for nomination or election as a Representative in Congress, a
Delegate to Congress, or the Resident Commissioner from Puerto Rico;
and
(II) the Secretary of the Senate, in the case of a Senator, an officer
or employee of the Congress whose compensation is disbursed by the
Secretary of the Senate, an officer or employee of the General
Accounting Office, the Office of Technology Assessment, or the Office
of the Attending Physician (including any individual terminating
service, under section 101(e) [5 U.S.C. App. 4 Sec. 101(2)], in any
office or position referred to in this subclause), or an individual
described in section 101(c) [5 U.S.C. App. 4 Sec. 101(c)] who is a
candidate for nomination or election as a Senator; and
(ii) in the case of an officer or employee of the Congress as described
under section 101(f)(10) [5 U.S.C. App. 4 Sec. 101(f)(10)] who is
employed by an agency or commission established in the legislative
branch after the date of the enactment of the Ethics Reform Act of 1989
[enacted Nov. 30, 1989]--
(I) the Secretary of the Senate or the Clerk of the House of
Representatives, as the case may be, as designated in the statute
establishing such agency or commission; or
(II) if such statute does not designate such committee, the Secretary
of the Senate for agencies and commissions established in even numbered
calendar years, and the Clerk of the House of Representatives for
agencies and commissions established in odd numbered calendar years;
and
(B) the Judicial Conference with regard to a judicial officer or
employee described under paragraphs (11) and (12) of section 101(f) [5
U.S.C. App. 4 Sec. 101(f) (11), (12)] (including individuals
terminating service in such office or position under section 101(e) [5
U.S.C. App. 4 Sec. 101(e)] or immediately preceding service in such
office or position).
(2) The date any report is received (and the date of receipt of any
supplemental report) shall be noted on such report by such committee.
(i) A copy of each report filed under this title [5 U.S.C. App. 4
Sec. 101 et seq.] by a Member or an individual who is a candidate for
the office of Member shall be sent by the Clerk of the House of
Representatives or Secretary of the Senate, as the case may be, to the
appropriate State officer designated under section 316(a) of the
Federal Election Campaign Act of 1971 [2 U.S.C. Sec. 439(a)] of the
State represented by the Member or in which the individual is a
candidate, as the case may be, within the 30-day period beginning on
the day the report is filed with the Clerk or Secretary.
(j)(1) A copy of each report filed under this title [5 U.S.C. App. 4
Sec. 101 et seq.] with the Clerk of the House of Representatives shall
be sent by the Clerk to the Committee on Standards of Official Conduct
of the House of Representatives within the 7-day period beginning on
the day the report is filed.
(2) A copy of each report filed under this title [5 U.S.C. App. 4
Sec. 101 et seq.] with the Secretary of the Senate shall be sent by the
Secretary to the Select Committee on Ethics of the Senate within the 7-
day period beginning on the day the report is filed.
(k) In carrying out their responsibilities under this title [5 U.S.C.
App. 4 Sec. 101 et seq.] with respect to candidates for office, the
Clerk of the House of Representatives and the Secretary of the Senate
shall avail themselves of the assistance of the Federal Election
Commission. The Commission shall make available to the Clerk and the
Secretary on a regular basis a complete list of names and addresses of
all candidates registered with the Commission, and shall cooperate and
coordinate its candidate information and notification program with the
Clerk and the Secretary to the greatest extent possible.
(Oct. 26, 1978, Pub.L. 95-521, title II, Sec. 103; as amended June 13,
1979, Pub.L. 96-19, Sec. Sec. 4(b)(2), 9(a), 93 Stat. 40, 42; Nov. 30,
1989, Pub.L. 101-194, title II, Sec. 202, 103 Stat. 1736; May 4, 1990,
Pub.L. 101-280, Sec. 3(1), (4), 104 Stat. 152, 153; Pub.L. 102-90,
Title III, Sec. 313(1), Aug. 14, 1991, 105 Stat. 469; Pub.L. 104-186,
Title II, Sec. 216(1), Aug. 20, 1996, 110 Stat. 1747.)
5 U.S.C. App. 4 Sec. 104. Failure To File or Filing False Reports.
(a) The Attorney General may bring a civil action in any appropriate
United States district court against any individual who knowingly and
willfully falsifies or who knowingly and willfully fails to file or
report any information that such individual is required to report
pursuant to section 102 [5 U.S.C. App. 4 Sec. 102]. The court in which
such action is brought may assess against such individual a civil
penalty in any amount, not to exceed $10,000.
(b) The head of each agency, each Secretary concerned, the Director of
the Office of Government Ethics, each congressional ethics committee,
or the Judicial Conference, as the case may be, shall refer to the
Attorney General the name of any individual which such official or
committee has reasonable cause to believe has willfully failed to file
a report or has willfully falsified or willfully failed to file
information required to be reported. Whenever the Judicial Conference
refers a name to the Attorney General under this subsection, the
Judicial Conference also shall notify the judicial council of the
circuit in which the named individual serves of the referral.
(c) The President, the Vice President, the Secretary concerned, the
head of each agency, the Office of Personnel Management, a
congressional ethics committee, and the Judicial Conference, may take
any appropriate personnel or other action in accordance with applicable
law or regulation against any individual failing to file a report or
falsifying or failing to report information required to be reported.
(d)(1) Any individual who files a report required to be filed under
this title [5 U.S.C. App. 4 Sec. 101 et seq.] more than 30 days after
the later of--
(A) the date such report is required to be filed pursuant to the
provisions of this title [5 U.S.C. App. 4 Sec. 101 et seq.] and the
rules and regulations promulgated thereunder; or
(B) if a filing extension is granted to such individual under section
101(g) [5 U.S.C. App. 4 Sec. 101(g)], the last day of the filing
extension period, shall, at the direction of and pursuant to
regulations issued by the supervising ethics office, pay a filing fee
of $200. All such fees shall be deposited in the miscellaneous receipts
of the Treasury. The authority under this paragraph to direct the
payment of a filing fee may be delegated by the supervising ethics
office in the executive branch to other agencies in the executive
branch.[.]
(2) The supervising ethics office may waive the filing fee under this
subsection in extraordinary circumstances.
(Oct. 26, 1978, Pub.L. 95-521, title II, Sec. 104; as amended June 13,
1979, Pub.L. 96-19, Sec. 8(a), 93 Stat. 41; Nov. 30, 1989, Pub.L. 101-
194, title II, Sec. 202, 103 Stat. 1737; May 4, 1990, Pub.L. 101-280,
Sec. 3(1), (5), 104 Stat. 152, 154; Pub.L. 101-650, Title IV, Sec. 405,
Dec.1, 1990, 104 Stat. 5124.)
5 U.S.C. App. 4 Sec. 105. Custody and Public Access to Reports.
(a) Each agency, each supervising ethics office in the executive or
judicial branch, the Clerk of the House of Representatives, and the
Secretary of the Senate shall make available to the public, in
accordance with subsection (b), each report filed under this title [5
U.S.C. App. 4 Sec. 101 et seq.] with such agency or office or with the
Clerk or the Secretary of the Senate, except that--
(1) this section does not require public availability of a report filed
by any individual in the Central Intelligence Agency, the Defense
Intelligence Agency, the National Imagery and Mapping Agency, or the
National Security Agency, or any individual engaged in intelligence
activities in any agency of the United States, if the President finds
or has found that, due to the nature of the office or position occupied
by such individual, public disclosure of such report would, be [by]
revealing the identity of the individual or other sensitive
information, compromise the national interest of the United States; and
such individuals may be authorized, notwithstanding section 104(a) [5
U.S.C. App. 4 Sec. 104(a)], to file such additional reports as are
necessary to protect their identity from public disclosure if the
President first finds or has found that such filing is necessary in the
national interest; and
(2) any report filed by an independent counsel whose identity has not
been disclosed by the division of the court under chapter 40 of title
28, United States Code, and any report filed by any person appointed by
that independent counsel under such chapter, shall not be made
available to the public under this title [5 U.S.C. App. 4 Sec. 101 et
seq.].
(b)(1) Except as provided in the second sentence of this subsection,
each agency, each supervising ethics office in the executive or
judicial branch, the Clerk of the House of Representatives, and the
Secretary of the Senate shall, within thirty days after any report is
received under this title [5 U.S.C. App. 4 Sec. 101 et seq.] by such
agency or office or by the Clerk or the Secretary of the Senate, as the
case may be, [,] permit inspection of such report by or furnish a copy
of such report to any person requesting such inspection or copy. With
respect to any report required to be filed by May 15 of any year, such
report shall be made available for public inspection within 30 calendar
days after May 15 of such year or within 30 days of the date of filing
of such a report for which an extension is granted pursuant to section
101(g). The agency, office, Clerk, or Secretary of the Senate, as the
case may be may require a reasonable fee to be paid in any amount which
is found necessary to recover the cost of reproduction or mailing of
such report excluding any salary of any employee involved in such
reproduction or mailing. A copy of such report may be furnished without
charge or at a reduced charge if it is determined that waiver or
reduction of the fee is in the public interest.
(2) Notwithstanding paragraph (1), a report may not be made available
under this section to any person nor may any copy thereof be provided
under this section to any person except upon a written application by
such person stating--
(A) that person's name, occupation and address;
(B) the name and address of any other person or organization on whose
behalf the inspection or copy is requested; and
(C) that such person is aware of the prohibitions on the obtaining or
use of the report.
Any such application shall be made available to the public throughout
the period during which the report is made available to the public.
(3)(A) This section does not require the immediate and unconditional
availability of reports filed by an individual described in section
109(8) or 109(10) of this Act [sections 109(8) or 109(10) of Appendix 4
of this title] if a finding is made by the Judicial Conference, in
consultation with United States Marshall Service, that revealing
personal and sensitive information could endanger that individual.
(B) A report may be redacted pursuant to this paragraph only--
(i) to the extent necessary to protect the individual who filed the
report; and
(ii) for as long as the danger to such individual exists.
(C) The Administrative Office of the United States Courts shall submit
to the Committees on the Judiciary of the House of Representatives and
of the Senate an annual report with respect to the operation of this
paragraph including--
(i) the total number of reports redacted pursuant to this paragraph;
(ii) the total number of individuals whose reports have been redacted
pursuant to this paragraph; and
(iii) the types of threats against individuals whose reports are
redacted, if appropriate.
(D) The Judicial Conference, in consultation with the Department of
Justice, shall issue regulations setting forth the circumstances under
which redaction is appropriate under this paragraph and the procedures
for redaction.
(E) This paragraph shall expire on December 31, 2001, and apply to
filings through calendar year 2001.
(c)(1) It shall be unlawful for any person to obtain or use a report--
(A) for any unlawful purpose;
(B) for any commercial purpose, other than by news and communications
media for dissemination to the general public;
(C) for determining or establishing the credit rating of any
individual; or
(D) for use, directly or indirectly, in the solicitation of money for
any political, charitable, or other purpose.
(2) The Attorney General may bring a civil action against any person
who obtains or uses a report for any purpose prohibited in paragraph
(1) of this subsection. The court in which such action is brought may
assess against such person a penalty in any amount not to exceed
$10,000. Such remedy shall be in addition to any other remedy available
under statutory or common law.
(d) Any report filed with or transmitted to an agency or supervising
ethics office or to the Clerk of the House of Representatives or the
Secretary of the Senate pursuant to this title [5 U.S.C. App. Sec. 101
et seq.] shall be retained by such agency or office or by the Clerk or
the Secretary of the Senate, as the case may be. Such report shall be
made available to the public for a period of six years after receipt of
the report. After such six-year period the report shall be destroyed
unless needed in an ongoing investigation, except that in the case of
an individual who filed the report pursuant to section 101(b) [5 U.S.C.
App. Sec. 101(b)] and was not subsequently confirmed by the Senate, or
who filed the report pursuant to section 101(c) [5 U.S.C. App.
Sec. 101(c)] and was not subsequently elected, such reports shall be
destroyed one year after the individual either is no longer under
consideration by the Senate or is no longer a candidate for nomination
or election to the Office of President, Vice President, or as a Member
of Congress, unless needed in an ongoing investigation.
(Oct. 26, 1978, Pub.L. 95-521, title II, Sec. 105; as amended Nov. 30,
1989, Pub.L. 101-194, title II, Sec. 202, 103 Stat 1737; May 4, 1990,
Pub.L. 101-280, Sec. 3(6), 104 Stat. 154; Pub. L. 102-90, title III,
Sec. 313(2), Aug. 14, 1991, 105 Stat. 469; Pub. L. 103-359, title V,
Sec. 501(m), Oct. 14, 1994, 108 Stat. 3430; Pub. L. 104-201, div. A,
title XI, Sec. 1122(b)(2), Sept. 23, 1996, 110 Stat. 2687; Pub. L. 105-
318, Sec. 7, Oct. 30, 1998, 112 Stat. 3011.)
5 U.S.C. App. 4 Sec. 106. Review of Reports.
(a)(1) Each designated agency ethics official or Secretary concerned
shall make provisions to ensure that each report filed with him under
this title [5 U.S.C. App. 4 Sec. 101 et seq.] is reviewed within sixty
days after the date of such filing, except that the Director of the
Office of Government Ethics shall review only those reports required to
be transmitted to him under this title [5 U.S.C. App. 4 Sec. 101 et
seq.] within sixty days after the date of transmittal.
(2) Each congressional ethics committee and the Judicial Conference
shall make provisions to ensure that each report filed under this title
[5 U.S.C. App. 4 Sec. 101 et seq.] is reviewed within sixty days after
the date of such filing.
(b)(1) If after reviewing any report under subsection (a), the Director
of the Office of Government Ethics, the Secretary concerned, the
designated agency ethics official, a person designated by the
congressional ethics committee, or a person designated by the Judicial
Conference, as the case may be, is of the opinion that on the basis of
information contained in such report the individual submitting such
report is in compliance with applicable laws and regulations, he shall
state such opinion on the report, and shall sign such report.
(2) If the Director of the Office of Government Ethics, the Secretary
concerned, the designated agency ethics official, a person designated
by the congressional ethics committee, or a person designated by the
Judicial Conference, after reviewing any report under subsection (a)--
(A) believes additional information is required to be submitted, he
shall notify the individual submitting such report what additional
information is required and the time by which it must be submitted, or
(B) is of the opinion, on the basis of information submitted, that the
individual is not in compliance with applicable laws and regulations,
he shall notify the individual, afford a reasonable opportunity for a
written or oral response, and after consideration of such response,
reach an opinion as to whether or not, on the basis of information
submitted, the individual is in compliance with such laws and
regulations.
(3) If the Director of the Office of Government Ethics, the Secretary
concerned, the designated agency ethics official, a person designated
by a congressional ethics committee, or a person designated by the
Judicial Conference, reaches an opinion under paragraph (2)(B) that an
individual is not in compliance with applicable laws and regulations,
the official or committee shall notify the individual of that opinion
and, after an opportunity for personal consultation (if practicable),
determine and notify the individual of which steps, if any, would in
the opinion of such official or committee be appropriate for assuring
compliance with such laws and regulations and the date by which such
steps should be taken. Such steps may include, as appropriate--
(A) divestiture,
(B) restitution,
(C) the establishment of a blind trust,
(D) request for an exemption under section 208(b) of title 18, United
States Code, or
(E) voluntary request for transfer, reassignment, limitation of duties,
or resignation.
The use of any such steps shall be in accordance with such rules or
regulations as the supervising ethics office may prescribe.
(4) If steps for assuring compliance with applicable laws and
regulations are not taken by the date set under paragraph (3) by an
individual in a position in the executive branch (other than in the
Foreign Service or the uniformed services), appointment to which
requires the advice and consent of the Senate, the matter shall be
referred to the President for appropriate action.
(5) If steps for assuring compliance with applicable laws and
regulations are not taken by the date set under paragraph (3) by a
member of the Foreign Service or the uniformed services, the Secretary
concerned shall take appropriate action.
(6) If steps for assuring compliance with applicable laws and
regulations are not taken by the date set under paragraph (3) by any
other officer or employee, the matter shall be referred to the head of
the appropriate agency, the congressional ethics committee, or the
Judicial Conference, for appropriate action; except that in the case of
the Postmaster General or Deputy Postmaster General, the Director of
the Office of Government Ethics shall recommend to the Governors of the
Board of Governors of the United States Postal Service the action to be
taken.
(7) Each supervising ethics office may render advisory opinions
interpreting this title [5 U.S.C. App. 4 Sec. 101 et seq.] within its
respective jurisdiction. Notwithstanding any other provision of law,
the individual to whom a public advisory opinion is rendered in
accordance with this paragraph, and any other individual covered by
this title [5 U.S.C. App. 4 Sec. 101 et seq.] who is involved in a fact
situation which is indistinguishable in all material aspects, and who
acts in good faith in accordance with the provisions and findings of
such advisory opinion shall not, as a result of such act, be subject to
any penalty or sanction provided by this title [5 U.S.C. App. 4
Sec. 101 et seq.].
(Oct. 26, 1978, Pub.L. 95-521, title II, Sec. 106; as amended Nov. 30,
1989, Pub.L. 101-194, title II, Sec. 202, 103 Stat. 1739; May 4, 1990,
Pub.L. 101-280, Sec. 3(1), (7), 104 Stat. 152, 155.)
5 U.S.C. App. 4 Sec. 107. Confidential Reports and Other Additional
Requirements.
(a)(1) Each supervising ethics office may require officers and
employees under its jurisdiction (including special Government
employees as defined in section 202 of title 18, United States Code) to
file confidential financial disclosure reports, in such form as the
supervising ethics office may prescribe. The information required to be
reported under this subsection by the officers and employees of any
department or agency shall be set forth in rules or regulations
prescribed by the supervising ethics office, and may be less extensive
than otherwise required by this title [5 U.S.C. App. 4 Sec. 101 et
seq.], or more extensive when determined by the supervising ethics
office to be necessary and appropriate in light of sections 202 through
209 of title 18, United States Code, regulations promulgated
thereunder, or the authorized activities of such officers or employees.
Any individual required to file a report pursuant to section 101 [5
U.S.C. App. 4 Sec. 101] shall not be required to file a confidential
report pursuant to this subsection, except with respect to information
which is more extensive than information otherwise required by this
title [5 U.S.C. App. 4 Sec. 101 et seq.]. Subsections (a), (b), and (d)
of section 105 [5 U.S.C. App. 4 Sec. 105 (a), (b), (d)] shall not apply
with respect to any such report.
(2) Any information required to be provided by an individual under this
subsection shall be confidential and shall not be disclosed to the
public.
(3) Nothing in this subsection exempts any individual otherwise covered
by the requirement to file a public financial disclosure report under
this title [5 U.S.C. App. 4 Sec. 101 et seq.] from such requirement.
(b) The provisions of this title [5 U.S.C. App. 4 Sec. 101 et seq.]
requiring the reporting of information shall supersede any general
requirement under any other provision of law or regulation with respect
to the reporting of information required for purposes of preventing
conflicts of interest or apparent conflicts of interest. Such
provisions of this title [5 U.S.C. App. 4 Sec. 101 et seq.] shall not
supersede the requirements of section 7342 of title 5, United States
Code.
(c) Nothing in this Act requiring reporting of information shall be
deemed to authorize the receipt of income, gifts, or reimbursements;
the holding of assets, liabilities, or positions; or the participation
in transactions that are prohibited by law, Executive order, rule, or
regulation.
(Oct. 26, 1978, Pub.L. 95-521, title II, Sec. 107.) (As amended June
13, 1979, Pub.L. 96-19, Sec. 9 (d), (g), 93 Stat. 42, 43; Nov. 30,
1989, Pub.L. 101-194, title II, Sec. 202, 103 Stat. 1740.)
5 U.S.C. App. 4 Sec. 108. Authority of Comptroller General.
(a) The Comptroller General shall have access to financial disclosure
reports filed under this title [5 U.S.C. App. 4 Sec. 101 et seq.] for
the purpose of carrying out his statutory responsibilities.
(b) No later than December 31, 1992, and regularly thereafter, the
Comptroller General shall conduct a study to determine whether the
provisions of this title are being carried out effectively.
(Oct. 26, 1978, Pub.L. 95-521, title II, Sec. 108.) (As amended June
13, 1979, Pub.L. 96-19, Sec. 9 (t), 93 Stat. 44; Nov. 30, 1989, Pub.L.
101-194, title II, Sec. 202, 103 Stat. 1741.)
5 U.S.C. App. 4 Sec. 109. Definitions.
For the purposes of this title [5 U.S.C. App. 4 Sec. 101 et seq.], the
term--
(1) ``congressional ethics committees'' means the Select Committee on
Ethics of the Senate and the Committee on Standards of Official Conduct
of the House of Representatives;
(2) ``dependent child'' means, when used with respect to any reporting
individual, any individual who is a son, daughter, stepson, or
stepdaughter and who--
(A) is umarried and under age 21 and is living in the household of such
reporting individual; or
(B) is a dependent of such reporting individual within the meaning of
section 152 of the Internal Revenue Code of 1986 [26 U.S.C. Sec. 152];
(3) ``designated agency ethics official'' means an officer or employee
who is designated to administer the provisions of this title within an
agency;
(4) ``executive branch'' includes each Executive agency (as defined in
section 105 of title 5, United States Code), other than the General
Accounting Office, and any other entity or administrative unit in the
executive branch;
(5) ``gift'' means a payment, advance, forbearance, rendering, or
deposit of money, or any thing of value, unless consideration of equal
or greater value is received by the donor, but does not include--
(A) bequest and other forms of inheritance;
(B) suitable mementos of a function honoring the reporting individual;
(C) food, lodging, transportation, and entertainment provided by a
foreign government within a foreign country or by the United States
Government, the District of Columbia, or a State or local government or
political subdivision thereof;
(D) food and beverages which are not consumed in connection with a gift
of overnight lodging;
(E) communications to the offices of a reporting individual, including
subscriptions to newspapers and periodicals; or
(F) consumable products provided by home-State businesses to the
offices of a reporting individual who is an elected official, if those
products are intended for consumption by persons other than such
reporting individual;
(6) ``honoraria'' has the meaning given such term in section 505 of
this Act [5 U.S.C. App. 4 Sec. 505];
(7) ``income'' means all income from whatever source derived, including
but not limited to the following items: compensation for services,
including fees, commissions, and similar items; gross income derived
from business (and net income if the individual elects to include it);
gains derived from dealings in property; interest; rents; royalties;
dividends; annuities; income from life insurance and endowment
contracts; pensions; income from discharge of indebtedness;
distributive share of partnership income; and income from an interest
in an estate or trust;
(8) ``judicial employee'' means any employee of the judicial branch of
the Government, of the United States Sentencing Commission, of the Tax
Court, of the Court of Federal Claims, of the Court of Appeals for
Veterans Claims, or of the United States Court of Appeals for the Armed
Forces, who is not a judicial officer and who is authorized to perform
adjudicatory functions with respect to proceedings in the judicial
branch, or who occupies a position for which the rate of basic pay is
equal to or greater than 120 percent of the minimum rate of basic pay
payable for GS-15 of the General Schedule;
(9) ``Judicial Conference'' means the Judicial Conference of the United
States;
(10) ``judicial officer'' means the Chief Justice of the United States,
the Associate Justices of the Supreme Court, and the judges of the
United States courts of appeals, United States district courts,
including the district courts in Guam, the Northern Mariana Islands,
and the Virgin Islands, Court of Appeals for the Federal Circuit, Court
of International Trade, Tax Court, Court of Federal Claims, Court of
Appeals for Veterans Claims, United States Court of Appeals for the
Armed Forces, and any court created by Act of Congress, the judges of
which are entitled to hold office during good behavior;
(11) ``legislative branch'' includes--
(A) the Architect of the Capitol;
(B) the Botanic Gardens;
(C) the Congressional Budget Office;
(D) the General Accounting Office;
(E) the Government Printing Office;
(F) the Library of Congress;
(G) the United States Capitol Police;
(H) the Office of Technology Assessment; and
(I) any other agency, entity, office, or commission established in the
legislative branch;
(12) ``Member of Congress'' means a United States Senator, a
Representative in Congress, a Delegate to Congress, or the Resident
Commissioner from Puerto Rico;
(13) ``officer or employee of the Congress'' means--
(A) any individual described under subparagraph (B), other than a
Member of Congress or the Vice President, whose compensation is
disbursed by the Secretary of the Senate or the Chief Administrative
Officer of the House of Representatives;
(B)(i) each officer or employee of the legislative branch who, for at
least 60 days, occupies a position for which the rate of basic pay is
equal to or greater than 120 percent of the minimum rate of basic pay
payable for GS-15 of the General Schedule; and
(ii) at least one principal assistant designated for purposes of this
paragraph by each Member who does not have an employee who occupies a
position for which the rate of basic pay is equal to or greater than
120 percent of the minimum rate of basic pay payable for GS-15 of the
General Schedule;
(14) ``personal hospitality of any individual'' means hospitality
extended for a nonbusiness purpose by an individual, not a corporation
or organization, at the personal residence of that individual or his
family or on property or facilities owned by that individual or his
family;
(15) ``reimbursement'' means any payment or other thing of value
received by the reporting individual, other than gifts, to cover
travel-related expenses of such individual other than those which are--
(A) provided by the United States Government, the District of Columbia,
or a State or local government or political subdivision thereof;
(B) required to be reported by the reporting individual under section
7342 of title 5, United States Code; or
(C) required to be reported under section 304 of the Federal Election
Campaign Act of 1971 (2 U.S.C. 434);
(16) ``relative'' means an individual who is related to the reporting
individual, as father, mother, son, daughter, brother, sister, uncle,
aunt, great aunt, great uncle, first cousin, nephew, niece, husband,
wife, grandfather, grandmother, grandson, granddaughter, father-in-law,
mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-
law, stepfather, stepmother, stepson, stepdaughter, stepbrother,
stepsister, half brother, half sister, or who is the grandfather or
grandmother of the spouse of the reporting individual, and shall be
deemed to include the fiance or fiancee of the reporting individual;
(17) ``Secretary concerned'' has the meaning set forth in section
101(a)(9) of title 10, United States Code, and, in addition, means--
(A) the Secretary of Commerce, with respect to matters concerning the
National Oceanic and Atmospheric Administration;
(B) the Secretary of Health and Human Services, with respect to matters
concerning the Public Health Service; and
(C) the Secretary of State, with respect to matters concerning the
Foreign Service;
(18) ``supervising ethics office'' means--
(A) the Select Committee on Ethics of the Senate, for Senators,
officers and employees of the Senate, and other officers or employees
of the legislative branch required to file financial disclosure reports
with the Secretary of the Senate pursuant to section 103(h) of this
title [5 U.S.C. App. 4 Sec. 103(h)1;
(B) the Committee on Standards of Official Conduct of the House of
Representatives, for Members, officers and employees of the House of
Representatives and other officers or employees of the legislative
branch required to file financial disclosure reports with the Clerk of
the House of Representatives pursuant to section 103(h) of this title
[5 U.S.C. App. 4 Sec. 103(h)];
(C) the Judicial Conference for judicial officers and judicial
employees; and
(D) the Office of Government Ethics for all executive branch officers
and employees; and
(19) ``value'' means a good faith estimate of the dollar value if the
exact value is neither known nor easily obtainable by the reporting
individual.
(Pub.L. 95-521, Title I, Sec. 109, Oct. 26, 1978, 92 Stat. 1836; Pub.L.
101-194, Title II, Sec. 202, Nov. 30, 1989, 103 Stat. 1741; Pub.L. 101-
280, Sec. 3(1), (8), May 4, 1990, 104 Stat. 152, 155; Pub.L. 102-378,
Sec. 4(a)(2), Oct. 2, 1992, 106 Stat. 1357; Pub.L. 102-572, Title IX,
Sec. 902(b)(2), Oct. 29, 1992, 106 Stat. 4516; Pub.L. 103-160, Div. A,
Title XI, Sec. 1182(d)(3), Nov. 30, 1993, 107 Stat. 1773; Pub.L. 103-
337, Div. A, Title IX, Sec. 924(d)(3), Oct. 5, 1994, 108 Stat. 2832;
Pub.L. 104-186, Title II, Sec. 216(2), Aug. 20, 1996, 110 Stat. 1747.)
5 U.S.C. App. 4 Sec. 110. Notice of Actions Taken To Comply With Ethics
Agreements.
(a) In any case in which an individual agrees with that individual's
designated agency ethics official, the Office of Government Ethics, a
Senate confirmation committee, a congressional ethics committee, or the
Judicial Conference, to take any action to comply with this Act or any
other law or regulation governing conflicts of interest of, or
establishing standards of conduct applicable with respect to, officers
or employees of the Government, that individual shall notify in writing
the designated agency ethics official, the Office of Government Ethics,
the appropriate committee of the Senate, the congressional ethics
committee, or the Judicial Conference, as the case may be, of any
action taken by the individual pursuant to that agreement. Such
notification shall be made not later than the date specified in the
agreement by which action by the individual must be taken, or not later
than three months after the date of the agreement, if no date for
action is so specified.
(b) If an agreement described in subsection (a) requires that the
individual recuse himself or herself from particular categories of
agency or other official action, the individual shall reduce to writing
those subjects regarding which the recusal agreement will apply and the
process by which it will be determined whether the individual must
recuse himself or herself in a specific instance. An individual shall
be considered to have complied with the requirements of subsection (a)
with respect to such recusal agreement if such individual files a copy
of the document setting forth the information described in the
preceding sentence with such individual's designated agency ethics
official or the appropriate supervising ethics office within the time
prescribed in the last sentence of subsection (a).
