[Federal Register Volume 78, Number 205 (Wednesday, October 23, 2013)]
[Notices]
[Pages 63203-63204]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-24317]
[[Page 63203]]
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FEDERAL ELECTION COMMISSION
[Notice 2013-14]
Policy Statement Regarding a Program for Requesting Consideration
of Legal Questions by the Commission
AGENCY: Federal Election Commission.
ACTION: Policy statement.
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SUMMARY: The Federal Election Commission (``Commission'') adopted a
program on August 1, 2011, providing for a means by which persons and
entities may have a legal question considered by the Commission earlier
in both the report review process and the audit process. This new
policy is identical to that August 1, 2011 program, except that it
provides an alternative electronic means to file a request with the
Commission.
DATES: Effective October 23, 2013.
FOR FURTHER INFORMATION CONTACT: Mr. Lorenzo Holloway, Assistant
General Counsel, or Margaret Forman, Attorney, 999 E Street NW.,
Washington, DC 20463, (202) 694-1650 or (800) 424-9530.
SUPPLEMENTARY INFORMATION: On August 1, 2011, the Commission adopted a
program providing for a means by which persons and entities may have a
legal question considered by the Commission earlier in both the report
review process and the audit process. Specifically, when the Office of
Compliance (``OC'') (which includes the Reports Analysis Division and
the Audit Division) requests that a person or entity take corrective
action during the report review or audit process, if the person or
entity disagrees with the request based upon a material dispute on a
question of law, the person or entity may seek Commission consideration
of the issue pursuant to this procedure. This Commission is now
revising this program. As revised, the program is identical to that
August 1, 2011 program, except that it provides alternative means to
file a request with the Commission. This change was made to address and
clarify timeliness issues due to delays in the processing and receipt
of requests mailed to the Commission, by encouraging requests to be
filed electronically by email. Processing delays can result in an
untimely submission of a request under the program. Persons and
entities making such a request may not be aware that these processing
delays can occur when documents are sent via first class mail to a
federal government agency. The policy statement regarding this program
is reprinted in its entirety, below. It includes the revisions outlined
above, which appear in the third paragraph of the ``Procedures''
section, below.
I. Procedures
Within 15 business days of a determination by the Reports Analysis
Division or Audit Division that a person or entity remains obligated to
take corrective action to resolve an issue that has arisen during the
report review or audit process, the person or entity may seek
Commission consideration if a material dispute on a question of law
exists with respect to the recommended corrective action.\1\ A
``determination'' for purposes of triggering the 15 business days is
either: (1) Notification to the person or entity of legal guidance
prepared by the Office of General Counsel (``OGC'') at the request of
the Reports Analysis Division recommending the corrective action; or
(2) the end of the Committee's Audit Exit Conference response period.
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\1\ Many disputes involving corrective action requests hinge on
questions of fact rather than questions of law, and thus are not
appropriate for this procedure.
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Any request for consideration by a Committee during the report
review process or the audit process shall be limited to questions of
law on material issues, when: (1) The legal issue is novel, complex, or
pertains to an unsettled question of law; (2) there has been
intervening legislation, rulemaking, or litigation since the Commission
last considered the issue; or (3) the request to take corrective action
is contrary to or otherwise inconsistent with prior Commission matters
dealing with the same issue. The request must specify the question of
law at issue and why it is subject to Commission consideration. It
should discuss, when appropriate, prior Commission matters raising the
same issue, relevant court decisions, and any other analysis of the
issue that may assist the Commission in its decision making. The
Commission will not consider factual disputes under this procedure, and
any requests for consideration other than on questions of law on
material issues will not be granted.
All requests, including any extension requests, must be received by
the Commission within 15 business days of the determination of
corrective action. All requests should be directed to the attention of
the Commission Secretary. Requestors may submit requests electronically
via email to [email protected]. Requestors are encouraged to
submit comments electronically to ensure timely receipt and
consideration. Alternatively, requests may be submitted in paper form.
Paper requests must be sent to the Federal Election Commission, Attn.:
Commission Secretary, 999 E Street NW., Washington, DC, 20463. Upon
receipt of a request, the Commission Secretary shall forward a copy of
any request to each Commissioner, the General Counsel, and the Staff
Director.
Any request for an extension of time to file will be considered on
a case-by-case basis and will only be granted if good cause is shown,
and the Commission approves the extension request by four affirmative
votes within five business days of receipt of the extension request.
Within five business days of notification to the Commissioners of a
request for consideration of a legal question, if two or more
Commissioners agree that the Commission should consider the request,
OGC will prepare a recommendation and, within 15 business days
thereafter, circulate the recommendation in accordance with all
applicable Commission directives.
After the recommendation is circulated for a Commission vote, in
the event of an objection, the matter shall be automatically placed on
the next meeting agenda consistent with the Sunshine Act, 5 U.S.C.
552b(g), and applicable Commission regulations, 11 CFR part 2. However,
if within 60 business days of the filing of a request for
consideration, the Commission has not resolved the issue or provided
guidance on how to proceed with the matter by the affirmative vote of
four or more Commissioners, the OC may proceed with the matter. After
the 60 business days has elapsed, any requestor will be provided a copy
of OGC's recommendation memorandum and an accompanying vote
certification, or if no such certification exists, a cover page stating
the disposition of the memoranda. Confidential information will be
redacted as necessary.
After the request review process has concluded, or a Final Audit
Report has been approved, a copy of the request for consideration, as
well as the recommendation memorandum and accompanying vote
certification or disposition memorandum, will be placed with the
Committee's filings or audit documents on the Commission's Web site
within 30 days. These materials will also be placed on the Commission's
Web page dedicated to legal questions considered by the Commission
under this program.
This procedure is not intended to circumvent or supplant the
Advisory Opinion process provided under 2
[[Page 63204]]
U.S.C. 437f and 11 CFR part 112. Accordingly, any legal issues that
qualify for consideration under the Advisory Opinion process are not
appropriate for consideration under this new procedure. Additionally,
this policy statement does not supersede the procedures regarding
eligibility and entitlement to public funds set forth in Commission
Directive 24 and 11 CFR 9005.1, 9033.4, 9033.6 or 9033.10.
II. Annual Review
No later than July 1 of each year, the OC and OGC shall jointly
prepare and distribute to the Commission a written report containing a
summary of the requests made under the program over the previous year
and a summary of the Commission's consideration of those requests and
any action taken thereon. The annual report shall also include the
Chief Compliance Officer's and the General Counsel's assessment of
whether, and to what extent, the program has promoted efficiency and
fairness in both the Commission's report review process and in the
audit process, as well as their recommendations, if any, for
modifications to the program.
The Commission may terminate or modify this program through
additional policy statements at any time by an affirmative vote of four
of its members.
On behalf of the Commission,
Dated: September 30, 2013.
Ellen L. Weintraub,
Chair, Federal Election Commission.
[FR Doc. 2013-24317 Filed 10-22-13; 8:45 am]
BILLING CODE 6715-01-P