(Oct. 26, 1978, Pub.L. 95-521, title I, Sec. 110, as added Nov. 30,
1989, Pub.L. 101-194, title II, Sec. 202, 103 Stat. 1744; as amended
May 4, 1990, Pub.L. 101-280, Sec. 3(1), 104 Stat. 152.)
5 U.S.C. App. 4 Sec. 111. Administration of Provisions.
The provisions of this title [5 U.S.C. App. 4 Sec. 101 et seq.] shall
be administered by--
(1) the Director of the Office of Government Ethics, the designated
agency ethics official, or the Secretary concerned, as appropriate,
with regard to officers and employees described in paragraphs (1)
through (8) of section 101(f) [5 U.S.C. App. Sec. 101(f) (1)-(8)];
(2) the Select Committee on Ethics of the Senate and the Committee on
Standards of Official Conduct of the House of Representatives, as
appropriate, with regard to officers and employees described in
paragraphs (9) and (10) of section 101(f) [5 U.S.C. App. 4 Sec. 101(f)
(9), (10)]; and
(3) the Judicial Conference in the case of an officer or employee
described in paragraphs (11) and (12) of section 101(f) [5 U.S.C. App.
4 Sec. 101(f) (11), (12)]. The Judicial Conference may delegate any
authority it has under this title [5 U.S.C. App. 4 Sec. 101 et seq.] to
an ethics committee established by the Judicial Conference.
(Oct. 26, 1978, Pub.L. 95-521, title I, Sec. 111, as added Nov. 30,
1989, Pub.L. 101-194, title II, Sec. 202, 103 Stat. 1744; as amended
May 4, 1990, Pub.L. 101-280, Sec. 3 (1), (9), 104 Stat. 152, 157.)
F. Political Activities: Federal Employees (Title 5, United States
Code; Including Selected Provisions of the Hatch Act)
5 U.S.C. Sec. 7321. Political participation
It is the policy of the Congress that employees should be encouraged to
exercise fully, freely, and without fear of penalty or reprisal, and to
the extent not expressly prohibited by law, their right to participate
or to refrain from participating in the political processes of the
Nation. (Added Pub.L. 103-94, Sec. 2(a), Oct. 6, 1993, 107 Stat. 1001.)
5 U.S.C. Sec. 7322. Definitions
For the purpose of this subchapter--
(1) ``employee'' means any individual, other than the President and the
Vice President, employed or holding office in--
(A) an Executive agency other than the General Accounting Office;
(B) a position within the competitive service which is not in an
Executive agency; or
(C) the government of the District of Columbia, other than the Mayor or
a member of the City Council or the Recorder of Deeds;
but does not include a member of the uniformed services;
(2) ``partisan political office'' means any office for which any
candidate is nominated or elected as representing a party any of whose
candidates for Presidential elector received votes in the last
preceding election at which Presidential electors were selected, but
shall exclude any office or position within a political party or
affiliated organization; and
(3) ``political contribution''--
(A) means any gift, subscription, loan, advance, or deposit of money or
anything of value, made for any political purpose;
(B) includes any contract, promise, or agreement, express or implied,
whether or not legally enforceable, to make a contribution for any
political purpose;
(C) includes any payment by any person, other than a candidate or a
political party or affiliated organization, of compensation for the
personal services of another person which are rendered to any candidate
or political party or affiliated organization without charge for any
political purpose; and
(D) includes the provision of personal services for any political
purpose. (Added Pub.L. 103-94, Sec. 2(a), Oct. 6, 1993, 107 Stat.
1001.)
5 U.S.C. Sec. 7323. Political activity authorized; prohibitions
(a) Subject to the provisions of subsection (b), an employee may take
an active part in political management or in political campaigns,
except an employee may not--
(1) use his official authority or influence for the purpose of
interfering with or affecting the result of an election;
(2) knowingly solicit, accept, or receive a political contribution from
any person, unless such person is--
(A) a member of the same Federal labor organization as defined under
section 7103(4) of this title or a Federal employee organization which
as of the date of enactment of the Hatch Act Reform Amendments of 1993
had a multicandidate political committee (as defined under section
315(a)(4) of the Federal Election Campaign Act of 1971 (2 U.S.C.
441a(a)(4)));
(B) not a subordinate employee; and
(C) the solicitation is for a contribution to the multicandidate
political committee (as defined under section 315(a)(4) of the Federal
Election Campaign Act of 1971 (2 U.S.C. 441a(a)(4)) of such Federal
labor organization as defined under section 7103(4) of this title or a
Federal employee organization which as of the date of the enactment of
the Hatch Act Reform Amendments of 1993 had a multicandidate political
committee (as defined under section 315(a)(4) of the Federal Election
Campaign Act of 1971 (2 U.S.C. 441a(a)(4)); or
(3) run for the nomination or as a candidate for election to a partisan
political office; or
(4) knowingly solicit or discourage the participation in any political
activity or any person who--
(A) has an application for any compensation, grant, contract, ruling,
license, permit, or certificate pending before the employing office of
such employee; or
(B) is the subject of or a participant in an ongoing audit,
investigation, or enforcement action being carried out by the employing
office of such employee.
(b)(1) An employee of the Federal Election Commission (except one
appointed by the President, by and with the advice and consent of the
Senate), may not request or receive from, or give to, an employee, a
Member of Congress, or an officer of a uniformed service a political
contribution.
(2)(A) No employee described under subparagraph (B) (except one
appointed by the President by and with the advice and consent of the
Senate), may take an active part in political management or political
campaigns.
(B) The provisions of subparagraph (A) shall apply to--
(i) an employee of--
(I) the Federal Election Commission;
(II) the Federal Bureau of Investigation;
(III) the Secret Service;
(IV) the Central Intelligence Agency;
(V) the National Security Council;
(VI) the National Security Agency;
(VII) the Defense Intelligence Agency;
(VIII) the Merit Systems Protection Board;
(IX) the Office of Special Counsel;
(X) the Office of Criminal Investigation of the Internal Revenue
Service;
(XI) the Office of Investigative Programs of the United States Customs
Service;
(XII) the Office of Law Enforcement of the Bureau of Alcohol, Tobacco,
and Firearms; or
(XIII) the National Imagery and Mapping Agency; or
(ii) a person employed in a position described under section
3132(a)(4), 5372, or 5372a of title 5, United States Code.
(3) No employee of the Criminal Division of the Department of Justice
(except one appointed by the President, by and with the advice and
consent of the Senate), may take an active part in political management
or political campaigns.
(4) For purposes of this subsection, the term ``active part in
political management or in a political campaign'' means those acts of
political management or political campaigning which were prohibited for
employees of the competitive service before July 19, 1940, by
determinations of the Civil Service Commission under the rules
prescribed by the President.
(c) An employee retains the right to vote as he chooses and to express
his opinion on political subjects and candidates. (Added Pub.L. 103-94,
Sec. 2(a), Oct. 6, 1993, 107 Stat. 1002, and amended Pub.L. 103-359,
Title V, Sec. 501(k), Oct. 14, 1994, 108 Stat. 3430; Pub.L. 104-201,
Div. A, Title XI, Sec. 1122(a)(1), Sept. 23, 1996, 110 Stat. 2687.)
5 U.S.C. Sec. 7324. Political activities on duty; prohibition
(a) An employee may not engage in political activity--
(1) while the employee is on duty;
(2) in any room or building occupied in the discharge of official
duties by an individual employed or holding office in the Government of
the United States or any agency or instrumentality thereof;
(3) while wearing a uniform or official insignia identifying the office
or position of the employee; or
(4) using any vehicle owned or leased by the Government of the United
States or any agency or instrumentality thereof.
(b)(1) An employee described in paragraph (2) of this subsection may
engage in political activity otherwise prohibited by subsection (a) if
the costs associated with that political activity are not paid for by
money derived from the Treasury of the United States.
(2) Paragraph (1) applies to an employee--
(A) the duties and responsibilities of whose position continue outside
normal duty hours and while away from the normal duty post; and
(B) who is--
(i) an employee paid from an appropriation for the Executive Office of
the President; or
(ii) an employee appointed by the President, by and with the advice and
consent of the Senate, whose position is located within the United
States, who determines policies to be pursued by the United States in
relations with foreign powers or in the nationwide administration of
Federal laws. (Added Pub.L. 103-94, Sec. 2(a), Oct. 6, 1993, 107 Stat.
1003.)
5 U.S.C. Sec. 7325. Political activity permitted; employees residing in
certain municipalities
The Office of Personnel Management may prescribe regulations permitting
employees, without regard to the prohibitions in paragraphs (2) and (3)
of section 7323(a) and paragraph (2) of section 7323(b) of this title,
to take an active part in political management and political campaigns
involving the municipality or other political subdivision in which they
reside, to the extent the Office considers it to be in their domestic
interest, when--
(1) the municipality or political subdivision is in Maryland or
Virginia and in the immediate vicinity of the District of Columbia, or
is a municipality in which the majority of voters are employed by the
Government of the United States; and
(2) the Office determines that because of special or unusual
circumstances which exist in the municipality or political subdivision
it is in the domestic interest of the employees and individuals to
permit that political participation. (Added Pub.L. 103-94, Sec. 2(a),
Oct. 6, 1993, 107 Stat. 1004, and amended Pub.L. 104-93, Title III,
Sec. 308, Jan. 6, 1996, 109 Stat. 966.)
5 U.S.C. Sec. 7326. Penalties
An employee or individual who violates section 7323 or 7324 of this
title shall be removed from his position, and funds appropriated for
the position from which removed thereafter may not be used to pay the
employee or individual. However, if the Merit System Protection Board
finds by unanimous vote that the violation does not warrant removal, a
penalty of not less than 30 days' suspension without pay shall be
imposed by direction of the Board. (Added Pub.L. 103-94, Sec. 2(a),
Oct. 6, 1993, 107 Stat. 1004.)
5 U.S.C. Sec. 7351. Gifts to Superiors.
(a) An employee may not--
(1) solicit a contribution from another employee for a gift to an
official superior;
(2) make a donation as a gift or give a gift to an official superior;
or
(3) accept a gift from an employee receiving less pay than himself.
(b) An employee who violates this section shall be subject to
appropriate disciplinary action by the employing agency or entity.
(c) Each supervising ethics office (as defined in section 7353(d)(1))
is authorized to issue regulations implementing this section, including
regulations exempting voluntary gifts or contributions that are given
or received for special occasions such as marriage or retirement or
under other circumstances in which gifts are traditionally given or
exchanged.
(Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 527; as amended Pub.L. 101-194,
title III, Sec. 301, Nov. 30, 1989, 103 Stat. 1745; Pub.L. 101-280,
Sec. 4(a), May 4, 1990, 104 Stat. 157.)
G. Political Activities: State and Local Employees (Title 5, United
States Code)
5 U.S.C. Sec. 1501. Definitions.
For the purpose of this chapter--
(1) ``State'' means a State or territory or possession of the United
States;
(2) ``State or local agency'' means the executive branch of a State,
municipality, or other political subdivision of a State, or an agency
or department thereof;
(3) ``Federal agency'' means an Executive agency or other agency of the
United States, but does not include a member bank of the Federal
Reserve System; and
(4) ``State or local officer or employee'' means an individual employed
by a State or local agency whose principal employment is in connection
with an activity which is financed in whole or in part by loans or
grants made by the United States or a Federal agency, but does not
include--
(A) an individual who exercises no functions in connection with that
activity; or
(B) an individual employed by an educational or research institution,
establishment, agency or system which is supported in whole or in part
by a State or political subdivision thereof, or by a recognized
religious, philanthropic, or cultural organization.
(Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 403; Pub.L. 93-443, title IV,
Sec. 401(c), Oct. 15, 1974, 88 Stat. 1290.)
5 U.S.C. Sec. 1502. Influencing Elections; Taking Part in Political
Campaigns; Prohibitions; Exceptions.
(a) A State or local officer or employee may not--
(1) use his official authority or influence for the purpose of
interfering with or affecting the result of an election or a nomination
for office;
(2) directly or indirectly coerce, attempt to coerce, command, or
advise a State or local officer or employee to pay, lend, or contribute
anything of value to a party, committee, organization, agency, or
person for political purposes; or
(3) be a candidate for elective office.
(b) A State or local officer or employee retains the right to vote as
he chooses and to express his opinions on political subjects and
candidates.
(c) Subsection (a)(3) of this section does not apply to--
(1) the Governor or Lieutenant Governor of a State or an individual
authorized by law to act as Governor;
(2) the mayor of a city;
(3) a duly elected head of an executive department of a State or
municipality who is not classified under a State or municipal merit or
civil service system; or
(4) an individual holding elective office.
(Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 404; Pub.L. 93-443, title IV,
Sec. 401(a), Oct. 15, 1974, 88 Stat. 1290.)
5 U.S.C. Sec. 1503. Nonpartisan Candidacies Permitted.
Section 1502(a)(3) of this title does not prohibit any State or local
officer or employee from being a candidate in any election if none of
the candidates is to be nominated or elected at such election as
representing a party any of whose candidates for presidential elector
received votes in the last preceding election at which presidential
electors were selected.
(Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 404; Pub.L. 93-443, title IV,
Sec. 401(b)(1), Oct. 15, 1974, 88 Stat. 1290.)
5 U.S.C. Sec. 1504. Investigations; Notice of Hearing.
When a Federal agency charged with the duty of making a loan or grant
of funds of the United States for use in an activity by a State or
local officer or employee has reason to believe that the officer or
employee has violated section 1502 of this title, it shall report the
matter to the Special Counsel. On receipt of the report, or on receipt
of other information which seems to the Special Counsel to warrant an
investigation, the Special Counsel shall investigate the report and
such other information and present his findings and any charges based
on such findings to the Merit Systems Protection Board, which shall--
(1) fix a time and place for a hearing; and
(2) send, by registered or certified mail, to the officer or employee
charged with the violation and to the State or local agency employing
him a notice setting forth a summary of the alleged violation and
giving the time and place of the hearing.
The hearing may not be held earlier than 10 days after the mailing of
the notice.
(Pub.L. 89-544, Sept. 6, 1966, 80 Stat. 405; Pub.L. 95-454, title IX,
Sec. 906(a)(7), Oct. 13, 1978, 92 Stat. 1225.)
5 U.S.C. Sec. 1505. Hearings; Adjudications; Notice of Determinations.
Either the State or local officer or employee or the State or local
agency employing him, or both, are entitled to appear with counsel at
the hearing under section 1504 of this title, and be heard. After this
hearing, the Merit Systems Protection Board shall--
(1) determine whether a violation of section 1502 of this title has
occurred;
(2) determine whether the violation warrants the removal of the officer
or employee from his office or employment; and
(3) notify the officer or employee and the agency of the determination
by registered or certified mail.
(Pub.L. 89-544, Sept. 6, 1966, 80 Stat. 405; Pub.L. 95-454, title IX,
Sec. 906(a)(6), Oct. 13, 1978, 92 Stat. 1225.)
5 U.S.C. Sec. 1506. Orders; Withholding Loans or Grants; Limitations.
(a) When the Merit Systems Protection Board finds--
(1) that a State or local officer or employee has not been removed from
his office or employment within 30 days after notice of a determination
by the Board that he has violated section 1502 of this title and that
the violation warrants removal; or
(2) that the State or local officer or employee has been removed and
has been appointed within 18 months after his removal to an office or
employment in the same State in a State or local agency which does not
receive loans or grants from a Federal agency;
the Board shall make and certify to the appropriate Federal agency an
order requiring that agency to withhold from its loans or grants to the
State or local agency to which notice was given an amount equal to 2
years' pay at the rate the officer or employee was receiving at the
time of the violation. When the State or local agency to which
appointment within 18 months after removal has been made is one that
receives loans or grants from a Federal agency, the Board order shall
direct that the withholding be made from that State or local agency.
(b) Notice of the order shall be sent by registered or certified mail
to the State or local agency from which the amount is ordered to be
withheld. After the order becomes final, the Federal agency to which
the order is certified shall withhold the amount in accordance with the
terms of the order. Except as provided by section 1508 of this title, a
determination or order of the Board becomes final at the end of 30 days
after mailing the notice of the determination or order.
(c) The Board may not require an amount to be withheld from a loan or
grant pledged by a State or local agency as security for its bonds or
notes if the withholding of that amount would jeopardize the payment of
the principal or interest on the bonds or notes.
(Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 405; Pub.L. 95-454, title IX,
Sec. 906(a)(6), Oct. 13, 1978, 92 Stat. 1225.)
5 U.S.C. Sec. 1507. Subpenas and Depositions.
(a) The Merit Systems Protection Board may require by subpena the
attendance and testimony of witnesses and the production of documentary
evidence relating to any matter before it as a result of this chapter.
Any member of the Board may sign subpenas, and members of the Board and
its examiners when authorized by the Board may administer oaths,
examine witnesses, and receive evidence. The attendance of witnesses
and the production of documentary evidence may be required from any
place in the United States at the designated place of hearing. In case
of disobedience to a subpena, the Board may invoke the aid of a court
of the United States in requiring the attendance and testimony of
witnesses and the production of documentary evidence. In case of
contumacy or refusal to obey a subpena issued to a person, the United
States District Court within whose jurisdiction the inquiry is carried
on may issue an order requiring him to appear before the Board, or to
produce documentary evidence if so ordered, or to give evidence
concerning the matter in question; and any failure to obey the order of
the court may be punished by the court as a contempt thereof.
(b) The Board may order testimony to be taken by deposition at any
stage of a proceeding or investigation before it as a result of this
chapter. Depositions may be taken before an individual designated by
the Board and having the power to administer oaths. Testimony shall be
reduced to writing by the individual taking the deposition, or under
his direction, and shall be subscribed by the deponent. Any person may
be compelled to appear and depose and to produce documentary evidence
before the Board as provided by this section.
(c) A person may not be excused from attending and testifying or from
producing documentary evidence or in obedience to a subpena on the
ground that the testimony or evidence, documentary or otherwise,
required of him may tend to incriminate him or subject him to a penalty
or forfeiture for or on account of any transaction, matter, or thing
concerning which he is compelled to testify, or produce evidence,
documentary or otherwise, before the Board in obedience to a subpena
issued by it. A person so testifying is not exempt from prosecution and
punishment for perjury committed in so testifying.
(Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 406; Pub.L. 95-454, title IX,
Sec. 906(a)(6), Oct. 13, 1978, 92 Stat. 1225.)
5 U.S.C. Sec. 1508. Judicial Review.
A party aggrieved by a determination or order of the Merit Systems
Protection Board under section 1504, 1505, or 1506 of this title may,
within 30 days after the mailing of notice of the determination or
order, institute proceedings for review thereof by filing a petition in
the United States District Court for the district in which the State or
local officer or employee resides. The institution of the proceedings
does not operate as a stay of the determination or order unless--
(1) the court specifically orders a stay; and
(2) the officer or employee is suspended from his office or employment
while the proceedings are pending.
A copy of the petition shall immediately be served on the Board and
thereupon the Board shall certify and file in the court a transcript of
the record on which the determination or order was made. The court
shall review the entire record including questions of fact and
questions of law. If application is made to the court for leave to
adduce additional evidence, and it is shown to the satisfaction of the
court that the additional evidence may materially affect the result of
the proceedings and that there were reasonable grounds for failure to
adduce this evidence in the hearing before the Board the court may
direct that the additional evidence be taken before the Board in the
manner and on the terms and conditions fixed by the court. The Board
may modify its findings of fact or its determination or order in view
of the additional evidence and shall file with the court the modified
findings, determination, or order; and the modified findings of fact,
if supported by substantial evidence, are conclusive. The court shall
affirm the determination or order, or the modified determination or
order, if the court determines that it is in accordance with the law.
If the court determines that the determination or order or the modified
determination or order, is not in accordance with law, the court shall
remand the proceeding to the Board with directions either to make a
determination or order determined by the court to be lawful or to take
such further proceedings as, in the opinion of the court, the law
requires. The judgment and decree of the court are final, subject to
review by the appropriate United States Court of Appeals as in other
cases, and the judgment and decree of the court of appeals are final,
subject to review by the Supreme Court of the United States on
certiorari or certification as provided by section 1254 of title 28. If
a provision of this section is held to be invalid as applied to a party
by a determination or order of the Board, the determination or order
becomes final and effective as to that party as if the provision had
not been enacted.
(Pub.L. 89-554, Sept. 6, 1966, 80 Stat. 406; Pub.L. 95-454, title IX,
Sec. 906(a)(6), Oct. 13, 1978, 92 Stat. 1225.)
H. Criminal Code Provisions (Title 18, United States Code)
CHAPTER 11--BRIBERY, GRAFT, AND CONFLICTS OF INTEREST
18 U.S.C. Sec. 203. Compensation to Members of Congress, Officers, and
Others in Matters Affecting the Government.
(a) Whoever, otherwise than as provided by law for the proper discharge
of official duties, directly or indirectly--
(1) demands, seeks, receives, accepts, or agrees to receive or accept
any compensation for any representational services, as agent or
attorney or otherwise, rendered or to be rendered either personally or
by another--
(A) at a time when such person is a Member of Congress, Member of
Congress Elect, Delegate, Delegate Elect, Resident Commissioner, or
Resident Commissioner Elect; or
(B) at a time when such person is an officer or employee or Federal
judge of the United States in the executive, legislative, or judicial
branch of the Government, or in any agency of the United States, in
relation to any proceeding, application, request for a ruling or other
determination, contract, claim, controversy, charge, accusation, arrest
or other particular matter in which the United States is a party or has
a direct and substantial interest, before any department, agency,
court, court-martial, officer, or any civil, military, or naval
commission; or
(2) knowingly gives, promises, or offers any compensation for any such
representational services rendered or to be rendered at a time when the
person to whom the compensation is given, promised, or offered, is or
was such a Member, Member Elect, Delegate, Delegate Elect,
Commissioner, Commissioner Elect, Federal judge, officer, or employee;
shall be subject to the penalties set forth in section 216 of this
title.
(b) Whoever, otherwise than as provided by law for the proper discharge
of official duties, directly or indirectly--
(1) demands, seeks, receives, accepts, or agrees to receive or accept
any compensation for any representational services, as agent or
attorney or otherwise, rendered or to be rendered either personally or
by another, at a time when such person is an officer or employee of the
District of Columbia, in relation to any proceeding, application,
request for a ruling or other determination, contract, claim,
controversy, charge, accusation, arrest, or other particular matter in
which the District of Columbia is a party or has a direct and
substantial interest, before any department, agency, court, officer, or
commission; or
(2) knowingly gives, promises, or offers any compensation for any such
representational services rendered or to be rendered at a time when the
person to whom the compensation is given, promised, or offered, is or
was an officer or employee of the District of Columbia; shall be
subject to the penalties set forth in section 216 of this title.
(c) A special Government employee shall be subject to subsections (a)
and (b) only in relation to a particular matter involving a specific
party or parties--
(1) in which such employee has at any time participated personally and
substantially as a Government employee or as a special Government
employee through decision, approval, disapproval, recommendation, the
rendering of advice, investigation or otherwise; or
(3) which is pending in the department or agency of the Government in
which such employee is serving except that paragraph (2) of this
subsection shall not apply in the case of a special Government employee
who has served in such department or agency no more than sixty days
during the immediately preceding period of three hundred and sixty five
consecutive days.
(d) Nothing in this section prevents an officer or employee, including
a special Government employee, from acting, with or without
compensation, as agent or attorney for or otherwise representing his
parents, spouse, child, or any person for whom, or for any estate for
which, he is serving as guardian, executor, administrator, trustee, or
other personal fiduciary except--
(1) in those matters in which he has participated personally and
substantially as a Government employee as a special Government employee
through decision, approval, disapproval, recommendation, the rendering
of advice, investigation, or otherwise; or
(2) in those matters that are the subject of his official
responsibility, subject to approval by the Government official
responsible for appointment to his position.
(e) Nothing in this section prevents a special Government employee from
acting as agent or attorney for another person in the performance of
work under a grant by, or a contract with or for the benefit of, the
United States if the head of the department or agency concerned with
the grant or contract certifies in writing that the national interest
so requires and publishes such certification in the Federal Register.
(f) Nothing in this section prevents an individual from giving
testimony under oath or from making statements required to be made
under penalty of perjury.
(Added Pub.L. 87-849, 1(a), Oct. 23, 1962, 76 Stat. 1121; as amended
Pub.L. 91-405, Title II, Sec. 204(d) (2), (3), Sept. 22, 1970, 84 Stat.
853; Pub.L. 99-646, Sec. 47(a), Nov. 10, 1986, 100 Stat. 3604; Pub.L.
101-194, Title IV, Sec. 402, Nov. 30, 1989, 103 Stat. 1748; Pub.L. 101-
280, Sec. 5(b) May 4, 1990, 104 Stat. 159.)
18 U.S.C. Sec. 210. Offer To Procure Appointive Public Office.
Whoever pays or offers or promises any money or thing of value, to any
person, firm, or corporation in consideration of the use or promise to
use any influence to procure any appointive office or place under the
United States for any person, shall be fined under this title or
imprisoned not more than one year, or both.
(June 25, 1948, ch. 645, 62 Stat. 694; Sec. 210, formerly Sec. 214,
renumbered Oct. 23, 1962, Pub.L. 87-849, Sec. 1(b), 76 Stat. 1125; as
amended Sept. 13, 1994, Pub. L. 103-322, Title XXXIII,
Sec. 330016(1)(H), 108 Stat. 2147.)
18 U.S.C. Sec. 211. Acceptance or Solicitation to Obtain Appointive
Public Office.
Whoever solicits or receives, either as a political contribution, or
for personal emolument, any money or thing of value, in consideration
of the promise of support or use of influence in obtaining for any
person any appointive office or place under the United States, shall be
fined under this title or imprisoned not more than one year, or both.
Whoever solicits or receives any thing of value in consideration of
aiding a person to obtain employment under the United States either by
referring his name to an executive department or agency of the United
States or by requiring the payment of a fee because such person has
secured such employment shall be fined under this title or imprisoned
not more than one year, or both. This section shall not apply to such
services rendered by an employment agency pursuant to the written
request of an executive department or agency of the United States.
(June 25, 1948, ch. 645, 62 Stat. 694; Sec. 211, formerly Sec. 215,
amended Sept. 13, 1951, ch. 380, 65 Stat. 320; and renumbered Oct. 23,
1962, Pub.L. 87-849, Sec. 1(b), 76 Stat. 1125; as amended Sept. 13,
1994, Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat. 2147.)
CHAPTER 29--ELECTIONS AND POLITICAL ACTIVITIES
18 U.S.C. Sec. 591 [Definitions.] Repealed.
[18 U.S.C. 3591, based on acts June 25 1948, ch. 645, 62 Stat. 719; May
24, 1949, ch. 139, Sec. 9, 63 Stat. 90; Sept. 22, 1970, Pub.L. 91-405,
Title II, Sec. 204(d)(4), 84 Stat. 853; Feb. 7, 1972, Pub.L. 92-225,
Title II, Sec. 201, 86 Stat. 8; Oct. 15, 1974, Pub.L. 93-443, Title I,
Sec. Sec. 101(f)(2), 102, 88 Stat. 1268, 1269; May 11, 1976, Pub.L. 94-
283, Title I, Sec. 115(g), Title II, Sec. 202, 90 Stat. 496, 497,
defined terms applicable to prohibitions respecting elections and
political activities, was repealed by Pub.L. 96-187, Title II,
Sec. 201(a)(1), Jan. 8, 1980, 93 Stat. 1367.]
18 U.S.C. Sec. 592. Troops at Polls.
Whoever, being an officer of the Army or Navy, or other person in the
civil, military, or naval service of the United States, orders, brings,
keeps, or has under his authority or control any troops or armed men at
any place where a general or special election is held, unless such
force be necessary to repel armed enemies of the United States, shall
be fined under this title or imprisoned not more than five years, or
both; and be disqualified from holding any office of honor, profit, or
trust under the United States.
This section shall not prevent any officer or member of the armed
forces of the United States from exercising the right of suffrage in
any election district to which he may belong, if otherwise qualified
according to the laws of the State in which he offers to vote.
(June 24, 1948, ch. 645, 62 Stat. 719; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(K), 108 Stat. 2147.)
18 U.S.C. Sec. 593. Interference by Armed Forces.
Whoever, being an officer or member of the armed forces of the United
States, prescribes or fixes or attempts to prescribe or fix, whether by
proclamation, order or otherwise, the qualifications of voters at any
election in any State; or
Whoever, being such officer or member, prevents or attempts to prevent
by force, threat, intimidation, advice, or otherwise any qualified
voter of any State from fully exercising the right of suffrage at any
general or special election; or
Whoever, being such officer or member, orders or compels or attempts to
compel any election officer in any State to receive a vote from a
person not legally qualified to vote; or
Whoever, being such officer or member, imposes or attempts to impose
any regulations for conducting any general or special election in a
State, different from those prescribed by law; or
Whoever, being such officer or member, interferes in any manner with an
election officer's discharge of his duties--Shall be fined under this
title or imprisoned not more than five years, or both; and disqualified
from holding any office of honor, profit or trust under the United
States.
This section shall not prevent any officer or member of the Armed
Forces from exercising the right of suffrage in any district to which
he may belong, if otherwise qualified according to the laws of the
State of such district.
(June 25, 1948, ch. 645, 72 Stat. 719; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(K), 108 Stat. 2147.)
18 U.S.C. Sec. 594. Intimidation of Voters.
Whoever intimidates, threatens, coerces, or attempts to intimidate,
threaten, or coerce, any other persons for the purpose of interfering
with the right of such other person to vote or to vote as he may
choose, or of causing such other person to vote for, or not to vote
for, any candidate for the office of President, Vice President,
Presidential elector, Member of the Senate, Member of the House of
Representatives, Delegate from the District of Columbia, or Resident
Commissioner, at any election held solely or in part for the purpose of
electing such candidate, shall be fined or imprisoned not more than one
year, or both.
(June 25, 1948, ch. 645, 62 Stat. 720; as amended by Pub.L. 91-405,
Title II, Sec. 204(d)(5), Sept. 22, 1970, 84 Stat. 853; as amended
Sept. 13, 1994, Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), 108
Stat. 2147.)
18 U.S.C. Sec. 595. Interference by Administrative Employees of
Federal, State, or Territorial Governments.
Whoever, being a person employed in any administrative position by the
United States, or by any department or agency thereof, or by the
District of Columbia or any agency or instrumentality thereof, or by
any State, Territory, or Possession of the United States, or any
political subdivision, municipality, or agency thereof, or agency of
such political subdivision or municipality (including any corporation
owned or controlled by any State, Territory or Possession of the United
States or by any such political subdivision, municipality, or agency),
in connection with any activity which is financed in whole or in part
by loans or grants made by the United States, or any department or
agency thereof, uses his official authority for the purpose of
interfering with, or affecting, the nomination or the election of any
candidate for the office of President, Vice President, Presidential
elector, Member of the Senate, Member of the House of Representatives,
Delegate from the District of Columbia, or Resident Commissioner, shall
be fined under this title or imprisoned not more than one year, or
both.
This section shall not prohibit or make unlawful any act by any officer
or employee of any educational or research institution, establishment,
agency, or system which is supported in whole or in part by any state
or political subdivision thereof, or by the District of Columbia or by
any Territory or Possession of the United States; or by any recognized
religious, philanthropic or cultural organization.
(June 25, 1948, ch. 645, 62 Stat. 720; as amended by Pub.L. 91-405,
Title II, Sec. 204(d)(6), 84 Stat. 853; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), (L), 108 Stat. 2147.)
18 U.S.C. Sec. 596. Polling Armed Forces.
Whoever, within or without the Armed Forces of the United States, polls
any member of such forces, either within or without the United States,
either before or after he executes any ballot under any Federal or
State law, with reference to his choice of or his vote for any
candidate, or states, publishes, or releases any result of any
purported poll taken from or among the members of the Armed Forces of
the United States or including within it the statement of choice for
such candidate or of such votes cast by any member of the Armed Forces
of the United States, shall be fined under this title, or imprisoned
for not more than one year, or both.
The word ``poll'' means any request for information, verbal or written,
which by its language or form of expression requires or implies the
necessity of an answer, where the request is made with the intent of
compiling the result of the answers obtained, either for the personal
use of the person making the request, or for the purpose of reporting
the same to any person, persons, political party, unincorporated
association or corporation, or for the purpose of publishing the same
orally, by radio, or in written or printed form.
(June 25, 1948, ch. 645, 62 Stat. 720; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat. 2147.)
18 U.S.C. Sec. 597. Expenditures to Influence Voting.
Whoever makes or offers to make an expenditure to any person, either to
vote or withhold his vote, or to vote for or against any candidate; and
Whoever solicits, accepts, or receives any such expenditure in
consideration of his vote or the withholding of his vote--Shall be
fined under this title or imprisoned not more than one year, or both;
and if the violation was willful, shall be fined under this title or
imprisoned not more than two years, or both.
(June 24, 1948, ch. 645, 62 Stat. 721; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat. 2147; Oct.
11, 1996, Pub.L. 104-294, Title VI, Sec. 601(a)(12), 110 Stat. 3498.)
18 U.S.C. Sec. 598. Coercion by Means of Relief Appropriations.
Whoever uses any part of any appropriation made by Congress for work
relief, relief, or for increasing employment by providing loans and
grants for public-works projects, or exercises or administers any
authority conferred by any Appropriation Act for the purpose of
interfering with, restraining, or coercing any individual in the
exercise of his right to vote at any election, shall be fined under
this title or imprisoned not more than one year, or both.
(June 25, 1948, ch. 645, 62 Stat. 721; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat. 2147.)
18 U.S.C. Sec. 599. Promise of Appointment of Candidate.
Whoever, being a candidate, directly or indirectly promises or pledges
the appointment, or the use of his influence or support for the
appointment of any person to any public or private position or
employment, for the purpose of procuring support in his candidacy shall
be fined under this title or imprisoned not more than one year, or
both; and if the violation was willful, shall be fined under this title
or imprisoned not more than two years, or both.
(June 25, 1948, ch. 645, 62 Stat. 721; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), (L), 108 Stat. 2147.)
18 U.S.C. Sec. 600. Promise of Employment or Other Benefit for
Political Activity.
Whoever, directly or indirectly, promises any employment, position,
compensation, contract, appointment, or other benefit, provided for or
made possible in whole or in part by any Act of Congress, or any
special consideration in obtaining any such benefit, to any person as a
consideration, favor, or reward for any political activity or for the
support of or opposition to any candidate or any political party in
connection with any general or special election to any political
office, or in connection with any primary election or political
convention or caucus held to select candidates for any political
office, shall be fined under this title or imprisoned not more than one
year, or both.
(June 25, 1948, ch. 645, 62 Stat. 721; as amended Pub.L. 92-225, Title
II, Sec. 202, Feb. 7, 1972, 86 Stat. 9; and Pub.L. 94-453, Sec. 3, Oct.
2, 1976, 90 Stat. 1517; as amended Oct. 2, 1976, Pub.L. 94-453, Sec. 3,
90 Stat. 1517; Sept. 13, 1994, Pub.L. 103-322, Title XXXIII,
Sec. 330016(1)(L), 108 Stat. 2147.)
18 U.S.C. Sec. 601. Deprivation of Employment or Other Benefit for
Political Contribution.
(a) Whoever, directly or indirectly, knowingly causes or attempts to
cause any person to make a contribution of a thing of value (including
services) for the benefit of any candidate or any political party, by
means of the denial or deprivation, or the threat of the denial or
deprivation, of--
(1) any employment, position, or work in or for any agency or other
entity of the Government of the United States, a State, or a political
subdivision of a State, or any compensation or benefit of such
employment, position, or work; or
(2) any payment or benefit of a program of the United States, a State,
or a political subdivision of a State;
if such employment, position, work, compensation, payment, or benefit
is provided for or made possible in whole or in part by an Act of
Congress, shall be fined under this title or imprisoned not more than
one year, or both.
(b) As used in this section--
(1) the term ``candidate'' means an individual who seeks nomination for
election, or election, to Federal, State, or local office, whether or
not such individual is elected, and, for purposes of this paragraph,
an individual shall be deemed to seek nomination for election, or
election, to Federal, State, or local office, if he has (A) taken the
action necessary under the law of a State to qualify himself for
nomination for election, or election, or (B) received contributions or
made expenditures, or has given his consent for any other person to
receive contributions or make expenditures, with a view to bringing
about his nomination for election, or election, to such office;
(2) the term ``election'' means (A) a general, special primary, or
runoff election, (B) a convention or caucus of a political party held
to nominate a candidate, (C) a primary election held for the selection
of delegates to a nominating convention of a political party, (D) a
primary election held for the expression of a preference for the
nomination of persons for election to the office of President, and (E)
the election of delegates to a constitutional convention for proposing
amendments to the Constitution of the United States or of any State;
and
(3) the term ``State'' means a State of the United States, the District
of Columbia, the Commonwealth of Puerto Rico, or any territory or
possession of the United States.
(June 25, 1948, ch. 645, 62 Stat. 721; as amended by Pub.L. 94-453,
Sec. 1, Oct. 2, 1976, 90 Stat. 1516.; as amended Oct. 2, 1976, Pub.L.
94-453, Sec. 1, 90 Stat. 1516; Sept. 13, 1994, Pub.L. 103-322, Title
XXXIII, Sec. 330016(1)(L), 108 Stat. 2147.)
18 U.S.C. Sec. 602. Solicitation of Political Contributions.
(a) It shall be unlawful for--
(1) a candidate for the Congress;
(2) an individual elected to or serving in the office of Senator or
Representative in, or Delegate or Resident Commissioner to, the
Congress;
(3) an officer or employee of the United States or any department or
agency thereof; or
(4) a person receiving any salary or compensation for services from
money derived from the Treasury of the United States; to knowingly
solicit any contribution within the meaning of section 301(8) of the
Federal Election Campaign Act of 1971 from any other such officer,
employee, or person. Any person who violates this section shall be
fined under this title or imprisoned not more than three years, or
both.
(b) The prohibition in subsection (a) shall not apply to any activity
of an employee (as defined in section 7322(1) of title 5) or any
individual employed in or under the United States Postal Service or the
Postal Rate Commission, unless that activity is prohibited by section
7323 or 7324 of such title.
(June 25, 1948, ch. 645, 62 Stat. 722; as amended by Pub.L. 96-187,
Title II, Sec. 201, Jan. 8, 1980, 93 Stat. 1367; as amended Jan. 8,
1980, Pub.L. 96-187, Title II, Sec. 201(a)(3), 93 Stat. 1367; Oct. 6,
1993, Pub.L. 103-94, Sec. 4(a), 107 Stat. 1004; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 33001(1)(K), 108 Stat. 2147.)
18 U.S.C. Sec. 603. Making Political Contributions.
(a) It shall be unlawful for an officer or employee of the United
States or any department or agency thereof, or a person receiving any
salary or compensation for service from money derived from the Treasury
of the United States, to make any contribution within the meaning of
section 301(8) of the Federal Election Campaign Act of 1971 to any
other such officer, employee or person or to any Senator or
Representative in, or Delegate or Resident Commissioner to, the
Congress, if the person receiving such contribution is the employer or
employing authority of the person making the contribution. Any person
who violates this section shall be fined under this title or imprisoned
not more than three years, or both.
(b) For purposes of this section, a contribution to an authorized
committee as defined in section 302(e)(1) of the Federal Election
Campaign Act of 1971 shall be considered a contribution to the
individual who has authorized such committee.
(c) The prohibition in subsection (a) shall not apply to any activity
of an employee (as defined in section 7322(1) of title 5) or any
individual employed in or under the United States Postal Service or the
Postal Rate Commission, unless that activity is prohibited by section
7323 or 7324 of such title.
(June 25, 1948, ch. 645, 62 Stat. 722; Oct. 31, 1951, ch. 655,
Sec. 20(b), 65 Stat. 718; as amended by Pub.L. 96-187, Title II,
Sec. 201, Jan. 8, 1980, 93 Stat. 1367; as amended Jan. 8, 1980, Pub.L.
96-187, Title II, Sec. 201(a)(4), 93 Stat. 1367; Oct. 6, 1993, Pub.L.
103-94, Sec. 4(b), 107 Stat. 1005, Sept. 13, 1994, Pub.L. 103-322,
Title XXXIII, Sec. 330016(1)(K), 108 Stat. 2147.)
18 U.S.C. Sec. 604. Solicitation for Persons on Relief.
Whoever solicits or receives or is in any manner concerned in
soliciting or receiving any assessment, subscription, or contribution
for any political purpose from any person known by him to be entitled
to, or receiving compensation, employment, or other benefit provided
for or made possible by any Act of Congress appropriating funds for
work relief or relief purposes, shall be fined under this title or
imprisoned not more than one year, or both.
(June 25, 1948, ch. 645, 62 Stat. 722; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat. 2147.)
18 U.S.C. Sec. 605. Disclosure of Names of Persons on Relief.
Whoever, for political purposes, furnishes or discloses any list or
names of persons receiving compensation, employment or benefits
provided for or made possible by any Act of Congress appropriating, or
authorizing the appropriation of funds for work relief or relief
purposes, to a political candidate, committee, campaign manager, or to
any person for delivery to a political candidate, committee, or
campaign manager; and
Whoever receives any such list or names for political purposes--
Shall be fined under this title or imprisoned not more than one year,
or both.
(June 25, 1948, ch. 645, 62 Stat. 722; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(H), 108 Stat. 2147.)
18 U.S.C. Sec. 606. Intimidation to Secure Political Contributions.
Whoever, being one of the officers or employees of the United States
mentioned in section 602 of this title, discharges, or promotes, or
degrades, or in any manner changes the official rank or compensation of
any other officer or employee, or promises or threatens so to do, for
giving or withholding or neglecting to make any contribution of money
or other valuable thing for any political purpose, shall be fined under
this title or imprisoned not more than three years, or both.
(June 25, 1948, ch. 645, 62 Stat. 722; as amended Sept. 13, 1994,
Pub.L. 103-322, Title XXXIII, Sec. 330016(1)(K), 108 Stat. 2147.)
18 U.S.C. Sec. 607. Place of Solicitation.
(a) It shall be unlawful for any person to solicit or receive any
contribution within the meaning of section 301(8) of the Federal
Election Campaign Act of 1971 in any room or building occupied in the
discharge of official duties by any person mentioned in section 603, or
in any navy yard, fort, or arsenal. Any person who violates this
section shall be fined under this title or imprisoned not more than
three years, or both.
(b) The prohibition in subsection (a) shall not apply to the receipt of
contributions by persons on the staff of a Senator or Representative
in, or Delegate or Resident Commissioner to, the Congress, provided,
that such contributions have not been solicited in any manner which
directs the contributor to mail or deliver a contribution to any room,
building, or other facility referred to in subsection (a), and provided
that such contributions are transferred within seven days of receipt to
a political committee within the meaning of section 302(e) of the
Federal Election Campaign Act of 1971.
(June 25, 1948, ch. 645, 62 Stat. 722; as amended by Pub.L. 96-187,
Sec. 201, Jan. 8, 1980, 93 Stat. 1367; as amended Jan. 8, 1980, Pub. L.
96-187, Title II, Sec. 201(a)(5), 93 Stat. 1367; Sept. 13, 1994, Pub.L.
103-322, Title XXXIII, Sec. 330016(1)(K), 108 Stat. 2147.)
18 U.S.C. Sec. 608. Absent Uniformed Services Voters and Overseas
Voters.
(a) Whoever knowingly deprives or attempts to deprive any person of a
right under the Uniformed and Overseas Citizens Absentee Voting Act
shall be fined in accordance with this title or imprisoned not more
than five years, or both.
(b) Whoever knowingly gives false information for the purpose of
establishing the eligibility of any person to register or vote under
the Uniformed and Overseas Citizens Absentee Voting Act, or pays or
offers to pay, or accepts payment for registering or voting under such
Act shall be fined in accordance with this title or imprisoned not more
than five years, or both.
(Added Pub.L. 99-410, title II, Sec. 202(a), Aug. 28, 1986, 100 Stat.
929.)
18 U.S.C. Sec. 609. Use of Military Authority To Influence Vote of
Member of Armed Forces.
Whoever, being a commissioned, noncommissioned, warrant, or petty
officer of an Armed Force, uses military authority to influence the
vote of a member of the Armed Forces or to require a member of the
Armed Forces to march to a polling place, or attempts to do so, shall
be fined in accordance with this title or imprisoned not more than five
years, or both. Nothing in this section shall prohibit free discussion
of political issues or candidates for public office.
(Added Pub.L. 99-410, title II, Sec. 202(a), Aug. 28, 1986, 100 Stat.
929.)
I. Internal Revenue Code, Political Campaign Debts and Contributions
(Title 26, United States Code)
26 U.S.C. Sec. 84. Transfer of Appreciated Property to Political
Organization.
(a) General rule.
If--
(1) any person transfers property to a political organization, and
(2) the fair market value of such property exceeds its adjusted basis,
then for purposes of this chapter the transferor shall be treated as
having sold such property to the political organization on the date of
the transfer, and the transferor shall be treated as having realized an
amount equal to the fair market value of such property on such date.
(b) Basis of property.
In the case of a transfer of property to a political organization to
which subsection (a) applies, the basis of such property in the hands
of the political organization shall be the same as it would be in the
hands of the transferor, increased by the amount of gain recognized to
the transferor by reason of such transfer.
(c) Political organization defined.
For purposes of this section, the term ``political organization'' has
the meaning given to such term by section 527(e)(1).
(Added Pub.L. 92-625, Sec. 13(a)(1), Jan. 3, 1975, 88 Stat. 2120.)
26 U.S.C. Sec. 271. Debts Owed by Political Parties, etc.
(a) General rule.
In the case of a taxpayer (other than a bank as defined in section 581)
no deduction shall be allowed under section 166 (relating to bad debts)
or under section 165(g) (relating to worthlessness of securities) by
reason of the worthlessness of any debt owed by a political party.
(b) Definitions.
(1) Political party.--For purposes of subsection (a), the term
``political party'' means--
(A) a political party;
(B) a national, State, or local committee of a political party; or
(C) a committee, association, or organization which accepts
contributions or makes expenditures for the purpose of influencing or
attempting to influence the election of presidential or vice
presidential electors or of any individual whose name is presented for
election to any Federal, State, or local elective public office whether
or not such individual is elected.
(2) Contributions.--For purposes of paragraph (1)(C), the term
``contributions'' includes a gift, subscription, loan, advance, or
deposit of money, or anything of value, and includes a contract,
promise, or agreement to make a contribution, whether or not legally
enforceable.
(3) Expenditures.--For purposes of paragraph (1)(C), the term
``expenditures'' includes a payment, distribution, loan, advance,
deposit, or gift of money, or anything of value, and includes a
contract promise or agreement to make an expenditure, whether or not
legally enforceable.
(c) Exception.
In the case of a taxpayer who uses an accrual method of accounting,
subsection (a) shall not apply to a debt which accrued as a receivable
on a bona fide sale of goods or services in the ordinary course of the
taxpayer's trade or business if--
(1) for the taxable year in which such receivable accrued, more than 30
percent of all receivables which accrued in the ordinary course of the
trades and businesses of the taxpayer were due from political parties,
and
(2) the taxpayer made substantial continuing efforts to collect on the
debt.
(Aug. 16, 1954, ch. 736, 68A Stat. 82 as amended Oct. 4, 1976, Pub.L.
94-455, Title XXI, Sec. 2104(a), 90 Stat. 1901.)
26 U.S.C. Sec. 276. Certain Indirect Contributions to Political
Parties.
(a) Disallowance of Deduction.
No deduction otherwise allowable under this chapter shall be allowed
for any amount paid or incurred for--
(1) advertising in a convention program of a political party, or in any
other publication if any part of the proceeds of such publication
directly or indirectly inures (or is intended to inure) to or for the
use of a political party or a political candidate;
(2) admission to any dinner or program, if any part of the proceeds of
such dinner or program directly or indirectly inures (or is intended to
inure) to or for the use of a political party or a political candidate;
or
(3) admission to an inaugural ball, inaugural gala, inaugural parade,
or inaugural concert, or to any similar event which is identified with
a political party or a political candidate.
(b) Definitions.
For purposes of this section--
(1) Political party.--The term ``political party'' means--
(A) a political party;
(B) a National, State, or local committee of a political party; or
(C) a committee, association, or organization, whether incorporated or
not, which directly or indirectly accepts contributions (as defined in
section 271(b)(2)) or makes expenditures (as defined in section
271(b)(3)) for the purpose of influencing or attempting to influence
the selection, nomination, or election of any individual to any
Federal, State, or local elective public office, or the election of
presidential and vice-presidential electors, whether or not such
individual or electors are selected, nominated, or elected.
(2) Proceeds inuring to or for the use of political candidates.--
Proceeds shall be treated as inuring to or for the use of a political
candidate only if--
(A) such proceeds may be used directly or indirectly for the purpose of
furthering his candidacy for selection, nomination, or election to any
elective public office, and
(B) such proceeds are not received by such candidate in the ordinary
course of a trade or business (other than the trade or business of
holding elective public office).
(c) Cross reference.
For disallowance of certain entertainment, etc., expenses, see section
274.
(Added Pub.L. 89-368, Title III, Sec. 301(a), Mar. 15, 1966, 80 Stat.
66; and amended Pub.L. 90-364, Title I, Sec. 108(a), June 28, 1968, 82
Stat. 269; as amended by Pub.L. 93-443, Sec. 406(d), Oct. 15, 1974, 88
Stat. 1296.)
26 U.S.C. Sec. 527. Political Organizations.
(a) General rule.
A political organization shall be subject to taxation under this
subtitle only to the extent provided in this section. A political
organization shall be considered an organization exempt from income
taxes for the purpose of any law which refers to organizations exempt
from income taxes.
(b) Tax imposed.
(1) In general.--Tax is hereby imposed for each taxable year on the
political organization taxable income of every political organization.
Such tax shall be computed by multiplying the political organization
taxable income by the highest rate of tax specified in section 11(b).
(2) Alternative tax in case of capital gains.--If for any taxable year
any political organization has a net capital gain, then, in lieu of the
tax imposed by paragraph (1), there is hereby imposed a tax (if such a
tax is less than the tax imposed by paragraph (1)) which shall consist
of the sum of--
(A) a partial tax, computed as provided by paragraph (1), on the
political organization taxable income determined by reducing such
income by the amount of such gain, and
(B) an amount determined as provided in section 1201(a) on such gain.
(c) Political organization taxable income defined.
(1) Taxable income defined.--For purposes of this section, the
political organization taxable income of any organization for any
taxable year is an amount equal to the excess (if any) of--
(A) the gross income for the taxable year (excluding any exempt
function income), over
(B) the deductions allowed by this chapter which are directly connected
with the production of the gross income (excluding exempt function
income), computed with the modifications provided in paragraph (2).
(2) Modifications.--For purposes of this subsection--
(A) there shall be allowed a specific deduction of $100,
(B) no net operating loss deduction shall be allowed under section 172,
and
(C) no deduction shall be allowed under part VIII of subchapter B
(relating to special deductions for corporations).
(3) Exempt function income.--For purposes of this subsection, the term,
``exempt function income'' means any amount received as--
(A) a contribution of money or other property,
(B) membership dues, a membership fee or assessment from a member of
the political organization.
(C) proceeds from a political fundraising or entertainment event, or
proceeds from the sale of political campaign materials, which are not
received in the ordinary course of any trade or business, or
(D) proceeds from the conducting of any bingo game (as defined in
section 513(f)(2)),
to the extent such amount is segregated for use only for the exempt
function of the political organization.
(d) Certain uses not treated as income to candidates.
For purposes of this title, if any political organization--
(1) contributes any amount to or for the use of any political
organization which is treated as exempt from tax under subsection (a)
of this section,
(2) contributes any amount to or for the use of any organization
described in paragraph (1) or (2) of section 509(a) which is exempt
from tax under section 501(a), or
(3) deposits any amount in the general fund of the Treasury or in the
general fund of any State or local government,
such amount shall be treated as an amount not diverted for the personal
use of the candidate or any other person. No deduction shall be allowed
under this title for the contribution or deposit of any amount
described in the preceding sentence.
(e) Other definitions.
For purposes of this section--
(1) Political organization.--The term ``political organization'' means
a party, committee, association, fund, or other organization (whether
or not incorporated) organized and operated primarily for the purpose
of directly or indirectly accepting contributions or making
expenditures, or both, for an exempt function.
(2) Exempt function.--The term ``exempt function'' means the function
of influencing or attempting to influence the selection, nomination,
election, or appointment of any individual to any Federal, State, or
local public office or office in a political organization, or the
election of Presidential or Vice-Presidential electors, whether or not
such individual or electors are selected, nominated, elected, or
appointed.
(3) Contributions.--The term ``contributions'' has the meaning given to
such term by section 271(b)(2).
(4) Expenditures.--The term ``expenditures'' has the meaning given to
such term by section 271(b)(3).
(f) Exempt organization which is not political organization must
include certain amounts in gross income.
(1) In general. If an organization described in section 501(c) which is
exempt from tax under section 501(a) expends any amount during the
taxable year directly (or through another organization) for an exempt
function (within the meaning of subsection (e)(2)), then,
notwithstanding any other provision of law, there shall be included in
the gross income of such organization for the taxable year, and shall
be subject to tax under subsection (b) as if it constituted political
organization taxable income, an amount equal to the lesser of--
(A) the net investment income of such organization for the taxable
year, or
(B) the aggregate amount so expended during the taxable year for such
an exempt function.
(2) Net investment income.--For purposes of this subsection, the term
``net investment income'' means the excess of--
(A) the gross amount of income from interest, dividends, rents, and
royalties, plus the excess (if any) of gains from the sale or exchange
of assets over the losses from the sale or exchange of assets, over
(B) the deduction allowed by this chapter which are directly connected
with the production of the income referred to in subparagraph (A).
For purposes of the preceding sentence, there shall not be taken into
account items taken into account for purposes of the tax imposed by
section 511 (relating to tax on unrelated business income).
(3) Certain separate segregated funds.--For purposes of this subsection
and subsection (e)(1), a separate segregated fund (within the meaning
of section 610 of title 18 or of any similar State statute, or within
the meaning of any State statute which permits the segregation of dues
moneys for exempt functions (within the meaning of subsection (e)(2)))
which is maintained by an organization described in section 501(c)
which is exempt from tax under section 501(a) shall be treated as a
separate organization.
(g) Treatment of newsletter funds.
(1) In general.--For purposes of this section, a fund established and
maintained by an individual who holds, has been elected to, or is a
candidate (within the meaning of paragraph (3)) for nomination or
election to, any Federal, State, or local elective public office for
use by such individual exclusively for the preparation and circulation
of such individual's newsletter shall, except as provided in paragraph
(2), be treated as if such fund constituted a political organization.
(2) Additional modifications.--In the case of any fund described in
paragraph (1)--
(A) the exempt function shall be only the preparation and circulation
of the newsletter, and
(B) the specific deduction provided by subsection (c)(2)(A) shall not
be allowed.
(3) Candidate.--For purposes of paragraph (1), the term ``candidate''
means, with respect to any Federal, State, or local elective public
office, an individual who--
(A) publicly announces that he is a candidate for nomination or
election to such office, and
(B) meets the qualifications prescribed by law to hold such office.
(h) Special rule for principal campaign committees.
(1) In general.--In the case of a political organization, which is a
principal campaign committee, paragraph (1) of subsection (b) shall be
applied by substituting ``the appropriate rates'' for ``the highest
rate''.
(2) Principal campaign committee defined.
(A) In general.--For purposes of this subsection, the term ``principal
campaign committee'' means the political committee designated by a
candidate for Congress as his principal campaign committee for purposes
of--
(i) section 302(e) of the Federal Election Campaign Act of 1971 (2
U.S.C. 432(e)), and
(ii) this subsection.
(B) Designation.--A candidate may have only 1 designation in effect
under subparagraph (A)(ii) at any time and such designation--
(i) shall be made at such time and in such manner as the Secretary may
prescribe by regulations, and
(ii) once made, may be revoked only with the consent of the Secretary.
Nothing in this subsection shall be construed to require any
designation where there is only one political committee with respect to
a candidate.
(Added Pub.L. 93-625, Sec. 10(a), Jan. 3, 1975, 88 Stat. 2116, and
amended Pub.L. 94-455, Title XIX, Sec. 1901(b)(33)(C), Oct. 4, 1976, 90
Stat. 1801; Pub.L. 95-502, Title III, Sec. 302(a), Oct. 21, 1978, 92
Stat. 1702; Pub.L. 95-600, Title III, Sec. 301(b)(6), Nov. 6, 1978, 92
Stat. 2821; Pub.L. 97-34, Title I, Sec. 128(a), Aug. 13, 1981, 95 Stat.
203; Pub.L. 98-369, Title IV, Sec. 474(r)(16), Title VII, Sec. 722(c)
July 18, 1984, 98 Stat. 843, 973; Pub.L. 99-514, Title I,
Sec. 112(b)(1), Oct. 22, 1986, 100 Stat. 2108; Pub.L. 100-647, Title I,
Sec. 1001(b)(3)(B), Nov. 10, 1988, 102 Stat. 3349.)
26 U.S.C. Sec. 2501. Imposition of Tax.
(a) Taxable transfers.
(1) General rule.--A tax, computed as provided in section 2502, is
hereby imposed for each calendar year on the transfer of property by
gift during such calendar year by any individual, resident or
nonresident.
* * * * * * *
(5) Transfers to political organizations.--Paragraph (1) shall not
apply to the transfer of money or other property to a political
organization (within the meaning of section 527(e)(1)) for the use of
such organization.
(Added Pub.L. 93-265, Sec. 14(a), Jan. 3, 1975, 88 Stat. 2121, as
amended Pub.L. 97-34, Title IV, Sec. 442(a)(1), Aug. 13, 1981, 95 Stat.
320.)
26 U.S.C. Sec. 6012. Persons Required To Make Returns of Income.
(a) General rule.
Returns with respect to income taxes under subTitle A shall be made by
the following:
* * * * * * *
(6) Every political organization (within the meaning of section
527(e)(1)), and every fund treated under section 527(g) as if it
constituted a political organization, which has political organization
taxable income (within the meaning of section 527(c)(1)) for the
taxable year * * *
J. Public Financing of Presidential Elections (Title 26, United States
Code)
26 U.S.C. Sec. 6096. Designation by Individuals.
(a) In general.
Every individual (other than a nonresident alien) whose income tax
liability for the taxable year is $3 or more may designate that $3
shall be paid over to the Presidential Election Campaign Fund in
accordance with the provisions of section 9006(a). In the case of a
joint return of husband and wife having an income tax liability of $6
or more, each spouse may designate that $3 shall be paid to the fund.
(b) Income tax liability.
For purposes of subsection (a), the income tax liability of an
individual for any taxable year is the amount of the tax imposed by
chapter 1 on such individual for such taxable year (as shown on his
return), reduced by the sum of the credits (as shown on his return)
allowable under part IV of subchapter A of chapter 1 (other than
subpart C thereof).
(c) Manner and time of designation.
A designation under subsection (a) may be made with respect to any
taxable year--
(1) at the time of filing the return of the tax imposed by chapter 1
for such taxable year, or
(2) at any other time (after the time of filing the return of the tax
imposed by chapter 1 for such taxable year) specified in regulations
prescribed by the Secretary.
Such designation shall be made in such manner as the Secretary
prescribes by regulations except that, if such designation is made at
the time of filing the return of the tax imposed by chapter 1 for such
taxable year, such designation shall be made either on the first page
of the return or on the page bearing the taxpayer's signature.
(Added Pub.L. 89-809, Title III, Sec. 302(a), Nov. 13, 1966, 80 Stat.
1587, and amended Pub.L. 92-178, Title VIII, Sec. 802(a), Dec. 10,
1971, 85 Stat. 573; Pub.L. 93-53, Sec. 6(a), July 1, 1973, 87 Stat.
138; Pub.L. 94-12, Title II, Sec. Sec. 203(b)(4), 208(d)(4), Mar. 29,
1975, 89 Stat. 30, 35; Pub.L. 94-455, Title IV, Sec. 401(a)(2)(C),
Title V, Sec. 504(c)(2), Title XIX, Sec. 1906(b)(13)(A), Oct. 4, 1976,
90 Stat. 1555, 1565, 1834; Pub.L. 95-30, Title II, Sec. 202(d)(6), May
23, 1977, 91 Stat. 151; Pub.L. 95-618, Title I, Sec. 101(b)(4), Nov. 9,
1978, 92 Stat. 3180; Pub.L. 96-223, Title II, Sec. 231(b) (2), (3)(C),
Apr. 2, 1980, 94 Stat. 272, 276. As amended Pub.L. 97-34, Title II,
Sec. 221(c)(1), Title III, Sec. 331(e)(1), Aug. 13, 1981, 95 Stat. 247,
295; Pub.L. 97-414, Sec. 4(c)(2), Jan. 4, 1982, 96 Stat. 2056; Pub.L.
98-369, Title IV, Sec. 474(r)(31), July 18, 1984, 98 Stat. 845; Pub.L.
103-66, Title XIII Sec. 13441(a), Aug. 10, 1993, 107 Stat. 567.)
CHAPTER 95--PRESIDENTIAL ELECTION CAMPAIGN FUND
26 U.S.C. Sec. 9001. Short title.
This chapter may be cited as the ``Presidential Election Campaign Fund
Act''.
(Added Pub.L. 92-178, Title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
563.)
26 U.S.C. Sec. 9002. Definitions.
For purposes of this chapter--
(1) The term ``authorized committee'' means, with respect to the
candidates of a political party for President and Vice President of the
United States, any political committee which is authorized in writing
by such candidates to incur expenses to further the election of such
candidates. Such authorization shall be addressed to the chairman of
such political committee, and a copy of such authorization shall be
filed by such candidates with the Commission. Any withdrawal of any
authorization shall also be in writing and shall be addressed and filed
in the same manner as the authorization.
(2) The term ``candidate'' means, with respect to any presidential
election, an individual who (A) has been nominated for election to the
office of President of the United States or the office of Vice
President of the United States by a major party, or (B) has qualified
to have his name on the election ballot (or to have the names of
electors pledged to him on the election ballot) as the candidate of a
political party for election to either such office in 10 or more
States. For purposes of paragraphs (6) and (7) of this section and
purposes of section 9004(a)(2), the term ``candidate'' means, with
respect to any preceding presidential election, an individual who
received popular votes for the office of President in such election.
The term ``candidate'' shall not include any individual who has ceased
actively to seek election to the office of President of the United
States or to the office of Vice President of the United States, in more
than one State.
(3) The term ``Commission'' means the Federal Election Commission
established by section 309(a)(1) of the Federal Election Campaign Act
of 1971.
(4) The term ``eligible candidates'' means the candidates of a
political party for President and Vice President of the United States
who have met all applicable conditions for eligibility to receive
payments under this chapter set forth in section 9003.
(5) The term ``fund'' means the Presidential Election Campaign Fund
established by section 9006(a).
(6) The term ``major party'' means, with respect to any presidential
election, a political party whose candidate for the office of President
in the preceding presidential election received, as the candidate of
such party, 25 percent or more of the total number of popular votes
received by all candidates for such office.
(7) The term ``minor party'' means, with respect to any presidential
election, a political party whose candidate for the office of President
in the preceding presidential election received, as the candidate of
such party, 5 percent or more but less than 25 percent of the total
number of popular votes received by all candidates for such office.
(8) The term ``new party'' means, with respect to any presidential
election, a political party which is neither a major party nor a minor
party.
(9) The term ``political committee'' means any committee, association,
or organization (whether or not incorporated) which accepts
contributions or makes expenditures for the purpose of influencing, or
attempting to influence, the nomination or election of one or more
individuals to Federal, State, or local elective public office.
(10) The term ``presidential election'' means the election of
presidential and vice-presidential electors.
(11) The term ``qualified campaign expense'' means an expense--
(A) incurred (i) by the candidate of a political party for the office
of President to further his election to such office or to further the
election of the candidate of such political party for the office of
Vice President, or both, (ii) by the candidate of a political party for
office of Vice President to further his election to such office or to
further the election of the candidate of such political party for the
office of President, or both, or (iii) by an authorized committee of
the candidates of a political party for the offices of President and
Vice President to further the election of either or both of such
candidates to such offices,
(B) incurred within the expenditure report period (as defined in
paragraph (12)), or incurred before the beginning of such period to the
extent such expense is for property, services, or facilities used
during such period, and
(C) neither the incurring nor payment of which constitutes a violation
of any law of the United States or of the State in which such expense
is incurred or paid.
An expense shall be considered as incurred by a candidate or an
authorized committee if it is incurred by a person authorized by such
candidate or such committee, as the case may be, to incur such expense
on behalf of such candidate or such committee. If an authorized
committee of the candidates of a political party for President and Vice
President of the United States also incurs expenses to further the
election of one or more other individuals to Federal, State, or local
elective public office, expenses incurred by such committee which are
not specifically to further the election of such other individual or
individuals shall be considered as incurred to further the election of
such candidates for President and Vice President in such proportion as
the Commission prescribes by rules or regulations.
(12) The term ``expenditure report period'' with respect to any
presidential election means--
(A) in the case of a major party, the period beginning with the first
day of September before the election, or, if earlier, with the date on
which such major party at its national convention nominated its
candidate for election to the office of President of the United States,
and ending 30 days after the date of the presidential election; and
(B) in the case of a party which is not a major party, the same period
as the expenditure report period of the major party which has the
shortest expenditure report period for such presidential election under
subparagraph (A).
(Added Pub.L. 92-178, Title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
563, and amended Pub.L. 93-443, Title IV, Sec. 404(c)(1)-(3), Oct. 15,
1974, 88 Stat. 1292; Pub.L. 94-283, Title I, Sec. 115(c)(1), Title III,
Sec. 306(a)(1), May 11, 1976, 90 Stat. 495, 499.)
26 U.S.C. Sec. 9003. Condition for Eligibility for Payments.
(a) In general.
In order to be eligible to receive any payments under section 9006, the
candidates of a political party in a presidential election shall, in
writing--
(1) agree to obtain and furnish to the Commission such evidence as it
may request of the qualified campaign expenses of such candidates,
(2) agree to keep and furnish to the Commission such records, books,
and other information as it may request, and
(3) agree to an audit and examination by the Commission under section
9007 and to pay any amounts required to be paid under such section.
(b) Major parties.
In order to be eligible to receive any payments under section 9006, the
candidates of a major party in a presidential election shall certify to
the Commission, under penalty or perjury, that--
(1) such candidates and their authorized committees will not incur
qualified campaign expenses in excess of the aggregate payments to
which they will be entitled under section 9004, and
(2) no contributions to defray qualified campaign expenses have been or
will be accepted by such candidates or any of their authorized
committees except to the extent necessary to make up any deficiency in
payments received out of the fund on account of the application of
section 9006(d), and no contributions to defray expenses which would be
qualified campaign expenses but for subparagraph (C) of section
9002(11) have been or will be accepted by such candidates or any of
their authorized committees.
Such certification shall be made within such time prior to the day of
the presidential election as the Commission shall prescribe by rules or
regulations.
(c) Minor and new parties.
In order to be eligible to receive any payments under section 9006, the
candidates of a minor or new party in a presidential election shall
certify to the Commission, under penalty of perjury, that--
(1) such candidates and their authorized committees will not incur
qualified campaign expenses in excess of the aggregate payments to
which the eligible candidates of a major party are entitled under
section 9004, and
(2) such candidates and their authorized committees will accept and
expend or retain contributions to defray qualified campaign expenses
only to the extent that the qualified campaign expenses incurred by
such candidates and their authorized committees certified to under
paragraph (1) exceed the aggregate payments received by such candidates
out of the fund pursuant to section 9006.
Such certification shall be made within such time prior to the day of
the presidential election as the Commission shall prescribe by rules or
regulations.
(d) Withdrawal by candidate.
In any case in which an individual ceases to be a candidate as a result
of the operation of the last sentence of section 9002(2), such
individual--
(1) shall no longer be eligible to receive any payments under section
9006, except that such individual shall be eligible to receive payments
under such section to defray qualified campaign expenses incurred while
actively seeking election to the office of President of the United
States or to the office of Vice President of the United States in more
than one State; and
(2) shall pay to the Secretary, as soon as practicable after the date
upon which such individual ceases to be a candidate, an amount equal to
the amount of payments received by such individual under section 9006
which are not used to defray qualified campaign expenses.
(e) Closed captioning requirement.
No candidate for the office of President or Vice President may receive
amounts from the Presidential Election Campaign Fund under this chapter
or chapter 96 unless such candidate has certified that any television
commercial prepared or distributed by the candidate will be prepared in
a manner which ensures that the commercial contains or is accompanied
by closed captioning of the oral content of the commercial to be
broadcast in line 21 of the vertical blanking interval, or is capable
of being viewed by deaf and hearing impaired individuals via any
comparable successor technology to line 21 of the vertical blanking
interval.
(Added Pub.L. 92-178, Title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
564, and amended Pub.L. 93-53, Sec. 6(c), July 1, 1973, 87 Stat. 139;
Pub.L. 93-443, Title IV, Sec. Sec. 404(c)(4), (5), 405(b), Oct. 15,
1974, 88 Stat. 1292, 1294; Pub.L. 94-283, Title III, Sec. 306(a)(2),
May 11, 1976, 90 Stat. 500; Pub.L. 94-455, Title XIX,
Sec. 1906(b)(13)(A), Oct. 4, 1976, 90 Stat. 1834; Pub.L. 102-393, Title
V, Sec. 534(a), Oct. 6, 1992, 106 Stat. 1764.)
26 U.S.C. Sec. 9004. Entitlement of Eligible Candidates to Payments.
(a) In general.
Subject to the provisions of this chapter--
(1) The eligible candidates of each major party in a presidential
election shall be entitled to equal payments under section 9006 in an
amount which, in the aggregate, shall not exceed the expenditure
limitations applicable to such candidates under section 320(b)(1)(B) of
the Federal Election Campaign Act of 1971.
(2)(A) The eligible candidates of a minor party in a presidential
election shall be entitled to payments under section 9006 equal in the
aggregate to an amount which bears the same ratio to the amount under
paragraph (1) for a major party as the number of popular votes received
by the candidate for President of the minority party, as such
candidate, in the preceding presidential election bears to the average
number of popular votes received by the candidates for President of the
major parties in the preceding presidential election.
(B) If the candidate of one or more political parties (not including a
major party) for the office of President was a candidate for such
office in the preceding presidential election and received 5 percent or
more but less than 25 percent of the total number of popular votes
received by all candidates for such office, such candidate and his
running mate for the office of Vice President, upon compliance with the
provisions of section 9003 (a) and (c), shall be treated as eligible
candidates entitled to payments under section 9006 in an amount
computed as provided in subparagraph (A) by taking into account all the
popular votes received by such candidate for the office of President in
the preceding presidential election. If eligible candidates of a minor
party are entitled to payments under this subparagraph, such
entitlement shall be reduced by the amount of the entitlement allowed
under subparagraph (A).
(3) The eligible candidates of a minor party or a new party in a
presidential election whose candidate for President in such election
receives, as such candidate, 5 percent or more of the total number of
popular votes cast for the office of President in such election shall
be entitled to payments under section 9006 equal in the aggregate to an
amount which bears the same ratio to the amount allowed under paragraph
(1) for a major party as the number of popular votes received by such
candidate in such election bears to the average number of popular votes
received in such election by the candidates for President of the major
parties. In the case of eligible candidates entitled to payments under
paragraph (2), the amount allowable under this paragraph shall be
limited to the amount, if any, by which the entitlement under the
preceding sentence exceeds the amount of the entitlement under
paragraph (2).
(b) Limitations.
The aggregate payments to which the eligible candidates of a political
party shall be entitled under subsections (a)(2) and (3) with respect
to a presidential election shall not exceed an amount equal to the
lower of--
(1) the amount of qualified campaign expenses incurred by such eligible
candidates and their authorized committees, reduced by the amount of
contributions to defray qualified campaign expenses received and
expended or retained by such eligible candidates and such committees,
or
(2) the aggregate payments to which the eligible candidates of a major
party are entitled under subsection (a)(1), reduced by the amount of
contributions described in paragraph (1) of this subsection.
(c) Restriction.
The eligible candidates of a political party shall be entitled to
payments under subsection (a) only--
(1) to defray qualified campaign expenses incurred by such eligible
candidates or their authorized committees, or
(2) to repay loans the proceeds of which were used to defray such
qualified campaign expenses, or otherwise to restore funds (other than
contributions to defray qualified campaign expenses received and
expended by such candidates or such committees) used to defray such
qualified campaign expenses.
(d) Expenditures from personal funds.
In order to be eligible to receive any payment under section 9006, the
candidate of a major, minor, or new party in an election for the office
of President shall certify to the Commission, under penalty of perjury,
that such candidate will not knowingly make expenditures from his
personal funds, or the personal funds of his immediate family, in
connection with his campaign for election to the office of President in
excess of, in the aggregate, $50,000. For purposes of this subsection,
expenditures from personal funds made by a candidate of a major, minor,
or new party for the office of Vice President shall be considered to be
expenditures by the candidate of such party for the office of
President.
(e) Definition of immediate family.
For purposes of subsection (d), the term ``immediate family'' means a
candidate's spouse, and any child, parent, grandparent, brother, half-
brother, sister, or half-sister of the candidate, and the spouses of
such persons.
(Added Pub.L. 92-178, title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
565, and amended Pub.L. 93-443, Title IV, Sec. 404 (a), (b), Oct. 15,
1974, 88 Stat. 1291, 1292; Pub.L. 94-283, Title III, Sec. Sec. 301(a),
307(d), May 11, 1976, 90 Stat. 497, 501.)
26 U.S.C. Sec. 9005. Certification by Commission.
(a) Initial certifications.
(a) Not later than 10 days after the candidates of a political party
for President and Vice President of the United States have met all
applicable conditions for eligibility to receive payments under this
chapter set forth in section 9003, the Commission shall certify to the
Secretary of the Treasury for payment to such eligible candidates under
section 9006 payment in full of amounts to which such candidates are
entitled under section 9004.
(b) Finality of certifications and determinations.
Initial certifications by the Commission under subsection (a), and all
determinations made by it under this chapter, shall be final and
conclusive, except to the extent that they are subject to examination
and audit by the Commission under section 9007 and judicial review
under section 9011.
(Added Pub.L. 92-178, Title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
566, and amended Pub.L. 93-443, Title IV, Sec. 404(c) (6), (7), 405(a),
Oct. 15, 1974, 88 Stat. 1,202, 1293; Pub.L. 94-455, Title XIX,
Sec. 1906(b)(13)(C), Oct. 4, 1976, 90 Stat. 1834.)
26 U.S.C. Sec. 9006. Payments to Eligible Candidates.
(a) Establishment of campaign fund.
There is hereby established on the books of the Treasury of the United
States a special fund to be known as the ``Presidential Election
Campaign Fund''. The Secretary of the Treasury shall, from time to
time, transfer to the fund an amount not in excess of the sum of the
amounts designated (subsequent to the previous presidential election)
to the fund by individuals under section 6096. There is appropriated to
the fund for each fiscal year, out of amounts in the general fund of
the treasury not otherwise appropriated, an amount equal to the amounts
so designated during each fiscal year, which shall remain available to
the fund without fiscal year limitation.
(b) Payments from the fund.
Upon receipt of a certification from the Commission under section 9005
for payment to the eligible candidates of a political party, the
Secretary of the Treasury shall pay to such candidates out of the fund
the amount certified by the Commission. Amounts paid to any such
candidates shall be under the control of such candidates.
(c) Insufficient amounts in fund.
If at the time of a certification by the Commission under section 9005
for payment to the eligible candidates of a political party, the
Secretary determines that the moneys in the fund are not, or may not
be, sufficient to satisfy the full entitlements of the eligible
candidates of all political parties, he shall withhold from such
payment such amount as he determines to be necessary to assure that the
eligible candidates of each political party will receive their pro rata
share of their full entitlement. Amounts withheld by reason of the
preceding sentence shall be paid when the Secretary determines that
there are sufficient moneys in the fund to pay such amounts, or
portions thereof, to all eligible candidates from whom amounts have
been withheld, but, if there are not sufficient moneys in the fund to
satisfy the full entitlement of the eligible candidates of all
political parties, the amounts so withheld shall be paid in such manner
that the eligible candidates of each political party receive their pro
rata share of their full entitlement. In any case in which the
Secretary determines that there are insufficient moneys in the fund to
make payments under subsection (b), section 9008(b)(3), and section
9037(b), moneys shall not be made available from any other source for
the purpose of making such payments.
(Added Pub.L. 92-178, Title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
567, and amended Pub.L. 93-53, Sec. 6(b), July 1, 1973, 87 Stat. 138;
Pub.L. 93-443, Title IV, Sec. Sec. 403(a), 404(c)(8), Oct. 15, 1975, 88
Stat. 1291, 1292; Pub.L. 94-283, Title III, Sec. 302, May 11, 1976, 90
Stat. 498; Pub.L. 94-455, Title XIX, Sec. 1906(b)(13) (A), (B), Oct. 4,
1976, 90 Stat. 1834.)
26 U.S.C. Sec. 9007. Examinations and Audits; Repayments.
(a) Examinations and audits.
After each presidential election, the Commission shall conduct a
thorough examination and audit of the qualified campaign expenses of
the candidates of each political party for President and Vice
President.
(b) Repayments.
(1) If the Commission determines that any portion of the payments made
to the eligible candidates of a political party under section 9006 was
in excess of the aggregate payments to which candidates were entitled
under section 9004, it shall so notify such candidates, and such
candidates shall pay to the Secretary of the Treasury an amount equal
to such portion.
(2) If the Commission determines that the eligible candidates of a
political party and their authorized committees incurred qualified
campaign expenses in excess of the aggregate payments to which the
eligible candidates of a major party were entitled under section 9004,
it shall notify such candidates of the amount of such excess and such
candidates shall pay to the Secretary of the Treasury an amount equal
to such amount.
(3) If the Commission determines that the eligible candidates of a
major party or any authorized committee of such candidates accepted
contributions (other than contributions to make up deficiencies in
payments out of the fund on account of the application of section
9006(c)) to defray qualified campaign expenses (other than qualified
campaign expenses with respect to which payment is required under
paragraph (2)), it shall notify such candidates of the amount of the
contributions so accepted, and such candidates shall pay to the
Secretary of the Treasury an amount equal to such amount.
(4) If the Commission determines that any amount of any payment made to
the eligible candidates of a political party under section 9006 was
used for any purpose other than--
(A) to defray the qualified campaign expenses with respect to which
such payment was made, or
(B) to repay loans the proceeds of which were used, or otherwise to
restore funds (other than contributions to defray qualified campaign
expenses which were received and expended) which were used, to defray
such qualified campaign expenses, it shall notify such candidates of
the amount so used, and such candidates shall pay to the Secretary of
the Treasury an amount equal to such amount.
(5) No payment shall be required from the eligible candidates of a
political party under this subsection to the extent that such payment,
when added to other payments required from such candidates under this
subsection, exceeds the amount of payments received by such candidates
under section 9006.
(c) Notification.
No notification shall be made by the Commission under subsection (b)
with respect to a presidential election more than 3 years after the day
of such election.
(d) Deposit of repayments.
All payments received by the Secretary of the Treasury under subsection
(b) shall be deposited by him in the general fund of the Treasury.
(Added Pub.L. 92-178, Title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
568, and amended Pub.L. 93-53, Sec. 6(c), July 1, 1973, 87 Stat. 139;
Pub.L. 93-443, Title IV, Sec. 404(c)(9)-(11), Oct. 15, 1974, 88 Stat.
1292; Pub.L. 94-283, Title III, Sec. 307(e), May 11, 1976, 90 Stat.
502; Pub.L. 94-455, Title XIX, Sec. 1906(b)(13) (B), (C), Oct. 4, 1976,
90 Stat. 1834.)
26 U.S.C. Sec. 9008. Payments for Presidential Nominating Conventions.
(a) Establishment of accounts.
The Secretary shall maintain in the fund, in addition to any account
which he maintains under section 9006(a), a separate account for the
national committee of each major party and minor party. The Secretary
shall deposit in each such account an amount equal to the amount which
each such committee may receive under subsection (b). Such deposits
shall be drawn from amounts designated by individuals under section
6096 and shall be made before any transfer is made to any account for
any eligible candidate under section 9006(a).
(b) Entitlement to payments from the fund.
(1) Major parties.--Subject to the provisions of this section, the
national committee of a major party shall be entitled to payments under
paragraph (3), with respect to any presidential nominating convention,
in amounts which, in the aggregate, shall not exceed $4,000,000.
(2) Minor parties.--Subject to the provisions of this section, the
national committee of a minor party shall be entitled to payments under
paragraph (3), with respect to any presidential nominating convention,
in amounts which, in the aggregate, shall not exceed an amount which
bears the same ratio to the amount the national committee of a major
party is entitled to receive under paragraph (1) as the number of
popular votes received by the candidate for President of the minor
party, as such candidate, in the preceding presidential election bears
to the average number of popular votes received by the candidates for
President of the United States of the major parties in the preceding
presidential election.
(3) Payments.--Upon receipt of certification from the Commission under
subsection (g), the Secretary shall make payments from the appropriate
account maintained under subsection (a) to the national committee of a
major party or minor party which elects to receive its entitlement
under this subsection. Such payments shall be available for use by such
committee in accordance with the provisions of subsection (c).
(4) Limitation.--Payments to the national committee of a major party or
minor party under this subsection from the account designated for such
committee shall be limited to the amounts in such account at the time
of payment.
(5) Adjustment of entitlements.--The entitlements established by this
subsection shall be adjusted in the same manner as expenditure
limitations established by section 315(b) and section 315(d) of the
Federal Election Campaign Act of 1971 are adjusted pursuant to the
provisions of section 315(c) of such Act.
(c) Use of funds.--No part of any payment made under subsection (b)
shall be used to defray the expenses of any candidate or delegate who
is particiating in any presidential nominating convention. Such
payments shall be used only--
(1) to defray expenses incurred with respect to a presidential
nominating convention (including the payment of deposits) by or on
behalf of the national committee receiving such payments; or
(2) to repay loans the proceeds of which were used to defray such
expenses, or otherwise to restore funds (other than contributions to
defray such expenses received by such committee) used to defray such
expenses.
(d) Limitation of expenditures.
(1) Major parties.--Except as provided by paragraph (3), the national
committee of a major party may not make expenditures with respect to a
presidential nominating convention which, in the aggregate, exceed the
amount of payments to which such committee is entitled under subsection
(b)(1).
(2) Minor parties.--Except as provided by paragraph (3), the national
committee of a minor party may not make expenditures with respect to a
presidential nominating convention which, in the aggregate, exceed the
amount of the entitlement of the national committee of a major party
under subsection (b)(1).
(3) Exception.--The Commission may authorize the national committee of
a major party or minor party to make expenditures which, in the
aggregate, exceed the limitation established by paragraph (1) or
paragraph (2) of this subsection. Such authorization shall be based on
a determination by the Commission that, due to extraordinary and
unforeseen circumstances, such expenditures are necessary to assure the
effective operation of the presidential nominating convention by such
committee.
(4) Provision of legal or accounting services.--For purposes of this
section, the payment, by any person other than the national committee
of a political party (unless the person paying for such services is a
person other than the regular employer of the individual rendering such
services) of compensation to any individual for legal or accounting
services rendered to or on behalf of the national committee of a
political party shall not be treated as an expenditure made by or on
behalf of such committee with respect to its limitations on
presidential nominating convention expenses.
(e) Availability of payments.
The national committee of a major party or minor party may receive
payments under subsection (b)(3) beginning on July 1 of the calendar
year immediately preceding the calendar year in which a presidential
nominating convention of the political party involved is held.
(f) Transfer to the fund.
If, after the close of a presidential nominating convention and after
the national committee of the political party involved has been paid
the amount which it is entitled to receive under this section, there
are moneys remaining in the account of such national committee, the
Secretary shall transfer the moneys so remaining to the fund.
(g) Certification by Commission.
Any major party or minor party may file a statement with the Commission
in such form and manner and at such times as it may require,
designating the national committee of such party. Such statement shall
include the information required by section 303(b) of the Federal
Election Campaign Act of 1971, together with such additional
information as the Commission may require. Upon receipt of a statement
filed under the preceding sentences, the Commission promptly shall
verify such statement according to such procedures and criteria as it
may establish and shall certify to the Secretary for payment in full to
any such committee of amounts to which such committee may be entitled
under subsection (b). Such certifications shall be subject to an
examination and audit which the Commission shall conduct no later than
December 31 of the calendar year in which the presidential nominating
convention involved is held.
(h) Repayments.
The Commission shall have the same authority to require repayments from
the national committee of a major party or a minor party as it has with
respect to repayments from any eligible candidate under section
9007(b). The provisions of section 9007(c) and section 9007(d) shall
apply with respect to any repayment required by the Commission under
this subsection.
(Added Pub.L. 92-178, title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
569, and amended Pub.L. 93-443, title IV, Sec. 406(a), Oct. 15, 1974,
88 Stat. 1294; Pub.L. 94-283, title III, Sec. Sec. 303, 307(a), May 11,
1976, 90 Stat. 498, 501; Pub.L. 96-187, title II, Sec. 202, Jan. 8,
1980, 93 Stat. 1368; Pub.L. 98-355, Sec. 1(a), (b) July 11, 1984, 98
Stat. 394.)
26 U.S.C. Sec. 9009. Reports to Congress; Regulations.
(a) Reports.
The Commission shall, as soon as practicable after each presidential
election, submit a full report to the Senate and House of
Representatives setting forth--
(1) the qualified campaign expenses (shown in such detail as the
Commision determines necessary) incurred by the candidates of each
political party and their authorized committees;
(2) the amounts certified by it under section 9005 for payment to the
eligible candidates of each political party;
(3) the amount of payments, if any, required from such candidates under
section 9007, and the reasons for each payment required; and
(4) the expenses incurred by the national committee of a major party or
minor party with respect to a presidential nominating convention;
(5) the amounts certified by it under section 9008(g) for payment to
each such committee; and
(6) the amount of payments, if any, required from such committees under
section 9008(h), and the reasons for each such payment.
Each report submitted pursuant to this section shall be printed as a
Senate document.
(b) Regulations, etc.
The Commission is authorized to prescribe such rules and regulations in
accordance with the provisions of subsection (c), to conduct such
examinations and audits (in addition to the examinations and audits
required by section 9007(a)), to conduct such investigations, and to
require the keeping and submission of such books, records, and
information, as it deems necessary to carry out the functions and
duties imposed on it by this chapter.
(c) Review of regulations.
(1) The Commission before prescribing any rule or regulation under
subsection (b), shall transmit a statement with respect to such rule or
regulation to the Senate and to the House of Representatives, in
accordance with the provisions of this subsection. Such statement shall
set forth the proposed rule or regulation and shall contain a detailed
explanation and justification of such rule or regulation.
(2) If either such House does not, through appropriate action,
disapprove the proposed rule or regulation set forth in such statement
no later than 30 legislative days after receipt of such statement, then
the Commission may prescribe such rule or regulation. Whenever a
committee of the House of Representatives reports any resolution
relating to any such rule or regulation, it is at any time thereafter
in order (even though a previous motion to the same effect has been
disagreed to) to move to proceed to the consideration of the
resolution. The motion is highly privileged and is not debatable. And
amendment to the motion is not in order, and it is not in order to move
to reconsider the vote by which the motion is agreed to or disagreed
to. The Commission may not prescribe any rule or regulation which is
disapproved by either such House under this paragraph.
(3) For purposes of this subsection, the term ``legislative days'' does
not include any calendar day on which both Houses of the Congress are
not in session.
(4) For purposes of this subsection, the term ``rule or regulation''
means a provision or series of interrelated provisions stating a single
separable rule of law.
(Added Pub.L. 92-178, title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
569, and amended Pub.L. 93-443, title IV, Sec. Sec. 404(c) (12), (13),
406(b)(1), 409, Oct. 15, 1974, 88 Stat. 1292, 1293, 1296, 1303; Pub.L.
94-283, title III, Sec. 304(a), May 11, 1976, 90 Stat. 498.)
26 U.S.C. Sec. 9010. Participation by Commission in Judicial
Proceedings.
(a) Appearance by counsel.
The Commission is authorized to appear in and defend against any action
filed under section 9011, either by attorneys employed in its office or
by counsel whom it may appoint without regard to the provisions of
title 5, United States Code, governing appointments in the competitive
service, and whose compensation it may fix without regard to the
provisions of chapter 51 and subchapter III of chapter 53 of such
title.
(b) Recovery of certain payments.
The Commission is authorized through attorneys and counsel described in
subsection (a) to appear in the district courts of the United States to
seek recovery of any amounts determined to be payable to the Secretary
of the Treasury as a result of examination and audit made pursuant to
section 9007.
(c) Declaratory and injunctive relief.
The Commission is authorized through attorneys and counsel described in
subsection (a) to petition the courts of the United States for
declaratory or injunctive relief concerning any civil matter covered by
the provisions of this subtitle or section 6096. Upon application of
the Commission, an action brought pursuant to this subsection shall be
heard and determined by a court of three judges in accordance with the
provisions of section 2284 of title 28, United States Code, and any
appeal shall lie to the Supreme Court.
(d) Appeal.
The Commission is authorized on behalf of the United States to appeal
from, and to petition the Supreme Court for certiorari to review,
judgments or decrees entered with respect to actions in which it
appears pursuant to the authority provided in this section.
(Added Pub.L. 92-178, title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
569, and amended Pub.L. 93-443, title IV, Sec. 404(c)(14)-(18), Oct.
15, 1974, 88 Stat. 1293; Pub.L. 94-455, title XIX, Sec. 1906(b)(13)(C),
Oct. 4, 1976, 90 Stat. 1834; Pub.L. 98-620, title IV, Sec. 402(28)(E),
Nov. 8, 1984, 98 Stat. 3359.)
26 U.S.C. Sec. 9011. Judicial Review.
(a) Review of certification, determination, or other action by the
Commission.
Any certification, determination, or other action by the Commission
made or taken pursuant to the provisions of this chapter shall be
subject to review by the United States Court of Appeals for the
District of Columbia upon petition filed in such Court by any
interested person. Any petition filed pursuant to this section shall be
filed within thirty days after the certification, determination, or
other action by the Commission for which review is sought.
(b) Suits to implement chapter.
(1) The Commission, the national committee of any political party, and
individuals eligible to vote for President are authorized to institute
such actions, including actions for declaratory judgment or injunctive
relief, as may be appropriate to implement or construe any provision of
this chapter.
(2) The district courts of the United States shall have jurisdiction of
proceedings instituted pursuant to this subsection and shall exercise
the same without regard to whether a person asserting rights under
provisions of this subsection shall have exhausted any administrative
or other remedies that may be provided at law. Such proceedings shall
be heard and determined by a court of three judges in accordance with
the provisions of section 2284 of title 28, United States Code, and any
appeal shall lie to the Supreme Court.
(Added Pub.L. 92-178, title VIII, Sec. 801, Dec. 10, 1971, 85 Stat.
570, and amended Pub.L. 93-443, title IV, Sec. 404(c)(19)-(21), Oct.
15, 1974, 88 Stat. 1293; Pub.L. 98-620, title IV, Sec. 402(28)(F), Nov.
8, 1984, 98 Stat. 3359.)
26 U.S.C. Sec. 9012. Criminal Penalties.
(a) Excess expenses.
(1) It shall be unlawful for an eligible candidate of a political party
for President and Vice President in a presidential election or any of
his authorized committees knowingly and willfully to incur qualified
campaign expenses in an amount which exceeds the qualified campaign
expenses in excess of the aggregate payments to which the eligible
candidates of a major party are entitled under section 9004 with
respect to such election. It shall be unlawful for the national
committee of a major party or minor party knowingly and willfully to
incur expenses with respect to a presidential nominating convention in
excess of the expenditure limitation applicable with respect to such
committee under section 9008(d), unless the incurring of such expenses
is authorized by the Commission under section 9008(d)(3).
(2) Any person who violates paragraph (1) shall be fined not more than
$5,000, or imprisoned not more than one year or both. In the case of a
violation by an authorized committee, any officer or member of such
committee who knowingly and willfully consents to such violation shall
be fined not more than $5,000, or imprisoned not more than one year, or
both.
(b) Contributions.
(1) It shall be unlawful for an eligible candidate of a major party in
a presidential election or any of his authorized committees knowingly
and willfully to accept any contribution to defray qualified campaign
expenses, except to the extent necessary to make up any deficiency in
payments received out of the fund on account of the application of
section 9006(c), or to defray expenses which would be qualified
campaign expenses but for subparagraph (C) of section 9002(11).
(2) It shall be unlawful for an eligible candidate of a political party
(other than a major party) in a presidential election or any of his
authorized committees knowingly and willfully to accept and expend or
retain contributions to defray qualified campaign expenses in an amount
which exceeds the qualified campaign expenses incurred with respect to
such election by such eligible candidate and his authorized committees.
(3) Any person who violates paragraph (1) or (2) shall be fined not
more than $5,000, or imprisoned not more than one year, or both. In the
case of a violation by an authorized committee, any officer or member
of such committee who knowingly and willfully consents to such
violation shall be fined not more than $5,000, or imprisoned not more
than one year, or both.
(c) Unlawful use of payments.
(1) It shall be unlawful for any person who receives any payment under
section 9006, or to whom any portion of any payment received under such
section is transferred, knowingly and willfully to use, or authorize
the use of, such payment or such portion for any purpose other than--
(A) to defray the qualified campaign expenses with respect to which
such payment was made, or
(B) to repay loans the proceeds of which were used, or otherwise to
restore funds (other than contributions to defray qualified campaign
expenses which were received and expended) which were used, to defray
such qualified campaign expenses.
(2) It shall be unlawful for the national committee of a major party or
minor party which receives any payment under section 9008(b)(3) to use,
or authorize the use of, such payment for any purpose other than a
purpose authorized by section 9008(c).
(3) Any person who violates paragraph (1) shall be fined not more than
$10,000, or imprisoned not more than five years, or both.
(d) False statements, etc.
(1) It shall be unlawful for any person knowingly and willfully--
(A) to furnish any false, fictitious, or fraudulent evidence, books, or
information to the Commission under this subtitle, or to include in any
evidence, books, or information so furnished any misrepresentation of a
material fact, or to falsify or conceal any evidence, books, or
information relevant to a certification by the Commission or an
examination and audit by the Commission under this chapter; or
(B) to fail to furnish to the Commission any records, books, or
information requested by it for purposes of this chapter.
(2) Any person who violates paragraph (1) shall be fined not more than
$10,000, or imprisoned not more than five years, or both.
(e) Kickbacks and illegal payments.
(1) it shall be unlawful for any person knowingly and willfully to give
or accept any kickback or any illegal payment in connection with any
qualified campaign expense of eligible candidates or their authorized
committees. It shall be unlawful for the national committee of a major
party or minor party knowingly and willfully to give or accept any
kickback or any illegal payment in connection with any expense incurred
by such committee with respect to a presidential nominating convention.
(2) Any person who violates paragraph (1) shall be fined not more than
$10,000, or imprisoned not more than five years, or both.
(3) In addition to the penalty provided by paragraph (2), any person
who accepts any kickback or illegal payment in connection with any
qualified campaign expense of eligible candidates or their authorized
committees, or in connection with any expense incurred by the national
committee of a major party or minor party with respect to a
presidential nominating convention shall pay to the Secretary of the
Treasury, for deposit in the general fund of the Treasury, an amount
equal to 125 percent of the kickback or payment received.
(f) Unauthorized expenditures and contributions.
(1) Except as provided in paragraph (2), it shall be unlawful for any
political committee which is not an authorized committee with respect
to the eligible candidates of a political party for President and Vice
President in a presidential election knowingly and willfully to incur
expenditures to further the election of such candidates, which would
constitute qualified campaign expenses if incurred by an authorized
committee of such candidates, in an aggregate amount exceeding $1,000.
(2) This subsection shall not apply to (A) expenditures by a
broadcaster regulated by the Federal Communications Commission, or by a
periodical publication, in reporting the news or in taking editorial
positions, or (B) expenditures by any organization described in section
501(c) which is exempt from tax under section 501(a) in communicating
to its members the views of that organization.
(3) Any political committee which violates paragraph (1) shall be fined
not more than $5,000, and any officer or member of such committee who
knowingly and willfully consents to such violation and any other
individual who knowingly and willfully violates paragraph (1) shall be
fined not more than $5,000, or imprisoned not more than one year, or
both.
(g) Unauthorized disclosure of information.
(1) It shall be unlawful for any individual to disclose any information
obtained under the provisions of this chapter except as may be required
by law.
(2) Any person who violates paragraph (1) shall be fined not more than
$5,000, or imprisoned not more than one year, or both.
(Added Pub.L. 92-178, title VII, Sec. 801, Dec. 10, 1971, 85 Stat. 570,
and amended Pub.L. 93-53, Sec. 6(c), July 1, 1973, 87 Stat. 139; Pub.L.
93-443, title IV, Sec. Sec. 404(c)(22), 406(b)(2)-(6), Oct. 15, 1974,
88 Stat. 1293, 1296; Pub.L. 94-283, title III, Sec. 307(f), May 11,
1976, 90 Stat. 502; Pub.L. 94-455, title XIX, Sec. 1906(b)(13)(C), Oct.
4, 1976, 90 Stat. 1834.)
CHAPTER 96--PRESIDENTIAL PRIMARY MATCHING PAYMENT ACCOUNT
26 U.S.C. Sec. 9031. Short Title.
This chapter may be cited as the ``Presidential Primary Matching
Payment Account Act''.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1297.)
26 U.S.C. Sec. 9032. Definitions.
For purposes of this chapter--
(1) The term ``authorized committee'' means, with respect to the
candidates of a political party for President and Vice President of the
United States, any political committee which is authorized in writing
by such candidates to incur expenses to further the election of such
candidates. Such authorization shall be addressed to the chairman of
such political committee, and a copy of such authorization shall be
filed by such candidates with the Commission. Any withdrawal of any
authorization shall also be in writing and shall be addressed and filed
in the same manner as the authorization.
(2) The term ``candidate'' means an individual who seeks nomination for
election to be President of the United States. For purposes of this
paragraph, an individual shall be considered to seek nomination for
election if he (A) takes the action necessary under the law of a State
to qualify himself for nomination for election, (B) receives
contributions or incurs qualified campaign expenses, or (C) gives his
consent for any other person to receive contributions or to incur
qualified campaign expenses on his behalf. The term ``candidate'' shall
not include any individual who is not actively conducting campaigns in
more than one State in connection with seeking nomination for election
to be President of the United States.
(3) The term ``Commission'' means the Federal Election Commission
established by section 309(a)(1) of the Federal Election Campaign Act
of 1971.
(4) Except as provided by section 9034(a), the term ``contribution''--
(A) means a gift, subscription, loan, advance, or deposit of money, or
anything of value, the payment of which was made on or after the
beginning of the calendar year immediately preceding the calendar year
of the presidential election with respect to which such gift,
subscription, loan, advance, or deposit of money, or anything of value,
is made, for the purpose of influencing the result of a primary
election,
(B) means a contract, promise, or agreement, whether or not legally
enforceable, to make a contribution for any such purpose.
(C) means funds received by a political committee which are transferred
to that committee from another committee, and
(D) means the payment by any person other than a candidate, or his
authorized committee, of compensation for the personal services of
another person which are rendered to the candidate or committee without
charge, but
(E) does not include--
(i) except as provided in subparagraph (D), the value of personal
services rendered to or for the benefit of a candidate by an individual
who receives no compensation for rendering such service to or for the
benefit of the candidate, or
(ii) payments under section 9037.
(5) The term ``matching payment account'' means the Presidential
Primary Matching Payment Account established under section 9037(a).
(6) The term ``matching payment period'' means the period beginning
with the beginning of the calendar year in which a general election for
the office of President of the United States will be held and ending on
the date on which the national convention of the party whose nomination
a candidate seeks nominates its candidate for the office of President
of the United States, or, in the case of a party which does not make
such nomination by national convention, ending on the earlier of (A)
the date such party nominates its candidate for the office of President
of the United States, or (B) the last day of the last national
convention held by a major party during such calendar year.
(7) The term ``primary election'' means an election, including a runoff
election or a nominating convention or caucus held by a political
party, for the selection of delegates to a national nominating
convention of a political party, or for the expression of a preference
for the nomination of persons for election to the office of President
of the United States.
(8) The term ``political committee'' means any individual, committee,
association, or organization (whether or not incorporated) which
accepts contributions or incurs qualified campaign expenses for the
purpose of influencing, or attempting to influence, the nomination of
any person for election to the office of President of the United
States.
(9) The term ``qualified campaign expense'' means a purchase, payment,
distribution, loan, advance, deposit, or gift of money or of anything
of value--
(A) incurred by a candidate, or his authorized committee, in connection
with his campaign for nomination for election, and
(B) neither the incurring nor payment of which constitutes a violation
of any law of the United States or of the State in which the expense is
incurred or paid.
For purposes of this paragraph, an expense is incurred by a candidate
or by an authorized committee if it is incurred by a person
specifically authorized in writing by the candidate or committee, as
the case may be, to incur such expense on behalf of the candidate or
the committee.
(10) The term ``State'' means each State of the United States and the
District of Columbia.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1297, and amended Pub.L. 94-283, title I, Sec. 115(c)(2), title III,
Sec. 306(b)(1), May 11, 1976, 90 Stat. 495, 500.)
26 U.S.C. Sec. 9033. Eligibility for Payments.
(a) Conditions.
To be eligible to receive payments under section 9037, a candidate
shall, in writing--
(1) agree to obtain and furnish to the Commission any evidence it may
request of qualified campaign expenses.
(2) agree to keep and furnish to the Commission any records, books, and
other information it may request, and
(3) agree to an audit and examination by the Commission under section
9038 and to pay any amounts required to be paid under such section.
(b) Expense limitation; declaration of intent; minimum contributions.
To be eligible to receive payments under section 9037, a candidate
shall certify to the Commission that--
(1) the candidate and his authorized committees will not incur
qualified campaign expenses in excess of the limitations on such
expenses under section 9035,
(2) the candidate is seeking nomination by a political party for
election to the office of President of the United States,
(3) the candidate has received matching contributions which in the
aggregate, exceed $5,000 in contributions from residents of each of at
least 20 States, and
(4) the aggregate of contributions certified with respect to any person
under paragraph (3) does not exceed $250.
(c) Termination of payments.
(1) General rule.--Except as provided by paragraph (2), no payment
shall be made to any individual under section 9037--
(A) if such individual ceases to be a candidate as a result of the
operation of the last sentence of section 9032(2); or
(B) more than 30 days after the date of the second consecutive primary
election in which such individual receives less than 10 percent of the
number of votes cast for all candidates of the same party for the same
office in such primary election, if such individual permitted or
authorized the appearance of his name on the ballot, unless such
individual certifies to the Commission that he will not be an active
candidate in the primary involved.
(2) Qualified campaign expenses; payments to secretary.--Any candidate
who is ineligible under paragraph (1) to receive any payments under
section 9037 shall be eligible to continue to receive payments under
section 9037 to defray qualified campaign expenses incurred before the
date upon which such candidate becomes ineligible under paragraph (1).
(3) Calculation of voting percentage.--For purposes of paragraph
(1)(B), if the primary elections involved are held in more than one
State on the same date, a candidate shall be treated as receiving that
percentage of the votes on such date which he received in the primary
election conducted on such date in which he received the greatest
percentage vote.
(3) Reestablishment of eligibility.--
(A) In any case in which an individual is ineligible to receive
payments under section 9037 as a result of the operation of paragraph
(1)(A), the Commission may subsequently determine that such individual
is a candidate upon a finding that such individual is actively seeking
election to the office of President of the United States in more than
one State. The Commission shall make such determination without
requiring such individual to reestablish his eligibility to receive
payments under subsection (a).
(B) Notwithstanding the provisions of paragraph (1)(B), a candidate
whose payments have been terminated under paragraph (1)(B) may again
receive payments (including amounts he would have received but for
paragraph (1)(B)) if he receives 20 percent or more of the total
numbers of votes cast for candidates of the same party in a primary
election held after the date on which the election was held which was
the basis for terminating payments to him.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1299, and amended Pub.L. 94-283, title III, Sec. Sec. 305(c),
306(b)(2), May 11, 1976, 90 Stat. 499, 500.)
26 U.S.C. Sec. 9034. Entitlement of Eligible Candidates to Payments.
(a) In general.
Every candidate who is eligible to receive payments under section 9033
is entitled to payments under section 9037 in an amount equal to the
amount of each contribution received by such candidate on or after the
beginning of the calendar year immediately preceding the calendar year
of the presidential election with respect to which such candidate is
seeking nomination, or by his authorized committees, disregarding any
amount of contributions from any person to the extent that the total of
the amounts contributed by such person on or after the beginning of
such preceding calendar year exceeds $250. For purposes of this
subsection and section 9033(b), the term ``contribution'' means a gift
of money made by a written instrument which identifies the person
making the contribution by full name and mailing address, but does not
include a subscription, loan, advance, or deposit of money, or anything
of value or anything described in subparagraph (B), (C), or (D) of
section 9032(4).
(b) Limitations.
The total amount of payments to which a candidate is entitled under
subsection (a) shall not exceed 50 percent of the expenditure
limitation applicable under section 320(b)(1)(A) of the Federal
Election Campaign Act of 1971.
(Added Pub.L. 93-443, title IX, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1299, and amended Pub.L. 94-283, title III, Sec. 307(b), May 11, 1976,
90 Stat. 501.)
26 U.S.C. Sec. 9035. Qualified Campaign Expense Limitation.
(a) Expenditure limitations.
No candidate shall knowingly incur qualified campaign expenses in
excess of the expenditure limitation applicable under section
320(b)(1)(A) of the Federal Election Campaign Act of 1971, and no
candidate shall knowingly make expenditures from his personal funds, or
the personal funds of his immediate family, in connection with his
campaign for nomination for election to the office of President in
excess of, in the aggregate, $50,000.
(b) Definition of immediate family.
For purposes of this section, the term ``immediate family'' means a
candidate's spouse, and any child, parent, grandparent, brother, half-
brother, sister, or half-sister of the candidate, and the spouses of
such persons.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1300, and amended Pub.L. 94-283, title III, Sec. Sec. 305(a), 307(c),
May 11, 1976, 90 Stat. 499, 501.)
26 U.S.C. Sec. 9036. Certification by Commission.
(a) Initial certifications.
Not later than 10 days after a candidate establishes his eligibility
under section 9033 to receive payments under section 9037, the
Commission shall certify to the Secretary for payment to such candidate
under section 9037 payment in full of amounts to which such candidate
is entitled under section 9034. The Commission shall make such
additional certifications as may be necessary to permit candidates to
receive payments for contributions under section 9037.
(b) Finality of determinations.
Initial certifications by the Commission under subsection (a), and all
determinations made by it under this chapter, are final and conclusive,
except to the extent that they are subject to examination and audit by
the Commission under section 9038 and judicial review under section
9041.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1300.)
26 U.S.C. Sec. 9037. Payments to Eligible Candidates.
(a) Establishment of account.
The Secretary shall maintain in the Presidential Election Campaign Fund
established by section 9006(a), in addition to any account which he
maintains under such section, a separate account to be known as the
Presidential Primary Matching Payment Account. The Secretary shall
deposit into the matching payment account, for use by the candidate of
any political party who is eligible to receive payments under section
9033, the amount available after the Secretary determines that amounts
for payments under section 9006(c) and for payments under section
9008(b)(3) are available for such payments.
(b) Payments from the matching payment account.
Upon receipt of a certification from the Commission under section 9036,
but not before the beginning of the matching payment period, the
Secretary shall promptly transfer the amount certified by the
Commission from the matching payment account to the candidate. In
making such transfers to candidates of the same political party, the
Secretary shall seek to achieve an equitable distribution of funds
available under subsection (a), and the Secretary shall take into
account in seeking to achieve an equitable distribution, the sequence
in which such certifications are received.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1300, and amended Pub.L. 94-455, title XIX, Sec. 1906(b)(13)(A), Oct.
4, 1976, 90 Stat. 1834.)
26 U.S.C. Sec. 9038. Examinations and Audits; Repayments.
(a) Examinations and audits.
After each matching payment period, the Commission shall conduct a
thorough examination and audit of the qualified campaign expenses of
every candidate and his authorized committees who received payments
under section 9037.
(b) Repayments.
(1) If the Commission determines that any portion of the payments made
to a candidate from the matching payment account was in excess of the
aggregate amount of payments to which such candidate was entitled under
section 9034, it shall notify the candidate, and the candidate shall
pay to the Secretary an amount equal to the amount of excess payments.
(2) If the Commission determines that any amount of any payment made to
a candidate from the matching payment account was used for any purpose
other than--
(A) to defray the qualified campaign expenses with respect to which
such payment was made, or
(B) to repay loans the proceeds of which were used, or otherwise to
restore funds (other than contributions to defray qualified campaign
expenses which were received and expended) which were used, to defray
qualified campaign expenses,
it shall notify such candidate of the amount so used, and the candidate
shall pay to the Secretary an amount equal to such amount.
(3) Amounts received by a candidate from the matching payment account
may be retained for the liquidation of all obligations to pay qualified
campaign expenses incurred for a period not exceeding 6 months after
the end of the matching payment period. After all obligations have been
liquidated, that portion of any unexpended balance remaining in the
candidate's accounts which bears the same ratio to the total unexpended
balance as the total amount received from the matching payment account
bears to the total of all deposits made into the candidate's accounts
shall be promptly repaid to the matching payment account.
(c) Notification.
No notification shall be made by the Commission under subsection (b)
with respect to a matching payment period more than 3 years after the
end of such period.
(d) Deposit of repayments.
All payments received by the Secretary under subsection (b) shall be
deposited by him in the matching payment account.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1300, and amended Pub.L. 94-455, title XIX, Sec. 1906(b)(13)(A), Oct.
4, 1976, 90 Stat. 1834.)
26 U.S.C. Sec. 9039. Reports to Congress; Regulations.
(a) Reports.
The Commission shall, as soon as practicable after each matching
payment period, submit a full report to the Senate and House of
Representatives setting forth--
(1) the qualified campaign expenses (shown in such detail as the
Commission determines necessary) incurred by the candidates of each
political party and their authorized committees,
(2) the amounts certified by it under section 9036 for payment to each
eligible candidate, and
(3) the amount of payments, if any, required from candidates under
section 9038, and the reasons for each payment required.
Each report submitted pursuant to this section shall be printed as a
Senate document.
(b) Regulations, etc.
The Commission is authorized to prescribe rules and regulations in
accordance with the provisions of subsection (c), to conduct
examinations and audits (in addition to the examinations and audits
required by section 9038(a)), to conduct investigations, and to require
the keeping and submission of any books, records, and information,
which it determines to be necessary to carry out its responsibilities
under this chapter.
(c) Review of regulations.
(1) The Commission, before prescribing any rule or regulation under
subsection (b), shall transmit a statement with respect to such rule or
regulation to the Senate and to the House of Representatives, in
accordance with the provisions of this subsection. Such statement shall
set forth the proposed rule or regulation and shall contain a detailed
explanation and justification of such rule or regulation.
(2) If either House does not, through appropriate action, disapprove
the proposed rule or regulation set forth in such statement no later
than 30 legislative days after receipt of such statement, then the
Commission may prescribe such rule or regulation. Whenever a committee
of the House of Representatives reports any resolution relating to any
such rule or regulation, it is at any time thereafter in order (even
though a previous motion to the same effect has been disagreed to) to
move to proceed to the consideration of the resolution. The motion is
highly privileged and is not debatable. An amendment to the motion is
not in order, and it is not in order to move to reconsider the vote by
which the motion is agreed to or disagreed to. The Commission may not
prescribe any rule or regulation which is disapproved by either House
under this paragraph.
(3) For purposes of this subsection, the term ``legislative days'' does
not include any calendar day on which both Houses of the Congress are
not in session.
(4) For purposes of this subsection, the term ``rule or regulation''
means a provision or series of interrelated provisions stating a single
separable rule of law.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1301, and amended Pub.L. 94-283, title III, Sec. 304(b), May 11, 1976,
90 Stat. 499.)
26 U.S.C. Sec. 9040. Participation by Commission in Judicial
Proceedings.
(a) Appearance by counsel.
The Commission is authorized to appear in and defend against any action
instituted under this section, either by attorneys employed in its
office or by counsel whom it may appoint without regard to the
provisions of title 5, United States Code, governing appointments in
the competitive service, and whose compensation it may fix without
regard to the provisions of chapter 51 and subchapter III of chapter 53
of such title.
(b) Recovery of certain payments.
The Commission is authorized, through attorneys and counsel described
in subsection (a), to institute actions in the district courts of the
United States to seek recovery of any amounts determined to be payable
to the Secretary as a result of an examination and audit made pursuant
to section 9038.
(c) Injunctive relief.
The Commission is authorized, through attorneys and counsel described
in subsection (a), to petition the courts of the United States for such
injunctive relief as is appropriate to implement any provision of this
chapter.
(d) Appeal.
The Commission is authorized on behalf of the United States to appeal
from, and to petition the Supreme Court for certiorari to review,
judgments or decrees entered with respect to actions in which it
appears pursuant to the authority provided in this section.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1302, and amended Pub.L. 94-455, title XIX, Sec. 1906(b)(13)(A), Oct.
4, 1976, 90 Stat. 1834.)
26 U.S.C. Sec. 9041. Judicial Review.
(a) Review of agency action by the Commission.
Any agency action by the Commission made under the provisions of this
chapter shall be subject to review by the United States Court of
Appeals for the District of Columbia Circuit upon petition filed in
such court within 30 days after the agency action by the Commission for
which review is sought.
(b) Review procedures.
The provisions of chapter 7 of title 5, United States Code, apply to
judicial review of any agency action, as defined in section 551(13) of
title 5, United States Code, by the Commission.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1302.)
26 U.S.C. Sec. 9042. Criminal Penalties.
(a) Excess campaign expenses.
Any person who violates the provisions of section 9035 shall be fined
not more than $25,000, or imprisoned not more than 5 years, or both.
Any officer or member of any political committee who knowingly consents
to any expenditure in violation of the provisions of section 9035 shall
be fined not more than $25,000, or imprisoned not more than 5 years, or
both.
(b) Unlawful use of payments.
(1) It is unlawful for any person who receives any payment under
section 9037, or to whom any portion of any such payment is
transferred, knowingly and willfully to use, or authorize the use of,
such payment or such portion for any purpose other than--
(A) to defray qualified campaign expenses, or
(B) to repay loans, the proceeds of which were used, or otherwise to
restore funds (other than contributions to defray qualified campaign
expenses which were received and expended) which were used, to defray
qualified campaign expenses.
(2) Any person who violates the provisions of paragraph (1) shall be
fined not more than $10,000, or imprisoned not more than 5 years, or
both.
(c) False statements, etc.
(1) It is unlawful for any person knowingly and willfully--
(A) to furnish any false, fictitious, or fraudulent evidence, books, or
information to the Commission under this chapter, or to include in any
evidence, books, or information so furnished any misrepresentation of a
material fact, or to falsify or conceal any evidence, books, or
information relevant to a certification by the Commission or an
examination and audit by the Commission under this chapter, or
(B) to fail to furnish to the Commission any records, books, or
information requested by it for purposes of this chapter.
(2) Any person who violates the provisions of paragraph (1) shall be
fined not more than $10,000, or imprisoned not more than 5 years, or
both.
(d) Kickbacks and illegal payments.
(1) It is unlawful for any person knowingly and willfully to give or
accept any kickback or any illegal payment in connection with any
qualified campaign expense of a candidate, or his authorized
committees, who receives payments under section 9037.
(2) Any person who violates the provisions of paragraph (1) shall be
fined not more than $10,000, or imprisoned not more than 5 years, or
both.
(3) In addition to the penalty provided by paragraph (2), any person
who accepts any kickback or illegal payment in connection with any
qualified campaign expense of a candidate or his authorized committees
shall pay to the Secretary for deposit in the matching payment account
an amount equal to 125 percent of the kickback or payment received.
(Added Pub.L. 93-443, title IV, Sec. 408(c), Oct. 15, 1974, 88 Stat.
1302.)
K. Communications Media (Title 47, United States Code)
47 U.S.C. Sec. 312. Administrative Sanctions--Revocation of Station
License or Construction Permit.
(a) Revocation of station license or construction permit.
The Commission may revoke any station license or construction permit--
[See main volume for text of (1) to (4).]
(5) for violation of or failure to observe any final cease and desist
order issued by the Commission under this section;
(6) for violation of section 1304, 1343, or 1464 of title 18; or
(7) for willful or repeated failure to allow reasonable access to or to
permit purchase of reasonable amounts of time for the use of a
broadcasting station by a legally qualified candidate for Federal
elective office on behalf of his candidacy.
[See main volume for text of (b) to (e).]
(f) Willful or repeated violations.
For purposes of this section:
(1) The term ``willful'', when used with reference to the commission or
omission of any act, means the conscious and deliberate commission or
omission of such act, irrespective of any intent to violate any
provision of this chapter or any rule or regulation of the Commission
authorized by this chapter or by a treaty ratified by the United
States.
(2) The term ``repeated'', when used with reference to the commission
or omission of any act, means the commission or omission of such act
more than once, or, if such commission or omission is continuous, for
more than one day.
(As amended Feb. 7, 1972, Pub.L. 92-225, title I, Sec. 103(a)(2)(A), 86
Stat. 4; Sept. 13, 1982, Pub.L. 97-259, title I, Sec. 117, 96 Stat.
1095.)
47 U.S.C. Sec. 315. Candidates for Public Office.
(a) Equal opportunities requirement; censorship prohibition; allowance
of station use; news appearances exception; public interest; public
issues discussion opportunities.
If any licensee shall permit any person who is a legally qualified
candidate for any public office to use a broadcasting station, he shall
afford equal opportunities to all other such candidates for that office
in the use of such broadcasting station: Provided, That such licensee
shall have no power of censorship over the material broadcast under the
provisions of this section. No obligation is imposed under this
subsection upon any licensee to allow the use of its station by any
such candidate. Appearance by a legally qualified candidate on any--
(1) bona fide newscast,
(2) bona fide news interview,
(3) bona fide news documentary (if the appearance of the candidate is
incidental to the presentation of the subject or subjects covered by
the news documentary), or
(4) on-the-spot coverage of bona fide news events (including but not
limited to political conventions and activities incidental thereto),
shall not be deemed to be use of a broadcasting station within the
meaning of this subsection. Nothing in the foregoing sentence shall be
construed as relieving broadcasters, in connection with the
presentation of newscasts, news interviews, news documentaries, and on-
the-spot coverage of news events, from the obligation imposed upon them
under this chapter to operate in the public interest and to afford
reasonable opportunity for the discussion of conflicting views on
issues of public importance.
(b) Broadcast media rates.
The charges made for the use of any broadcasting station by any person
who is a legally qualified candidate for any public office in
connection with his campaign for nomination for election, or election,
to such office shall not exceed--
(1) during the forty-five days preceding the date of a primary or
primary runoff election and during the sixty days preceding the date of
a general or special election in which such person is a candidate, the
lowest unit charge of the station for the same class and amount of time
for the same period; and
(2) at any other time, the charges made for comparable use of such
station by other users thereof.
(c) Definitions.
For purposes of this section--
(1) the term ``broadcasting station'' includes a community antenna
television system; and
(2) the terms ``licensee'' and ``station licensee'' when used with
respect to a community antenna television system mean the operator of
such system.
(d) Rules and regulations.
The Commission shall prescribe appropriate rules and regulations to
carry out the provisions of this section.
(June 19, 1934, ch. 652, title III, Sec. 315, 48 Stat. 1088; July 16,
1952, ch. 879, Sec. 11, 66 Stat. 717; Pub.L. 86-274, Sec. 1, Sept. 14,
1959, 73 Stat. 557; Pub.L. 92-225, title I, Sec. 103(a)(1), (2)(B),
104(c), Feb. 7, 1972, 86 Stat. 4, 7; Pub.L. 93-443, title IV, Sec. 402,
Oct. 15, 1974, 88 Stat. 1291.)
PART II. NOMINATION OF THE PRESIDENT AND VICE PRESIDENT
A. Calendar for Party Caucuses/Conventions and Presidential Primaries
in 2000
------------------------------------------------------------------------
Presidential
Dates Caucuses/Conventions Primaries
------------------------------------------------------------------------
January 24................ Iowa................. .....................
February 1................ ..................... New Hampshire.
February 5................ ..................... Delaware (D).
February 8................ ..................... Delaware (R).
February 19............... ..................... South Carolina (R).
February 22............... ..................... Arizona, Michigan.
February 26............... American Samoa, Guam, .....................
Virgin Islands
(Republican only).
February 29............... North Dakota (R)..... Virginia, Washington.
March 5................... ..................... Puerto Rico (R).
March 7................... American Samoa (D) California,
Hawaii (D), Connecticut,
Minnesota, North Georgia, Maine,
Dakota. Maryland,
Massachusetts,
Missouri, New York,
Ohio, Rhode Island,
Vermont.
March 9................... ..................... South Carolina (D).
March 10.................. ..................... Colorado, Utah,
Wyoming.
March 11.................. Michigan (D)......... Arizona (D).
March 12.................. ..................... Puerto Rico (D).
March 14.................. ..................... Florida, Louisiana,
Mississippi,
Oklahoma, Tennessee,
Texas.
March 21.................. ..................... Illinois.
April 1................... Virgin Islands (D)... .....................
April 4................... ..................... Kansas, Pennsylvania,
Wisconsin.
May 2..................... ..................... District of Columbia,
Indiana, North
Carolina.
May 6..................... Guam (D)............. .....................
May 9..................... ..................... Nebraska, West
Virginia.
May 16.................... ..................... Oregon.
May 19.................... Alaska (R) .....................
Convention, Hawaii.
May 19-21................. Nevada (D) Convention .....................
May 20.................... Alaska (D) Convention .....................
May 23.................... ..................... Arkansas, Idaho,
Kentucky.
May 25.................... Nevada (R) Convention .....................
June 3.................... Virginia (D) .....................
Convention..
June 6.................... ..................... Alabama, Montana, New
Jersey, New Mexico,
South Dakota.
------------------------------------------------------------------------
B. Background of the National Nominating Conventions, Presidential
Primaries, and the Selection of Delegates *
The United States Constitution does not authorize the establishment of
political parties nor does it prohibit their establishment. The
Founding Fathers did not have a favorable attitude toward political
parties and even saw them as possible threats to state government.\1\
When the new government was being formed, two competing parties
developed, one of which favored the adoption of the Constitution and
the other of which was against the adoption of the Constitution. The
Federalist Party favored a strong central government and was comprised
of merchants, shippers, and financiers, among others. The other party
was comprised of members who were anti-federalist who opposed a strong
central government and sought to preserve the sovereignty of the
states.\2\
---------------------------------------------------------------------------
\*\ By L. Paige Whitaker, Legislative Attorney, Congressional Research
Service, Library of Congress.
\1\ National Party Conventions 1831-1976, Congressional Quarterly.
Sept. 1979, p. 1.
\2\ Ibid.
---------------------------------------------------------------------------
The Constitution does not provide for any formal nominating procedures
for candidates for President and Vice President outside of those
provisions relating to the Electoral College.\3\ With the advent of
political parties, the inadequacies of the Electoral College system of
electing a President and Vice President became manifest, especially in
regard to the nominating process.\4\
---------------------------------------------------------------------------
\3\ W. Crotty. Presidential Nominating Procedures, History of
Presidential Nomination Practices, v. 1, p. xiv, National Municipal
League (1974).
\4\ Ibid.
---------------------------------------------------------------------------
In the first presidential election in 1789, there were no formal
nominations, and the Electoral College method for choosing a President
and Vice President was used. In the presidential election of 1792,
there was no attempt to challenge President Washington, although a
political party by the name of the Democratic-Republicans
unsuccessfully presented a challenge to Vice President Adams.\5\ The
presidential election of 1796 was the first time that the congressional
caucus was used as a nominating method. The congressional caucus system
was used for nominating presidential candidates as there was a need for
limiting the number of party candidates and for unifying the elections
of a political party.\6\ The caucus system of nominating presidential
candidates had some serious limitations: (1) the nominating process did
not include non-congressional persons; (2) state influence was limited
according to the number of its congressmen and even to the party
affiliations of the congressmen; and (3) Congress was a dominant force
in presidential matters since the President would likely be more
responsive to the Congressmen who nominated him than to the people.\7\
---------------------------------------------------------------------------
\5\ National Party Conventions, supra at p. 2.
\6\ W. Crotty, supra at p. xiv.
\7\ Ibid.
---------------------------------------------------------------------------
Later state-based legislative systems of nominating Presidents, which
were used in the 1828 presidential election of Andrew Jackson,
eventually eliminated the congressional caucus method of nomination. By
1840, the major political parties began holding national conventions
with delegates selected from the various states to nominate their
candidates for President and Vice President. The national conventions
provided for broader electoral participation in the presidential
nominating process than the congressional caucus or state-based
legislative systems. However, even the national conventions had their
drawbacks. The delegate selection procedures varied from state to
state; state party bosses and political machines often controlled the
selection of delegates to the national nominating conventions.\8\
---------------------------------------------------------------------------
\8\ Id., xv. See also E. McChesney Sait. American Parties and
Elections, pp. 316-319, D. Appleton-Century Co. (New York, 1939).
---------------------------------------------------------------------------
In 1968, the major political parties began to reform and democratize
the delegate selection procedures to provide for greater participation
by all voters affiliated with them, including such groups as blacks,
youth, women, and minorities. In the Democratic Party, the McGovern-
Fraser Commission was established and was mandated to draft a delegate
plan that would be an ``open'' system of delegate selection to insure
every Democrat ``a full, meaningful and timely'' opportunity to
participate, beginning with the 1972 Convention. The 1968 Republican
National Convention established the Delegates and Organization
Committee to make recommendations to achieve the broadest possible
participation in the Party's affairs. The 1972 Republican Convention
adopted five of the ten recommendations made by the Committee and
incorporated them into the 1976 delegate selection rules. In both the
Democratic and Republican parties, the state parties still exercise
much power in the delegate selection procedures; however, the impetus
that has been taken by the national parties for broader participation
has provided for more due process in the selection and seating of
national nominating convention delegates.\9\
---------------------------------------------------------------------------
\9\ W. Crotty, supra at pp. xvii-xix.
---------------------------------------------------------------------------
In October, 1975, the Democratic National Committee (DNC) established a
committee to study the problem of the presidential primaries and to
review delegate selection rules of the Democratic Party.\10\ The
Commission was chaired by Michigan State Chairman, Morley Winograd, and
became known as the Winograd Commission. It was composed of fifty-eight
members. Among some of the major recommendations were the following:
(1) shortening the delegate selection period from six months to three
months (from the second Tuesday in March to the second Tuesday in
June); (2) increasing the size of state delegations by ten percent to
accommodate state party and elected officials; and (3) limiting
participation in the delegate selection process to Democrats only by
disallowing open, cross-over primaries whereby voters could participate
in the Democratic delegate selection process without declaring their
party affiliation.\11\
---------------------------------------------------------------------------
\10\ National Party Conventions, supra, at pp. 10-11.
\11\ Id., 11-12.
---------------------------------------------------------------------------
In 1982, the DNC established another commission to review the delegate
selection process to the Democratic national nominating convention. The
commission has become known as the Hunt Commission, named after its
chairman, North Carolina Governor, James B. Hunt, Jr. The Hunt
Commission made the following recommendations which were substantially
adopted by the DNC: (1) shortening the presidential preference primary
and caucus season; (2) eliminating the bound delegate rule so as to
allow delegates who are pledged to a candidate in all good conscience
to reflect the sentiments of these who elected them; and (3) increasing
the participation of elected officials, especially Members of
Congress.\12\
---------------------------------------------------------------------------
\12\ Hunt Commission Reports, Boosts ``Insider'' Influence, Campaign
Practices Reports, Feb. 1, 1982, p. 4. See also, M. Malbin, The
Democratic Party's Rules Changes--Will They Help Or Hurt It? National
Journal, Jan. 23, 1982. pp. 139, 165.
---------------------------------------------------------------------------
Thus, from 1972 to 1988, the Democratic Party amended its delegate
selection rules to provide participation by grassroots Democrats and by
minorities and by women. Such rules were the products of: (1) the
McGovern-Fraser Commission in 1972, (2) the Mikulski Commission in
1976, (3) the Winograd Commission in 1980, (4) the Hunt Commission in
1984, and (5) the Fowler Commission in 1988.\13\
---------------------------------------------------------------------------
\13\ T. Michael, Explanation and History: Delegate Selection Rules for
the 1992 Democratic Convention, Sept. 26, 1990, p.1.
---------------------------------------------------------------------------
Part of the reform of the presidential nominating process has centered
around presidential preference primaries. In the early part of the
twentieth century, the movement toward democratization of the
presidential nominating process provided the impetus for many states to
adopt presidential primaries. The Progressives desired to open up the
presidential nominating process through the use of presidential
primaries in order to help end the boss-dominated conventions and to
aid in the selection of candidates who would be more responsive to the
electorate.\14\
---------------------------------------------------------------------------
\14\ W. Crotty, supra at xvi.
---------------------------------------------------------------------------
In 1904, Florida enacted the first primary law and authorized political
parties to choose all or some of their national convention delegates in
the primary. In 1905, the State of Wisconsin adopted a presidential
primary that required political parties to choose their national
convention delegates in the primary. By 1916, twenty-six States had
adopted presidential primary laws. This number dwindled over the next
half century so that by 1968, only sixteen States and the District of
Columbia had presidential primaries.\15\
---------------------------------------------------------------------------
\15\ Id., xvi-xvii.
---------------------------------------------------------------------------
Presidential preference primaries may be classified according to four
different types of primaries: delegates selection only; advisory
presidential preference; binding, winner-take-all presidential
preference; and proportional representation presidential preference. In
the delegate selection primary, the names of the presidential
candidates do not appear separately on the ballot, but rather the names
of the delegates appear on the ballot listed individually or by slate
and usually identified by presidential preference. In an advisory
presidential preference primary, the vote for the presidential
candidate is generally advisory only and is used for the sole purpose
of securing an expression of sentiment and will of party voters as
preferring a certain presidential candidate. In a binding, winner-take-
all presidential preference primary, the results of the presidential
preference primary generally bind the delegation to the national
convention to the primary winner. A ``loophole'' primary is a primary
that provides for winner-take-all by congressional district. In a
proportional representation presidential preference primary, the
results of the primary are used to allocate national convention
delegates to presidential candidates based on the proportion of the
vote they receive.\16\
---------------------------------------------------------------------------
\16\ Id., xx-xxiii. The classifications of presidential primary states
have also been described as six types: (1) no direct presidential
preference poll; binding delegate selection primary; (2) advisory
presidential preference poll; separate delegate selection primary; (3)
binding ``winner-take-all'' presidential preference poll; separate
delegate selection primary; (4) binding ``proportional'' presidential
preference poll; separate delegate selection primary; (5) binding
``proportionate'' presidential preference poll; no delegate selection
primary; and (6) advisory (with option for binding) presidential
preference poll; district delegate selection primary. Ibid.
---------------------------------------------------------------------------
The type of presidential preference primary may be determined by the
primary election laws of the particular state or it may be determined
by the party rules of each political party if the election laws so
provide. In many states, the Democrats and the Republicans hold
different types of presidential preference primaries in the selection
of delegates to their respective national nominating conventions.
Presidential primaries are as varied as delegate selection procedures
due to differences in state statutes, party constitutions, party rules
and regulations, party by-laws, and delegate selection plans.
Many states elect all or part of their national nominating convention
delegates by state and congressional district caucuses and/or
conventions. In many states, the caucus/convention process of selecting
delegates begins with local precinct caucuses which are held to select
delegates to county conventions or district conventions. In turn,
county conventions or district conventions select delegates to
congressional district conventions and to the state convention. Then
the delegates to the national nominating conventions are selected by
the congressional district conventions and the state convention
according to state statutes and state party rules. This delegate
selection process varies from state to state due to differences in
state party rules, state statutes, state party delegate selection
plans, and the national party rules governing the selection of
delegates; accordingly, these rules, plans, and statutes should be
examined in order to determine the exact manner of selecting such
delegates in any particular state.\17\
---------------------------------------------------------------------------
\17\ See Part III relating to a fifty-state survey of state laws and
party rules concerning the selection of delegates to the national
nominating conventions.
---------------------------------------------------------------------------
C. Significant Court Decisions Affecting Delegate Selection Procedures
and the Convention System\1\
---------------------------------------------------------------------------
\1\ By L. Paige Whitaker, Legislative Attorney, Congressional Research
Service, Library of Congress.
Due to the freedom of association provided by the First Amendment,
political parties have traditionally enjoyed great freedom in their
efforts to advance their political goals. As the Supreme Court stated
in the 1958 case of NAACP v. Alabama ex rel. Patterson,\2\:
---------------------------------------------------------------------------
\2\ 357 U.S. 449 (1958).
---------------------------------------------------------------------------
It is beyond debate that freedom to engage in association for the
advancement of beliefs and ideas is an inseparable aspect of the
``liberty'' assured by the Due Process Clause of the Fourteenth
Amendment, which embraces freedom of speech * * * Of course, it is
immaterial whether the beliefs sought to be advanced by association
pertain to political, economic, religious, or cultural matters, and
state action which may have the effect of curtailing the freedom to
associate is subject to the closest scrutiny.\3\
---------------------------------------------------------------------------
\3\ Id. at 460-461.
---------------------------------------------------------------------------
In recent years, however, a conflict has developed between this freedom
of political parties and the freedom of each individual to participate
equally in the political process. The Third Circuit summarized this
conflict in Redfern v. Delaware Republican State Committee:\4\
---------------------------------------------------------------------------
\4\ 502 F.2d. 1123 (3rd Cir. 1971).
---------------------------------------------------------------------------
This appeal involves, but unfortunately does not resolve, the conflict
between two constitutionally protected interests; the right of freedom
of association for the achievement of desired political ends--protected
by the first amendment--and the right to have one's vote in an election
for public office given equal weight with that of other voters--
protected by the equal protection clause of the fourteenth
amendment.\5\
---------------------------------------------------------------------------
\5\ Id. at 1125.
---------------------------------------------------------------------------
As a result of this conflict, there have been several challenges to
party rules by those claiming that delegate apportionment guidelines,
under certain circumstances, violate the ``one person, one vote'' equal
protection standard established by the Supreme Court in the landmark
case of Baker v. Carr.\6\
---------------------------------------------------------------------------
\6\ 369 U.S. 186 (1962).
---------------------------------------------------------------------------
For example, in Ripon Society v. National Republican Party,\7\ the
District of Columbia Circuit addressed this issue, holding that the
particular nature and goals of a political party were such as to make
permissible some deviation from the one person, one vote standard.\8\
In this case, the Ripon Society, an organization associated with the
National Republican Party, and party members from several states who
claimed to be underrepresented under the formula for apportionment of
delegates to the 1976 Republican National Convention, brought suit
challenging this formula. The challenge was primarily directed to that
part of the formula which apportioned 607 delegates, representing 27
percent of the total of approximately 2,242 delegates to the
Convention, on the basis of a Republican vote in the 1972 Presidential
election and on the basis of Republican victories in the 1972 and 1974
senatorial, gubernatorial, and congressional elections. Plaintiffs
claimed that this formula unfairly discriminated against party members
residing in states which had not fashioned such Republican victories,
denying them their constitutional right of equal representation under
the ``one-person, one-vote'' doctrine.\9\ The lower court had found
that the use of the uniform victory bonuses was improper and enjoined
their use in the apportionment of delegates to the 1976 convention.\10\
On a rehearing en banc, however, the Court of Appeals reversed their
earlier decision and ruled in favor of the proposed allocation formula.
---------------------------------------------------------------------------
\7\ 525 F.2d 567 (D.C. Cir. 1975), cert. den. 424 U.S. 186 (1976).
\8\ Id. at 588.
\9\ Id. at 570-73.
\10\ Ripon Sec. Inc. v. National Republican Party, 369 F. Supp. 368
(D.D.C. 1974).
---------------------------------------------------------------------------
After reviewing pertinent precedents, the Ripon court concluded:
The Supreme Court inquiry into these matters has led it to the
conclusion that where the assembly exercises formal governmental powers
one person, one vote is ordinarily required. A similar inquiry in other
contexts may well reveal that the public and private interests in
making decisions through some other scheme of representation outweigh
the interests served by numerically equal apportionment.\11\
---------------------------------------------------------------------------
\11\ Id. at 580.
Questions have also arisen as to the power of the individual states to
legislate with regard to delegate selection procedures. In Cousins v.
Wigoda,\12\ the Supreme Court held that the states do not have a
constitutionally mandated role in the task of selecting presidential
and vice-presidential candidates.\13\ Under this ruling, party rules
would preempt and supersede state laws governing selection and
apportionment of party delegates in case of any conflict.
---------------------------------------------------------------------------
\12\ 419 U.S. 477 (1975).
\13\ Id. at 489-90.
---------------------------------------------------------------------------
The Cousins case arose when, on March 21, 1972, pursuant to the
Illinois Code, Illinois voters elected their State's delegation to the
1972 Democratic National Convention. The petitioners (``Cousins
delegates'') challenged the seating of 59 of these delegates from the
Chicago districts (``Wigoda delegates'') before the National Democratic
Party's Credentials Committee, claiming that the composition of this
group violated various guidelines which had been promulgated by the
party and included in the call of the convention. The party's hearing
officer found violations of party guidelines covering minority group
participation, women and youth participation, existence of party rules,
adequate notice of party affairs, timing of party affairs, and slate
making. The Credentials Committee then adopted the hearing officer's
recommendation that the Wigoda delegates be unseated and the Cousins
delegates, who had been chosen previously at private caucuses and some
of whom had been unsuccessful in the March primary, be seated in their
place. Two days before the convention opened, the Wigoda delegates
obtained an injunction from the Circuit Court of Cook County enjoining
the Cousins delegates from participating in the convention. After the
convention adopted the Credential Committee's recommendation to seat
the Cousins delegates, however, they took their seats and participated
fully in convention proceedings. As a result, there was action to
adjudge the Cousins delegates in contempt of the injunction, which
action was stayed pending the Supreme Court's decision.\14\ The
Illinois Appellate Court affirmed the injunction,\15\ holding that the
Illinois Election Code exclusively governs the right to sit as a
delegate representing Illinois at the national nominating convention.
---------------------------------------------------------------------------
\14\ Id. at 478-81.
\15\ 14 Ill. App. 3d 460, 302 N.E. 2d 614 (1973).
---------------------------------------------------------------------------
The Supreme Court reversed the Illinois Appellate Court's decision,
holding that Illinois' interest in protecting the integrity of its
electoral process cannot be considered compelling in the context of the
selection of delegates for the national nominating convention.\16\
Citing Kusper v. Pontikes,\17\ the Court recognized that a person's
right to associate with the political party of his or her choice is an
integral part of the freedom of association granted under the First and
Fourteenth Amendments. Moreover, the competing state interest in
protecting the integrity of its electoral process is not compelling
because suffrage was already exercised at the primary election to elect
delegates to the party convention in order for such delegates to
``perform a task of supreme importance to every citizen of the Nation
regardless of their State of residence.''\18\ Hence, the Court
concluded that ``[c]onsideration of the special function of delegates
to such a Convention militates persuasively against the conclusion that
the asserted interest constitutes a compelling state interest.''\19\
---------------------------------------------------------------------------
\16\ 419 U.S. at 491.
\17\ 414 U.S. 51, 56-57 (1957).
\18\ 419 U.S. at 489.
\19\ Id.
---------------------------------------------------------------------------
Notably, the Supreme Court in Cousins v. Wigoda stressed that its
opinion did not resolve any related constitutional questions,
specifically enumerating the following three areas as excluded from the
scope of the decision:
(1) whether the decisions of a national political party in the area of
delegate selection constitute State or governmental action, and, if so,
whether or to what extent principles of the political question doctrine
counsel against judicial intervention * * *
(2) whether national political parties are subject to the principles of
the reapportionment decisions, or other constitutional restraints, in
their methods of delegate selection and allocation * * *
(3) whether or to what extent national political parties and their
nominating conventions are regulable by, or only by, Congress * * *
\20\
---------------------------------------------------------------------------
\20\ Id. at 483-84 n. 4.
---------------------------------------------------------------------------
The Supreme Court has also found that the rules of a national political
party are entitled to the greatest, if not paramount, weight in
determining eligibility to serve as delegate to a national party
convention. For example, in Democratic Party of the United States v.
Wisconsin ex rel. La Follette,\21\ the Court held that the state of
Wisconsin could not constitutionally require that its delegates be
seated at a national party's national nominating convention.\22\ The
1980 Charter of the Democratic Party provided that the delegates to the
convention be chosen through procedures in which only members of the
party could participate and the delegate selection rules provided that
only those who wished to affiliate publicly with the Democratic Party
could participate in the selection of delegates to the national
convention. The election laws of Wisconsin, however, provided for an
open primary, which allowed voters to vote in a party presidential
primary without requiring a public declaration of party preference and
without regard to party affiliation. The Democratic National Party
indicated that the delegates who were bound to vote according to the
results of the open primary would not be seated at the national
convention. As a result, a suit was brought and the Wisconsin Supreme
Court held that the open primary system of selecting delegates to the
national convention was constitutional and binding upon the Democratic
National Party and that the state's delegates could not be disqualified
from being seated at the national nominating convention.\23\
---------------------------------------------------------------------------
\21\ 450 U.S. 107 (1981).
\22\ Id. at 126.
\23\ Id. at 109-112.
---------------------------------------------------------------------------
On appeal, the United States Supreme Court reversed, holding that it
was permissible for a national political party to refuse to seat state
delegates who were elected in an open primary in a procedure that was
violative of the national party's rules.\24\ According to the Court,
the states do not have a constitutionally mandated role in regulating
and governing the task of the national conventions to nominate
presidential and vice presidential candidates and in determining the
qualifications and eligibility of delegates to the national conventions
of political parties, no primacy is to be accorded to a state's
election laws over a national party's rules.\25\
---------------------------------------------------------------------------
\24\ Id. at 126.
\25\ Id. at 121-25.
---------------------------------------------------------------------------
D. FEC Regulations on Delegates and Delegate Committees
11 CFR Parts 100 and 110
Contributions to and Expenditures by Delegates to National Nominating
Conventions
11 CFR Sec. 100.5 Political committee (2 U.S.C. Sec. 431 (4), (5),
(6)).
* * * * * * *
(e) * * *
(5) Delegate committee. A delegate committee is a group of persons that
receives contributions or makes expenditures for the sole purpose of
influencing the selection of one or more delegates to a national
nominating convention. The term ``delegate committee'' includes a group
of delegates, a group of individuals seeking selection as delegates and
a group of individuals supporting delegates. A delegate committee that
qualifies as a political committee under 11 CFR 100.5 must register
with the Commission pursuant to 11 CFR Part 102 and report its receipts
and disbursements in accordance with 11 CFR Part 104. (See definition
of ``delegates'' at 11 CFR 110.14(b)(1).)
* * * * * * *
11 C.F.R. Sec. 110.1 Contributions by persons other than
multicandidate political committees (2 U.S.C. Sec. 441a(a)(1)).
* * * * * * *
(m) Contributions to delegates and delegate committees. (1)
Contributions to delegates for the purpose of furthering their
selection under 11 CFR 110.14 are not subject to the limitations of
this section.
(2) Contributions to delegate committees under 11 CFR 110.14 are
subject to the limitations of this section.
11 C.F.R. Sec. 110.2 Contributions by multicandidate political
committees (2 U.S.C. Sec. 441a(a)(2)).
* * * * * * *
(j) Contributions to delegates and delegate committees. (1)
Contributions to delegates for the purpose of furthering their
selection under 11 CFR 110.14 are not subject to the limitations of
this section.
(2) Contributions to delegate committees under 11 CFR 110.14 are
subject to the limitations of this section.
11 C.F.R. Sec. 110.14 Contributions to and expenditures by delegates
and delegate committees.
(a) Scope. This section sets forth the prohibitions, limitations and
reporting requirements under the Act applicable to all levels of a
delegate selection process.
(b) Definitions--(1) Delegate. Delegate means an individual who becomes
or seeks to become a delegate, as defined by State law or party rule,
to a national nominating convention or to a State, district, or local
convention, caucus or primary that is held to select delegates to a
national nominating convention.
(2) Delegate committee. A delegate committee is a group of persons that
receives contributions or makes expenditures for the sole purpose of
influencing the selection of one or more delegates to a national
nominating convention. The term ``delegate committee'' includes a group
of delegates, a group of individuals seeking selection as delegates and
a group of individuals supporting delegates. A delegate committee that
qualifies as a political committee under 11 CFR 100.5 must register
with the Commission pursuant to 11 CFR Part 102 and report its receipts
and disbursements in accordance with 11 CFR Part 104.
(c) Funds received and expended; Prohibited funds. (1) Funds received
or disbursements made for the purpose of furthering the selection of a
delegate to a national nominating convention are contributions or
expenditures for the purpose of influencing a federal election, see 11
CFR 100.2 (c)(3) and (e), except that--
(i) Payments made by an individual to a State committee or subordinate
State committee as a condition for ballot access as a delegate are not
contributions or expenditures. Such payments are neither required to be
reported under 11 CFR Part 104 nor subject to limitation under 11 CFR
110.1; and
(ii) Payments made by a State committee or subordinate State party
committee for administrative expenses incurred in connection with
sponsoring conventions or caucuses during which delegates to a national
nominating convention are selected are not contributions or
expenditures. Such payments are neither required to be reported under
11 CFR Part 104 nor subject to limitation under 11 CFR 110.1 and 110.2.
(2) All funds received or disbursements made for the purpose of
furthering the selection of a delegate to a national nominating
convention, including payments made under paragraphs (c)(1)(i) and
(c)(1)(ii) of this section, shall be made from funds permissible under
the Act. See 11 CFR Parts 110, 114 and 115.
(d) Contributions to a delegate. (1) The limitations on contributions
to candidates and political committees under 11 CFR 110.1 and 110.2 do
not apply to contributions made to a delegate for the purpose of
furthering his or her selection; however, such contributions do count
against the limitation on contributions made by an individual in a
calendar year under 11 CFR 110.5.
(2) Contributions to a delegate made by the authorized committee of a
presidential candidate count against the presidential candidate's
expenditure limitation under 11 CFR 110.8(a).
(3) A delegate is not required to report contributions received for the
purpose of furthering his or her selection.
(e) Expenditures by delegate to advocate only his or her selection. (1)
Expenditures by a delegate that advocate only his or her selection are
neither contributions to a candidate, subject to limitation under 11
CFR 110.1, nor chargeable to the expenditure limits of any Presidential
candidate under 11 CFR 110.8(a). Such expenditures may include, but
are not limited to: Payments for travel and subsistence during the
delegate selection process, including the national nominating
convention, and payments for any communications advocating only the
delegate's selection.
(2) A delegate is not required to report expenditures made to advocate
only his or her selection.
(f) Expenditures by a delegate referring to a candidate for public
office--(1) Volunteer activities that do not use public political
advertising. (i) Expenditures by a delegate to defray the costs of
certain campaign materials (such as pins, bumper stickers, handbills,
brochures, posters and yard signs) that advocate his or her selection
and also include information on or reference to a candidate for the
office of President or any other public office are neither
contributions to the candidate referred to nor subject to limitation
under 11 CFR 110.1 provided that:
(A) The materials are used in connection with volunteer activities; and
(B) The expenditures are not for costs incurred in the use of
broadcasting, newspapers, magazines, billboards, direct mail or similar
types of general public communication or political advertising.
(ii) Such expenditures are not chargeable to the expenditure limitation
of a presidential candidate under 11 CFR 110.8(a).
(iii) A delegate is not required to report expenditures made pursuant
to this paragraph.
(2) Use of public political advertising. A delegate may make
expenditures to defray costs incurred in the use of broadcasting,
newspapers, magazines, billboards, direct mail or similar types of
general public communication or political advertising to advocate his
or her selection and also include information on or reference to a
candidate for the office of President or any other public office.
(i) Such expenditures are in-kind contributions to a Federal candidate
if they are made in cooperation, consultation or concert with, or at
the request or suggestion of, the candidate, his or her authorized
political committee(s), or their agents. See 11 CFR 100.7(a)(iii)(A); 2
U.S.C. 441a(a)(7)(B).
(A) The portion of the expenditure allocable to a Federal candidate is
subject to the contribution limitations of 11 CFR 110.1.
(B) A Federal candidate's authorized committee must report the portion
of the expenditure allocable to the candidate as a contribution
pursuant to 11 CFR Part 104.
(C) The portion of the expenditure allocable to a presidential
candidate is chargeable to the presidential candidate's expenditure
limitation under 11 CFR 110.8(a).
(ii) Such expenditures are independent expenditures under 11 CFR Part
109 if they are made for a communication expressly advocating the
election or defeat of a clearly identified Federal candidate that is
not made with the cooperation or with the prior consent of, or in
consultation with, or at the request or suggestion of, the candidate or
any agent or authorized committee of such candidate.
(A) Such independent expenditures must be made in accordance with the
requirements of 11 CFR Part 109.
(B) The delegate shall report the portion of the expenditure allocable
to the Federal candidate as an independent expenditure in accordance
with 11 CFR 109.2.
(3) Republication of candidate materials. Expenditures made to finance
the dissemination, distribution or republication, in whole or in part,
of any broadcast or materials prepared by a Federal candidate are in-
kind contributions to the candidate.
(i) Such expenditures are subject to the contribution limits of 11 CFR
110.1.
(ii) The Federal candidate must report the expenditure as a
contribution pursuant to 11 CFR Part 104.
(iii) Such expenditures are not chargeable to the presidential
candidate's expenditure limitation under 11 CFR 110.8 unless they were
made with the cooperation, or with the prior consent of, or in
consultation with, or at the request or suggestion of, the candidate or
any agent or authorized committee of such candidate.
(4) For purposes of this paragraph, ``direct mail'' means any
mailing(s) by commercial vendors or any mailing(s) made from lists that
were not developed by the delegate.
(g) Contributions made to and by a delegate committee. (1) The
limitations on contributions to political committees under 11 CFR 110.1
and 110.2 apply to contributions made to and by a delegate committee.
(2) Contributions to a delegate committee count against the limitation
on contributions made by an individual in a calendar year under 11 CFR
110.5.
(3) A delegate committee shall report contributions it makes and
receives pursuant to 11 CFR Part 104.
(h) Expenditures by a delegate committee to advocate only the selection
of one or more delegates. (1) Expenditures by a delegate committee that
advocate only the selection of one or more delegates are neither
contributions to a candidate, subject to limitation under 11 CFR 110.1
nor chargeable to the expenditure limits of any Presidential candidate
under 11 CFR 110.8(a). Such expenditures may include but are not
limited to: Payments for travel and subsistence during the delegate
selection process, including the national nominating convention, and
payments for any communications advocating only the selection of one or
more delegates.
(2) A delegate committee shall report expenditures made pursuant to
this paragraph.
(i) Expenditures by a delegate committee referring to a candidate for
public office--(1) Volunteer activities that do not use public
political advertising. (i) Expenditures by a delegate committee to
defray the costs of certain campaign materials (such as pins, bumper
stickers, handbills, brochures, posters and yard signs) that advocate
the selection of a delegate and also include information on or
reference to a candidate for the office of President or any other
public office are neither contributions to the candidate referred to,
nor subject to limitation under 11 CFR 110.1 provided that:
(A) The materials are used in connection with volunteer activities; and
(B) The expenditures are not for costs incurred in the use of
broadcasting, newspapers, magazines, billboards, direct mail or similar
types of general public communication or political advertising.
(ii) Such expenditures are not chargeable to the expenditure limitation
of a presidential candidate under 11 CFR 110.8(a).
(iii) A delegate committee shall report expenditures made pursuant to
this paragraph.
(2) Use of public political advertising. A delegate committee may make
expenditures to defray costs incurred in the use of broadcasting,
newspapers, magazines, billboards, direct mail or similar types of
general public communication or political advertising to advocate the
selection of one or more delegates and also include information on or
reference to a candidate for the office of President or any other
public office. If such expenditures are in-kind contributions or
independent expenditures under paragraphs (i) or (ii) below, the
delegate committee shall allocate the portion of the expenditures
relating to the delegate(s) and candidate(s) referred to in the
communications between them and report the portion allocable to each.
(i) Such expenditures are in-kind contributions to a Federal candidate
if they are made in cooperation, consultation or concert with or at the
request or suggestion of the candidate, his or her authorized political
committee(s), or their agents.
(A) The portion of the expenditure allocable to a Federal candidate is
subject to the contribution limitations of 11 CFR 110.1. The delegate
committee shall report the portion allocable to the Federal candidate
as a contribution in-kind.
(B) The Federal candidate's authorized committee shall report the
portion of the expenditure allocable to the candidate as a contribution
pursuant to 11 CFR Part 104.
(C) The portion of the expenditure allocable to a presidential
candidate is chargeable to the presidential candidate's expenditure
limitation under 11 CFR 110.8(a).
(ii) Such expenditures are independent expenditures under 11 CFR Part
109 if they are made for a communication expressly advocating the
election or defeat of a clearly identified Federal candidate that is
not made with the cooperation or with the prior consent of, or in
consultation with, or at the request or suggestion of, the candidate or
any agent or authorized committee of such candidate.
(A) Such independent expenditures must be made in accordance with the
requirements of 11 CFR Part 109.
(B) The delegate committee shall report the portion of the expenditure
allocable to the Federal candidate as an independent expenditure in
accordance with 11 CFR 109.2.
(3) Republication of candidate materials. Expenditures made to finance
the dissemination, distribution or republication, in whole or in part,
of any broadcast or materials prepared by a Federal candidate are in-
kind contributions to the candidate.
(i) Such expenditures are subject to the contribution limitations of 11
CFR 110.1. The delegate committee shall report the expenditure as a
contribution in-kind.
(ii) The Federal candidate's authorized committee shall report the
expenditure as a contribution pursuant to 11 CFR Part 104.
(iii) Such expenditures are not chargeable to the presidential
candidate's expenditure limitation under 11 CFR 110.8 unless they were
made with the cooperation or with the prior consent of, or in
consultation with, or at the request or suggestion of, the candidate or
any agent or authorized committee of such candidate.
(4) For purposes of this paragraph, ``direct mail'' means any
mailing(s) by commercial vendors or any mailing(s) made from lists that
were not developed by the delegate committee or any participating
delegate.
(j) Affiliation of delegate committees with a Presidential candidate's
authorized committee. (1) For purposes of the contribution limits of 11
CFR 110.1 and 110.2, a delegate committee shall be considered to be
affiliated with a Presidential candidate's authorized committee if both
such committees are established, financed, maintained or controlled by
the same person, such as the Presidential candidate, or the same group
of persons.
(2) Factors the Commission may consider in determining whether a
delegate committee is affiliated under paragraph (j)(1) of this section
with a Presidential candidate's authorized committee may include, but
are not limited to:
(i) Whether the Presidential candidate or any other person associated
with the Presidential authorized committee played a significant role in
the formation of the delegate committee;
(ii) Whether any delegate associated with a delegate committee is or
has been a staff member of the Presidential authorized committee;
(iii) Whether the committees have common or overlapping officers or
employees;
(iv) Whether the Presidential authorized committee provides funds or
goods in a significant amount or on an ongoing basis to the delegate
committee, such as through direct or indirect payments for
administrative, fundraising, or other costs, but not including the
transfer to a committee of its allocated share of proceeds jointly
raised pursuant to 11 CFR 102.17 or 9034.8;
(v) Whether the Presidential candidate or any other person associated
with the Presidential authorized committee suggested, recommended or
arranged for contributions to be made to the delegate committee;
(vi) Similar patterns of contributions received by the committees;
(vii) Whether one committee provides a mailing list to the other
committee;
(viii) Whether the Presidential authorized committee or any person
associated with that committee provides ongoing administrative support
to the other committee;
(ix) Whether the Presidential authorized committee or any person
associated with that committee directs or organizes the specific
campaign activities of the delegate committee; and
(x) Whether the Presidential authorized committee or any person
associated with that committee files statements or reports on behalf of
the delegate committee.
(k) Affiliation between delegate committees. Delegate committees will
be considered to be affiliated with each other if they meet the
criteria for affiliation set forth at 11 CFR 100.5(g).
E. Guide to the 2000 Delegate Selection Rules and the Call for the 2000
Democratic Convention*
This Guide was prepared to aid state Democratic parties with developing
their Delegate Selection Plans for the 2000 Democratic National
Convention. Provisions of the 2000 Delegate Selection Rules (``Rules'')
and the Call for the 2000 Convention (``Call'') are explained in simple
language.
The explanations given below, also indicate how and where state Plans
should reflect the necessary language. This information should assist
state parties in writing their Plans to comply with the Rules, the
Call, and the DNC Rules and Bylaws Committee Regulations (``Regs.'') To
help illustrate exactly how a rule or regulation is reflected in a
fully-written Plan, references to any corresponding rules, regulations
and the Model Plan are also included below.
The interpretations of the rules as presented in this Guide are for
informational purposes only and should not be used in place of the
rules.
CONTENTS
2000 DELEGATE SELECTION RULES
Rule 1 Publication and Submission 158
of State Party Rules.
Rule 2 Participation............. 159
Rule 3 Scheduling of Delegate 160
Selection Meetings.
Rule 4 An Open Party............. 160
Rule 5 Non-Discrimination........ 162
Rule 6 Affirmative Action........ 162
Rule 7 National Convention 164
Delegate Apportionment.
Rule 8 Unpledged and Pledged 164
Party Leader and Elected
Official Delegates.
Rule 9 Selection of At-Large 166
Delegates.
Rule 10 Timing of the Delegate 167
Selection Process.
Rule 11 Presidential Preference... 167
Rule 12 Fair Reflection of 169
Presidential Preferences.
Rule 13 Petition Requirements and 170
Filing Deadlines.
Rule 14 Quorum Requirements....... 171
Rule 15 Proxy Voting.............. 172
Rule 16 Unit Rule and Slate Making 172
Rule 17 Alternates and Vacancies.. 172
Rule 18 DNC Rules and Bylaws 173
Committee.
Rule 19 Challenges................ 174
Rule 20 State Legislative Changes. 177
CALL FOR THE 2000 DEMOCRATIC NATIONAL CONVENTION
Article I. Distribution of Delegate 178
Votes.
Article II. Qualifications of State 180
Delegations.
Article III. Delegates to be Selected 181
No Later Than June 24,
2000.
Article IV. Certification Requirements 181
for Delegates and
Alternates.
Article V. The 2000 Democratic 183
National Convention
Committee, Inc.
Article VI. Presidential Candidates... 184
Article VII. Standing Committees on 185
Platform, Rules, and
Credentials of the 2000
Democratic National
Convention.
Article VIII. Procedural Rules of the 190
2000 Democratic National
Convention.
APPENDIX
A .......................... 198
B .......................... 208
C .......................... 212
D .......................... 214
* Prepared by the DNC Rules and Bylaws Committee, December 1990.
2000 DELEGATE SELECTION RULES
These rules were adopted by the Democratic National Committee (``DNC'')
on May 9, 1998. They provide certain standards that states must use as
guidelines in the process of selecting delegates to the Convention.
Within this framework for ensuring the process is conducted in a fair
and open manner, a state party is allowed to devise its own particular
system for choosing delegates and alternates.
Rule 1. Publication and Submission of State Party Rules
A. State parties shall adopt Affirmative Action and Delegate Selection
Plans which contain explicit rules and procedures governing all aspects
of the delegate selection process. These rules shall include, but are
not limited to:
(1) Appointment of delegates and alternates at all levels;
(2) Timing of primary/caucuses/conventions;
(3) Procedures for electing delegates and alternates at all levels;
(4) Procedures providing for equal division in each state's convention
delegation;
(5) Procedures providing for the selection of the chair of the
delegation;
(6) Particulars concerning the scheduling of delegate selection
meetings including methods by which each meeting or event will be
publicized;
(7) Affirmative Action Plans in detail including affirmative action
obligations of presidential candidates;
(8) All petition requirements and filing deadlines for delegates and
alternate candidates and for presidential candidates;
(9) Procedures for ascertaining delegate/alternate preference at all
stages;
(10) Procedures for presidential candidates right of approval;
(11) Method of awarding delegates and alternates to presidential
candidates;
(12) Methods and timetable for the selection of permanent standing
committee members;
(13) Methods and timetable for the selection of temporary standing
committee members;
(14) Procedures for challenges of the delegate selection and
affirmative action processes;
(15) Methods and timetable for the selection of convention pages; and
(16) Other appropriate provisions from these Rules, the Call and the
Regulations.
B. The following items are to be routinely included at an appropriate
place in each state plan:
(1) Eligibility requirements for participation in the delegate
selection process in conformance with Rule 2 [Rule 2];
(2) Prohibition of cost and fees [Rule 2.D.];
(3) Prohibition of participation by those participating in another
party's process [Rule 2.E.];
(4) One-meeting limitation for first-stage participants [Rule 3.E.];
(5) ``Six basic elements'' of an open party [Rule 4];
(6) Non-discrimination principles [Rule 5];
(7) Requirement that all steps take place within calendar year of
convention [Rule 10.B.];
(8) Required identification of preference of candidates for delegate
and alternate [Rule 11.A.];
(9) Protection against coerced vote [Rule 11.I.];
(10) Quorum requirements [Rule 14];
(11) Proxy voting rules, if any [Rule 15];
(12) Unit rule prohibition [Rule 16.A.];
(13) Slate making limitations [Rule 16.B.]; and
(14) Succession of alternate to delegate statue and filling of
vacancies in delegate positions [Rule 17].
C. Each state party shall provide for a thirty (30) day \1\ period of
public comment to solicit opinion on the state's Affirmative Action
Plan and Delegate Selection Plan prior to adoption. All written public
comments submitted to the state Democratic Committee shall be submitted
along with the plans to the Rules and Bylaws Committee of the
Democratic National Committee (``DNC Rules and Bylaws Committee'').
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\1\ Unless otherwise explicitly specified, reference in these Rules to
``day'' or ``days'' means ``calendar days.'' If the last day of a
period falls on a Saturday, Sunday or a federally recognized holiday,
the time period shall be extended to the next business day.
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D. State Delegate Selection and Affirmative Action Plans shall be
submitted to the DNC Rules and Bylaws Committee for approval on or
before May 1, 1999.
E. The DNC Rules and Bylaws Committee shall act on the proposed plans
as soon as practicable, but in no case later than September 16, 1999.
Its decision shall be final and binding.
F. Implementation of state Affirmative Action Plans shall begin no
later than September 16, 1999.
G. State Delegate Selection Plans shall specify the methods and
timetable to be followed in selecting permanent and temporary members
of standing committees of the national convention. These provisions
shall be in conformity with the rules to be contained in the Call for
the 2000 Convention.
H. The Democratic National Committee (``DNC'') and the state parties
shall publish and make available at no cost their rules, the 2000
National Delegate Selection Rules, and a clear and concise explanation
of how Democratic voters can participate in the delegate selection
process. The DNC shall prepare and provide at no cost to state parties
a clear and concise explanation of the 2000 Delegate Selection Rules.
This shall be done no later than October 1 of the calendar year
immediately preceding the calendar year of the national convention.
Rule 2. Participation
A. Participation in the delegate selection process shall be open to all
voters who wish to participate as Democrats. Implementation of this
administrative matter shall be delegated to the DNC Rules and Bylaws
Committee.
B. Nothing in these rules shall be interpreted to encourage or permit
states with party registration and enrollment, or states that limit
participation to Democrats only, to amend their systems to open
participation to members of other parties.
C. State parties shall take all feasible steps to encourage non-
affiliated and new voters to register or enroll, to provide simple
procedures through which they may do so and to eliminate excessively
long waiting periods for voters wishing to register or to change their
party enrollment status. In all caucuses or conventions conducted
pursuant to these rules, all Democrats who comply with Rule 2.A. shall
be allowed to participate.
D. At no stage of the delegate selection process shall any person be
required, directly or indirectly, to pay a cost or fee as a condition
for participating in the delegate selection process. Voluntary
contributions to the Party may be made, but under no circumstances
shall a contribution be mandatory for participation.
E. No person shall participate or vote in the nominating process for a
Democratic presidential candidate who also participates in the
nominating processes of any other party for the corresponding
elections.
Rule 3. Scheduling of Delegate Selection Meetings
A. All official Party meetings and events related to the national
convention delegate selection process, including caucuses, conventions,
committee meetings, filing dates, and Party enrollment periods, shall
be scheduled for dates, times and public places which would be most
likely to encourage the participation of all Democrats, and must begin
and end at reasonable hours.
B. All such meetings or events which are the first meeting or event in
the delegate selection process shall be scheduled at times and dates
which are uniform throughout the state, except where it is established
by the state party and approved by the DNC Rules and Bylaws Committee
that such uniform times and dates would significantly reduce
participation in the delegate selection process.
C. The times, dates, places and rules for the conduct of all caucuses,
conventions, meetings and other events involved in the delegate
selection process shall be effectively publicized by the Party
organization, official, candidate or member calling the same.
D. Concise statements in advance of all meetings and events concerning
the relationship between the business to be conducted and the delegate
selection process shall be effectively publicized by the Party
organization, official, candidate or member calling the same.
E. No person shall participate in more than one meeting which is the
first meeting in the delegate selection process.
Rule 4. An Open Party
A. The Democratic National Committee reaffirms its commitment to the
1964 resolution, and requires the national and state parties to
incorporate the Six Basic Elements, as updated, into their Party rules
and to take appropriate steps to secure their implementation.
B. The 1964 Democratic National Convention adopted a resolution which
conditioned the seating of delegates at future conventions on the
assurances that discrimination in any state party affairs on the ground
of race, color, creed or national origin did not occur. The 1968
Convention adopted the 1964 Convention resolution for inclusion in the
Call for the 1972 Convention. In 1966, the Special Equal Rights
Committee which had been created in 1964, adopted six anti-
discrimination standards--designated as the Six Basic Elements, which,
as updated, are as follows:
(1) All public meetings at all levels of the Democratic Party in each
state should be open to all members of the Democratic Party regardless
of race, sex, age, color, creed, national origin, religion, ethnic
identity, sexual orientation, economic status or physical disability
(hereinafter collectively referred to as ``status'').
(2) No test for membership in, nor any oaths of loyalty to, the
Democratic Party in any state should be required or used which has the
effect of requiring prospective or current members of the Democratic
Party to acquiesce in, condone or support discrimination based on
``status.''
(3) The time and place for all public meetings of the Democratic Party
on all levels should be publicized fully and in such manner as to
assure timely notice to all interested persons. Such meetings must be
held in places accessible to all Party members and large enough to
accommodate all interested persons.
(4) The Democratic Party, on all levels, should support the broadest
possible registration without discrimination based on ``status.''
(5) The Democratic Party in each state should publicize fully and in
such a manner as to assure notice to all interested parties a full
description of the legal and practical procedures for selection of
Democratic Party officers and representatives on all levels.
Publication of these procedures should be done in such fashion that all
prospective and current members of each state Democratic Party will be
fully and adequately informed of the pertinent procedures in time to
participate in each selection procedure at all levels of the Democratic
Party organization.
(6) The Democratic Party in each state should publicize fully and in
such a manner as to assure notice to all interested parties a complete
description of the legal and practical qualifications of all positions
as officers and representatives of the state Democratic Party. Such
publication should be done in timely fashion so that all prospective
candidates or applicants for any elected or appointed position within
each state Democratic Party will have full and adequate opportunity to
compete for office.
C. These provisions demonstrate the intention of the Democratic Party
to ensure a full opportunity for all ``status'' (as defined in Rule
4.B.(1)) members to participate in the delegate selection process.
Rule 5. Non-Discrimination
A. In order that the Democratic Party at all levels be an open Party
which includes rather than excludes people from participation, a
program of effective affirmative action is hereby adopted.
B. Discrimination on the basis of ``status'' in the conduct of
Democratic Party affairs is prohibited.
C. In order to continue the Democratic Party's ongoing efforts to
include groups historically under-represented in the Democratic Party's
affairs, by virtue of race/ethnicity, age, sexual orientation or
disability, each state party shall develop and submit party outreach
programs, including recruitment, education and training, in order to a
achieve full participation by such groups and diversity in the delegate
selection process and at all levels of Party affairs.
Rule 6. Affirmative Action
A. In order to encourage full participation by all Democrats in the
delegate selection process and in all Party affairs, the national and
state Democratic Parties shall adopt and implement affirmative action
programs with specific goals and timetables for African Americans,
Hispanics, Native Americans, Asian/Pacific Americans and women.
(1) The goal of such affirmative action shall be to encourage
participation in the delegate selection process and in Party
organizations at all levels by the aforementioned groups as indicated
by their presence in the Democratic electorate.
(2) This goal shall not be accomplished either directly or indirectly
by the Party's imposition of mandatory quotas at any level of the
delegate selection process or in any other Party affairs.
(3) In the selection of each state's at-large delegation, priority of
consideration shall be given to African Americans, Hispanics, Native
Americans, Asian/Pacific Americans and women, if such priority of
consideration is needed to fulfill the affirmative action goals
outlined in the state's Delegate Selection Plan. Such remedial action
is necessary in order to overcome the effects of past discrimination.
Use of the at-large delegation to fulfill the plan's affirmative action
goals does not obviate the need for the state party to conduct outreach
activities such as recruitment, education and training. Priority of
consideration shall also be given to other groups as described in Rule
5.(C), which are under-represented in Democratic Party affairs, in
order to assist in the achievement of full participation by these
groups.
B. Performance under an approved Affirmative Action Plan and
composition of the convention delegation shall be considered relevant
evidence in the challenge to any state delegation. If a state party has
adopted and implemented an approved affirmative action program, the
state party shall not be subject to challenge based solely on
delegation composition or primary results.
C. State Delegate Selection Plans shall provide for equal division
between delegate men and delegate women and alternate men and alternate
women within the state's entire convention delegation. For purposes of
this rule, the entire delegation includes all pledged delegates and
alternates and unpledged delegates (including unpledged party leaders
and elected official delegates and unpledged all-on delegates).
(1) State Delegate Selection Plans shall, as far as mathematically
practicable, also provide the equal division between district-level
delegate men and delegate women and district-level alternate men and
alternate women.
(2) The DNC Rules and Bylaws Committee shall have continuing
jurisdiction to ensure compliance with this equal division requirement.
No at-large delegate or alternate from a state shall be placed on the
temporary roll of the 2000 Democratic National Convention unless the
Rules and Bylaws Committee has certified to the Secretary of the
Democratic National Committee that such state's delegation complies
with this equal division rule. It shall be the duty of the DNC Rules
and Bylaws Committee to determine such compliance as soon as
practicable following the certification of the state's at-large
delegates and alternates.
(3) Notwithstanding sub-paragraph A.(2) above, equal division at any
level of delegate or committee positions between delegate men and
delegate women or committeemen and committeewomen shall not constitute
a violation of any provision thereof.
D. For purposes of providing adequate notice of the delegate selection
process under Rule 3, the times, dates, places and rules for the
conduct of all caucuses, conventions, meetings and other events
involved in the delegate selection process shall be effectively
publicized, bilingually where necessary, to encourage the participation
of minority groups.
E. State Democratic Parties shall ensure that district lines used in
the delegate selection process are not gerrymandered to discriminate
against African Americans, Hispanics, Native Americans, Asian/Pacific
Americans and women.
F. Each state Affirmative Action Plan shall provide for the appointment
of a representative state Affirmative Action Committee by March 1,
1999.
G. Each state affirmative action program shall include outreach
provisions to encourage the participation and representation of persons
of low and moderate income, and a specific plan to help defray expenses
of those delegates otherwise unable to participate in the national
convention.
H. State parties in their Delegate Selection Plans shall impose
reasonable specific affirmative action obligations upon candidates
consistent with the delegate selection system employed by the state.
(1) State parties shall require presidential candidates to submit
statements that specify which steps such candidates will take to
encourage full participation in their delegate selection process,
including, but not limited to, procedures by which persons may file as
candidates for delegate or alternate.
(2) State parties shall require presidential candidates to submit
demographic information with respect to candidates for delegate and
alternate pledged to them.
I. Presidential candidates (including uncommitted status) shall use
their best efforts to ensure that their respective delegations within a
state's delegation shall achieve the affirmative action goals
established by the state's Delegate Selection Plan and that the
respective delegations of each presidential candidate within the
state's delegation shall be equally divided between men and women.
Rule 7. National Convention Delegate Apportionment
A. Apportionment of district-level delegates within states shall be
based on one of the following:
(1) A formula giving equal weight to total population and to the
average of the vote for the Democratic candidates in the two most
recent presidential elections;
(2) A formula giving equal weight to the vote for the Democratic
candidates in the most recent presidential and gubernatorial elections;
(3) A formula giving equal weight to the average of the vote for the
Democratic candidates in the two most recent presidential elections and
to Democratic Party registration or enrollment as of January 1, 2000;
or
(4) A formula giving one-third (\1/3\) weight to each of the formulas
in items (1), (2), and (3).
B. Apportionment for each body selecting delegates to state, district,
and county conventions shall be based upon population and/or some
measure of Democratic strength.
C. The Call for the 2000 Convention shall state the base delegation for
each delegation. Seventy-five percent (75%) of each state's base
delegation shall be elected at the congressional district level or
lower. Twenty-five percent (25%) of each state's base delegation shall
be elected at large. Delegates so elected shall hereafter be termed
``district-level'' and ``at-large'' delegates, respectively. Each State
Democratic Chair shall certify all delegates in writing to the
Secretary of the DNC.
D. In those states with more than one congressional district, after the
election of district-level delegates and prior to the selection of at-
large delegates, each State Democratic Chair shall certify pledged
party leader and elected official delegates equal to 15% of the state's
base delegation selected pursuant to Rule 8.
E. In states with one congressional district, the election of district-
level and at-large delegates and alternates may take place at the same
meeting, provided that affirmative action and fair reflection
guidelines are met and the Democratic Chair of each such state shall
make the certifications required by subsection 7.D.
Rule 8. Unpledged and Pledged Party Leader and Elected Official
Delegates
A. The procedure to be used for certifying unpledged party leader and
elected official delegates is as follows:
Not later than March 1, 2000, the Secretary of the Democratic National
Committee shall officially confirm to each State Democratic Chair the
names of the following unpledged delegates who legally reside in their
respective state and who shall be recognized as part of their state's
delegation:
(1) The individuals recognized as members of the DNC (as set forth in
Article Three, Sections 2 and 3 of the Charter of the Democratic Party
of the United States); and,
(2) The Democratic President and the Democratic Vice President of the
United States, if applicable; and,
(3) All Democratic members of the United States House of
Representatives and all Democratic members of the United States Senate;
and,
(4) The Democratic Governor,\2\ if applicable; and,
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\2\ The Mayor of the District of Columbia, if a Democrat, shall be
treated as a Democratic Governor.
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(5) All former Democratic Presidents, all former Democratic Vice
Presidents, all former Democratic Leaders of the U.S. Senate, all
former Democratic Speakers of the U.S. House of Representatives and
Democratic Minority Leaders, as applicable, and all former Chairs of
the Democratic National Committee.
B. Following the selection of district-level delegates, and prior to
the selection of pledged party leader and elected official delegates,
unpledged add-on delegates shall be selected according to the following
procedures:
(1) Unpledged add-on delegates may be selected by either the same
selecting body which will select the state's party leader and elected
official delegates, or by the same selecting body which will select the
state's at-large delegates and alternates.
(2) The equal division and affirmative action provisions of Rule 9.A.
apply to the selection of unpledged add-on delegates.
(3) The list from which the selecting body chooses the unpledged add-on
delegates shall contain the same minimum number of names for every such
add-on position to be filled as the minimum number of names required by
the state's delegate selection plan to remain on the list of bona fide
supporters for each at-large and pledged party leader and elected
official delegate pursuant to Rule 11.E.(2).
(4) Unpledged add-on delegates are not entitled to alternates, and
neither shall the delegation be entitled to a replacement, except in
the case of death.
(5) Unpledged add-on delegates may be selected whether or not they
previously filed a statement of candidacy for a delegate position or
submitted a pledge of support for a presidential candidate.
C. Following the selection of unpledged add-on delegates under 8.B.,
pledged party leader and elected official delegates are to be selected
subject to the following procedures:
(1) Persons shall be considered for pledged party leader and elected
official delegates and alternates according to the following priority:
big city mayors and state-wide elected officials to be given equal
consideration; state legislative leaders, and state legislators, and
other state, county and local elected officials and party leaders.
(2) These slots shall be allocated on the same basis as the state's at-
large delegates.
(3) If persons eligible for pledged party leader and elected official
delegate positions have not made known their presidential preference
under the procedures established by the state pursuant to Rule 11 for
candidates for district-level and at-large delegate positions, their
preferences shall be ascertained through alternative procedures
established by the state party, which shall require a signed pledge of
support for a presidential candidate. Such an alternative system shall
have a final deadline for submitting a pledge of support after the
selection of all district-level delegates has been completed and must
provide an opportunity for disapproval by the presidential candidate or
the candidate's authorized representative.
D. A state's party leader and elected official delegates may be chosen
by a state convention \3\ or by a committee consisting of a quorum of
district-level delegates. They may also be chosen by the State Party
Committee, as recognized by the Democratic National Committee, but only
if the state's Delegate Selection Plan is in full compliance with these
rules, and provided:
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\3\ For the purpose of this section (D), a ``state convention'' shall
not include a State Party Committee acting as a state convention where
the state's Delegate Selection Plan is not in full compliance with
these rules.
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(1) Membership on the State Party Committee is apportioned on the basis
of population and/or some measure of Democratic strength;
(2) Members of the State Party Committee have been elected through open
processes in conformity with the basic procedural guarantees utilized
for delegate selection;
(3) Such delegates are elected at a public meeting subsequent to the
election of district-level delegates;
(4) Members of the State Party Committee exercising such authority
shall have been elected no earlier than the date of the previous
presidential election; and
(5) Membership of the State Party Committee complies with the equal
division requirements of Article 9, Section 16 of the Charter of the
Democratic Party of the United States.
E. Except as provided in 8.A. above, no person shall serve as an
automatic delegate at any level of the delegate selection process by
virtue of holding a public or party office.
Rule 9. Selection of At-Large Delegates
A. The selection of at-large delegates shall be used, if necessary, to
achieve the equal division of positions between men and women and the
representation goals established in the state's party's Affirmative
Action Plan. Such goals apply to the state's entire delegation
considered as a whole. For purposes of this rule, the entire delegation
includes all unpledged as well as all pledged delegates. Delegates and
alternates shall each, as a group, be equally divided and, to the
extent possible, each as a group shall reflect the representation goals
established in the state's Affirmative Action Plan.
B. A state's at-large delegates and alternates shall be selected by one
of the bodies, subject to the same conditions specified in Rule 8.D.
above, provided, however, the State Party Committee may choose such
delegates and alternates only if the state's Delegate Selection Plan is
in full compliance with these rules.
C. At-large delegates and alternates (including pledged party leader
and elected official delegates, which shall include those to be
allocated to uncommitted status) in primary states shall be allocated
according to the state-wide primary vote or, in states holding no
state-wide primary, according to the division of preferences among
convention and caucus participants. In non-primary states which do not
hold state conventions authorized to elect delegates, at-large
delegates shall be apportioned according to the division of preference
among district-level delegates at the time of district-level selection.
If a presidential entitled to an allocation under this rule is no
longer a candidate at the time at-large delegates are selected, his/her
allocation shall be proportionately divided among the other preferences
entitled to an allocation.
Rule 10. Timing of the Delegate Selection Process
A. No meetings, caucuses, conventions or primaries which constitute the
first determining stage in the presidential nomination process (the
date of the primary in primary states, and the date of the first tier
caucus in caucus states) may be held prior to the first Tuesday in
March or after the second Tuesday in June in the calendar year of the
national convention. Provided, however, that the Iowa precinct caucuses
may be held no earlier than 15 days before the first Tuesday in March;
that the New Hampshire primary may be held no earlier than 7 days
before the first Tuesday in March; that the Maine first tier caucuses
may be held no earlier than 2 days before the first Tuesday in March.
In no instance may a state which scheduled delegate selection
procedures on or between the first Tuesday in March and the second
Tuesday in June 1984 move out of compliance with the provisions of this
rule.
B. All steps in the delegate selection process, including the filing of
presidential candidates, must take place within the calendar year of
the Democratic National Convention (except as otherwise provided in
these rules).
Rule 11. Presidential Preference
A. All candidate for delegate and alternate in caucuses, conventions,
committees and on primary ballots shall be identified as a presidential
preference on uncommitted status at all levels of a process which
determine presidential preference.
B. All persons wishing to be elected to a district-level or at-large
delegate position must file a statement of candidacy designating the
presidential or uncommitted preference of the delegate candidate and a
signed pledge of support for the presidential candidate (including
uncommitted status) the person favors, if may, with the state party by
a date certain as specified in the state's Delegate Selection Plan.
Persons wishing to be elected as pledged party leader and elected
official delegates shall comply with Rule 8.C.(3).
C. All candidates considered for district-level alternate positions
must meet the same requirements as candidates for district-level
delegate positions, except that the state may allow candidates who were
to chosen at the delegate level to be considered at the alternate
level.
D. Prior to the selection of national convention delegates and
alternates, the same party shall convey to the presidential candidates,
or that candidate's authorized representative(s), a list of all persons
who have filed for delegate or alternate positions pledged to that
presidential candidate. All such delegate and alternate candidates
shall be considered bona fide supporters of the presidential candidate
whom they have pledge to support, unless the presidential candidate, or
that candidate's authorized representative(s), signifies otherwise in
writing to the state party by a date certain as specified in that
state's Delegate Selection Plan.
(1) Presidential candidates shall certify in writing to the Democratic
State Chair the name(s) of their authorized representative(s) by a date
certain.
(2) In state where delegates are voted upon on the ballot, the date by
which the presidential candidate, or that candidate's authorized
representative(s), signifies approval or disapproval of the list of
delegate and alternate candidates in writing to the state party as
required by Rule 11.D., must allow sufficient time to ensure that names
removed from the list do not appear on the ballot.
E. National convention delegate and alternate candidates removed from
the list of bona fide supporters by a presidential candidate, or that
candidate's authorized representative(s), may not be elected as a
delegated or alternate at that level of pledged to that presidential
candidate (including uncommitted status).
(1) Presidential candidates may not remove any candidate for a
district-level delegate or alternate position from the list of bona
fide supporters unless, at a minimum, three (3) names remain for every
such position to which the presidential candidate is entitled.
Provided, however, that in states where individual district-level
delegates and alternates are voted upon on the ballot, the presidential
candidate, or that candidate's authorized representative(s), may
approve a number of delegate candidates or alternate candidates equal
to or greater than the number of delegates or alternates allocated to
the district.
(2) Presidential candidates (including uncommitted status), in
consultation with the state party, may remove any candidate for at-
large and pledged party leader and elected official delegate or
alternate position from the list of bona fide supporters as long as, at
a minimum, one (1) name remains for every national convention delegate
or alternate position to which the presidential candidate is entitled,
except that a state may provide in its delegate selection plan, if the
plan is approved by the Rules and Bylaws Committee, that presidential
candidates (including uncommitted status), may remove any candidate for
an at-large and party leader and elected official delegate or alternate
position from the list of bona fide supporters as long as, at a
minimum, two (2) names remain in for every position to which the
presidential candidate is entitled.
F. State parties shall ensure that state Delegate Selection Plans
provide fair and adequate time for persons to file for delegate or
alternate positions, and for presidential candidates, or their
authorized representative(s), to review the list of persons who have
filed, and to remove from that list persons not confirmed by the
presidential candidate or his/her representatives(s) as bona fide
supporters of the presidential candidate.
G. Except in states where individual delegates and alternates are
selected on the ballot, district-level national convention delegates
and alternates pledged to a presidential candidate (including
uncommitted status) shall be selected or nominated by a caucus of
persons from the unit electing the delegates and alternates who sign
statements of support for that presidential candidate. Uncommitted
delegates and alternates shall be elected by the uncommitted caucus
from the appropriate unit.
H. A district-level delegate and alternate candidate may run for
election only within the district in which he or she is registered to
vote. For purposes of these rules, all delegates and alternates must be
bona fide Democrats who have the interests, welfare and success of the
Democratic Party of the United States at heart, who subscribe to the
substance, intent and principles of the Charter and the Bylaws of the
Democratic Party of the United States, and who will participate in the
Convention in good faith.
I. No delegate at any level of the delegate selection process shall be
mandated by law or Party rule to vote contrary to that person's
presidential choice as expressed at the time the delegate is elected.
J. Delegates elected to the national convention pledged to a
presidential candidate shall in all good conscience reflect the
sentiments of those who elected them.
K. (1) Based on the right of the Democratic Party to freely assemble
and to determine the criteria for its candidates, it is determined that
all candidates for the Democratic nomination for President or Vice
President shall:
(a) be registered to vote, and shall have been registered to vote in
the last election for the office of President and Vice President; and
(b) have demonstrated a commitment to the goals and objectives of the
Democratic Party as determined by the National Chair and will
participate in the Convention in good faith.
(2) It is further determined that these requirements are in addition to
the requirements set forth by the United States Constitution and any
law of the United States.
Rule 12. Fair Reflection of Presidential Preferences
A. Delegates shall be allocated in a fashion that fairly reflects the
expressed presidential preference or uncommitted status of the primary
voters or, if there is no binding primary, the convention and/or caucus
participants.
B. States shall allocate district-level delegates and alternates in
proportion to the percentage of the primary or caucus vote won in that
district by each preference, except that preference falling below a 15%
threshold shall not be awarded any delegates. Subject to section F. of
this rule, no state shall have a threshold above or below 15%. States
which use a caucus/convention system, shall specify in their Delegate
Selection Plans the caucus level at which such percentages shall be
determined.
C. A presidential candidate or his/her authorized representatives(s)
should act in good faith to slate delegate and alternate candidates,
however, in any event, if a presidential candidate (including
uncommitted status) has qualified to receive delegates and alternates
but has failed to slate a sufficient number of delegate and alternate
candidates then additional delegates and alternates for that preference
will be selected in a special post-primary procedure. The State Party
will administer special post-primary procedures according to rules
approved by the DNC Rules and Bylaws Committee and such procedures
should be set forth in the state's delegate selection plan, where
applicable.
D. District-level delegates and alternates shall be allocated according
to the following procedures:
Step 1: Tabulate the percentage of the vote that each presidential
preference (including uncommitted status) receives in the congressional
district to three decimals.
Step 2: Retabulate the percentage of the vote to three decimals,
received by each presidential preference excluding the votes of
presidential preferences whose percentage in Step 1 falls below 15%.
Step 3: Multiply the number of delegates to be allocated by the
percentage received by each presidential preference.
Step 4: Delegates shall be allocated to each presidential preference
based on the whole numbers which result from the multiplication in Step
3.
Step 5: Remaining delegates, if any, shall be awarded in order of the
highest fractional remainders in Step 3.
E. At-large and pledged party leader and elected official delegate and
alternate positions shall be allocated to presidential preferences by
reference to primary or convention votes or to the division of
preference among district-level delegates or alternates, as the case
may be, as specified in Rule 9.C., except that a preference falling
below a threshold of 15% shall not be awarded any delegates or
alternates at this level. Such delegates and alternates in primary
states shall be allocated to presidential preference (including
uncommitted status) according to the statewide primary vote.
F. In all situations where no preference reaches the applicable
threshold, the threshold shall be the percentage of the vote received
at each level of the delegate selections process by the front-runner
minus 10 percent.
G. Under no circumstances shall the use of single-delegate districts be
permitted.
H. For the purpose of fairly reflecting the division of preferences,
the non-binding advisory presidential preference portion of primaries
shall not be considered a step in the delegate selection process.
Rule 13. Petition Requirements and Filing Deadlines
A. If a state requires the filing of petitions with the signatures of
registered/enrolled voters as the sole method to place a presidential
candidate's name on the primary ballot in connection with the
Democratic presidential nominating process, such number of valid
signatures shall not exceed 5,000.
B. If a state requires the payment of a fee in order to place a
presidential candidate's name on the ballot in connection with the
Democratic presidential nominating process, such fee shall not exceed
$2,500.
C. If a state requires the filing of a petition with the signatures of
registered/enrolled voters in order to have a delegate/alternate
candidate gain access to the primary ballot in connection with the
Democratic presidential nominating process, the number of valid
signatures shall not exceed either one half of one percent (.5%) of the
registered/enrolled Democrats in such district or one half of one
percent (.5%) of the total votes in such district for all Democratic
presidential candidates (including uncommitted) during the immediately
preceding presidential nominating process, whichever is lower, but in
no event shall the number of valid signatures required to exceed 1,000.
D. Subject to the prior sections of this rule, the number of valid
signatures required of a presidential candidate to file a petition to
gain !access to the primary ballot, and the number of valid signatures
required of a delegate/alternate candidate to gain access to the
primary ballot, and the fees required to be paid to the state by a
presidential candidate and by a delegate/alternate candidate to gain
access to the primary ballot, in connection with the Democratic
presidential nominating process, shall not exceed those in effect in
the particular state as of January 1, 1994.
E. No deadline for the filing of petitions for participation in the
presidential nomination process by a presidential candidate shall be
less than 30 days in advance of the primary or caucus nor more than 75
days in advance of the primary caucus.
F. No candidate for delegate or alternate shall be required to file a
statement of candidacy or a pledge of support as required by Rule 11.B.
prior to 30 days before such delegate or alternate candidate is to be
selected or elected in a primary, caucus or pre-primary caucus;
provided, however, that in states holding a presidential primary where
individual district-level delegates or alternates are to be voted upon
on the ballot, no candidate for delegate or alternate shall be required
to submit or file a statement of candidacy or a pledge of support prior
to 90 days before the date on which they are to be voted upon.
G. No candidate for at-large or pledged party leader and elected
official delegate or alternate shall be required to file a statement of
candidacy or a pledge of support required by Rule 11.B. prior to 30
days before the date when the delegate or alternate is to be selected
or voted upon.
H. No state's delegate selection rules may require the filing of
district-level delegate or alternate candidates pledged to a
presidential candidate or uncommitted status as a condition of access
by a presidential candidate to the primary ballot for voting upon
presidential preference.
Rule 14. Quorum Requirements
No less than forty percent (40%) of the members of any Party body above
the first level of the delegate selection process shall constitute a
quorum for any business pertaining to the selection of convention
delegates.
Rule 15. Proxy Voting
To ensure full participation in the delegate selection process, state
party rules may, at their discretion, provide for proxy voting. Such
rules shall allow an accredited participant in a caucus, convention or
committee meeting, after having appeared at such meeting and having
established credentials, to register the non-transferable proxy with
another duly accredited participant at that meeting (except where an
accredited alternate is present and eligible to serve as a
replacement). No such rule shall allow a person to hold more than three
(3) proxies at a time.
Rule 16. Unit Rule and Slate-Making
A. The unit rule, or any rule or practice whereby all members of a
Party unit or delegation may be required to cast their votes in
accordance with the will of a majority of the body, shall not be used
at any stage of the delegate selection process.
B. Any individual or group of Democrats may sponsor or endorse a slate
of candidates for convention delegates. But no slate may, by virtue of
such endorsement, receive a preferential place on a delegate selection
ballot or be publicly identified on the ballot as the official
Democratic Party organization slate, and all slates must meet identical
qualifying requirements for appearing on a ballot at all levels of the
delegate selection process.
Rule 17. Alternates and Vacancies
A. Alternate delegates shall be selected by primary, convention or
committee processes subject to the same National Party Rules applicable
to the selection of delegates, except that the provisions of Rules 8.A.
and 8.B. shall not apply to the election of alternates. Each State
Democratic Chair shall certify all alternates in writing to the
Secretary of the DNC.
B. If a given presidential preference is entitled to one or more
delegate positions in a state but would not otherwise be entitled to an
alternate position, that preference shall be allotted one at-large
alternate position.
C. The proportions of alternates elected at the district level, and at-
large, and as pledged party leader and elected official alternates, may
be the same as the proportions of delegates elected in those
categories.
D. Each state Delegate Selection Plan shall specifically provide how
and under what conditions an alternate is to replace or act in lieu of
(collectively referred to as ``replace'' or ``replaces'') a delegate.
(1) Delegate Selection Plans may specify one or any combination of the
following alternatives for permanent and temporary replacements;
(a) The delegate chooses the alternate;
(b) The delegation chooses the alternate;
(c) The alternate who receives the highest number of votes; or
(d) Such other process as protects the interests of presidential
candidates, delegates and alternates.
(2) A permanent replacement occurs when a delegate resigns or dies
prior to and during the National Convention and the alternate replaces
the delegate for the remainder of the National Convention. Any
alternate who permanently replaces a delegate shall be certified in
writing to the Secretary of the DNC by the State Democratic Chair. He/
She shall be of the same presidential preference (including uncommitted
status) and sex of the delegate he/she replaces, and to the extent
possible shall be from the same political subdivision within the state
as the delegate; except in the case where the presidential candidate
has only one alternate, in which case, that alternate shall become the
certified delegate.
(3) A temporary replacement occurs when a delegate is to be absent for
a limited period of time during the convention and an alternate
temporarily acts in the delegate's place. Any alternate who temporarily
replaces a delegate must be of the same presidential preference
(including uncommitted status) as the delegate he/she replaces, and to
the extent possible shall be of the same sex and from the same
political subdivision within the state as the delegate.
E. Delegates elected under the provisions of Rules 8.A. and 8.B. shall
not be entitled to name a replacement under Rule 17.D., nor shall the
state be entitled to a replacement except in case of death.
F. A vacant alternate position shall be filled by the delegation. The
replacement shall be of the same presidential preference (or
uncommitted status), of the same sex and, to the extent possible, from
the same political subdivision as the alternate being replaced. Each
replacement of a vacant alternate position shall be certified in
writing to the Secretary of the DNC by the State Democratic Chair.
Rule 18. DNC Rules and Bylaws Committee
A. The DNC Rules and Bylaws Committee will assist in the administration
enforce affirmative action and delegate selection requirements for the
national land state Democratic Parties.
B. The DNC Rules and Bylaws Committee shall implement the Delegate
Selection Rules in a manner consistent with these rules.
C. The DNC Rules and Bylaws Committee will provide state parties with a
model Delegate Selection and Affirmative Action Plan.
D. The DNC Rules and Bylaws Committee shall:
(1) review Affirmative Action and Delegate Selection Plans submitted by
state parties and approve or recommend changes in such plans;
(2) conduct periodic evaluations and provide technical assistance to
state parties on affirmative action and delegate selection
implementation;
(3) hear and recommend solutions to affirmative action complaints
unresolved by appropriate state party bodies.
E. The DNC Rules and Bylaws Committee shall retain jurisdiction over
the approval of amendments to state Delegate Selection Plans and state
delegation compliance with equal division requirements, even after the
Convention Credentials Committee assumes jurisdiction over challenges
to the credentials of delegates.
F. No later than December 15, 1998, the DNC Rules and Bylaws Committee
shall send to state parties its regulations adopted pursuant to these
rules and a check list.
G. The DNC shall allocate sufficient financial resources and staff to
implement this rule.
Rule 19. Challenges
A. Jurisdictional Challenges. Any challenges to a state party
organization in respect to its status as the body entitled to sponsor a
delegation from that state must be presented to the DNC at any time up
to thirty (30) days prior to the initiation of the state's delegate
selection process. Such a challenge must be brought by at least fifteen
(15) Democrats from the state.
B. Submission, Non-Implementation and Violation Challenges. Failure to
submit or implement an approved affirmative action program by the
deadline specified in these rules shall constitute grounds for a
challenge with the burden of proof on the challenged party.
(1) At any time up to thirty (30) days prior to the initiation of the
state's delegate selection process, any group of not less than fifteen
(15) Democrats in that state can challenge the affirmative action
program on the basis of non-implementation of a specific requirement of
a state plan, which challenge shall include reasonable documentation of
alleged violations. (In such challenges, the challenging party shall
have the burden of proof, but the challenged party shall present its
case first.)
(a) In the absence of any such challenge, the implementation of any
such program shall be presumptively in compliance.
(b) If challenged and upheld, the compliance of such implementation
programs shall be conclusive but not as to compliance of no-compliance
that may occur after the date of the challenge.
(2) Challenges regarding alleged violation of an approved Delegate
Selection Plan shall first be brought to the appropriate state
Democratic Party body for a decision to be rendered within twenty-one
(21) days. After due notice, any aggrieved party shall have the rights
to appeal to the DNC Rules and Bylaws Committee within ten (10) days
following the decision of the state body according to procedures
established by DNC Rules and Bylaws Committee.
(3) The DNC Rules and Bylaws Committee shall either certify compliance,
certify non-compliance or require corrective action after which
compliance or non-compliance shall be certified.
C. (1) Violation of timing.
In the event the Delegate Selection Plan of a state party provides or
permits a meeting, caucus, convention or primary which constitutes the
first determining stage in the presidential nominating process to be
held prior to or after the dates for the state as provided in Rule 10
of these rules, or in the event a state holds such a meeting, caucus,
convention or primary prior to or after such dates, the number of
district-level delegates allocated to the state pursuant to the Call
for the National Convention shall be reduced by twenty-five (25%)
percent, and the number of district-level alternates shall also be
reduced by twenty-five (25%) percent. In addition, none of the members
of the Democratic National Committee from that state shall be permitted
to vote as members of the state's delegation, except that the Rules and
Bylaws Committee may exempt a DNC member(s) from this provision, if it
finds the DNC member(s) took provable positive steps pursuant to Rule
20.B. to help the state plan achieve compliance with the applicable
rule. In determining the actual number of delegates or a alternates by
which the state's delegation district-level delegates and alternates
are to be reduced, any fraction below .5 shall be rounded down to the
nearest whole number, and any fraction of .5 or greater shall be
rounded up to the next nearest whole number.
(2) Violation of proportional representation. In the event the Delegate
Selection Plan of a state party provides or permits the pledged
delegates or alternates to be allocated to presidential preference
(including uncommitted status) other than as provided under Rule 12 of
these rules, or in the event a state party, in fact, allocates its
pledged delegates or alternates to presidential preference (including
uncommitted status) other than as provided under Rule 12 of these
rules, the delegation of the state shall be reduced by the same amount
and as provided in section C.(1) of this rule.
(3) Violation of the threshold. In the event the Delegates Selection
Plan of a state party provides or permits a threshold other than
fifteen (15%) percent as set forth in Rule 12 of these rules, or in the
event a state party in fact permits the implementation of a threshold
other than fifteen (15%) percent as provided in Rule 12 of these rules,
the delegation of the state shall be reduced by the same amount and as
provided in section C.(1) of this rule.
(4) Upon a determination of the DNC Rules and Bylaws Committee that a
state is in violation as set forth in subsections (1), (2) or (3) of
section C. of this rule, the reductions required under those
subsections shall become effective automatically and immediately and
without further action of the DNC Rules and Bylaws Committee, the
Executive Committee on the DNC, the DNC or the Credentials Committee of
the Democratic National Convention.
(5) Nothing in the preceding subsections of this rule shall be
construed to prevent the DNC Rules and Bylaws Committee from imposing
additional sanctions, including, without limitation, those specified in
subsection (6) of this section C., against a state party and against
the delegation from the state which is subject to the provisions of any
of subsections (1) through (3) of this section C., including, without
limitation, establishing a committee to propose and implement a process
which will result in the selection of a delegation from the affected
state which shall (i) be broadly representative, (ii) reflect the
state's division of presidential preference and uncommitted status and
(iii) involve as broad participation as is practicable under the
circumstances.
(6) Nothing in these rules shall prevent the DNC Rules and Bylaws
Committee from imposing sanctions the Committee deems appropriate with
respect to a state which the Committee determines has failed or refused
to comply with these rules, where the failure or refusal of the state
party is not subject to subsections (1), (2) or (3) of this section C.
Possible sanctions include, but are not limited to: reduction of the
state's delegation; pursuant to Rule 20.C., recommending the
establishment of a committee to propose and implement a process which
will result in the selection of a delegation from the affected state
which shall (i) be broadly representative, (ii) reflect the state's
division of presidential preference and uncommitted status and (iii)
involve as broad participation as is practicable under the
circumstances; reducing, in part or in whole, the number of the state's
temporary and permanent members to the Standing Committees; reducing,
in part or in whole, the number of guests, VIP and other passes/tickets
to the National Convention and related functions; assignment of
location of the state's delegates and alternates in the Convention
hall; and assignment of the state's housing and other convention
related facilities.
(7) In the event a state shall become subject to subsections (1), (2)
or (3) of section C. of this rule as a result of state law but the DNC
Rules and Bylaws Committee, after an investigation, including hearings
if necessary, determines the state party and the other relevant
Democratic party leaders and elected officials took all provable,
positive steps and acted in good faith to achieve legislative changes
to bring the state law into compliance with the pertinent provisions of
these rules and determines that the state party and the other relevant
Democratic party leaders and elected officials took all provable,
positive steps and acted in good faith in attempting to prevent
legislative changes which resulted in state law that fails to comply
with the pertinent provisions of these rules, the DNC Rules and Bylaws
Committee may determine that the state's delegation shall not be
reduced. The state party shall have the burden of proving by clear and
convincing evidence that it and the other relevant Democratic party
leaders and elected officials took all provable, positive steps and
acted in good faith to achieve legislative changes to bring the state
law into compliance with the pertinent provisions of these rules and
that it and the other relevant Democratic party leaders and elected
officials took all provable, positive steps and acted in good faith in
attempting to prevent the legislative changes which resulted in state
law that fails to comply with the pertinent provisions of these rules.
(8) A state party may provide in its Delegates Selection Plan the
specific method and procedures by which it will reduce its delegation
pursuant to this Rule 19 in the event the state party delegation
becomes subject to this Rule 19 by which the delegation must be reduced
by twenty five (25%) percent, which specific method and procedures
shall be subject to the review and approval of the DNC Rules and Bylaws
Committee. In the event a state's Delegate Selection Plan does not
provide for the specific method and procedures referred to in the
immediately preceding sentence, or in the event the state's Delegate
Selection Plan is either not approved by the DNC Rules and Bylaws
Committee or the specific method and procedures referred to in the
first sentence of this subsection (8) are not approved by the DNC Rules
and Bylaws Committee, or in the event a state's Delegate Selection Plan
specifies the method and procedures which have been approved by the DNC
Rules and Bylaws Committee, but the state party fails or refuses to
implement those specific method and procedures, and in the event the
state's delegation is required to be reduced pursuant to this Rule 19,
then the DNC Rules and Bylaws Committee shall, by lottery, or other
appropriate method determined by the DNC Rules and Bylaws Committee,
determine which delegates and alternates shall not be a part of the
state's delegation in order to achieve the reduction of the state's
delegation pursuant to this Rule 19. Any reduction of district-level
delegates under this provision shall be accomplished in a manner which
complies with the requirement of proportional representation as
provided for in Rule 12.
(9) Except as provided by subsection (7) of this section C., the fact
that a state party took provable, po